SUBCHAPTER 5D ‑ CONSULTANT CONTRACTS
SECTION .0100 ‑ CONSULTANTS
01 NCAC 05D .0101 APPLICABILITY
The Rules in this Section and Section .0200 are applicable
to all agencies except local school administrative units and Community
Colleges.
The Rules in this Section and Section .0200 do not apply to
contracts for attorneys employed by the North Carolina Department of Justice or
by other agencies of state government pursuant to the provisions of G.S.147‑17,
to contracts for physicians or doctors providing direct medical care for the
clientele of any state agency, to contracts entered into by the General
Assembly or its special study commissions, to contracts entered into by the
Institute of Government to provide or obtain consulting or advisory services, to
contracts to provide services without compensation to the provider of the
services or to his employing agency or to contracts entered into by a state
agency pursuant to specific statutory authority which provides, in the opinion
of the Governor or designee, a specific alternative procedure for the selection
and award of such contracts.
History Note: Authority G.S. 143-64.24; 147‑17;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. February 1, 1996.
01 NCAC 05D .0102 DEFINITION
Consultant services shall mean work or task(s) performed by
State employees or independent contractors possessing specialized knowledge,
experience, expertise and professional qualifications to investigate assigned
problems or projects and to provide counsel, review, analysis or advice in
formulating or implementing improvements in programs or services. This
includes but is not limited to the organization, planning, directing, control,
evaluation and operation of a program, agency or department.
History Note: Authority G.S. 143-64.21;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. February 1, 1996.
SECTION .0200 ‑ CONTRACTING PROCEDURE FOR CONSULTANTS
01 NCAC 05D .0201 GENERAL STATEMENT OF POLICY
State agencies shall acquire consultive services only when
the contract is in the best interests of the State. In acquiring such
services, competition shall be sought whenever practicable as determined by the
Division of Purchase and Contract. No agency which is subject to the
provisions of this Subchapter may contract for services of a consultant nature
except in accordance with the provisions of this Subchapter.
History Note: Authority G.S. 143-64.21;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. February 1, 1996.
01 NCAC 05D .0202 CONSULTING CONTRACTS WITH OTHER
AGENCIES
Whenever possible consultant services shall be obtained from
other agencies when the services available from other agencies substantially
meet the reasonable specifications of the requesting agency.
History Note: Authority G.S. 143-64.22;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. February 1, 1996.
01 NCAC 05D .0203 REQUESTS FOR AUTHORITY TO CONTRACT
WITH CONSULTANTS
Before receiving authorization to seek consultant services,
an agency shall submit to the Division of Purchase and Contract written
justification for its request for consultant services. This written
justification shall at a minimum explain what services the agency desires to
secure, why the work to be performed by the consultant cannot be reasonably
accomplished by employees of the requesting agency, how the work to be performed
relates to the proper functions of the agency, what benefits the agency expects
to receive from the consultant's services, what the agency estimates to be the
cost of the services sought, and what potential sources of consultant services
if any the agency has identified. If the agency is requesting authority to
contract for consulting services outside of State government, it shall also
detail what potential sources of those services exist within State government
and explain why the desired services were not available from those sources. The
written justification shall be accompanied by a letter of endorsement for the
proposed contract(s) from the agency head or his designee.
History Note: Authority G.S. 143‑64.21; 143‑64.22;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. February 1, 1996.
01 NCAC 05D .0204 REVIEW OF AGENCY REQUESTS
The documents submitted by agencies requesting authority to
retain consultants will be reviewed by the Division of Purchase and Contract.
Upon completion of this review the requesting agency will be advised, subject
to such conditions as may be prescribed by the Governor or designee, to:
(1) canvass additional sources within state
government; or
(2) solicit proposals from private contractors;
or
(3) execute a negotiated contract(s) without
competitive proposals if the Division of Purchase and Contract and the Governor
have determined that performance or price competition is not available or that
the requirement is for an authorized cooperative project with another
governmental unit(s) or a public or private nonprofit organization(s) or that
the contract price is too small to justify soliciting competitive proposals; or
(4) abandon the project for being outside the
scope of the agency's responsibilities or for having insufficient benefit to
the State relative to the potential expenditure of funds.
History Note: Authority G.S. 143‑64.20 to 64.22;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. February 1, 1996; July 1, 1987.
01 NCAC 05D .0205 COMPETITIVE PROPOSALS
(a) An agency which receives approval to solicit proposals
for consultant services shall:
(1) Prepare a request for proposals in
accordance with these Rules and disseminate among prospective service
providers;
(2) Circulate the request for proposals to such
sources of consultant services as may be identified by the Division of Purchase
and Contract as well as all sources identified by the requesting agency;
(3) Publicly open all proposals received at a
date and time set in the request for proposals; however, in a two‑step
evaluation process, only the technical proposal shall be opened on the opening
date. The cost proposal is opened only if the technical proposal is determined
by the State to be acceptable;
(4) Upon receipt of proposals submit a copy of
each proposal received to the Division of Purchase and Contract;
(5) Review all proposals received on the basis
of evaluation criteria significantly related to the function to be performed
and equally applied to all proposals received;
(6) Submit a memorandum to the Division of
Purchase and Contract citing criteria for selection and recommending contract
award.
(b) The Division of Purchase and Contract shall evaluate
all proposals received in accordance with the requirements of the request for
proposals and shall consider the recommendations of the requesting agency.
Upon completion of the Division's analysis, the Division shall forward a
recommendation to the Governor. The requesting agency shall be notified in writing
by the Governor or designee that all proposals have been rejected or that the
agency head is authorized to execute a contract(s) with an approved service
provider(s).
History Note: Authority G.S. 143‑64.20 to 64.23;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. February 1, 1996.
01 NCAC 05D .0206 NEGOTIATED CONSULTANT CONTRACTS
An agency which receives authorization to enter into a
negotiated contract(s) for consultant services without soliciting competitive
proposals shall submit the proposed contract(s) to the Division of Purchase and
Contract for review and approval prior to execution. Upon completion of this
review the requesting agency shall be notified in writing by the Governor or
his designee that an approved contract(s) may be executed by the agency head.
History Note: Authority G.S. 143‑64.20 to 64.23;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. July 1, 1987.
01 NCAC 05D .0207 CONSULTANT CONTRACT MODIFICATION
Any modification to an approved contract(s) shall be subject
to the same approval requirements as the original contract(s). The Governor or
his designee may at his option, during the process of reviewing requests for
contract modifications, waive any of the provisions of .0203 of this Section.
History Note: Authority G.S. 143, Article 3C;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. July 1, 1987.
01 NCAC 05D .0208 FORMAT
All contracts for consultant services shall be in writing
and in a format approved by the Division of Purchase and Contract. Contracts
must be executed by the department head in the case of the executive
departments of state government, by the chief executive officer of independent
boards and agencies, by the President of the University of North Carolina for
contracts to which the university or any of its constituent institutions is to
be a party, or by agents of above named officials who have been specifically
designated by those officials and whose names and positions have been filed
with the Division of Purchase and Contract and whose designation has been
approved by the Division of Purchase and Contract and the Governor or his
designee.
History Note: Authority G.S. 143, Article 3C;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979.
01 NCAC 05D .0209 RELATIONSHIP OF CONSULTANT TO STATE
No contract for consultant services shall create an employer‑employee
relationship between the State of North Carolina and the consultant.
History Note: Authority G.S. 143-64.21;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. February 1, 1996.
01 NCAC 05D .0210 CONSULTANT CONTRACTS CONTRARY TO THIS
SECTION
History Note: Authority G.S. 143‑64.23; 143‑1;
143‑32;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Repealed Eff. February 1, 1996.
SECTION .0300 ‑ SERVICE CONTRACTS
01 NCAC 05D .0301 APPLICABILITY
01 NCAC 05D .0302 EXEMPTIONS
01 NCAC 05D .0303 DEFINITIONS
History Note: Authority G.S. 143‑49; 143‑53;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Repealed Eff. February 1, 1996.
SECTION .0400 ‑ CONTRACTING PROCEDURE
01 NCAC 05D .0401 GENERAL POLICY STATEMENT
01 NCAC 05D .0402 JUSTIFICATION
01 NCAC 05D .0403 TASK DESCRIPTION
History Note: Authority G.S. 143‑49; 143‑53;
143‑58;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. July 1, 1987;
Repealed Eff. February 1, 1996.
SECTION .0500 ‑ COMPETITIVE PROCEDURES
01 NCAC 05D .0501 GENERAL REQUIREMENTS
01 NCAC 05D .0502 SERVICES COSTING UP TO $500.00
01 NCAC 05D .0503 SERVICES COSTING OVER $500.00, BUT
UNDER $5,000
01 NCAC 05D .0504 SERVICES COSTING OVER $5,000
01 NCAC 05D .0505 SINGLE SOURCE SERVICES
01 NCAC 05D .0506 RENTAL AGREEMENTS
01 NCAC 05D .0507 GROUPING OF SERVICE PURCHASES
01 NCAC 05D .0508 GENERAL CONTRACTING REQUIREMENTS
01 NCAC 05D .0509 REQUEST FOR PROPOSALS
History Note: Authority G.S. 143‑49; 143‑53;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Amended Eff. August 1, 1988; July 1, 1987; January 1,
1985;
Repealed Eff. February 1, 1996.
SECTION .0600 ‑ CONTRACTUAL AND CONSULTANT SERVICE FORMS
01 NCAC 05D .0601 FORM PC‑288: CONSULTANT SERVICES
REFERRAL SHEET
01 NCAC 05D .0602 FORM PC‑289: CONSULTANT SERVICES
APPROVAL FORM
01 NCAC 05D .0603 FORM PC‑290: APPLICATION FOR
BIDDER'S MAILING LIST
History Note: Authority G.S. 150B‑11;
Eff. February 1, 1976;
Readopted Eff. February 27, 1979;
Repealed Eff. June 1, 1986.
