Dear Interested Party: Date: June 17, 2026

REQUEST FOR PROPOSALS FOR JANITORIAL SERVICES

The Connecticut Housing Finance Authority (“CHFA”) requests written proposals for janitorial services from qualified vendors with offices in the State of Connecticut. CHFA will not reimburse for any expenses incurred in connection with this Request for Proposals (“RFP”) including, but not limited to, the cost of preparing the initial response and any additional information requested or travel expenses relating to any oral presentation. Please be advised that responses will be considered property of CHFA, are matters of public record, and may be disclosed by CHFA after the awarding of a contract.

OVERVIEW

CHFA, a body politic and corporate constituting a public instrumentality and political subdivision of the State of Connecticut, was created in 1969 and operates pursuant to Chapter 134 of the Connecticut General Statutes, as amended. CHFA’s purpose is to help alleviate the shortage of affordable housing for low-income and moderate-income families and persons in Connecticut by providing single family mortgages, financing for rental housing, and mortgages for the purchase, development and construction of housing.

For additional information about CHFA, please reference CHFA’s website at www.chfa.org.

A WALK THROUGH WILL BE HELD ON TUESDAY, JUNE 30, 2026, AT 10:00 A.M.

AT 999 WEST STREET, ROCKY HILL. PLEASE SEND AN EMAIL TO

RFP.RFQ@CHFA.ORG NO LATER THAN FRIDAY, JUNE 26, 2026, IF YOU PLAN ON

ATTENDING THE WALK THROUGH.

SCOPE OF SERVICES

CHFA is seeking the janitorial services described in Exhibit A for its office building located at 999 West Street, Rocky Hill, CT. The contract term will be up to three years.

• The square footage of the building is approximately 49,356.

• The square footage of carpeting is approximately 30,000.

• CHFA has approximately 145 employees, working a hybrid work schedule.

• Scheduled janitorial shift times are Monday through Friday 5:00 p.m. to 9:00 p.m.

http://www.chfa.org/ mailto:RFP.RFQ@CHFA.ORG

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• Selected vendor will provide all cleaning products, including (glass cleaner, sanitizers, stainless steel cleaner, wax, etc.) Cleaning products used by selected vendor must follow applicable United States Environment Protection Agency and the Connecticut Department of Energy and Environmental Protection laws, guidelines, standards, and regulations.

• Material Safety Data Sheets for cleaning products are required.

• CHFA will provide paper towels, trash bags, hand soap, sanitary products, and liners.

• Selected vendor will provide all necessary equipment.

• Selected vendor may be required at any time to comply with federal, state and/or CHFA executive orders, guidelines, and protocols regarding health safeguards for workers performing work for CHFA.

• Selected vendor is responsible for performing background checks of all vendor employees, including but not limited to, criminal verification.

o Selected vendor is responsible for any and all costs related to the background process and eligibility to work in the United States.

Firms will be evaluated on the basis of their written responses to this RFP, additional written information as requested by CHFA, in person and/or virtual interviews, if any, including, but not limited to, the following criteria:

• Qualifications of firm and staffing

• Organization and approach

• Fees

• Connecticut presence

CHFA may select multiple firms for the services described herein. No selected firm is guaranteed or ensured any number of contracts or proportion of business.

REQUESTED INFORMATION

All firms must address the following issues and questions:

1. Provide a brief description of your firm, its history and main areas of business. Indicate the total number of staff and the team available to CHFA.

2. Provide a summary of the key strengths and qualifications of your firm to serve as janitorial service provider to CHFA. (Your response to this question should not exceed one page).

4. Describe your presence in Connecticut, if any, including corporate existence in

Connecticut, whether formed in Connecticut or authorized to do business in the state.

This may include, but not be limited to, information on the number of offices your firm maintains in Connecticut, the location of such offices, the number of Connecticut residents employed in those offices, and payroll and corporate taxes paid in Connecticut.

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If your firm currently is not registered with the Connecticut Secretary of State, please indicate whether your firm will register if your firm is awarded this contract.

5. Include any participation by your firm in any civic or other non-profit activities, including any charitable contributions that your firm made in Connecticut.

6. Please provide an annual fee for the services listed on Exhibit A as well as an hourly fee for additional services not included in Exhibit A or that may be necessary from time to time.

7. Provide, in tabular form, information on the employee composition of your firm indicating the total number of employees and the total number and percentages of minorities and women employed and their titles.

8. Describe any and all material lawsuits, legal or administrative proceedings or governmental investigations, criminal actions or law enforcement activities (including those by federal, state or local authorities, or self-regulatory organizations) or non-routine inquiries or investigations relating to you, your firm, or any of your affiliates, including any proceedings to which you, your firm, your affiliates or any of their respective officers, directors or employees are a named party or of which any of such has been the focus, that have occurred in the last three (3) years or that are currently threatened, including whether you, your firm, or any of your affiliates, or their respective officers, directors or employees have been censured by any regulatory body. Describe any such circumstances and advise whether these investigations or proceedings will affect you or your firm’s ability to complete the proposed transaction and perform the services in this

RFP.

9. Describe whether you foresee any potential conflicts of interest arising from providing janitorial services. If so, describe how your firm would address potential conflicts of interest.

10. Has your firm ever been removed from an account prior to the expiration of its contract

(i.e., been fired)? If so, please explain. If you wish, list the name of a third party with whom the Authority could discuss this termination.

11. Describe your firm's knowledge of and past experience with CHFA.

12. Please provide as references, a minimum of three clients for whom your firm has performed similar and substantial services. Please include the name of the person to contact, his or her phone number and email address. Please include as references any other State of Connecticut agencies or departments that have engaged your firm to perform services.

13. Selected persons or firms must comply with CHFA and State Ethics requirements, laws and regulations. Persons or firms seeking to do business with CHFA are required to comply with the ethics statement, attached hereto on Exhibit C, and the applicable

-- 4 --provisions of the Code of Ethics and Code of Ethics for Lobbyists incorporated therein by reference.

14. An authorized signatory of any firm submitting qualifications or proposals is required to execute and submit with the proposals, qualifications and with any agreement or contract awarded in accordance herewith all applicable representations and certifications set forth on Exhibit B, attached hereto and made a part hereof, regarding:

• Gift and Campaign Contributions; Connecticut General Statutes §4-252

• Entities Making Investments in Iran; Connecticut General Statutes §4-252a

• Nondiscrimination; Connecticut General Statutes §4a-60 & Connecticut General Statutes §4a-60a

• Consulting Agreements; Connecticut General Statutes §4a-81

• Campaign Financing Contributions; Connecticut General Statutes §9-612

All of the above are attached and incorporated herein on Exhibit D.

15. What is the most important question that we haven’t asked you? Why should CHFA hire your firm instead of another firm?

FREEDOM OF INFORMATION ACT

Please be advised that all information submitted in a proposal or in response to a request for additional information is subject to disclosure under the Connecticut Freedom of Information Act, as amended and judicially interpreted. If a firm believes that its response contains financial, trade secrets or other data that it claims should not be public (“Confidential Information”), the firm must identify specifically the pages and portions of its proposal or additional information that contain the claimed Confidential Information by visibly marking all such pages and portions.

An entire response marked Confidential Information will not be accepted. If CHFA receives a request for an applicant’s Confidential Information, it will use its best efforts to notify the firm of such request and provide the applicant with a copy of any written disclosure request, provided, CHFA will not be liable to the firm or any other party for any failure to act as described herein.

The firm may provide written consent to the disclosure or may object to the disclosure by notifying CHFA in writing, identifying in the notice the basis for its objection, including the appropriate statutory exemption(s) from disclosure. The firm shall be responsible for defending any complaint brought in connection with the nondisclosure, including, but not limited to, appearing before the Freedom of Information Commission, providing witnesses and documents as appropriate, and for payment of CHFA’s costs and expenses, including attorney fees.

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SUBMISSION OF RESPONSES

The following requirements must be observed in the preparation and submission of a proposal:

1. All inquiries should be directed to Shelly Mondo at RFP.RFQ@chfa.org no later than

Friday July 10, 2026. Firms submitting a proposal should not contact members of the CHFA’s Board of Directors or CHFA staff, which may be grounds for elimination from consideration.

2. The entire proposal must not exceed 20 single-sided pages, exclusive of cover letter and exhibits.

3. Submissions must be sent electronically (not to exceed 25 MB) to RFP.RFQ@chfa.org no later than 4:00 p.m. on July 28, 2026. Faxed responses will not be considered.

4. Responses must include a cover letter signed by an individual authorized to enter into an agreement with CHFA on behalf of the firm which shall specify that the firm is responding to the RFP/Q for janitorial services. Please also remember to include completed Exhibit B (Representations and Certifications), and Exhibit C (OPM Form 1 and SEEC Form 10).

5. Selected firms must comply with all state and federal laws applicable to CHFA including, but not limited to, ethics requirements, laws, procedures and regulations and must execute CHFA statutory provisions, certifications and affidavits attached hereto.

CHFA reserves the right to:

a. Reject any and all proposals received in response to this request;

b. Modify the proposed Scope of Services at its discretion;

c. Negotiate the fees contained in any proposal;

d. Waive or modify any irregularities in proposals received;

e. Award contracts in any manner necessary to serve the best interest of CHFA and the State of Connecticut, without obligation to accept a proposal based upon the lowest fee schedule; and

f. Request additional information as determined necessary or request some or all firms responding to make oral presentations.

mailto:RFP.RFQ@chfa.org mailto:RFP.RFQ@chfa.org

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Each approved firm will execute a contract satisfactory to CHFA and will agree that it will comply with the provisions of Connecticut General Statutes applicable to contracts with CHFA including, but not limited to, nondiscrimination and affirmative action provisions.

Selected firms firm will also be required to provide evidence of the firm's general liability, auto, workers’ compensation, and umbrella coverage in the amounts listed on Exhibit D. Failure to comply with the requirements of this RFP may result in CHFA’s rejection of a proposal.

Thank you for your interest in the Connecticut Housing Finance Authority.

The Connecticut Housing Finance Authority is an Affirmative Action/Equal Opportunity Employer.

Exhibit A

Specifications for Cleaning/Janitorial Services:

1. EXECUTIVE AREA

Nightly:

• Empty all waste and recycling baskets and remove to trash/recycling handling area.

• Dust and clean all horizontal surfaces of desks, chairs, and tables.

• Dust and clean all conference room tables and countertops, free of food and fingerprints.

• Clean by damp wiping all fingerprints, edgework of all windows, smears, and smudges on walls, doors, frames, kick and push plates, handles, light switches, and glass surfaces.

• Vacuum all exposed carpeting and difficult areas such as under desks, tables, and counters. Special attention shall be given to edge work and corners.

Weekly:

• Vacuum all closets in executive offices.

• Clean and polish furniture in executive offices as needed.

• Remove chairs from walls in all conference rooms and vacuum.

• Sanitize all common touch points (e.g., doorknobs/handles, light switches)

• Dust all surfaces, including windowsills, moldings, ledges, shelves, frames, baseboards, partitions, etc.

Monthly:

• Clean and sanitize microwaves and refrigerators.

• Dust all pictures, frames, charts, graphs, and similar wall hangings.

• Dust and wipe clean all chairs and bottoms, including all conference rooms.

Quarterly:

• Dust or vacuum light fixtures and other surfaces not reached in nightly cleaning.

• Damp wipe to remove dirt.

• Dust window blinds.

• Clean inside office window glass.

2. GENERAL OFFICE AREA

Nightly:

• Empty all waste and recycling baskets and remove to trash/recycling handling area. (Bags are supplied by owner.)

• Clean by damp wiping all fingerprints, smears, and smudges on walls, doors, frames, kick and push plates, handles, light switches, and glass surfaces.

• Vacuum traffic lanes and soiled carpet surfaces.

• Clean and polish furniture in offices as needed.

• Vacuum all exposed carpeting and difficult areas such as under desks, tables, and counters. Special attention shall be given to the edge work and corners.

• Dust all horizontal surfaces of desks, chairs, and tables.

• Dust all surfaces, including windowsills, moldings, ledges, shelves, frames, baseboards, partitions, etc.

• Sanitize all commons touch points (e.g., doorknobs/handles, light switches, printers and copiers in common areas)

Monthly:

• Dust all pictures, frames, charts, graphs, and similar wall hangings.

• The floors outside the elevators should be stripped and waxed to a shine with a non-skid wax and buffed.

• Dust or vacuum light fixtures and other surfaces not reached in nightly cleaning.

Damp wipe to remove dirt.

Semi-Annually:

• Dust window blinds.

• Clean interior office glass, in addition to inside of windows looking out.

3. RESTROOM CLEANING:

• Clean and polish all chrome/brass fittings and bright work, including shelves, flushometers, metal dispensers and trash receptacles.

• Clean and sanitize both sides of every toilet seat with a germicidal solution.

• Clean, sanitize, and polish fixtures, including toilet bowls, urinals, and sinks using a germicidal detergent solution.

• Clean and polish all mirrors and glass.

• Dust and clean all toilet partitions, tile walls, dispensers, and receptacles.

• Empty all disposal receptacles, inserting liners as needed.

• Refill all dispensers; including soap, hand towels, liners, etc. (supplies to be furnished by owner).

• Remove spots, stains, and splashes from wall areas.

• Wash and sanitize exterior of all containers.

• Wash and rinse all floors thoroughly, using a germicidal detergent solution as required by owner. Mop wastewater to be disposed of in janitor’s sink only.

• Wash and sanitize all partitions, doors, tile walls, and enamel surfaces.

• Machine scrub and rinse all floor surfaces.

4. LOBBY AREA

• Sweep and damp mop floors.

• Clean all interior and exterior glass in lobby and vestibule.

• Sanitize common touch points (e.g., doorknobs/handles, light switches)

• Vacuum rug runners. Shake or vacuum traffic mats.

• Dust lights, pictures, and window frames to ensure freedom from webs and unsightly dust.

Weekly:

• Dust all furniture.

• Dust lights, pictures, and window frames to ensure freedom from webs and unsightly dust.

Monthly:

• Wash all floor surfaces including any corridors.

• Vacuum lobby furniture.

• Scrub and wax floor with non-skid wax and buff.

5. ELEVATORS

• Vacuum all carpeting, especially edges and corners.

• Inspect carpet for spots and stains, removing where possible.

• Vacuum door saddles and wipe down with cleaner.

• Wipe and sanitize interior of elevator cabs and call buttons.

• Clean walls and bright work in elevators.

• Clean light fixtures, fan grills and saddles in elevators.

6. STAIRS

• Dispose of litter.

• Dust and sanitize rails.

• Sweep or vacuum stairs on Monday, Wednesday, and Friday.

• Wet mop.

7. KITCHENS

• Clean and sanitize counters and sink area.

• Wipe and sanitize all tables and chairs.

• Empty all receptacles and replace liners.

• Empty all coffee pots and leave clean.

• Clean all microwaves.

Monthly:

• Clean and sanitize all refrigerators, only leaving the creamers inside the drawers, everything else is to be tossed.

• The floors in the kitchen on the second floor should be stripped and waxed to a shine with a non-skid wax and buffed.

8. RECYCLING

• Empty all recycling receptacles and move to recycling containers in trash/recycling handling area.

Notes about CHFA’s Dumpster Area:

• A dumpster for trash is located in the front of the waste area. It is emptied approximately once every other week.

• A dumpster for cardboard & recycling is located behind the trash dumpster and is emptied approximately once a month. All cardboard must be broken up and flattened. All recycling must be put in without plastic bags.

All trash is to be separated as noted above.

9. CARPET CLEANING

Semi-Annually:

• Pre-inspection:

o Inspect the carpet for stains, damage, and wear.

o Assess carpet fiber type to determine the appropriate cleaning solution.

o Identify high-traffic areas and special treatment spots.

• Furniture moving:

o Move light furniture (e.g. chairs, mats), as needed, to access the carpet.

o Replace furniture after cleaning.

• Pre-Vacuuming:

o Thoroughly vacuum entire carpeted areas to remove loose soil and debris before wet cleaning.

• Pre-Treatment:

o Apply specialized cleaning solution or pretreatment to spots, stains, and heavily soiled areas to break down oil and stains for more effective extraction.

• Hot-Water Extraction Process:

o Using a professional-grade hot water extraction machine, inject hot water and cleaning solution deep into carpet fibers.

o Extract water, solution, and loosened dirt using powerful suction, ensuring minimal moisture is left in the carpet.

• Post-Treatment for Stains:

o Re-treat any persistent stains after extraction with a spot-treatment solution for target stubborn stains that were not fully removed in the initial pass.

• Post-Cleaning Instructions:

o Provide CHFA with guidance on how long the carpet needs to dry.

o Offer recommendations on when it is safe to resume normal use.

• Miscellaneous:

o Contractor is responsible for providing all equipment and supplies to complete the services.

o Contractor shall comply with all state and federal regulations, laws and guidelines regarding cleaning supplies.

Exhibit B

Representations and Certifications

Request for Proposals: Janitorial Services

Proposer: _______________________________________

Submission Date: _________________, 2026

Ethics. Proposer hereby acknowledges receipt of the CHFA Ethics Statement and hereby represents, warrant and certifies to CHFA that throughout the term of any contract or agreement awarded in connection with the Request for Qualifications, the Proposer will comply with the applicable requirements of Chapter 10 of the Connecticut General Statutes, as amended.

Gift and Campaign Contributions; Connecticut General Statutes §4-252. Notice: CHFA shall not award or enter into any contract or agreement with Proposer if Proposer fails to make and comply with the representation requirements set forth in Connecticut General Statutes §4-252. Proposer hereby represents, warrants and certifies to CHFA that:

(1) no gifts were made by: (A) Proposer, (B) any principals and key personnel of Proposer, who participate substantially in preparing bids, proposals, qualifications, or negotiating state contracts, or (C) any agent of Proposer or principals and key personnel, who participate substantially in preparing bids, proposals, qualifications or negotiating state contracts to (i) any public official or employee of CHFA soliciting bids, proposals or qualifications for a contract, who participates substantially in preparation of bid solicitations or requests for proposals or qualifications for a contract or the negotiation or award of a contract, or (ii) any public official or state employee of any other state agency who has supervisory or appointing authority over

CHFA;

(2) no such principals and key personnel of Proposer or agent of Proposer or principals and key personnel, knows of any action by Proposer to circumvent such prohibition on gifts by providing for any other principals and key personnel, official, employee or agent of Proposer to provide a gift to any such public official or state employee; and

(3) Proposer is submitting bids, proposals or qualifications without fraud or collusion with any person.

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Entities Making Investments in Iran; Connecticut General Statutes §4-252a. Proposer hereby represents, warrants and certifies to CHFA that Proposer has not made a direct investment of twenty million dollars or more in the energy sector of Iran on or after October 1, 2013, as described in Section 202 of the Comprehensive Iran Sanctions, Accountability and Divestment Act of 2010 and Proposer has not increased or renewed such investment on or after said date. Notice: CHFA shall not enter into any contract or agreement with Proposer if Proposer fails to make and comply with the certification requirements set forth in Connecticut General Statutes §4-252a.

Nondiscrimination; Connecticut General Statutes §4a-60 & Connecticut General Statutes §4a-60a. Proposer hereby represents, warrants and certifies to CHFA that the Proposer has a policy in place that complies with, and will remain in compliance with throughout the term of any contract or agreement awarded in connection with the Request for Proposals or Qualifications, to the extent applicable, the nondiscrimination requirements and warranties set forth in Connecticut General Statutes §4a-60(a)(1) and §4a-60a(a)(1), as amended.

CHFA shall not award or enter into any contract or agreement with Proposer if

Proposer has not included the nondiscrimination affirmation provision in the contract and otherwise complied with the requirements set forth in Connecticut General Statutes §4a-60 & §4a-60a.

Consulting Agreements; Connecticut General Statutes §4a-81. Notice: CHFA shall not enter into any contract or agreement with Proposer if Proposer fails to make and comply with the representation requirements set forth in Connecticut General Statutes §4a-81. Proposer hereby represents, warrants and certifies to CHFA that, to the extent any agreement or contract awarded in connection with the Request for Proposals or Qualifications has a total value of fifty thousand dollars or more in any calendar or fiscal year, no consulting agreement (as such term is defined in Connecticut General Statutes §4a-81(b)*) has been entered into in connection with such agreement or contract, except as follows:

(PLEASE CHECK APPROPRIATE BOX)

□ No Consulting Agreements

OR

□ Itemized Consulting Agreements, as follows:

(For each consultant, please list the name of the consultant, the consultant's firm, the basic terms of the consulting agreement, a brief description of the services provided, and an indication as to whether the consultant is a former state employee or public official. If the consultant is a former state employee or public official, indicate his or her former agency and the date such employment terminated)

1. ____________________________________________________________

2. ____________________________________________________________

3. ____________________________________________________________

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*“consulting agreement” means any written or oral agreement to retain the services, for a fee, of a consultant for the purposes of (A) providing counsel to a contractor, vendor, consultant or other entity seeking to conduct, or conducting, business with the state, (B) contracting, whether in writing or orally, any executive, judicial, or administrative office of the state, including any department, institution, bureau, board, commission, authority, official or employee for the purpose of solicitation, dispute resolution, introduction, requests for information, or (C) any other similar activity related to such contracts and “consulting agreement” does not include any agreements entered into with a consultant who is registered under the provisions of chapter 10 of the Connecticut General Statutes as of the date such affidavit is submitted in accordance with the provisions of §4a-81 of the Connecticut General Statutes.

Campaign Financing Contributions; Connecticut General Statutes §9-612(f) & (g).

Proposer has delivered to CHFA a completed SEEC Form 10 Notice in accordance with Connecticut General Statutes §9-612(g)(1), a copy of which can be obtained at the following internet link: https://seec.ct.gov/Portal/data/forms/ContrForms/seec_form_10_final.pdf

Proposer hereby represents, warrants and certifies to CHFA:

(1) that Proposer has received a copy of the written notice advising state contractors and prospective state contractors of the contribution and solicitation prohibitions set forth in Connecticut General Statutes §9-612(f)(2)(A) & (B);

(2) that the Proposer has not made any contributions to, or solicited any contributions on behalf of, any party committee, exploratory committee, candidate for state-wide office 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 violation of Connecticut General Statutes §9-612(f)(2)(A) & (B) without mitigating circumstances having been found to exist concerning such violation; and

(3) Proposer’s chief executive officer or authorized signatory of this Request for Proposals or Qualifications submission has completed and delivered to CHFA the State of Connecticut Campaign Contribution Certification in accordance with Connecticut General Statutes §9-612, set forth on Exhibit C, attached hereto and made a part hereof.

Notice: CHFA shall not enter into any contract or agreement with Proposer if Proposer fails to make and comply with the representation requirements set forth in Connecticut General Statutes §9-612.

Each approved firm agrees that it will execute a contract satisfactory to CHFA which includes representations and certifications, similar to those agreed upon herein, to comply with the provisions of Connecticut General Statutes applicable to contracts with CHFA.

Notice: All representations, warranties and disclosures contained above are sworn as true to the best knowledge and belief of the below authorized signatory and any false statements made herein are punishable under the penalty for false statement set out in §53a-157b of the Connecticut General Statutes.

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PROPOSER:

[ENTITY NAME]

By:_________________________________ Name:

Title:

Sworn and subscribed before me on this day of , 2026.

Notary Public/Commissioner of the Superior Court

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

Exhibit C

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

SEEC FORM 10

CONNECTICUT STATE ELECTIONS ENFORCEMENT COMMISSION

Rev. 07/18

Notice to Executive Branch State Contractors and Prospective State

Contractors of Campaign Contribution and Solicitation Limitations

Acknowledgement of Receipt of Explanation of Prohibitions for Incorporation in Contracting and Bidding Documents

This notice is provided under the authority of Connecticut General Statutes § 9-612 (f) (2) and is for the purpose of informing state contractors and prospective state contractors of the following law (italicized words are defined on the reverse side of this page).

CAMPAIGN CONTRIBUTION AND SOLICITATION LIMITATIONS

No state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor, with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-public agency or a holder, or principal of a holder, of a valid prequalification certificate, shall make a contribution to (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of Governor, Lieutenant Governor, Attorney General, State

Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee (which includes town committees).

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

On and after January 1, 2011, no state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor, with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-public agency or a holder, or principal of a holder of a valid prequalification certificate, shall knowingly solicit contributions from the state contractor’s or prospective state contractor’s employees or from a subcontractor or principals of the subcontractor on behalf of (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of Governor, Lieutenant

Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee.

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

Contributions or solicitations of contributions made in violation of the above prohibitions may result in the following civil and criminal penalties:

Civil penalties—Up to $2,000 or twice the amount of the prohibited contribution, whichever is greater, against a principal or a contractor.

Any state contractor or prospective state contractor which fails to make reasonable efforts to comply with the provisions requiring notice to its principals of these prohibitions and the possible consequences of their violations may also be subject to civil penalties of up to $2,000 or twice the amount of the prohibited contributions made by their principals.

Criminal penalties—Any knowing and willful violation of the prohibition is a Class D felony, which may subject the violator to imprisonment of not more than 5 years, or not more than $5,000 in fines, or both.

In the case of a state contractor, contributions made or solicited in violation of the above prohibitions may result in the contract being voided.

In the case of a prospective state contractor, contributions made or solicited in violation of the above prohibitions shall result in the contract described in the state contract solicitation not being awarded to the prospective state contractor, unless the State Elections Enforcement

Commission determines that mitigating circumstances exist concerning such violation.

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

DUTY TO INFORM

PENALTIES FOR VIOLATIONS

CONTRACT CONSEQUENCES

Rev. 07/18

DEFINITIONS

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

“Prospective state contractor” means a person, business entity or nonprofit organization that (i) submits a response to a state contract solicitation by the state, a state agency or a quasi-public agency, or a proposal in response to a request for proposals by the state, a state agency or a quasi-public agency, until the contract has been entered into, or (ii) holds a valid prequalification certificate issued by the Commissioner of Administrative Services under section 4a-100.

“Prospective state contractor” does not include a municipality or any other political subdivision of the state, including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or an employee in the executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full or part-time, and only in such person’s capacity as a state or quasi-public agency employee.

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

“State contract” means an agreement or contract with the state or any state agency or any quasi-public agency, let through a procurement process or otherwise, having a value of fifty thousand dollars or more, or a combination or series of such agreements or contracts having a value of one hundred thousand dollars or more in a calendar year, for (i) the rendition of services, (ii) the furnishing of any goods, material, supplies, equipment or any items of any kind, (iii) the construction, alteration or repair of any public building or public work, (iv) the acquisition, sale or lease of any land or building, (v) a licensing arrangement, or (vi) a grant, loan or loan guarantee. “State contract” does not include any agreement or contract with the state, any state agency or any quasi-public agency that is exclusively federally funded, an education loan, a loan to an individual for other than commercial purposes or any agreement or contract between the state or any state agency and the United States Department of the Navy or the United States Department of Defense.

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

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

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

“Solicit” means (A) requesting that a contribution be made, (B) participating in any fundraising activities for a candidate committee, exploratory committee, political committee or party committee, including, but not limited to, forwarding tickets to potential contributors, receiving contributions for transmission to any such committee, serving on the committee that is hosting a fundraising event, introducing the candidate or making other public remarks at a fundraising event, being honored or otherwise recognized at a fundraising event, or bundling contributions, (C) serving as chairperson, treasurer or deputy treasurer of any such committee, or (D) establishing a political committee for the sole purpose of soliciting or receiving contributions for any committee. “Solicit” does not include (i) making a contribution that is otherwise permitted under this chapter, (ii) informing any person of a position taken by a candidate for public office or a public official, (iii) notifying the person of any activities of, or contact information for, any candidate for public office, (iv) serving as a member in any party committee or as an officer of such committee that is not otherwise prohibited in this subdivision, or (v) mere attendance at a fundraiser.

“Subcontractor” means any person, business entity or nonprofit organization that contracts to perform part or all of the obligations of a state contractor’s state contract. Such person, business entity or nonprofit organization shall be deemed to be a subcontractor until December thirty-first of the year in which the subcontract terminates. “Subcontractor” does not include (i) a municipality or any other political subdivision of the state, including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or (ii) an employee in the executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full or part-time, and only in such person’s capacity as a state or quasi-public agency employee.

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

Rev. 07/18

ACKNOWLEDGEMENT OF RECEIPT

SIGNATURE DATE (mm/dd/yyyy)

NAME OF SIGNER

TITLE

COMPANY NAME

First Name MI Last Name Suffix

Additional information may be found on the website of the State Elections Enforcement Commission, www.ct.gov/seec

Click on the link to “Lobbyist/Contractor Limitations”

Connecticut Housing Finance Authority Insurance Requirements for Contractors or Vendors

Page 1 of 3 Rev. 1/22

Instructions: CHFA Insurance Requirements

All contractors and vendors are required to provide proof of the required insurance coverage before entering the premises or commencing any work at any CHFA facility. Contractors and vendors must obtain, at their own expense, all the insurance required here, and acceptable evidence of such insurance must be properly furnished to, and approved by, CHFA.

All subcontractors are subject to the same requirements. It is the responsibility of the primary contractor or vendor to obtain acceptable evidence of insurance from subcontractors.

CHFA also requires that they be named as an additional insured on your general liability policy(ies). Your general liability policy must be endorsed with ISO Endorsement CG 20 10 (or equivalent) or ISO Endorsement CG 20 26 (or equivalent), and ISO Endorsement CG 20 37 (or equivalent) if so required. These form numbers must be specifically referenced on the certificate of insurance. If your insurance company uses a different form to provide CHFA with additional insured status on your policies, copies of those forms must be provided in advance with the insurance certificate for review and approval by CHFA. All coverage must be primary as to CHFA.

The proper name for the entity to be named as additional insured is: “Connecticut Housing Finance Authority, and/or related or affiliated entities.”

Evidence of compliance with these requirements is with the ACCORD form 25, “Certificate of Liability Insurance”, with 30 day notice of cancellation, plus copies of any required additional insured endorsements. Certificates should be sent to:

Connecticut Housing Finance Authority, Attention: Shelly Mondo, 999 West St., Rocky Hill, CT 06067. Tel.: (860) 721-9501.

Current insurance certificates must be furnished to CHFA at all times. Replacement certificates must be furnished prior to the expiration or replacement of referenced policies.

Exhibit D

Page 2 of 3 Rev. 1/22

Required (if checked)

Type of Insurance Standard Requirement

√ Commercial General Liability

Contractors or service vendors:

$1,000,000 per occurrence/ $2,000,000 aggregate bodily injury/property damage.

The CGL policy must include coverage for:

• liability from premises and operations.

• liability from products or completed operations.

• liability from actions of independent contractors.

• liability assumed by contract.

All coverage provided to CHFA under this section must be primary.

CHFA must be named as “additional insured” on your CGL policy with ISO form CG 20 10 or CG 20 26 or equivalent

CHFA must also be named as “additional insured” on your CGL policy with form CG 20 37 or equivalent

The Aggregate limit must apply per job/project.

Products/completed operations must be carried for 2 years after completion of job/acceptance by owner.

√ Automobile Liability

$1,000,000 per accident for bodily injury/property damage, including hired & non-owned vehicles

Workers' Compensation

Employers Liability

Statutory coverage in compliance with compensation laws of the State of Connecticut.

$100,000 each accident, $500,000 Disease – Policy limit $100,000 each employee per policy period

√ Umbrella Liability

$1,000,000 Excess over underlying limits described above.

Professional Liability

$1,000,000 per claim/ $1,000,000 aggregate

Cyber Liability

$1,000,000 per occurrence/$1,000,000 aggregate

Page 3 of 3 Rev. 1/22

Insurance Requirements

Contractors or vendors working for and/or doing business with the Connecticut Housing Finance Authority (CHFA), or using CHFA facilities, shall agree as a condition of acceptance to furnish and perpetually maintain, at their own expense, for the duration of any project, work, contract or use of CHFA facilities the following policies of insurance covering the following items. Insurance must be primary and endorsed to be noncontributory by CHFA, must be written in an insurance company A.M. Best rated as “A-VII” or better, and CHFA must be endorsed to the policy as an additional insured (except Worker’s Compensation) unless this requirement is specifically waived in writing by CHFA. Contractors further agree that any subcontractor they intend to use on CHFA assigned work will be required to submit to the same indemnity and insurance requirements contained in this schedule. Contractor shall obtain insurance certificates stating that both Contractor and CHFA shall be endorsed to the subcontractor’s insurance policies as additional insured.

Indemnification

The contractor/vendor shall save harmless, indemnify, and in the event of claim, notification or suit will immediately defend CHFA and any related or subsidiary entities, their officers, employees and volunteers, from and against all loss, costs, damage, expense, claims or demands arising out of or caused or alleged to have been caused in any manner by the performance of work or use of facilities herein provided, including all suits, claims or actions of every kind or description brought against the CHFA either individually or jointly with the entity or organization for or on the account of any damage or injury to any person or persons or property, including the entity or organization’s employees or their property, caused or occasioned, or alleged to have been caused or occasioned in whole or in part by the entity…