CHRO_Documents.pdf

Good Faith Efforts Plan Long Form

Effective 10/1/2025

COVER PAGE

Company Name:

Company Address:

Telephone No.:

Facsimile No.:

Email Address:

Web Site Address:

Date Submitted:

GFE Plan Prepared by:

Name and Title of Head of Company:

This Good Faith Efforts Plan is submitted for (Name of project):

State Contract/Project No.:

Awarding Authority:

Total Contract Value:

M/W/DisBE Value as Assigned by the Awarding Authority:

SBE Value as Assigned by the Awarding Authority:

Table of Contents

Note: A Good Faith Efforts Plan (GFEP) meeting all the requirements of the following sections must be filed for each state-funded project

Note: A submission that does not adhere to this formatting may be rejected before it is reviewed. Any section that does not include a response to said section and/or its subsections herein will not be in compliance.

Section Number and Title Page Number

Section 1: Affirmative Action/Equal Employment Policy Statement

Section 2: Internal Communications

Section 3: External Communications

Section 4: Assignment of Responsibility

Section 5: Organizational Analysis

Section 6: Workforce Analysis

Section 7: Availability and Utilization Analysis

Section 8: Project Description, Timeline, and Trades Involved

Section 9: Employment Analysis

Section 10: Apprenticeship Training Program

Section 11: Subcontractor Availability Analysis

Section 12: Minority Business Enterprise Goals and Timetables

Attachment III

Section 13: Minority Business Enterprise Assistance and Innovative Programs

Section 14: Close Out Documentation Notice

Section 15: Concluding Statement

Note For All Plans Filed and Reviewed After October 1, 2025:

The Good Faith Efforts Plan (GFEP) is an updated version reflective of recent Connecticut legislation that will be effective as of October 1, 2025. Any GFEP filed after that date will no longer require submissions for the following sections:

Section 1: Affirmative Action/Equal Employment Policy Statement

Section 2: Internal Communications

Section 3: External Communications

Section 4: Assignment of Responsibility

Any plan filed prior to October 1st that is still under review by the CHRO at that time will not receive a disapproval on account of any deficiencies in these sections.

Documentation Requirements

The following documentation is required to accompany this plan submission for all plans.

Additional documentation requests may be made during the course of the review process in order to determine whether good faith efforts were made to comply with the statutory requirements:

• A copy of the bid document for the public works contract Please attach a copy of the contract’s bid document (project manual, ITB, etc.) that specifies all the trades-related work, non-trades related work, and all materials required for the work on this project. Only include the portions necessary to verify your company’s responses. Please do not provide the full document.

• DAS Supplier Diversity Certifications Please provide a copy of the Dept. of Administrative Services (DAS) Supplier Diversity Certificate for any subcontractor hired by you to work on this project.

• Bid Tabulations Please provide bid tabulations for all trade/service/material subcontracts awarded by your company on this project using the form available on our website.

https://portal.ct.gov/-/media/chro/cc-documents/bid-tabulation-worksheet-103.xlsx?rev=d144be63c1eb441a9e1e9693f4350374&hash=32E3A5B6A785E165DBC6005C7453B0EC

Section 5: Organizational Analysis

Please create an organizational chart for those employees on your day-to-day payroll. Each box should contain a job title and the name of each employee who holds that job title. Please do not attempt to fit more than four names into a box. Instead, attach a list of names for the people who hold the same job title.

Example:

I.N. Charge President

John Doe V.P. Operations

Tom Dunn Project Manager

Edna Mann Engineer

Jim Flint Project Site Manager

Sarah Straight Project Site Asst Manager

See Attached List Trade Workers

See Attached List Laborers

Sam Sharp Sale Manager

Mary Wright Assistant

Intern Seasonal

Jamie Smith V.P. Administration

Lee Peoples H.R. Manager

Keeper of Records

Charlie Trump Asst. H.R. Manager

Sue Cue Assistant

Norm Count Finance Manager

Mona Baggs Bookkeeper

Payroll Clerk Vacant

Penny Wise Accts

Payable/Receivable

Ann Funny Assistant

Ima Trainer Recruitment Coordinator

AA/EOE Officer

Sally Smart Asst. to President

Section 6: Workforce Analysis

Please fill out the attached Workforce Analysis Form in its entirety. Use the job titles listed in Section 5’s Organizational Analysis to complete the Job Title Column (first column).

To calculate the % of Females, divide the number of females in that job title by the total number of employees (add up both male and female) in that job title and multiply by 100.

To calculate Subtotal Minority Males, add up the number of males listed under Black, Hispanic, or Other Races for that job title.

To calculate % of Minority Males, divide the subtotal minority males in that job title by the total number of employees (add up both male and female) in that job title and multiply by 100.

NOTE: The job titles in this section must be identical to the job titles listed on the Organizational Analysis. Similarly, the number of names provided in the Organizational Analysis must be identical to total number of employees listed in this section.

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Section 7: Availability and Utilization Analysis

On this page of the CHRO’s format, you will find three columns. In the first column labeled Job Titles, you must list the job titles, from Sections 5 and 6 (i.e., employees on your regular day-to-day payroll), you will have working at the project site.

In the second column (labeled Number of Employee), list the number of company employees (on the day-to-day payroll and accounted for in Section 5 and Section 6) who will be on the project site. Include the job titles of the employees.

In the third column (labeled Job Category), consult the Description of Job Categories below.

For each of the job titles listed in the first column, determine the category in which that job title belongs.

The job categories (not job titles) listed in the third column and the number of employees listed on this page must correspond to the numbers listed on the next page’s Availability Worksheet. This serves to convert job titles into job categories.

It is imperative that the CHRO sees this progression of job titles and number of employees from Section 5 carry over into Section 6 and Section 7.

CONVERSION CHART

Job Title Number of Employees Job Category

NOTE: To complete Section 7, the Contractor should submit this page and the Availability Worksheet.

SAMPLE

CONVERSION CHART

Job Title Number of Employees Job Category President 1 Management Project Manager 1 Management Project Site Manager 1 Construction & Extraction Trade Workers 30 Construction & Extraction Laborer 20 Construction & Extraction

DESCRIPTION OF JOB CATEGORIES

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, cost estimators, management analysts, labor relations specialists, and budget, credit, and financial analysts.

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.

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.

OFFICE AND ADMINISTRATIVE SUPPORT: All clerical-type work is included in this category. These jobs involve the preparing, transcribing, and preserving of 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, payroll clerks, bill and account collectors, customer service representatives, files clerks, dispatchers, shipping clerks, secretaries and administrative assistants, computer operators, mail clerks, and stock clerks.

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 off bearers; packers and packagers, hand; pumping station operators; refuse and recyclable material collectors; and miscellaneous material moving workers.

PART B:

To Complete Part B: Contractors should provide the following information on the Availability Worksheet located in this plan.

1. In column 1, list each job category (not job title) from the Conversion Chart.

2. In column 2, determine how many employees within the job category will be at the project site.

3. In column 3, determine how many employees within the job category are minority males.

4. In column 4, determine the % of minority males. To do so, first divide the total minority males in that job category by the total number of employees (in column

2) within the job title. Then, multiply by 100.

5. In column 5, determine how many female employees within the job category will be at the project site.

6. In column 6, determine the % of females. To do so, divide the total minority females in that job category by the total number of employees (in column 2) within the job title. Then, multiply by 100.

7. In columns 7 and 8, insert the PMSA/MSA minority male and female percentages.

NOTE: Examples are included in this section for instructional purposes only. Your company’s plan submission should not include these pages.

AVAILABILITY WORKSHEET

STATE PROJECT NUMBER:

Circle the project location identified in Part A:

Bridgeport PMSA New London/Norwich CT-RI MSA

Danbury PMSA Stamford/Norwalk PMSA

New Haven/Meriden PMSA Waterbury PMSA

Hartford MSA Balance of State of Connecticut

JOB

CATEGORIE

S

PROJECT STATISTICS

(employees on site)

CT SITE

STATISTICS

(Insert

PMSA/MSA)

Total # of Employee s

Total # of Minorit y Males

% of Minorit y Males

Total # of Female s

% of Female s

% of Minorit y Males*

% of Females

1 2 3 4 5 6 7 8

NOTE: By comparing the % from columns 4 & 6 with the % from columns 7 & 8 within each Job Category, your company can determine whether (a) the workforce is at parity; (b) there is underutilization (i.e., the company’s % are lower than the area %); or (c) there is an overutilization (the company’s % are higher than the area %).

If your company has fewer than 25 employees who are on the day-to-day payroll and who will work at the project site, your company need not discuss the differences.

Where there is a significant difference, your company’s statement should also discuss action that the company may take to move toward greater parity within its workforce. The statement must bear the signatures of the head of the company. These signatures must be original and dated.

CONNECTICUT OCCUPATIONAL STATISTICS

PRIMARY METROPOLITAN STATISTICAL AREAS AND

METROPOLITAN STATISTICAL AREAS

OCCUPATION

CATEGORIES

BRIDGEPORT

PMSA

DANBURY

PMSA

NEW HAVEN/

MERIDEN

PMSA

HARTFORD

MSA

Minority Male Workers

Female Workers

Minority Male Workers

Female Workers

Minority Male Workers

Female Workers

Minority Male Workers

Female Workers

Management

6.5 36.7 4.5 30.4 6.9 35.5 5.4 36.9

Business & Financial Operations

6.4 51.2 3.3 44.7 4.9 52.6 4.8 54.8

Computer Specialist

14.6 30.3 14.2 25.8 13.7 29.5 9.3 33.0

Architecture & Engineering

11.6 9.3 7.4 11.1 11.4 12.4 10.1 11.6

Building & Grounds Cleaning & Maintenance

27.4 34.1 22.9 32.9 24.0 33.3 21.1 31.3

Office & Administrative Support

7.0 76.1 3.2 77.2 6.5 74.2 6.1 74.5

Construction & Extraction

22.7 1.4 18.1 2.6 17.9 3.1 13.7 2.1

Installation Maintenance & Repair

22.6 4.1 10.7 3.8 14.9 5.1 14.1 4.4

Material Moving

31.8 24.2 24.1 18.2 35.7 23.7 25.8 20.2

NOTE: Balance of State Statistics are an average of the statistics from Litchfield, Middlesex, and Windham Counties, the three counties that encompass the major areas not included within MSA or PMSA.

CONNECTICUT OCCUPATIONAL STATISTICS

PRIMARY METROPOLITAN STATISTICAL AREAS AND

METROPOLITAN STATISTICAL AREAS

OCCUPATION

CATEGORIES

NEW

LONDON/NOR

WICH CT-RI

MSA

STAMFORD/

NORWALK

PMSA

WATERBURY

PMSA

BALANCE OF

THE STATE

Minority Male Workers

Female Workers

Minority Male Workers

Female Workers

Minority Male Workers

Female Workers

Minority Male Workers

Female

Management

3.8 37.3 7.4 33.7 3.6 35.2 3.1 37.9

Business & Financial Operations

2.6 54.0 6.5 42.5 2.8 44.4 2.0 55.3

Computer Specialist

5.9 28.4 19.9 31.4 14.8 24.5 7.0 30.2

Architecture & Engineering

5.9 11.7 13.8 15.8 9.1 8.4 3.6 14.0

Building & Grounds Cleaning & Maintenance

14.4 36.7 38.4 38.1 18.6 30.8 6.4 32.6

Office & Administrative Support

2.7 75.7 8.2 74.2 5.1 73.6 2.0 76.5

Construction &

7.4 3.1 33.2 2.1 12.4 1.6 4.3 1.8

Installation Maintenance & Repair

9.5 4.2 31.4 3.1 12.4 2.8 5.3 3.0

Material Moving

14.0 20.5 38.6 29.5 25.9 26.2 8.3 23.1

NOTE: Balance of State Statistics are an average of the statistics from Litchfield, Middlesex, and Windham Counties, the three counties that encompass the major areas not included within MSA or PMSA.

SAMPLE

AVAILABILITY WORKSHEET

STATE PROJECT NUMBER ______BI-29990-BI_______________________

Circle the project location identified in Part A:

Bridgeport PMSA New London/Norwich CT-RI MSA

Danbury PMSA Stamford/Norwalk PMSA

New Haven/Meriden PMSA Waterbury PMSA

Hartford MSA Balance of State of Connecticut

JOB

CATEGORIE

S

PROJECT STATISTICS

(employees on site)

CT SITE

STATISTICS

(Insert

PMSA/MSA)

Total # of Employee s

Total # of Minorit y Males

% of Minorit y Males

Total # of Female s

% of Female s

% of Minorit y Males*

% of Females

Management 2 2 100% 0 0% 6.9% 35.5% Construction &

51 24 47% 4 7.8% 17.9% 3.1%

Section 8: Project Description, Timeline, and Trades Involved

This section of the GFEP must detail everything that will be needed to perform the work of this specific project. If the question is not relevant to the project, a response of “N/A” is acceptable.

1. In 1–3 sentences, briefly describe the project and the work involved.

2. Estimate (mm/dd/yyyy) when construction will commence. If the project has already begun, provide the actual project mobilization date (mm/dd/yyyy). Specify whether the date provided is actual or estimated.

3. Estimate (mm/dd/yyyy) when construction will be completed. If the project is complete, provide the project end date (mm/dd/yyyy). Specify whether the date provided is actual or estimated.

4. List all of the types of trades-related for which your company will be hiring a subcontractor(s). Do not provide the name of the subcontractor(s). Only identify the specific work, not the type of worker.

5. List all specific types of materials to be used for this project that your company will be purchasing. Do not provide the name of the vendor(s).

6. List all specific types of non-trades-related services to be used for this project that your company will hire a service company to provide. Do not provide the name of the company.

Ex: Portable toilets Trucking, Driver Only – No labor involved

7. List all trades-related services that will be self-performed by your company’s employees. Only identify the specific work, not the type of worker.

8. List all supplies that will be manufactured by your company for use on this project.

Section 9: Employment Analysis

PART A: After a comprehensive review of your company’s employment process, the Contractor should identify examples for each of the practices listed below for both union and nonunion personnel, as well as office and field staff.

NOTE: If any of the following company policies or practices, subtitled 1-8 in this section, are administered by the union(s) your company utilizes, then please provide a statement signed and dated by the head of your company and by your company’s AA/EOE Officer declaring the company will not knowingly do business with any union(s) that discriminates in the administration of its employment practices and/or day-to-day operations. The signatures on the statement must be original and dated.

For Questions 1 and 2 below, identify the job/position title with the most incumbent employees, and then provide the following information for this job/position title.

1. Job Qualifications – Identify the job/position incumbent’s required skills, experience, job/position-related certifications, and/or educational degrees. Also identify position specific requirements such as special license(s) (for example: a craft license, E2, OSHA 30, commercial driver’s license), and/or physical requirements of the job/position (for example: the ability to lift 30 pounds and the ability to bend and reach), and any and all other requirements related to this job/position.

2. Job Specifications – Include a brief summary of the job/position. Identify this job/position’s duties and responsibilities. Identify the position the incumbent reports to. If this job/position includes supervisory or managerial duties and responsibilities, identify the names of the job/position title(s) that report to this position.

3. Recruitment Practices –

a. How do you recruit new employees?

b. Explain in brief detail what resources your company utilizes to recruit new employees (not subcontractors/vendors). Where does your company post its vacancies to ensure a diverse group of candidates applies for the vacancy posted?

1) Provide a complete list of comprehensive and diverse recruitment resources such as newspapers, unions, technical schools, organizations, professional recruiters and other types of recruitment resources your company utilizes or will utilize in the future to post its job vacancies. Each recruitment resource listed must include its name, address, contact person, contact number, and website.

NOTE: The Connecticut Department of Labor’s American Job Centers and CTHires.com must be on this list.

4. Personnel Policies – Please attach copies of 3–4 of your company’s personnel policies from your Employee Handbook. If your company does not have an Employee Handbook then please briefly, describe 3–4 of your personnel policies, specifically compensation (e.g., salaried or hourly wages); benefits (e.g., vacations or holidays); and work environment (e.g., hours of work).

5. Job Structuring – does the company have jobs that require the tasks be performed in a specific way? For example, a material handler must grasp material by the right hand and arm, balance it on the right shoulder, and use the left hand/arm to balance the material.

6. Training and Apprenticeship Programs –

a. Does your company offer on-the-job training or participate in apprenticeship and other training programs with unions, technical schools, or other work force training programs?

Attach additional sheets, if necessary.

7. Subcontracting Practices – Please briefly explain when and how your company solicits S/M/W/DisBEs to utilize for subcontracting/vending. Provide a complete list of comprehensive and diverse subcontracting/vending sources such as newspapers, unions, technical schools, organizations, professional recruiters and other media that help members of the protected classes find work as a subcontractor/vendor. Each https://ctgovexec.sharepoint.com/sites/CHROCHRO/Shared%20Documents/7.%20AA%20CC%20Files/!Use%20These/Training%20Information%20(For%20Contractors)/Plans/portal.ct.gov/dol/Divisions/American-Job-Centers resource listed must include its name, address, contact person, contact number, and website if applicable.

NOTE: The Department of Administrative Services (DAS) Supplier Diversity Program must be included on your list.

8. Layoff and Termination Policies – Please attach a copy of your company’s layoff and termination policies from your Employee Handbook. If you do not have an Employee Handbook please briefly describe what criteria is used by your company to determine how and who is laid off and terminated? For example, does your company use the “last in, first out” approach to layoffs?

PART B: If any barrier(s) to protected classes are found in any of your company’s preceding employment practices and policies and/or day-to-day operations, then please indicate:

1. If any barriers were found within your company’s employment and business practices.

2. If so, how the barrier(s) will be eliminated, and

The estimated time needed to eliminate the barrier(s) and establish a new policy or practice.

Section 10: Apprenticeship Training Program

FOR STATE CONTRACTS VALUED IN EXCESS OF $10.0 MILLION AND A

PROJECTED DURATION OF EIGHTEEN (18) MONTHS OR MORE

A Contractor to be awarded a state contract valued in excess of $10 million and with projected duration of eighteen (18) months or more must report:

1. Whether the Company has, or is a signatory to, a collective bargaining agreement that sponsors a state registered apprenticeship program; and,

2. What “good faith effort” the Company will make to include registered apprentices in its direct workforce and/or in the workforce of project subcontractors during the course of the project.

Section 11: Subcontractor Availability Analysis

PART A: Before filling out the rest of this section, please check the DAS Supplier Diversity Program Database to confirm that every Small Business Enterprise (SBE), Minority-Business Enterprise (MBE), Women-Owned Business Enterprise (WBE), and Disabled Person-Owned Business Enterprise (DisBE) has an active certificate.

Follow this link to access the DAS Supplier Diversity Program Database.

PART B: List every SBE/MBE/WBE/DisBE subcontractor and/or vendor that your company solicited to bid on this contract, as shown in the example below.

For each subcontractor, indicate the trades-related work for which it was solicited. For each vendor, indicate the non-trades-related work or the materials for which it was solicited.

For example:

Company Name DAS- Certification Type

Type of Trade/Vendor

ABC Construction SBE Rough Carpentry Carpenter’s LLC DisBE Rough Carpentry Hard Knocks Woodwork MBE Rough Carpentry Rumor Mill MBE Mill Work The Mill Worm MBE Mill Work Piece Mill WBE Mill Work XYZ Material Suppliers WBE Hardwood Supplier Best Floor Co. DisBE Hardwood Supplier Got 2 Go SBE Portable toilets Number 1 MBE Portable toilets When Nature Call SBE Portable toilets https://ct-gateway.formverse5.com/AUTOCENESERVER/WebApp/FillFormWO.aspx?templateId=8cef7c4b-4e15-4e10-8390-2ee371bdcdff

PART C: Indicate the bid outcome for each company listed in Part B. Your company must be able to explain and document to the CHRO the reason(s) why your company did not award a subcontract to each of the companies solicited in Part B. An overly vague response, such as “Bid Received,” “Called/Left Message,” “Said Will Bid” etc., is insufficient. For those companies that you will utilize for this project, use “Awarded” as the bid result.

Company Name DAS Certification Type

Type of Trade/Vendor

ABC Construction Rough Carpentry Bid Incomplete Carpenter’s LLC Rough Carpentry Bid Too High Hard Knocks Woodwork

Rough Carpentry Bid Too High

Rumor Mill Mill Work Awarded The Mill Worm Mill Work Bid Too High XYZ Material Suppliers Hardwood Supplier Bid Too High Best Floor Co. Hardwood Supplier Declined To Bid Got 2 Go Portable toilets Declined To Bid Number 1 Portable toilets Bid Too High When Nature Call Portable toilets Scheduling

Conflict

Company Name DAS Certification Type

Type of Trade/Vendor

PART D: List all non-S/M/W/DisBE companies (i.e., companies not already accounted for in Part B & Part C) that your company will use on this project. This list must inform CHRO of all trade-related work, materials, and/or non-trades-related services that the companies listed will provide. Any company performing a specialized trade or supplying specialized materials/services must be indicated and accompanied by a letter attesting to such from (i.e., signed) by the awarding agency. See the example below.

Company Name Non-S/M/W/DisBE Companies Color Coded Painting, LLC Rough Carpentry Pristine Port-a-lets Portable toilets Boltz, Inc. High and Low Voltage

Installation*

*The electrical portion of this project is specialized and can only be performed by Boltz, Inc. Please see the attached letter verifying such, in detail, from the project manager at the awarding agency.

Company Name Non-S/M/W/DisBE Companies

Section 12: Minority Business Enterprise Goals and Timetables

On Attachment III:

• Provide all the information requested in the Attachment III.

• List all the MBEs, WBEs, and DisBEs you designated in Section 11–Part C as

“Awarded” in the top portion (“A”) of Attachment III.

• List all the SBEs you designated in Section 11–Part C as “Awarded” in the bottom portion (“B”) of Attachment III.

• Input all percentages requested in the Attachment III.

Once your company’s Plan is approved, your company may not add or delete any of the companies nor alter any of the contract values as listed on the Attachment III of your company’s approved Plan, except as follows. After your company’s Plan is approved, Attachment III may be altered only if your company submits the following items:

I) A cover letter that A) Requests acknowledgement of the change and B) Details the reason(s) why the CHRO should grant the change.

II) Documentation that verifies the reason(s) for removal or addition A) For removal: confirmation that the business is closed, a change order from the owner that eliminates a subcontractor’s portion of the project, etc.

B) For addition: a copy of the company’s current DAS S/M/W/DisBE certification;

II) A Revised Attachment III listing the date of the revision (in mm/dd/yyyy format) and incorporating the requested change.

NOTE: Upon a project’s completion, only those companies that are listed on the latest approved Attachment III, and who have maintained a current DAS Supplier Diversity certification throughout the duration of the project, will be utilized in the CHRO’s final calculations of actual goal achievement upon the project’s completion.

The CHRO encourages your company to not just meet its spending allocation goals, but to surpass them in order to ensure project circumstances (e.g., delays, change orders, decrease between estimate amount and contract amount) do not cause your company to fall below the spending allocation goals as projected in its approved Good Faith Efforts Plan.

A current copy of the DAS certificate must be attached to this section for each subcontractor/vendor listed on Attachment III. Without a current copy of each company’s valid DAS Supplier Diversity certification, the value of the contract will not be taken into account for the determination of whether your company has met its spending allocation goals.

Attachment III

A. Please identify MBE/WBE/DisBE subcontractors/vendors who will participate on the project.

Company Name

Address DAS Certification Type

(MBE/WBE/DisBE)

DAS

Certification

Expiration Date

Contract Value

Total amount of

MBE, WBE, &

DisBE contract values:

(Total amount of MBE, WBE, & DisBE contract values ÷ project value x 100)

B. Please identify SBE contractors/vendors who will participate on the project.

Company

Name Address DAS

Certification Type (SBE)

DAS

Certification

Expiration Date

Contract Value

Total amount of

SBE contract values:

Total amount of SBE contract values ÷ project value x 100=

Total amount of all contract values listed in A & B

Total amount of all contract values listed in A & B ÷ project value x 100 =

C. Please identify all non-DAS certified contractors/vendors who will participate on the project.

Company Name Address Contract Value

Total amount of non-certified companies contract values ÷ project value x 100=

Total amount of all contract values listed in A & B & C ÷ project value x 100 =

Please use additional sheets if necessary

Section 13: Minority Business Enterprise Assistance and Innovative Programs

Contractors should discuss any actions taken to help small and minority owned businesses.

This can be a formal program or it can be an informal policy, such as helping MBE and WBE complete paperwork related to state contracts or certification from DAS. Other possibilities include co-signing for rental of equipment for the project or allowing small contractors to order supplies with your discount rate.

Response:

Section 14: Close Out Documentation Notice

Please note that this section no longer requires monthly compliance forms to be filed. This is a change from the previous plan format.

Contractors are required to provide the following documentation within forty-five (45) days from the date of substantial completion. Failure to submit this documentation may result in an enforcement action being brought.

Within 45 days of substantial completion, please provide:

• Notice of Substantial Completion from the project owner.

• A full and complete list of all subcontractors/vendors/service providers awarded for the project.

• Lein waivers for all of the awarded subcontractors/vendors/service providers awarded for the project.

If you have any questions, please contact the Contract Compliance unit for assistance.

☐ I understand my obligations to provide the above documentation within forty-five (45) days of my company’s substantial completion date.

Section 15: Concluding Statement

I have read and pledge my full support to all sections of this Good Faith Efforts Plan, and that the commitments therein, are true and correct to the best of my knowledge. I pledge my “best good faith efforts” to achieve the objectives of the Plan within the established time frames.

Furthermore, this company will comply with any request by the Commission for records and documents. It understands that failure to do so may subject this company to enforcement action by the Commission.

Click or tap to enter a date.

Date Head of Company’s Signature

Printed Name and Title

Company Name Trade/Services/Material DAS Certification Date Solicitation Sent Date Bid Received Amount of Bid Awarded? Comment Example, Inc. Plumbing SBE 10/1/2025 10/16/2025 $100,000 No Bid too high ACME Co. Plumbing MBE 10/1/2025 10/15/2025 $110,000 No Bid too high Other Example Inc. Plumbing Non-Certified 9/30/2025 10/17/2025 $99,000 Yes Awarded

CHRO Bid Tabulation Worksheet

Instructions: Provide the following information for all trades, services, and materials used for the project. Include the name of the company, the type of trade/service/material being solicited for, the DAS certification (if any) that the company has as of the date this form is prepared, the date that the company was solicited to, the date the bid was received, the amount of that company's bid (if any), whether the company was awarded the contract or not, and then any additional comments regarding the solicitation. When completed, this should be submitted at the same time as the Good Faith Efforts Plan is submitted.

MONTHLY SMALL CONTRACTOR AND

MINORITY BUSINESS ENTERPRISE

PAYMENT STATUS REPORT

Month Ending _____

1) General Contractor Name

2) State Contract Number

3) State Contract Award Agency

4) Project Name 5) Estimated Completion Date ____

6) Project Value 7) Percent Completed to Date ____ (Indicate & attach all Change Orders)

8) Actual Project Mobilization Date (MM/DD/YYYY)

9) Listing of all small contractors and minority business enterprise contractors on the project to comply with contractual small business set aside provisions:

Company Name Total Contract Amount Total Payment Total Payment (Indicate & attach all this Month to Date Change Orders)

Signature of Company Official Date of Report

Printed Name and Printed Title of Person Signing

Original to: CHRO, 450 Columbus Blvd Ste 2, Hartford CT 06103 Copies to: 1) Awarding Agency

2) Contractor’s Company File

Form CHRO 258a (for projects less than 12 months or as directed by CHRO).