ATTACHMENT A - Terms & Conditions - RFQ 758 1900000037.pdf

ATTACHMENT A

REQUEST FOR QUOTATION

The attached Requisition is NOT an Order. Please enter your pricing on the Requisition Form.

This form will supersede any prior quotes that you may have submitted to the Commonwealth of Kentucky.

Buyer : EVELYN OSORNE Purchase Request # RFQ 758 1900000037

Phone: (502) 564-0552 Quote request date: October 12, 2018

Fax: (502) 564-6013 Quote closing date & time: October 19, 2018, 1:30pm ET

E-Mail: evelyn.osborne@ky.gov Business Hours: 8:00 a.m. - 4:30 p.m. ET

NOTE TO VENDORS:

1. All blanks on this form SHALL be completed.

2. Pricing SHALL be entered on the Requisition Form next to each line item.

DO NOT SUBMIT YOUR OWN QUOTE FORM.

3. Pricing SHALL be firm-fixed pricing.

4. Pricing SHALL INCLUDE ANY SHIPPING OR FREIGHT.

5. Freight SHALL be F.O.B. Destination Freight Prepaid and Allowed.

6. Multiple bids shall be considered non-responsive.

7. Return the COMPLETED RFQ documents, by fax to (502) 564-6013 or by email to evelyn.osborne@ky.gov by closing date and time.

ANY QUESTIONS SHALL BE SUBMITTED IN WRITING VIA FAX OR EMAIL.

VENDOR NAME & ADDRESS: AUTHORIZED REPRESENTATIVE

________________________ X___________________________ (Signature)

(Printed name)

Federal ID #: _____________ Vendor Phone: ________________

Delivery Days ARO: ________ Vendor Fax: __________________

Warranty Terms: _________ Vendor E-Mail:_________________

Payment Terms: _________

NEW

The Kentucky Reciprocal Preference Law and Disabled Preference Law are now in effect. New requirements and affidavits have been added to this RFQ. See Section 1 - Method of Award.

PLEASE READ THIS SOLICITATION AND ITS INSTRUCTIONS IN ITS ENTIRETY.

This is a Request for Quotation (RFQ).

Vendors shall comply with the terms and conditions stated in the Solicitation.

Any efforts to negotiate these terms and conditions SHALL NOT be accepted and will cause the bid to be deemed non-responsive.

All proposed pricing shall remain valid for a minimum of sixty (60) calendar days after the bid due date.

This contract shall be awarded as Group All. Vendors shall bid all line items, otherwise bid shall be deemed non-responsive.

Vendors should review and comply with the general bidding requirements listed under “Procurement Laws, Preference, Regulations and Policies” and “Response to Solicitation” located on the eProcurement Web page at http://eprocurement.ky.gov and http://finance.ky.gov/services/eprocurement/Pages/VendorServices.aspx respectively. The vendor must comply with all applicable statutes, regulations and policies related to this procurement.

Vendors are cautioned that changes made to the RFQ other than in the designated fields for response shall render the response invalid and result in rejection of the bid.

Any exceptions to the item description or extended description shall be indicated only in the space reserved for those exceptions.

Unless the exceptions are noted as instructed, the vendor shall be expected to deliver as specified in the RFQ. Responses that include terms and conditions not in conformity with the terms and conditions of the RFQ as issued or the Statutes of the Commonwealth of Kentucky shall be rejected.

In the event of any conflict or variation between the RFQ or modification as issued by the Commonwealth and the vendor’s response, the version as issued shall prevail.

SECTION 1

METHOD OF AWARD

Best Value – Ranking Approach The Commonwealth intends to award a contract to the vendor, whose offer, conforming to the solicitation, is the most advantageous on the basis of "best value" for all products, services, and requirements contained herein.

An evaluation committee, or a designated individual, will evaluate the information provided by the vendor in response to the established measurable criteria contained in the solicitation.

With the ranking approach, price is one of the measurable criteria components of the Solicitation. The measurable criteria are added together to determine the vendor’s total score. The vendor with the highest score has the highest ranking. Award is made to the vendor with the highest ranking. If there is only one best value response to the solicitation, the evaluation process may be waived and award may be made to the only responsive, responsible vendor.

http://eprocurement.ky.gov/ http://finance.ky.gov/services/eprocurement/Pages/VendorServices.aspx

For example, if vendor “A” is evaluated by one evaluator and received a total score of 95 points then that vendor would have a 95 ranking. And if vendor “B” (responding to the same solicitation) received a total score of 90 points then that vendor would have a 90 ranking. If more than one evaluator is used, then the combined score of all evaluators for each vendor is the score to be used to determine the ranking for the vendor. Again, award will be made to the vendor with the highest ranking. If award is by line item(s) or subtotal(s), the line item(s) or subtotal(s) will be ranked instead of the total bid amount.

Measurable Criteria for this procurement:

Price 90 Points Delivery 10 Points

TOTAL POINTS 100 Points

Each vendor is responsible for submitting all relevant, factual and correct information with their offer to enable the evaluator(s) to afford each vendor the maximum score based on the available data submitted by the vendor. Please list prices on the unit price block for the line item. If adequate space is not available, the vendor must attach additional information that clearly cross-references the appropriate location in the solicitation (i.e. page number, paragraph, subject, etc.).

Price (90 points) - The bidder with the lowest Price receives the maximum score. The bidder with the next lowest Price receives points by dividing the lowest Price by the next lowest price and multiplying that percentage by the available points. For example, 90 points is allocated to the lowest Price criteria for this procurement, Bidder “A” bids $3.00 as the lowest bidder and receives the maximum of 90 points ($3.00 / $3.00 = 1.00 x 90 = 90). Assume bidder B” is the next lowest bidder at $4.00, then “B” receives 67.5 points ($3.00 / $4.00) = .75 x 90 = 67.5).

Delivery in Business Days (10 points) – The bidder with the fastest amount of delivery days (business days) receives the maximum score. The bidder with the next fastest amount of delivery days receives points by dividing the fastest amount of delivery days by the next fastest amount of delivery days and multiplying that percentage by the available points. For example, 10 points is allocated to the fastest amount of delivery days criteria for this procurement, bidder “A” bids 10 business days as the lowest bidder and receives the maximum 10 points (10 / 10 = 1.00 x 10 = 10). Assume bidder “B” is the next lowest bidder at 20 business days, then “B” receives 5 points (10 / 20) = .5 x 10 = 5).

***VENDOR SHOULD ENTER THE NUMBER OF BUSINESS DAYS FOR DELIVERY ***

AFTER RECEIPT OF ORDER (ARO)

IF NUMBER IS NOT ENTERED THE VENDOR SHALL RECEIVE A SCORE OF

ZERO (0) FOR THIS SECTION.

BEST DELIVERY IN BUSINESS DAYS: _______________

The Vendor agrees that when delivery is not made within the contracted due date, one percent (1%) per day will be deducted from the Vendor’s invoice for each day the Vendor fails to meet the contracted delivery date.

Warranty Not Applicable

Best Value scoring is subject to Reciprocal preference for Kentucky resident bidders and Preferences for a Qualified Bidder or the Department of Corrections, Division of Prison Industries (KAR 200 5:410). *Vendors not claiming resident bidder or qualified bidder status need not submit the corresponding affidavit.

KRS 45A.490 Definitions for KRS 45A.490 to 45A.494.

As used in KRS 45A.490 to 45A.494:

(1) "Contract" means any agreement of a public agency, including grants and orders, for the purchase or disposal of supplies, services, construction, or any other item; and

(2) "Public agency" has the same meaning as in KRS 61.805.

KRS 45A.492 Legislative declarations.

The General Assembly declares:

(1) A public purpose of the Commonwealth is served by providing preference to Kentucky residents in contracts by public agencies; and

(2) Providing preference to Kentucky residents equalizes the competition with other states that provide preference to their residents.

KRS 45A.494 Reciprocal preference to be given by public agencies to resident bidders -- List of states -- Administrative regulations.

(1) Prior to a contract being awarded to the lowest responsible and responsive bidder on a contract by a public agency, a resident bidder of the Commonwealth shall be given a preference against a nonresident bidder registered in any state that gives or requires a preference to bidders from that state. The preference shall be equal to the preference given or required by the state of the nonresident bidder.

(2) A resident bidder is an individual, partnership, association, corporation, or other business entity that, on the date the contract is first advertised or announced as available for bidding:

(a) Is authorized to transact business in the Commonwealth; and

(b) Has for one (1) year prior to and through the date of the advertisement, filed Kentucky corporate income taxes, made payments to the Kentucky unemployment insurance fund established in KRS 341.490, and maintained a Kentucky workers' compensation policy in effect.

(3) A nonresident bidder is an individual, partnership, association, corporation, or other business entity that does not meet the requirements of subsection (2) of this section.

(4) If a procurement determination results in a tie between a resident bidder and a nonresident bidder, preference shall be given to the resident bidder.

(5) This section shall apply to all contracts funded or controlled in whole or in part by a public agency.

(6) The Finance and Administration Cabinet shall maintain a list of states that give to or require a preference for their own resident bidders, including details of the preference given to such bidders, to be used by public agencies in determining resident bidder preferences. The cabinet shall also promulgate administrative regulations in accordance with KRS Chapter 13A establishing the procedure by which the preferences required by this section shall be given.

(7) The preference for resident bidders shall not be given if the preference conflicts with federal law.

(8) Any public agency soliciting or advertising for bids for contracts shall make KRS 45A.490 to 45A.494 part of the solicitation or advertisement for bids.

The reciprocal preference as described in KRS 45A.490-494 above shall be applied in accordance with 200 KAR 5:400.

Determining the residency of a bidder for purposes of applying a reciprocal preference

Any individual, partnership, association, corporation, or other business entity claiming resident bidder status shall submit along with its response the attached Required Affidavit for Bidders, Offerors, and Contractors Claiming Resident Bidder Status. The BIDDING AGENCY reserves the right to request documentation supporting a bidder’s claim of resident bidder status. Failure to provide such documentation upon request shall result in disqualification of the bidder or contract termination.

A nonresident bidder shall submit, along with its response, its certificate of authority to transact business in the Commonwealth as filed with the Commonwealth of Kentucky, Secretary of State. The location of the principal office indentified therein shall be deemed the state of residency for that bidder. If the bidder is not required by law to obtain said certificate, the state of residency for that bidder shall be deemed to be that which is identified in its mailing address as provided in its bid.

Preferences for a Qualified Bidder or the Department of Corrections, Division of Prison Industries (KAR 200 5:410).

Pursuant to 200 KAR 5:410, and KRS 45A.470, Kentucky Correctional Industries will receive a preference equal to twenty (20) percent of the maximum points awarded to a bidder in a solicitation. In addition, the following “qualified bidders” will receive a preference equal to fifteen (15) percent of the maximum points awarded to a bidder in a solicitation: Kentucky Industries for the Blind, any nonprofit corporation that furthers the purposes of KRS Chapter 163 and any qualified nonprofit agencies for individuals with severe disabilities as defined in KRS 45A.465(3). Other than Kentucky Industries for the Blind, a bidder claiming “qualified bidder” status shall submit along with its response to the solicitation a notarized affidavit which affirms that it meets the requirements to be considered a qualified bidder-affidavit form included. If requested, failure to provide documentation to a public agency proving qualified bidder status may result in disqualification of the bidder or contract termination.

Past Vendor Performance may be considered in the award of this Contract. Vendors with a record of poor performance in the last 12 months may be found non-responsible and ineligible for award.

SECTION 2

ACCESS TO RECORDS

The state agency certifies that it is in compliance with the provisions of KRS 45A.695, "Access to contractor's books, documents, papers, records, or other evidence directly pertinent to the contract." The Contractor, as defined in KRS 45A.030, agrees that the contracting agency, the Finance and Administration Cabinet, the Auditor of Public Accounts, and the Legislative Research Commission, or their duly authorized representatives, shall have access to any books, documents, papers, records, or other evidence, which are directly pertinent to this agreement for the purpose of financial audit or program review. The Contractor also recognizes that any books, documents, papers, records, or other evidence, received during a financial audit or program review shall be subject to the Kentucky Open Records Act, KRS 61.870 to 61.884. Records and other prequalification information confidentially disclosed as part of the bid process shall not be deemed as directly pertinent to the agreement and shall be exempt from disclosure as provided in KRS 61.878(1)(c).

SECTION 3

DISCRIMINATION (Effective April 8, 2015) Discrimination (because of race, religion, color, national origin, sex, sexual orientation, gender identity, age, or disability) is prohibited. This section applies only to contracts utilizing federal funds, in whole or in part. During the performance of this contract, the contractor agrees as follows:

1. The contractor will not discriminate against any employee or applicant for employment because of race, religion, color, national origin, sex, sexual orientation, gender identity, or age. The contractor further agrees to comply with the provisions of the Americans with Disabilities Act (ADA), Public Law 101-336, and applicable federal regulations relating thereto prohibiting discrimination against otherwise qualified disabled individuals under any program or activity. The contractor agrees to provide, upon request, needed reasonable accommodations. The contractor will take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to their race, religion, color, national origin, sex, sexual orientation, gender identity, age or disability. Such action shall include, but not be limited to the following; employment, upgrading, demotion or transfer;

recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensations; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this non-discrimination clause.

2. The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, religion, color, national origin, sex, sexual orientation, gender identity, age or disability.

3. The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice advising the said labor union or workers' representative of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. The contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance.

4. The contractor will comply with all provisions of Executive Order No. 11246 of September 24, 1965 as amended, and of the rules, regulations and relevant orders of the Secretary of Labor.

5. The contractor will furnish all information and reports required by Executive Order No. 11246 of September 24, 1965, as amended, and by the rules, regulations and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations and orders.

6. In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations or orders, this contract may be cancelled, terminated or suspended in whole or in part and the contractor may be declared ineligible for further government contracts or federally-assisted construction contracts in accordance with procedures authorized in Executive Order No. 11246 of September 24, 1965, as amended, and such other sanctions may be imposed and remedies invoked as provided in or as otherwise provided by law.

7. The contractor will include the provisions of paragraphs (1) through (7) of section 202 of Executive Order 11246 in every subcontract or purchase order unless exempted by rules, regulations or orders of the Secretary of Labor, issued pursuant to section 204 of Executive Order No. 11246 of September 24, 1965, as amended, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions including sanctions for noncompliance;

provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the agency, the contractor may request the United States to enter into such litigation to protect the interests of the United States.

SECTION 4

GOVERNING LAW

This contract shall be governed by and construed in accordance with the laws of the Commonwealth of Kentucky. Any action brought against the Commonwealth on the contract, including but not limited to actions either for breach of contract or for enforcement of the contract, shall be brought in Franklin Circuit Court, Franklin County, Kentucky in accordance with KRS 45A.245.

Section 5 Kentucky Tax Registration Application Revenue Form 10A100, Kentucky Tax Registration Application effective July 2008, is a form to be completed by any person or entity wishing to contract with the KRS 139.200. The form is located at this web-link as Attachment 5:

In accordance with administrative regulation 200 KAR 5:390, this form has to be completed and submitted, before a contract can be awarded. Section 2 of the regulation also notes: “Failure to submit the required documentation or to remain registered and in compliance with the sales and use tax filing and remittance requirements of KRS 139.540 and KRS 139.550 throughout the duration of the contract shall constitute a material breach of the contract and the contract may be terminated.”

ATTACHMENT B

REQUEST FOR QUOTATION

SOLICITATION INSTRUCTIONS AND CONDITIONS

I. DEFINITIONS: As used herein:

a. The term "solicitation" means Request for Quotations.

b. The term "offer" means a response to the Request for Quotations.

c. "Time", if stated as a number of days, means Saturdays, Sundays, and Holidays are included.

II. OFFER PREPARATION:

a. Review the entire solicitation, including specifications, instructions, attachments incorporated by reference, and any drawings.

b. Provide all information requested in the solicitation.

c. The solicitation specifies the acceptable terms and conditions. No others shall be proposed.

d. Sign your offer in ink, initial in ink any erasures or other changes, and type or print all other information.

e. Quote unit pricing after deducting trade discounts and calculating quantity discounts, and then extend totals to the amount column for each item offered. In case of discrepancy between a unit price and extended price, the unit price shall govern.

f. Cash discounts are not considered in the selection of the winning quote and should not be offered.

g. Prompt payment terms offered may be considered in the selection of the winning quote, if so stated in the solicitation.

h. Offer items or services specified only, unless other options are requested in the solicitation.

i. Offer a definite time for delivery of supplies or performance of services unless otherwise specified in the solicitation. When delivery is not made as required by the contract resulting from this solicitation, the Division of Material & Procurement Services reserves the right to make the purchase on the open market, with any cost in excess of the contract price payable by the defaulting contractor. Failure to meet contract delivery dates may also be cause for contract cancellation, bidder suspension, or both, pursuant to 200 KAR 5:315.

j. Offer firm pricing.

k. Any equipment offered shall be new and current model unless otherwise specified. Any equipment delivered that does not meet this requirement shall be returned and replaced with the required equipment by the vendor at vendor expense.

l. The manufacturer’s most favorable warranty offered to preferred customers shall apply to all items. A copy of such warranty shall be furnished to the agency upon delivery of goods.

m. Freight terms offered shall be "F.O.B. Destination Freight Prepaid and Allowed" to the ordering agency’s designated receiving location, all freight prepaid, unless otherwise specified in this solicitation.

III. SPECIFIED BRAND, ALTERNATE BRANDS

Unless otherwise specified, brands and specifications referenced in a Request for Quotation are intended to establish a minimum standard of quality only. Bidders may bid brands they consider to be equal by marking through the specified brand and inserting the brand name, model number, etc. which they are offering. Bids offering "equal" product will be considered for award if such product is clearly identified in the bid and is determined by the State to fully meet or exceed the minimum essential specifications and salient characteristics referenced in the Request for Quotation. Product not meeting the minimum essential requirements will be rejected.

A bidder proposing alternate brands should enclose descriptive literature with the offer so that the above can be verified. Failure to submit sufficient literature may result in rejection of the offer.

If a brand or trade name product is not referenced in the Request for Quotation, bidder should provide sufficient descriptive literature with the offer so that compliance with specifications can be verified. Failure to provide said literature and specification data with the offer may result in rejection of the offer.

When specified brand names are not changed, it will be assumed that the bidder is proposing to supply the specified brand, the contract will be written accordingly, and delivery of that brand will be required.

IV. REQUESTS FOR CLARIFICATION OF SOLICITATION:

If you have any questions or complaints about this solicitation you should submit them in writing at least one

(1) day prior to the closing date to the named buyer. This is required so that the Commonwealth can provide the response to each prospective offeror. Oral explanations or instructions given before the award of the contract shall not be binding.

V. ACKNOWLEDGMENT OF ADDENDA TO SOLICITATIONS:

Receipt of an addendum to a solicitation shall be acknowledged by the offeror. Such acknowledgment shall be received prior to the hour and date specified for receipt of offers. Verbal acknowledgment shall not be accepted. Failure to acknowledge addenda may cause the offer to be considered non-responsive.

VI. OFFER SUBMISSION:

a. Offers and modifications thereof shall be addressed to the office specified in the solicitation.

b. Offers may be submitted by mail, fax, or hand delivery. Offers may be modified by any of those means if such modification is received prior to the specified closing hour and date.

Modifications submitted by fax shall not mention unit prices or total price; but shall only refer to percentage change or numerical change (e.g., reduce unit price of item 1 by $1.00).

c. When samples are required, they shall be submitted within the time specified, and unless otherwise specified, at no expense to the Commonwealth of Kentucky. If not destroyed by testing, samples shall be returned at offeror's request and expense, unless otherwise specified by the solicitation. Unless a request for their return is made within thirty (30) days of award of contract, all samples shall become property of the state.

VII. MODIFICATION OR WITHDRAWAL OF OFFERS:

Offers may be modified or withdrawn as stated in VI. (b) above. An offer may be withdrawn in person by an offeror or his authorized representative, if his identity is made known and he signs a receipt for the offer, but only if the withdrawal is made prior to the specified closing hour and date.

VIII. LATE OFFERS AND MODIFICATIONS:

Offers and modifications of offers received after the specified closing hour and date shall not be considered for an award of contract, UNLESS:

a. No offer other than the late offer is received

b. The offer is postmarked on a date prior to the closing date stated in the solicitation

c. The immediate needs of an agency preclude the re-solicitation of quotes

d. The Division of Material & Procurement Services determines that the specifications and the selection of bidders by the buyer were not the cause for the late offer being the only offer available for consideration

e. The offer is evaluated and found to serve the best interest of the Commonwealth of Kentucky.

IX. MULTIPLE AND ALTERNATE BIDS:

Bidders shall submit one response only to the solicitation and shall not propose more than one price, model, and brand for each bid item. Multiple or alternate bids offering more than one bid price in total (or by line-item) shall be cause for rejection unless specifically called for in special conditions provided elsewhere in the solicitation.

X. AWARD OF CONTRACT:

a. The contract shall be awarded to that responsible offeror whose offer conforming to the solicitation provides the best value.

b. The state reserves the right to reject any offers and to waive informalities and minor irregularities in offers received.

A written notice of award (or acceptance of offer) mailed or otherwise furnished to the successful offeror within the time for acceptance specified in the offer shall be deemed to result in a binding contract without further action by either party.

XI. KENTUCKY SALES AND USE TAXES:

Sales to the State of Kentucky and its agencies are not subject to state sales or use taxes.

XII. COMPLIANCE WITH STATE LAWS:

Contracts and orders shall be governed by the laws of the Commonwealth of Kentucky.

XIII. CONTRACT MODIFICATIONS:

No modification to a contract shall be permitted unless the contractor receives written approval from the Division of Material & Procurement Services. If the contractor believes modifications are necessary, he may request approval of the Division of Material & Procurement Services. All contract modifications shall be subject to the provisions of 200 KAR 5:311.

XIV. SELLER'S INVOICES:

Invoices, if required, shall be prepared and transmitted to the agency receiving the goods or services. One copy shall be marked "original" unless otherwise specified. Invoices shall contain, at a minimum, the following information: Contract and order number (if any), item numbers, description of supplies or services, sizes, quantities, unit prices, and extended totals.

XV. PRECEDENCE OF PROVISIONS:

In the event of an inconsistency between provisions of the solicitation, the inconsistency shall be resolved by giving precedence in the following order: (a) Special Conditions; (b) Solicitation Instructions and Conditions;

(c) General Conditions; (d) other provisions of the contract, whether incorporated by reference or otherwise and (e) the specifications.

* YOU SHOULD KNOW ABOUT THESE LAWS. *

In the 1992 regular legislative session, the General Assembly passed Senate Bill 63 (codified as KRS 11A), the Executive Branch Code of Ethics, which applies, in part, to current and former state officials and employees of the executive branch. The Code was amended during the 1994 Legislative Session.

1. Current State Employees Seeking to Do Business With the State KRS 11A.040(4) Provides:

(4) No public servant shall knowingly himself or through any business in which he owns or controls an interest of more than five percent (5%), or by any other person for his use or benefit or on his account, undertake, execute, hold, or enjoy, in whole or in part, any contract, agreement, lease, sale, or purchase made, entered into, awarded, or granted by any state agency. This provision shall not apply to a contract, purchase, or good faith negotiation made pursuant to KRS Chapter 416 relating to eminent domain or to agreements which may directly or indirectly involve public funds disbursed through entitlement programs.

2. Former State Officers and Elected Officials Seeking Employment From Entities Who Do business With the State KRS 11A.040(6) Provides:

No present or former officer or public servant listed in KRS 11A.010(9) (a) to (i) shall, within six (6) months following termination of his office or employment, accept employment, compensation, or other economic benefit from any person or business that contracts or does business with the state in matters in which he was directly involved during the last 36 months of his tenure. This provision shall not prohibit an individual from returning to the same business, firm, occupation, or profession in which he was involved prior to taking office or beginning his term of employment, provided that, for a period of six (6) months, he personally refrains from working on any matter in which he was directly involved during the last 36 months of his tenure in state government. This subsection shall not prohibit the performance of ministerial functions including, but not limited to, filing tax returns, filing applications for permits or licenses, or filing incorporation papers.

3. FORMER STATE EMPLOYEES WHO SEEK TO REGISTER AS LOBBYISTS.

KRS 11A.040(7) provides:

A former public servant shall not act as a lobbyist or lobbyist's principal for a period of one (1) year after the latter of:

(A) The date of leaving office or termination of employment; or

(B) The date the term of office expires to which the public servant was elected.

4. FORMER STATE EMPLOYEES CONTEMPLATING REPRESENTATION OF ANOTHER BEFORE A STATE

AGENCY KRS 11A.040(8) provides:

A former public servant shall not represent a person in a matter before a state agency in which the former public servant was directly involved, for a period of one (1) year after the latter of:

(A) The date of leaving office or termination of employment; or (B) The date the term of office expires to which the public servant was elected. "OR BY ANY OTHER PERSONS FOR HIS USE OR BENEFIT" includes spouse.

*** DEFINITIONS ***

"OR BY ANY OTHER PERSON FOR HIS USE OR BENEFIT" includes spouse.

"DOES BUSINESS WITH" also includes any regulatory relationship between a state agency and a business, utility or person regulated by the state.

"MATTERS IN WHICH HE WAS DIRECTLY INVOLVED" applies only to matters on which the former employee personally worked or over which the employee had some authority.

"LOBBYIST" also includes executive agency lobbyists--those persons attempting to influence a decision of an executive agency official concerning state expenditures.

"REPRESENT" means to attend an agency proceeding, write a letter, or communicate with an employee of an agency on behalf of someone else.

"IN WHICH HE WAS DIRECTLY INVOLVED" modifies the word "matter" and not the words "state agency". In other words the prohibition operates to prohibit employees from representing individuals in matters in which the employee was directly involved while the employee was at the state agency. The employee would be permitted to represent individuals before the state agency so long as the subject matter of the representation was not something in which the employee was directly involved while at the state agency.

These laws are intended to promote public confidence in the integrity of state government and to declare as public policy the idea that state employees should view their work as a public trust and not a way to obtain private benefits.

If you worked for the executive branch of state government within the past year, or were elected to an executive branch term of office which expired within the past year, you may be subject to the prohibitions of the law.

IN CASE OF DOUBT, THE LAW PERMITS YOU TO REQUEST AN ADVISORY OPINION FROM THE

EXECUTIVE BRANCH ETHICS COMMISSION CAPITOL ANNEX, FRANKFORT, KENTUCKY 40601 (502) 564- 7954.

Prepared by Kentucky's

EXECUTIVE BRANCH ETHICS COMMISSION

October 1994

ATTACHMENT C

ANNUAL AFFIDAVIT FOR BIDDERS, OFFERORS AND CONTRACTORS

Affidavit Effective Date:

Affidavit Expiration Date:

Maximum Length One-Year

PLEASE NOTE: Annual Affidavits will remain effective one-year from their completion. Upon their expiration, a new Annual Affidavit will be required.

REQUIRED AFFIDAVIT FOR BIDDERS, OFFERORS AND CONTRACTORS PAGE 1 OF 2

FOR BIDS AND CONTRACTS IN GENERAL:

I. Each bidder or offeror swears and affirms under penalty of perjury, that:

a. In accordance with KRS 45A.110 and KRS 45A.115, neither the bidder or offeror as defined in KRS 45A.070(6), nor the entity which he/she represents, has knowingly violated any provisions of the campaign finance laws of the

Commonwealth of Kentucky; and the award of a contract to the bidder or offeror or the entity which he/she represents will not violate any provisions of the campaign finance laws of the Commonwealth.

b. The bidder or offeror swears and affirms under penalty of perjury that, to the extent required by Kentucky law, the entity bidding, and all subcontractors therein, are aware of the requirements and penalties outlined in KRS 45A.485;

have properly disclosed all information required by this statute; and will continue to comply with such requirements for the duration of any contract awarded.

c. The bidder or offeror swears and affirms under penalty of perjury that, to the extent required by Kentucky law, the entity bidding, and its affiliates, are duly registered with the Kentucky Department of Revenue to collect and remit the sales and use tax imposed by KRS Chapter 139, and will remain registered for the duration of any contract awarded.

d. The bidder or offeror swears and affirms under penalty of perjury that the entity bidding is not delinquent on any state taxes or fees owed to the Commonwealth of Kentucky and will remain in good standing for the duration of any contract awarded.

e. The bidder or offeror swears and affirms that the entity bidding, and all subcontractors therein have not violated any of the prohibitions set forth in KRS 11A.236 during the previous ten (10) years, and further pledge to abide by the restrictions set forth in such statute for the duration of the contract awarded.

FOR “NON-BID” CONTRACTS (I.E. SOLE-SOURCE; NOT-PRACTICAL OR FEASIBLE TO BID; OR

EMERGENCY CONTRACTS, ETC):

II. Each contractor further swears and affirms under penalty of perjury, that:

a. In accordance with KRS 121.056, and if this is a non-bid contract, neither the contractor, nor any member of his/her immediate family having an interest of 10% or more in any business entity involved in the performance of any contract awarded, have contributed more than the amount specified in KRS 121.150 to the campaign of the gubernatorial slate elected in the election last preceding the date of contract award.

b. In accordance with KRS 121.330(1) and (2), and if this is a non-bid contract, neither the contractor, nor officers or employees of the contractor or any entity affiliated with the contractor, nor the spouses of officers or employees of the contractor or any entity affiliated with the contractor, have knowingly contributed more than $5,000 in aggregate to the campaign of a candidate elected in the election last preceding the date of contract award that has jurisdiction over this contract award.

http://www.lrc.state.ky.us/KRS/045A00/110.PDF http://www.lrc.state.ky.us/KRS/045A00/115.PDF http://www.lrc.state.ky.us/KRS/045A00/070.PDF http://www.lrc.state.ky.us/KRS/045A00/485.PDF http://www.lrc.ky.gov/KRS/139-00/CHAPTER.HTM http://www.lrc.ky.gov/KRS/121-00/056.PDF http://www.lrc.ky.gov/KRS/121-00/150.PDF http://www.lrc.ky.gov/KRS/121-00/330.PDF

ANNUAL AFFIDAVIT FOR BIDDERS, OFFERORS AND CONTRACTORS

REQUIRED AFFIDAVIT FOR BIDDERS, OFFERORS AND CONTRACTORS PAGE 2 OF 2

c. In accordance with KRS 121.330(3) and (4), and if this is a non-bid contract, to the best of his/her knowledge, neither the contractor, nor any member of his/her immediate family, his/her employer, or his/her employees, or any entity affiliated with any of these entities or individuals, have directly solicited contributions in excess of $30,000 in the aggregate for the campaign of a candidate elected in the election last preceding the date of contract award that has jurisdiction over this contract.

As a duly authorized representative for the bidder, offeror, or contractor, I have fully informed myself regarding the accuracy of all statements made in this affidavit, and acknowledge that the Commonwealth is reasonably relying upon these statements, in making a decision for contract award and any failure to accurately disclose such information may result in contract termination, repayment of funds and other available remedies under law. If the bidder, offeror, or contractor becomes non-compliant with any statements during the affidavit effective period, I will notify the Finance and Administration Cabinet, Office of Procurement

Services immediately. I understand that the Commonwealth retains the right to request an updated affidavit at any time.

Signature Printed Name

Title Date

Company Name

Address

Subscribed and sworn to before me by

(Affiant) (Title) of this _____day of ____________,20___.

(Company Name)

Notary Public

[seal of notary] My commission expires:

http://www.lrc.ky.gov/KRS/121-00/330.PDF

REQUIRED AFFIDAVIT FOR BIDDERS, OFFERORS AND CONTRACTORS CLAIMING RESIDENT BIDDER

STATUS

The bidder or offeror hereby swears and affirms under penalty of perjury that, in accordance with KRS 45A.494(2), the entity bidding is an individual, partnership, association, corporation, or other business entity that, on the date the contract is first advertised or announced as available for bidding:

1. Is authorized to transact business in the Commonwealth;

2. Has for one year prior to and through the date of advertisement

a. Filed Kentucky corporate income taxes;

b. Made payments to the Kentucky unemployment insurance fund established in KRS 341.49;

and

c. Maintained a Kentucky workers’ compensation policy in effect.

The BIDDING AGENCY reserves the right to request documentation supporting a bidder’s claim of resident bidder status.

Failure to provide such documentation upon request shall result in disqualification of the bidder or contract termination.

of this _____day of ____________, 20___.

REQUIRED AFFIDAVIT FOR BIDDERS, OFFERORS AND CONTRACTORS CLAIMING

QUALIFIED BIDDER STATUS

I. The bidder or offeror swears and affirms under penalty of perjury that the entity bidding, and all subcontractors therein, meets the requirements to be considered a “qualified bidder” in accordance with 200 KAR 5:410(3); and will continue to comply with such requirements for the duration of any contract awarded. Please identify below the particular “qualified bidder” status claimed by the bidding entity.

________ A nonprofit corporation that furthers the purposes of KRS Chapter 163

________ Per KRS 45A.465(3), a "Qualified nonprofit agency for individuals with severe disabilities" means an organization that:

(a) Is organized and operated in the interest of individuals with severe disabilities; and

(b) Complies with any applicable occupational health and safety law of the United States and the Commonwealth; and

(c) In the manufacture or provision of products or services listed or purchased under KRS 45A.470, during the fiscal year employs individuals with severe disabilities for not less than seventy-five percent (75%) of the man hours of direct labor required for the manufacture or provision of the products or services; and

(d) Is registered and in good standing as a nonprofit organization with the Secretary of State.

The BIDDING AGENCY reserves the right to request documentation supporting a bidder’s claim of qualified bidder status.

Failure to provide such documentation upon request may result in disqualification of the bidder or contract termination.

of this _____day of ____________, 20___.

http://www.lrc.state.ky.us/kar/200/005/410reg.htm