OPM Form 1

Effective July 23, 2021

STATE OF CONNECTICUT

CAMPAIGN CONTRIBUTION CERTIFICATION

Written or electronic certification to accompany a bid or proposal or a non-competitive contract with a value of $50,000 or more, pursuant to C.G.S. § 9-612.

INSTRUCTIONS:

Complete all sections of the form. Attach additional pages, if necessary, to provide full disclosure about any 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 submission of your bid or proposal (if no bid or proposal– submit this completed form with the earliest submittal of any document to the state or quasi-public agency prior to the execution of the contract), and if there is a change in the information contained in the most recently filed certification, such person shall submit an updated certification either (i) not later than thirty (30) days after the effective date of such change or (ii) upon the submittal of any new bid or proposal for a contract, whichever is earlier.

Check One:

□ Initial Certification

□ Updated Certification because of change of information contained in the most recently filed certification

CAMPAIGN CONTRIBUTION CERTIFICATION:

I certify that neither the contractor or prospective state contractor, nor any of its principals, have made any contributions to, or solicited any contributions on behalf of, any party committee, exploratory committee, candidate for state-wide office or for the General Assembly, or political committee authorized to make contributions to or expenditures to or for, the benefit of such candidates, in the previous four years, that were determined by the State Elections Enforcement Commission to be in violation of subparagraph (A) or (B) of subdivision

(2) of subsection (f) of Section 9-612 of the General Statutes, without mitigating circumstances having been found to exist concerning such violation. Each such certification shall be sworn as true to the best knowledge and belief of the person signing the certification, subject to the penalties of false statement. If there is any change in the information contained in the most recently filed certification, such person shall submit an updated certification not later than thirty days after the effective date of any such change or upon the submittal of any new bid or proposal for a state contract, whichever is earlier.

All Campaign Contributions on behalf of any party committee, exploratory committee, candidate for state-wide office or for the General Assembly, or political committee authorized to make contributions to or expenditures to or for, the benefit of such candidate, for a period of four years prior to signing the contract or date of the response to the bid, whichever is longer, include:

Contribution Date Name of Contributor Recipient Value Description

OPM Form 1

Effective July 23, 2021

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

Printed Contractor Name Printed Name of Authorized Official

Signature of Authorized Official

Subscribed and acknowledged before me this day of , 20 .

Commissioner of the Superior Court (or Notary Public)

_ My Commission Expires

State Contractors Guide to the Code of Ethics

Office of State Ethics Peter Lewandowski, Executive Director

State Contractors Guide to the Code of Ethics

Contact Us

Agency Address: Connecticut Office of State Ethics 165 Capitol Avenue Suite 1200 Hartford, CT 06106

Telephone: 860-263-2400

Facsimile: 860-263-2402

Website: www.ct.gov/ethics

Business Hours: 8:00 am to 5:00 pm

Specific E-mail Contacts: For the timeliest responses, please be sure to direct your questions to the appropriate e-mail address; for example, with a question such as, "Can I accept this outside position with a vendor?” please be sure to send your query to ethics.code.@ct.gov

Legal Advice Regarding Code of Ethics ethics.code@ct.gov Lobbyist Filing/Reporting Questions lobbyist.ose@ct.gov Public Official Filing/Reporting Questions sfi.ose@ct.gov Enforcement/Filing a Complaint ethics.enforcement@ct.gov All Other Inquiries ose@ct.gov

Staff Phone Number Listing http://www.ct.gov/ethics mailto:ethics.code.@ct.gov mailto:ethics.code@ct.gov mailto:lobbyist.ose@ct.gov mailto:sfi.ose@ct.gov mailto:ethics.enforcement@ct.gov mailto:ose@ct.gov http://www.ct.gov/ethics/cwp/view.asp?a=3507&q=414898

(Rev. November 2021) PAGE| 1

TABLE OF CONTENTS

Office of State Ethics 2

The Big Picture 3

Conflicts 3

General Statutes § 1-86e 3 General Statutes § 1-101nn 4 One More Conflict Rule (of limited applicability) 5

Are You Required to Register as a Lobbyist? 6

Exceptions to Administrative Lobbying 6

Gifts 7

Giving Gifts 7 Gift Exceptions 8 Gift Reporting 9 Accepting Gifts 9

Necessary Expenses 10

Hiring Current or Former State Employees and Officials 11

Former State Employees and Officials 11 Current State Employees and Officials 12 Other Outside Employment Considerations 12

Other Considerations 13

Contractual Representations Concerning State Ethics Laws 13

Ethics Enforcement 14

(Rev. November 2021) PAGE| 2

OFFICE OF STATE ETHICS

Created on July 1, 2005, under Public Act 05-183, the Office of State Ethics (“OSE”) is an independent regulatory division of the Office of Governmental Accountability charged with administering and enforcing the Connecticut Codes of Ethics (“Ethics Codes”), which are found in Chapter 10 of the Connecticut General Statutes.

The OSE’s duties include educating all those covered by the Ethics Codes; interpreting and applying the Ethics Codes; investigating violations of, and otherwise enforcing, the Ethics Codes; and providing information to the public.

The OSE’s jurisdiction:

Part I Code of Ethics for Public Officials General Statutes §§ 1-79 to 1-90a

Part II Code of Ethics for Lobbyists

General Statutes §§ 1-91 to 1-101a

Part III Lobbying: Miscellaneous Provisions General Statutes §§ 1-101aa and 1-101bb

Part IV Ethical Considerations Concerning Bidding and State Contracts General Statutes §§ 1-101mm to 1-101rr

The OSE Executive Director has overall responsibility for the welfare and effectiveness of the OSE, which has three divisions, the legal division, the enforcement division, and the administrative division.

The OSE’s governing body is the Citizen’s Ethics Advisory Board (“CEAB”), which has nine members appointed by the Governor and legislative leadership. The CEAB holds monthly meetings that are open to the public. A schedule of CEAB meeting dates, times, and locations is available at www.ct.gov/ethics.

CEAB Members:

• Attend monthly CEAB meetings

• Appoint and evaluate the Executive Director of the OSE

• Issue advisory opinions to persons subject to the Ethics Codes

• Serve as a Hearing Officer for non-confidential hearings held under the Uniform

Administrative Procedures Act, General Statutes § 4-166 et. seq.

• Attend hearings to determine if violations occurred and, if so, assess penalties

• Attend special meetings if necessary

• Oversee legislative agenda http://www.cga.ct.gov/2005/act/Pa/2005PA-00183-R00SB-00001-PA.htm https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-79 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-90a https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-91 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101a http://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101aa http://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101bb https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101mm https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101mm https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101rr http://www.ct.gov/ethics https://www.cga.ct.gov/current/pub/chap_054.htm#sec_4-166

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THE BIG PICTURE

This guide is being published under General Statutes § 1-81b, which requires the OSE to provide a plain language summary of state ethics laws concerning (1) persons, firms and corporations submitting bids or proposals for state contracts, and (2) state contractors.

Like state employees and officials, state contractors are subject to the Ethics Codes, but in a more limited manner. That is, they are not, as Advisory Opinion No. 99-26 puts it, “subject to the far more restrictive provisions . . . that apply to state employees and public officials,” but they are subject to certain “narrow constraints.”

As you read through this guide, be aware that these restraints, and those that apply to state employees and officials, were enacted to prevent persons from using their public position or authority for their own financial benefit, or for the financial benefit of certain others (for example, family members).

Also be aware that each state agency has its own ethics policy, which may be more restrictive than what follows, particularly concerning the types of benefits a state employee or official may accept from state contractors (and others).

CONFLICTS

The Ethics Codes contain two primary conflict statutes that apply specifically to state contractors: General Statutes §§ 1-86e and 1-101nn.

GENERAL STATUTES § 1-86e

Section 1-86e applies to any “person hired by the state as a consultant or independent contractor” and to any “person employed by such consultant or independent contractor.”

Such persons may not do as follows:

(1) Use the authority, or confidential information, provided under the contract to financially benefit the consultant or independent contractor, an employee of the consultant or independent contractor or a member of the immediate family of any such consultant, independent contractor or employee;

(2) Accept another state contract which would impair the independent judgment of the consultant, independent contractor or employee in the performance of the existing contract;

or

(3) Accept anything of value based on an understanding that the actions of the consultant, independent contractor or employee on behalf of the state would be influenced. In addition, under § 1-86e (b), ”[n]o person shall give anything of value to a person hired by the state as a consultant or independent contractor or an employee of a consultant or independent contractor based on an understanding that the actions of the consultant, independent contractor or employee on behalf of the state would be influenced.”

https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-81b http://www.ct.gov/ethics/cwp/view.asp?a=2305&q=301354 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-86e https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101nn https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-86e

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Key points from Advisory Opinion No. 99-26 concerning § 1-86e:

• Section 1-86e is not intended to interfere with a contractor’s business, but to prevent a private entity from using state money to, for example, hire immediate family members without appropriate state oversight.

• A conflict of interest exists only if there is a connection between the facts in question and the state money and authority granted to the independent contractor or consultant by contract.

• The term “independent contractor” does not apply just to individuals, but also to private agencies that contract with the state.

• If a state contractor wants to hire a family member to work under a state contract, the following procedure must be followed:

1. The contractor must notify the contracting state agency in writing and demonstrate why the individual is appropriate for the job.

2. The state agency must determine if the person is qualified for the job and whether the compensation is market rate; and if necessary, it may require the contractor to document a job search.

NOTE: In an enforcement action, a former state contractor was alleged to have violated § 1- 86e (a) (1) by using confidential information gained under its contract with a state agency in its subsequent representation of clients before that agency. The contractor entered into a Consent Order with the OSE, agreeing to pay a $10,000 penalty.

GENERAL STATUTES § 1-101nn

Subsection (a) of § 1-101nn applies to persons who are, or are seeking to be:

(1) Prequalified under General Statutes § 4a-100;

(2) A party to a large state construction or procurement contract, as defined in General Statutes § 1-101mm (3), with a state or quasi-public agency; or

(3) A party to a consultant services contract with a state or quasi-public agency.

Such persons may not do as follows:

(A) Solicit information from state officials or employees that is not available to other bidders;

http://www.ct.gov/ethics/cwp/view.asp?a=2305&q=301354 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-86e https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-86e https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-86e https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-86e https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101nn https://www.cga.ct.gov/current/pub/chap_058a.htm#sec_4a-100 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101mm

(Rev. November 2021) PAGE| 5

(B) Defraud the state (that is, charge a state or quasi-public agency for work not performed or goods not provided);

(C) Attempt to circumvent state competitive bidding and ethics laws; or

(D) Provide information about the person’s donation of goods and services to state or quasi-public agencies in order to influence the award of a state contract.

Subsection (b) of § 1-101nn applies to a more limited group: Any consultant that is hired by the state to help plan a state contract, and any “associated” businesses, as defined in General Statutes § 1-101mm (1).

Under § 1-101nn (b) neither the consultant nor any “associated” businesses may serve in the following roles with respect to the contract the consultant helped to plan:

• Consultant to any person seeking to obtain the contract,

• Contractor for the contract, or

• Consultant or subcontractor to the person awarded the contract.

NOTE: If you are unsure whether § 1-101nn applies to you, please contact the OSE, because any person found to have violated this section may be deemed a “nonresponsible bidder” by a state or quasi-public agency. General Statutes § 1-101nn (c).

ONE MORE CONFLICT RULE (of limited applicability)

General Statutes § 1-84 (n) bars the State Treasurer from doing business with an investment services firm whose political committee or principals have contributed to, or solicited contributions for, his exploratory or candidate campaign committee.

The prohibition applies during the term of office for which the candidate is campaigning, as well as for the remainder of an incumbent treasurer’s term.

The prohibition applies only to contributions to the incumbent or victorious candidate for the office. Advisory Opinion No. 2003-1.

https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101nn https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101mm https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101nn https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101nn https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101nn https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-84 http://www.ct.gov/ethics/cwp/view.asp?a=2305&q=301538

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ARE YOU REQUIRED TO REGISTER AS A LOBBYIST?

With certain exceptions, efforts to obtain a state contract can be considered administrative lobbying, requiring registration as a client lobbyist.

Client lobbyist: Generally, an individual or entity that, on its own behalf, expends or agrees to expend $3,000 or more in a calendar year for administrative and/or legislative lobbying and activities in furtherance of lobbying. General Statutes § 1-91 (12).

Lobbying: Generally, communicating directly, or soliciting others to communicate, with any public official or his or her staff in the legislative or executive branch, or in a quasi-public agency, in an effort to influence legislative or administrative action. General Statutes § 1-91 (11).

Administrative action: Any matter within a state or quasi-public agency’s jurisdiction— such as any action or nonaction concerning a contract. General Statutes § 1-91 (1).

Exceptions to Administrative Lobbying

The following activities are not considered administrative lobbying:

• Preparation of responses to an agency’s request for proposals (“RFP”). OSE Regs. § 1-92-42a (e) (1).

• Communications strictly for informational purposes (e.g., to determine what agency contract proposals will be forthcoming). OSE Regs. § 1-92-42a (e) (3).

• Communications by a vendor’s representative who acts as a salesperson and does not otherwise engage in administrative lobbying. General Statutes § 1-91 (11) (B).

o “Salespersons”: Generally, individuals who have a set territory they routinely cover, and who are not part of a company’s executive management. See Advisory Opinion No. 95-11.

Thus, if your contact with state or quasi-public agencies is limited to responding to RFPs, or otherwise pursuing a contract through the normal agency process, then you are not required to register as a “client lobbyist.”

But you are “lobbying” if you go outside the agency process in trying to obtain a state contract. For example:

• Entertaining state employees and officials.

• Communicating with officials outside the agency (such as the Governor or legislators).

• Communicating with officials within the agency but outside the normal process (such as the agency head).

If $3,000 or more is spent on such lobbying activities, “lobbyist” registration is required. See General Statutes § 1-94.

https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-91 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-91 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-91 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-91 http://www.sots.ct.gov/sots/lib/sots/regulations/title_01/092.pdf http://www.sots.ct.gov/sots/lib/sots/regulations/title_01/092.pdf https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-91 http://www.ct.gov/ethics/cwp/view.asp?a=2305&q=301112 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-94

(Rev. November 2021) PAGE| 7

Hypothetical from Advisory Opinion No. 2003-6:

In responding to a state agency’s RFP, a business entity spends $3,500 in printing and personnel costs in taking a number of steps within the agency’s normal contracting process.

But in an effort to secure the contract, the entity contacts the Governor, thus taking action outside the normal agency process and, in doing so, expends an additional $500 in personnel costs. Must it register as a lobbyist?

No. The $3,500 spent in following the normal process to respond to the RFP is exempted from consideration as a lobbying expense. Therefore, this entity would not have to register as a client lobbyist, because it has spent only $500 towards its lobbying effort.

NOTE: If you are unsure whether you must register as a “lobbyist,” please contact the OSE and/or review the “Client Lobbyist Guide to the Code of Ethics.”

GIFTS

GIVING GIFTS

General Statutes § 1-84 (m) contains the “gift”-giving bans for state contractors and potential state contractors:

• An individual or entity doing or seeking to do business with a state agency may not give a “gift” to any of that agency’s employees or officials.

o This is an agency-specific ban, meaning: If an entity is doing or seeking to do business with State Agency X—but not with any other state agency—then it is prohibited from giving “gifts” only to employees and officials of State Agency X.

• An individual or entity engaged in activities which are directly regulated by a state agency may not give a “gift” to any of that agency’s employees or officials.

• A person prequalified under § 4a-100 may not knowingly give a “gift” to any state employee or official.

o This ban is not agency specific, meaning it applies to all state employees and officials, even if the person is not doing or seeking to do business with an employee’s or official’s agency. (Registered lobbyists are subject to a similar ban. See General Statutes § 1-97 (a).)

http://www.ct.gov/ethics/cwp/view.asp?a=2305&q=301572 https://www.cga.ct.gov/current/pub/chap_058a.htm#sec_4a-100 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-97

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What is a “gift”?

General Statutes § 1-79 (5) defines “gift” in three parts:

1. “anything of value” (for example, money, tickets to a sporting event, meals, services, etc.),

2. “which is directly and personally received” (that is, the state employee or official accepts the opportunity to partake of it),

3. “unless consideration of equal or greater value is given in return” (that is, unless the state employee or official pays fair market value for it).

GIFT EXCEPTIONS

There are many benefits that are not deemed “gifts,” some of which may be used by state contractors, including these:

• Token Items: Items valued less than $10 (such as a pen or mug), provided the annual aggregate of such items from a single source is $50 or less. General Statutes § 1-79

(5) (P).

• Food/Beverage: Up to $50 in food/beverage annually, provided the donor or a representative is in attendance when it is being consumed. General Statutes § 1-79

(5) (I).

• Training: Training provided by a vendor for a product purchased by a state entity, provided it is offered to all of the vendor’s customers. General Statutes § 1-79 (5) (Q).

• Ceremonial awards: A certificate, plaque or other ceremonial award valued at less than $100. General Statutes § 1-79 (5) (F).

• Gifts to the State: Goods or services given to a state entity. The gift must facilitate state action, and must (1) be for use on state property (e.g., a computer), (2) support a state event (e.g., funds to support an agency event), or (3) support the participation by a state employee or official at an event (e.g., funds for an agency employee to attend an educational conference relevant to his state duties). General Statutes § 1-79 (5) (e).

NOTE: There is a “gift” exception in § 1-79 (5) (L) for “major life events” (a term defined by regulation), but state contractors and potential state contractors may not use it.

https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-79 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-79 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-79 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-79 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-79 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-79 https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-79

(Rev. November 2021) PAGE| 9

GIFT REPORTING

If a person doing or seeking to do business with a state agency gives an agency employee or official any of the benefits found in the “gift” exceptions, the person may have a reporting obligation. See General Statutes § 1-84 (o).

Generally, if the benefit is valued over $10, the person (or a representative) must do as follows: Give both the recipient and the executive head of the recipient’s department or agency a written report stating:

• The donor’s name,

• A description of the item or items given,

• The value of such items, and

• The cumulative value of all items given to such recipient in the calendar year.

NOTE: This helps both the donor and the state employee or official keep track of the “gift” exceptions noted above, so that permissible limits are not exceeded.

ACCEPTING GIFTS

In Advisory Opinion No. 99-17, the conflict language in § 1-86e (a) (1) (see above) was interpreted as creating the following rule:

• If, as a state contractor or an employee thereof, you are offered benefits from a person by virtue of your authority under the state contract (for example, clients of the contracting state agency), you may accept no more than $100 annually from that person.

NOTE: In an enforcement action, a former employee of a state contractor was found to have violated § 1-86e (a) (1)—and ordered to pay a $10,000 penalty—for using his authority over a subcontractor to solicit free or discounted gifts, services and other items of value (e.g., meals and tickets to sporting events and concerts).

http://www.ct.gov/ethics/cwp/view.asp?a=2305&q=301334

(Rev. November 2021) PAGE| 10

NECESSARY EXPENSES

General Statutes § 1-84 (k)—the “necessary expenses” provision—prohibits a state employee or official from accepting a fee or honorarium for participating at an event in his or her official capacity.

However, a state employee or official may receive payment or reimbursement for “necessary expenses” if—in his or her official capacity—the employee or official actively participates in the event (for example, gives a speech or runs a workshop).

“Necessary expenses” are not considered gifts and may include the cost of:

• Travel (coach),

• Lodging (standard room for the nights before, of, and immediately following the event),

• Meals (non-lavish), and

• Conference or seminar registration fees.

“Necessary expenses” do not include the cost of entertainment (tickets to sporting events, golf outings, etc.), or payment of expenses for family members or other guests.

A state contractor has no reporting obligations when it pays for, or reimburses, a state employee’s or official’s “necessary expenses.”

Example:

A state contractor is hosting an out-of-state conference and would like the Governor to come and give a speech in his official capacity. The contractor has offered to pay the Governor’s travel and lodging expenses, to waive his conference registration fee, and to give him a $500 honorarium. Permissible?

The Governor may not accept the $500 honorarium (because he is participating in his official capacity) but may accept payment or reimbursement for “necessary expenses,” which include coach-class travel, standard lodging for the nights before, of, and after the speech, and waiver of the conference registration fee.

(Rev. November 2021) PAGE| 11

HIRING CURRENT OR FORMER

STATE EMPLOYEES AND OFFICIALS

Former State Employees and Officials

A state contractor wanting to hire a former state employee or official should be aware of the Code’s post-state employment prohibitions. See General Statutes §§ 1-84a and 1-84b.

Most of these prohibitions are “personal” to the former state employees and officials, meaning they do not apply to their post-state employers. These include:

• Confidential information: A former state employee or official may never “disclose or use confidential information” gained in state service for anyone’s financial gain.

General Statutes § 1-84a.

• Side switching: A former state employee or official may never “represent anyone other than the state, concerning any particular matter (1) in which he participated personally and substantially while in state service, and (2) in which the state has a substantial interest.” General Statutes § 1-84b (a).

• Cooling off: For one year after leaving state service, a former state employee or official may not “represent” anyone for compensation before their former state agency. (“Represent” means doing any activity that reveals the former state employee’s or official’s identity.) General Statutes § 1-84b (b).

NOTE: Certain former employees and officials of the Department of Consumer Protection and the Department of Emergency Services and Public Protection are subject to a two-year employment ban with respect to entities engaged in Indian gaming operations. General Statutes § 1-84b (d) and (e).

Prohibitions on Employer

There are two post-state employment provisions that apply not only to former state employees and officials—but also to those that hire them:

• For one year after leaving state service, a former state employee or official may not accept employment with a party to a state contract valued at $50,000 or more, if:

(1) He or she participated substantially in, or supervised, the negotiation or award of that contract, and

(2) It was signed within his or her last year of state service.

Further, “[n]o party to such a contract or agreement . . . shall employ any such former public official or state employee in violation of this subsection.” General Statutes § 1- 84b (f).

https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-84a https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-84b https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-84a https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-84b https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-84b https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-84b https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-84b

(Rev. November 2021) PAGE| 12

• Individuals who held designated positions at certain state regulatory agencies may not—for one year after leaving state service—“accept employment with a business subject to regulation by that agency.” Further, “[n]o business shall employ a . . . former public official or state employee in violation of this subsection.” General Statutes § 1- 84b (c).

Current State Employees and Officials

State contractors wanting to hire a current state employee or official should be aware of the Code’s outside-employment rules, which bar the employee or official from:

• Accepting outside employment with an individual or entity that can benefit from the state servant’s official actions (e.g., the individual in his or her state capacity has specific regulatory, contractual, or supervisory authority over the private person).

OSE Regs. § 1-81-17.

• Using state time, materials, or personnel to perform their outside work. General

Statutes § 1-84 (c).

• Accepting—or being a member or employee of an entity that agrees to accept— compensation for representing others before 11 statutorily designated state agencies. General Statutes § 1-84 (d). The agencies include:

o the Department of Banking, o the Claims Commissioner, o the Office of Health Care Access division within the Department of Public Health, o the Insurance Department, o the Department of Consumer Protection, o the Department of Motor Vehicles, o the State Insurance and Risk Management Board, o the Department of Energy and Environmental Protection, o the Public Utilities Regulatory Authority, o the Connecticut Siting Council, and o the Connecticut Real Estate Commission.

***The prohibition on being a “member or employee” applies to entities that are in the business of representing others for compensation before the listed agencies (law firms, accounting firms, etc.).

OTHER OUTSIDE EMPLOYMENT CONSIDERATIONS

There are two other outside employment prohibitions, but they apply only to a limited number of state employees and officials:

• Individuals holding designated positions at certain state regulatory agencies may not—while in state service—“negotiate for, seek or accept employment with any business subject to regulation by his agency.” Also, “[n]o business shall employ a https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-84b https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-84b http://www.sots.ct.gov/sots/lib/sots/regulations/title_01/081.pdf

(Rev. November 2021) PAGE| 13 present . . . public official or state employee in violation of this subsection.” General Statutes § 1-84b (c).

• Certain present employees and officials of the Department of Consumer Protection and the Department of Emergency Services and Public Protection may not “negotiate for, seek or accept employment with” entities engaged in Indian gaming operations.

General Statutes § 1-84b (d) and (e).

OTHER CONSIDERATIONS

CONTRACTUAL REPRESENTATIONS CONCERNING STATE ETHICS LAWS

General Statutes § 1-101qq, as amended by Public Act No. 21-76, contains four requirements with respect to the OSE’s state ethics laws summary:

1. State agencies must provide large state construction or procurement contractors with the state ethics laws summary developed by the OSE (NOTE: this guide has been developed for this purpose).

2. No state agency or institution or quasi-public agency shall enter into a large state construction or procurement contract unless such contract contains a representation that the chief executive officer or authorized signatory of the contract and all key employees of such officer or signatory have read and understood the summary and agree to comply with the provisions of state ethics law.

3. Large state construction or procurement contractors must, in turn:

a. provide their subcontractors and consultants with the state ethics laws summary,

b. each contract entered into with a subcontractor or consultant on or after July 1, 2021, shall include a representation that each subcontractor or consultant and the key employees of such subcontractor or consultant have read and understood the summary and agree to comply with the provisions of state ethics law. Failure to include such representations in such contracts with subcontractors or consultants shall be cause for termination of the large state construction or procurement contract.

4. The state ethics laws summary must be incorporated by reference in each contract with a contractor, subcontractor or consultant.

NOTE: The OSE does not have jurisdiction over campaign contribution certifications. Questions concerning them should be directed to the Office of Policy and Management.

https://www.cga.ct.gov/current/pub/chap_010.htm#sec_1-101qq https://www.cga.ct.gov/2021/ACT/PA/PDF/2021PA-00076-R00HB-06444-PA.PDF

(Rev. November 2021) PAGE| 14

ETHICS ENFORCEMENT

Enforcement of the Ethics Codes is initiated by a complaint, which is filed by the OSE Ethics Enforcement Officer or a member of the public. In most cases, a complaint by the Ethics Enforcement Officer is preceded by a confidential staff evaluation.

A two-stage process follows:

1. Confidential investigation and confidential probable cause hearing.

2. If probable cause is found, a public hearing to determine if a violation has occurred.

At any stage of this process, the OSE and the Respondent may negotiate a settlement.

After a finding or admission of a violation, the CEAB may order the Respondent to comply with the Ethics Codes in the future, file any required report or statement, and/or pay a civil penalty.

For failure to file a report, statement, or other information required by the Ethics Codes, the CEAB may, after a hearing, impose a civil penalty of up to $10 per day, with the aggregate penalty for any one violation being $10,000.

The OSE may refer matters to the Chief State’s Attorney for criminal prosecution. An intentional violation of the Ethics Codes is a misdemeanor for the first violation, unless the individual has derived a financial benefit of at least $1,000. In that case, the violation is a class D felony.

The Attorney General may sue for up to three times the economic gain received through knowingly committing or knowingly profiting from a violation of the Code.

The “Citizen’s Guide to Filing a Complaint,” which is available on the OSE’s website, gives a detailed overview of the complaint process and related confidentiality rules.

https://portal.ct.gov/-/media/Ethics/Guides/Currently-Posted-Guides/Citizens-Guide-Filing-an-Ethics-Complaint-Rev-June-2021.pdf

COMMISSION ON HUMAN RIGHTS AND OPPORTUNITIES

CONTRACT COMPLIANCE REGULATIONS

NOTIFICATION TO BIDDERS

(Revised 09/3/15)

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 bidder’s good faith efforts to include minority business enterprises as subcontractors and suppliers for the work of the contract.

1) 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 fifteen 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 control the major functions of an organization through subordinates who are at the managerial or supervisory level.

They make policy decisions and set objectives for the company or departments. They are not usually directly involved in production or providing services. Examples include top executives, public relations managers, managers of operations specialties (such as financial, human resources, or purchasing managers), and construction and engineering managers.

BUSINESS AND FINANCIAL OPERATIONS: These occupations include managers and professionals who work with the financial aspects of the business. These occupations include accountants and auditors, purchasing agents, management analysts, labor relations specialists, and budget, credit, and financial analysts.

MARKETING AND SALES: Occupations related to the act or process of buying and selling products and/or services such as sales engineer, retail sales workers and sales representatives including wholesale.

LEGAL OCCUPATIONS: In-House Counsel who is charged with providing legal advice and services in regards to legal issues that may arise during the course of standard business practices. This category also includes assistive legal occupations such as paralegals, legal assistants.

COMPUTER SPECIALISTS: Professionals responsible for the computer operations within a company are grouped in this category. Examples of job titles in this category include computer programmers, software engineers, database administrators, computer scientists, systems analysts, and computer support specialists ARCHITECTURE AND ENGINEERING: Occupations related to architecture, surveying, engineering, and drafting are included in this category. Some of the job titles in this category include electrical and electronic engineers, surveyors, architects, drafters, mechanical engineers, materials engineers, mapping technicians, and civil engineers.

OFFICE AND ADMINISTRATIVE SUPPORT: All clerical-type work is included in this category. These jobs involve the preparing, transcribing, and preserving o f written communications and records; collecting accounts; gathering and distributing information; operating office machines and electronic data processing equipment; and distributing mail.

Job titles listed in this category include telephone operators, bill and account collectors, customer service representatives, dispatchers, secretaries and administrative assistants, computer operators and clerks (such as payroll, shipping, stock, mail and file).

BUILDING AND GROUNDS CLEANING AND

MAINTENANCE: This category includes occupations involving landscaping, housekeeping, and janitorial services. Job titles found in this category include supervisors of landscaping or housekeeping, janitors, maids, grounds maintenance workers, and pest control workers.

CONSTRUCTION AND EXTRACTION: This category includes construction trades and related occupations. Job titles found in this category include boilermakers, masons (all types), carpenters, construction laborers, electricians, plumbers (and related trades), roofers, sheet metal workers, elevator installers, hazardous materials removal workers, paperhangers, and painters. Paving, surfacing, and tamping equipment operators; drywall and ceiling tile installers; and carpet, floor and tile installers and finishers are also included in this category. First line supervisors, foremen, and helpers in these trades are also grouped in this category.

INSTALLATION, MAINTENANCE AND REPAIR:

Occupations involving the installation, maintenance, and repair of equipment are included in this group. Examples of job titles found here are heating, ac, and refrigeration mechanics and installers; telecommunication line installers and repairers; heavy vehicle and mobile equipment service technicians and mechanics; small engine mechanics; security and fire alarm systems installers; electric/electronic repair, industrial, utility and transportation equipment; millwrights; riggers; and manufactured building and mobile home installers. First line supervisors, foremen, and helpers for these jobs are also included in the category.

MATERIAL MOVING WORKERS: The job titles included in this group are Crane and tower operators;

dredge, excavating, and lading machine operators; hoist and winch operators; industrial truck and tractor operators;

cleaners of vehicles and equipment; laborers and freight, stock, and material movers, hand; machine feeders and offbearers; packers and packagers, hand; pumping station operators; refuse and recyclable material collectors; and miscellaneous material moving workers.

PRODUCTION WORKERS: The job titles included in this category are chemical production machine setters, operators and tenders; crushing/grinding workers; cutting workers; inspectors, testers sorters, samplers, weighers;

precious stone/metal workers; painting workers;

cementing/gluing machine operators and tenders;

etchers/engravers; molders, shapers and casters except for metal and plastic; and production workers.

3) Definition of Racial and Ethnic Terms (as used in Part IV Bidder Employment Information) (Page 3)

White (not of Hispanic Origin)-All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East.

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

Hispanic- All persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin, regardless of race.

Asian or Pacific Islander- All persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands. This area includes China, India, Japan, Korea, the Philippine Islands, and Samoa.

American Indian or Alaskan Native- All persons having origins in any of the original peoples of North America, and who maintain cultural identification through tribal affiliation or community recognition.

BIDDER CONTRACT COMPLIANCE MONITORING REPORT

PART 1 – Bidder Information Company Name:

Street Address:

City & State:

Chief Executive:

Bidder Federal Employer Identification Number:

Or Social Security Number:

Major Business Activity:

(brief description)

Bidder Identification (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 is certified as above by State of CT? Yes No

Bidder Parent Company:

(If any) Other Locations in CT:

(If any)

PART II - Bidder Nondiscrimination Policies and Procedures

1. Does your company have a written Affirmative Action/Equal Employment Opportunity statement posted on company bulletin boards?

Yes No

7. Do all of your company contracts and purchase orders contain non-discrimination statements as required by Sections 4a-60 & 4a-60a Conn. Gen. Stat.?

Yes No

2. Does your company have the state-mandated sexual harassment prevention in the workplace policy posted on company bulletin boards?

Yes No

8. Do you, upon request, provide reasonable accommodation to employees, or applicants for employment, who have physical or mental disability?

Yes No

3. Do you notify all recruitment sources in writing of your company’s Affirmative Action/Equal Employment Opportunity employment policy? Yes No

9. Does your company have a mandatory retirement age for all employees?

Yes No

4. Do your company advertisements contain a written statement that you are an Affirmative Action/Equal Opportunity Employer?

Yes No

10. If your company has 50 or more employees, have you provided at least two (2) hours of sexual harassment training to all of your supervisors? Yes No N/A

5. Do you notify the Ct. State Employment Service of all employment openings with your company?

Yes No

11. If your company has apprenticeship programs, do they meet the Affirmative Action/Equal Employment Opportunity requirements of the apprenticeship standards of the Ct. Dept. of Labor?

Yes No N/A

6. Does your company have a collective bargaining agreement with workers?

Yes No

6a. If yes, do the collective bargaining agreements contain non-discrimination clauses covering all workers? Yes No

6b. Have you notified each union in writing of your commitments under the nondiscrimination requirements of contracts with the state of CT?

Yes No

12. Does your company have a written affirmative action Plan?

Yes No If no, please explain.

13. Is there a person in your company who is responsible for equal employment opportunity? Yes No If yes, give name and phone number:

Part III - Bidder Subcontracting Practices (Page 4)

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

PART IV - Bidder Employment Information Date:

JOB CATEGORY * OVERALL

TOTALS

WHITE (not of Hispanic origin) BLACK (not of Hispanic origin) HISPANIC ASIAN or

PACIFIC

ISLANDER

AMERICAN INDIAN or

ALASKAN NATIVE

Male Female

Male Female Male Female Male Female Male Female

Management

Business & Financial Ops Marketing & Sales

Legal Occupations

Computer Specialists

Architecture/Engineering

Office & Admin Support

Bldg/ Grounds Cleaning/Maintenance

Construction & Extraction

Installation , Maintenance

& Repair

Material Moving Workers

Production Occupations

TOTALS ABOVE

Total One Year Ago

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

Apprentices

Trainees

*NOTE: JOB CATEGORIES CAN BE CHANGED OR ADDED TO (EX. SALES CAN BE ADDED OR REPLACE A CATEGORY NOT USED IN YOUR COMPANY)

PART V - Bidder Hiring and Recruitment Practices (Page 5)

1. Which of the following recruitment sources are used by you?

(Check yes or no, and report percent used)

2. Check (X) any of the below listed requirements that you use as a hiring qualification

(X)

3. Describe below any other practices or actions that you take which show that you hire, train, and promote employees without discrimination

SOURCE YES NO

% of applicants provided by source

State Employment Service

Work Experience

Private Employment Agencies

Ability to Speak or 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 Organizations

Height or Weight

Others (please identify) Car…