TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.505 TITLE
Section 1400.505 Title
This Part may be cited as the
Office of the Treasurer Procurement Rules.
 | TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.510 POLICY
Section 1400.510 Policy
All procurements by the
Treasurer's office will be accomplished in a competitive, expeditious,
economical and commercially reasonable manner in accordance with law, this Part,
and other applicable rules.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.515 APPLICABILITY
Section 1400.515
Applicability
a) This Part applies to all procurements by the Treasurer's
office with a Solicitation Date of July 1, 1998 or later with the exception of those
items listed in subsection (b) of Section 1-10 of the Procurement Code, which
include, but are not limited to, the following:
1) contracts between the Treasurer's office and any federal,
State, or local governmental body; [30 ILCS 500/1-10(b)(1)]
2) agreements for the deposit of State moneys in interest bearing
accounts or the investment of State moneys under the Deposit of State Moneys
Act [15 ILCS 520] or the Public Funds Investment Act [30 ILCS 235];
3) hiring employees, including contractual employees but not
independent contractors, of the Treasurer's office;
4) collective bargaining agreements; [30 ILCS 500/1-10(b)(5)]
5) contracts approved by the Chief Legal Counsel as necessary
to prepare for anticipated litigation, enforcement actions, or investigations. Anticipated litigation is legal action that may be
prosecuted or defended before a court or administrative body and includes
actions necessary to guard against litigation and prepare for and conduct
effective legal prosecution or defense, including, but not limited to, the
retention of counsel, investigators, expert witnesses and court reporters. This
Section is applicable to equipment or services necessary in the furtherance of
covert activities lawfully conducted by the Treasurer's Office; [30 ILCS
500/1-10(b)(7)]
6) grants, except that grant agreements
shall be filed with the Comptroller as required by Section 20-80 of the
Illinois Procurement Code [30 ILCS 500]. [30 ILCS 500/1-10(b)(2)]
b) The terms and conditions and the rights and obligations under
contracts resulting from procurements with a Solicitation Date that is earlier
than the effective date of this Part will not be impaired.
(Source: Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.520 DEFINITION OF TERMS
Section 1400.520 Definition
of Terms
Each term listed in this Section
has the meaning below unless its use clearly requires a different meaning.
Terms may be defined in particular Sections for use in those Sections.
"Award"
– The determination that a particular vendor has been selected from among other
potential vendors to enter into negotiations for the purpose of finalizing a
contract.
"Bid"
− A response to an Invitation for Bids.
"Bidder"
− The person or entity submitting a bid.
"Brand
Name or Equal Specification" − A specification that uses one or more
manufacturer's names or catalogue numbers to describe the standard of quality,
performance, and other characteristics needed to meet Treasurer's office
requirements, and that allows the submission of equivalent products.
"Brand
Name Specification" − A specification limited to one or more items
by manufacturer's names or catalogue numbers.
"Code"
means the Illinois Procurement Code [30 ILCS 500].
"Chief
Legal Counsel" − An attorney for the Treasurer's office who reports
directly to the Chief of Staff and is primarily responsible for the legal
functioning of the Treasurer's office.
"Chief of
Staff" − The Chief of Staff for the Treasurer's office.
"Chief
Procurement Officer" − The employee of the Treasurer's office who is
appointed by the Treasurer to be primarily responsible for the procurement of
all goods and services by the Treasurer's office.
"Contract"
− All types of State agreements, regardless of what they may be called:
for the
procurement, use or disposal of supplies, services, professional or artistic
services, or construction; or for leases of real property when the State is the
lessee; or for capital improvements; and
including
renewals, master contracts, contracts for financing through use of installment
or lease-purchase arrangements, renegotiated contracts, amendments to
contracts, and change orders. [30 ILCS 500/1-15.30]
The term
contract, as used in this Part, does not include: supplies or services the terms
governing which are established by tariff of the Illinois Commerce Commission
or the Federal Communications Commission and for which there is no authorized
competition, bonds, or contracts related to bonds issued by or on behalf of a
State agency when the contractor or vendor is neither selected nor paid by the Treasurer's
office.
"Contract
Award" − Except as otherwise defined in this Part for specific
categories of procurements, the day that a Notice of Award is posted on the Treasurer's
website, confirming that a particular vendor has been selected from among other
potential vendors to receive a contract, subject to the successful completion
of final negotiations.
"Contractor"
or "Vendor" − The terms contractor and vendor are used interchangeably
for purposes of this Part. When appropriate, the term "vendor" shall
also include subcontractors.
"Day"
− Calendar day as opposed to business day. In computing any period of
time, the day of the event from which the designated period of time begins to
run is not included, but the last day of the period is included unless it is a
Saturday, Sunday, or a State holiday, in which event the period runs to the end
of the next business day.
"Deputy
Treasurer" – An individual with the title Deputy Treasurer, appointed by
the Treasurer, who reports directly to the Treasurer.
"Emergency
Statement" – The statement filed setting forth the actual or estimated
amount expended, the name of the contractor involved, and the conditions and
circumstances requiring the emergency procurement.
"Invitation
for Bids" or "IFB" − A document prepared and distributed
by the Treasurer's office soliciting bids for the provision of goods or
services to the Treasurer's office.
"Multiple
Award" − An award that is made to 2 or more bidders or
offerors for similar supplies, services, or construction-related services. [30
ILCS 500/1-15.48]
"Offer"
− A bid, proposal, or response solicited by the Treasurer's office.
"Offeror"
− The person or entity submitting a bid, proposal or response solicited
by the Treasurer's office.
"Procurement
Review Board" − A board composed of the Chief of Staff, the Chief
Legal Counsel, and the Deputy Treasurer for the Treasurer's office. Where one
of the above positions is vacant, designees may be appointed by the following:
Chief of
Staff,
Deputy
Treasurer, if the Chief of Staff position is vacant, or
Chief Legal
Counsel, if both Deputy Treasurer and Chief of Staff positions are vacant.
"Professional
and Artistic Services" − Those services provided under contract to
the Treasurer's office by a person or business, acting as an independent
contractor, qualified by education, experience, and technical ability. [30
ILCS 500/1-15.60]
"Proposal"
− A response to a Request for Proposals.
"Proposer"
− The person or entity submitting a proposal.
"Purchasing
Officer" − One or more employees of the Treasurer's office that
serve at the direction of the Chief Procurement Officer and are responsible for
coordinating the procurement activity of the Treasurer's office.
"Request
for Information" or "RFI" − The process of requesting
information from interested parties to aid the Treasurer's office in decision making.
This type of RFI is not a procurement method and will not result in a
participant receiving a contract.
"Request
for Information for Real Property" or "RFI-Real Property Leases"
− The process of seeking proposals for leases of real property or capital
improvements.
"Request
for Proposals" or "RFP" − The process by which the
Treasurer's office requests information from offerors, including all
documents, whether attached or incorporated by reference, used for soliciting
proposals for the provision of goods or services to the Treasurer's office.
[30 ILCS 500/1-15.75]
"Respondent"
− The person or entity submitting a response to a Request for Information
or a Request for Proposals from the Treasurer's office.
"Response"
− A response to a Request for Information.
"Responsible
Bidder, Proposer or Respondent" − A person or entity that is capable
in all respects of performing fully the contract requirements and has the
integrity and reliability that will assure good faith performance.
"Responsive
Bidder" − A person or entity that has submitted a bid conforming in
all material respects to an Invitation for Bids or Request for Proposal.
"Small
Business Specialist" − An employee of the Treasurer's office who is
responsible for assisting small businesses in submitting offers to the
Treasurer's office for the provision of goods and services.
"Solicitation"
− An Invitation for Bids, Request for Proposals or Request for Information.
"Solicitation
Date" − The date that bids or proposals are solicited for the
provision of goods or services to the Treasurer's office by communicating the
solicitation orally, depositing the solicitation in the U.S. Mail or posting
the solicitation electronically, whichever occurs first.
"Specification"
− Any description of the physical, functional or performance
characteristics or of the nature of a supply, a service, or construction
items. A specification includes, as appropriate, requirements for inspecting,
testing, or preparing a supply, a service, or construction item for delivery.
[30 ILCS 500/1-15.95]
"Subcontract"
means a contract between a person and a person who has a contract subject to
this Part, pursuant to which the subcontractor provides to the
contractor, or, if the contract price exceeds the small purchase maximum
then in effect pursuant to Section 1400.2020(a), another subcontractor, some
or all of the goods, services, real property, remuneration, or other monetary
forms of consideration that are the subject of the primary contract and
includes, among other things, subleases from a lessee of a State agency. For
purposes of this Part, a "subcontract" does not include
purchases of goods or supplies that are incidental to the performance of a
contract by a person who has a contract subject to the Code. [30
ILCS 500/1-15.107]
"Subcontractor"
means a person or entity that enters into a contractual agreement with a
total value that exceeds the small purchase maximum then in effect
pursuant to Section 1400.2020(a) with a person or entity who has a contract
subject to this Part pursuant to which the person or entity provides
some or all of the goods, services, real property, remuneration, or other
monetary forms of consideration that are the subject of the primary State
contract, including subleases from a lessee of a State contract. For purposes
of this Part, a person or entity is not a "subcontractor" if
that person only provides goods or supplies that are incidental to the
performance of a contract by a person who has a contract subject to this Part.
[30 ILCS 500/1-15.108]
"Treasurer's
Web Site" − The Web Site of the Office of the Illinois State
Treasurer at www.illinoistreasurer.gov or successor.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.525 PROPERTY RIGHTS
Section 1400.525 Property
Rights
No person shall have any
right to a specific contract with the State unless that person has a contract
that has been signed by an officer or employee of the purchasing agency with
appropriate signature authority. The State shall be under no obligation to issue
an award or execute a contract. [30 ILCS 500/1-25] No person who
participates in a procurement action has any right to an award or subsequent
contract. Receipt of a solicitation or submission of any bid, proposal or
response to a solicitation confers no right to receive an award or contract,
nor does it obligate the State in any manner.
(Source: Amended at 48 Ill. Reg. 2924,
effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.530 JOINT PURCHASING
Section 1400.530 Joint
Purchasing
a) The Treasurer's office may, without soliciting independent
bids, proposals or responses, procure goods and services from vendors selected
by the Department of Central Management Services (CMS), the federal General
Services Administration, or another governmental unit in accordance with a
competitive selection process established pursuant to the Governmental Joint
Purchasing Act [30 ILCS 525].
b) The Treasurer's office may enter into agreements to make joint
purchases pursuant to the Governmental Joint Purchasing Act and may act as a
lead state or a participant state. The purchases of all personal property,
supplies and services under the Governmental Joint Purchasing Act,
except for small purchases, shall be based on competitive solicitations.
All purchases, orders or contracts shall be awarded to the lowest responsible
bidder or highest-ranked offeror, taking into consideration the qualities of
the articles or services supplied, their conformity with the specifications,
their suitability to the requirements of the participating governmental units
and the delivery terms. [30 ILCS 525/4]
c) The Treasurer's office may procure goods or services through
awards made by any cooperatives and consortia approved for use by the Chief
Procurement Officer or the Chief Procurement Officer for General Services.
Where practicable, including where the cooperative or consortium may have made
multiple awards for the same good or service, the Treasurer's office shall:
1) select the vendor that represents the low cost or best value
for the good or service; and
2) maximize competition by soliciting quotes or other information
where the low cost or best value is not apparent on the face of the award made
by the cooperative or consortium.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
SUBPART B: PROCUREMENT AUTHORITY
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.1005 CHIEF PROCUREMENT OFFICER
Section 1400.1005 Chief
Procurement Officer
The Chief Procurement Officer
shall ensure that all procurements of the Treasurer's office are in accordance
with this Part and in the best interest of the State. The Chief Procurement
Officer is responsible for the activities of the Purchasing Officers and the
Small Business Specialist who serve under his or her direction and supervision.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.1010 PURCHASING OFFICER
Section 1400.1010 Purchasing
Officer
a) The Chief Procurement Officer, subject to the approval of the
Treasurer, may appoint one or more employees under his or her direction and
supervision to serve as Purchasing Officers.
b) Before making an appointment, the Chief Procurement Officer
shall, among other factors, consider each individual's character and fitness
and understanding of the procurement process.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.1015 SMALL BUSINESS SPECIALIST
Section 1400.1015 Small
Business Specialist
a) The Chief Procurement Officer, subject to the approval of the
Treasurer, may designate an employee of the Treasurer's office with experience
negotiating contracts to serve as the Small Business Specialist.
b) Before making the designation, the Chief Procurement Officer
shall, among other factors, consider the individual's demeanor, organizational
skills, knowledge of the Treasurer's office, and awareness of the issues
confronting small businesses.
SUBPART C: PUBLICATION, SOLICITATION AND DOCUMENTATION
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.1505 PUBLICATION
Section 1400.1505
Publication
a) Electronic Publication
Every
solicitation for bids, proposals, requests for information, or responses
required under this Part must be published on the Treasurer's Web Site at least
14 calendar days before the date set in the solicitation for the opening of the
bids, proposals, or responses. Every notice of intention to enter into a sole
source contract must be published on the Treasurer's Web Site at least 14
calendar days before the award of the contract. All other documents required
to be published under this Part must be published on the Treasurer's Web Site
as soon as practicable and no later than 30 days from the date on which the
document was produced. There is no fee assessed for access to the page of the
Treasurer's Web Site containing procurement information.
b) Paper Publication
All documents
published on the Treasurer's Web Site may be printed in a paper format and made
available upon request as of the date that it is published electronically. The
Treasurer's office may charge a minimal fee that does not exceed the limits
established by the Treasurer's Office pursuant to the Freedom of Information
Act [5 ILCS 140]. The paper publication will be available for inspection free
of charge at locations in Springfield and Chicago by appointment.
c) Content of Publications
1) Solicitations. Every solicitation must include the following:
A) the date of the solicitation;
B) the specifications;
C) a procurement reference number if used;
D) the date, time and location of any bidders' conferences;
E) the date, time and location for making submissions;
F) method of source selection;
G) name of the Chief Procurement Officer and the Treasurer;
H) instructions on how to obtain additional information;
I) encouragement to prospective vendors
to hire qualified veterans; and
J) encouragement to prospective vendors
to hire qualified Illinois minorities, women, persons with disabilities and
residents discharged from any Illinois adult correctional center.
2) Notices of Contract Awarded. Every notice of contract awarded
must contain the following information:
A) the name of the vendor selected for the award;
B) a brief description of what the vendor will do or provide;
C) the contract amount, which may be an amount not-to-exceed,
along with the applicable rate and unit of measurement of the goods, supplies
or services;
D) the number of unsuccessful vendors;
E) the date the solicitation was first published;
F) the date, time and location for making submissions that led to
the contract award;
G) name of the Chief Procurement Officer and the Treasurer; and
H) instructions on how to obtain additional information.
3) Notices of Cancellation or Rejection. The notices of
cancellation of a solicitation or rejection of offers must:
A) identify the solicitation;
B) briefly explain the reason for the cancellation or rejection;
and
C) when appropriate, explain that an opportunity will be given to
compete on any resolicitation or any future procurement of similar goods or
services.
4) If an award to other than the lowest
responsive and responsible bidder results pursuant to Section 20-10(g) of the
Code, the notice of award must include a written explanation containing the
following:
A) a description of the Treasurer's
office's needs;
B) a determination that the anticipated
cost will be fair and reasonable;
C) a listing of all responsible and
responsive bidders; and
D) the name of the bidder selected, the
total contract price, and the reasons for selecting that bidder.
5) Other Publications. All other publications required by this
Part must contain any and all information that is required by this Part.
6) Publicizing Award
Successful
bidders shall be notified of award and that notification may be in the form of
a letter, purchase order or other clear communication. Notice of award shall
be issued by either paper or electronic means to all offerors submitting
responses to the solicitation.
7) Retention of Publication Information
Information
published on the Treasurer's Web Site may be removed from the Treasurer's Web
Site after a period of one year after first publication or sooner if determined
necessary by the Chief Procurement Officer, provided that a copy of that
information is maintained in the appropriate procurement file maintained in
accordance with the State Records Act [5 ILCS 160].
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.1510 SOLICITATION
Section 1400.1510
Solicitation
In addition to publishing
solicitation notices electronically and in a paper format, the Treasurer's
office may directly contact prospective vendors. Direct solicitation may be
oral or in writing, but care must be taken to ensure that all vendors receive the
same information. At least three vendors should be contacted whenever
possible.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.1515 DOCUMENTATION
Section 1400.1515
Documentation
a) Minutes
Minutes of all
meetings of the Procurement Review Board will be created and made available for
inspection and copying.
b) Procurement File
All official
procurement records, notices, contracts, written determinations, minutes,
forms, and any other documents required under this Part must be made part of
the procurement file maintained by the Chief Procurement Officer. The
procurement file must be open to inspection and copying under conditions
established by the Chief Procurement Officer and in compliance with the Freedom
of Information Act (FOIA).
c) Contract Filing
Filing of
contracts with the Comptroller must be done in accordance with Section 20-80 of
the Illinois Procurement Code [30 ILCS 500] and any rules promulgated by the Comptroller.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
SUBPART D: PROCUREMENT METHODS
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2005 COMPETITIVE SEALED BIDDING
Section 1400.2005
Competitive Sealed Bidding
a) Application
Competitive
sealed bidding is the required method of source selection except as allowed by
this Part. The provisions of this Section apply to every procurement required
to be conducted by competitive sealed bidding.
b) The Invitation for Bids
1) Use. The Invitation for Bids is used to initiate a
competitive sealed bid procurement.
2) Content. The Invitation for Bids must include, at a minimum,
the following:
A) instructions and information to bidders concerning the bid
submission requirements, including the time and date set for receipt of bids,
the address of the office to which bids are to be delivered, the maximum time
for bid acceptance by the Treasurer's office, and any other special
information;
B) the specification, evaluation factors, delivery or performance
schedule, and any inspection and acceptance requirements as are not included in
the specification; and
C) the contract terms and conditions, including warranty,
collateralization, bonding or other security requirements, as applicable.
3) Incorporation by Reference. The Invitation for Bids may
incorporate documents by reference if the Invitation for Bids specifies where
the documents can be obtained.
4) Publication and Documentation of the Invitation for Bids. The
Invitation for Bids must be published as provided in Section 1400.1505 and made
a part of the procurement file.
c) Optional Bid Requirements
1) Bid Form. The Invitation for Bids may provide a form which
includes a space in which the bid price may be inserted and which the bidder
must sign and submit along with all other necessary submissions.
2) Bid Samples and Descriptive Literature.
A) Bid samples or descriptive literature may be required when it
is necessary to evaluate required characteristics of the items bid.
B) Unsolicited bid samples or descriptive literature submitted at
the bidder's risk may not be examined or tested, will not be deemed to vary any
of the provisions of the Invitation for Bids, and may not be utilized by the
vendor to contest a decision or understanding with the Treasurer's office.
d) Prequalification
1) The Chief Procurement Officer may require that vendors be
prequalified as a condition of being placed on the bid list. Any bid lists
developed will be updated by June 30 of each year. Vendors will be given an
opportunity to prequalify prior to each update of the list. The opportunity to
prequalify and whether prequalification will be a condition of being awarded a
contract must be published as provided in Section 1400.1505.
2) The fact that a prospective vendor has been prequalified does
not necessarily represent a finding of responsibility for a particular
procurement.
3) Distribution of and responses to the solicitation may be
limited to prequalified vendors and award of a contract may be denied because a
vendor was not prequalified.
e) Bidders' Conferences
Bidders'
conferences may be conducted to enhance understanding of the procurement
requirements. The conferences must be announced to all prospective bidders
known to have received an Invitation for Bids. The conference may be
designated as attendance mandatory or attendance optional. The conference must
be held long enough after the Invitation for Bids has been issued to allow
bidders to become familiar with it, but sufficiently before bid opening to
allow consideration of the conference results in preparing their bids. Any
questions posed in a bidders' conference shall be subsequently submitted in
writing and, along with the answers, shall be published on the Treasurer's Web
Site as provided in Section 1400.1505. Nothing stated in the bidders' conference
changes the Invitation for Bids unless a change is made by written amendment to
the Invitation for Bids. The Chief Procurement Officer shall cause a listing
of all attendees at a bidders' conference to be prepared and made a part of the
procurement file.
f) Amendments to Invitations for Bids
1) Form. Amendments to Invitations for Bids must be identified
and must require that the bidder acknowledge receipt of all amendments issued.
The amendment must reference the portions of the Invitation for Bids it amends.
2) Distribution. Amendments must be sent to all prospective
bidders known to have received an Invitation for Bids.
3) Timeliness. Amendments must be distributed within a
reasonable time to allow prospective bidders to consider them in preparing
their bids. If necessary, the Chief Procurement Officer may extend the
response time in writing, or by e-mail or telephone and confirmed in writing.
g) Pre-Opening, Modification or Withdrawal of Bids
1) Procedure. Bids may be modified or withdrawn by written
notice received in the office designated in the Invitation for Bids prior to
the time and date set for bid opening. An e-mail modification or withdrawal,
or withdrawal received by telephone prior to the time and date set for bid
opening, will be effective if followed in writing.
2) Disposition of Bid Security. If a bid is withdrawn in
accordance with this Section, the bid security, if any, will be returned to the
bidder.
3) Records. All documents relating to the modification or withdrawal
of bids must be made a part of the procurement file.
h) Receipt, Opening and Recording of Bids
1) Receipt. Upon its receipt, each bid and modification must be recorded
but not opened and must be stored in a secure place until the time and date set
for bid opening. If a bid is opened in error, the file must so state.
2) Opening and Recording.
A) Bids and modifications must be opened publicly, in the presence
of one or more witnesses, at the time, date and place designated in the
Invitation for Bids. The name of each bidder, the bid price and any other
information that the Chief Procurement Officer deems appropriate must be
recorded.
B) The winning bid must be available for public inspection after
award, along with the record of the other bids.
i) Bid Evaluation and Award
1) General. The contract is to be awarded to the lowest bid by a
responsible and responsive bidder, unless otherwise permitted in this subsection
(i). No bid may be evaluated for any requirements or criteria that are not
disclosed in the Invitation for Bids.
2) Determination of Bidder as Responsible and Responsive. The
Chief Procurement Officer shall reach the determination of whether each bidder
is responsible and responsive. The determination must be conducted to
determine whether each bid is acceptable and appropriate for further evaluation
and not for the purpose of determining whether one bidder's product or service
capability is superior to another. If any bidder is determined to be nonresponsive
and/or not responsible, that determination shall be reduced to writing and made
part of the procurement file.
3) Product Quality or Service Capability. The Chief Procurement
Officer shall also evaluate and make a notation of any differences in the
product quality or service capability among the responsible and responsive
bidders before reaching the determination of the lowest bidder.
4) Determination of Lowest Responsible and Responsive Bidder.
Bids must be evaluated to determine which responsible and responsive bidder
offers the lowest cost to the State in accordance with the evaluation criteria
in the Invitation for Bids. Only objectively measurable criteria in the
Invitation for Bids may be applied in determining the lowest bidder.
5) Award. The Chief Procurement Officer shall award the contract
to the lowest responsible and responsive bidder, unless the differences in
product quality or service capability suggest that the selection of another bid
is in the best interest of the State.
6) Price Negotiation. The Chief Procurement Officer or designee
may negotiate with the low bidder to obtain a lower price for the item bid.
j) Notification, Publication and Documentation of Award
Following the
award, a notice of contract must be provided to the successful bidder,
published as provided in Section 1400.1505, and made a part of the procurement
file. The notice of contract awarded must indicate if a bidder other than the
lowest responsible and responsive bidder was selected and the basis for the
selection.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2010 MULTI-STEP SEALED BIDDING
Section 1400.2010 Multi-Step
Sealed Bidding
When it is considered
impracticable to initially prepare a definitive purchase description to support
an award based on price, an IFB may be issued requesting the submission of
unpriced offers to be followed by an IFB limited to those bidders whose offers have
been qualified under the criteria set forth in the first solicitation.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2015 COMPETITIVE SEALED PROPOSALS
Section 1400.2015
Competitive Sealed Proposals
a) Supplies and services may be procured through the competitive
sealed proposal method of source selection, on a case-by-case basis, when it is
determined by the Chief Procurement Officer that competitive sealed bidding is
either not practicable or advantageous to the State.
b) The types of procurements for which the competitive sealed
proposals method of source selection may be used without a determination that
competitive sealed bidding is either not practicable or advantageous include
the following:
1) electronic data processing equipment, software, and services;
2) telecommunications equipment, software, and services;
3) consulting services; and
4) banking services.
c) Factors to be considered in determining whether competitive
sealed bidding is either not practical or advantageous include the following:
1) the nature of the procurement does not permit an award to a
low bidder who agrees by its bid to perform without condition or reservation in
accordance with the specification, delivery or performance schedule, and all
other terms and conditions of the Invitation for Bids;
2) evaluation factors involve the relative abilities of offerors
to perform, including degrees of experience or expertise, where the types of
supplies or services may require the use of comparative, judgmental evaluations
to evaluate them adequately, or where the type of need to be satisfied involves
weighing aesthetic values to the extent that price is a secondary
consideration;
3) whether oral or written discussions may need to be conducted
with offerors concerning technical and price aspects of their proposals;
4) whether offerors may need to be afforded the opportunity to
revise their proposals, including price;
5) whether the award may need to be based upon a comparative
evaluation, as stated in the Request for Proposals, of differing price,
quality, and contractual factors in order to determine the most advantageous
offering to the Treasurer's office. Quality
factors include technical and performance capability and the content of the
technical proposal; and
6) it is otherwise not advantageous to the State, even though
practicable, to use competitive sealed bidding.
d) Prequalification
The Chief
Procurement Officer may require that vendors are prequalified in the manner
described in Section 1400.2005 for competitive sealed bidding.
e) Request for Proposals
1) Solicitation. Proposals must be solicited through a Request
for Proposals that must contain the following information:
A) A requirement that proposals are submitted in two parts. The
first part should cover all items except price and the second part should cover
price.
B) A statement that discussions may be conducted with offerors who
submit proposals determined to be reasonably capable of being selected for
award, but that proposals may be accepted without a discussion.
C) A statement of when and how price should be submitted.
2) Publication and Documentation of the Request for Proposals.
The Request for Proposals must be published as provided in Section 1400.1505
and made part of the procurement file.
f) Receipt, Opening and Recording of Proposals
The date and
time of receipt of proposals and modifications must be recorded upon receipt,
but the proposal and modifications must not be opened and shall be held in a
secure place until the established due date. Proposals must be opened publicly
in the presence of at least one witness at the time and place designated in the
Request for Proposals, but proposals must be opened in a manner to avoid
disclosure of their contents to competing offerors. A record of proposals must
be prepared and must be open for inspection after contract is awarded. The record
of proposals must include for all proposals the name of each offeror, the
number of modifications received, if any, and a description sufficient to
identify the supply or service item offered. The record of proposals must be
made part of the procurement file and be open to public inspection after award
of the contract.
g) Evaluation of Proposals
1) Evaluation Factors in the Request for Proposals. The RFP must
state all of the evaluation factors, including price, and their relative
importance. All evaluation factors stated will be considered equally unless
otherwise indicated in the RFP.
2) Evaluation. The evaluation must be based on the evaluation
factors in the RFP. Factors not specified in the RFP must not be considered.
Numerical rating systems may be used but are not required. The first part of
all proposals covering items other than price must be evaluated and ranked
independently of the second part of all proposals.
h) Proposal Discussions with Individual Offerors
1) Offerors may be given a fair and equal opportunity to discuss
their proposals.
2) Purposes of Discussions. Discussions are held to:
A) promote understanding of the Treasurer's office requirements
and the offerors' proposals; and
B) facilitate arriving at a contract that is most advantageous to
the State taking into consideration price and the other evaluation factors in
the Request for Proposals.
3) Clarification of the Request for Proposals. If during
discussions there is a need for any substantial clarification of, or change in,
the Request for Proposals, the Request for Proposals must be amended to
incorporate the clarification or change. Any substantial oral clarification of
a proposal must be reduced to writing by the offeror.
4) Best and Final Offers. The Chief Procurement Officer may
request best and final offers with a common date and time for submission of the
offers. The Chief Procurement Officer, or his or her designee, may conduct
additional discussions or change the Treasurer's office requirements and
require another submission of best and final offers. If an offeror does not
submit either a notice of withdrawal or another best and final offer, that
offeror's immediately previous offer will be construed as its best and final
offer.
5) Disclosure of Information. In conducting discussions there
must be no disclosure of any information derived from proposals submitted by
competing offerors. Any other information that is disclosed to any offeror
must be provided to all competing offerors.
i) Award
1) Determination. The Chief Procurement Officer must make the award
in accordance with a written determination showing the basis on which the award
was found to be the most advantageous to the State, based on the Request for
Proposals.
2) Notification, Publication and Documentation of the Award. The
successful offeror will be promptly notified of the award. The notification of
the award and the written determination must be published as provided in
Section 1400.1505 and made part of the procurement file.
3) Unsuccessful offerors may be allowed a debriefing when determined
by the Chief Procurement Officer to be in the best interests of the State.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2020 SMALL PURCHASES
Section 1400.2020 Small
Purchases
a) Application
Any individual
procurement of supplies or services that does not exceed $100,000 may, at the
discretion of the Chief Procurement Officer, be made without notice,
competition, publication, or use of any prescribed method of source selection. Each
July 1 the small purchase maximum shall be subject to the annual cost of living
increases set forth in subsection (b). Procurements of less than $100,000 for
professional and artistic services, and that have a nonrenewable term of one
year or less, may, at the discretion of the Chief Procurement Officer, be made
without advance notice, competition or use of any prescribed method of source
selection.
b) Adjustment
The small
purchase maximums may be adjusted for inflation as determined by the Consumer
Price Index for All Urban Consumers as determined by the United States
Department of Labor and rounded to the nearest $100. In determining the annual
small purchase maximums, the CPO may rely upon a published adjustment of the
small purchase limits announced by the Chief Procurement Office for General
Services pursuant to the procedure found at 44 Ill. Adm. Code 1.2020.
c) In determining whether a contract is under the limit, the
value of the contract for the full term and any optional renewals, as well as
the stated value of the goods or services plus any optional goods and services,
determined in good faith, must be utilized. Where the term is calculated
month-to-month or in a similar fashion, the amount must be calculated for a 12-month
period.
d) Procurement requirements must not be artificially divided to
avoid using one of the other source selection methods described in this Part.
e) If, after signing the contract, the actual need is determined
to be more than the limits provided in this Section, and the Chief Procurement
Officer determines that reprocurement is not appropriate, the Chief Procurement
Officer may follow the procedures for sole source or emergency procurement, if
applicable, to obtain the additional supplies or services.
(Source:
Amended at 43 Ill. Reg. 2275, effective January 31, 2019)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2025 SOLE SOURCE PROCUREMENTS
Section 1400.2025 Sole
Source Procurements
a) Application
The provisions
of this Section apply to procurement from a sole economically feasible source
(referred to as sole source) that is above the limit for small purchases in
Section 1400.2020 and does not qualify as an emergency procurement as defined
in Section 1400.2030.
b) Conditions for Use of Sole Source Procurement
Sole source
procurement is permissible when a good or service is available from only a
single supplier or when only one supplier is deemed economically feasible. A
requirement for a particular proprietary item by itself does not justify a sole
source procurement if there is more than one potential bidder or offeror
authorized to provide that item. The following are examples of circumstances
that could necessitate sole or sole economically feasible source procurement:
1) compatibility
of equipment, accessories, replacement parts or service is a paramount
consideration;
2) items
are needed for trial use or testing of that specific product or service;
3) item
is for commercial resale;
4) noncompetitive
public utility services;
5) item
is proprietary, copyrighted or patented and the item or service is not
available except from the named vendor or, where applicable, holder of the
copyright or patent;
6) media
for advertising;
7) art,
entertainment services or athletic events;
8) radio
and television broadcast rights;
9) procurements
related to participation in educational, professional, research, public service
activities of organizations of which the Treasurer's office is a member, professional
memberships and related expenses. These procurements may include, but are not
limited to, dues and membership fees, travel and lodging, and facility usage
fees;
10) federal
or State grant requires contract with named vendor;
11) items
required by franchise agreements; and
12) changes
to existing contracts (see subsection (c)).
c) Changes to existing contracts germane to the original contract
that are necessary or desirable to complete the project, and that can be best
accomplished by the contract holder, may be procured under this provision.
d) The determination as to whether a procurement may be made as a
sole source must be made by the Chief Procurement Officer in writing and must
include an explanation of why no other source would be suitable or acceptable.
The determination must be made part of the procurement file.
e) The Chief Procurement Officer shall, having defined a sole
economically feasible source, issue a notice of intent to utilize the sole
source method of procurement that sets forth a description of the item to be
procured and the intended sole source contractor. A notice containing the
following information must be published as provided in Section 1400.1505:
1) name of the Chief Procurement Officer who made the
determination to utilize the sole source procurement;
2) name of the vendor;
3) brief description of what the vendor will do or provide;
4) contract price (to the extent known); and
5) reason why the vendor was determined to be the sole
economically feasible source.
f) If a written protest is filed by an interested party pursuant
to Section 1400.4005 requesting a public hearing, then the Chief Procurement
Officer shall, after posting a notice as provided in Section 1400.1505, hold a
public hearing and take public testimony concerning the proposed sole source
designation. If there is no protest to the Chief Procurement Officer's
determination or if the Chief Procurement Officer is convinced that the sole
source designation is appropriate after considering the protest, a contract may
be executed with the selected sole source vendor. If a written protest is
received and, after considering the protest, the Chief Procurement Officer is
convinced that the sole source designation is not appropriate, the Chief
Procurement Officer shall commence a competitive method of procurement unless
an emergency situation exists.
g) Negotiation in Sole Source Procurement
The Chief
Procurement Officer shall conduct negotiations, as appropriate, in an effort to
obtain the most favorable price, delivery and other terms and conditions
available for the State.
h) Maintenance of Record
The Chief
Procurement Officer shall maintain a record of sole source procurements in the
procurement file showing:
1) the vendor's name;
2) the amount and type of the contract; and
3) a listing of the goods or services procured under each
contract.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2030 EMERGENCY PROCUREMENTS
Section 1400.2030 Emergency
Procurements
a) Applications
The provisions
of this Part apply to every procurement over the small purchase limit set in
Section 1400.2020 made under emergency conditions. The Chief Procurement
Officer shall have the authority to make emergency procurements when an
emergency condition arises and the need cannot be met through normal
procurement methods. An emergency condition exists when:
1) there exists a threat to health, safety, or collection of
substantial revenues;
2) immediate expenditure is needed for repairs to State property in
order to protect against further loss or damage to State property;
3) action is needed to prevent or minimize serious disruption in
the operation of the Treasurer's office;
4) action is needed to ensure the integrity of State records;
5) a supplier of needed goods or services makes an announcement
that gives the Chief Procurement Officer reason to determine that making a
purchase immediately is in the State's best interest, including, but not
limited to, an announcement of bankruptcy, going out of business, or loss of
franchise;
6) items are available on the spot at prices that are favorable
enough that good business judgment mandates a purchase;
7) legal services to assist the Treasurer's office in the
formulation of policy, in drafting or evaluating documents, or in determining
the extent of statutory authority are needed more quickly than an alternative
method of procurement under this Part would allow;
8) escrow agent services for general obligation bonds and
procurements for escrow agent services and registrar and paying agent services
for college savings bonds are needed more quickly than an alternative method of
procurement under this Part would allow; or
9) bids or proposals received in accordance with a competitive
sealed bid or competitive sealed proposal method are unreasonable,
noncompetitive, or the price exceeds available funds, and time or other
circumstances will not permit the delay required to resolicit competitive
sealed bids or proposals;
10) rare items, such as articles of historical value or art
collections, that are available for a limited time;
11) the opportunity to obtain entertainment, speakers and athletic
and other events or performances is available for a limited time; or
12) immediate action is necessary to avoid lapsing or loss of
federal or donated funds.
b) Scope of Emergency Conditions
Emergency
procurements must be limited to those supplies, services, or construction items
necessary to meet the emergency.
c) Authority to Make Emergency Procurements
The Chief
Procurement Officer may make emergency procurements when the need cannot be met
through normal procurement methods, but, whenever practicable, existing
contracts must be utilized.
d) Source Selection Methods
Any method of
source selection, whether or not identified in this Part, may be used to
conduct the procurement in emergency situations provided that, whenever
practical, existing State contracts shall be utilized and competitive sources
shall be considered if practical. The procedure used shall be selected to
assure that the required items are procured in time to meet the emergency. As
much competition as is practicable shall be obtained.
e) Filing with the Auditor General
The Chief
Procurement Officer shall file an emergency statement with the Auditor General
within 10 days after the contract is awarded setting forth the amount expended,
the name of the contractor involved, and the conditions and circumstances
requiring the emergency procurement. When only an estimate of the cost is
available, the estimate should be provided in the emergency statement and the
actual cost must be reported immediately after it is determined.
f) Determination, Record and Publication of Emergency
Procurements
1) Determination. The Chief Procurement Officer shall make a
written determination stating the basis for an emergency procurement and for
the selection of the particular vendor. Documentation of efforts to obtain
competition shall be made part of the procurement file. These determinations
shall be kept in the contract file.
2) Record. A record of each emergency procurement must be made
no later than 5 calendar days after the contract is awarded and must include
the following information:
A) the vendor's name;
B) the amount and type of the contract (if only an estimate of the
amount is available immediately, the record must be supplemented with the final
amount once known);
C) a description of what the vendor will do or provide;
D) the reasons for using the emergency procurement method of
source selection;
3) Emergency Contract Award
A) For purposes of an emergency, an emergency contract is awarded
on the earliest of the date that:
i) the Treasurer's office communicates to a vendor to start work;
ii) publication is made on the Treasurer's website identifying
the selected vendor; or
iii) the contract is signed by both parties.
B) Documentation of the contract award date shall be part of the
procurement file.
4) The written determination and the record of the emergency
procurement must be made part of the procurement file and must be published as
provided in Section 1400.1505 no later than 5 calendar days after the contract
is awarded.
5) Provided it contains all information and is published as
required by this subsection (f), the emergency statement may be used to meet
the requirements of this subsection.
g) Duration of Emergency Contract
1) The
term of the emergency contract shall be limited to the time reasonably needed
for a competitive procurement, not to exceed 90 days.
2) An
emergency contract may be extended beyond 90 days if the Chief Procurement
Officer determines additional time is necessary and the contract scope and
duration are limited to the emergency. Prior to execution of the extension, a
public hearing shall be held at which any person may present testimony.
3) Notice
of Extension
Notice of intent to extend an
emergency contract shall be published on the Treasurer's website no later than
14 days prior to a public hearing. Notice shall include at least a description
of the need for the emergency extension, the contractor, and the date, time and
location of the public hearing.
4) Hearing
Procedure
Provided members of the public are
allowed to present testimony and notice is provided as required in this
subsection (g), the hearing need not comply with all requirements of 74 Ill.
Adm. Code 730.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2035 PROCUREMENT OF PROFESSIONAL AND ARTISTIC SERVICES
Section 1400.2035
Procurement of Professional and Artistic Services
a) The provisions of this Section apply to the procurement of
professional and artistic services with the exception of the following:
1) sole source procurements;
2) emergency procurements;
3) any procurement of professional and artistic services less
than the small purchase threshold then in effect pursuant to Section
1400.2020(a) for a nonrenewable term of less than one year made as a small
purchase; and
4) architect, engineering and land surveying services procured
pursuant to the procedures of the Architectural, Engineering, and Land Surveying
Qualifications Based Selection Act [30 ILCS 535].
b) Written Determinations Required Prior to Request for Proposals
Prior to
announcing the need for professional or artistic services, the Chief
Procurement Officer shall make a written determination that explains the nature
of the services and how the Chief Procurement Officer reached the determination
that the services are professional or artistic. The written determination must
be made part of the procurement file.
c) Professional and artistic services shall be procured using a Request
for Proposals.
1) Contents. The RFP must be drafted or approved by the Chief
Procurement Officer and must contain at least the following information:
A) the type and scope of services required;
B) a date by which proposals for the performance of the services
must be submitted;
C) the type of information and data required of each offeror;
D) how the price should be presented;
E) the factors to be used in the evaluation and selection process
and their relative importance (all evaluation factors stated will be considered
equally unless otherwise indicated in the RFP); and
F) when practicable, a draft contract with a notice to the
vendors that by submitting a response they are consenting to the terms and
conditions of the draft agreement and agree to be bound by a final agreement
that is substantially similar to the draft.
2) Evaluation. Proposals must be evaluated only on the basis of
evaluation factors stated in the Request for Proposals. The relative
importance of the evaluation factors will vary according to the type of services
being procured. Factors may include:
A) the plan for performing the required services;
B) ability to perform the services as reflected by technical
training and education, general experience, specific experience in providing
the required services, and the qualifications and abilities of personnel
proposed to be assigned to perform the services;
C) the personnel, equipment, and facilities to perform the
services currently available or demonstrated to be made available at the time
of contracting; and
D) a record of past performance of similar work.
3) Publication and Filing. The Request for Proposal must be
published as provided in Section 1400.1505 and must be made part of the
procurement file.
d) Bidders' Conferences
Bidders'
conferences may be conducted to enhance understanding of the procurement
requirements. The conference may be designated as attendance mandatory or
attendance optional. The conference should be held long enough after the
Request for Proposals has been issued to allow proposers to become familiar
with it, but sufficiently before the opening of proposals to allow
consideration of the conference results in preparing their proposals. Any
questions posed in a bidders' conference shall be subsequently submitted in
writing and, along with the answers, shall be published on the Treasurer's Web
Site as provided in Section 1400.1505. Nothing stated in the bidders'
conference changes the Request for Proposals unless a change is made by written
amendment to the Request for Proposals. The Chief Procurement Officer shall
cause a listing of all attendees at a bidders' conference to be prepared and
made a part of the procurement file.
e) Amendments to Requests for Proposals
1) Form. Amendments to Requests for Proposals must be published
as provided in Section 1400.1505 and must be made part of the procurement file.
2) Distribution. Amendments must be sent to all prospective
proposers known to have received a Request for Proposal.
3) Timeliness. Amendments must be published within a reasonable
time to allow prospective bidders to consider them in preparing their bids. If
necessary, the Chief Procurement Officer may extend the response time by
amending the RFP as provided for in this subsection (e)(3).
f) Receipt and Handling of Proposals
Proposals and
modifications must be sent to the Chief Procurement Officer where they must be recorded
upon receipt, but not opened, and held in a secure place until the established
due date and time, at which time they will be opened by the Chief Procurement
Officer. Proposals must not be opened publicly nor disclosed to unauthorized
persons and must be opened in the presence of at least one witness. A record
of proposals that includes the following must be established for all proposals:
the name of each offeror, the number of modifications received, if any, and a
description sufficient to identify the services offered. The record of
proposals must be open to public inspection only after award of the contract
and must be made part of the procurement file at that time.
g) Discussions
1) Discussions Permissible. The Chief Procurement Officer shall
evaluate all proposals submitted and may conduct discussions with any
proposer. The purposes of the discussions are to:
A) determine in greater detail the proposer's qualifications; and
B) explore with the offeror the scope and nature of the required
services, the offeror's proposed method of performance, and the relative
utility of alternative methods of approach.
2) No Disclosure of Information. No information derived from
proposals submitted by an offeror may be disclosed to any other proposer.
3) Best and Final Offers. The Chief Procurement Officer may
request best and final offers with a common date and time for submission of the
proposals. The Chief Procurement Officer may conduct additional discussions or
change the specifications or other contract requirements and require another
submission of best and final proposals. If a proposer does not submit either a
notice of withdrawal or another best and final offer, the proposer's immediate
previous proposal will be construed as its best and final proposal.
h) Negotiation and Award of Contract
1) General. The Chief Procurement Officer, in conjunction with
the Chief Legal Counsel or designee, shall negotiate a contract with the best
qualified proposer, based on the evaluation factors in the request for
proposals, for the required services at compensation determined in writing to
be fair and reasonable.
2) Successful Negotiation of Contract with Best-Qualified
Proposer. If compensation, contract requirements, and contract documents can be
agreed upon with the best-qualified proposer, the contract must be awarded to
that proposer, unless the procurement is cancelled.
3) Failure to Negotiate Contract with Best-Qualified Offeror
A) If compensation, contract requirements, or contract documents
cannot be agreed upon with the best qualified proposer, a written record
stating the reasons must be made part of the procurement file and the Chief
Procurement Officer shall advise that proposer of the termination of
negotiations.
B) Upon failure to negotiate a contract with the best-qualified
offeror, the Chief Procurement Officer may enter into negotiations with the
next most qualified offeror.
4) Evaluation
of Pricing Data
Pricing submitted for all
acceptable proposals timely submitted shall be opened and ranked.
A) If the
low price is submitted by the most qualified vendor, the CPO may award to that
vendor.
B) If the
price of the most qualified vendor is not low and if it does not exceed $100,000,
the CPO may award to that vendor.
C) If the price of the best qualified vendor exceeds $100,000, the
CPO must state why a vendor other than the low priced vendor was selected and
that determination shall be published as provided in Section 1400.1505 and must
be made part of the procurement file.
5) Notice of Award. Written notice of award must be promptly
provided to the successful offeror, published as provided in Section 1400.1505
and made a part of the procurement file. The notice must provide, at a
minimum, the following:
A) the name of the Chief Procurement Officer;
B) the successful vendor;
C) the type of services to be provided; and
D) the amount of the contract, which may be an amount
not-to-exceed, along with any applicable rates.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2040 PROCUREMENT OF REAL PROPERTY LEASES
Section 1400.2040
Procurement of Real Property Leases
a) Applicability
This Section
applies to all leases for real property, including office and storage space,
buildings and other facilities for the Treasurer's office, with the exception
of the following:
1) property of less than 10,000 square feet;
2) rent of less than $100,000 per year;
3) nonrenewable leases with a duration of less than one year;
4) specialized space available at only one location;
5) renewal or extension of any existing lease so long as the term
of the lease, including the renewal or extension, does not exceed 10 years; or
6) leases with other governmental units when deemed by the Chief
Procurement Officer to be in the best interest of the Treasurer's office.
b) Request for Information – Real Property Leases
Except as
otherwise provided in this Section, all contracts for leases of real property
must be awarded by the following Request for Information-Real Property Leases
process. The RFI-Real Property Leases must include the following:
1) the type of property to be leased;
2) the proposed uses of the property;
3) the duration of the lease;
4) the preferred location of the property; and
5) a general description of the configuration desired.
c) Publication of Notice
Notice of the
Request for Information must be published as provided in Section 1400.1505 and
must also be published in a newspaper of general circulation in the community
or communities where the Treasurer's office is seeking space.
d) Evaluation of Responses
The evaluation
must be based on price and the ability of the respondent to meet the criteria
in the Request for Information.
e) Negotiations with Individual Offerors
1) For the purpose of conducting negotiations, proposals must be
initially classified as:
A) acceptable;
B) potentially acceptable; or
C) unacceptable, in which case the Chief Procurement Officer shall
record in writing the basis for finding an offer unacceptable and make it part
of the procurement file.
2) Negotiations will be entered into with respondents who are
classified as acceptable or potentially acceptable for the purpose of securing
a lease that is in the best interest of the State.
3) A written determination of the acceptability of each
respondent and a report of the negotiations will be retained in the procurement
file and will include the reasons for the final selection.
f) Award
The lease will
be awarded to the respondent that the Chief Procurement Officer deems to be
most capable of meeting the needs of the Treasurer's office. The notice of
award must be promptly provided to the successful respondent and must be
published as provided in Section 1400.1505. When the lowest proposer by price
is not selected, the Chief Procurement Officer shall issue a written
explanation for the selection of another proposer. The written explanation
must also be published as provided in Section 1400.1505.
g) Lease Agreements
1) All leases must be in writing and approved by the Chief Legal
Counsel.
2) Length of Leases
A) Term. All leases must be for a term that does not exceed 10
years and must include a termination option in favor of the Treasurer's office
after five years.
B) Renewal. Leases may include a renewal option if the leases and
any renewals do not exceed a 10-year term.
h) Purchase Option
Initial leases
of all space in entire, free-standing buildings must include an option to
purchase exercisable by the State, unless the Chief Procurement Officer
determines that inclusion of a purchase option is not in the State's best
interest.
i) Rent Without Occupancy
Except when
deemed by the Procurement Review Board to be in the best interest of the State,
the Treasurer's office may not incur rental obligations before occupying the
space rented.
j) Local Site Preference
The Chief
Procurement Officer may, in his or her discretion, give leasing preferences to
sites located in enterprise zones, tax increment financing districts or
redevelopment districts.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2045 OTHER METHODS OF SOURCE SELECTION
Section 1400.2045 Other
Methods of Source Selection
a) State and Federal Warehouses
Prior to any
equipment procurement, the Treasurer's office should consider property
available from the State and Federal Surplus Warehouses that are under the
jurisdiction of CMS.
b) State Agencies and Other Governmental Units
Various goods
and services are available from State agencies and other governmental units.
These may be procured without notice and competition.
c) Auction
Purchases may
be made at an auction in accordance with the procedural requirements applicable
to the particular auction. Notice and competition is not required and the
amount payable will be the amount bid and accepted plus any required buyer's
premium.
d) Donations
With approval
of the Chief Procurement Officer, if the Treasurer's office receives a donation
that provides the majority of the funding for a particular project, it may
follow any procurement or contracting requirements established as a condition
of the donation, but must follow this Part whenever practicable.
e) Broker Method for
Obtaining Certain Insurance Coverages
1) Notwithstanding
anything to the contrary in this Part, the Chief Procurement Officer, may, on a
case-by-case basis, use this broker method to obtain insurance coverages when use
of the methods of source selection set forth in Article 20 of the Code is not
practicable or advantageous because, for example:
A) Due to
the structure of the insurance industry, the types of insurance coverages
needed cannot reasonably be obtained from "direct writers" who would
provide quotes directly to the Treasurer's office in a bid or RFP process; or
B) The
process of obtaining quotes for needed insurance coverages cannot be
accomplished within the normal procurement timeframes.
2) If
the Chief Procurement Officer determines that this broker method is preferable
for designated coverages, a two-part procurement process will be used to obtain
the coverages.
A) A
broker will be selected in accordance with the RFP process authorized by
Section 20-15 of the Code, and the resulting contract will be subject to all
requirements of the Code. The broker contract will be issued for a term of
years, and during the term of the contract the broker will assist the State
agency in obtaining coverages as set forth in subsection (e)(2)(B) as well as
providing customary services such as issuing certificates of insurance and
servicing policies.
B) The
broker will assist the Treasurer's office by serving as broker of record in
obtaining insurance coverages through the industry process of going to market
to obtain quotes. The Treasurer's office will use an evaluation team to test
the market for competitiveness, review the quotes, and select the insurers and
products best fitting its needs. The solicitation, evaluation and selection
process will be documented in writing and become a part of the public
procurement file. The insurance coverages obtained, the term of coverage, and
the premiums charged will be posted as attachments to the broker award notice.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
SUBPART E: GENERAL PROCUREMENT GUIDELINES
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2505 GENERAL PROVISIONS
Section 1400.2505 General
Provisions
a) Late Bids, Proposals, Responses, Withdrawals and Modifications
1) Definition. Any bid, proposal or response received after the
time, date and place set for receipt is late. Any withdrawal or modification
of a bid, proposal or response received after the time and date set for opening
of bids, proposals or responses at the place designated for opening is late.
2) Treatment. No late bid, proposal or response, modification or
withdrawal will be considered unless it is received before contract award, and
the bid, proposal, response, modification or withdrawal would have been timely
but for the action or inaction of Treasurer's office personnel.
3) Records. Records must be made and kept for each late bid
proposal, response, modification, or withdrawal.
4) Any other submission that has a time or date deadline must be
treated in the same manner as a late bid, proposal or response.
b) Extension of Time
1) The Chief Procurement Officer may extend the date or time for
submitting a bid, proposal, response, modification or withdrawal prior to the opening
of bids, proposals, responses, modifications or withdrawals for the convenience
of the Treasurer's office.
2) After opening bids, proposals, or responses the Chief
Procurement Officer may request that the offerors extend the time during which
the State may accept their bids, proposals or responses if, with regard to
bids, no other change is permitted. The reasons for requesting the extension
must be documented.
c) Electronic Submissions
1) The Invitation for Bids, Request for Proposals, or Request for
Information may state that electronic submissions will be considered if they
are received at the designated office by the time and date set for receipt. Any
required attachments will be submitted as stated in the Invitation for Bids,
Request for Proposals or Request for Information.
2) Electronic submissions will be opened in accordance with
electronic security measures in effect at the time of opening. Unless the
electronic submission procedures provide for a secure receipt, the vendors
assume the risk of premature disclosure due to submission in unsealed form.
d) Intent to Submit
The Invitation
for Bids, Request for Proposals or Request for Information may require that
vendors submit, by a certain time and date, a notice of their intent to submit
a bid, proposal or response. Bids, proposals and responses submitted without
complying with the notice of intent requirement will be rejected.
e) Only One Bid, Proposal or Response Received
If only one
responsive bid, proposal or response is received, an award may be made to the
single offeror if the Chief Procurement Officer finds that the proposal and price
submitted is fair and reasonable, and that either other prospective offerors
had a reasonable opportunity to respond or there is not adequate time for
resolicitation. Otherwise:
1) new bids, proposals or responses may be solicited;
2) the procurement may be cancelled; or
3) if the Chief Procurement Officer determines in writing that
the need for the supply or service continues, but that, after attempting to
negotiate a better price, the one offer is not fair and reasonable and there is
no time for resolicitation, the vendor is not responsible, or resolicitation
would likely be futile, the procurement may be conducted with any vendor as a
sole source procurement under Section 1400.2025 or as an emergency procurement
under Section 1400.2030, as appropriate.
f) Unsolicited Offers
1) Defined. An unsolicited offer is any offer other than one
submitted in response to a solicitation.
2) Conditions for Consideration. An unsolicited offer must be in
writing and must be sufficiently detailed to allow a judgment to be made
concerning the potential utility of the offer to the State.
3) Evaluation. The unsolicited offer will be evaluated to
determine its utility to the State and whether it would be to the State's
advantage to enter into a contract based on the offer. An unsolicited offer
that meets the requirements of subsection (f)(2) may be considered for award if
the procurement also meets the requirements of Section 1400.2020 for small
purchases or Section 1400.2025 for sole source procurements, in which case
those procedures must be followed as applicable.
4) Confidentiality. Any request for confidentiality of data
contained in an unsolicited offer must be made in writing. If an award is
made, confidentiality of data must be agreed upon by the parties and governed
by the provisions of the contract. If agreement cannot be reached on
confidentiality, the Chief Procurement Officer shall reject the unsolicited
offer.
g) Clarification of Bids, Proposals and Responses
The Chief
Procurement Officer may request that a vendor clarify its bid, proposal or
response as a part of the evaluation process. A vendor is not allowed to
change its bid, proposal or response in response to a request for clarification
without the written approval of the Chief Procurement Officer.
h) Extension of Time on Indefinite Quantity Contracts
The time of performance
of an indefinite quantity contract may be extended upon agreement of the
parties, provided the extension is for 90 days or less and the Chief
Procurement Officer determines in writing that it is not practicable to award
another contract at the time of the extension.
i) Increase in Quantity on Definite Quantity Contracts
The quantity
that may be ordered from a definite quantity contract may be increased by up to
20% provided the Chief Procurement Officer determines that separate procurement
of the additional quantity is not likely to achieve lower pricing. The
quantity may be increased by any percentage provided the dollar value of the
increase does not exceed the small purchase threshold applicable to the type of
good or service.
j) Novation or Change of Name
1) Assignment. No State contract is transferable, or otherwise
assignable, without the written consent of the Chief Procurement Officer, but a
vendor may assign monies receivable under a contract after due notice to the
State. Assignment may require the execution of a contract with the assignee
that meets all requirements for contracting with the State.
2) Recognition of a Successor in Interest; Novation. When in the
best interest of the State, a successor in interest may be recognized in a
novation agreement in which the transferor and the transferee must agree that:
A) the transferee assumes all of the transferor's obligations;
B) the transferee meets all requirements for contracting with the
State;
C) the transferor waives all rights under the contract as against
the State; and
D) unless the transferor guarantees performance of the contract by
the transferee, the transferee shall, if required by the State, furnish a
satisfactory performance bond.
3) Change of Name. When a vendor requests to change the name in
which it holds a contract with the State, the Chief Procurement Officer shall,
upon receipt of a document indicating the change of name, enter into an
agreement with the requesting vendor to effect the change of name. The
agreement changing the name must specifically indicate that no other terms and
conditions of the contract are changed.
k) Contracting for Installment Purchase Payments, Including
Interest
Contracts may
provide for installment purchase payments, including interest charges, over a
period of time. The interest rate shall not exceed that established by law.
l) Information
Exempt from Disclosure under FOIA
1) Vendors
must clearly identify in writing any information submitted to the Treasurer's
office claimed to be exempt from the disclosure requirement of the Illinois
Freedom of Information Act (FOIA) [5 ILCS 140] and must identify the basis of
the claimed exemption and show how that basis applies to the request for
exemption. Information submitted without a claim of exemption may be disclosed
to the public without notice or permission. Information submitted with a
claimed exemption may still be disclosed to the public if determined by the
Treasurer's office, or other appropriate party, that the claimed exemption does
not meet the requirements for withholding the information under FOIA. The
Treasurer's office may, in its discretion, attempt to provide to the vendor
reasonable notice and opportunity to object prior to disclosure of any material
claimed by the vendor to be exempt from FOIA.
2) The
CPO may request that bidders, offerors and other respondents provide an additional
copy of their bid, offer or response that omits or redacts information claimed
to be exempt under FOIA. This copy may be used to respond to FOIA requests for
a copy of the respective bid, offer or response.
3) To
the extent that these public records are exempt under Section 7 of FOIA, and
only until an award or final selection is made, proposals and bids for any
contract, grant, or agreement, including information which if it were disclosed
would frustrate procurement or give an advantage to any person proposing to
enter into a contractor agreement with the Treasurer along with information
prepared by or for the Treasurer in preparation of a bid solicitation shall
be available only to persons necessary to the procurement process. [5 ILCS
140/7(h)] Subsequent to an award or final selection such public records shall
be made available for inspection or copying upon request to the extent required
by FOIA.
m) Bidder
or Offeror Authorized to Transact Business or Conduct Affairs or Do Business in
Illinois
In addition to
meeting any other requirement of law or rule, a person (other than an
individual acting as a sole proprietor) may qualify as a bidder or offeror
under this Part only if the person is a legal entity prior to submitting the
bid, offer, or proposal. The legal entity must be authorized to transact
business or conduct affairs in Illinois prior to execution of the contract.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2510 TIE BIDS AND PROPOSALS
Section 1400.2510 Tie Bids
and Proposals
a) Tie bids and proposals are those from responsive and
responsible vendors that are identical in price or terms of the proposal.
b) Tie bids and proposals are treated as follows:
1) If the tied vendors include an Illinois resident vendor and a nonresident
vendor, the Illinois resident vendor will be given the award if all the
conditions for a resident vendor preference in Section 1400.4510 are met.
"Illinois resident vendor" has the meaning given in Section
1400.4510. In all other situations, the decision is made in accordance with
subsections (b)(2) through (b)(5).
2) If there is a significant difference in responsibility
(including ability to provide the service or deliver in the quantity and at the
time required), the award is made to the vendor who is deemed to be the most
responsible. A vendor who has had experience in contracting with the State may
be given additional consideration in determining responsibility if the Chief
Procurement Officer determines that dealing with a vendor that has knowledge of
State requirements, contracts, job sites, payment practices and other similar
factors, and with which there has been favorable past experience, increases the
likelihood of successful performance.
3) If there is no significant difference in responsibility, but
there is a difference in the quality of the goods or services offered, the
vendor offering the best quality is accepted.
4) If there is no significant difference in responsibility and no
difference in quality of the goods or services offered, the vendor offering the
earliest delivery time is accepted in any case in which the solicitation
specified that the needs of the Treasurer's office require as early delivery as
possible.
5) If the bids or proposals are equal in every respect, the award
is made by lot unless the Chief Procurement Officer determines that splitting
the award among two or more of the tied bidders or proposers is in the best
interest of the State. Awards may be split if all affected bidders or
proposers agree, if splitting is feasible given the type of good or service
requested, if overall pricing would not increase, if delivery would be better
ensured, or if necessary or desirable to promote future competition.
c) Record
1) Records must be made of all procurements on which tie bids or
proposals are received and must be published as provided in Section 1400.1505,
showing at least the following information:
A) the identification number of the solicitation;
B) the good or service; and
C) a listing of all the bidders or proposers and the prices
submitted.
2) The records must be made part of the procurement file.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2515 CORRECTION OR WITHDRAWAL OF PROPOSALS
Section 1400.2515 Correction
or Withdrawal of Proposals
a) General
Corrections to
bids, proposals or responses are allowed, but only to the extent correction is
not prejudicial to the interest of the State or fair competition as determined
by the Chief Procurement Officer. Withdrawals of proposals are allowed as
provided in this Section.
b) Mistakes Discovered Before Opening
A vendor may
correct mistakes discovered before the time and date set for opening by
withdrawing or correcting as provided in this Section.
c) Confirmation of Mistake
When the Chief
Procurement Officer knows or has reason to conclude that a mistake has been
made, the officer should request the vendor to confirm the information.
Situations in which confirmation should be requested include obvious or
apparent errors on the face of the document or a price unreasonably lower than
the others submitted. If the vendor alleges a mistake in the bid, proposal or
response, it may be corrected or withdrawn if the conditions in this Section,
as applicable, are met.
d) Mistakes Discovered After Opening but Before Award
1) Minor Mistakes. A minor mistake is one that is a matter of
form or pertains to some immaterial or inconsequential defect or variation of a
bid, proposal or response from the exact requirement of the solicitation, the
correction or waiver of which would not be prejudicial to the State. The Chief
Procurement Officer shall waive minor mistakes or allow the offeror to correct
them depending on which is in the best interest of the State. Minor mistakes
include insignificant mistakes where the effect on price, quantity, quality,
delivery or contractual conditions is negligible. Examples of minor mistakes as
to form include the failure of an offeror to:
A) return the number of signed bids, proposals or responses
required by the solicitation;
B) sign the bid, proposal or response, but only if the unsigned
bid, proposal or response is accompanied by other material indicating the
offeror's intent to be bound, including but not limited to signature on an
auxiliary form, submission of a guarantee or submission of a signed transmittal
letter; or
C) acknowledge receipt of an amendment to the solicitation, but
only if:
i) it is clear from the bid, proposal or response that the
offeror received the amendment and intended to be bound by its terms; or
ii) the amendment involved had a negligible effect on price,
quantity, quality or delivery.
2) Corrections of Mistakes. If discussions are not held or if
the best and final offers upon which award will be made have been received,
mistakes may be corrected and the intended correct offer considered only if:
A) the mistake and the intended correct offer are clearly evident
on the face of the bid, proposal or response, in which event the offer may not
be withdrawn; or
B) the mistake is not clearly evident on the face of the bid,
proposal or response, but the offeror submits adequate proof that clearly and
convincingly demonstrates both the existence of a mistake and the intended
correct offer, and that correcting the mistake would not be contrary to the
fair and equal treatment of other offerors.
3) Withdrawal of Bids, Proposals or Responses. If discussions
are not held, or if the best and final offers upon which award will be made
have been received, the offeror may be permitted to withdraw the bid, proposal
or response if:
A) the mistake is clearly evident on the face of the proposal and
the intended correct offer is not;
B) the offeror submits proof of evidentiary value that clearly and
convincingly demonstrates that a mistake was made but does not demonstrate the
intended correct offer; or
C) the offeror submits adequate proof that clearly and
convincingly demonstrates the intended offer, but to allow corrections would be
contrary to the fair and equal treatment of other offerors.
e) Determinations Required
When a
proposal is corrected or withdrawn, or correction or withdrawal is denied, the
Chief Procurement Officer shall prepare a written determination documenting
that relief was granted or denied in accordance with this Part. The requirement
of this subsection to prepare a written determination shall not apply to
"minor mistakes" as defined in subsection (d)(1).
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2520 CANCELLATION OF SOLICITATIONS AND REJECTION OF OFFERS
Section 1400.2520
Cancellation of Solicitations and Rejection of Offers
a) Policy
Any
solicitation may be cancelled without penalty, and any or all bids, proposals
or responses may be rejected in whole or in part, when the Chief Procurement
Officer determines in writing that cancellation is in the State's best
interest.
b) Notice, Publication and Documentation
When a
solicitation is cancelled or the offers are rejected, notice of the
cancellation or rejection will be promptly provided to all affected vendors,
published as provided in Section 1400.1505, and made part of the procurement
file.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.2525 MULTIPLE AWARDS
Section 1400.2525 Multiple
Awards
a) Policy
When
determined by the Chief Procurement Officer to be in the best interest of the
State, the Treasurer's office may make multiple awards under any solicitation.
b) Specific Goods and Services Following Multiple Awards
Subject to this
subsection, specific goods and services may be purchased following multiple
awards:
1) When
the solicitation identified the specific good or service sought but led to
multiple awardees, the specific good or service may be procured from the lowest
bidder or best qualified proposer with whom relevant terms can be successfully
negotiated.
2) When the solicitation did not list the specific good or
service sought but led to multiple awards to vendors similarly qualified to
provide the good or service, the specific good or service may be purchased from
one of the multiple awardees; provided, however, that for the purchase of that
good or service:
A) the
Chief Procurement Officer shall maximize competition among the multiple
awardees;
B) the
determination shall allow for additional competition when the original
solicitation produced insufficient information on the awardees' pricing for, or
abilities to provide, the specific good or service sought; and
C) following
any such competition, the Chief Procurement Officer shall award to the lowest
bidder or best qualified proposer with whom relevant terms can be successfully
negotiated.
(Source: Added at 43 Ill. Reg. 2275,
effective January 31, 2019)
SUBPART F: SPECIFICATIONS AND SECURITY REQUIREMENTS
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.3005 SPECIFICATIONS
Section 1400.3005
Specifications
a) The Chief Procurement Officer shall write or authorize the
writing of all specifications.
b) Specifications Prepared by Other Than State Personnel
1) Specifications may be prepared by other than Treasurer's
office personnel, including, but not limited to, consultants, architects,
engineers, designers and other drafters of specifications for public
contracts. Contracts for the preparation of specifications by other than State
personnel must require the specification writer to adhere to State
requirements.
2) The person who prepared the specifications may not submit a
bid or proposal to meet the procurement need unless the Chief Procurement
Officer determines in writing that it would be in the best interest to accept a
bid or proposal from that person and a notice to that effect is published as
provided in Section 1400.1505.
3) Non-Prohibited Acts
This Section
does not prohibit a person or business from submitting a bid or proposal or
entering into a contract if the person or business:
A) Initiated
a communication with an employee of the State to provide general information
about industry trends and innovations, products, services or industry best practices.
B) Responded
to a communication initiated by an employee of the State for the purposes of
providing information to evaluate new products, services or technologies.
C) Received
or possessed written material obtained from a State employee from public
sources, such as through an internet search, or literature packets obtained in
conjunction with an event such as a trade show.
D) Provided,
at the request of the State, general marketing material or makes a general
sales presentation to show the person's qualifications or product
capabilities. Material may be personalized for the procuring agency provided
any personalization is obtained from publicly available sources.
E) Provided
technology supplies or services demonstrated to the State that represent
industry trends and innovation and is not specifically tailored to meet the
State's needs.
4) Prohibited
Acts
A) Specifications.
A person or business may not submit specifications to the Treasurer's office
unless requested to by a State employee. With the exception of standard
specifications that a vendor makes available to any potential purchaser, the
Chief Procurement Officer or his or her designee must approve a Treasurer's
office employee's request for specifications for a particular transaction.
B) Assistance
to State Employees. A person or business is prohibited from bidding on a
solicitation and from having a contract or subcontract if the person or
business assisted a Treasurer's office employee who, by the nature of his or
her duties, has the authority to participate personally and substantially in
the decision to award a State contract. Assistance to a Treasurer's office
employee may include any of the following:
i) Draft
(writes or assists the State with writing all or part of the procurement
document);
ii) Review
(reads the document or comments on the procurement document or signified
approval or disapproval);
iii) Direct
(any activity relating to giving instructions or commands or in supervising or
overseeing the preparation of the procurement document);
iv) Prepare
(any activity relating to organizing or distributing the documents, including
through the Treasurer's website); or
v) Provides
similar assistance, e.g., conducting research or providing any advice used in
drafting, reviewing, directing or preparing procurement documents.
C) A
person (and its affiliated or related entities) that contracts with the
Treasurer's office to write specifications for a particular procurement may not
submit a bid or proposal or receive a contract or subcontract for that
procurement.
5) Exceptions.
Any person or business who responds to an advertised request for information or
other publicly available opportunity to provide information related to the
procurement need or to review drafts of all or part of proposed procurement
documents shall not be disqualified by virtue of responding to the State's publicly
advertised request.
c) Procedures for the Development of Specifications
1) All procurements must be based on specifications that
accurately reflect the State's needs. Specifications must clearly and
precisely describe the salient technical or performance requirements.
2) Specifications must not include restrictions that do not
significantly affect the technical requirements or performance requirements, or
other legitimate State needs. All specifications must be written in a manner
that describes the requirements to be met, without having the effect of
exclusively requiring a proprietary supply or service, or procurement from a
sole source, unless no other manner of description will suffice.
3) Any specifications or standards adopted by business, industry,
a not-for-profit organization or governmental unit may be adopted by reference.
4) A specification may provide alternate descriptions when two or
more design, functional or performance criteria will satisfactorily meet the
State's requirements.
d) Brand Name or Equal Specification
1) Brand name or equal specifications may be used when the Chief
Procurement Officer determines in writing that:
A) time does not permit the preparation of another form of
specification, not including a brand name specification;
B) the nature of the product or the nature of the requirement
makes use of a brand name or equal specification suitable for the procurement;
or
C) use of a brand name or equal specification is in the State's
best interest.
2) Brand name or equal specifications must seek to designate more
than one brand as "or equal", and must further state that
substantially equivalent products to those designated will be considered for
award.
3) Required Characteristics. Unless the Chief Procurement
Officer determines that the essential characteristics of the brand names
included in the specifications are commonly known in the industry or trade,
brand name or equal specifications must include a description of the particular
design, functional or performance characteristics that are required.
4) Nonrestrictive Use of Brand Name or Equal Specifications.
When a brand name or equal specification is used in a solicitation, the
solicitation must contain explanatory language that the use of a brand name is
for the purpose of describing the standard of quality, performance and
characteristics desired and is not intended to limit or restrict competition.
"Or equal" submissions will not be rejected because of minor
differences in design, construction or features that do not affect the suitability
of the product for its intended use. The burden of proof that a product is
equal is on the offeror.
e) Brand Name Only Specification
1) Use. A brand name only specification may be used only when
the Chief Procurement Officer makes a written determination that is made part
of the procurement file that only the identified brand name item or items will
satisfy the State's needs. Brand name alone may be specified in order to
ensure compatibility in existing systems, to preserve warranty, to ensure
maintenance, or as authorized in writing by the Chief Procurement Officer. The
Chief Procurement Officer may, pursuant to an authorized competitive procedure,
select a particular vendor to provide supplies or services for a specified
period of time. For that period, the supplier of additional, related and
updated supplies and services may be limited to the selected vendor or the
brand initially selected.
2) Competition. The Chief Procurement Officer shall seek to
identify sources from which the designated brand name item or items can be
obtained and shall solicit those sources to achieve whatever degree of
competition is practicable. If only one source can supply the requirement, the
procurement must be made as a sole source procurement.
3) Small and Emergency Procurements. Brand name only
specifications may be used when procuring items under Sections 1400.2020 (small
purchases) and 1400.2030 (emergency procurements).
f) Pre-Solicitation Request for Information
When the Chief
Procurement Officer does not have sufficient information about available
supplies or services to issue a solicitation, the officer may issue a
pre-solicitation request for information inviting vendors to submit non-price
information about the availability of specified types of supplies and
services. Vendors may be provided an opportunity to comment on the RFI itself
and make suggestions as to the scope and information being requested that would
facilitate the best possible responses from the vendor community. Public
notice of the pre-solicitation request for information shall be published at
least 14 days before the date set for the receipt of information. The
submission of information by a vendor in response to a pre-solicitation request
for information is not a prerequisite for that vendor to respond to a
subsequent solicitation for the types of supplies and services for which
information was solicited, and the issuance of a pre-solicitation request for
information does not commit the Treasurer's office to make any procurement of
supplies or services of any kind. The Treasurer's office may, consistent with
Section 1400.2505(l), require that vendors responding to the RFI clearly
identify any confidential information and may require vendors submit an additional
copy of their bid, offer or response that omits or redacts information claimed
to be exempt under FOIA. All other information received through a
pre-solicitation request for information will be available for public review.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.3010 SECURITY REQUIREMENTS
Section 1400.3010 Security
Requirements
a) The Chief Procurement Officer may require that a vendor
furnish bid, proposal, or performance security on any contract.
b) Security, unless otherwise specified, may be in the form of
cashier's check, certified check, money order, irrevocable letter of credit, or
bond. Any bond must be issued by a surety company authorized to do business in
the State of Illinois.
c) Unless the amount is set by law, the Chief Procurement Officer
shall determine the amount, in dollars or percentage of contract price, that adequately
protects the State's interests.
d) A vendor may be required to furnish up to 100% performance
security at any time during contract performance and at its cost, if it appears
that delivery or production schedules cannot be met, quality is poor,
responsibility is questioned and for other similar reasons.
e) The Treasurer's office may require a bid or proposal security
or a performance security on any contract.
f) A vendor may submit a single or continuous security each year
that will be applicable on all contracts of the Treasurer's office. When a
security is obligated in an amount equal to the sum of accumulated security
requirements, additional security must be submitted for any new contract
awarded.
g) Bid or proposal security will be returned to unsuccessful
vendors as soon after award as possible. The bid or proposal security of the
successful vendor will be returned after contracts have been signed and
performance security, if any, submitted. Performance security will be returned
upon full performance.
SUBPART G: CONTRACTS
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.3505 TYPES OF CONTRACTS
Section 1400.3505 Types of
Contracts
a) General
The Chief
Legal Counsel shall determine the general form of all contracts. Subject to the
limitations of this Section, the Chief Legal Counsel may use any type of
contract that promotes the best interest of the State.
b) Prohibitions and Limitation
Cost-plus-a-percentage-of-cost
contracts are prohibited. Cost-reimbursement contracts may only be used when
the Chief Procurement Officer makes a written determination that a
cost-reimbursement contract is likely to be less costly to the State than any
other type or that it is impracticable to obtain the item except under that
type of contract.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.3510 DURATION OF CONTRACTS
Section 1400.3510 Duration
of Contracts
a) General
1) A multi-year contract for a term up to 10 years is authorized
when it is in the best interest of the State.
2) A license agreement or other agreement may have a term longer
than 10 years, including a perpetual term, provided the payment term is limited
to no more than 10 years.
b) Each contract is contingent upon and subject to the
availability of funds. The Treasurer, at his or her sole option, may terminate
or suspend a contract, in whole or in part, without penalty or further payment
being required, if the Illinois General Assembly or the federal funding source
fails to make an appropriation sufficient to pay that obligation or if funds
needed are insufficient for any reason. Each contract payable in whole or in
part by any funds appropriated by the Illinois General Assembly shall recite
that the contract is subject to termination and cancellation for lack of, or
insufficiency in, funding. A vendor will be notified in writing by the Chief
Procurement Officer of a failure to receive or a reduction or decrease in any
appropriation affecting the contract. This provision applies to only those
contracts that are funded in whole or in part by funds appropriated by the
Illinois General Assembly or other governmental entity.
c) Conditions for Use of Multi-year Contracts
A multi-year
contract may be used when:
1) special production of definite quantities or the furnishing of
long-term services are required to meet State needs; or
2) it is determined by the Chief Procurement Officer that a
multi-year contract will serve the best interest of the State by encouraging
effective competition or otherwise promoting economies in State procurement.
The following factors must be considered by the Chief Procurement Officer
before making the determination:
A) firms that are not willing or able to compete because of high
start-up costs or capital investment in facility expansion and will be
encouraged to participate in the competition when they are assured of recouping
the costs during the period of contract performance;
B) lower production costs because of larger quantity of service
requirements, and substantial continuity of production or performance over a
longer period of time, can be expected to result in lower unit prices;
C) stabilization of the contractor's work force over a longer
period of time may promote economy and consistent quality; or
D) the cost and burden of contract solicitation, award, and
administration of the procurement may be reduced.
d) Multi-year Contract Procedure
The solicitation
must state:
1) the proposed term;
2) the amount of supplies or services required for the proposed
contract period;
3) whether offerors may submit prices for:
A) the first fiscal period only;
B) the entire time of performance only; or
C) both the first fiscal period and the entire time of
performance.
4) that a multi-year contract may be awarded and how award will
be determined.
e) Renewals
1) When the original procurement specifically called for an
initial term plus renewals, the renewals may be exercised without further
procurement activity, provided that both: the initial term and the exercised
renewals may not exceed 10 years and is by mutual agreement or the option is
reserved solely to the State.
2) When the original procurement was silent as to renewals, a
renewal without a new procurement must meet the requirements of Section
1400.2020 (small), 1400.2025 (sole source) or 1400.2030 (emergency)
procurements.
3) When a renewal will result in the total term, counting the initial
term and any previous renewals, to exceed 10 years, the renewal must be
procured using one of the methods of source selection authorized by this Part.
This renewal will start a new term that shall not exceed 10 years.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.3515 CONTRACT PRICING
Section 1400.3515 Contract
Pricing
Unless otherwise allowed by the
solicitation, prices quoted will be all-inclusive covering transportation,
transit insurance, delivery, installation, taxes, and any other costs.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.3520 CONTRACT PROVISIONS
Section 1400.3520 Contract
Provisions
a) Mandatory Provisions
The following
provisions are required for all contracts entered into by the Treasurer's
office, in addition to the requirements of State and federal law and the
regulations of the Office of the Comptroller:
1) Subcontractors. Any contract granted hereunder must state
whether the services of a subcontractor will be used. The contract must require
the disclosure in writing of the names and address of each subcontractor having
a subcontract with an annual value of more than $50,000, the general type of
work to be performed by each subcontractor, and the expected amount of money
each will receive under the contract. The contractor will be required to get
approval from the Chief Procurement Officer prior to adding or changing
subcontractors. A subcontractor, or contractor on behalf of a
subcontractor, may identify information that is deemed proprietary or
confidential. If the Chief Procurement Officer determines the information is
not relevant to the primary contract, the Chief Procurement Officer may excuse
the inclusion of the information. If the Chief Procurement Officer determines
the information is proprietary or could harm the business interest of the
subcontractor, the Chief Procurement Officer may, in his or her discretion,
redact the information. Redacted information shall not become part of the
public record. [30 ILCS 500/20-120(a)]
2) Subject to Appropriation. All leases must recite that they
are subject to termination and cancellation in any year for which the General
Assembly fails to make an appropriation to make payments under the terms of the
lease.
3) Right to Audit Books and Records
A) Maintenance of books and records. Every contract and
subcontract shall require the contractor or subcontractor, as applicable, to
maintain books and records relating to the performance of the contract or
subcontract and necessary to support amounts charged to the State under the
contract or subcontract. The books and records shall be maintained by the
contractor or subcontractor for a period of at least 3 years from the
later of the date of final payment under the contract or completion of the
contract or subcontract and thatperiod shall be extended for the duration of
any audit in progress at the time of that period's expiration. [30 ILCS
500/20-65(a)]
B) Audit. Every contract and subcontract shall provide that
all books and records required to be maintained under subsection (a) shall be
available for review and audit by the Auditor General and the Treasurer's
office. Every contract and subcontract shall require the contractor
and subcontractor, as applicable, to cooperate fully with any audit. [30
ILCS 500/20-65(b)]
b) Optional Provision
Any contract
entered into by the Treasurer's office under this Part may contain a clause
requiring that if more favorable terms are granted by the contractor to any
similar governmental agency in any state in a contemporaneous agreement let
under the same or similar financial terms and circumstances for comparable
supplies or services, the more favorable terms shall be applicable under the
contract. [30 ILCS 500/25-30]
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.3525 PREVAILING WAGE REQUIREMENTS
Section 1400.3525 Prevailing
Wage Requirements
a) Applicability
All services,
as defined in subsection (b), furnished under service contracts of $2,000 or
more or $200 or more per month and under printing contracts are subject to the
following prevailing wage requirements:
1) Not less than the general prevailing wage rate of hourly
wages for work of a similar character in the locality in which the work is
produced shall be paid by the successful vendor to its
employees who perform the work on the State contracts.
2) The offeror, in order to be considered to be a responsible
offeror for the purposes of this Part, shall certify to the
Treasurer's office that wages to be paid to its employees are no less, and
fringe benefits and working conditions of employees are not less favorable,
than those prevailing in the locality where the contract is to be performed.
3) Prevailing wages and working conditions shall be determined
by the Director of the Illinois Department of Labor. [30 ILCS 500/25-60]
b) As used in this Section, "services" means
janitorial cleaning services, window cleaning services, building and grounds
services, site technician services, natural resources services, food services,
and security services. "Printing" means and includes all processes
and operations involved in printing, including but not limited to letterpress,
offset, and gravure processes, the multilith method, photographic or other
duplicating process, the operations of composition, platemaking, presswork, and
binding, and the end products of those processes, methods, and operations. As
used in this Part "printing" does not include photocopiers
used in the course of normal business activities, photographic equipment used
for geographic mapping, or printed matter that is commonly available to the
general public from contractor inventory. [30 ILCS 500/25-60(b)]
c) For printing contracts, "locality" means one of the
following areas:
1) Cook County.
2) Boone, Bureau, Carroll, Champaign, DeKalb, DeWitt, DuPage,
Ford, Fulton, Grundy, Hancock, Henderson, Henry, Iroquois, Jo Daviess, Kane,
Kankakee, Kendall, Knox, Lake, LaSalle, Lee, Livingston, Logan, Marshall,
Mason, McDonough, McHenry, McLean, Mercer, Ogle, Peoria, Piatt, Putnam, Rock
Island, Schuyler, Stark, Stephenson, Tazewell, Vermilion, Warren, Whiteside,
Will, Winnebago, Woodford.
3) Adams, Alexander, Bond, Brown, Calhoun, Cass, Christian,
Clark, Clay, Clinton, Coles, Crawford, Cumberland, Douglas, Edgar, Edwards,
Effingham, Fayette, Franklin, Gallatin, Greene, Hamilton, Hardin, Jackson,
Jasper, Jefferson, Jersey, Johnson, Lawrence, Macon, Macoupin, Madison, Marion,
Massac, Menard, Monroe, Montgomery, Morgan, Moultrie, Perry, Pike, Pope,
Pulaski, Randolph, Richland, Saline, Sangamon, Scott, Shelby, St. Clair, Union,
Wabash, Washington, Wayne, White, Williamson.
4) When the printing is performed in a plant outside the
jurisdiction of this State, it is deemed produced in the Illinois locality in
which delivery of the printing ordered is required to be made. When the
printing is required to be delivered to more than one Illinois locality, it is
deemed produced in the Illinois locality to which the largest dollar volume of
printing under the contract is to be delivered.
d) For janitorial services, window washing, building and grounds
services, site technician services, natural resources services, and security
guard services, location means the county in which the work is to be performed.
e) This Section does not apply to services furnished under
contracts for professional or artistic services. [30 ILCS 500/25-60(e)]
f) This Section does not apply to vocational programs of
training for physically or mentally handicapped persons or to sheltered workshops
for the severely disabled. [30 ILCS 500/25-60(f)]
g) The Prevailing Wage Act [820 ILCS 130] shall apply to any
construction contract procured under this Part. It is the policy of the
Treasurer's office that a wage of no less than the general prevailing hourly
rate as paid for work of a similar character in the locality in which the work
is performed, shall be paid to all laborers, workers and mechanics employed by
or on behalf of the Treasurer's office. [820 ILCS 130/1] Construction
contracts shall include a provision notifying the vendor that the contract is
subject to the Prevailing Wage Act unless the provisions of that Act exempt its
application.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
SUBPART H: DISPUTES, PROTESTS AND CONTROVERSIES
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4005 DISPUTES AND PROTESTS REGARDING SOLICITATIONS AND AWARDS
Section 1400.4005 Disputes
and Protests Regarding Solicitations and Awards
a) Procedures
Any person may
submit a written protest related to the notice of the procurement, the
solicitation document, any pre-bid/proposal meeting and any decision to reject
a late bid or proposal. Any person who has submitted a bid or proposal may
submit a written protest to a decision to reject the person's bid or proposal
or to award to another person. In regard to the solicitation notice or
solicitation document, including specifications, a protest must be received
within 14 calendar days after the date the solicitation was posted to the
Treasurer's Web Site and must be received by the Chief Procurement Officer before
the date for opening bids or proposals. In regard to rejection of individual
bids or proposals or awards, the protest must be received by close of business
no later than 14 calendar days after the protesting party knows, or should have
known, of the facts giving rise to the protest to ensure consideration and, in
any event, must be received before execution of the applicable contract. Any
notice posted to the Treasurer's Web Site establishes the "known or should
have known" date for the subject matter of the notice. The protesting
party may be required to provide additional information to the Treasurer's
office in order to process the dispute or protest. If the Chief Procurement
Officer is unable to resolve the issue in a timely manner, then it will be
referred to the Procurement Review Board for a final determination that will be
communicated to the protesting party involved in the dispute or protest and
made part of the procurement file within 7 days after the referral by the Chief
Procurement Officer.
b) Procurement Delays
The investigation
of a dispute or protest may cause a delay in the procurement process if deemed
necessary by the Chief Procurement Officer. If an action concerning the
protest has commenced in court, the Chief Procurement Officer will not act on
the protest but will refer the protest to the Attorney General, unless the
court requests, expects, or otherwise expresses interest in the decision of the
Chief Procurement Officer.
c) Stay or Withdrawal of Award
An award may
be stayed or withdrawn by the Chief Procurement Officer if the Procurement
Review Board reaches a determination that to do so is necessary in fairness to
the other offerors and to protect the interests of the State.
d) Finality of Determinations
Except as
otherwise provided in this Part, determinations made by the Chief
Procurement Officer under this Part are final and conclusive unless they
are clearly erroneous, arbitrary, capricious, or contrary to law. [30 ILCS
500/20-70]
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4010 CONTRACT CONTROVERSIES
Section 1400.4010 Contract
Controversies
Contract controversies must be
promptly referred to the Chief Procurement Officer for resolution. If the
Chief Procurement Officer is unable to resolve the controversy, the controversy
will be referred to the Chief Legal Counsel who will attempt to resolve the
matter. If the Chief Legal Counsel is unable to resolve the matter
satisfactorily, and believes that litigation is probable or desirable, he or
she may request the Attorney General's assistance in resolving the dispute.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4015 REMEDIES
Section 1400.4015 Remedies
a) In all of the following cases the Chief Procurement Officer
may, with the approval of the Treasurer and subject to the determination of the
Chief Legal Counsel under subsection (b), terminate or rescind any contract
entered into under this Part in the event:
1) The successful bidder or proposer fails to furnish a
satisfactory performance or performance bond within the time specified.
2) The vendor fails to make delivery at the place or within the
time specified in the contract or as ordered.
3) Any goods or services provided under the contract are:
A) rejected (for not meeting the specification, not conforming to
sample, or not being in good condition when delivered) and are not promptly
replaced or corrected by the vendor; or
B) repeatedly rejected, even though the vendor offers to replace or
correct the goods or services promptly.
4) There is sufficient evidence to show that the contract was
obtained by fraud, collusion, conspiracy or other unlawful means.
5) The vendor is guilty of misrepresentation in connection with
another contract for the sale of goods or services to the State.
6) The vendor is insolvent, is the subject of a bankruptcy
filing, is adjudged bankrupt, or enters into a general assignment for the
benefit of his or her creditors or receivership due to insolvency.
7) The vendor disregards laws and ordinances, rules or
instructions of a contracting officer or acts in violation of any provision of
the contract or this Part, or the contract conflicts with any statutory or
constitutional provision of the State of Illinois or of the United States.
8) Any other material breach of contract or other unlawful act by
the vendor occurs.
b) Determination of Right to Terminate or Rescind Contract
The Chief
Legal Counsel shall determine in writing that a violation listed in subsection
(a) has occurred prior to the termination or rescission of a contract under
this Section.
c) Contracts that are terminated under this Section will be
terminated at no cost to the State.
d) Withholding Money to Compensate State for Damages
If a contract
is terminated or rescinded under this Section, the State may deduct from
whatever is owed the vendor on that or any other contract an amount sufficient
to compensate the State of Illinois for any damages suffered by it because of
the vendor's breach of contract or other unlawful act on his or her part on
which the cancellation is based.
e) Damages
The damages
for which the State shall, if requested by the State, be compensated as
provided in this Section or by a suit on the vendor's performance bond or by
other legal remedy include, but are not limited to, the following:
1) the additional cost of goods or services bought elsewhere;
2) cost of repeating the procurement procedure;
3) any expenses incurred because of delay in receipt of goods or
services; and
4) any other damages caused by the vendor's breach of contract or
unlawful act.
f) Effect of Declaring a Contract Null and Void
In all cases
where a contract is voided, the Treasurer's office will endeavor to return
those supplies delivered under the contract that have not been used or
distributed. No further payments will be made under the contract.
g) In lieu of terminating or rescinding the contract, when
appropriate the Chief Procurement Officer may seek to negotiate an alternative
resolution that is at least as beneficial to the State as termination or
rescission, but the Chief Procurement Officer must not waive the right to
terminate or rescind the contract if the situation does not improve.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4020 SUSPENSION
Section 1400.4020 Suspension
a) This Section applies to all suspensions of vendors from
consideration for award of contracts.
b) The Chief Procurement Officer may suspend a vendor from doing
business with the Treasurer's office for all or specific types of supplies or
services. A suspension may be issued upon a determination by the Chief
Procurement Officer that the vendor violated this Part or failed to conform to
specifications or terms of delivery.
c) When the Chief Procurement Officer determines that cause
exists for suspension, a notice of suspension, including a copy of the
determination, must be sent to the suspended vendor. Bids, proposals and
responses will not be solicited from the suspended vendor, and, if they are
received, they will not be considered during the period of suspension.
d) A contractor may be suspended for any period of time
commensurate with the seriousness of the offense. A suspension may be for an
indefinite period of time subject to demonstration by the contractor that the
suspension in no longer necessary.
e) The suspension will be effective within seven calendar days
after receipt of notice unless an objection is filed. If an objection were
filed, the suspension would not become effective until the evaluation of the
objection by the Chief Procurement Officer is completed.
f) The Treasurer's office may consider suspensions and debarments
by other State agencies and may choose to not solicit or accept bids, proposals
and responses from vendors on another agency's list of suspensions and
debarments during the period of suspension or debarment.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
SUBPART I: PREFERENCES
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4505 PROCUREMENT PREFERENCES
Section 1400.4505
Procurement Preferences
The procurement preferences
identified in this Subpart must be considered in developing procurement
documents, conducting evaluations and drafting contracts Any preferences
applicable to an individual procurement will be stated in the solicitation for
that procurement.
(Source: Amended at 48 Ill. Reg. 2924,
effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4510 RESIDENT VENDOR PREFERENCE
Section 1400.4510 Resident
Vendor Preference
a) "Illinois resident vendor", as used in this Section,
means a person authorized to transact business in this State and having a
bona fide establishment for transacting business within this State where it
was actually transacting business on the date when any competitive
solicitation for a public contract is first advertised or announced,
including a foreign corporation duly authorized to transact business in this
State that has a bona fide establishment for transacting business within this
State where it was actually transacting business on the date when any
competitive solicitation for a public contract is first advertised or
announced. [30 ILCS 500/45-10(b)]
b) In breaking a tie bid or proposal, as described in Section 1400.2510,
an Illinois resident vendor shall be given the award.
c) An Illinois resident vendor shall be allowed a preference over
a non-resident vendor equal to any in-state vendor given or required by the
state of the non-resident vendor.
d) If only non-resident bidders are bidding, the purchasing
agency has the right to specify that Illinois labor and manufacturing locations
be used as part of the manufacturing process. This specification may be
negotiated as part of the solicitation process.
e) This Section does not apply to any contract for any project
as to which federal funds are available for expenditure when its provisions may
be in conflict with federal law or federal regulation. [30 ILCS
500/45-10(c)]
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4515 SOYBEAN OIL-BASED INK
Section 1400.4515 Soybean
Oil-based Ink
Contracts requiring the
procurement of offset printing services shall specify the use of soybean
oil-based ink or vegetable oil-based ink unless the Chief Procurement
Officer or a designee determines that another type of ink is required to
assure high quality and reasonable pricing of the printed product. [30 ILCS
500/45-15]
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4520 RECYCLED SUPPLIES
Section 1400.4520 Recycled Supplies
When a contract is to be
awarded to the lowest responsible bidder or offeror, an otherwise qualified
bidder or offeror who will fulfill the contract through the use of products
made of recycled supplies shall be given preference over other bidders or offerors
unable to do so, provided that the cost included in the bid of supplies is
equal to or less than other bids or offers, unless the use of the product
constitutes an undue practical hardship. Nothing in this Section shall be
construed to apply to the Treasurer's office for the purposes of
procuring construction and construction-related services. [30 ILCS
500/45-20].
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4525 RECYCLED PAPER
Section 1400.4525 Recycled
Paper
All paper purchased
for use by the Treasurer's office must be recyclable paper unless
recyclable paper cannot be used to meet the requirements of the
Treasurer's office. [30 ILCS 500/45-25]. The Treasurer's office will determine
its paper requirements to allow the use of recyclable paper whenever practicable.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4526 ENVIRONMENTALLY PREFERABLE PROCUREMENT
Section 1400.4526
Environmentally Preferable Procurement
Notwithstanding any rule,
regulation, statute, order, or policy of any kind, the Treasurer's office shall
contract for supplies and services that are environmentally preferable. If,
however, contracting for an environmentally preferable supply or service would
impose an undue economic or practical hardship on the Treasurer's office,
or if an environmentally preferable supply or service cannot be used to meet
the requirements of the Treasurer's office, then the Treasurer's
office need not contract for an environmentally preferable supply or
service. Specifications for contracts, at the discretion of the Treasurer's
office, may include a price preference of up to 10% for environmentally
preferable supplies or services. [30 ILCS 500/45-26]
(Source: Amended at 48 Ill. Reg. 2924,
effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4530 SPECIAL SOURCES
Section 1400.4530 Special
Sources
The Treasurer's office may
contract with any qualified source of supply, including the following special
sources, from which procurements may be made without notice and competition:
a) Illinois Correctional Industries (see 30 ILCS 500/45-30);
b) State and Federal Surplus Warehouses under the jurisdiction of
CMS. The State Property Control Act [30 ILCS 605/7a] requires that surplus
furniture be considered before any purchase of new furniture valued at $500 or
more per piece;
c) Qualified not-for-profit agencies for persons with severe
disabilities (see 30 ILCS 500/45-35);
d) State agencies and other governmental units.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4535 QUALIFIED NOT-FOR-PROFIT AGENCIES FOR PERSONS WITH SIGNIFICANT DISABILITIES
Section 1400.4535 Qualified
Not-for-Profit Agencies for Persons with Significant Disabilities
a) Purpose
Contracts with qualified
not-for-profit agencies for persons with significant disabilities (work centers;
see Section 45-35 of the Code) under this Section should promote employment
opportunities for persons with significant disabilities while meeting the needs
of the Treasurer's office. In making a determination to purchase from a qualified
work center, the Treasurer's office may review the number of jobs performed by
persons with significant disabilities and the total amount of the contract. A
reasonable amount of subcontracting is allowed under this Part to the extent it
does not deter from promoting employment for persons with significant disabilities.
b) Usage
Purchases may
be made from work centers without prior notice or competition.
c) Preference
Prior to
conducting a competitive procurement or otherwise contracting for supplies or
services on the preference list, the Treasurer's office may contact one or more
of the qualified work centers that provide the needed supply or service and
attempt to negotiate a fair and reasonable contract at a price not
substantially more than had it been competitively bid. If negotiations fail or
if circumstances suggest using a qualified work center is not reasonable, the
Chief Procurement Officer may authorize use of an alternative procurement
method.
d) Compliance with this Part
Qualified work centers that
contract with the Treasurer's office must comply with all applicable provisions
of this Part.
(Source: Former
Section repealed at 40 Ill. Reg. 13847, effective September 23, 2016; new
Section added at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4540 VEHICLES
Section 1400.4540 Vehicles
a) Specification
Contracts
for the purchase or lease of new passenger automobiles, other than station
wagons, vans and four-wheel drive vehicles, shall specify the
procurement of a model that, according to the most current mileage study
published by the U.S. Environmental Protection Agency, can achieve at least the
minimum average fuel economy in miles per gallon imposed upon manufacturers of
vehicles under Title V of the Motor Vehicle Information and Cost Savings Act (15
U.S.C. 2001 46). [35 ILCS 500/45-40(a)] Further, all
gasoline-powered vehicles purchased from State funds must be flexible fuel
vehicles or fuel efficient hybrid vehicles. Any vehicle purchased from State
funds that is fueled by diesel fuel shall be certified by the manufacturer to
run on 5% biodiesel (B5) fuel. [30 ILCS 500/25-75]
1) Flexible fuel vehicles are automobiles or light trucks that
operate on either gasoline or E-85 (85% ethanol, 15% gasoline) fuel.
2) Fuel efficient hybrid vehicles are automobiles or light trucks
that use a gasoline or diesel engine and an electric motor to power and gain a
minimum of 20% increase in combined USEPA city/highway fuel economy over an
equivalent or most-similar conventionally-powered model.
b) North American-made Vehicles. All vehicles purchased by the
Treasurer's office shall have a Vehicle Identification Number that begins with
the number one, the number 2, the number 4, or the number 5.
c) In awarding contracts requiring the procurement of vehicles,
preference may be given to an otherwise qualified bidder or offeror who will
fulfill the contract through the use of vehicles powered by ethanol produced
from Illinois corn or biodiesel fuels produced from Illinois soybeans. [30
ILCS 500/45-60]
d) Exemptions
The Chief
Procurement Officer may determine that certain vehicle procurements are
exempt from this Section based on intended use or other reasonable
considerations such as health and safety of Illinois citizens. [30 ILCS
500/25-75(c)] Nothing in this Section shall require the Treasurer's office to
stop using any vehicle that exists in the State fleet of motor vehicles.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4545 ILLINOIS AGRICULTURAL PRODUCTS
Section 1400.4545 Illinois
Agricultural Products
In awarding contracts
requiring the procurement of agricultural products, preference may be given to
an otherwise qualified bidder or offeror who will fulfill the contract through
the use of agricultural products grown in Illinois. [30 ILCS 500/45-50]
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4550 CORN-BASED PLASTICS
Section 1400.4550 Corn-based
Plastics
In awarding contracts
requiring the procurement of plastic products, preference may be given to an
otherwise qualified bidder or offeror who will fulfill the contract through the
use of plastic products made from Illinois corn by-products. [30 ILCS
500/45-55]
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4555 VEHICLES POWERED BY AGRICULTURAL COMMODITY-BASED FUEL
Section 1400.4555 Vehicles
Powered by Agricultural Commodity-based Fuel
In awarding contracts
requiring the procurement of vehicles, preference may be given to an otherwise
qualified bidder or offeror who will fulfill the contract through the use of
vehicles powered by ethanol produced from Illinois corn or biodiesel fuels produced
from Illinois soybeans. [30 ILCS 500/45-60]
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4560 SMALL BUSINESSES
Section 1400.4560 Small
Businesses
a) Set-Aside
The Chief
Procurement Officer may designate as small business set-asides a fair
proportion of contracts for the provision of goods and services for award to
small businesses in Illinois. A set-aside designation may last indefinitely or
for a stated period of time.
b) Required Use
If the
Treasurer's office wishes to make a procurement covered by a set-aside
designation, the solicitation must note that responses are limited to those
from responsible small businesses. Bids, proposals or responses received from
large businesses will be rejected as nonresponsive.
c) Withdrawal of Set-Aside
If the Chief
Procurement Officer determines that acceptance of the best bid, proposal or
response will result in the payment of an unreasonable price, the Chief Procurement
Officer will reject all bids, proposals or responses and withdraw the
designation of small business set-aside for the procurement in question. When
a small business set-aside is withdrawn, notification must be published as
provided in Section 1400.1505 with an explanation. After withdrawal of the
small business set-aside, the procurement will be conducted in accordance with
the requirements of this Part.
d) Criteria for Small Business
Unless the
Chief Procurement Officer provides a definition for a particular procurement
that reflects industrial characteristics, a small business is one:
1) Independently owned and operated.
2) Not dominant in its field of operations. This means the
business does not exercise a controlling or major influence in a kind of
business activity in which a number of business concerns are primarily
engaged. In determining dominance, consideration must be given to all
appropriate factors, including volume of business, number of employees,
financial resources, competitive status or position, ownership or control of
materials, processes, patents, license agreements, facilities, sales territory,
and nature of business activity.
3) With annual sales for the most recently ended fiscal year no
greater than:
A) $13,000,000 for wholesale business;
B) $8,000,000 for retail business or businesses selling services;
or
C) $14,000,000 for construction business.
4) With no more than 250 employees if a manufacturing business.
A) A manufacturing business must calculate how many people it
employs by determining its average full-time equivalent employment, based on
the number of persons employed on a full-time, part-time, temporary or other
basis for its most recently ended fiscal year.
B) If a manufacturing business has been in existence for less than
a full fiscal year, its average employment should be calculated for the period
that it has been in existence.
5) If both a wholesaler and a retailer, the combined wholesale
and retail annual sales for its most recently completed fiscal year may not
exceed $16,000,000. The retail component may not exceed $6,000,000 and the
wholesale component may not exceed $10,000,000.
6) When computing the size status of a vendor, the number of
employees and annual sales and receipts, as applicable, of the vendor and all
affiliates must be included. Concerns are affiliates when either one directly
or indirectly control or have the power to control the other, or when a third
party or parties control or have the power to control both. In determining
whether concerns are independently owned and operated and whether or not
affiliation exists, consideration must be given to all appropriate factors,
including use of common facilities, common ownership and management and
contractual arrangements. However, a franchise relationship does not affect
small business status if the franchise has the right to profit commensurate
with ownership and bears the risk of loss or failure.
e) Reliance on the Determination of CMS
The
Treasurer's office may defer to the determination by CMS or the Chief
Procurement Officer for General Services that a business is a small business.
f) Small Business Specialist
The Small
Business Specialist for the Treasurer's office shall assist small businesses
seeking to provide goods or services to the Treasurer's office and is
specifically responsible for the following:
1) Compiling and maintaining a comprehensive bidders list of
small businesses and cooperating with the Federal Small Business Administration
in locating potential sources for various products or services. The Small
Business Specialist may rely on the bidders list developed by CMS to satisfy
this responsibility.
2) Assisting small businesses in complying with the procedures
for bidding, proposing or responding to solicitations of the Treasurer's
office.
3) Assisting in the development of small business set-asides if
determined by the Chief Procurement Officer to be in the State's best interest.
4) Making recommendations to the Chief Procurement Officer for
the simplification of specifications and terms in order to increase the
opportunities for small business participation.
5) Assisting in investigations by the Treasurer's office to
determine the responsibility of any offeror on any small business set-asides.
g) Small business annual report
The Chief
Procurement Officer shall annually before December 1 report in writing to the
General Assembly concerning the awarding of contracts to small businesses. The
report will include the total value of awards made in the preceding fiscal year
under the designation of small business set-aside. The requirement for
reporting to the General Assembly will be satisfied by filing copies of the
report as required by Section 3.1 of the General Assembly Organization Act [25
ILCS 5/3.1].
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4565 PREFERENCES FOR VETERANS, MINORITIES, WOMEN, AND PERSONS WITH DISABILITIES
Section 1400.4565
Preferences for Veterans, Minorities, Women, and Persons with Disabilities
This Part is subject to the
applicable provisions of the Veterans Preference Act [330 ILCS 55], the
Business Enterprise for Minorities, Women, and Persons with Disabilities Act
[30 ILCS 575], and the State Treasurer Act [15 ILCS 505]. The Chief Procurement
Officer shall do whatever is reasonably necessary to enable veterans,
minorities, women and persons with disabilities to participate in the
procurement process. The Chief Procurement Officer may rely on the
determination of CMS and/or the Department of Veterans' Affairs that a person
or business qualifies for a preference under these Acts. It is hereby
declared to be the policy of the State Treasurer to promote and encourage the
use of businesses owned by or under the control of qualified veterans of the
armed forces of the United States, qualified service-disabled veterans,
minority persons, women, or persons with a disability in the area of goods and
services. Furthermore, the State Treasurer shall utilize such businesses to
the greatest extent feasible within the bounds of financial and fiduciary
prudence, and take affirmative steps to remove any barriers to the full
participation of such firms in the procurement and contracting opportunities
afforded. [15 ILCS 505/30(b)]
a) Definitions
For the purposes
of this Section:
1) any terms
"minority person", "woman", "person with a disability",
"minority-owned business", "women-owned business", "business
owned by a person with a disability", and "control" have the
meanings provided in Section 1 of the Business Enterprise for Minorities,
Women, and Persons with Disabilities Act; and
2) the
terms "veteran", "qualified veteran-owned small business", "qualified
service-disabled veteran-owned small business", "qualified
service-disabled veteran", and "armed forces of the United States"
have the meanings provided in Section 45-57 of the Illinois Procurement
Code. [15 ILCS 505/30(a)]
b) Procurement of Goods and
Services
When the State Treasurer
procures goods and services, whether through a request for proposal or
otherwise, the Chief Procurement Officer is authorized to incorporate
preferences in the scoring process for:
1) any
of the following:
A) a minority-owned
business;
B) a women-owned
business;
C) a business owned by a
person with a disability;
D) a qualified
veteran-owned small business; or
E) a qualified
service-disabled veteran-owned small business; and
2) businesses
having a record of support for increasing diversity and inclusion in board
membership, management, employment, philanthropy, and supplier diversity,
including investment professionals and investment sourcing. [15 ILCS
505/30(d)]
c) Utilization of Financial
Institutions
When the State Treasurer
utilizes a financial institution or determines the eligibility of a financial
institution to participate in a banking contract, investment contract,
investment activity, or other financial program of the State Treasurer, he or
she shall review the financial institution's Community Reinvestment Act (29
USC 2901) rating, record, and current level of financial commitment to the
community prior to making a decision to utilize or determine the eligibility of
such financial institution. [15 ILCS 505/30(d)]
d) Reporting
Beginning with fiscal year
2019, and at least annually thereafter, the State Treasurer shall report on his
or her utilization of minority-owned businesses, women-owned businesses,
businesses owned by a person with a disability, qualified veteran-owned small
businesses, or qualified service-disabled veteran-owned small businesses. The
report shall be published on the State Treasurer's official website. [15
ILCS 505/30(e)]
(Source:
Amended at 43 Ill. Reg. 2275, effective January 31, 2019)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
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SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.4595 HUBZONE BUSINESS CONTRACTS
Section 1400.4595 HUBZone Business Contracts
a) For
the purposes of this Section, "HUBZone business" means a business
that operates and employs people in Historically Underutilized Business Zones
(HUBZone) as designated by the federal HUBZone Empowerment Act. [30 ILCS
500/45-95(a)]
b) The
Treasurer's office may provide a 2% price preference for a HUBZone business
that is responding to an Invitation for Bid or Request for Proposal.
c) The
Treasurer's office may provide up to a 10% price preference for a HUBZone
business that is responding to an IFB or RFP. The Treasurer's office shall
specify the price preference in the solicitation document.
d) A
HUBZone business must include evidence of its HUBZone qualification with its
bid or offer if it is claiming a HUBZone price preference under this Section.
e) The
Chief Procurement Officer shall publish, in the notice of award, the percentage
of the HUBZone price preference for each contract awarded through this Section.
f) Should
a contractor no longer qualify as a HUBZone business during the term of a
contract that was awarded using the HUBZone price preference, the Chief
Procurement Officer may void the contract.
g) A
contract may not be renewed if the contractor no longer qualifies as a HUBZone
business and the contract was awarded using the HUBZone price preference.
(Source: Added at 48 Ill. Reg. 2924,
effective February 7, 2024)
SUBPART J: ETHICS
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5002 CONTINUING DISCLOSURE; FALSE CERTIFICATION
Section 1400.5002 Continuing Disclosure; False
Certification
a) Every
person that has entered into a multi-year contract and every subcontractor with
a multi-year subcontract subject to the Code, shall certify, by January 1
of each fiscal year covered by the contract after the initial fiscal year, to
the Treasurer's office any changes that affect its ability to satisfy
the requirements of Article 50 of the Code. [30 ILCS 500/50-2]
b) If a contractor or subcontractor continues to meet all
requirements of Article 50 of the Code, or if the contract has been substantially
completed but has not yet expired, the certification under subsection (a) is
not required.
(Source: Added at 48 Ill. Reg. 2924,
effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5005 PURPOSE
Section 1400.5005 Purpose
It is the express duty of Chief
Procurement Officer and designees to maximize the value of the expenditure of
public moneys in procuring goods, services, and contracts for the Treasurer's
office and to act in a manner that maintains the integrity and public trust of
State government. In discharging this duty, they are charged to use all
available information, reasonable efforts, and reasonable actions to protect,
safeguard and maintain the procurement process of the Treasurer's office.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5010 BRIBERY
Section 1400.5010 Bribery
a) Prohibition
No person or
business will be awarded a contract or subcontract under this Part who:
1) has been convicted under the laws of Illinois or any other
state of bribery or attempting to bribe an officer or employee of the State of
Illinois or any other state in the officer's or employee's official capacity;
or
2) has made an admission of guilt of that conduct that is a
matter of record but has not been prosecuted for that conduct.
b) Businesses
No business
will be barred from contracting with any unit of State or local government as a
result of a conviction under this Section of any employee or agent of the
business if the employee or agent is no longer employed by the business and:
1) the business has been finally adjudicated not guilty; or
2) the business demonstrates to the governmental entity with
which it seeks to contract, and that entity finds, that the commission of the
offense was not authorized, requested, commanded, or performed by a director,
officer, or high managerial agent on behalf of the business as provided in
Section 5-4(a)(2) of the Criminal Code of 1961 [720 ILCS 5/5-4(a)(2)].
c) Conduct on Behalf of Business
For purposes
of this Section, when an official, agent, or employee of a business committed
the bribery or attempted bribery on behalf of the business and in accordance
with the direction or authorization of a responsible official of the business,
the business will be chargeable with the conduct.
d) Certification
Every bid,
offer, response, submission, quotation or quote submitted to every
contract executed by the State, every subcontract subject to Section 20-120 of
the Code, and every vendor's submission to a vendor portal shall contain a
certification by the bidder, offeror, respondent, submitter, person who
submits a quotation or quote, potential contractor, contractor or
subcontractor, respectively, that the bidder, offeror, respondent,
submitter, person who submits a quotation or quote, potential contractor,
contractor or subcontractor is not barred from being awarded a contract or
subcontract under Section 50-5 of the Code, and acknowledges that the Chief
Procurement Officer may declare the related contract void if any
certifications required by that Section are false. If the false certification
is made by a subcontractor, then the contractor's submitted bid, offer,
response, submission, quotation or quote and the executed contract may not
be declared void, unless the contractor refuses to terminate the subcontract
upon the State's request after a finding that the subcontractor's certification
was false. A contractor or subcontractor who makes a false statement, material
to the certification, commits a Class 3 felony. [30 ILCS 500/50-5(d)]
(Source: Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
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SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5015 FELONS
Section 1400.5015 Felons
Unless otherwise provided, no
person or business convicted of a felony may do business with the Treasurer's
office from the date of conviction until 5 years after the date of completion
of the sentence for that felony, unless no person held responsible by a
prosecutorial office for the facts upon which the conviction was based
continues to have any involvement with the business.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5020 CONFLICTS OF INTEREST
Section 1400.5020 Conflicts
of Interest
a) Prohibitions
1) The Treasurer and all employees of the Treasurer's office who
receive compensation for the employment in excess of 60% of the salary of the
Governor of the State of Illinois and the spouses and minor children of those
persons may not have or acquire any contract, or any direct pecuniary interest
in any contract, that will be wholly or partially satisfied by the payment of
funds appropriated by the General Assembly of the State of Illinois.
2) No firm, partnership, association, or corporation in which any
person described in subsection (a)(1) is entitled to receive:
A) more than 7 1/2% of the total distributable income; or
B) an amount in excess of the salary of the Governor,
may have or
acquire any contract or direct pecuniary interest in any contract that will be
wholly or partially satisfied by the payment of funds appropriated by the
General Assembly of the State of Illinois.
3) No firm, partnership, association, or corporation in which any
person described in subsection (a)(1) together with his or her spouse or minor
children is entitled to receive:
A) more than 15%, in the aggregate, of the total distributable
income; or
B) an amount in excess of two times the salary of the Governor,
may have or
acquire any contract or direct pecuniary interest in any contract that will be
wholly or partially satisfied by the payment of funds appropriated by the
General Assembly of the State of Illinois.
b) An individual has a direct pecuniary interest in a contract
when the individual is owed any payment in conjunction with performance of a
contract, including finders' fees and commission payments.
c) Distributable income means the income to a company after
payment of all expenses, including employee salary and bonus, and retained
earnings, and which remaining amount is actually distributed to those entitled
to receive a share of the income.
d) Applicability
This Section
does not apply to or affect the validity of:
1) any bond or other security previously offered for sale, to be
offered for sale or sold by or for the State of Illinois;
2) any contract made between the State and a person described in
subsection (a)(1) that was in existence before the election or employment of
the person if the contract can be completed within 365 days after the person
takes office; otherwise, it is voidable by the State;
3) payments made for a public aid recipient;
4) any contract for personal services as a teacher or school
administrator between the Treasurer, or an employee of the Treasurer's office,
and a school district, public community college district, or the University of
Illinois, Southern Illinois University, Illinois State University, Eastern
Illinois University, Northern Illinois University, Western Illinois University,
Chicago State University, Governor's State University, or Northeastern Illinois
University;
5) any contract for personal services of a wholly ministerial
character, including, but not limited to, services as a laborer, clerk, typist,
stenographer, page, bookkeeper, receptionist, or telephone switchboard
operator, made by a spouse or minor child of the Treasurer or an employee of
the Treasurer's office;
6) payments made to the Treasurer or an employee of the
Treasurer's office for or on behalf of a child or family served by the
Department of Children and Family Services;
7) contracts that are competitively procured as provided in this
Part between the Treasurer's office and licensed professionals.
e) Exemptions
The Treasurer,
with the approval of the Chief Procurement Officer, may exempt named
individuals from the prohibitions in this Section when, in his or her
judgement, the public interest in having the individual in the service of the
State outweighs the public policy evidenced in this Section. An exemption is
effective only when it is filed with the Secretary of State and the Comptroller
and includes a statement that includes the name of the individual, all
pertinent facts that would make this Section applicable, the reason for the
exemption and a declaration that the individual is exempted from this Section.
Notice of each exemption must be published as provided in Section 1400.1505 and
made part of the procurement file.
(Source: Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5025 NEGOTIATIONS FOR FUTURE EMPLOYMENT
Section 1400.5025
Negotiations for Future Employment
a) No person employed in or on a continual contractual
relationship with the Treasurer's office may participate in contract
negotiations on behalf of the Treasurer's office with any firm, partnership,
association, or corporation with whom that person has a contract for future
employment or is negotiating concerning possible future employment.
b) An individual who performs services under a contract and who
meets the requirements of an "employee" or "contractual
employee" as opposed to an "independent contractor" is in a
"continual contractual relationship" from the effective date of the
contract until the time the contract is terminated.
c) "Independent contractors", as opposed to
"employees" or "contractual employees", are in a
"continual contractual relationship" if the contract term is
indefinite, is automatically renewed, is renewable at the individual's option,
is renewable unless the Treasurer's office must act to terminate, or has a
definite term of at least three months.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5030 REVOLVING DOOR
Section 1400.5030 Revolving
Door
The Chief Procurement Officer
may not engage in any procurement activity relating to the Treasurer's office
for two years after terminating his or her position as Chief Procurement
Officer. This prohibition includes, but is not limited to, lobbying the procurement
process or specifying, bidding or proposing bids, proposals or contract
documents, on their own behalf or on behalf of any firm, partnership,
association or corporation. This prohibition is in addition to the revolving
door prohibitions of Section 5-45 of the State Officials and Employees Ethics
Act [5 ILCS 430].
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5035 DISCLOSURE OF FINANCIAL INTERESTS AND POTENTIAL CONFLICTS OF INTEREST
Section 1400.5035 Disclosure
of Financial Interests and Potential Conflicts of Interest
a) All offers from responsive offerors with an annual value of
more than the small purchase threshold then in effect pursuant to Section
1400.2020(a) must be accompanied by disclosure of the financial interests of
the offeror. The financial disclosure of each successful offeror must be made
part of the procurement. Disclosures are not required for sole source and
emergency contracts, but shall be obtained in whole or in part when practical
and when the annual value exceeds the small purchase threshold then in effect
pursuant to Section 1400.2020(a).
b) Disclosure by the offerors must include any ownership or
distributive income share that is in excess of 5%, or an amount greater than
60% of the annual salary of the Governor, of the offering entity or its parent
entity ("parent entity" meaning an entity that owns 100% of the bidding
entity), whichever is less, unless the offeror:
1) is a publicly traded entity subject to Federal 10K reporting,
in which case it may submit its 10K disclosure in place of the prescribed
disclosure, or:
2) is a privately held entity that is exempt from Federal 10k
reporting but has more than 100 shareholders, in which case it may submit the
information that Federal 10k reporting companies are required to report under
17 CFR 229.401 and list the names of any person or entity holding any ownership
share that is in excess of 5% in place of the prescribed disclosure.
3) The Chief Procurement Officer will prescribe the form, which
must include at least the names, addresses, and dollar or proportionate share
of ownership of each person identified in this Section, their instrument of
ownership or beneficial relationship, and notice of any potential conflict of
interest resulting from the current ownership or beneficial relationship of
each person identified in this Section having, in addition, any of the following
relationships:
A) State employment, currently or in the previous 3 years,
including contractual employment services.
B) State employment of spouse, father, mother, son, or daughter,
including contractual employment for services in the previous 2 years.
C) Elective status: the holding of elective office of the State
of Illinois, the government of the United States, any unit of local government
authorized by the Constitution of the State of Illinois or the statutes of the
State of Illinois currently or in the previous 3 years.
D) Relationship to anyone holding elective offices currently or in
the previous 2 years: spouse, father, mother, son, or daughter.
E) Appointive office: the holding of any appointive government
office of the State of Illinois, the United States of America, or any unit of
local government authorized by the Constitution of the State of Illinois or the
statutes of the State of Illinois, which office entitles the holder to
compensation in excess of expenses incurred in the discharge of that office
currently or in the previous 3 years.
F) Relationship to anyone holding appointive office currently or
in the previous 2 years: spouse, father, mother, son, or daughter.
G) Employment, currently or in the previous 3 years, as or by any
registered lobbyist of the State government.
H) Relationship to anyone who is or was a registered lobbyist in
the previous 2 years; spouse, father, mother, son, or daughter.
I) Compensated employment, currently or in the previous 3 years,
by any registered election or re-election committee registered with the
Secretary of State or any county clerk in the State of Illinois, or any
political action committee registered with either the Secretary of State or the
Federal Board of Elections.
J) Relationship to anyone (spouse, father, mother, son, or
daughter) who is or was a compensated employee in the last 2 years of any
registered election or re-election committee registered with the Secretary of
State or any county clerk in the State of Illinois, or any political action
committee registered with either the Secretary of State or the Federal Board of
Elections.
c) The disclosure in subsection (b) is not intended to prohibit
or prevent any contract. The disclosure is meant to fully and publicly
disclose any potential conflict fully and publicly to the Chief Procurement
Officer, Purchasing Officers, their designees, and executive officers so they
may adequately discharge their duty to protect the State.
d) When a potential for a conflict of interest is identified,
discovered, or reasonably suspected, the Chief of Staff shall review and
comment on it in writing. The Chief of Staff shall provide his comment to the
Chief Procurement Officer who must determine in writing whether to void or
allow the contract, bid, proposal or response weighing the best interest of the
State of Illinois. The comment and determination must be part of the
procurement file.
e) These thresholds and disclosure do not relieve the Chief
Procurement Officer, Purchasing Officers, or their designees from reasonable
care and diligence for any contract, bid, proposal or response. The Chief
Procurement Officer, Purchasing Officers, or their designees shall use any
reasonably known and publicly available information to discover any undisclosed
potential conflict of interest and act to protect the best interest of the
State of Illinois.
f) Inadvertent or accidental failure to make any disclosure
required by this Section will render the contract, bid, proposal, response or
relationship voidable by the Chief Procurement Officer if he or she deems it in
the best interest of the State of Illinois and, at his or her discretion, may
be cause for barring from future contracts, bids, proposals, responses or
relationships with the State for a period of up to 2 years.
g) Intentional, willful or material failure to make any
disclosure required by this Section will render the contract, bid, proposal,
response or relationship voidable by the Chief Procurement Officer if he or she
deems it to be in the best interest of the State of Illinois and will result in
suspension from future contracts, bids, proposals, responses or relationships
for a period of not less than 2 years and not more than 10 years.
Reinstatement after 2 years and before 10 years must be reviewed and commented
on in writing by the Chief of Staff. The Chief of Staff must provide the
review to the Chief Procurement Officer who must rule in writing whether and
when to reinstate. The comment and determination must be part of the
procurement file.
h) In addition, all disclosures must note any other current or
pending contracts, leases, bids, proposals, responses or other ongoing
procurement relationships the bidding, proposing, or responding entity has with
any other unit of State government and must clearly identify the unit and the
contract, lease, bid, proposal, response or other relationship.
i) The
contractor or bidder has a continuing obligation to supplement the disclosure
required by this Section throughout the bidding process or during the term of
any contract. [30
ILCS 500/50-35(i)]
j) If a bid or offer
is received from a responsive bidder, offeror, vendor, contractor, or
subcontractor with an annual value of more than $100,000 and the bidder,
offeror, vendor, contractor, or subcontractor has an active contract with that
same entity and already has submitted their financial disclosures and potential
conflicts of interest within the last 12 months, the bidder, offeror, vendor,
contractor, or subcontractor may submit a signed affidavit attesting that the
original submission of its financial disclosures and potential conflicts of
interests has not been altered or changed. The form and content of the
affidavit shall be prescribed by the applicable chief procurement officer. [30 ILCS
500/50-35(j)]
(Source: Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5037 VENDOR REGISTRATION AND CERTIFICATION AND PROHIBITION ON POLITICAL CONTRIBUTIONS
Section
1400.5037 Vendor Registration and Certification and Prohibition on Political
Contributions
a) Introduction
Illinois law (Section 9-35 of the Election Code [10
ILCS 5] and Sections 20-160 and 50-37 of the Code) (the statutes) restricts
political contributions by vendors and affiliated entities; requires
registration with the Illinois State Board of Elections (ISBE); and requires
solicitation and contract certifications relative to the requirements of the
law. This Section supplements requirements found in the statutes and does not
excuse compliance with any of those requirements.
b) General
Registration Requirements
1) These
requirements apply to contracts, bids and proposals that are subject to this
Part.
A) Bids/proposals
referenced in this Section are those submitted in response to a competitive
solicitation that is posted on or after January 1, 2009, regardless of the
value assigned to the procurement.
B) Bids and
proposals include pending bids and proposals.
C) These
requirements generally apply to a vendor whose existing State contracts have an
aggregate value in excess of $50,000, whose aggregate value of bids/proposals
for State contracts exceeds $50,000, or whose aggregate value of State contracts
and bids/proposals exceeds $50,000.
D) This
value is calculated on a calendar-year basis.
2) On a
calendar-year basis, each vendor or potential vendor must keep track of the
value of contracts and bids/proposals. Vendors must register with SBEL when
the vendor determines that the value of the contracts and bids/proposals meets
the threshold for registration.
3) An "executive
employee" means:
A) the President,
Chairman of the Board or Chief Executive Officer of a business entity and any
other individual who fulfills equivalent duties as the President, Chairman of
the Board or Chief Executive Officer of a business entity.
B) any
employee of a business entity whose compensation is determined directly, in
whole or in part, by the award or payment of contracts by a State agency to the
entity employing the employee, irrespective of the employee's title or status
in the business entity. For the purposes of this subsection (b)(3)(B),
compensation determined directly by award or payment of contracts means a
payment over and above regular salary that would not be made if it were not for
the award of the contract.
c) Bids
and Proposals
1) The
CPO, or his or her designee, shall determine whether a business entity is
required to register with SBEL and, if so, whether the business entity is in
compliance with the registration requirements on the date the bid or proposal
is due.
2) If the
CPO determines that a business entity is required to register with SBEL and the
business entity is not in compliance with the registration requirements, then
the CPO shall not accept the business entity's bid or proposal.
d) Contracts
A copy of the Registration Certificate must be in the
procurement file as set forth in this subsection (d), unless the vendor certifies
it is not required to register.
1) For
contract renewals and extensions, if the value of the renewal or extension by
itself, or in combination with the contract being renewed/extended and other
contracts and bids/proposals exceeds $50,000, the vendor must provide
documentation of vendor compliance upon request and make the appropriate
contract certification, if it has not already done so. The Registration
Certificate or other evidence of vendor compliance may be provided by reference
to and incorporation of the vendor's prequalification by the CPO.
2) For
indefinite quantity/estimated value contracts, a vendor who is otherwise not
required to register shall register with SBEL when the value of orders placed
pursuant to an indefinite/estimated value contract plus all other contracts and
bids/proposals exceeds $50,000.
3) For
contract amendments, if the value of the amendment, by itself or in combination
with the contract being renewed plus other contracts and bids/proposals,
exceeds $50,000, the vendor must provide the Registration Certificate and make
the appropriate contract certification, if it has not already done so.
4) Any
contracts mistakenly executed in violation of this Section must be amended to
include the contract certifications. If any violation by the vendor is not
cured within 7 days after receipt of notification of the violation, the
contract is voidable by the State without penalty.
5) Contract
certification required by the statutes shall be included in or added to each
contract that must be filed with the State Comptroller pursuant to Section
20-80 of the Code and those written, two-party contracts that need not be filed
with the Comptroller. The Treasurer may require written confirmation of the
rule-imposed certification at any time.
e) Voidable
Contracts
Every solicitation issued and contract executed on or
after January 1, 2009 shall contain a statement that the contract is voidable
if the bidder, offeror or contractor fails to comply with Section 20-160 of the
Code.
f) Prohibited
Political Contributions
1) Upon
discovery of a political contribution that is potentially prohibited by Section
50-37 of the Code, the CPO, within 5 business days, shall send a letter
requesting response from the business entity that made the potentially
prohibited contribution, acknowledging or denying that the contribution was
prohibited.
2) If the
CPO determines that a political contribution was prohibited, all contracts held
by the contributing business entity are voidable, and the CPO shall determine
if the circumstances surrounding the prohibited political contribution warrant
the voiding of any of these contracts.
3) If a
business entity violates Section 50-37(b) of the Code three or more times
within a 36 month period, the CPO shall void all contracts with the business
entity and the business entity shall be prohibited from responding to any
solicitation issued by the Treasurer or entering into a contract with the
Treasurer for 3 years from the date of the last violation.
4) If the
CPO determines that a prohibited political contribution is grounds to suspend a
business entity pursuant to this Section, the controversy will be referred to
the Chief Legal Counsel pursuant to Section 1400.4010.
g) Notice
1) Notice
of each violation of Section 50-37 of the Code and any penalty imposed by the
CPO or SBEL for each violation shall be published on the Treasurer's Web Site.
2) The CPO
shall directly notify a political committee in receipt of a prohibited
political contribution that payment equal to the amount of the contribution is
due the State of Illinois within 30 days after publication of the violation on
the Treasurer's Web Site.
3) If an amount owed by a
political committee as a result of a prohibited political contribution is not
paid and is deemed uncollectible for any reason, notice of the political
committee's nonpayment shall be published on the Treasurer's Web Site.
(Source: Added at 40 Ill. Reg. 13847, effective September
23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5040 REPORTING ANTICOMPETITIVE PRACTICES
Section 1400.5040 Reporting
Anticompetitive Practices
When, for any reason, any
vendor, bidder, proposer, respondent or employee of the Treasurer's office,
including the Chief Procurement Officer, suspects collusion or other anticompetitive
practice among any bidders, proposers, respondents or employees of the
Treasurer's office, a notice of the relevant facts must be transmitted to the
Attorney General, the Inspector General, and the Chief Procurement Officer.
(Source: Amended
at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5045 CONFIDENTIALITY
Section 1400.5045
Confidentiality
The Chief Procurement Officer
and designees are subject to immediate dismissal and may be subject to criminal
prosecution for willfully using or allowing the use of specifications,
procurement documents or proprietary information to compromise the fairness or
integrity of the procurement or contract process.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5050 INSIDER INFORMATION
Section 1400.5050 Insider
Information
It is unlawful for the Treasurer
or any employee of the Treasurer's office to knowingly use confidential
information available only by virtue of that office or employment for actual or
anticipated gain for themselves or another person.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5055 ADDITIONAL PROVISIONS
Section 1400.5055 Additional
Provisions
This Part is subject to
applicable provisions of the following Acts:
a) Article 33E of the Criminal Code of 1961 [720 ILCS 5/Art.
33E];
b) the Illinois Human Rights Act [775 ILCS 5];
c) the Discriminatory Club Act [775 ILCS 25];
d) the Illinois Governmental Ethics Act [5 ILCS 420];
e) the State Prompt Payment Act [30 ILCS 540];
f) the Public Officer Prohibited Activities Act [50 ILCS 105];
g) the Drug Free Workplace Act [30 ILCS 580];
h) the Procurement of Domestic Products Act [30 ILCS 517];
i) the International Anti-Boycott Certification Act [30 ILCS
582];
j) the State Prohibition of Goods from Forced Labor Act [30 ILCS
583];
k) the State Prohibition of Goods from Child Labor Act [30 ILCS
584]; and
l) the Information Technology Accessibility Act [30 ILCS 587].
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5060 OTHER VIOLATIONS
Section 1400.5060 Other
Violations
Any employee of the Treasurer's
office, including the Chief Procurement Officer, who willfully violates or
allows the violation of this Part is subject to immediate dismissal.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5065 SUPPLY INVENTORY
Section 1400.5065 Supply
Inventory
The Treasurer's office should
inventory or stock no more equipment, supplies, commodities, articles, and
other items than are reasonably necessary for the efficient functioning of the
Treasurer's office. The Treasurer's office must seek to have no more than a
12-month supply of any equipment, supplies, commodities, or other items, unless
there is a justifiable reason for doing so.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5090 ANNUAL VALUE, CERTIFICATION
Section 1400.5090 Annual
Value, Certification
All contracts under this Part with an annual value that
exceeds $50,000 shall be accompanied by Standard Illinois Certifications in a
form prescribed by the Chief Procurement Officer. The Chief Procurement
Officer may utilize a form prescribed by the Chief Procurement Officer for General
Services for this purpose.
(Source: Added at 48 Ill. Reg. 2924,
effective February 7, 2024)
SUBPART K: CONCESSIONS
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.5505 CONCESSIONS
Section 1400.5505
Concessions
a) All Concessions, including the assignment, license, sale, or
transfer of interests in or rights to discoveries, inventions, patents, or
copyrightable works, may be entered into by the Treasurer's office, if the
concession is reduced to writing and awarded by one of the procurement methods
described in this Part, except that the contract will be awarded to the highest
and best offeror. The duration and terms of concessions and leases of State
property must be in accordance with this Part.
b) Proposed concessions or leases of State property under this
Part must be coordinated with CMS to ensure compliance with the State Property
Control Act and rules implementing that Act (44 Ill Adm Code 5000).
SUBPART L: MISCELLANEOUS PROVISIONS OF GENERAL APPLICABILITY
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.6005 SEVERABILITY
Section 1400.6005
Severability
If any provision of this Part or
any application thereof is held invalid, the invalidity will not affect other
provisions or applications of this Part that can be given effect without the
invalid provision or application.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.6010 GOVERNMENT FURNISHED PROPERTY (REPEALED)
Section 1400.6010 Government
Furnished Property (Repealed)
(Source:
Repealed at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.6015 INSPECTIONS
Section 1400.6015
Inspections
a) Inspection of Plant or Site
The State may
enter a contractor's or subcontractor's plant or place of business to:
1) inspect supplies or services for acceptance by the State under
the terms of a contract;
2) audit the books and records of any contractor or subcontractor
under Section 1400.4020(d);
3) investigate an action to suspend a person from consideration
for award of contracts in accordance with Section 1400.4020;
4) determine whether the standards of responsibility have been
met or are capable of being met; and
5) determine if the contract is being performed in accordance
with its terms.
b) Inspection and Testing of Supplies and Services
1) Solicitation and Contractual Provisions. Treasurer's office
contracts may provide that the Treasurer's office may inspect supplies and
services at the contractor's or subcontractor's facility and perform tests to
determine whether they conform to solicitation requirements, or, after award,
to contract requirements, and are therefore acceptable. The inspections and
tests are conducted in accordance with the terms of the solicitation and
contract.
2) Procedures for Trial Use and Testing. The Chief Procurement
Officer may establish operational procedures governing the testing and trial
use of equipment, material, and other supplies by the Treasurer's office, and
the application of resulting information and data to specifications or
procurements.
c) Conduct of Inspections
1) Inspectors. Inspections or tests are performed so as not to
unduly delay the work of the contractor or subcontractor. No inspector other
than the Chief Procurement Officer may change any provision of the
specifications or the contract without written authorization of the Chief
Procurement Officer. The presence or absence of an inspector does not relieve
the contractor or subcontractor from any requirements of the contract.
2) Location. When an inspection is made in the plant or place of
business of a contractor or subcontractor, the contractor or subcontractor
shall provide without charge all reasonable facilities and assistance for the
safety and convenience of the person performing the inspection or testing.
3) Time. Inspection or testing of supplies and services
performed at the plant or place of business of any contractor or subcontractor
must be performed at reasonable times.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.6020 CONTRACTS FOR FOOD DONATION; FOOD DONATION POLICY
Section 1400.6020 Contracts
for Food Donation; Food Donation Policy
a) The Treasurer's office shall not enter into a contract to
purchase food with a bidder or offeror if the bidder's or offeror's contract
terms prohibit the public entity from donating food to food banks, including,
but not limited to, homeless shelters, food pantries, and soup kitchens.
b) The Treasurer's office shall permit the donation of leftover
food purchased with State funds.
(Source:
Amended at 48 Ill. Reg. 2924, effective February 7, 2024)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.6025 POSTAGE STAMPS
Section 1400.6025 Postage
Stamps
All postage stamps purchased
from State funds must be perforated for identification purposes.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.6030 PRINTING
Section 1400.6030 Printing
All books, pamphlets, documents,
and reports published through or by the Treasurer's office must have printed
thereon "Printed by the authority of the State of Illinois", the date
of each publication, the number of copies printed, and the printing order number.
No publication may have written, stamped, printed, or attached to it
"Compliments of . . . (naming a person)" or any words of similar
import.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.6035 ANNUAL REPORTS
Section 1400.6035 Annual
Reports
Every printed annual report
produced by the Treasurer's office must bear a statement indicating whether it
was printed by the State of Illinois or by contract and indicating the printing
costs per copy and the number of copies printed.
(Source:
Amended at 40 Ill. Reg. 13847, effective September 23, 2016)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXI: TREASURER
PART 1400
PROCUREMENT
SECTION 1400.6040 NO WAIVER OF SOVEREIGN IMMUNITY
Section 1400.6040 No Waiver
of Sovereign Immunity
Nothing in this Part will be
deemed to be a waiver of sovereign immunity.
(Source: Added
at 48 Ill. Reg. 2924, effective February 7, 2024)
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