Request for Proposal

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Request for Proposal CSUS-0357

Request for Proposal (RFP) CSUS-0357
Audit, Accounting and
Management Advisory Services

I. Statement of Objectives:

The Connecticut State University System (CSUS) is seeking qualified professional agencies or individuals
to provide auditing, accounting, and management advisory services. The requested services will be
provided for the fiscal years ended June 30, 2011 through June 30, 2015. These services will be provided to
the System and to its constituent universities.

The System may require respondents to make a formal presentation of their response; such presentations
are tentatively scheduled for the week of May 24, 2010 If such presentations are required, specific
schedules will not be requested until May 17, 2010. Please note: if your firm is not contacted for a
presentation, this does not imply that your proposal has been passed for consideration.

II. Background: The Connecticut State University System (CSUS) consists of four comprehensive
universities and a system office. CSUS, serving over 36,500 students, is the largest public university
system in the state, and is governed by an 18-member Board of Trustees. The universities are located in
urban areas: Central Connecticut State University (CCSU) in New Britain (12,461 students), Eastern
Connecticut State University(ECSU) in Willimantic (5,610 students), Southern Connecticut State
University(SCSU) in New Haven (11,815 students), and Western Connecticut State University(WCSU) in
Danbury (6,617 students).

This RFP consolidates certain audit services to be provided to CSUS and to its constituent universities.
These audits include [1] the annual financial statement audit of the System and its constituent universities
and System Office; and [2] certification of matchable endowment receipts.

This RFP also gives CSUS the option to request additional auditing, accounting, and management
advisory services to meet its needs. These services will be used, in part, to [1] meet additional regulatory
requirements for audits and reviews; [2] provide technical assistance and support for regulatory
requirements; and [3] provide training in various areas to the CSUS managers and staff.

Financial Operations of CSUS
Statutory Responsibility for Financial Operations

The responsibility for the oversight and control of the financial operations of CSUS rests with the Board of
Trustees (“BOT”). CGS section l0a-89(a) (1) requires the BOT to

"Make rules for the government of Connecticut State University system and shall determine
the general policies of the university system, including those concerning the admission of
students and the expenditure of funds of the institutions under its jurisdiction within the
amounts available; ...”

The BOT, through the System Office, is responsible for the financial management and quarterly reporting
for the State General Fund appropriation and the Operating Fund. These responsibilities are outlined in

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Request for Proposal CSUS-0357

CGS section l0a-99(b) and (c).
CSUS Fiscal Report

The latest audited financial statements are available at the following web address:

http://www.ct.edu/files/pdfs/fiscal-reports.pdf

Accounting Basis and Policies

CSUS operates on a modified cash basis. For reporting under generally accepted accounting principles
(GAAP), it converts to the accrual basis. The GAAP data collection process requires obtaining, reviewing,
and compiling supporting documentation from the four universities and the System Office prior to
making GAAP adjustments.

Current Automated Systems Environment

Banner

In FY99, the CSUS System began implementation of the SCT Banner 2000 administrative software product
throughout the system. This client-server based software, including modules for finance and budget,
human resources and personnel, student information, financial aid, and alumni and development records,
is completely integrated so that information may be utilized in all modules without labor-intensive data
re-entry.

On July 1, 1999, the alumni and development, general ledger, purchasing and accounts payable modules
were implemented throughout the System. In FY2000, the remaining finance modules (budget, grants,
cost accounting, and year-end processing), the human resources module and the student information
module were implemented, while the financial aid module was implemented in FY2001.

Other Systems

In March of 2002, the State of Connecticut commenced the implementation of Core-CT, the PeopleSoft
ERP replacing legacy State finance and payroll systems. Phase I of the finance module (containing
General Ledger, Accounts Payable, Accounts Receivable, Purchasing, and the Data Warehouse) was
completed on July 8, 2003, while the human resource/payroll module was completed on October 27, 2003.
Phase II of the finance module (containing Projects, Grants, Billing, Contracts, Asset Management, and
Inventory) began in October 2003 and was completed in 2005.

This implementation impacts CSUS, since the system must enter payroll and certain financial transactions
into the finance system so that transactions are recorded in the Comptroller’s and Treasurer’s. ledgers

On the human resources/payroll side, the impact is more extensive. Due to overlapping functionality,
CSUS has made the decision to abandon the Banner human resources/payroll module in favor of the
Core-CT human resource/payroll module. Therefore, all human resource/payroll related functions take
place directly within Core-CT, including production of payroll data, used by the State Comptroller's
Office to prepare payrolls; management information reporting; maintenance of employee position data,
processing of data for retroactive payrolls, and maintenance of data for the distribution of payroll costs.
The Banner General Ledger is populated with the payroll data through a backend feed.

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Request for Proposal CSUS-0357

Computer Hardware

CSUS runs a client/server environment and a complex combination of LAN and WAN. The CSUS’s ERP
is the SCT Banner system, with the databases running on Dell Servers located at the System Office and
with development systems, web servers, and applications servers located at the university locations and
System Office. The LAN is managed by each entity (university and System Office), while the WAN is
managed by the System Office.

Fund Accounting and Structure

State Funds Description

CSUS classifies its resources as one of two major types: either state or non-state resources.

State funds are primarily received from two specific sources. The first source is the annual state
appropriations. This appropriation is primarily used to fund faculty and staff salaries and benefits. Any
unspent funds at year-end revert to the State and cannot be carried forward to the next year.

The second source of funds is bonded debt issued by the State Treasurer "bond funds" for the purpose of
funding capital projects across the System. Prior to FY 2009, these funds were authorized and allotted on
a project by project basis, as well as for a capital equipment purchase program. The funds may be carried
over until the completion of the project or the balance is exhausted.

Public Act 07-7 established a 950 million, 10 year program to support the financing of acquisition,
construction, reconstruction, improving and equipping the facilities, structures and related systems at the
four CSUS universities known as “CSUS 2020”. This program began in FY 2009. Funds are released
annually at the option of the Governor. By statute, a separate independent audit is done of expenditures
under this program.

Additionally, State funds are provided through various grants obtained by the universities directly from
other State departments and as pass-through grants provided through the Department of Higher
Education.

Non-state funds differ significantly from state funds. These are managed by the universities or the
System Office, and the income received is retained by the university or the System Office.

Non-state funds include several major categories: federal funds, self-supporting activities, private gifts
and grants, endowments, CHEFA bonds, and tuition and fees.

Federal funds are received for contracts and grants in support of research and training programs and
student loans.

Revenues generated from self-supporting activities include housing and food services, other auxiliary
enterprises, continuing education programs and other programs supported by user fees.

Private gifts, grants and endowments are received and expended by the universities and the System
Office in accordance with the terms of trusts or agreements with donors or grantors.

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Request for Proposal CSUS-0357

Legislation enacted in 1995 authorized the Board of Trustees for the CSUS System to borrow money
through the Connecticut Health and Educational Facilities Authority (CHEFA) for the financing of
construction or renovation activities on residence halls, student centers, food service facilities or any other
auxiliary service facilities at the four universities. Debt service on loans is paid through university fee
revenues as well as certain residence hall fee and parking fee revenues charged to all full-time students.
Eight series of bonds have been issued through CHEFA as of the end of fiscal year 2005. The dates of
these issues were November 1995, March 1997, November 1999, March 2002, May 2003, February 2004,
and June 2005 (two issues). Two of the enumerated issues (February 2004 and June 2005) were
refundings of various maturities from the first five bond issues. One of the covenants of the loan
agreements requires the annual submittal of audited financial statements to both the Authority and
Trustee.

Funds Structure

CSUS employs a fund structure that complies with GAAP for higher education. The funds maintained
within Banner are organized into the National Association of College and University Business Officers
(NACUBO) fund groups of Current Funds both Unrestricted and Restricted, Loan Funds, Endowment
Funds, Plant Funds, and Agency Funds. Budgets, encumbrances, and expenditures are controlled at the
organization level.

III. Audit Scope

Entity:

The entity to be covered is the Connecticut State University System, the oversight unit, as defined by the
Governmental Accounting Standards Board (GASB) Statement 14. The financial statements of CSUS
include all funds and fund groups in the oversight unit. The oversight unit is composed of the System
Office, CCSU, ECSU, SCSU and WCSU.

Assistance Available:

Staffing and Support

The System's Vice Chancellor for Finance and Administration is responsible for the overall management
of the CSUS's audit and coordination of the individual university support. Additionally, each of the
universities and the System Office will provide the successful bidder with the following:

- Responses to inquiries on CSUS's accounting system and the policies, procedures and
practices followed at each of the universities and in the System Office. They will also
provide the successful bidder with documentation such as:

- Banner Policy and Procedure Manuals
- State Accounting Manual
- Office of the State Comptroller Year End Closing Instructions
- Office of the State Comptroller's Year End GAAP Instructions

- Orientation to Banner and provide on-line inquiry functions to the successful bidder;

- Closing trial balances, draft financial statements, related schedules, and the related

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Request for Proposal CSUS-0357

supporting documentation for each university and the System Office;

- Standard system reports from Banner according to an agreed upon schedule;

- Assistance in coordinating and production of statements, schedules, and underlying
documentation with the System Office and individual universities; and

- Limited office space, telephones, and reproduction facilities at the System Office and each of
the universities.

Other Information Resources

The CSUS Director of Internal Audit and the CSUS independent construction auditor, UHY LLP, will
make available to the successful bidder any additional audit reports or other information in our
possession that may facilitate and expedite the work on the financial and compliance audits. These
reports may include:

- Audits conducted by the Auditors of Public Accounts;
- Reviews conducted by the Office of the State Comptroller's Compliance Review Unit;
- Policy and programmatic reviews conducted by external funding sources, the BOT, and other
State agencies.

It is desired that this and other information shared with the successful bidder be used to maximum
advantage so that the financial and compliance audits may be built upon and not duplicate this work.

IV. Summary of Required Services

A) Audit Services

CSUS System-wide Financial Audit

For each year under the contract, the contractor shall conduct a system-wide financial statement audit for
CSUS.

CSUS Constituent Universities

It is CSUS’s intent that the financial audit and the resulting opinion be focused on CSUS as a whole. The
audited financial statements, however, must contain certain supplementary information required by the
Governmental Accounting Standards Board (GASB) for each of the constituent universities presenting
their Statement of Net Assets; Statement of Revenues, Expenses, and Changes in Net Assets; and
Statement of Cash Flows.

Conduct of the Audit

The audit report shall state that the audit was conducted in accordance with generally accepted auditing
standards (GAAS) in the United States of America. The auditor shall determine whether the statements
fairly present the Combined Statement of Net Assets; Statement of Revenues, Expenses and Changes in
Net Assets; and Statement of Cash Flows of the Connecticut State University System taken as a whole.

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Request for Proposal CSUS-0357

Reporting on Internal Controls

The successful bidder will be required to prepare an opinion on the adequacy of CSUS's internal control
structure.
Deliverables and Deadlines for Reports

The annual audit reports shall be bound into separate documents as follows:

- Annual Combined Comparative Financial Report with Summarized Comparative
University Financial Information for the Fiscal Year Ended June 30;
- Report to Management for the Fiscal Year Ended June 30

Each of these documents must be prepared and supplied by the successful bidder as described in the
following table:

DOCUMENT DUE DATE NUMBER OF COPIES
Combined Audited Financial December 15 250
Statements

Report to Management December 31 150

CSUS will be responsible for the distribution of all reports to the BOT, Auditors of Public Accounts, State
Comptroller, interested state and federal agencies, and the Federal Cognizant Agency.

Other Reports

Fraud or Illegal Acts

The successful bidder shall immediately report to the Chair of the CSUS Audit Committee and the CSUS
Director of Internal Audit all illegal acts or indications of illegal acts. This includes all related questioned
costs that the successful bidder becomes aware of in the performance of this contract. Any such findings
shall be covered in a separate written report to the Chair of the CSUS Audit Committee and the CSUS
Director of Internal Audit. The CSUS Director of Internal Audit will be responsible for distributing to
Federal and State authorities and officials information pertaining to such acts.

Report to Management

The successful bidder shall provide a Report to Management identifying any material weaknesses,
significant deficiencies and other matters related to internal control, as well as recommendations for
corrective action for each finding. The recommendations for corrective action must include the recipient's
comments on action planned or taken or an explanation describing the reason corrective action is not
necessary. The successful bidder shall report the corrective action taken on prior findings

Prior to the release of the final Report to Management the successful bidder will prepare a draft of its
comments for review and comment by the individual universities and the System Office, and shall hold
individual closing conferences with each university president and the CSUS Chancellor.

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Request for Proposal CSUS-0357

Other Services

The BOT desires to have the procedure listed below performed by the successful bidder. This procedure
is independent of the CSUS annual financial statement audit.

Certification of Matchable Endowment Receipts

An Act Concerning Advancement of Public Institutions of Higher Education was passed in the 1997
Legislative session and subsequently amended. Among other things, this act established a state match
which applies to all pledges and gifts which create an endowment and all pledges and gifts which add to
an existing endowment. These gifts are to be sent directly to the university or system foundation that the
donor wishes to support. Endowment fund eligible gifts and pledge payments received beginning
January 1, 1998 and ending December 31, 2012, are the only funds that are eligible for the state match.

The Chairperson of the CSUS Board of Trustees will certify the total amount of all endowment fund
eligible gifts received by or for the benefit of the system as a whole and each state university during the
preceding calendar year to the Secretary of the Office of Policy and Management, to the joint standing
committee of the General Assembly on Appropriations, and to the Commissioner of Higher Education, by
February 15 of each year. The amount of this certification shall be based on agreed upon procedures
which are to be performed by the successful bidder and reported to the Board of Trustees of CSUS and
each Foundation. The reports are due by February 1 of each year.

Workpapers and Reports

Evidence and other supporting data that the successful bidder may gather during the audit may
include personal information that is protected under the provisions of the federal Family Rights and
Privacy Act, the federal Gramm-Leach-Bliley Act (15 U.S.C. §6801, et seq.), or sections 4-190 through 4-
197 of the CGS. The successful bidder must take sufficient steps to safeguard the evidence and data from
unauthorized disclosure. These safeguards must be in place from the time the data is gathered until the
completion of the retention period and destruction of the workpapers. Any agreement between CSUS
and the vendor shall reference and include the vendor’s compliance with the above provisions, Act’s and
Statutes.

Audit workpapers under the contract shall be prepared in accordance with due professional care and
conform to the relevant standards established by the American Institute of Certified Public Accountants
(AICPA) and GAGAS. Audit workpapers and reports must be retained for a minimum of three years
from the date of the audit report or a period of one year from the resolution of the audit findings and
questioned costs whichever occurs last, unless notified in writing by CSUS to extend the retention period.

The successful bidder, upon request, shall provide the CSUS Director of Internal Audit, the Vice
Chancellor for Finance and Administration, or other individuals they may designate with a copy of all
documentation developed, during the course of the audit engagement to date, that describes the internal
controls and operating procedures of CSUS and its constituent universities.

The audit workpapers for this contract are the property of the successful bidder and shall constitute
confidential information. However, as required by the terms of the contract for audit services, all
workpapers relating to the audits performed or to be performed shall be made available without charge,
for review within seven days of a request by CSUS, Office of the State Comptroller, Auditors of Public

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Request for Proposal CSUS-0357

Accounts, the Federal Cognizant Audit Agency, the U.S. General Accounting Office or any of their
designees, during and at the completion of the audit.

Contracted individual(s) and firm(s) engaged by CSUS for the performance of subsequent audit,
accounting, or management advisory services may require access to the workpapers. Copies of the
workpapers shall be made available to the subsequently contracted individual(s) or firm(s) in compliance
with AICPA's Statement on Auditing Standards (SAS) 7.

Audit Conferences and Management Meetings

Prior to the beginning of each year’s fiscal audit, the successful bidder and the Vice Chancellor for
Finance and Administration or designee will meet jointly, negotiate, and finalize an audit work plan. This
plan shall specify major audit tasks, responsible person(s), timelines and milestones.

Prior to the beginning of each year’s fiscal audit, the successful bidder shall meet with the Audit
Committee of the Board of Trustees to discuss the planning and staffing of the audit. The Audit
Committee will review and approve the scope of the annual external audit.

In addition to routine engagement entrance and exit conferences, the auditors shall schedule weekly
briefings with the Vice Chancellor for Finance and Administration or her/his designee to discuss the
audit’s status and progress in relation to the established audit work plan and milestones. One such
meeting should be scheduled to discuss and explain the draft report deliverables.

After completion of the audit, the successful bidder shall meet with the Audit Committee of the Board of
Trustees concerning the strengths and weaknesses of CSUS’s financial staff, systems, internal controls,
and other factors that pertain to the integrity of published financial reports. They shall also discuss
significant financial reporting issues and judgments made in connection with the preparation of CSUS’s
audited financial statements, including any alternative treatments of financial information within GAAP
that have been discussed with management, ramifications of the use of such alternative disclosures and
treatments, and the treatment preferred by the successful bidder; any major issues as to the adequacy of
CSUS’s internal controls; and any special steps adopted in light of material weaknesses or significant
control deficiencies.

After completion of the audit and receipt and acceptance of all deliverables a concluding briefing will be
held with the Vice Chancellor for Finance and Administration and the successful bidder for the purpose
of critiquing the audit. The critique should cover all aspects of the audit discussing recommendations for
streamlining and expediting the subsequent year’s audit process. The briefing should cover
recommendations to strengthen any internal control weaknesses or findings deemed appropriate.

B) Accounting Services

The following are a list of services that the successful bidder may be requested to provide during the
course of the contract. The listing below is not intended to provide an inclusive list of the services
desired.

- Providing assistance to CSUS in the implementation of Government Financial Standards
Board (GASB) and Financial Accounting Standards Board (FASB) statements.

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Request for Proposal CSUS-0357

- Advice and assistance in the implementation and reporting on Internal Revenue Service
(IRS) regulations and rulings. Assistance in the implementation of changes to the
accounting and reporting process as the result of changes in federal statutes and regulations
and State statutes.

- Advice and assistance in the implementation of policies and procedures relating to the 2002
Sarbanes-Oxley Act and similar state requirements, if applicable, or internal best practices.

As it is not possible for the bidder to reasonably establish how many hours will be needed for these
services, CSUS will consider the inclusion of an hourly rate for such services, on the contingency that such
services may be requested.

C) Management Advisory Services (“MAS”)

The following are a list of services that the contractor may be requested to provide during the course of
the contract. The listing below is not intended to provide an inclusive list of the services desired.

MAS During the Course of the Contract

The following list outlines services that the contractor may be requested to provide during the course of
the contract. This list is not intended to cover all of the possible services to be provided but to provide an
exemplification of options and/or services.

- Support to the BOT’s Audit Committee that they may require to carry out their oversight
function of the external and internal audit processes.

- Provide training to various professional and technical staff members of the CSUS System
Office and the individual universities. This training may include the following areas:
governmental accounting, accounting within a college and university environment, FASB
and GASB statements and their implementation, development of cost allocation plans,
Information Systems auditing, federal financial reporting requirements, computer assisted
audit techniques, specialized internal audit skills and fraud prevention.

- Provide periodic briefings to the senior financial managers within the System on changes
promulgated in GAAP (including GASB and FASB statements, technical bulletins,
interpretations, and emerging issues), IRS regulations reporting and disclosure
requirements, other applicable federal and state regulations and requirements, and
NACUBO guidance and policies.

- Assistance in the development of enhancements to the Banner system and its successor
system(s).

- Enhancements or assistance in the development of financial reporting and budgeting
models for CSUS and its constituent universities.

- Assistance in the implementation of various regulatory changes that impact our various
reporting and administrative systems.

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Request for Proposal CSUS-0357

- Assistance in analyzing the impact of IRS regulations and rulings on the CSUS operating
environment. This may include preparing analysis of the impact of Unrelated Business
Income Tax (UBIT) on proposed and/or current CSUS activities.

- Internal control reviews and specialized audits of the IT general and application controls on
a System-wide or individual university basis.

D) Other Services

During the course of the contract resulting from this RFP, CSUS may require additional services from the
contractor that cannot be reasonably detailed or estimated at this time. Such additional work will only be
performed if included in a change order to the contract. Such change order shall require approval by
either the Chancellor or the Vice Chancellor for Finance and Administration. Any additional work that
has been formally agreed to will be reimbursed at the same rate for similar types of work included in the
contract.

SECTION IV. Vendor Information:

1. Vendor Overview
Please provide the following:
 The Name and location of your company.
 The location of the office that will be serving CSUS.
 A brief general description of your business, including the primary line of business, company and
employee credentials, etc.
 The number of years your company has been in business.
 Is your company a subsidiary of another corporation? If so, what is the name of the parent
company?

2. Client Base
Provide specific reference information for three clients you have served, relevant to the work proposed, to
include:
 Organization name and location.
 Starting date of service.
 Relevant volume statistics.
 Contact name, title and telephone number.

The references must be relevant to services performed in the last 36 months, and shall include their level
of acceptance of those services.

3. Litigation
Please list any litigation that your firm is currently engaged in or that has been concluded in the prior 12 months
that relates to the type of services provided in your RFP Response. Please list any debarment or other legal
action taken against your firm in your bid response.

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Request for Proposal CSUS-0357

SECTION V. Proposal Submission Requirements:
Provide a detailed list of costs including all delivery costs.
Provide a complete list of all product pricing requested, including all list price minus percentage items.
Provide information on your firm, including client references and any relevant certifications, as outlined
in Section IV.

SEEC Requirements
All bidders are required to comply with the below SEEC requirements, and the
requirements contained within SEEC form 11 located in this RFP starting on Page 19.

“With regard to a state contract as defined in P.A. 07-1 having a value in a calendar year of $50,000 or
more or a combination or series of such agreements or contracts having a value of $100,000 or more, the
authorized signatory to this submission or response to the State’s solicitation expressly acknowledges
receipt of the State Election Enforcement Commission’s notice advising prospective state contractors of
state campaign contribution and solicitation prohibitions, and will inform its principals of the contents of
the notice.”

Submit completed state forms regarding nondiscrimination and affirmative action policies.
The Non-Discrimination form must be completed and submitted. The affidavits are required of all
bidders awarded a contract, at the time of the award of the contract. Except as noted below.

Please Note: ALL BIDDERS must submit the Consultant Affidavit with their bid package. The
winning bidder may be required to submit an additional affidavit at the time of award.

Inquiries and Requests for Clarification by Bidders:

All inquiries relative to the conditions and specifications listed herein as well as clarification of any
information contained in this Request must sent via e-mail only to the following e-mail address:
heyla@ct.edu

The response of CSUS to any inquiry or request for clarification, together with a copy of the written
inquiry or request, will be provided contemporaneously by CSUS to all known parties receiving this
proposal. Responses to all written inquiries and requests for clarification will also be posted on CSU-
System Office’s Website: www.ct.edu/rfp

Under no circumstances may any bidder or its representative contact any employee or representative of
CSUS regarding this RFP prior to the closing date, other than as provided in this Section. Strict adherence
to this important procedural safeguard is required. Any violation of this condition may result in bidder
being considered non-compliant and ineligible for award.

All questions must be submitted in the form of an e-mail only to heyla@ct.edu. The cutoff for
questions is April 13, 2010 @ 2:00pm local time. All questions will be answered as an addendum to
the RFP only. No telephone questions will be acknowledged or answered.

An original and seven (7) hard copies of the proposal must be submitted in a sealed envelope or box to:

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Request for Proposal CSUS-0357

Andy Heyl
Connecticut State University System
Hartford, Connecticut 06105.
(860) 493-0047 heyla@ct.edu

BID DUE DATE AND TIME: May 4, 2010, 2:00 PM local time.

Please Note: Faxed, E-Mailed or late bids will be automatically rejected.
CSUS is not responsible for delays in mail or expedited carriers.

All bids must be physically received by the date and time specified above. There are no exceptions
for weather or other conditions beyond anyone’s control.

At the specified time stated above, all proposals received in accordance with this RFP shall be publicly
opened and announced. However, due to the complexity of the bid, only the names of the respondents
will be read. All interested parties are welcome to attend the bid opening.

All proposals must be submitted in three ring binders or otherwise bound within a sealed envelope or box
and addressed as noted above. No responsibility will be attached to any person for the premature
opening of any proposal that is not properly identified.

E-mail or electronic attachments are not an acceptable means of submitting a proposal and will be rejected
as non-conforming. If your firm intends to use an express delivery service, it is recommended that you
stress the need to deliver your package to the building and office designated above. Packages delivered
by express mail to other locations might not be redelivered to the appropriate address in time to be
considered. Packages received late due to delivery service delay will not be accepted under any
circumstances.

Proposals that do not substantially conform to the contents of the bid request, consequently altering the
basis for proposal comparison, may be disregarded and considered as unresponsive.

All proposals will be considered confidential until such time as a contract with the successful bidder is
executed and approved by the Office of the Attorney General.

CSUS may request that any bidder clarify or supplement any information contained in its proposal.
Bidders are required to provide a written response within five (5) business days of receipt of any request
for clarification by CSUS.

SECTION VI. General Instructions to Vendors:

Vendors who are furnished a copy of this RFP are requested to submit a receipt acknowledgement as
soon as possible, to ensure timely receipt of potential corrections or cancellations. Those not intending to
make a proposal are asked to submit a negative reply.

RFP responses must be in sealed envelopes upon which a clear indication has been made of the RFP
reference title, as well as the date and time the bid is due. The vendor’s name and address must
appear on the envelope.

Vendor must answer all the questions and supply all required materials to be considered.

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Any proposal submitted must include termination procedures, if either the contractor or CSUS determine
that termination becomes necessary for reasons including but not limited to failure to perform.

The State of Connecticut is exempt from the payment of excise, transportation, and sales taxes imposed by
the Federal government and/or the State of Connecticut. Such taxes must not be included in prices.

An authorized official must sign the proposal. The proposal must also provide the name, title, address
and telephone number for individuals with authority to negotiate and contractually bind the company or
individuals. Please provide the name and number of the person to contact for the purpose of clarifying
the contract.

SECTION VII. General Conditions:

1. The State reserves the right to accept or reject any or all proposals submitted for consideration. All
proposals will be kept sealed and safe until the date, time and place of public opening.

2. Any contract awarded as a result of this RFP must be in full conformance with statutory requirements
of the State of Connecticut and the Federal Government.

3. All proposals in response to this RFP are to be the sole property of the State, and subject to the
provisions of section 1-210 of the Connecticut General Statutes. (Re: Freedom of Information).

4. Any product, whether acceptable or unacceptable, developed under a contract awarded as a result of
this RFP is to be sole property of the State of Connecticut unless stated otherwise in the RFP or
contract.

5. Any proposal must be valid for a period of 120 days from the due date.

6. Any alleged oral agreement or arrangement made by a firm with CSUS or any employee will be
superseded by the written agreement.

7. CSUS reserves the right to amend or cancel this RFP, prior to the due date and time, if it is in the best
interests of CSUS.

8. CSUS reserves the right to reject the proposal of any firm which is in default of any prior contract or
for misrepresentation

9. CSUS reserves the right to correct inaccurate awards resulting from its clerical errors.

10. Proposals are subject to rejection in whole or part if they limit or modify any of the terms and
conditions and/or specifications of the RFP.

11. A vendor, if requested, must be prepared to present evidence of experience, ability, service facilities,
and financial standing necessary to satisfactorily meet the requirements set forth or implied in the
proposal.

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12. No additions or changes to the original proposal will be allowed after submittal. While changes are
not permitted, clarification at the request of the agency may be required at the bidder’s expense.

13. By responding, the vendor implicitly states that the proposal is not made in connection with any
competing vendor submitting a separate response to the RFP, and is in all respects fair and without
collusion or fraud. It is further implied that the vendor did not participate in the RFP development
process, had no knowledge o f the specific contents of the RFP prior to its issuance, and that no
employee of CSUS participated directly or indirectly in the vendor’s proposal preparation.

14. Vendor shall bear all costs associated with Vendor’s response to this request for proposal including
the costs of any presentations and/or demonstrations (if any).

15. The proposal must include a summary of the bidder’s experience with Affirmative Action. This
information is to include a summary of the bidder’s affirmative action plan and the bidder’s
affirmative action policy statement.
Regulations of Connecticut State Agencies Section 4a – 60 requires agencies to consider the following
factors when awarding a contract, which is subject to contract compliance requirements:

a. the bidder’s success in implementing an affirmative action plan
b. The bidder’s promise to develop and implement a successful Affirmative Action Plan;
c. The bidder’s submission of employment data forms indicating that the composition of its
work force is at or nearby parity when compared to the racial and sexual composition of
the work force in the relevant labor market area, and
d. The bidder’s promise to set aside a portion of the contract for legitimate small contractors
and minority enterprises.

16. The State reserves the right to award in part, to reject any and all Proposals in whole or in part,
and to waive technical defects, irregularities and omissions if, in its judgment, the best interest of
the State will be served.

SECTION VIII
Evaluation Process and Criteria:

The successful bidder will be chosen by a selection committee utilizing a points-earned matrix
containing the elements described below. The award will be made to the most responsive bidder
offering the best value as determined by CSUS.
The criteria will include, but is not limited to:

 Ability to provide the specific auditing services requested in the RFP.

 Experience with the requirements of state government auditing and accounting
requirements, specifically GASB 35, 39 and 40.

 Experience with the finance-based computer systems relevant to higher education

 Experience in higher education, especially in public higher education and multi-campus
systems.

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 Full scope of services available from the bidder. (Within the confines imposed by
Sarbanes-Oxley and CSUS Board Policy)

 Staff and resources available to meet timeframes contained in the RFP

 Completeness and cost of response

 References
Bidders must fill out bid package correctly, submit the required affidavits and forms when required,
and be willing to comply with applicable regulations of the State of Connecticut and the CSUS
System. The winning bidder must be willing to enter into a contract with the Connecticut State
University System, and comply with all terms and conditions required thereof.

Demonstration of commitment to affirmative action by full compliance with the regulations of
the commission on Human Rights and Opportunities (CHRO).

Finalist firms may also be asked to make a presentation to CSUS.

SECTION IX. Rights Reserved to Connecticut State University System:

The Connecticut State University System reserves the right to award in part, reject any and all proposals
in whole or in part, award to multiple contractors, to waive technical defects, irregularities and omissions
if, in its judgment, the best interest of the CSUS is served. CSUS reserves the right to negotiate with any
bidder prior to awarding a contract, and to negotiate with any contractor during the life of any
subsequent contract

SECTION X. . Terms and Conditions of the Personal Service Agreement (PSA)

After an evaluation of all proposals the successful bidder and CSUS shall enter a Personal Service
Agreement (PSA) for the services outlined within this RFP governed by the Laws and Statutes of the State
of Connecticut including the terms and conditions contained below.
These terms and conditions are not subject to any changes or modifications.

TERMS/CONDITIONS

EXECUTIVE ORDERS

This contract is subject to the provisions of Executive Order No. Three of Governor Thomas J. Meskill
promulgated June 16, 1971, and, as such, this contract may be canceled, terminated or suspended by the
State Labor Commissioner for violation of or noncompliance with said Executive Order No. Three, or any
state or federal law concerning nondiscrimination, notwithstanding that the Labor Commissioner is not a
party to this contract. The parties to this contract, as part of the consideration hereof, agree that said
Executive Order No. Three is incorporated herein by reference and made a party hereof. The parties
agree to abide by said Executive Order and agree that the State Labor Commissioner shall have
continuing jurisdiction in respect to contract performance in regard to nondiscrimination, until the contract
is completed or terminated prior to completion. The contractor agrees, as part consideration hereof, that
this contract is subject to the Guidelines and Rules issued by the State Labor Commissioner to implement
Executive Order No. Three, and that he will not discriminate in his employment practices or policies, will
file all reports as required, and will fully cooperate with the State of Connecticut and the State Labor
Commissioner. This contract is also subject to provisions of Executive Order No. Seventeen of Governor

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Thomas J. Meskill promulgated February 15, 1973, and, as such, this contract may be canceled,
terminated or suspended by the contracting agency or the State Labor Commissioner for violation of or
noncompliance with said Executive Order No. Seventeen, notwithstanding that the Labor Commissioner
may not be a party to this contract. The parties to this contract, as part of the consideration hereof, agree
that Executive Order No. Seventeen is incorporated herein by reference and made a part hereof. The
parties agree to abide by said Executive Order and agree that the contracting agency and the State Labor
Commissioner shall have joint and several continuing jurisdiction in respect to contract performance in
regard to listing all employment openings with the Connecticut State Employment Service. This contract is
also subject to provisions of Executive Order No. Sixteen of Governor John G. Rowland promulgated
August 4, 1999, and, as such, this contract may be cancelled, terminated or suspended by the contracting
agency of the State Labor Commissioner for violation of or noncompliance with said Executive Order No.
Sixteen, notwithstanding that the Labor Commissioner may not be a party to this contract. The parties to
this contract, as part of the consideration hereof, agree that Executive Order No. Sixteen is incorporated
herein by reference and made a part hereof. The parties agree to abide by said Executive Order and
agree that the contracting agency and the State Labor Commissioner shall have joint and several
continuing jurisdiction in respect to contract performance in regard to listing all employment openings with
the Connecticut State Employment Service.

I. NON-DISCRIMINATION

(a). For the purposes of this section, "minority business enterprise" means any small contractor or supplier
of materials fifty-one percent or more of the capital stock, if any, or assets of which is owned by a person
or persons: (1) who are active in the daily affairs of the enterprise; (2) who have the power to direct the
management and policies of the enterprise; and (3) who are members of a minority, as such term is
defined in subsection (a) of Conn. Gen. Stat. subsection 32-9n; and "good faith" means that degree of
diligence which a reasonable person would exercise in the performance of legal duties and obligations.
"Good faith efforts" shall include, but not be limited to, those reasonable initial efforts necessary to comply
with statutory or regulatory requirements and additional or substituted efforts when it is determined that
such initial efforts will not be sufficient to comply with such requirements.
For purposes of this Section, "Commission" means the Commission on Human Rights and
Opportunities.
For purposes of this Section, "Public works contract" means any agreement between any individual,
firm or corporation and the state or any political subdivision of the state other than a municipality for
construction, rehabilitation, conversion, extension, demolition or repair of a public building, highway or
other changes or improvements in real property, or which is financed in whole or in part by the state,
including but not limited to, matching expenditures, grants, loans, insurance or guarantees.
(b) (1) The Contractor agrees and warrants that in the performance of the contract such Contractor will not
discriminate or permit discrimination against any person or group of persons on the grounds of race, color,
religious creed, age, marital status, national origin, ancestry, sex, mental retardation or physical disability,
including, but not limited to blindness, unless it is shown by such Contractor that such disability prevents
performance of the work involved, in any manner prohibited by the laws of the United States or of the
State of Connecticut. The Contractor further agrees to take affirmative action to insure that applicants
with job related qualifications are employed and that employees are treated when employed without regard
to their race, color, religious creed, age, marital status, national origin, ancestry, sex, mental retardation,
or physical disability, including, but not limited to, blindness unless it is shown by the Contractor that such
disability prevents performance of the work involved; (2) the Contractor agrees, in all solicitations or
advertisements for employees placed by or on behalf of the Contractor, to state that it is an "affirmative
action - equal opportunity employer" in accordance with regulations adopted by the Commission; (3) the
Contractor agrees to provide each labor union or representative of workers with which the Contractor has
a collective bargaining agreement or other contract or understanding and each vendor with which the
Contractor has a contract or understanding, a notice to be provided by the Commission, advising the labor
union or workers' representative of the Contractor's commitments under this section and to post copies of
the notice in conspicuous places available to employees and applicants for employment; (4) the
Contractor agrees to comply with each provision of this section and Conn. Gen. Stat. subsections 46a-68e
and 46a-68f and with each regulation or relevant order issued by said Commission pursuant to Conn.

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Gen. Stat. subsections 46a-56, 46a-68e and 46a-68f; (b) the Contractor agrees to provide the
Commission on Human Rights and Opportunities with such information requested by the Commission,
and permit access to pertinent books, records and accounts, concerning the employment practices and
procedures of the Contractor as relate to the provisions of this section and section 46a-56. If the Contract
is a public works contract, the contractor agrees and warrants that he will make good faith efforts to
employ minority business enterprises as subcontractors and suppliers of materials on such public works
projects.
c. Determination of the Contractor's good faith efforts shall include, but shall not be limited to, the following
factors: The Contractor's employment and subcontracting policies, patterns and practices; affirmative
advertising, recruitment and training; technical assistance activities and such other reasonable activities or
efforts as the Commission may prescribe that are designed to ensure the participation of minority
business enterprises in public works projects.
d. The Contractor shall develop and maintain adequate documentation, in a manner prescribed by the
Commission, of its good faith efforts.
e. The Contractor shall include the provisions of subsection (b) of this Section in every subcontract or
purchase order entered into in order to fulfill any obligation of a contract with the State and such provisions
shall be binding on a subcontractor, vendor or manufacturer unless exempted by regulations or orders of
the Commission. The Contractor shall take such action with respect to any such subcontract or purchase
order as the Commission may direct as a means of enforcing such provisions including sanctions for
noncompliance in accordance with Conn. Gen. Stat. subsection 46a-56; provided, if such contractor
becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such
direction by the Commission, the Contractor may request the State of Connecticut to enter into any such
litigation or negotiation prior thereto to protect the interests of the State and the State may so enter.
f. The Contractor agrees to comply with the regulations referred to in this Section as they exist on the date
of this contract and as they may be adopted or amended from time to time during the term of this contract
and any amendments thereto.
g. The Contractor agrees to follow the provisions: The contractor agrees and warrants that in the
performance of the agreement such contractor will not discriminate or permit discrimination against any
person or group of persons on the grounds of sexual orientation, in any manner prohibited by the laws of
the United States or of the State of Connecticut, and that employees are treated when employed without
regard to their sexual orientation; the contractor agrees to provide each labor union or representative of
workers with which such contractor has a collective bargaining agreement or other contract or
understanding and each vendor with which such contractor has a contract or understanding, a notice to be
provided by the Commission on Human Rights and Opportunities advising the labor union or workers'
representative of the contractor's commitments under this section, and to post copies of the notice in
conspicuous places available to employees and applicants for employment; the contractor agrees to
comply with each provision of this section and with each regulation or relevant order issued by said
commission pursuant to Section 46a-56 of the general statutes; the contractor agrees to provide the
Commission on Human Rights and Opportunities with such information requested by the commission, and
permit access to pertinent books, records and accounts, concerning the employment practices and
procedures of the contractor which relate to the provisions of this section and Section 46a-56 of the
general statutes.
h. The Contractor shall include the provisions of the foregoing paragraph in every subcontract or purchase
order entered into in order to fulfill any obligation of a contract with the state and such provisions shall be
binding on a subcontractor, vendor or manufacturer unless exempted by regulations or orders of the
commission. The contractor shall take such action with respect to any such subcontract or purchase
order as the commission may direct as a means of enforcing such provisions including sanctions for
noncompliance in accordance with Section 46a-56 of the general statutes; provided, if such contractor
becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such
direction by the commission, the contractor may request the State of Connecticut to enter into any such
litigation or negotiation prior thereto to protect the interests of the state and the state may so enter.

INSURANCE

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The contractor agrees that while performing services specified in this agreement he shall carry sufficient
insurance (liability and/or other) as applicable according to the nature of the service to be performed so as
to "save harmless" the State of Connecticut from any insurable cause whatsoever. If requested,
certificates of such insurance shall be filed with the contracting State agency prior to the performance of
services.

STATE LIABILITY
The State of Connecticut shall assume no liability for payment for services under the terms of this
agreement until the contractor is notified that this agreement has been accepted by the contracting agency
and, if applicable, approved by the Office of Policy and Management (OPM) or the Department of
Administrative Services (DAS) and by the Attorney General of the State of Connecticut.

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Section X

SEEC FORM 11

NOTICE TO EXECUTIVE BRANCH STATE CONTRACTORS AND
PROSPECTIVE STATE CONTRACTORS 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
are 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 solicit contributions on behalf of (i) an
exploratory committee or candidate committee established by a 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 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 solicit contributions on behalf of (i) an exploratory
committee or candidate committee established by a candidate for nomination or
election to the office of State senator or State representative, (ii) a political
committee authorized to make contributions 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 Violations
Contributions or solicitations of contributions made in violation of the above
prohibitions may result 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 which fails to make reasonable efforts to comply with the provisions
requiring notice to its principals of these prohibitions and the possible consequences

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of their violations may also 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 the violator to imprisonment 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 the contract 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 state contractor, unless
the State Elections Enforcement Commission determines that mitigating
circumstances exist concerning such violation.

The State will not award any other state contract to anyone found in violation of the
above prohibitions for a period of one year after the election for which such
contribution is made or solicited, unless the State Elections Enforcement
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 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 a state contract.
Such person, business entity or nonprofit organization shall be deemed to be a state 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 the state, including any entities or associations duly created
by the municipality or political subdivision exclusively amongst themselves to further any purpose authorized
by statute or charter, 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 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 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 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, including any entities or associations duly created by the
municipality or political subdivision exclusively amongst themselves to further any purpose authorized by
statute or charter, 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 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
the board of directors of, or has an ownership interest of five per cent or more in, a state contractor or
prospective state contractor, which is a business entity, except for an individual who is a member of the

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board of directors 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 individual who 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 possesses comparable powers and duties, (iv) an officer or an employee of any state
contractor or prospective state contractor 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 business entity 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, let through 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 calendar year, for (i) the rendition of services, (ii) the furnishing of any goods, material, supplies,
equipment or any items of any kind, (iii) the construction, alteration or repair of any public building or public
work, (iv) the acquisition, 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 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 process authorized by law waiving competitive procurement.

“Managerial or discretionary responsibilities with respect to a state contract” means having direct, extensive
and 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 activities for
a candidate committee, exploratory committee, political committee or party committee, including, but not
limited 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 such
committee, or (D) establishing a political committee 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 any person 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 an
officer of such committee that is not otherwise prohibited in this section.

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Section XI
Affidavits and Forms

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STATE OF CONNECTICUT
GIFT AND CAMPAIGN CONTRIBUTION CERTIFICATION

Certification to accompany a State contract with a value of $50,000 or more in a
calendar or fiscal year, pursuant to C.G.S. §§ 4-250 and 4-252(c); Governor M. Jodi
Rill’s Executive Orders No. 1, Para. 8, and No. 7C, Para. 10; and C.G.S. §9-
612(g)(2), as amended by Public Act 07-1

INSTRUCTIONS:

Complete all sections of the form. Attach additional pages, if necessary, to provide full disclosure about any
lawful campaign contributions made to campaigns of candidates for statewide public office or the General
Assembly, as described herein. Sign and date the form, under oath, in the presence of a Commissioner of
the Superior Court or Notary Public. Submit the completed form to the awarding State agency at the time
of initial contract execution (and on each anniversary date of a multi-year contract, if applicable).

CHECK ONE:  Initial Certification  Annual Update (Multi-year contracts only.)

GIFT CERTIFICATION:

As used in this certification, the following terms have the meaning set forth below:

1) “Contract” means that contract between the State of Connecticut (and/or one or more of it agencies
or instrumentalities) and the Contractor, attached hereto, or as otherwise described by the awarding
State agency below;
2) If this is an Initial Certification, “Execution Date” means the date the Contract is fully executed
by, and becomes effective between, the parties; if this is an Annual Update, “Execution Date”
means the date this certification is signed by the Contractor;
3) “Contractor” means the person, firm or corporation named as the contactor below;
4) “Applicable Public Official or State Employee” means any public official or state employee
described in C.G.S. §4-252(c)(1)(i) or (ii);
5) “Gift” has the same meaning given that term in C.G.S. § 4-250(1);
6) “Planning Start Date” is the date the State agency began planning the project, services,
procurement, lease or licensing arrangement covered by this Contract, as indicated by the
awarding State agency below; and
7) “Principals or Key Personnel” means and refers to those principals and key personnel of the
Contractor, and its or their agents, as described in C.G.S. §§ 4-250(5) and 4-252(c)(1)(B) and (C).
I, the undersigned, am the official authorized to execute the Contract on behalf of the Contractor. I hereby
certify that, between the Planning Start Date and Execution Date, neither the Contractor nor any Principals
or Key Personnel has made, will make (or has promised, or offered, to, or otherwise indicated that he, she
or it will, make) any Gifts to any Applicable Public Official or State Employee.

I further certify that no Principals or Key Personnel know of any action by the Contractor to circumvent (or
which would result in the circumvention of) the above certification regarding Gifts by providing for any other
principals, key personnel, officials, or employees of the Contractor, or its or their agents, to make a Gift to
any Applicable Public Official or State Employee. I further certify that the Contractor made the bid or
proposal for the Contract without fraud or collusion with any person.

CAMPAIGN CONTRIBUTION CERTIFICATION:

I further certify that, on or after December 31, 2006, neither the Contractor nor any of its principals, as
defined in C.G.S. § 9-612(g)(1), has made any campaign contributions to, or solicited any contributions
on behalf of, any exploratory committee, candidate committee, political committee, or party committee
established by, or supporting or authorized to support, any candidate for statewide public office, in violation
of C.G.S. § 9-612(g)(2)(A). I further certify that all lawful campaign contributions that have been
made on or after December 31, 2006 by the Contractor or any of its principals, as defined in C.G.S. § 9-
612(g)(1), to, or solicited on behalf of, any exploratory committee, candidate committee, political
committee, or party committee established by, or supporting or authorized to support any candidates for
statewide public office or the General Assembly, are listed below:

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STATE OF CONNECTICUT
GIFT AND CAMPAIGN CONTRIBUTION CERTIFICATION

Lawful Campaign Contributions to Candidates for Statewide Public Office:

Contribution Date Name of Contributor Recipient Value
Description
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________

Lawful Campaign Contributions to Candidates for the General Assembly:

Sworn as true to the best of my knowledge and belief, subject to the penalties of false statement.

___________________________________ ___________________________ Signature
of Authorized Official Printed Contractor Name

Subscribed and acknowledged before me this ______ day of __________________, 200__.

___________________________________________
Commissioner of the Superior Court (or Notary Public)

For State Agency Use Only

____________________________________
__________________________________
Awarding State Agency Planning
Start Date

___________________________________________________________________________________
Contract Number or Description

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STATE OF CONNECTICUT
CONSULTING AGREEMENT AFFIDAVIT

Affidavit to accompany a State contract for the purchase of goods and services with a
value of $50,000 or more in a calendar or fiscal year, pursuant to Connecticut General
Statutes §§ 4a-81(a) and 4a-81(b)

INSTRUCTIONS:

If the bidder or vendor has entered into a consulting agreement, as defined by Connecticut General
Statutes § 4a-81(b)(1): Complete all sections of the form. If the bidder or vendor has entered into more than
one such consulting agreement, use a separate form for each agreement. Sign and date the form in the
presence of a Commissioner of the Superior Court or Notary Public. If the bidder or vendor has not entered
into a consulting agreement, as defined by Connecticut General Statutes § 4a-81(b)(1): Complete only
the shaded section of the form. Sign and date the form in the presence of a Commissioner of the Superior Court
or Notary Public.

Submit completed form to the awarding State agency with bid or proposal. For a sole source award, submit
completed form to the awarding State agency at the time of contract execution.

This affidavit must be amended if the contractor enters into any new consulting agreement(s) during the term of
the State contract.

AFFIDAVIT: [ Number of Affidavits Sworn and Subscribed On This Day: _____ ]

I, the undersigned, hereby swear that I am the chief official of the bidder or vendor awarded a contract, as
described in Connecticut General Statutes § 4a-81(a), or that I am the individual awarded such a contract who is
authorized to execute such contract. I further swear that I have not entered into any consulting agreement in
connection with such contract, except for the agreement listed below:

__________________________________________
_______________________________________
Consultant’s Name and Title Name of Firm (if
applicable)

__________________ ___________________ ___________________
Start Date End Date Cost

Description of Services Provided: ___________________________________________________________

______________________________________________________________________________________

Is the consultant a former State employee or former public official?  YES  NO

If YES: ___________________________________ __________________________
Name of Former State Agency Termination Date of
Employment

Sworn as true to the best of my knowledge and belief, subject to the penalties of false statement.

___________________________ ___________________________________
__________________
Printed Name of Bidder or Vendor Signature of Chief Official or Individual Date

___________________________ ___________________________________
___________________

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Federal Employer ID No. (FEIN) Printed Name (of above)
Awarding State Agency
or Social Security Number (SSN)

Sworn and subscribed before me on this _______ day of ____________, 200__.

___________________________________
Commissioner of the Superior Court
or Notary Publ

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STATE OF CONNECTICUT
NONDISCRIMINATION CERTIFICATION — Affidavit
By Entity
For Contracts Valued at $50,000 or More

Documentation in the form of an affidavit signed under penalty of false statement by a chief executive officer,
president, chairperson, member, or other corporate officer duly authorized to adopt corporate, company, or
partnership policy that certifies the contractor complies with the nondiscrimination agreements and
warranties under Connecticut General Statutes §§ 4a-60(a)(1) and 4a-60a(a)(1), as amended

INSTRUCTIONS:

For use by an entity (corporation, limited liability company, or partnership) when entering into any
contract type with the State of Connecticut valued at $50,000 or more for any year of the contract. Complete
all sections of the form. Sign form in the presence of a Commissioner of Superior Court or Notary Public.
Submit to the awarding State agency prior to contract execution.

AFFIDAVIT:

I, the undersigned, am over the age of eighteen (18) and understand and appreciate the obligations of

an oath. I am _________________________ of ________________________________ , an entity
Signatory’s Title
Name of Entity

duly formed and existing under the laws of _____________________________________.
Name of
State or Commonwealth

I certify that I am authorized to execute and deliver this affidavit on behalf of

________________________________ and that ________________________________
Name of Entity
Name of Entity

has a policy in place that complies with the nondiscrimination agreements and warranties of Connecticut

General Statutes §§ 4a-60(a)(1)and 4a-60a(a)(1), as amended.

___________________________________________
Authorized Signatory

___________________________________________
Printed Name

Sworn and subscribed to before me on this ______ day of ____________, 20____.

___________________________________________ ___________________________________
Commissioner of the Superior Court/ Commission Expiration Date
Notary Public
STATE OF CONNECTICUT
AFFIRMATION OF RECEIPT OF STATE ETHICS LAWS SUMMARY

Affirmation to accompany a large State construction or procurement contract, having a
cost of more than $500,000, pursuant to Connecticut General Statutes §§ 1-101mm and
1-101qq

INSTRUCTIONS:

Complete all sections of the form. Submit completed form to the awarding State agency or contractor, as
directed below.

CHECK ONE:

 I am a person seeking a large State construction or procurement contract. I am submitting this
affirmation to the awarding State agency with my bid or proposal. [Check this box if the contract will be
awarded through a competitive process.]

 I am a contractor who has been awarded a large State construction or procurement contract. I am
submitting this affirmation to the awarding State agency at the time of contract execution. [Check this
box if the contract was a sole source award.]

 I am a subcontractor or consultant of a contractor who has been awarded a large State construction or
procurement contract. I am submitting this affirmation to the contractor.

IMPORTANT NOTE:

Contractors shall submit the affirmations of their subcontractors and consultants to the awarding State
agency. Failure to submit such affirmations in a timely manner shall be cause for termination of the large
State construction or procurement contract.

AFFIRMATION:

I, the undersigned person, contractor, subcontractor, consultant, or the duly authorized representative
thereof, affirm (1) receipt of the summary of State ethics laws* developed by the Office of State Ethics
pursuant to Connecticut General Statutes § 1-81b and (2) that key employees of such person, contractor,
subcontractor, or consultant have read and understand the summary and agree to comply with its
provisions.

* The summary of State ethics laws is available on the State of Connecticut’s Office of State Ethics website at
http://www.ct.gov/ethics/lib/ethics/contractors_guide_final2.pdf

________________________________________________ ____________________
Signature
Date

________________________________________________ ____________________________________
Printed Name Title

________________________________________________
Firm or Corporation (if applicable)

________________________________________________ ____________________ ____
______
Street Address City
State
Zip____________________________________
CONTRACT Connecticut State University – System Office THIS FORM AND
PROPOSAL Finance Department REQUIRED PROPOSAL
Please read 39 Woodland Street SCHEDULE MUST BE
Hartford, CT 06105-2337 RETURNED
carefully

BO-1
RFP NUMBER DATE OF OPENING TIME OF OPENING AMOUNT OF SURETY (if required) DATE ISSUED

CSUS-0357 May 4, 2010 2:00 PM Local - none - April 6, 2010
Time
COMMODITY CLASS/SUBCLASS AND DESCRIPTION REQUIRED PRE-BID MEETING

External Financial Auditors
DIRECT ALL QUESTIONS TO: TELEPHONE:

Andy Heyl (860) 493-0047
FOR CONTRACT PERIOD OR DATE REQUIRED

Finance As per RFP
REQUEST FOR PROPOSAL
Pursuant to the provisions of Sections 10a-151b and 4-217 of the General Statutes of Connecticut as amended. SEALED PROPOSALS WILL BE
RECEIVED by the Finance Department of the Connecticut State University (“CSU”) for furnishing the services herein listed.
AFFIRMATION OF PROPOSER
The undersigned affirms and declares:
That this proposal is executed and signed with full knowledge and acceptance of the provisions of the laws of the State of Connecticut, and the terms and
conditions listed herein.
That should any part of this proposal be accepted in writing by CSU within ninety (90) calendar days from the date of opening unless an earlier date for
acceptance is specified in proposal schedule, said proposer will furnish and deliver the services for which this proposal is made, at the rates offered and fee
schedule proposed, and in compliance with the provisions listed herein. Should award of any part of this proposal be delayed beyond the period of ninety
(90) days or an earlier date specified in proposal schedule, such award shall be conditioned upon proposer’s acceptance.
PROPOSAL. The undersigned, accepting the conditions set forth herein, hereby agrees in strict accordance therewith, to furnish and deliver the
services to Connecticut State University at the prices bid therein.
TYPE OR PRINT NAME OF INDIVIDUAL DOING BUSINESS AS (Trade Name)

BUSINESS ADDRESS STREET CITY STATE ZIP CODE
SIGNATURE
WHEN PROPOSER
IS AN WRITTEN SIGNATURE OF INDIVIDUAL SIGNING THIS PROPOSAL SOCIAL SECURITY NUMBER DATE EXECUTED
INDIVIDUAL

TYPEWRITTEN NAME TELEPHONE NUMBER

NAME (Type or print names of all partners ) TITLE NAME TITLE

NAME TITLE NAME TITLE

SIGNATURE DOING BUSINESS AS (Trade Name) BUSINESS ADDRESS STREET CITY STATE ZIP CODE
WHEN PROPOSER
IS A FIRM
WRITTEN SIGNATURE OF PARTNER SIGNING THIS PROPOSAL F.E.I. NUMBER DATE EXECUTED

TYPEWRITTEN NAME TELEPHONE NUMBER

FULL NAME OF CORPORATION INCORPORATED IN WHAT STATE

BUSINESS ADDRESS STREET CITY STATE ZIP CODE F.E.I. NUMBER
SIGNATURE
WHEN PROPOSER
IS A PRESIDENT SECRETARY TREASURER
CORPORATION

WRITTEN SIGNATURE OF CORPORATE OFFICIAL OR PERSON DULY AUTHORIZED TO SIGN PROPOSALS ON BEHALF OF THE ABOVE TITLE
CORPORATION

TYPEWRITTEN NAME TELEPHONE NUMBER DATE EXECUTED
RETURN THIS FORM IMMEDIATELY!

Acknowledgment: Receipt of Request-For-Proposal Documents
Bid Number: CSUS-0357
Title: External Financial Auditors

Please take a moment to acknowledge receipt of the attached RFP documents. Your compliance with
this request will help us to maintain proper follow-up procedures while ensuring that all recipients
have the opportunity to submit a proposal.

Date Issued: April 6, 2010
Date received? ____/____/____

Do you plan to submit a proposal? Yes_____ No_____

Print or type the following information:

Company name: _______________________________________________

Address: _______________________________________________

City or Town: ________________________________________________

Phone: ________________________________________________

Fax: ________________________________________________

Received by: _________________________________________________

E-Mail _________________________________________________

Note: Faxed acknowledgments are requested! FAX (860)493-0006
A cover sheet is NOT necessary.
IMPORTANT: DO NOT FAX BIDS.
BIDS MUST BE SUBMITTED IN SEALED PACKAGES!
Connecticut State University System
Central Connecticut State University
Eastern Connecticut State University
Southern Connecticut State University
Western Connecticut State University
System Office

STANDARD TERMS AND CONDITIONS
DEFINITIONS
The following words, when used herein, shall have the following meanings:
1. “Contract” shall mean any agreement negotiated by and between CSU and the contractor selected by CSU as the result of a request for proposal, request for quotation,
or request for bid, including, but not limited to, a personal service agreement or purchase order.
2. “CSU” shall refer to the Connecticut State University System, which is comprised of Central Connecticut State University, Eastern Connecticut State University,
Southern Connecticut State University, Western Connecticut State University and the System Office, collectively and individually, as the context requires.
3. “Person” shall mean an individual, partnership, corporation or other business entity, as the context requires.
4. “Proposal” shall mean a response to a request for proposal, request for bid, or request for quotation.
5. “Proposer” shall mean a contractor that submits a response to a request for proposal, request for bid, or request for quotation.
6. “RFP” shall mean a request or invitation for proposal, bid, or quotation, as applicable.

TERMS AND CONDITIONS RELATED TO REQUESTS FOR PROPOSALS
1. General Conditions
2. CSU reserves the right to amend or cancel an RFP prior to the date and time for the opening of proposals. CSU, in its sole discretion, reserves the right to accept or
reject any and all proposals, in whole or in part, and to waive any technicality in any proposal submitted, and to accept any part of a proposal deemed to be in the best
interest of CSU.
3. Proposals received from proposers debarred by the State of Connecticut will not be considered for award.
4. CSU does not commit to specific volumes of activity, nor does it guarantee the accuracy of statistical information provided in the RFP. Such information is supplied
to proposers for reference only.
5. All responses to the RFP shall be and remain the sole property of CSU.
6. Each proposer shall bear all costs associated with proposer’s response to an RFP, including, but not limited to, the costs of any presentation and/or demonstration
required by CSU. In addition, answers or clarifications sought by CSU arising out of or in connection with the proposal shall be furnished by the proposer at the
proposer’s expense.
7. CSU reserves the right to negotiate, as it may deem necessary, with any or all of the proposers that submit proposals.
8. Any alleged oral agreement or arrangement made by any proposer with CSU or any employee thereof shall not be binding.

Submission of Proposals
1. Proposals must be submitted on forms supplied by CSU. Telephone, facsimile, or email proposals will not be accepted in response to an RFP.
2. The time and date proposals are to be received and opened are stated in each RFP issued by CSU. Proposals received in the ap plicable CSU purchasing department
after the date and time specified in the RFP will be returned to the proposer unopened. Proposal amendments received by CSU after the time specified for opening of
proposals shall not be considered.
3. All proposals must be addressed to the location designated in the RFP. Proposal envelopes must clearly state the proposal number as well as the date and time of the
opening of the proposals, as stated in the RFP. The name and address of the proposer must appear in the upper left hand corner of the envelope.
4. Proposals must be computer prepared, typewritten or handwritten in ink. Proposals submitted in pencil will be rejected.
5. Proposers must answer all the questions set forth in the RFP using the outline and numbering scheme set forth therein. Proposers must furnish all information
requested in the RFP and supply all materials required for consideration. Failure of the proposer to answer all questions and supply all information and materials
requested may be grounds for rejection of the proposal.
6. All proposals must be signed by a person duly authorized to sign proposals on behalf of the proposer. All signatures on the proposal must be original. Proposals
bearing stamp signatures will be rejected. Unsigned proposals will be rejected.
7. Alterations or corrections to the proposal must be initialed by the person signing the proposal or his or her authorized designee. All initials on alterations or corrections
to the proposal must be original. In the event that an authorized designee initials an alteration or correction, the proposer must submit a written authorization from the
proposal’s signatory to the authorized designee, authorizing the designee to make the alteration or correction. Failure to submit such an authorization shall result in
rejection of proposal as to those items altered or corrected and not initialed.
8. Conditional proposals are subject to rejection in whole or in part, in the sole discretion of CSU. A conditional proposal is defined as one that limits, modifies, expands
or supplements any of the terms and conditions and/or specifications of the RFP.
9. Alternate proposals will not be considered by CSU, unless otherwise noted on the RFP or on the proposal form. An alternate proposal is defined as one that is
submitted in addition to the proposer’s primary response to the RFP.
10. CSU does not sponsor any one manufacturer’s products, but lists equipment by name and model number to designate the quality and performance level desired. Proposers
may propose substitutes similar in nature to the equipment specified. The substitute must, in the sole determination of CSU, be equal in quality, durability, appearance,
strength and design to the equipment or product specified in the RFP, or offer a clear advantage to CSU because of improved or superior performance. All proposals including
equipment or product substitutes must be accompanied with current descriptive literature on, and data substantiating, the equ al or superior nature of the substitute. All final
decisions concerning substitutes will be made by CSU prior to any award. The word substitute shall not be construed to permit substantial departure from the detailed
requirements of the specifications.
11.Each proposer’s prices must be firm for a period up to 120 days from date of the opening of proposals. Prices must be extended in decimal, not fraction, must be net, and must
include transportation and delivery charges, fully prepaid by the contractor, to the destination specified in the proposal, and subject only to cash discount.
10. Pursuant to Section 12-412 of the Connecticut General Statutes, the State of Connecticut is exempt from the payment of excise, transportation and sales taxes imposed
by the Federal Government and/or the State. Accordingly, such taxes must not be included in proposal prices.
11. If there is a discrepancy between a unit price and an extended price, the unit price will govern.
12. By submitting a proposal, the proposer asserts that the offer and information contained therein is in all respects fair and without collusion or fraud and was not made in
connection with any competing proposer’s submission of a separate response to the RFP. By submitting a proposal, the proposer further asserts that it neither
participated in the formation of CSU’s solicitation development process nor had any knowledge of the specific contents of the RFP prior to its issuance, and that no
employee of CSU participated directly or indirectly in the preparation of the proposer’s proposal.
13. It is the proposer’s responsibility to check the website of the State of Connecticut Department of Administrative Services (www.
Das.state.ct.us/Purchase/Portal/Portal_Home.asp) for changes prior to the proposal opening. It is the responsibility of the proposer to obtain all information related to
proposal submission including, without limitation, any and all addenda or supplements required.
14. Any person contemplating submitting a proposal who is in doubt as to the true meaning of, or is in need of clarification of, any part of the RFP or the specifications set
forth therein, must submit a written request for clarification to CSU. The proposer may rely only upon a response to a request for clarification set forth in writing by
CSU.
15. Proposals for the provision of services must include the cost of obtaining all permits, licenses, and notices required by the city or town in which the services is to be
provided, and the State and Federal governments..
16. Each proposer must complete and submit with its proposal the following non-discrimination and affirmative action forms: the Notification to Proposers, Contract
Compliance, and EEO-1. It shall not be sufficient to declare or state that such forms are on file with the State of Connecticut. Failure to include the required forms
shall result in rejection of the proposal.

17. Samples
18. Samples, when required by the RFP, must be submitted strictly in accordance with the requirements of the RFP.
19. Any and all required samples shall be furnished by the proposer at no cost to CSU. All samples, unless otherwise indicated, will become the property of CSU and will
not be returned to the proposer unless the proposer states in the proposal that the sample’s return is requested. A sample will be returned on the request of the proposer
if the sample has not been rendered useless or beyond its useful life. The proposer must pay the costs associated with the return of any sample. Samples may be held
by CSU for comparison with actual product deliveries.
20. The making of chemical and physical tests of samples submitted with proposals shall be made in the manner prescribed by CSU.

D. Bonding Requirements / Guaranty or Surety See Text of RFP
.

CONTRACT AWARD
1. All proposals properly submitted will be opened and read publicly. Upon award, the proposals are subject to public inspection. CSU will not prepare abstracts of
proposals received for distribution, nor will information concerning the proposals received be conveyed by telephone.
2. Award will be made to the lowest responsible qualified proposer who complies with the proposal requirements. Price alone need not be the sole determining factor for
an award. Other criteria, listed in the RFP, may be considered by CSU in the award determination.
3. CSU reserves the right to grant an award and/or awards by item, or part thereof, groups of items, or all items of the proposal and to waive minor irregularities and
omissions if, in CSU’s judgment, the best interests of CSU or the State of Connecticut will be served.
4. CSU reserves the right to correct inaccurate awards resulting from its administrative errors.
5. The Award Notice and Offer (to enter into a formal contract) shall be sent to the awarded proposer by first class certified mail, return receipt requested, to the address
provided in the awarded proposal, or by overnight courier. The Notice and Offer shall constitute an offer by CSU to enter into negotiations to come to a formal
contract agreement. If the proposer, within ten (10) business days of receipt of said Notice and Offer, declines to begin contract negotiations, then the offer to
negotiate a contract may be withdrawn and an offer to negotiate a contract extended to the next lowest responsible qualified proposer, and so on until a contract is
negotiated and executed.
6. Each proposal submitted shall constitute an offer by the proposer to furnish any or all of the commodities or services described therein at the prices given and in accordance
with conditions set forth in the proposal, the RFP, and these “Standard Terms and Conditions.” Acceptance and resulting contract formation shall be in a formal written
document authorized by CSU’s Purchasing Department and where applicable, approved by the Attorney General, and shall comprise the entire agreement between the
proposer and CSU.

TERMS AND CONDITIONS RELATED TO CONTRACT WITH SUCCESSFUL PROPOSER
By submitting a response to the RFP, the proposer agrees that any contract negotiated between it (if the successful proposer), as contractor, and CSU may contain the
following provisions, as deemed applicable by CSU:

General Conditions
1. Any product developed and accepted by CSU under a contract awarded as a result of an RFP shall be sole property of CSU, unless stated otherwise in the contract.
2. Data collected or obtained by the contractor in connection with the performance of the contract shall not be shared with any third party without the
express written approval of CSU.
3. The contractor shall defend, indemnify and hold harmless CSU, its officers and employees, against any and all suits, actions, legal or administrative proceedings,
claims, demands, damages, liabilities, monetary loss, interest, attorney’s fees, costs and expenses of whatsoever kind or nature arising out of the performance of the
agreement, including those arising out of injury to or death of contractor’s employees or subcontractors, whether arising before, during or after completion of the
services thereunder and in any manner directly or indirectly caused, occasioned or contributed to in whole or in part, by reason of any act, omission, fault or negligence
of contractor or its employees, agents or subcontractors. Without limiting the foregoing, the contractor shall defend, indemnify and hold CSU and the State of
Connecticut harmless from liability of any kind for the use of any copyright or un-copyrighted composition, secret process, patented or unpatented invention furnished
or used in the performance of the contract. This indemnification shall be in addition to the warranty obligations of the contractor and shall survive the termination or
cancellation of the contract or any part thereof.
4. The contactor shall: (i) guarantee its products against defective materials and workmanship; (ii) repair damage of any kind, for which it is responsible, to CSU’s
premises or equipment, to its own work or to the work of other contractors; (iii) obtain and pay for all applicable licenses, permits, and notices; (iv) give all notices and
comply with all requirements of the municipality in which the service is to be provided and of the State and federal governments; and (v) carry proper and sufficient
insurance to protect the State from loss.
5. The contract shall be interpreted and governed by the laws of the State of Connecticut, without regard to its principles of conflicts of laws.
6. The contractor agrees that it shall be subject to and abide by all applicable federal and state laws and regulations.
7. The contractor agrees that it shall comply with Section 4a-60 of the Connecticut General Statutes and with Executive Orders Nos. 3, 16, 17 and 7B.
8. The contractor agrees that the sole and exclusive means for the presentation of any claim against the State of Connecticut, the Connecticut State University or the
Board Of Trustees arising from a contract with CSU, shall be in accordance with the provisions of Chapter 53 of the Connecticut General Statutes (Claims Against the
State) and that no additional legal proceedings will be initiated in any state or federal court in addition to, or in lieu of, said Chapter 53 proceedings.
9. The contractor agrees that CSU shall have and retain sole and exclusive right and title in and to the forms, maps, and/or materials produced for CSU pursuant to the
contract, including all rights to use, distribute, sell, reprint, or otherwise dispose of same. The contractor further agrees that it shall not copyright, register, distribute,
or claim any rights in or to said maps and/or materials or the work produced under the contract.
10. The contractor or subcontractor, as applicable, shall offer and agree to assign to CSU all rights, title and interest in and to all causes of action it may have under Section
4 of the Clayton Act, 15 U.S.C. 15, or under Chapter 624 of the general statutes, arising from the purchase of services, property or intangibles of any kind pursuant to a
public purchase contract or subcontract; such assignment shall be made and become effective at the time the contract is executed by the parties, without further
acknowledgment by them.
11. The contractor shall not assign or otherwise dispose of the contract or its right, title or interest therein, or its power to execute such contract, to any other person
without the prior written consent of CSU.
12. CSU reserves the right to inspect commodities for conformance with proposal specifications. When commodities are rejected by CSU, said commodities shall be
removed by the contractor, at the contractor’s expense, from the CSU premises within forty-eight (48) hours after notification of such rejection, unless public health
and safety require immediate destruction or other disposal of such rejected delivery. Rejected items left longer than forty-eight (48) hours shall be considered
abandoned by the contractor and CSU shall have the right to dispose of them as its own property.
13. If any provision, term or condition of the contract is prohibited, invalid, or unenforceable then that provision, term or condition shall be ineffective to the extent of the
prohibition, invalidity, or prohibition without invalidating the remaining provisions, terms and conditions unless it materially alters the nature or intent thereof.
14. Should the terms of any purchase order or invoice issued in connection with the contract conflict with the terms of the contract, the terms of the contract shall prevail.
15. Failure of the contractor to deliver commodities or perform services as specified in the contract will constitute authority for CSU to purchase these commodities or
services on the open market. The contractor shall promptly reimburse CSU for excess costs incurred by CSU due to these purchases, and these purchases shall be
deducted by CSU from the quantities contracted for.
16. No right or duty, in whole or in part, of the contractor under the contract may be assigned or delegated without the prior written consent of CSU. The subcontracting or
assignment of any of contractor’s obligations under the contract to a subcontractor shall require the prior written approval of CSU.
17. Upon termination of the contract by CSU, the contractor shall both immediately discontinue all services (unless the notice directs otherwise) and deliver to CSU all
data, drawings, specifications, reports, estimates, summaries, and such other information and materials as may have been accumulated by the contractor in performing
its duties under the contract, whether completed or in progress. All such documents, information, and materials shall become the property of CSU.
18. The State of Connecticut shall assume no liability for payment for services under the terms of the contract until the contractor is notified that the contract has been
accepted by CSU and, if applicable, approved by the Office of Policy and Management (“OPM”) or the Department of Administrative Services (“DAS”) and by the
Attorney General of the State of Connecticut.

B. Insurance Does not apply to this RFP

C. Bonds See text of RFP

Delivery
1. Unless otherwise specified in the proposal, all products and equipment delivered pursuant to the contract shall be new and shall include any and all manufacturer’s
warranties.
2. Delivery shall be to the point specified in the contract.
3. All deliveries shall display, in plain sight, any related Purchase Order or Reference/Delivery Number. Failure to display said number may cause the shipment to be
rejected and returned at the contractor’s expense.
4. All deliveries shall be in compliance with Sections 22a-194 to 22a-194g of the Connecticut General Statutes related to product packaging.
5. Deliveries shall be subject to reweighing on official sealed scales designated by the State and payment shall be made on the basis of net weight of materials received.
6. Payment terms are net forty-five (45) days after receipt of goods or invoice, whichever is later. State of Connecticut certified small or minority contractors are payable
under terms net thirty (30) days.
7. Monies owed to CSU or the Department of Revenue Services (DRS) by the contractor shall be deducted from current obligations.

Inspection and Tests
1. The inspection of all commodities and the making of chemical and physical tests of samples of deliveries to determine whether or not the contract specifications are
being complied with shall be made in the manner prescribed by CSU.
2. Any item that fails in any way to meet the terms or specifications set forth in the contract is subject to be paid for at an adjusted price or rejected, in the discretion of
CSU.
3. After delivery and installation of any equipment provided pursuant to the contract, the contractor shall certify to CSU that the equipment h as been properly installed
and is ready for use. Thereafter, for a test period of sixty (60) days, CSU shall operate the system in accordance with its normal operating practices. The acceptance
test shall determine if the equipment’s operating characteristics meet the performance standards set forth in the contract.
4. Advertising
Reference by the contractor to sales to CSU for advertising and promotional purposes without the prior approval of CSU shall be expressly prohibited.
Instructions to Bidders

1. Proposers or their representatives may be present at RFP openings.
2. The CSU Finance Department reserves the right to amend and/or cancel the RFP invitation prior to the time and date of the opening.
3. The CSU Finance Department reserves the right to correct any award erroneously made as a result of a clerical error on out part.
4;. CSU will appreciate your assistance in making a careful study of the specifications and proposal for the purpose of offering suggestions as to contract
period, quantities, purchasing terms, detailed specifications , trade customs, etc. which you believe to be in the best interest of CSU and the state.
Suggestions or comments will be considered up to five (5) days prior to the date of opening indicated in the RFP invitation. In replying will you kindly refer to the RFP
number. If no suggestions or comments are offered, the signing of the proposal shall indicate your approval of these forms in their present content.

Contract Provisions

This contract is subject to the provisions of Executive Order No. Three of Governor Thomas J. Meskill promulgated June 16, 1971 and the provisions of Executive Order No.
Seventeen of Governor Thomas J. Meskill promulgated February 15, 1973, as well as the provisions of Executive Order No. 16 of Governor John G. Rowland promulgated August
4, 1999.

All purchases will be in compliance with Public Act 89-227. Effective January 1, 1991 no product shall be shipped or packaged in POLYSTYRENE FOAM if such foam is
manufactured using any “controlled substances”, as defined under Annex A, Group 1 of the Montreal Protocol on Substances that deplete the Ozone Layer.

Non-Discrimination
4a-60. Nondiscrimination and affirmative action provisions in contracts of the state and political subdivisions other than municipalities.
5. Every contract to which the state or any political subdivision of the state other than a municipality is a party shall contain the following provisions: (1) The contractor
agrees and warrants that in the performance of the contract such contractor will not discriminate or permit discrimination against any person or group of persons on the
grounds of race, color, religious creed, age, marital status, national origin, ancestry, sex, mental retardation or physical disability, including, but not limited to,
blindness, unless it is shown by such contractor that such disability prevents performance of the work involved, in any manner prohibited by the laws of the United
States or of the state of Connecticut. The contractor further agrees to take affirmative action to insure that applicants with job-related qualifications are employed and
that employees are treated when employed without regard to their race, color, religious creed, age, marital status, national origin, ancestry, sex, mental retardation, or
physical disability, including, but not limited to, blindness, unless it is shown by such contractor that such disability prevents performance of the work involved; (2) the
contractor agrees, in all solicitations or advertisements for employees placed by or on behalf of the contractor, to state that it is an “affirmative action-equal opportunity
employer” in accordance with regulations adopted by the commission; (3) the contractor agrees to provide each labor union or representative of workers with which
such contractor has a collective bargaining agreement or other contract or understanding and each vendor with which such contractor has a contract or understanding, a
notice to be provided by the commission advising the labor union or workers’ representative of the contractor’s commitments under this section, and to post copies of
the notice in conspicuous places available to employees and applicants for employment; (4) the contractor agrees to comply with each provision of this section and
sections 46a-68e and 46a-68f and with each regulation or relevant order issued by said commission pursuant to sections 46a-56, 46a-68e and 46a-68f; (5) the
contractor agrees to provide the Commission on Human Rights and Opportunities with such information requested by the commission, and permit access to pertinent
books, records and accounts, concerning the employment practices and procedures of the contractor as relate to the provisions of this section and section 46a-56. If the
contract is a public works contract, the contractor agrees and warrants that he will make good faith efforts to employ minority business enterprises as subcontractors
and suppliers of materials on such public works project.
(b) For the purposes of this section, “minority business enterprise” means any small contractor or supplier of materials fifty-one per cent or more of the capital stock, if any, or
assets of which is owned by a person or persons: (1) Who are active in the daily affairs of the enterprise, (2) who have the power to direct the management and policies of the
enterprise and (3) who are members of a minority, as such term is defined in subsection (a) of section 32-9n; and “good faith” means that degree of diligence which a reasonable
person would exercise in the performance of legal duties and obligations. “Good faith efforts” shall include, but not be limited to, those reasonable initial efforts necessary to
comply with statutory or regulatory requirements and additional or substituted efforts when it is determined that such initial efforts will not be sufficient to comply with such
requirements.
I Determination of the contractor’s good faith efforts shall include but shall not be limited to the following factors: The contractor’s employment and subcontracting policies,
patterns and practices; affirmative advertising, recruitment and training; technical assistance activities and such other reasonable activities or efforts as the commission may
prescribe that are designed to ensure the participation of minority business enterprises in public works projects.
(d) The contractor shall develop and maintain adequate documentation, in a manner prescribed by the commission, of its good faith efforts.
(e) The contractor shall include the provisions of subsection (a) of this section in every subcontract or purchase order entered into in order to fulfill any obligation of a contract
with the state and such provisions shall be binding on a subcontractor, vendor or manufacturer unless exempted by regulations or orders of the commission. The contractor shall
take such action with respect to any such subcontract or purchase order as the commission may direct as a means of enforcing such provisions including sanctions for
noncompliance in accordance with section 46a-56; provided, if such contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of
such direction by the commission, the contractor may request the state of Connecticut to enter into any such litigation or negotiation prior thereto to protect the interests of the
state and the state may so enter.

4a-60a. Contracts of the state and political subdivisions, other than municipalities, to contain provisions re nondiscrimination on the basis of sexual orientation.
6. Every contract to which the state or any political subdivision of the state other than a municipality is a party shall contain the following provisions: (1) The contractor
agrees and warrants that in the performance of the contract such contractor will not discriminate or permit discrimination against any person or group of persons on the
grounds of sexual orientation, in any manner prohibited by the laws of the United States or of the state of Connecticut, and that employees are treated when employed
without regard to their sexual orientation; (2) the contractor agrees to provide each labor union or representative of workers with which such contractor has a collective
bargaining agreement or other contract or understanding and each vendor with which such contractor has a contract or understa nding, a notice to be provided by the
Commission on Human Rights and Opportunities advising the labor union or workers’ representative of the contractor’s commitments under this section, and to post
copies of the notice in conspicuous places available to employees and applicants for employment; (3) the contractor agrees to comply with each provision of this
section and with each regulation or relevant order issued by said commission pursuant to section 46a-56; (4) the contractor agrees to provide the Commission on
Human Rights and Opportunities with such information requested by the commission, and permit access to pertinent books, records and accounts, concerning the
employment practices and procedures of the contractor which relate to the provisions of this section and section 46a-56.

(b) The contractor shall include the provisions of subsection (a) of this section in every subcontract or purchase order entered into in order to fulfill any obligation of a contract
with the state and such provisions shall be binding on a subcontractor, vendor or manufacturer unless exempted by regulations or orders of the commission. The contractor shall
take such action with respect to any such subcontract or purchase order as the commission may direct as a means of enforcing such provisions including sanctions for
noncompliance in accordance with section 46a-56; provided, if such contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of
such direction by the commission, the contractor may request the state of Connecticut to enter into any such litigation or negotiation prior thereto to protect the interests of the
state and the state may so enter.
CONNECTICUT STATE UNIVERSITY
39 WOODLAND STREET
HARTFORD, CT 06105-2337

CHECK LIST
This form need not be returned with your proposal. It is suggested that you review and check off
each action as you complete it.

____ 1. The form BO-1 has been signed by a duly authorized representative of the company
(unsigned proposals are automatically rejected).

____ 2. The prices you have offered have been reviewed and verified.

____ 3. The price extensions and totals have been checked. (In case of discrepancy between unit
prices and total prices, the unit price will govern the evaluation).

____ 4. The CHRO and Contract Compliance forms have been completed and submitted with the
bid.

____ 5. The payment terms are net 45 days. Net terms for periods less than 45 days may result in
bid rejection. (You may offer cash discounts for prompt payment).

____ 6. Any technical or descriptive literature, drawings or samples that are required have been
included with the proposal.

____ 7. Any addenda to the Request For Proposal have been signed and included.

____ 8. The envelope has been addressed to: Andy Heyl
Connecticut State University
39 Woodland Street
Hartford CT 06105-2337

____ 9. The envelope has been clearly marked with the RFP number and opening date.

____ 10. If additional copies are required as part of your response, make sure the original is
clearly marked.

____ 11. The proposal is mailed or hand-delivered in time to be received no later than the
designated opening date and time. Late responses are NOT accepted under any
circumstances. Faxed or e-mailed responses are not accepted. Please allow enough time
if mailing your proposal. Late deliveries from overnight carriers are not accepted.
COMMISSION ON HUMAN RIGHTS AND OPPORTUNITIES
CONTRACT COMPLIANCE REGULATIONS
NOTIFICATION TO BIDDERS

The contract to be awarded is subject to contract compliance requirements mandated by Sections 4a-60 and 4a-
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 at Section
46a-68j-21 through 43 of the Regulations of Connecticut State Agencies, which establish a procedure for
awarding all contracts covered by Sections 4a-60 and 46a-71(d) of the Connecticut General Statutes.

According to Section 46a-68j-30(9) of the Contract Compliance Regulations, every agency awarding a contract
subject to the contract compliance requirements has an obligation to “aggressively solicit the participation of
legitimate minority business enterprises as bidders, contractors, subcontractors and suppliers of materials.”
“Minority business enterprise” is defined in Section 4a-60 of the Connecticut General Statutes as 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 daily affairs of the enterprise; (2) who have the power to direct the management and policies of the
enterprise; and (3) who are members of a minority, as such term is defined in subsection (a) of Section 32-9n.”
“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; (6) American Indians . . .” An individual with a disability is also a
minority business enterprise as provided by Section 4a-60g of the Connecticut General Statutes. The above
definitions apply to the contract compliance requirements by virtue of 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 the
contract compliance requirements:

(a) the bidder’s success in implementing an affirmative action plan;
(b) the bidder’s success in developing an apprenticeship program complying with Sections 46a-68-1 to
46a-68-17 of the Administrative Regulations of Connecticut State Agencies, 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 workforce is at or near parity when compared to the racial and sexual
composition of the workforce in the relevant labor market area; and
(e) the bidder’s promise to set aside a portion of the contract for legitimate minority
business enterprises. See Section 46a-68j-30(10)(E) of the Contract Compliance Regulations.

INSTRUCTIONS AND OTHER INFORMATION

The following BIDDER CONTRACT COMPLIANCE MONITORING REPORT must be completed in full, signed, and
submitted with the bid for this contract. The contract awarding agency and the Commission on Human Rights and Opportunities
will use the information contained thereon to determine the bidders compliance to Sections 4a-60 and 4a-60a CONN. GEN.
STAT., and Sections 46a-68j-23 of the Regulations of Connecticut State Agencies regarding equal employment opportunity,
and the bidders good faith efforts to include minority business enterprises as subcontractors and suppliers for the work of the
contract.

7. Definition of Small Contractor
Section 4a-60g CONN. GEN. STAT. Defines a small contractor as a company that has been doing business under the same
management and control and has maintained its principal place of business in Connecticut for a one year period immediately
prior to its application for certification under this section, had gross revenues not exceeding ten million dollars in the most
recently completed fiscal year, and at least fifty-one percent of the ownership of which is held by a person or persons who are
active in the daily affairs of the company, and have the power to direct the management and policies of the company, except
that a nonprofit corporation shall be construed to be a small contractor if such nonprofit corporation meets the requirements of
subparagraphs (A) and (B) of subdivision 4a-60g CONN. GEN. STAT.
2) Description of Job Categories (as used in Part IV Bidder Employment Information) (Page 2)
MANAGEMENT: Managers plan, organize, direct, and BUILDING AND GROUNDS CLEANING AND
control the major functions of an organization through MAINTENANCE: This category includes occupations
subordinates who are at the managerial or supervisory involving landscaping, housekeeping, and janitorial
level. They make policy decisions and set objectives for services. Job titles found in this category include
the company or departments. They are not usually directly supervisors of landscaping or housekeeping, janitors,
involved in production or providing services. Examples maids, grounds maintenance workers, and pest control
include top executives, public relations managers, workers.
managers of operations specialties (such as financial, CONSTRUCTION AND EXTRACTION: This
human resources, or purchasing managers), and category includes construction trades and related
construction and engineering managers. occupations. Job titles found in this category include
BUSINESS AND FINANCIAL OPERATIONS: These boilermakers, masons (all types), carpenters, construction
occupations include managers and professionals who laborers, electricians, plumbers (and related trades),
work with the financial aspects of the business. These roofers, sheet metal workers, elevator installers,
occupations include accountants and auditors, purchasing hazardous materials removal workers, paperhangers, and
agents, management analysts, labor relations specialists, painters. Paving, surfacing, and tamping equipment
and budget, credit, and financial analysts. operators; drywall and ceiling tile installers; and carpet,
COMPUTER SPECIALISTS: Professionals responsible floor and tile installers and finishers are also included in
for the computer operations within a company are this category. First line supervisors, foremen, and helpers
grouped in this category. Examples of job titles in this in these trades are also grouped in this category..
category include computer programmers, software INSTALLATION, MAINTENANCE AND REPAIR:
engineers, database administrators, computer scientists, Occupations involving the installation, maintenance, and
systems analysts, and computer support specialists repair of equipment are included in this group. Examples
ARCHITECTURE AND ENGINEERING: of job titles found here are heating, ac, and refrigeration
Occupations related to architecture, surveying, mechanics and installers; telecommunication line
engineering, and drafting are included in this category. installers and repairers; heavy vehicle and mobile
Some of the job titles in this category include electrical equipment service technicians and mechanics; small
and electronic engineers, surveyors, architects, drafters, engine mechanics; security and fire alarm systems
mechanical engineers, materials engineers, mapping installers; electric/electronic repair, industrial, utility and
technicians, and civil engineers. transportation equipment; millwrights; riggers; and
OFFICE AND ADMINISTRATIVE SUPPORT: All manufactured building and mobile home installers. First
clerical-type work is included in this category. These jobs line supervisors, foremen, and helpers for these jobs are
involve the preparing, transcribing, and preserving of also included in the category.
written communications and records; collecting accounts; MATERIAL MOVING WORKERS: The job titles
gathering and distributing information; operating office included in this group are Crane and tower operators;
machines and electronic data processing equipment; and dredge, excavating, and lading machine operators; hoist
distributing mail. Job titles listed in this category include and winch operators; industrial truck and tractor
telephone operators, payroll clerks, bill and account operators; cleaners of vehicles and equipment; laborers
collectors, customer service representatives, files clerks, and freight, stock, and material movers, hand; machine
dispatchers, shipping clerks, secretaries and feeders and offbearers; packers and packagers, hand;
administrative assistants, computer operators, mail clerks, pumping station operators; refuse and recyclable material
and stock clerks. collectors; and miscellaneous material moving workers.

8. Definition of Racial and Ethnic Terms (as used in Part IV Bidder Employment Information)
White (not of Hispanic Origin)- All persons having Asian or Pacific Islander- All persons having origins in
origins in any of the original peoples of Europe, North any of the original peoples of the Far East, Southeast
Africa, or the Middle East. Asia, the Indian subcontinent, or the Pacific Islands. This
Black(not of Hispanic Origin)- All persons having origins area includes China, India, Japan, Korea, the Philippine
in any of the Black racial groups of Africa. Islands, and Samoa.
Hispanic- All persons of Mexican, Puerto Rican, Cuban, American Indian or Alaskan Native- All persons having
Central or South American, or other Spanish culture or origins in any of the original peoples of North America,
origin, regardless of race. and who maintain cultural identification through tribal
affiliation or community recognition.
BIDDER CONTRACT COMPLIANCE MONITORING REPORT

PART I – Bidder Information (Page 3)
Company Name Bidder Federal Employer
Street Address Identification Number____________________
City & State Or
Chief Executive Social Security Number__________________

Major Business Activity Bidder Identification
(brief description) (response optional/definitions on page 1)

-Bidder is a small contractor. Yes__ No__
-Bidder is a minority business enterprise Yes__ No__
(If yes, check ownership category)
Black___ Hispanic___ Asian American___ American Indian/Alaskan
Native___ Iberian Peninsula___ Individual(s) with a Physical Disability___
Female___

Bidder Parent Company
- Bidder is certified as above by State of CT Yes__ No__
(If any)

Other Locations in Ct. - DAS Certification Number ____________________________
(If any)

PART II – Bidder Nondiscrimination Policies and Procedures
1. Does your company have a written Affirmative Action/Equal Employment 7. Do all of your company contracts and purchase orders contain non-discrim-
Opportunity statement posted on company bulletin boards? ination statements as required by Sections 4a-60 & 4a-60a Conn. Gen. Stat.?
Yes__ No__ Yes__ No__

2. Does your company have the state-mandated sexual harassment prevention in the 9. Do you, upon request, provide reasonable accommodation to employees,
workplace policy posted on company bulletin boards? or applicants for employment, who have physical or mental disability?
Yes__ No__ Yes__ No__

3. Do you notify all recruitment sources in writing of your company’s Affirmative 9. Does your company have a mandatory retirement age for all employees?
Action/Equal Employment Opportunity employment policy? Yes__ No__
Yes__ No__

4. Do your company advertisements contain a written statement that you are an 10. If your company has 50 or more employees, have you provided at least two (2)
Affirmative Action/Equal Opportunity Employer? Yes__ No__ hours of sexual harassment training to all of your supervisors?
Yes__ No__ NA__

5. Do you notify the Ct. State Employment Service of all employment 11. If your company has apprenticeship programs, do they meet the Affirmative
openings with your company? Yes__ No__ Action/Equal Employment Opportunity requirements of the apprenticeship standards
of the Ct. Dept. of Labor? Yes__ No__ NA__

10. Does your company have a collective bargaining agreement with workers? 12. Does your company have a written affirmative action Plan? Yes__ No__
Yes__ No__ If no, please explain.
6a. If yes, do the collective bargaining agreements contain non-discrim-
ination clauses covering all workers? Yes__ No__
13. Is there a person in your company who is responsible for equal
6b. Have you notified each union in writing of your commitments under the employment opportunity? Yes__ No__
nondiscrimination requirements of contracts with the state of Ct? If yes, give name and phone number.
Yes__ No__ ____________________________________________________________

Part III – Bidder Subcontracting Practices
1. Will the work of this contract include subcontractors or suppliers? Yes__ No__

1a. If yes, please list all subcontractors and suppliers and report if they are a small contractor and/or a minority business enterprise. (defined on page 1 / use
additional sheet if necessary)

1b. Will the work of this contract require additional subcontractors or suppliers other than those identified in 1a. above? Yes__ No__

PLEASE COMPLETE REVERSE SIDE

PART IV – Bidder Employment Information Date: (Page 4)
JOB OVERALL WHITE BLACK HISPANIC ASIAN or PACIFIC AMERICAN INDIAN or
CATEGORY TOTALS (not of Hispanic (not of Hispanic ISLANDER ALASKAN NATIVE
origin) origin)

Male Female Male Female Male Female Male Female male female

Management

Business & Financial Ops

Computer Specialists

Architecture/Engineering

Office & Admin Support

Bldg/ Grounds
Cleaning/Maintenance

Construction & Extraction

Installation , Maintenance
& Repair

Material Moving Workers

TOTALS ABOVE
Total One Year Ago

FORMAL ON THE JOB TRAINEES (ENTER FIGURES FOR THE SAME CATEGORIES AS ARE SHOWN ABOVE)

Apprentices

Trainees

PART V – Bidder Hiring and Recruitment Practices
11. Which of the following recruitment sources are used by 12. Check (X) any of the below 3. Describe below any other practices or actions that you take which
you? listed show that you hire, train, and promote employees without discrimination
(Check yes or no, and report percent used) requirements that you use as
a hiring qualification

(X)

SOURCE YES NO % of applicants
provided by
source

State Employment Service Work Experience

Private Employment Ability to Speak or
Agencies Write English

Schools and Colleges Written Tests

Newspaper Advertisement High School Diploma

Walk Ins College Degree

Present Employees Union Membership

Labor Organizations Personal
Recommendation

Minority/Community Height or Weight
Organizations

Others (please identify) Car Ownership

Arrest Record

Wage Garnishments

Certification (Read this form and check your statements on it CAREFULLY before signing). I certify that the statements made by me on this BIDDER CONTRACT COMPLIANCE MONITORING REPORT are complete and true to
the best of my knowledge and belief, and are made in good faith. I understand that if I knowingly make any misstatements of facts, I am subject to be declared in non-compliance with Section 4a-60, 4a-60a, and related sections of the
CONN. GEN. STAT.

(Signature) (Title) (Date Signed) (Telephone)