Request for Proposals – Information Technology Support

A D R I A E N ’ S L A N D I N G

Request for Proposals – Information Technology Support

Table of Contents

Page

Background . . . . . . . . 2

Scope of Services . . . . . . . . 3

Period of Contract . . . . . . . . 4

Contractor Qualifications . . . . . . . 4

Submission Deadline . . . . . . . . 4

RFP Procedures . . . . . . . . 4

Submission Requirements . . . . . . . 5

Selection Criteria . . . . . . . . 6

RFP Conditions . . . . . . . . 7

Attachments

Exhibit “A” Plain Language Summary of State Ethics Laws for Current & Potential State ContractorsExhibit “B” Notice to Executive Branch State Contractors and Prospective State Contractors of

Campaign Contribution and Solicitation BanExhibit “C” State Elections Enforcement Commission Form 10Exhibit “D” State Elections Enforcement Commission Form 11

Application Appendix A Contractor Compliance RequirementsApplication Appendix B Vendor Package

Forms Notification to Bidders FormEvidence of Nondiscrimination FormEmployment Information Form

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I. BACKGROUND

The Adriaen’s Landing development is a $771.0 million mixed-use development located indowntown Hartford, Connecticut. The 30-acre site is bordered by Prospect Street to the west, I-91 to theeast, State Street to the north and the Whitehead Highway to the south. Uses consist of a ConventionCenter, a Convention Center Hotel and the Connecticut Science Center that is currently underconstruction, as well as a residential and entertainment/retail district, currently under development. TheCapital City Economic Development Authority (CCEDA) is the developer and owner of the ConnecticutConvention Center, Garages and portions of the sidewalks and plazas located at Adriaen’s Landing.

The Adriaen’s Landing Project is seeking proposals from qualified firms (1) to provideinformation technology system support for its offices located at 50 Columbus Boulevard in Hartford; (2)to assist CCEDA to meet its IT needs during the relocation of its offices to the unfinished office spacelocated on the 5th floor of the Connecticut Convention Center; (3) to provide support services for itsinformation technology infrastructure at the Central Utility Plant (“CUP”) located inside the ConnecticutConvention Center on Columbus Boulevard in Hartford; (4) to assist CCEDA in determining the bestprocurement practices for the purchase of information technology material and equipment.

Equipment located at the CCEDA offices located at 50 Columbus Boulevard:

CCEDA has a Fast-Ethernet, 10/100 Mbps, base local area network (“LAN”) with Windows NTand Windows 2000 servers supporting a number of mixed operating system workstations.

Server: Dell PowerEdge 2600 2.4Ghz/512 Mhz, FSB Xeon Keyboard, optical mouse, mouse,mouse pad, 24X CDRW, 1.44 MB FD Dual Port Gigabit NIC, Hot Swap RAID Array forOS and Data, 4X 36GB 10K RPM Ultra 320 SCSI hard drive – RAID 5 Data IncludingExchange Server.

Computers: Dell Optiplex 745 SFF Intel Core 2 Duo, 1.86 Ghz, 2M, 1-66Mhz Fsb, 1 GB DDR2 677Mhz Ram, Integrated Video, Windows XP Pro, Mouse Pad, USB Kybd & mouse, 80GBSATA HD, 24xCDRW/DVD combo, Nuance PDF creator Pr, MS Office small businessedition. [Three*]

Dell Optiplex GX270 Small Form Factor, Pentium 4, 2.66Ghz, 512 mb RAM, DellDeyboard and USB optical mouse, 40gb hard drive, 24X DVD-CDRW. [One*].

Monitors: Dell E171 FP Flat Panel 17 inch Viewable Flat Panel LCD Monitor Environment. [Four*]

Printers: HP Laser Jet 1022n [One*]

Scanner: HP 7650 Flatbed Color Scanner and Document Feeder including Paper Port 10Professional software. [One*]

* [Number of units in use]

Please note: the WAN connection and the router are managed by the Connecticut Department ofInformation Technology and will not be serviced or managed by the selected proposer.

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Equipment located at the Convention Center CUP located at 100 Columbus Boulevard:

Primary Equipment: Siemens HVAC Control Systems for vital databases• Insight workstations (APOGEE).

CUP Back-up Server: Dell Power Edge 2600: Intel CPU:Dual 3.0 Ghz XEON w/512K Cache, 2GBPC2100 RAM, 1x6 SCSI 80-pin backplane, Perc 4/DI w/128MB Cache, CD ROMIntegrated Gigabit NIC, On-board ATI Rage XL, dual 730w PSU. 3X36GB 10K80 pin U320 SCHI Hard Drives in RAID 5;

Backup Exec System Recovery Server Edition;Backup Exec System Recovery Media Kit;Backup Exec 11d Media KitBackup Exec for Window Server 11d Upgrade;Backup Exec for Window Server Exchange Agent Upgrade.Backup Exec Remote Agent

II. SCOPE OF SERVICES

The selected proposer will be expected to perform the following services under any resultingcontract:

Office IT Support

A. Provide information technology support for the CCEDA offices located 50 Columbus Boulevard,Hartford for a fixed monthly fee, including but not limited to:

(1) Unlimited on-call desktop support;(2) Implementation of all server and workstation patches and service packs, as appropriate;(3) Manage Backup Solution(4) Unlimited Technology Consultation(5) Administration and Support of all existing network hardware, applications and service;(6) Support of cell phone/pocket pc integration with existing desktop computers.

Note: [Any additional services or products offered by proposers should be clearlyoutlined and be accompanied by the respective fees and rates. Such services shouldinclude the installation of new hardware and software packages.]

B. Assist CCEDA during the relocation of its offices to the unfinished office space located on the 5th

floor of the Connecticut Convention Center;C. Work with CCEDA to determine the best procurement practices for the purchase of information

technology material and equipment.

Central Utility Plant IT Support

D. Provide CCEDA with comprehensive support services for its information technology infrastructureat the Central Utility Plant (“CUP”) located inside the Connecticut Convention Center onColumbus Boulevard in Hartford. Such services include support for the CUP back-up server in

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order to provide rapid replication of the primary CUP server in the event of a primary systemfailure. In the event of a catastrophic event, the company should respond on-site or on-line toreload the databases and system files from the stored backup copy and to restore operations. Suchresponse should be as soon as possible, but in no event longer than four (4) hours.

III. CONTRACT PERIOD

CCEDA anticipates that the selected proposer will commence work on or about July 1, 2007 andcontinue until June 30, 2010.

IV. CONTRACTOR QUALIFICATIONS

Eligible proposers will be those consultants, companies and institutions that have a demonstratedtrack record for providing information technology support services for similar IT platforms.

V. SUBMISSION DEADLINE

Timeline. The following timeline, up to and including the deadline for submitting proposals, shall be changed onlyby an amendment to this RFP. Dates after the submittal deadline are target dates only. No additions or changes tothe original proposal will be allowed after submittal. While changes are not permitted, clarification of proposalsmay be required by the State.

Wednesday May 23, 2007 RFP IssuedFriday June 1, 2007 Deadline for Questions due by 2:00 PMTuesday June 5, 2007 Written Answers to Questions Released & Posted on the DAS Web siteFriday June 15, 2007 Proposals Due by 3:00 PMWednesday June 20, 2007 Award notification and draft contract

VI. RFP PROCEDURES

A. Official CCEDA Contact. The contact person representing CCEDA for the purpose of this RFP is:

Dorine ChanningCCEDA50 Columbus Boulevard Suite 400Hartford, CT 06106

Telephone (860) 527-0100Facsimile (860) 527-0133E-Mail [email protected]

All communications with CCEDA regarding this RFP must be directed to the Official CCEDA Contact or herdesignee.

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B. Proposer’s Authorized Representative. Proposers must designate an authorized representative and one (1)alternate. Provide the name, title, address, telephone and facsimile numbers, E-mail address and normal workinghours for each representative. This information must be submitted to the Official CCEDA Contact with the RFPsubmission.

C. Communications Notice. All communications with CCEDA or any person representing CCEDA, concerningthis RFP are strictly prohibited, except as permitted by this RFP. Any violation of this prohibition by bidders ortheir representatives may result in disqualification or other sanctions, or both.

D. Inquiry Procedures. All questions regarding this RFP and submission requirements must be received, in writingvia email or facsimile, to the official CCEDA Contact by 4:00 PM on Friday, June 1, 2007. Bidders are required tolimit their contact regarding this RFP to the Official CCEDA Contact named herein. Bidders are encouraged to callthe CCEDA contact to confirm receipt of any document sent via email or facsimile.

Fax or E-Mail copies are not permissible and will result in rejection of the bid.

Proposals Due. Proposals must be received at the CCEDA Office, 50 Columbus Blvd – Suite 400, Hartford, CT06106 (not phoned, e-mailed or faxed) either hand delivered and or mail no later than 3:00 PM on Friday, June 15,2007. Bidder must submit Five (5) copies of their proposal. Each proposal must set forth accurate and completeinformation inclusive of this RFP

Contractor Selection. It is CCEDA’s intention to notify the successful bidder by Wednesday, June 20, 2007 and toinitiate this engagement as soon as possible thereafter. It is CCEDA’s intention to meet with the apparent lowbidder to review their scope and understanding and if deemed necessary conduct a scope review with others asnecessary to make the final selection.

V. SUBMISSION REQUIREMENTS

Section 1 – INDIVIDUAL OR ORGANIZATIONAL PROFILEa. Qualifications. Describe how your experience, education and training, or special knowledge,

skills or abilities meet the required minimum qualifications of this RFP.b. Summary of Relevant Experience. Provide a listing of three projects that the proposer has

completed within the last three years in the subject area with emphasis on activities relevantand related to the proposed project. Additionally, please list any contracts in the last threeyears between the proposer and any agency of the state of Connecticut.

c. Organization Chart. If the proposer is a firm or corporation, provide diagram showing thehierarchical structure of functions and positions within the organization.

d. References. Include three letters of reference from recent clients. Provide the followinginformation of each reference: name, title, name of company, company address, and telephonenumber.

e. Forms. Include all completed forms provided in the RFP.

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Section 2 – STATEMENT OF WORKa. Work Plan: Provide a detailed, task-oriented breakdown for each activity/task in the scope of

services.b. Methodologies: Describe how each activity/task will be accomplished, providing a detailed

explanation of the procedures or processes that will be used to attain the expected outcomes.

Section 3 – PROPOSED COSTa. Provide fee/rate proposals for Office IT Support Services, inclusive of:

• Fixed Monthly Fee, which is representative of the cost of providing Basic Scope ofService; and

• Additional Services Rate Schedule, which shall include rate schedules for labor andpercentage markups for goods and services that may be required from time to time and arenot covered by the Fixed Monthly Fee. Please give overtime/weekend rates as well.

b. Provide fee/rate proposals for CUP IT Support Services, inclusive of:

• Fixed Monthly Fee, which is representative of the cost of providing Basic Scope ofService; and

• Additional Services Rate Schedule, which shall include rate schedules for labor andpercentage markups for goods and services that may be required from time to time and arenot covered by the Fixed Monthly Fee. Please give overtime/weekend rates as well.

[NOTE: PLEASE SUBMIT SEPARATE FEE AND RATEPROPOSALS FOR BOTH THE “OFFICE IT SUPPORT SERVICES”AND THE “CUP IT SUPPORT SERVICES,” RESPECTIVELY]

VI. SELECTION CRITERIA

Contract award will be based on the lowest responsible bid that meets the following qualifications:

1. Outline of Work – The quality of the proposed work plan;

2. Contractor Qualifications – Previous experience, education and training, special knowledge skills andabilities;

3. Key Personnel – The number, qualifications, and titles of primary persons assigned to the project;

4. Cost

5. References

6. Demonstrated Commitment to Affirmative Action:

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VII. RFP CONDITIONS

All bidders shall adhere to the following conditions:

A. CCEDA is an Equal Opportunity and Affirmative Action employer and does not discriminate in its hiring,employment, or business practices. CCEDA is committed to complying with the Americans with Disabilities Act of1990 (ADA) and does not discriminate on the basis of disability, in admission to, access to, or operation of itsprograms, services, or activities.

B. Any product, whether acceptable or unacceptable, developed under a contract awarded as a result of theRFP is to be the sole property of CCEDA. Any and all drawings and/or schematics developed by the bidder for anyof the equipment, systems, or subsystems covered by the contract shall become the property of CCEDA, areproducible copy of which shall be supplied to CCEDA upon completion.

C. Timing and sequence of events resulting from this RFP will ultimately be determined by CCEDA.

D. The bidder’s proposal shall remain valid for a period of 30 days after the closing date for the submissionand may be extended beyond that time by mutual agreement.

E. CCEDA may amend or cancel this RFP, prior to the due date and time, if CCEDA deems it to be necessary,appropriate or otherwise in the best interests of CCEDA. Failure to acknowledge receipt of amendments, inaccordance with the instructions contained in the amendments, may result in a firm's proposal not being considered.

F. The bidder shall agree to adhere to any special certification, licenses, or training requirements required byFederal, State or Local Jurisdictions. In addition, CCEDA may prevent a Contractor employee from performingduties under this contract until the Contractor has substantiated his/her qualifications.

G. Any costs and expenses incurred by bidders in preparing or submitting proposals are the sole responsibilityof the bidder.

H. A bidder must be prepared to present evidence of experience, ability, service facilities, and financialstanding necessary to satisfactorily meet the requirements set forth or implied in the proposal.

I. No additions or changes to the original proposal will be allowed after submission. While changes are notpermitted, clarification of proposals may be required by CCEDA at the bidder’s sole cost and expense.

J. CCEDA believes that all information contained within this RFP document, and any related documents, iscomplete and accurate, but cannot guarantee it. It is the responsibility of each Bidder to carefully examine thecontents of this Request for Proposal (RFP) and any related documents. Any ambiguities or inconsistencies shall bebrought in writing to the attention of Dorine Channing, no later than June 1, 2007.

K. CCEDA reserves the right to engage in simultaneous discussions with more than one Bidder and toterminate discussions with any Bidder at any time. CCEDA further reserves the right under this selection to awardadditional related services to the selected Bidder. No award shall be final and effective, and no contract rights shallarise, unless and until a Purchase Order or Contract is issued and executed.

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L. The bidder represents and warrants that the proposal is not made in connection with any other bidder and isin all respects fair and without collusion or fraud. The bidder further represents and warrants that they did notparticipate in any part of the RFP development process, had no knowledge of the specific contents of the RFP priorto its issuance, and that no agent, representative or employee of CCEDA participated directly in the bidder’sproposal preparation.

M. All responses to the RFP must conform to instruction. Failure to include any required signatures, providethe required number of copies, meet deadlines, answer all questions, follow the required format, or failure tocomply with any other requirements of this RFP may be considered appropriate cause for rejection of the response.

N. [Deleted]

O. The Proposal shall assume all liability for loss or damage to materials or work performed, and for death,injury, or property damage from work under this contract, subject to customary contractual limitations.

P. Bidder certifies that materials offered in the Proposal shall be new and shall make no substitutions ofmaterial or equipment specified without prior written consent.

Q. [Deleted]

R. The proposal shall include the cost of Payment Bond.

S. The awarding authority, CCEDA, reserves the right to waive technical defects or to reject any and all bids.

T. Bidder acknowledges that the Implementing Legislation requires that the wages paid on an hourly basis toany mechanic, laborer or workman employed by the Bidder with the respect to the on-site work required under thisRFP, be at a rate not less than is customary or prevailing for the same work in the same trade or occupation in theCity, unless wage rates for such work are otherwise established pursuant to a project labor agreement.

Prevailing wages are required on this project, in accordance with the schedule provided in Attachment 2,pursuant to Connecticut General Statutes, Section 31-55a concerning annual adjustments to prevailingwages.

Wage Rates will be posted each July 1st on the Department of Labor website: www.ctdol.state.ct.us . Suchprevailing wage adjustments shall not be considered a matter for any contract amendment.

The wages paid on an hourly basis to any mechanic, laborer or workman employed upon the work hereincontacted to be done and the amount of payment or contribution paid or payable on behalf of each suchemployee to any employee welfare fund, as defined in subsection (h) of section 31-53 of the ConnecticutGeneral Statutes, shall be at a rate equal to the rate customary or prevailing for the same work in the sametrade or occupation in the town in which such CCEDA is being constructed. Any contractor who is notobligated by agreement to make payment or contribution of behalf of such employees to any such employeewelfare fund shall pay to each employee as part of his wages the amount of payment or contribution for hisclassification on each pay day.

U. [Deleted]

V. The Adriaen’s Landing Project has employed an Independent Auditor. Time and Material Change Orderwork is subject to audit by the Independent Auditor.

W. All materials and equipment supplied to the project and on-site work is exempt from Connecticut Sales Tax.

http://www.ctdol.state.ct.us/

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X. Bidder is responsible to disclose any current (within the last three years) business relationships that maypose a conflict of interest.

Y. Rejection for Unresolved Contractual Disputes. CCEDA reserves the right to reject the final submission ofany Bidder that is party to any on-going contractual dispute with any Agency or Quasi Public Agency of the State ofConnecticut.

Z. CCEDA reserves the right to award in part, to reject any and all submissions in whole or in part, to waivetechnical defect, irregularities and omissions if, in its judgment, the best interest of the State will be served; formisrepresentation or when the Bidder is in default of any prior State contract; or if the submission limits or modifiesany of the terms and conditions and/or specifications of the RFP.

AA. This RFP is not an offer and neither this RFP nor any subsequent discussions shall give rise to anycommitment on the part of CCEDA or confer any rights on any bidder unless and until a contract is fully executedby the necessary parties. The contract document will represent the entire agreement between the bidder andCCEDA and will supersede all prior negotiations, representations or agreements, alleged or made, between theparties. CCEDA shall assume no liability for payment of services under the terms of the contract until thesuccessful bidder is notified that the contract has been accepted and approved by CCEDA. The contract may beamended only by means of a written instrument signed by CCEDA and the bidder.

AB. The Contractor certifies that the Contractor has not been convicted of bribery or attempting to bribe anoffice or employee of CCEDA, nor has the Contractor made an admission of guilt of such conduct which is a matterof record

AC. Pursuant to Connecticut General Statutes §§ 4-250, 4-251 and 4-252, Contractor must present at theexecution of each large State contract (having a total cost to the State of more than $500,000 in a calendar or fiscalyear) an executed gift affidavit, which Contractor shall update on an annual basis in accordance with paragraph 8 ofGovernor M. Jodi Rell’s Executive Order No. 1. In addition, pursuant to paragraph 8 of Governor M. Jodi Rell’sExecutive Order No. 1, anyone who executes and files said gift affidavit shall also execute and file a campaigncontribution affidavit disclosing all contributions made to campaigns of candidates for statewide public office or theGeneral Assembly.

AD. Pursuant to Governor M. Jodi Rell’s Executive Order No. 7C, paragraph 10, Contractor shall comply withthe gift affidavit requirements of Connecticut General Statutes §§ 4-250 and 4-252, and Governor M. Jodi Rell’sExecutive Order No. 1 for all personal service agreement contracts with a value of $50,000 or more in a calendar orfiscal year by executing and filing said gift affidavit with CCEDA.

AE. Pursuant to paragraph 6(a) of Governor M. Jodi Rell’s Executive Order No. 7C, Contractor acknowledgesand accepts that, for cause, the State Contracting Standards Board may review and recommend, for CCEDA’sconsideration and final OPM determination, termination of this contract. “For Cause” means: (1) a violation of theState ethics laws (Chapter 10 of the Connecticut General Statutes) or Connecticut General Statutes § 4a-100 or (2)wanton or reckless disregard of any State contracting and procurement process by any person substantially involvedin such contract or State contracting agency

AF. Pursuant to Connecticut General Statutes § 1-101qq, every contractor to a large State construction orprocurement contract shall review the summary of State ethics laws developed by the State Ethics Commissionpursuant to Connecticut General Statutes Section 1-81b (the “Summary”) and shall promptly affirm to OPM inwriting that the key employees of such Contractor have received, reviewed and understand the Summary and agreeto comply with the provisions of the State ethics laws. A copy of the Summary is attached and incorporated herein

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as Attachment B. Pursuant to subsection (b) of Section 37 of P.A. No. 05-287, Contractor shall incorporate andinclude the Summary in all contracts with any subcontractor or consultant working or assisting the Contractor withthe large state construction or procurement contract. Contractor shall require in said contracts that the keyemployees of any subcontractor or consultant affirm that they have received, reviewed and understand the Summaryand agree to comply with the provisions of the State ethics laws. Contractor shall supply such affirmations to OPMpromptly. “Large state construction or procurement contract" means any contract, having a cost of more than fivehundred thousand dollars, for (A) the remodeling, alteration, repair or enlargement of any real asset, (B) theconstruction, alteration, reconstruction, improvement, relocation, widening or changing of the grade of a section ofa state highway or a bridge, (C) the purchase or lease of supplies, materials or equipment, as defined in Section 4a-50 of the Connecticut General Statutes, or (D) the construction, reconstruction, alteration, remodeling, repair ordemolition of any public building.

AG. Pursuant to Connecticut General Statutes § 4a-81, the chief official of the Contractor, for all contracts witha value to the State of fifty thousand dollars or more in any calendar or fiscal year, shall attest in an affidavit as towhether any consulting agreement has been entered into in connection with such contract. Such affidavit shall berequired if any duties of the consultant included communications concerning business of such State agency, whetheror not direct contact with a State agency, State or public official or State employee was expected or made. As usedherein "consulting agreement" means any written or oral agreement to retain the services, for a fee, of a consultantfor the purposes of (A) providing counsel to a contractor, vendor, consultant or other entity seeking to conduct, orconducting, business with the State, (B) contacting, whether in writing or orally, any executive, judicial, oradministrative office of the State, including any department, institution, bureau, board, commission, authority,official or employee for the purpose of solicitation, dispute resolution, introduction, requests for information or (C)any other similar activity related to such contract. Consulting agreement does not include any agreements enteredinto with a consultant who is registered under the provisions of Chapter 10 of the general statutes as of the date suchaffidavit is submitted in accordance with the provisions of Connecticut General Statutes § 4a-81.

AH. Pursuant to Connecticut General Statutes § 4a-61dd, a large state contractor shall be liable for a civilpenalty of not more than five thousand dollars for each offense, up to a maximum of twenty per cent of the value ofthe contract, if an officer, employee or appointing authority of a large state contractor takes or threatens to take anypersonnel action against any employee of the large state contractor in retaliation for such employee's disclosure ofinformation to any employee of the contracting State or quasi-public agency or the Auditors of Public Accounts orthe Attorney General under the provisions of Connecticut General Statutes § 4a-61dd(a). Each violation shall be aseparate and distinct offense and in the case of a continuing violation each calendar day's continuance of theviolation shall be deemed to be a separate and distinct offense. Each large state contractor shall post a notice of theprovisions of this section relating to large state contractors in a conspicuous place which is readily available forviewing by the employees of the contractor. As used in Connecticut General Statutes § 4a61dd, a “large statecontract" means a contract between an entity and a state or quasi-public agency having a value of five milliondollars or more and (2) "large state contractor" means an entity that has entered into a large state contract with astate or quasi-public agency

AI. This Contract is subject to the provisions of Conn. Gen. Stat. Section 9-333n(g).

AI.1 (A) In accordance with said statute, the following definitions apply for purposes of this section:(1)"State contractor" means a person, business entity or nonprofit organization that enters into a statecontract. Such person, business entity or nonprofit organization shall be deemed to be a state contractoruntil the termination of said contract. "State contractor" does not include a municipality or any otherpolitical subdivision of the state or an employee in the executive, legislative or judicial branch of stategovernment or a quasi-public agency, whether in the classified or unclassified service and full or part-time,

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and only in such person's capacity as a state or quasi-public agency employee. (2)"Prospective statecontractor" means a person, business entity or nonprofit organization that (i) submits a bid in response to abid solicitation by the state, a state agency or a quasi-public agency, or a proposal in response to a requestfor proposals by the state, a state agency or a quasi-public agency, until the contract has been entered into,or (ii) holds a valid prequalification certificate issued by the Commissioner of Administrative Servicesunder section 4a-100. "Prospective state contractor" does not include a municipality or any other politicalsubdivision of the state or an employee in the executive, legislative or judicial branch of state governmentor a quasi-public agency, whether in the classified or unclassified service and full or part-time, and only insuch person's capacity as a state or quasi- public agency employee. (3)"Principal of a state contractor orprospective state contractor" means (i) an individual who is a member of the board of directors of, or has anownership interest in, a state contractor or prospective state contractor, which is a business entity, except foran individual who (I) owns less than five per cent of the shares of any such state contractor or prospectivestate contractor that is a publicly traded corporation, or (II) is a member of the board of directors of anonprofit organization qualified under Section 501(c)(3) of the Internal Revenue Code of 1986, or anysubsequent corresponding internal revenue code of the United States, as from time to time amended, (ii) anindividual who is employed by a state contractor or prospective state contractor, which is a business entity,as president, treasurer or executive or senior vice president, (iii) an individual who is the chief executiveofficer of a state contractor or prospective state contractor, which is not a business entity, (iv) an employeeof any state contractor or prospective state contractor who has managerial or discretionary responsibilitieswith respect to a state contract, (v) the spouse or a dependent child of an individual described in thissubparagraph, or (vi) a political committee established by or on behalf of an individual described in thissubparagraph.

AI.2 (B) No principal of a state contractor or prospective state contractor shall make a contributionto, or solicit contributions on behalf of (i) an exploratory committee or candidate committee established bya candidate for nomination or election to the office of Governor, Lieutenant Governor, Attorney General,State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to makecontributions or expenditures to or for the benefit of such candidates, or (iii) a party committee.

AI.3 (C) If a principal of a state contractor makes or solicits a contribution prohibited undersubparagraph (B) of this section, the State may void this Contract and no state agency or quasi-publicagency shall award the state contractor a state contract or an extension or an amendment to a state contractfor one year after the election for which such contribution is made or solicited. Any claim, dispute or othermatter in question arising out of or relating to this Contract or breach thereof shall be subject to and decidedin accordance with the provisions of Section 4-61 C.G.S., as revised.

AJ. Nonresident Contractors at the time of contract signing a certificate from the Commissioner of Revenueservices must be provided evidence that C.G.S 12-430 for non-resident contractors has been met. For details callthe Department of Revenue Services at (860) 541-3280, ext. 7.

AK. All proposals in response to this RFP are to be the sole property of CCEDA. Bidders are encouraged NOTto include in their proposals any information that is proprietary. All materials associated with this procurementprocess are subject to the terms of State laws defining freedom of information and privacy and all rules, regulationsand interpretations resulting from those laws. The Connecticut Freedom of Information Act (FOIA) generallyrequires the disclosure of documents in the possession of the State upon request of any citizen, unless the content ofthe document falls within certain categories of exemption. An example of an exemption is a “trade secret,” asdefined by Connecticut General Statutes Section 1-210(b)(5)(A). Confidential information must be separated andisolated from other material in the proposal and labeled CONFIDENTIAL and enclosed in a separate envelope.

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If the bidder indicates that certain documentation, as required by this RFP, is submitted in confidence, byspecifically and clearly marking said documentation as CONFIDENTIAL, CCEDA will endeavor to keep saidinformation confidential to the extent permitted by law. CCEDA, however, has no obligation to initiate, prosecuteor defend any legal proceeding or to seek a protective order or other similar relief to prevent disclosure of anyinformation pursuant to a FOIA request. As set forth below, the bidder has the burden of establishing theavailability of any FOIA exemption in any proceeding where it is an issue. In no event shall CCEDA or any of itsstaff or representatives have any liability for disclosure of documents or information in the possession of CCEDAwhich CCEDA or such staff or representatives believes to be required pursuant to the FOIA or other requirementsof law.

IMPORTANT NOTE: If the information is not readily available to the public from other sources and the biddersubmitting the information requests confidentiality, then the information generally is considered to be “given inconfidence.” A convincing explanation and rationale sufficient to justify each exemption from release consistentwith Section 1-210(b) of the Connecticut General Statutes shall be prepared by the bidder and shall accompany theproposal. The rationales and explanation shall be simply stated in terms of the prospective harm to the competitiveposition of the bidder that would result if the identified information were to be released, and you shall state thereasons why you believe the materials are legally exempt from release pursuant to Section 1-210(b) of theConnecticut General Statutes.

End of RFP Document

Exhibit “A”

Guide to the Code of Ethics

For Current or Potential

State Contractors

2006

Guide for Current or Potential State Contractors

INTRODUCTION

The Connecticut Office of State Ethics (OSE) is an independent regulatory agency for the state of Connecticut, chargedwith administering and enforcing Connecticut General Statutes, Chapter 10, Part I and Part II.

The Ethics Codes under the OSE’s jurisdiction are comprised of: The Code of Ethics for Public Officials (Part I); and The Code of Ethics for Lobbyists (Part II).

This guide provides general information only. The descriptions of the law and the OSE are not intended to beexhaustive. Please contact the OSE with any questions regarding interpretation of the law.

For more information on the subjects discussed in this guide, call, write or visit:

Connecticut Office of State Ethics18-20 Trinity StreetSuite 205Hartford, CT 06106

860/566-4472www.ct.gov/ethics


CONTENTS

Introduction 2

Office of State Ethics 4

The Big Picture 4

Benefits to State PersonnelGifts 5Necessary Expenses 7Fees/Honorariums 7Gifts to the State 8

Hiring State PersonnelPost-state Employment 9Outside Employment 10

Other ProvisionsProhibited Activities 11Affidavits 11Investment Services 11Registering as a Lobbyist11Public Act 05-287 12Executive Orders 12

Additional Information 13


THE OFFICE OF STATE ETHICS (OSE)

The Connecticut Office of State Ethics (OSE) was officially created on July 1, 2005, by Public Act 05-183. Thegoverning body of the OSE is the Citizen’s Ethics Advisory Board (CEAB), nine members appointed by the Governorand legislative leadership. The CEAB holds monthly meetings that are open to the public and that are often covered byCT-N. A schedule of CEAB meeting dates, times and locations is available on the OSE’s Web site, www.ct.gov/ethics.

The OSE is an independent watchdog agency for the state of Connecticut that administers Connecticut General Statutes,Chapter 10, Parts I and II.

Simply put, the OSE educates all those covered by the law (the “regulated community”); provides information to thepublic; interprets and applies the codes of ethics; and investigates potential violations of the codes.The OSE is made up of the following components:

Citizen’s Ethics Advisory Board Executive Director Legal Division Enforcement Division

THE BIG PICTURE

All state officials and employees (except judges) are covered by Part I of the Code of Ethics for Public Officials(henceforth, Part I, or the Code). It is important to remember that certain provisions of the Code also apply to publicofficials and state employees after they leave state service.

As you read through this guide, be aware that these laws were enacted to prevent individuals from using their publicposition or authority for personal, financial benefit.

Each state agency also has its own ethics policy, which in many cases may bemore restrictive than what follows. Be sure to obtain a copy of the agency’spolicy before you attempt to provide any benefit to an agency official oremployee.

http://www.ct.gov/ethics


GIVING BENEFITS TO STATE PERSONNEL

GiftsAs a current or potential state contractor, you are presumably doing business with or seekinagency, and are therefore considered to be a regulated donor. In general, public officialsaccept gifts from regulated donors.

Regulated DonorsRegulated donors include:

Registered lobbyists (the OSE can tell you who is registered); Individuals or groups doing business with a state department or agency; Individuals or groups seeking to do business with a state department or agency; Individuals or groups engaged in activities regulated by a state department or agen Contractors pre-qualified by the Connecticut Department of Administrative Servi

100).

A gift is defined as anything of value that is directly and personally received by a public ofsometimes family members of those two categories) unless consideration of equal or greateGen. Stat. § 1-79 (e).

Gift ExceptionsThere are, however, certain exceptions to this definition of gift. Not all exceptions are covStat. § 1-79 (e) (1) – (16) for the complete list.

Token Items – Regulated donors such as current or potential state contractors maythat is under $10 (such as a pen, mug, or inexpensive baseball cap) to a public offprovided that the annual aggregate of such items from a single source is under $50(16).

Food and Beverage – Regulated donors may also provide up to $50 worth of foodyear to a public official or state employee, provided that the regulated donor or hiattendance when the food and/or beverage is being consumed. Conn. Gen. Stat. §

Other Exceptions – There are a total of 16 separate gift exceptions in the Code. Adefinition of gift are items such as informational materials germane to state actionawards costing less than $100, or promotional items, rebates or discounts also avaSee Conn. Gen. Stat. § 1-79 (e) (1) – (16).

g to do business with a stateor state employees may not

cy; orces (Conn. Gen. Stat. § 4a-

ficial or state employee (orr value is provided. Conn.

ered below; see Conn. Gen.

provide any item of valueicial or state employee,. Conn. Gen. Stat. § 1-79 (e)

and beverage in a calendars/her representative is in1-79 (e) (9).

lso exempt from the, ceremonial plaques orilable to the general public.


Note: The popularly-cited exception for major life events does not apply to those who are regulated by, doing businesswith or seeking to do business with a state agency. The only regulated donor that can make use of this very narrowexception is a registered lobbyist.

Reporting RequirementsShould you or your representative give anything of value to a public official or state employee, you must, within 10days, give the gift recipient and the head of that individual’s department or agency a w itten report stating:

Name of the donor; Description of item(s) given; Value of such item(s); and Total cumulative value of all items to date given to that recipient during the c

This helps both you and the state employee keep track of the gift exceptions noted abonot exceeded. Conn. Gen. Stat. § 1-84 (o).

Gift ProvisionsExample: You are in the process of submitting a contracting bid to astate agency. You provide the agency head with a gift certificate for$45 to a popular West Hartford eatery for her to use on her own.You have not previously given anything of value to this individual.

Even though you are under the permissible $50 food and beveragelimit, this gift is not allowed because you or your representative willnot be in attendance while the food and beverage is being consumed.

r

alendar year.

ve, so that permissible limits are


Necessary ExpensesYou may provide necessary expenses to a public official or state employee only if the official or employee, in his/herofficial capacity, is actively participating in an event by giving a speech or presentation, running a workshop, or havingsome other active involvement.

Necessary expenses can include: Travel (not first class); Lodging (standard cost of room for the nights before, of, and immediately followi Meals; and Related conference expenses.

Entertainment costs (tickets to sporting events, golf outings, night clubs, etc.) are not necesexpense payments also do not include payment of expenses for family members or other g

Please note, within 30 days of receiving payment or reimbursement of necessary expensestravel, state employees must file an ETH-NE form with the Office of State Ethics (OSE).

Fees/HonorariumsPublic officials and state employees may not accept fees or honorariums for an article, appparticipation at an event in their official capacity.

Fees or honorariums for such activities, if offered based solely on expertise and without anmay be acceptable. Contact the OSE before offering such payment to an official or emplo(k).

Necessary Expenses, Fees and HonorariumsExample: You invite a state employee to travel to New York City to give aspeech to your managers on issues surrounding contracting with a stateagency. You provide Amtrak fare for the employee as well as his spouse, whowill spend the day in the city. The evening of the speech, you will treat theemployee and his spouse with complimentary tickets to a Broadway show inlieu of a speaking fee.

You may provide non-first class travel expenses only to the state employeewho is actively participating in an event. In this case, you may only provideAmtrak fare for the employee giving the speech, not his spouse.Entertainment costs, such as tickets to a show, are not considered necessaryexpenses and may not be provided. Additionally, state employees may notaccept fees or honorariums for a speech given in their official capacity.

ng the event);

sary expenses. Necessaryuests.

for lodging or out-of-stateConn. Gen. Stat. § 1-84 (k).

earance, speech

y regard to offiyee. Conn. Gen

or

cial capacity,. Stat. § 1-84


Gifts to the State - NEWRegulated donors are prohibited from giving gifts to the state (such as a fax machine, truck, or free training orconference/event participation). This is new as of April 2006, pursuant to Conn. Gen. Stat. § 1-84 (q), and asinterpreted by Advisory Opinion No. 2006-3.

Note that non-regulated donors may still provide gifts to the state.

Gifts to the StateExample: For the past five years,your company has donated overstockequipment such as fax machines andphotocopiers to a state agency for itsuse in carrying out state business.You would like to do so again in 2006.

An item donated for use on stateproperty falls within the Code’sdefinition of a gift to the state. As ofApril 2006, however, such gifts to thestate are prohibited from regulateddonors. Therefore, you are notpermitted to provide the machines tothe agency.

Gifts to the StateExample: It has been commonpractice for your company to allowemployees of a particular state agencyto attend a regional training eventfree of charge. The event facilitatestheir state function by providingtraining applicable to their job duties.

Per the General Assembly’s adoptionof § 1-84 (q), and subsequentlyAdvisory Opinion 2006-3, this is nolonger permissible, as it is a gift to thestate provided by a regulated donor.

(Non-regulated donors may stillprovide gifts to the state.)


HIRING STATE PERSONNEL

Post-state Employment (Revolving Door)If you are considering hiring a former state employee, you should be aware of the Code’s post-state employment, orrevolving door, provisions.

Lifetime Bans Former state employees may never disclose any confidential information they learned during the course of

their state service for anyone’s financial gain. Conn. Gen. Stat. § 1-84a.

A former state official or employee may never represent anyone other than the state regarding a particularmatter in which he or she was personally or substantially involved while in state service and in which the statehas a substantial interest. This prevents side-switching. Conn. Gen. Stat. § 1-84b (a).

One-year Bans If you hire or otherwise engage the services of a former state official or employee, he or she may not represent

you before his or her former agency for a period of one year after leaving state service. Conn. Gen. Stat. § 1-84b (b). (See Advisory Opinion 2003-3, which provides a limited exception to this provision if the employeeis providing purely technical expertise, for example, to help implement a previously-awarded contract. Thisexception applies to extremely limited circumstances; contact the OSE for guidance.)

You are prohibited from hiring a former state official or employee for a period of one year after he or sheleaves state service if that individual was substantially involved in, or supervised, the negotiation or award of acontract (that you or your business was a party to) valued at $50,000 or more, and the contract was signedwithin his or her last year of state service. Conn. Gen. Stat. § 1-84b (f).

Employees who held certain specifically-designated positions (with significant decision-making or supervisoryresponsibility) at certain state regulatory agencies are prohibited from seeking or accepting employment withany business subject to regulation by the individual’s agency within one year of leaving the agency. Note thatthere is an exception for ex-officio board or commission members. Conn. Gen. Stat. § 1-84b (c).

Post-state EmploymentExample: You run a hospital regulated by the Office of Health Care Access (OHCA).You would like to offer a job to the former Commissioner of OHCA, who has been outof state service for 5 months.

Because the hospital is regulated by a state agency whose Commissioner is specificallydesignated in 1-84b (c), the former head of such agency would not be permitted toaccept employment with you for one full year after leaving state service. See AdvisoryOpinion 2003-19.


Outside Employment for Current Public Officials

and State EmployeesIf you are considering hiring a current state employee, especially from a state agency with which you do business or bywhich you are regulated, you should be aware of the following rules regarding the employment of current stateemployees.

A current state employee may not accept outside employment that impairs his or her independence of judgmentregarding his or her state duties, or that encourages him or her to disclose confidential information learned inhis or her state job. Conn. Gen. Stat. § 1-84 (b).

A current state employee may not use his or her state position for financial gain, however inadvertent that usemay be. For example, a current state employee who exercises any contractual, supervisory or regulatoryauthority over you or your business may not be able to work for you. Conn. Gen. Stat. § 1-84 (c).

Other ConsiderationsBusiness entities engaged in Indian gaming activities in the state should be aware of specific provisions that apply topresent or former Gaming Policy Board or Division of Special Revenue public officials or employees. See Conn. Gen.Stat. §§ 1-84b (d) and (e).

Example: Your small bAgency X. You know ththe skills you need to heexpressed interest in earyou with your business i

It would constitute an imemployee of Agency X, waccept outside employmgrants or contracts from

Outside Employmentusiness occasionally receives grants or contracts fromat a particular contract manager with Agency X haslp you grow your business. This employee hasning a little extra money for himself, while helpingn the evenings and on weekends.

permissible impairment of judgment for theho has contract management responsibilities, to

ent with your business – a business that receivesAgency X.


OTHER PROVISIONS

Prohibited Activities for Consultants or Independent ContractorsIf you are hired by the state as a consultant or independent contractor, you are prohibited from the following:

Using your authority under the contract or any confidential information acquired during the course of thecontract for your financial gain or the financial gain of your immediate family;

Accepting another state contract that would impair your independence of judgment or your performance inyour existing state contract;

Accepting anything of value based on the understanding that your actions on behalf of the state would beinfluenced;

Conn. Gen. Stat. § 1-86e (1) – (3); see also Conn. Gen. Stat. § 1-101nn.

Gift and/or Campaign Contribution Certifications

Contractors seeking large state contracts must provide certifications regarding gifts and/orcampaign contributions made to certain state employees or public officials in the two-year periodprior to the submission of a bid or proposal. Copies of these certifications and other updatedinformation regarding state contractors can be found on the Web sites of the Department ofAdministrative Services (www.das.state.ct.us) and the Office of Policy and Management (www.opm.state.ct.us).

Investment Services and the Office of the TreasurerIf you or your business provides investment services, as defined in the Code, and you make a political contribution inconnection with the Office of the Treasurer, you may be prohibited from contracting with that office. See Conn. Gen.Stat. § 1-84 (n).

Registering as a LobbyistIf you or your business spends or receives over $2,000 in a calendar year for activities that constitutelobbying under Part II of the Code of Ethics (whether to affect legislation or the actions of anadministrative state agency), you/your business may have to register as a lobbyist with the Office of StateEthics. Lobbyist registration information is available at www.ct.gov/ethics.

http://www.das.state.ct.us/

http://www.opm.state.ct.us/



Public Act 05-287Public Act 05-287 prohibits anyone who is a party (or seeking to become a party) to a large state construction,procurement, or consultant services contract over $500,000 from:

Soliciting information from a public official or state employee that is not available to other bidders for thatcontract, with the intent to obtain a competitive advantage;

Intentionally or recklessly charging a state agency for work not performed or goods or services not provided; Falsifying invoices or bills; or Intentionally violating or circumventing state competitive bidding and ethics laws.

This Act also requires any prospective state contractor to affirm in writing that he or she has received a summary of thestate’s ethics laws and that his or her key employees have read and understood the summary and agree to comply withthe applicable provisions. Conn. Gen. Stat. § 1-101qq.

An affirmation form is available through the Department of Administrative Services.

Executive OrdersExecutive Order 3Under this Order, the Department of Administrative Services establishedmaintains on its Web site the State Contracting Portal for purposes ofcontracting opportunities with state agencies and providing information onprocesses and procedures.

Executive Order 7CThis Order covers the State Contracting Standards Board, established to conducprocurement and contracting laws and prepare a uniform code to govern all aspJanuary 1, 2007.

The full text of these Executive Orders can be found on the Governor’s Web siwww.ct.gov/governorrell/site/default.asp.

andposting allcontracting

t a comprehensive review of existingects of procurement and contracting by

te,

http://www.ct.gov/governorrell/site/default.asp


FOR MORE INFORMATION

This guide provides general information only. The descriptions of the law and the OSE are not intended to beexhaustive. For more information regarding the Code of Ethics as it pertains to current or potential state contractors,please contact the Office of State Ethics, Monday – Friday, 8:30 a.m. to 5:00 p.m.

Office of State Ethics18-20 Trinity StreetHartford, CT 06106-1660

T: 860/566-4472F: 860/566-3806www.ct.gov/ethics

Specific Contacts:Questions or advice regarding the EthiLobbyist filing/reporting questions: loPublic official filing/reporting questionEnforcement questions: Ethics.EnforcAll other inquiries: [email protected]

cs Codes: [email protected]@ct.govs: [email protected]@ct.gov


mailto:[email protected]





EXHIBIT B

NOTICE TO EXECUTIVE BRANCH STATE CONTRACTORS AND PROSPECTIVESTATE CONTRACTORS OF CAMPAIGN CONTRIBUTION AND SOLICITATION

BAN

This notice is provided under the authority of Connecticut General Statutes 9-612(g)(2), asamended by P.A. 07-1, and is for the purpose of informing state contractors and prospectivestate contractors of the following law (italicized words are defined below):

Campaign Contribution and Solicitation BanNo state contractor, prospective state contractor, principal of a state contractor or principal ofa prospective state contractor, with regard to a state contract or state contract solicitation withor from a state agency in the executive branch or a quasi-public agency or a holder, or principalof a holder of a valid prequalification certificate, shall make a contribution to, or solicitcontributions on behalf of (i) an exploratory committee or candidate committee established by acandidate for nomination or election to the office of Governor, Lieutenant Governor, AttorneyGeneral, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committeeauthorized to make contributions or expenditures to or for the benefit of such candidates, or (iii)a party committee;

In addition, no holder or principal of a holder of a valid prequalification certificate, shall makea contribution to, or solicit contributions on behalf of (i) an exploratory committee or candidatecommittee established by a candidate for nomination or election to the office of State senator orState representative, (ii) a political committee authorized to make contributions or expendituresto or for the benefit of such candidates, or (iii) a party committee.

Duty to InformState contractors and prospective state contractors are required to inform their principals of theabove prohibitions, as applicable, and the possible penalties and other consequences of anyviolation thereof.

Penalties for ViolationsContributions or solicitations of contributions made in violation of the above prohibitions mayresult in the following civil and criminal penalties:Civil penalties--$2000 or twice the amount of the prohibited contribution, whichever is greater,against a principal or a contractor. Any state contractor or prospective state contractor whichfails to make reasonable efforts to comply with the provisions requiring notice to its principalsof these prohibitions and the possible consequences of their violations may also be subject tocivil penalties of $2000 or twice the amount of the prohibited contributions made by theirprincipals.Criminal penalties—Any knowing and willful violation of the prohibition is a Class D felony,which may subject the violator to imprisonment of not more than 5 years, or $5000 in fines, orboth.

Contract ConsequencesContributions made or solicited in violation of the above prohibitions may result, in the case of astate contractor, in the contract being voided.

Contributions made or solicited in violation of the above prohibitions, in the case of aprospective state contractor, shall result in the contract described in the state contract solicitationnot being awarded to the prospective state contractor, unless the State Elections EnforcementCommission determines that mitigating circumstances exist concerning such violation.

The State will not award any other state contract to anyone found in violation of the aboveprohibitions for a period of one year after the election for which such contribution is made orsolicited, unless the State Elections Enforcement Commission determines that mitigatingcircumstances exist concerning such violation. Additional information and the entire text of P.A07-1 may be found on the website of the State Elections Enforcement Commission,www.ct.gov/seec. Click on the link to “State Contractor Contribution Ban.”

Definitions:

"State contractor" means a person, business entity or nonprofit organization that enters into astate contract. Such person, business entity or nonprofit organization shall be deemed to be astate contractor until December thirty-first of the year in which such contract terminates."State contractor" does not include a municipality or any other political subdivision of thestate, including any entities or associations duly created by the municipality or politicalsubdivision exclusively amongst themselves to further any purpose authorized by statute orcharter, or an employee in the executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full or part-time, and onlyin such person's capacity as a state or quasi-public agency employee.

"Prospective state contractor" means a person, business entity or nonprofit organization that(i) submits a response to a state contract solicitation by the state, a state agency or a quasi-public agency, or a proposal in response to a request for proposals by the state, a state agencyor a quasi-public agency, until the contract has been entered into, or (ii) holds a validprequalification certificate issued by the Commissioner of Administrative Services undersection 4a-100. "Prospective state contractor" does not include a municipality or any otherpolitical subdivision of the state, including any entities or associations duly created by themunicipality or political subdivision exclusively amongst themselves to further any purposeauthorized by statute or charter, or an employee in the executive or legislative branch of stategovernment or a quasi-public agency, whether in the classified or unclassified service andfull or part-time, and only in such person's capacity as a state or quasi-public agencyemployee.

"Principal of a state contractor or prospective state contractor" means (i) any individual whois a member of the board of directors of, or has an ownership interest of five per cent or morein, a state contractor or prospective state contractor, which is a business entity, except for anindividual who is a member of the board of directors of a nonprofit organization, (ii) anindividual who is employed by a state contractor or prospective state contractor, which is a

http://www.ct.gov/seec

business entity, as president, treasurer or executive vice president, (iii) an individual who isthe chief executive officer of a state contractor or prospective state contractor, which is not abusiness entity, or if a state contractor or prospective state contractor has no such officer, thenthe officer who duly possesses comparable powers and duties, (iv) an officer or an employeeof any state contractor or prospective state contractor who has managerial or discretionaryresponsibilities with respect to a state contract, (v) the spouse or a dependent child who iseighteen years of age or older of an individual described in this subparagraph, or (vi) apolitical committee established or controlled by an individual described in this subparagraphor the business entity or nonprofit organization that is the state contractor or prospective statecontractor.

"State contract" means an agreement or contract with the state or any state agency or anyquasi-public agency, let through a procurement process or otherwise, having a value of fiftythousand dollars or more, or a combination or series of such agreements or contracts having avalue of one hundred thousand dollars or more in a calendar year, for (i) the rendition ofservices, (ii) the furnishing of any goods, material, supplies, equipment or any items of anykind, (iii) the construction, alteration or repair of any public building or public work, (iv) theacquisition, sale or lease of any land or building, (v) a licensing arrangement, or (vi) a grant,loan or loan guarantee. "State contract" does not include any agreement or contract with thestate, any state agency or any quasi-public agency that is exclusively federally funded, aneducation loan or a loan to an individual for other than commercial purposes.

"State contract solicitation" means a request by a state agency or quasi-public agency, inwhatever form issued, including, but not limited to, an invitation to bid, request for proposals,request for information or request for quotes, inviting bids, quotes or other types ofsubmittals, through a competitive procurement process or another process authorized by lawwaiving competitive procurement.

“Managerial or discretionary responsibilities with respect to a state contract” means havingdirect, extensive and substantive responsibilities with respect to the negotiation of the statecontract and not peripheral, clerical or ministerial responsibilities.

“Dependent child” means a child residing in an individual’s household who may legally beclaimed as a dependent on the federal income tax of such individual.

“Solicit” means (A) requesting that a contribution be made, (B) participating in any fund-raisingactivities for a candidate committee, exploratory committee, political committee or party committee,including, but not limited to, forwarding tickets to potential contributors, receiving contributions fortransmission to any such committee or bundling contributions, (C) serving as chairperson, treasureror deputy treasurer of any such committee, or (D) establishing a political committee for the solepurpose of soliciting or receiving contributions for any committee. Solicit does not include: (i)making a contribution that is otherwise permitted by Chapter 155 of the Connecticut GeneralStatutes; (ii) informing any person of a position taken by a candidate for public office or a publicofficial, (iii) notifying the person of any activities of, or contact information for, any candidate forpublic office; or (iv) serving as a member in any party committee or as an officer of such committeethat is not otherwise prohibited in this section.

EXHIBIT C - SEEC FORM 10

NOTICE TO EXECUTIVE BRANCH STATE CONTRACTORS AND PROSPECTIVE STATECONTRACTORS OF CAMPAIGN CONTRIBUTION AND SOLICITATION BAN

This notice is provided under the authority of Connecticut General Statutes 9-612(g) (2), as amended by P.A. 07-1, and is

for the purpose of informing state contractors and prospective state contractors of the following law (italicized words aredefined on page 2):

Campaign Contribution and Solicitation Ban

No state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor, with

regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-publicagency or a holder, or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicitcontributions on behalf of (i) an exploratory committee or candidate committee established by a candidate fornomination or election to the office of Governor, Lieutenant Governor, Attorney General, State Comptroller, Secretary ofthe State or State Treasurer, (ii) a political committee authorized to make contributions or expenditures to or for the benefit

of such candidates, or (iii) a party committee;

In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicitcontributions on behalf of (i) an exploratory committee or candidate committee established by a candidate for nomination orelection to the office of State senator or State representative, (ii) a political committee authorized to make contributionsor expenditures to or for the benefit of such candidates, or (iii) a party committee.

Duty to InformState contractors and prospective state contractors are required to inform their principals of the above prohibitions, asapplicable, and the possible penalties and other consequences of any violation thereof.

Penalties for ViolationsContributions or solicitations of contributions made in violation of the above prohibitions may result in the following civiland criminal penalties:Civil penalties--$2000 or twice the amount of the prohibited contribution, whichever is greater, against a principal or acontractor. Any state contractor or prospective state contractor which fails to make reasonable efforts to comply with

the provisions requiring notice to its principals of these prohibitions and the possible consequences of their violations mayalso be subject to civil penalties of $2000 or twice the amount of the prohibited contributions made by their principals.Criminal penalties—Any knowing and willful violation of the prohibition is a Class D felony, which may subject theviolator to imprisonment of not more than 5 years, or $5000 in fines, or both.

Contract ConsequencesContributions made or solicited in violation of the above prohibitions may result, in the case of a state contractor, in thecontract being voided.

Contributions made or solicited in violation of the above prohibitions, in the case of a prospective state contractor, shallresult in the contract described in the state contract solicitation not being awarded to the prospective state contractor,

unless the State Elections Enforcement Commission determines that mitigating circumstances exist concerning suchviolation.

The state will not award any other state contract to anyone found in violation of the above prohibitions for a period of oneyear after the election for which such contribution is made or solicited, unless the State Elections Enforcement Commissiondetermines that mitigating circumstances exist concerning such violation.

Receipt Acknowledged:(signature) (date)

Print name: Title:

Company Name:

Definitions:

"State contractor" means a person, business entity or nonprofit organization that enters into a state contract. Such person,

business entity or nonprofit organization shall be deemed to be a state contractor until December thirty-first of the yearin which such contract terminates. "State contractor" does not include a municipality or any other political subdivision ofthe state, including any entities or associations duly created by the municipality or political subdivision exclusivelyamongst themselves to further any purpose authorized by statute or charter, or an employee in the executive orlegislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full

or part-time, and only in such person's capacity as a state or quasi-public agency employee.

"Prospective state contractor" means a person, business entity or nonprofit organization that (i) submits a responseto a state contract solicitation by the state, a state agency or a quasi-public agency, or a proposal in response to arequest for proposals by the state, a state agency or a quasi-public agency, until the contract has been enteredinto, or (ii) holds a valid prequalification certificate issued by the Commissioner of Administrative Services

under section 4a-100. "Prospective state contractor" does not include a municipality or any other politicalsubdivision of the state, including any entities or associations duly created by the municipality or politicalsubdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or an employeein the executive or legislative branch of state government or a quasi-public agency, whether in the classified orunclassified service and full or part-time, and only in such person's capacity as a state or quasi-public agency

employee.

"Principal of a state contractor or prospective state contractor" means (i) any individual who is a member of theboard of directors of, or has an ownership interest of five per cent or more in, a state contractor orprospective state contractor, which is a business entity, except for an individual who is a member of the board ofdirectors of a nonprofit organization, (ii) an individual who is employed by a state contractor or prospective

state contractor, which is a business entity, as president, treasurer or executive vice president, (iii) an individualwho is the chief executive officer of a state contractor or prospective state contractor, which is not a business entity,or if a state contractor or prospective state contractor has no such officer, then the officer who duly possessescomparable powers and duties, (iv) an officer or an employee of any state contractor or prospective statecontractor who has managerial or discretionary responsibilities with respect to a state contract, (v) the spouse

or a dependent child who is eighteen years of age or older of an individual described in this subparagraph, or(vi) a political committee established or controlled by an individual described in this subparagraph or the businessentity or nonprofit organization that is the state contractor or prospective state contractor.

"State contract" means an agreement or contract with the state or any state agency or any quasi-public agency, letthrough a procurement process or otherwise, having a value of fifty thousand dollars or more, or a combination

or series of such agreements or contracts having a value of one hundred thousand dollars or more in a calendaryear, for (i) the rendition of services, (ii) the furnishing of any goods, material, supplies, equipment or anyitems of any kind, (iii) the construction, alteration or repair of any public building or public work, (iv) theacquisition, sale or lease of any land or building, (v) a licensing arrangement, or (vi) a grant, loan or loanguarantee. "State contract" does not include any agreement or contract with the state, any state agency or any

quasi-public agency that is exclusively federally funded, an education loan or a loan to an individual for otherthan commercial purposes.

"State contract solicitation" means a request by a state agency or quasi-public agency, in whatever form issued,including, but not limited to, an invitation to bid, request for proposals, request for information or request for quotes,inviting bids, quotes or other types of submittals, through a competitive procurement process or another process

authorized by law waiving competitive procurement.

“Managerial or discretionary responsibilities with respect to a state contract” means having direct, extensiveand substantive responsibilities with respect to the negotiation of the state contract and not peripheral,clerical or ministerial responsibilities.

“Dependent child” means a child residing in an individual’s household who may legally be claimed as a

dependent on the federal income tax of such individual.

“Solicit” means (A) requesting that a contribution be made, (B) participating in any fund-raising activitiesfor a candidate committee, exploratory committee, political committee or party committee, including, but notlimited to, forwarding tickets to potential contributors, receiving contributions for transmission to any such

committee or bundling contributions, (C) serving as chairperson, treasurer or deputy treasurer of any suchcommittee, or (D) establishing a political committee for the sole purpose of soliciting or receiving contributions forany committee. Solicit does not include: (i) making a contribution that is otherwise permitted by Chapter 155 ofthe Connecticut General Statutes; (ii) informing any person of a position taken by a candidate for public office ora public official, (iii) notifying the person of any activities of, or contact information for, any candidate for

public office; or (IV) serving as a member in any party committee or as an officer of such committee that is nototherwise prohibited in this section.

Exhibit D - SEEC FORM 11

NOTICE TO EXECUTIVE BRANCH STATE CONTRACTORS AND PROSPECTIVE STATECONTRACTORS OF CAMPAIGN CONTRIBUTION AND SOLICITATION BAN

This notice is provided under the authority of Connecticut General Statutes 9-612(g)(2), as amended by P.A. 07-1, andis for the purpose of informing state contractors and prospective state contractors of the following law (italicized wordsare defined below):

Campaign Contribution and Solicitation Ban

No state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor,with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-public agency or a holder, or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicitcontributions on behalf of (i) an exploratory committee or candidate committee established by a candidate fornomination or election to the office of Governor, Lieutenant Governor, Attorney General, State Comptroller, Secretaryof the State or State Treasurer, (ii) a political committee authorized to make contributions or expenditures to or for thebenefit of such candidates, or (iii) a party committee;

In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to, orsolicit contributions on behalf of (i) an exploratory committee or candidate committee established by a candidate fornomination or election to the office of State senator or State representative, (ii) a political committee authorized to makecontributions or expenditures to or for the benefit of such candidates, or (iii) a party committee.

Duty to Inform

State contractors and prospective state contractors are required to inform their principals of the above prohibitions,as applicable, and the possible penalties and other consequences of any violation thereof.

Penalties for ViolationsContributions or solicitations of contributions made in violation of the above prohibitions may result in the following civiland criminal penalties:Civil penalties--$2000 or twice the amount of the prohibited contribution, whichever is greater, against a principal or

a contractor. Any state contractor or prospective state contractor which fails to make reasonable efforts to complywith the provisions requiring notice to its principals of these prohibitions and the possible consequences of theirviolations may also be subject to civil penalties of $2000 or twice the amount of the prohibited contributions made by theirprincipals.Criminal penalties—Any knowing and willful violation of the prohibition is a Class D felony, which may subject the violator toimprisonment of not more than 5 years, or $5000 in fines, or both.

Contract Consequences

Contributions made or solicited in violation of the above prohibitions may result, in the case of a state contractor, in thecontract being voided.

Contributions made or solicited in violation of the above prohibitions, in the case of a prospective state contractor,shall result in the contract described in the state contract solicitation not being awarded to the prospective statecontractor, unless the State Elections Enforcement Commission determines that mitigating circumstances existconcerning such violation.

The State will not award any other state contract to anyone found in violation of the above prohibitions for aperiod of one year after the election for which such contribution is made or solicited, unless the State ElectionsEnforcement Commission determines that mitigating circumstances exist concerning such violation.

Additional information and the entire text of P.A 07-1 may be found on the website of the State Elections EnforcementCommission, www.ct.gov/seec. Click on the link to “State Contractor Contribution Ban.”

Definitions:"State contractor" means a person, business entity or nonprofit organization that enters into a state contract. Suchperson, business entity or nonprofit organization shall be deemed to be a state contractor until December thirty-firstof the year in which such contract terminates. "State contractor" does not include a municipality or any other politicalsubdivision of the state, including any entities or associations duly created by the municipality or political subdivisionexclusively amongst themselves to further any purpose authorized by statute or charter, or an employee in the

http://www.ct.gov/seec

executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassifiedservice and full or part-time, and only in such person's capacity as a state or quasi-public agency employee.

"Prospective state contractor" means a person, business entity or nonprofit organization that (i) submits a response toa state contract solicitation by the state, a state agency or a quasi-public agency, or a proposal in response to a requestfor proposals by the state, a state agency or a quasi-public agency, until the contract has been entered into, or (ii)holds a valid prequalification certificate issued by the Commissioner of Administrative Services under section 4a-100."Prospective state contractor" does not include a municipality or any other political subdivision of the state, includingany entities or associations duly created by the municipality or political subdivision exclusively amongst themselves tofurther any purpose authorized by statute or charter, or an employee in the executive or legislative branch of stategovernment or a quasi-public agency, whether in the classified or unclassified service and full or part-time, and onlyin such person's capacity as a state or quasi-public agency employee.

"Principal of a state contractor or prospective state contractor" means (i) any individual who is a member of the boardof directors of, or has an ownership interest of five per cent or more in, a state contractor or prospective statecontractor, which is a business entity, except for an individual who is a member of the board of directors of a nonprofitorganization, (ii) an individual who is employed by a state contractor or prospective state contractor, which is a businessentity, as president, treasurer or executive vice president, (iii) an individual who is the chief executive officer of a statecontractor or prospective state contractor, which is not a business entity, or if a state contractor or prospective statecontractor has no such officer, then the officer who duly possesses comparable powers and duties, (iv) an officer or anemployee of any state contractor or prospective state contractor who has managerial or discretionary responsibilitieswith respect to a state contract, (v) the spouse or a dependent child who is eighteen years of age or older of anindividual described in this subparagraph, or (vi) a political committee established or controlled by an individual describedin this subparagraph or the business entity or nonprofit organization that is the state contractor or prospective statecontractor.

"State contract" means an agreement or contract with the state or any state agency or any quasi-public agency, letthrough a procurement process or otherwise, having a value of fifty thousand dollars or more, or a combination or series ofsuch agreements or contracts having a value of one hundred thousand dollars or more in a calendar year, for (i) therendition of services, (ii) the furnishing of any goods, material, supplies, equipment or any items of any kind, (iii) theconstruction, alteration or repair of any public building or public work, (iv) the acquisition, sale or lease of any land orbuilding, (v) a licensing arrangement, or (vi) a grant, loan or loan guarantee. "State contract" does not include anyagreement or contract with the state, any state agency or any quasi-public agency that is exclusively federally funded,an education loan or a loan to an individual for other than commercial purposes.

"State contract solicitation" means a request by a state agency or quasi-public agency, in whatever form issued,including, but not limited to, an invitation to bid, request for proposals, request for information or request for quotes,inviting bids, quotes or other types of submittals, through a competitive procurement process or another processauthorized by law waiving competitive procurement.

“Managerial or discretionary responsibilities with respect to a state contract” means having direct, extensive andsubstantive responsibilities with respect to the negotiation of the state contract and not peripheral, clerical or ministerialresponsibilities.

“Dependent child” means a child residing in an individual’s household who may legally be claimed as a dependent onthe federal income tax of such individual.

“Solicit” means (A) requesting that a contribution be made, (B) participating in any fund-raising activities for a candidatecommittee, exploratory committee, political committee or party committee, including, but not limited to, forwardingtickets to potential contributors, receiving contributions for transmission to any such committee or bundling contributions,(C) serving as chairperson, treasurer or deputy treasurer of any such committee, or (D) establishing a politicalcommittee for the sole purpose of soliciting or receiving contributions for any committee. Solicit does not include: (i)making a contribution that is otherwise permitted by Chapter 155 of the Connecticut General Statutes; (ii) informing anyperson of a position taken by a candidate for public office or a public official, (iii) notifying the person of any activities of,or contact information for, any candidate for public office; or (iv) serving as a member in any party committee or as anofficer of such committee that is not otherwise prohibited in this section.

Application Appendix A

CONTRACTOR/GRANTEE COMPLIANCE REQUIREMENTS

NOTE: - THESE REQUIREMENTS APPLY TO ALL CONTRACTORS - INCLUDING GRANTEES ANDINDIVIDUALS

Connecticut General Statute Section 4a-60 was adopted to insure that State agencies do not enter intocontracts with organizations or businesses that discriminate against protected class persons. To carry outthe provisions of the Statute, the Commission on Human Rights and Opportunities developed Regulationsconcerning Contract Compliance and approval of Contract Compliance Programs which impose certainobligations on State agencies as well as contractors doing business with the State of Connecticut.

These regulations require that as an awarding agency, in this instance, the Capital City Development Authority(CCEDA), must consider the following factors in its selection of any contractor:

The bidder’s success in implementing an affirmative action plan; If the bidder does not have a written affirmative action plan, the bidder’s promise to

develop and implement a successful affirmative action plan; The bidder’s success in developing an apprenticeship program complying with

Connecticut General Statutes Sections 46a-68-1 to 46a-68-17, inclusive. The bidder’s submission of Employment Information Form or EEO-1/ EEO-4 data

indicating that the composition of its work force is at or near parity when compared tothe racial and sexual composition of the work force in the relevant labor market area;and

The bidder’s promise to set aside a portion of the contract for legitimate minoritybusiness enterprises.

In order to assess the factors above, contractors are required to provide CCEDA with information about theirorganizations.

Information Forms are provided, with instructions, (see Attachments) that must be completed, signed byresponsible parties and returned to CCEDA with the response to the Request for Proposals.

Application Appendix BVENDOR’S PACKAGE

The following forms are MANDATORY and must be completed and returned to this agency withthe response to the Request for Proposal or the Grant Application.

1. Notification to Bidders Form2. Evidence of Nondiscrimination Form3. Employment Information Form

If the vendor submitting the bid files an EEO-1 or an EEO-4 form with the FederalGovernment, a copy of the EEO-1 or EEO-4 may be attached to the EmploymentInformation Form in lieu of completion.

Definitions and descriptions to assist in completing the Employment Information Form

CONTRACT COMPLIANCE NOTIFICATION TO BIDDERS

The contract to be awarded is subject to contract compliance requirements mandated by Sections 4a-60 and4a-60a of the Connecticut General Statutes; and, when the awarding agency is the state, Sections 46a-71(d)and 46a-81i(d) of the Connecticut General Statutes. There are Contract Compliance Regulations codified atSection 46a-68j-21 through 43 of the Regulations of Connecticut State Agencies which establish a procedurefor the awarding of all contracts covered by Sections 4a-60 and 46a-71(d) of the Connecticut GeneralStatutes.

According to Section 46a-68j-30(9) of the Contract Compliance Regulations, every agency awarding acontract subject to the contract compliance requirements has an obligation to “aggressively solicit theparticipation of legitimate minority business enterprises as bidders, contractors, subcontractors and suppliersof materials.” “Minority business enterprise” is defined in Section 4a-60 of the Connecticut General Statutesas a business wherein fifty-one percent or more of the capital stock, or assets belong to a person or persons:“(1) Who are active in the daily affairs of the enterprise; (2) who have the power to direct the managementand policies of the enterprise; and (3) who are members of a minority, as such term is defined in subsection(a) of Section 32-9.” “Minority” groups are defined in Section 32-9n of the Connecticut General Statutes as“(1) Black Americans. . . (2) Hispanic Americans . . . (3) persons who have origins in the Iberian Peninsula .. . (4) Women ... (5) Asian Pacific Americans and Pacific Islanders; or (6) American Indians . . . “ Anindividual with a disability is also a minority business enterprise as provided by Section 32-ne of theConnecticut General Statutes. The above definitions apply to the contract compliance requirements by virtueof Section 46a-68j-21(11) of the Contract Compliance Regulations.

The awarding agency will consider the following factors when reviewing the bidder’s qualifications under thecontract compliance requirement:

(a) the bidder’s success in implementing an affirmative action plan;

(b) the bidder’s success in developing an apprenticeship program complying with Connecticut GeneralStatutes Sections 46a-68-1 to 46a-68-17 inclusive;

(c) the bidder’s promise to develop and implement a successful affirmative action plan;

(d) the bidder’s submission of employment statistics contained in the “Employment Information Form”,indicating that the composition of its work force is at or near parity when compared to the racial andsexual composition of the work force in the relevant labor market area; and

(e) the bidder’s promise to set aside a portion of the contract for legitimate minority businessenterprises. See Section 46a-68j-30(10)(E) of the Contract Compliance Regulations.

This form is MANDATORY and must be completed, signed, and returned with the vendor’s bid.

ACKNOWLEDGMENT OF CONTRACT COMPLIANCE NOTIFICATION TO BIDDERS

INSTRUCTION: Bidder must sign acknowledgment below, and return this form to the awarding agency withthe bid proposal.

The undersigned duly authorized representative of the bidding vendor acknowledges receiving and reading acopy of the NOTIFICATION TO BIDDERS. (Please print name under signature line.)

Signature

Title

Date

On behalf of:

Vendor Name

Street Address

City State Zip

Federal Employee Identification Number(FEIN/SSN)


EVIDENCE OF NONDISCRIMINATION FORM

Vendor Name

Street Address

City State Zip

Contact Person Title

( )Telephone Number

We have read the extract provided of C.G.S. Section 4a-60 and Connecticut State Agencies’ RegulationsSection 46a-68j-23 and agree with the principles expressed therein. We offer as evidence ofnondiscrimination and of our agreement and ability to meet contract compliance regulations one or more ofthe following factors and have enclosed appropriate, related documentation. Note: If thevendor/bidder/contractor is an individual and does not employ anyone, please check here [ ] and signbelow.

FACTORS EVIDENCE ENCLOSED

(a) success in implementing an AffirmativeAction Plan;

(b) success in developing an apprenticeshipprogram in compliance with ConnecticutGeneral Statutes Sections 46a-68-1 to47a-68-17 inclusive;

(c) promise to develop and implement asuccessful affirmative action plan;

(d) submission of Employment InformationForm orEEO-1/EEO-4 data indicating thatthe composition of its workforce is at ornear parity in the relevant labor market area; and

(e) promise to set aside a portion of the contractfor legitimate minority business enterprises.

Signature Title Date


EMPLOYMENT INFORMATION FORM WORKFORCE ANALYSIS AFFIRMATIVE ACTION REPORT

Vendor/Bidder/Contractor Contact Person Date

____________________________________________________Address Telephone Bid Number

Report all permanent full-time or part time employees, including apprentice and on the job trainees. Enter the numbers on all lines and in all columns.

JOB CATEGORIESOVERALL TOTALS(Sum of all col: A-E

Male & Female)

AWHITE

(Not of Hispanic Origin)

Male - - - - - - - -Female

BBLACK

(Not of Hispanic Origin)

Male - - - - - - - -Female

CHISPANIC

Male - - - - - - - -Female

DASIAN or PACIFIC

ISLANDER

Male - - - - - - - -Female

EAMERICAN INDIANALASKAN NATIVE

Male - - - - - - - Female

FPHYSICALLY

DISABLED

Male - - - - - - - -Female

Officials & Managers

Professional

Technicians

Sales Workers

Office and Clerical

Craft Workers (Skilled)

Operatives(Semi-Skilled)

Laborers (Unskilled)

Service Workers

TOTALS of ABOVE

Do you use minority businesses as subcontractors or suppliers? [ ] Yes [ ] NoExplain:

If CT based, do you post all employment openings with the State of CT EmploymentService? [ ] Yes [ ] No

Explain:

Do you implement a written Affirmative Action Plan? [ ] Yes [ ] NoExplain:

DESCRIBE YOUR RECRUITMENT, HIRING, TRAINING, AND PROMOTION ANTIDISCRIMINAT5ION PRACTICES

[ ] I am an individual with no employees. (Please sign below. Print or type name beneath signature.)[ ] I have submitted a Federal EEO-1 or equivalent. See attachment. (Please sign below. Print or type name beneath signature.)

Signature Title Date

DEFINITIONS OF RACES AND OCCUPATIONS

RACE/ETHNIC IDENTIFICATION

A. WHITE - (not of Hispanic origin) - All persons having origins in any of the original peoples of Europe, NorthAfrica or the Middle East.

B. BLACK - (not of Hispanic origin) - All persons having origins in any of the Black racial groups of Africa.

C. HISPANIC - All persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanishculture or origin regardless of race.

D. ASIAN OR PACIFIC ISLANDER - All persons having origins in any of the original peoples of the Far East,Southeast Asia, the Indian Subcontinent or the Pacific Islands. This area includes, for example, China, Japan,Korea, the Philippine Islands, and Samoa.

E. AMERICAN INDIAN OR ALASKAN NATIVE - Persons have origins in any of the original peoples of NorthAmerica, and who maintain cultural identification through tribal affiliation or community recognition.

F. PHYSICALLY DISABLED - Persons who have any chronic physical handicap, infirmity or impairment, whethercongenital or resulting from bodily injury, organic processes or changes or from illness, including but notlimited to blindness, epilepsy, deafness or hearing impaired or reliance on a wheelchair or other remedialappliance or device.

DESCRIPTION OF JOB CATEGORIES

01. OFFICIALS AND MANAGERS - Occupations requiring administrative and managerial personnel who setbroad policies, exercise overall responsibility for execution of these policies, and direct individual departmentsor special phases of a firm’s operations. Include officials, executives, middle management, plant managers,department managers, department manager and superintendents, salaried supervisors who are members ofmanagement, purchasing agents and buyers, railroad conductors and yard masters, ship captains, mates andother officers, farm operators and managers, and kindred workers.

02. PROFESSIONALS - Occupations requiring either college graduation or experience of such kind and amountas to provide a comparable background. Includes accountants and auditors, airplane pilots, and navigators,architects, artists, chemists, designers, dietitians, editors, engineers, lawyers, librarians, mathematicians,natural scientists, registered professional nurses, personnel and labor relations specialists, physical scientists,physicians, social scientists, teachers, and kindred workers.

03. TECHNICIANS - Occupations requiring a combination of basic scientific knowledge and manual skill which canbe obtained through two years of post high school education such as offered in many technical institutes andjunior colleges, or through equivalent on-the-job training. Includes computer programmers, drafters,engineering aids, junior engineers, mathematical aides, licensed, practical or vocational nurses,photographers, radio operators, scientific assistants, surveyors, technical illustrators, technicians, (medical,dental, electronic, physical science), and kindred workers.

04. SALES WORKERS - Occupations engaging wholly or primarily in direct selling; Includes: advertising agentsand salesmen, insurance agents and brokers, real estate agents and brokers, stock and bond salesmen,demonstrators, salesmen and sales clerks, and kindred workers.

05. OFFICE AND CLERICAL WORKERS - Includes all clerical-type work regardless of level of difficulty, where theactivities are predominately non-manual though some manual work not directly involved with altering ortransporting the products is included. Includes: bookkeepers, cashiers, collectors (bills and accounts),

messengers and office boys, office machine operators, shipping and receiving clerks, stenographers, typistsand secretaries, telegraph and telephone operators, and kindred workers.

06. CRAFT WORKERS (SKILLED) - Manual workers of relatively high skill level having a thorough andcomprehensive knowledge of the processes involved in their work. Exercise considerable independentjudgment and usually receive an extensive period of training. Includes: the building trades, hourly paidforemen and leadmen who are not members of management, mechanics and repairmen, skilled machiningoccupations, compositors and typesetters, electricians, engravers, job setters (metal), motion pictureprojectionists, pattern and model makers, stationary engineers, tailors and tailoresses, and kindred workers.

07. OPERATIVES (SEMI-SKILLED) - Workers who operate machine or processing equipment or perform otherfactory-type duties of intermediate skill level which can be mastered in a few weeks and require only limitedtraining.

08. LABORERS (UNSKILLED) - Workers in manual occupations which generally require no special training.Perform elementary duties that may be learned in a few days and require the application of little or noindependent judgment. Includes; garage laborers, car washers and greasers, gardeners (except form) andgroundskeepers, longshoremen and stevedores, lumbermen, digging, mixing, loading, and pulling operations,and kindred workers.

09. SERVICE WORKERS - Workers in both protective and non-protective service occupations. Includes:attendants (hospital and other institution, professional and personal service), barbers, charwomen andcleaners, cooks (except household), counter and fountain workers, elevator operators, firemen and fireprotection, guards, watchmen and doorkeepers, stewards, janitors, policemen and detectives, porters, waitersand waitresses, and kindred workers.

10. APPRENTICES - Persons employed in a program including work training and related instruction to learn atrade or craft which is traditionally considered an apprenticeship, regardless of whether the program isregistered with a Federal or State agency.

11. TRAINEES - Persons engaged in formal training for craft workers when not trained under apprentice programs- operative, laborer, and service occupations; also persons engaged in formal training for official, managerial,professional, technical, sales, office, and clerical occupations.

Documents

Request for Proposals – Information Technology Support