Request #17-62

RE: REQUEST FOR PROPOSAL: State of Rhode Island 457(b) Deferred Compensation and 401(a) Defined Contribution Plans Recordkeeping and Investment Services

To Whom It May Concern,

Empower Retirement respectfully requests, in accordance with the public records freedom of information act laws in your state, all vendor proposals, finals presentations, consultant evaluations/recommendations, and individual committee evaluation sheets (for both RFP responses and finalist presentations) related to those items submitted in response to the above referenced RFP from the State of Rhode Island dated April 19, 2017 so that we may learn and improve upon our offerings in the future.


If there is a charge for making photocopies, we would be pleased to remit payment. Please advise me of the amount in advance and where payment should be sent. Emailed documents or electronic files on a USB is certainly appropriate if convenient for you. My contact information is:


Empower Retirement                                                                     

Attn: Vickie Heath 8525 E Orchard Road, 10T3 Greenwood Village, CO 80111

Phone: 303.737.3303




Best Regards,





Vickie Heath


September 14, 2017 via web


None Assigned





Point of Contact

Kara DiPaola

Request Published Public
November 20, 2017, 7:50am
Request Closed   Hide Public

Attached please find the documents responsive to your request.  Please note that the documents may contain redactions pursuant to Rhode Island General Laws (“R.I.G.L.”) § 38-2-2(4)(B), as some of the information you have requested contained commercial, and financial information obtained from a person, firm, or corporation which is of a privileged or confidential nature.

If you contend you have been denied access to public records, pursuant to Rhode Island General Laws §38-2-8, you may appeal this decision to Amy L. Crane, General Counsel for the Rhode Island General Treasurer’s Office, 50 Service Avenue, 2nd Floor, Warwick, RI 02886.  You may also file a complaint with the Department of the Attorney General, 150 South Main Street, Providence, RI 02903 or the Rhode Island Superior Court of the county where the records are maintained.

Additional information regarding the Access to Public Records Act may be found at

Thank you for your interest in keeping government open and accountable to the public.

October 20, 2017, 3:49pm
Document(s) Released   Details Public
1 Attachment A.pdf
1 Fees.pdf
1 Investment Managment Services.pdf
1 Organization and History.pdf
10 Participant Reporting.pdf
11 Participant Services and VRS.pdf
12 Participant Service and 1-800.pdf
13 Participant and Internet Services.pdf
14 Feild Service Representatives.pdf
15 Investment Advisory Services.pdf
16 Plan Implementation.pdf
2 Fee Schedule Incumbent Provider.pdf
2 References.pdf
2 Self Directed Brokerage.pdf
3 Client Service and Quality Assurance.pdf
3 Non Incumbent Provider.pdf
3 Stable Value Fund and Fixed Account.pdf
4 Additional Fees.pdf
4 Record Keeping and Administration.pdf
5 Systems Capabilities and Hardware.pdf
6 Custodial Trust.pdf
7 Regulatory and Compliance Service.pdf
8 Communication and Education.pdf
9 Plan Sponser Reporting.pdf
appendix a - sample custody agreement.pdf
appendix b - sample communication and education materials.pdf
appendix c - sample participant statement.pdf
appendix d - sample transition timeline.pdf
appendix e - investment information- proposed fund menu.pdf
Attachment A_Certification Compliance Min Requirements.pdf
Attachment B_Certification Compliance Std St Contract.pdf
Attachment C_SSAE 16 Report.pdf
Attachment D_Sample ComEdu Mat_Brochure.pdf
Attachment D_Sample ComEdu Mat_Flyer.pdf
Attachment D_Sample ComEdu Mat_Postcard.pdf
Attachment E_Sample Annual Plan Review.pdf
Attachment E_Sample Plan Reports Available Online.pdf
Attachment F_Sample Participant Statement.pdf
Attachment G_Proposed Fund Lineup.xlsx
Attachment H_Certificate of Authority.pdf
Copy of #1 Scoring - 401(a) 457(b) RFP.pdf
Copy of #2 Scoring - 401(a) 457(b) RFP.pdf
Copy of #3 Scoring - 401(a) 457(b) RFP.pdf
Copy of #4 Scoring - 401(a) 457(b) RFP.pdf
Cover Letter _RI_Craig.pdf
Cover Letter _RI_Kim.pdf
REDACTED - Empower Repsonse to RFP for Rhode
Section 1.pdf
Section 2.pdf
Section 3.pdf
Section 4.pdf
State of Rhode Island Vendor Search Board Summary 042417-rev1.pdf
tab 1 - executive summary (2).pdf
tab 1 - executive summary.pdf
tab 2 - administrative services questionnaire (2).pdf
tab 2 - administrative services questionnaire.pdf
tab 3 - investment services questionnaire (2).pdf
tab 3 - investment services questionnaire.pdf
tab 4 - fee questionnaire (2).pdf
tab 4 - fee questionnaire.pdf
tab 5 - required forms (2).pdf
tab 5 - required forms.pdf
Table of Contents.pdf
TIAA Response 9-19-17 RED version.pdf
October 20, 2017, 3:48pm
Request Opened Public
Request received via web
September 14, 2017, 2:17pm