OFFICE OF THE STATE COMPTROLLER

REQUEST FOR PROPOSAL

WORKERS’ COMPENSATION ACTUARIAL SERVICES AND REPORTING

JUNE 15, 2026

I. STATEMENT OF OBJECTIVES

The purpose of this Request for Proposal (the “RFP”) is to obtain professional services from a vender to produce an annual loss reserve amount for the State’s Workers Compensation Fund.

II. BACKGROUND

The Office of the State Comptroller (“OSC”) issues this Request for Propoal to procure actuarial services to prepare an annual loss reserve report for the State of Connecticut’s Workers Compensation Fund. The information in this report will be used to, among other things, report required information in the State’s

Annual Comprehensive Financial Statements to comply with relevant accounting standards.

III. SCOPE OF SERVICE

The OSC wishes to contract with a vendor to produce an annual loss reserve amount for the State’s

Workers Compensation Fund. The calculation of the annual loss reserve amount must comply with the requirements of Generally Accepted Accounting Principles (“GAAP”), as established by the Government

Accounting Standards Board (“GASB”).

The loss reserve must be calculated by department, and the annual actuarial report must contain the following information: (1) a scope of the review including any relevant assumptions or limitations applied in calculating the loss reserve; (2) a range of loss and allocated loss adjustment expense reserves based on current data for the self-insured workers’ compensation program by department and in total; (3) comparisons to prior year loss reserves by department and in total; and (4) an actuarial report which includes findings and recommendations with specific emphasis on departmental detail containing a summary of data and methodologies used in performing the reserve analysis.

The contractor shall provide a range of reserve estimates, which consists of: (1) case reserve on reported claims; (2) additional development on these case reserves; (3) pure “incurred by not reported claims”; (4) reopened claims; and (5) claims in transit.

The contractor shall perform a separate review of the following agencies in order to isolate which contain higher than average loss exposure and to group similar agencies to generate greater statistical credibility:

• Department of Emergency Services and Public Protection

• Department of Developmental Services

• Department of Mental Health

• Department of Transportation

• Department of Children and Families

STATE OF CONNECTICUT OFFICE OF THE STATE COMPTROLLER

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• Department of Corrections

• University of Connecticut

• University of Connecticut Health Center

• Board of Regents for Higher Education

• Judicial Department

• General Government

The contractor review shall be performed separately by indemnity, medical, and expense loss types. The contractor shall also use the following actuarial methodologies to estimate reserves for unpaid losses between July 1, 1985 and the applicable evaluation date: (1) paid loss development; (2) incurred loss development; (3) paid Bornhuetter-Ferguson; and (4) incurred Bornhuetter-Ferguson.

The contractor shall review the State’s claim frequency and severity trends and compare them to industry average and provide a graphical summary of each department’s loss rates, severity, and frequency over a

15+ year period.

IV. SELECTION CRITERIA

Each proposal will be evaluated by a screening committee against the following criteria to determine which vendor is most capable of implementing the state’s requirements.

• Vendor’s ability to perform the specified work.

• Vendor’s understanding of the project and its purpose and scope, as evidenced by the proposed approach and level of effort detailed in the proposal.

• Competitiveness of the proposed cost.

• Availability and competence or the vendor’s assigned personnel.

• Conformity with the specifications of this request for proposals.

• Demonstration of commitment to Affirmative Action by full compliance with the regulations of the

Connecticut Commission on Human Rights and Opportunities.

• Presentation to the screening committee, if necessary.

The evaluation committee will evaluate firms based on their responses to this RFP and possibly oral interviews. Additional written information may be requested by the State. The goal of the evaluation will be to select the best combination of qualifications, relevant experience, and cost. The evaluation committee will also consider the following non-exclusive factors in making the determination:

V. SELECTION PROCESS AND SCHEDULE

06/15/2026 Release of RFP

06/29/2026 Proposer Questions, if any, due at osc.rfp.@ct.gov

07/08/2026 Answers to vendor questions released

07/24/2026 2pm ET Proposals Due

Proposal Review and Proposer Selection Schedule:

08/12/2026 Tentative Finalist Interviews, if necessary mailto:osc.rfp.@ct.gov

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09/01/2026 Contract awarded date

01/01/2027 Begin implementation date

Proposal Submission Requirements:

A. Proposal Questions

From the date the State issues this RFP until the date that it awards the Contract to the successful proposer, interested parties should not contact any employee of the State of Connecticut for additional information concerning this RFP, except in writing via email to the following address: osc.rfp@ct.gov.

Interested parties should submit questions no later than June 29, 2026. Late questions may not receive answers. The State will answer all questions in the form of one or more addenda to this RFP and will post them on the Comptroller’s website at http://www.osc.ct.gov/vendor/index.html.

B. Submission Requirements and Deadlines

One (1) digital copy of the Proposer’s responses and attachment must be in PDF format and delivered via e-mail no later than 2pm ET on July 24, 2026. Responses and attachments received after this date and time will not be evaluated. A facsimile response will not qualify as a “submission.”

Responses and all attachments should be delivered via email to: osc.rfp@ct.gov.

C. Submission of Proposals:

To be considered, all submissions must contain the following information:

a. All proposals must address all the requirements listed in the prescribed order in Section D below;

b. All information and completed forms attached to this RFP;

c. The Connecticut Department of Administrative Services (“DAS”) has implemented a requirement that all firms seeking to do business with the State must register their business on CTSource.

d. The portal for registering your business is accessible at https://portal.ct.gov/DAS/CTSource/CTSource. Respondents must register with the State of CT contracting portal at https://portal.ct.gov/DAS/CTSource/Registration if not already registered.

e. Respondents shall submit the following information pertaining to this application to this portal

(on their supplier profile), which will be checked by the Agency contact:

1. Secretary of State recognition – Click on appropriate response

2. Non-profit status, if applicable • Notification to Bidders, Parts I-V

3. Campaign Contribution Certification (OPM Ethics Form 1): https://portal.ct.gov/OPM/Fin-

PSA/Forms/Ethics-Forms (must be signed, dated, notarized, and uploaded to CTSource in accordance with the instructions on the User Guide. Firms will have the ability to view, verify and update their information by logging into their CTSource account, prior to submitting responses to an RFP. The guide to using CTSource appears at https://portal.ct.gov/-

/media/DAS/CTSource/Documents/CTsource-Bid-Board-Guide.pdf mailto:osc.rfp@ct.gov http://www.osc.ct.gov/vendor/index.html mailto:osc.rfp@ct.gov https://portal.ct.gov/DAS/CTSource/CTSource https://portal.ct.gov/DAS/CTSource/Registration https://portal.ct.gov/OPM/Fin-PSA/Forms/Ethics-Forms https://portal.ct.gov/OPM/Fin-PSA/Forms/Ethics-Forms https://portal.ct.gov/-/media/DAS/CTSource/Documents/CTsource-Bid-Board-Guide.pdf https://portal.ct.gov/-/media/DAS/CTSource/Documents/CTsource-Bid-Board-Guide.pdf

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4. If you experience difficulty establishing your firm's account, please call DAS at 860-713-5095 or send an email to das.ctsource@ct.gov. If you have difficult accessing your CTSource account call 1-

866-889-8533 or email webprocuresupport@proactis.com.

5. The State of Connecticut's Contract Compliance Forms applicable to State contracts are available at https://portal.ct.gov/-/media/CHRO/NotificationtoBidderspdf.pdf.

6. You must complete the Bidder Contract Compliance Monitoring Report and upload it to CTSource.

7. More information about the State of Connecticut’s Contract Compliance requirements is available on the Commission on Human Rights and Opportunities’ web site at https://portal.ct.gov/chro/contract-compliance/contract-compliance/contract-compliance-forms-and-reports under “Contract

Compliance.” Your proposal should confirm you have downloaded, completed, and submitted all of the procurement documents listed above to CTSource. If not, please explain.

f. Concise answers are encouraged.

g. The submission of proposals shall constitute, without any further act required of the proposers or the State, acceptance of the requirements, administrative stipulations, and all of the terms and conditions of this RFP. Proposals must reflect compliance with such requirements. Failure of the proposal to so comply may result in the State’s rejection of the proposal. The State will reject any proposal that deviates materially from the specifications, terms or conditions of this RFP.

Proposers submitting proposals with any minor or immaterial deviations must identify and fully justify such deviations in order for the State to consider their proposal.

h. No additions or changes to any proposal will be allowed after the proposal due date, unless the

State specifically requests such modifications. The State may, at its option, seek proposer retraction and/or clarification of any discrepancy or contradiction found during the review of the proposals.

D. Information Required in the Proposal:

a. Provide the information requested below on the title page:

Name of Proposer

Business Location

Mailing Address

Telephone Number

E-mail Address

Federal Employer ID Number / Social Security Number

The Proposer must designate an authorized representative and one alternate who may speak and act on behalf of the Proposer in all dealings with the agency, if necessary.

Provide the following information for each individual:

Names

Telephone Numbers

Normal Hours of Work https://portal.ct.gov/-/media/CHRO/NotificationtoBidderspdf.pdf

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b. Transmittal Letter - A transmittal letter must accompany all proposals. A corporate officer or person who is authorized to represent the company must sign this letter. A letter of transmittal must meet the following requirements:

1. Identify the submitting organization;

2. Explicitly indicate unequivocal acceptance of all of the requirements of this RFP and acknowledge receipt of any and all amendments to this RFP;

3. Bear the signature of the person with the requisite power and authority to submit and deliver the proposal and subsequently to enter into, execute and deliver and perform on behalf of the firm any contract or agreement with the State.

4. Explicitly warrant, represent and certify the following requirements have been met in connection with the RFP:

• The fees and costs proposed have been arrived at independently, without consultation, communication, or agreement for the purpose of restricting competition as to any matter relating to such process with any other organization or with any competitor.

• Unless otherwise required by law, the costs quoted have not been knowingly disclosed by the firm prior to the deadline for submission of proposals directly or indirectly to any other organization or to any competitor; and

• No attempt has been made, or will be made, by the firm to induce any other person or firm to submit or not to submit a proposal for the purpose of restricting completion.

5. Explicitly represent that no elected or appointed official or employee of the State of

Connecticut had benefited or will benefit financially or materially from any contract or agreement executed in connection with this RFP. Any contract or agreement executed in connection with this RFP may be terminated by the State if it is determined that gratuities of any kind were either offered to, or received by, any state officials or employees from the firm, the law firm’s agent(s), representative(s) or employee(s). Such action on the part of the State shall not constitute a breach of contract on the part of the State.

c. Table of Contents - The Table of Contents should reference all materials required by this RFP and any additional information or material the Vendor wishes to supply.

d. Executive Summary

Proposers must provide an Executive Summary. This is to permit the Proposer to briefly summarize the most important aspects of each section of the Proposal. The Executive

Summary must provide a high-level overview of the Proposal. The Proposer must summarize its understanding of the objectives of the State in issuing this RFP, the intended results of the services, the scope of work, and any issues which need to be addressed in this Project. The executive summary should, at a minimum, provide the following information:

i. A summary of the Proposal to provide the services described in the RFP.

ii. Description of the key personnel to be used in providing the services.

iii. Discuss the risks and concerns arising from the RFP.

iv. Explain what would be needed from the State to begin the project.

e. Explain the firm’s qualifications in light of the Selection Criteria detailed in Section IV above.

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f. Disclose any past or present assignments, relationships or other employment that your firm or any employee of your firm has had that may create a conflict of interest or the appearance of a conflict of interest in serving as counsel for the State in this matter.

g. If you find any terms or provisions of the proposed draft contract in Appendix A unacceptable, identify the term, explain why it is unacceptable, and state whether failure to modify this term would result in the firm’s failure to execute a contract in this matter.

h. Discuss any pending complaints or investigations, or any made or concluded within the past five years, to or by any regulatory body or court regarding the conduct of your firm or its predecessors, or any of its present or former members, employees or associates.

i. Include a detailed and specific fee proposal. You must include a fee proposal specific to hourly rates both for the specific personnel and for each category of person who will work on the assignment (excluding clerical staff, whose time may not be billed).

j. Provide names and contact information of three (3) client references for whom you have performed services reasonably comparable to those sought in this RFP.

k. Provide the name of your professional liability insurance carrier and cyber security liability insurance carrier, the maximum amount of your coverage, and the deductible amount.

E. Conformity and Completeness of Proposals

To be considered acceptable, proposals must be complete and conform to all material RFP instructions and conditions. The Attorney General's Office, in its sole discretion, may reject in whole or in part any proposal if in its judgment the best interests of the State will be served.

F. Stability of Proposed Fees

Any fee proposals must be valid for the entire duration of the Contract.

VI. OSC GENERAL TERMS AND CONDITIONS

By submitting a proposal in response to this RFP, a proposer agrees to comply with the following terms and conditions:

1. Equal Opportunity and Affirmative Action. The State is an Equal Opportunity and Affirmative

Action employer and does not discriminate in its hiring, employment, or business practices. The

State is committed to complying with the Americans with Disabilities Act of 1990 (ADA) and does not discriminate on the basis of disability in admission to, access to, or operation of its programs, services, or activities.

2. Preparation Expenses. Neither the State nor OSC shall assume any liability for expenses incurred by a proposer in preparing, submitting, or clarifying any proposal submitted in response to this RFP.

3. Exclusion of Taxes. OSC is exempt from the payment of excise and sales taxes imposed by the federal government and the State. Proposers are liable for any other applicable taxes.

4. Proposed Costs. No cost submissions that are contingent upon a State action will be accepted.

All proposed costs must be fixed through the entire term of the contract.

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5. Changes to Proposal. No additions or changes to the original proposal will be allowed after submission. While changes are not permitted, OSC may request and authorize proposers to submit written clarification of their proposals, in a manner or format prescribed by OSC, and at the proposer’s expense.

6. Supplemental Information. Supplemental information will not be considered after the deadline submission of proposals, unless specifically requested by OSC. OSC may ask a proposer to give demonstrations, interviews, oral presentations or further explanations to clarify information contained in a proposal. Any such demonstration, interview, or oral presentation will be at a time selected and in a place provided by OSC. At its sole discretion, OSC may limit the number of proposers invited to make such a demonstration, interview, or oral presentation and may limit the number of attendees per proposer.

7. Presentation of Supporting Evidence. If requested by OSC, a proposer must be prepared to present evidence of experience, ability, data reporting capabilities, financial standing, or other information necessary to satisfactorily meet the requirements set forth or implied in this RFP.

OSC may make onsite visits to an operational facility or facilities of a proposer to evaluate further the proposer’s capability to perform the duties required by this RFP. At its discretion, OSC may also check or contact any reference provided by the proposer.

8. RFP Is Not An Offer. Neither this RFP nor any subsequent discussions shall give rise to any commitment on the part of the State or OSC or confer any rights on any proposer unless and until a contract is fully executed by the necessary parties. The contract document will represent the entire agreement between the proposer and OSC and will supersede all prior negotiations, representations or agreements, alleged or made, between the parties. The State shall assume no liability for costs incurred by the proposer or for payment of services under the terms of the contract until the successful proposer is notified that the contract has been accepted and approved by OSC and, if required by the Attorney General’s Office.

Contractors responding to this RFP must adhere to the following conditions and must affirmatively state their adherence to these requirements with a transmittal letter appended to their proposal response.

9. Acceptance or Rejection by the State. The State reserves the right to accept or reject any or all proposals submitted for consideration. All proposals will be kept sealed and safe until the deadline for submission has passed. By responding to this procurement, applicants agree to accept the Comptroller’s determinations as final.

10. Conformance with Statutes. Any contract awarded as a result of this RFP must be in full conformance with statutory requirements of the State of Connecticut and the federal government.

11. Ownership of Proposals. All proposals submitted in response to this RFP are to be the sole property of the State and will be subject to the applicable Freedom of Information provisions starting at Section§§1-200 of the Connecticut General Statutes. In addition to the completed response, any proposer that submits matter that it in good faith determines to contain trade secrets or confidential commercial or financial information must mark such materials as

“CONFIDENTIAL” and provide one redacted copy of its RFP response electroically/by e-mail to the OSC, which may be disclosed without objection in the event a FOI request is made for its proposal. Failure to clearly mark materials as "CONFIDENTIAL" and/or failure to provide a redacted copy may result in the release of the RFP response on file with the State at the time such

FOI request is made.

12. Ownership of Subsequent Products. Any product, whether acceptable or unacceptable, developed under a contract award as a result of this RFP is to be the sole property of the State of

Connecticut, unless explicitly stated otherwise in the RFP or contract.

13. Communication Blackout Period. Except as called for in this RFP, contractors may not communicate about the RFP with anyone other than the designated contactuntil final selections

8 | P a g e have been made. Until such time as final selections are made, any such contact will be considered collusion under the "Terms and Conditions" herein and may be grounds for disqualification of the

Contractor's proposal.

14. Timing and Sequence. All timing and sequence of events resulting from this RFP will ultimately be determined by the State. Late responses may or may not be considered, and it will be left to the

Comptroller’s discretion whether to accept or reject late responses.

15. Stability of Proposed Prices. Any price offerings from Contractors must be valid for a period of one hundred eighty (180) days from the due date of the Contractor proposals.

16. Oral Agreements. Any alleged oral agreement or arrangement made by a Contractor with any agency or employee will be superseded by the written agreement.

17. Amending or Canceling Requests. The State reserves the right to amend or to cancel this RFP prior to the due date and time, if such action is deemed to be in the best interest of the State.

18. Rejection for Default or Misrepresentation. The State reserves the right to reject the proposal of any Contractor that is in default of any prior contract or for misrepresentation.

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

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

21. Conformance to Instructions. All responses to the RFP must conform to the instructions herein.

Failure to provide any required information, provide the required number of copies, meet deadlines, answer all questions, follow the required format, or failure to comply with any other requirements of this RFP may be considered appropriate cause for rejection of the response.

22. Appearances. In some cases, Contractors may be asked to appear to give demonstrations, interviews, presentations or further explanation to the RFP's screening committee.

23. Standard Contract and Conditions. The Contractor must accept the State's standard contract language and conditions. See Standard Contract and Conditions. Attachment B.

24. Entire Agreement. The contract will represent the entire agreement between the Contractor and the State and will supersede all prior negotiations, representations or agreements, alleged or made, between the parties. The State shall assume no liability for payment of services under the terms of the contract until the successful Contractor is notified that the contract has been accepted and approved by the Office of the State Comptroller and by the Office of the Attorney General.

The contract may only be amended by means of a written signed agreement by the Office of the

State Comptroller, the Contractor, and the Office of the Attorney General.

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

26. Receipt of Summary of State Ethics Laws. The Contractor must acknowledge that is has received a summary of State Ethics Laws by submitting a signed receipt with its bid. See

Attachments C and D hereto.

VII. STANDARD CONTRACT TERMS

By submitting a proposal in response to this RFP, the proposer implicitly agrees to comply with the

State’s standard contract terms, as seen in the attached contract. The standard contract will include the scope of services, contract performance, quality assurance, reports, terms of payment, budget, and other program-specific provisions of any resulting POS contract. It will also include the mandatory terms and

9 | P a g e conditions, may be amended only in consultation with, and with the approval of the Attorney General’s

Office.

Also included is the State Elections Enforcement Commission's (SEEC) notice (pursuant to Section 9-

612(g)(2) of the Connecticut General Statutes) advising executive branch State contractors and prospective State contractors of the ban on campaign contributions and solicitations. If a proposer is awarded an opportunity to negotiate a contract with the Department and the resulting contract has an anticipated value in a calendar year of $50,000 or more, or a combination or series of such agreements or contracts has an anticipated value of $100,000 or more, the proposer must inform the proposer’s principals of the contents of the SEEC notice.

ASSURANCES

By submitting a proposal in response to this RFP, a proposer implicitly gives the following assurances:

Collusion. The proposer represents and warrants that the proposer did not participate in any part of the

RFP development process and had no knowledge of the specific contents of the RFP prior to its issuance.

The proposer further represents and warrants that no agent, representative, or employee of the State participated directly in the preparation of the proposer’s proposal. The proposer also represents and warrants that the submitted proposal is in all respects fair and is made without collusion or fraud.

State Officials and Employees. The proposer certifies that no elected or appointed official or employee of the State has or will benefit financially or materially from any contract resulting from this RFP. The

Agency may terminate a resulting contract if it is determined that gratuities of any kind were either offered or received by any of the aforementioned officials or employees from the proposer, contractor, or its agents or employees.

Competitors. The proposer assures that the submitted proposal is not made in connection with any competing organization or competitor submitting a separate proposal in response to this RFP. No attempt has been made, or will be made, by the proposer to induce any other organization or competitor to submit, or not submit, a proposal for the purpose of restricting competition. The proposer further assures that the proposed costs have been arrived at independently, without consultation, communication, or agreement with any other organization or competitor for the purpose of restricting competition. Nor has the proposer knowingly disclosed the proposed costs on a prior basis, either directly or indirectly, to any other organization or competitor.

Validity of Proposal. The proposer certifies that the proposal represents a valid and binding offer to provide services in accordance with the terms and provisions described in this RFP and any amendments or attachments hereto. The proposal shall remain valid for a period of 180 days after the submission due date and may be extended beyond that time by mutual agreement. At its sole discretion, the Agency may include the proposal, by reference or otherwise, into any contract with the successful proposer.

Press Releases. The proposer agrees to obtain prior written consent and approval of the Agency for press releases that relate in any manner to this RFP or any resultant contract.

RIGHTS RESERVED TO THE STATE

By submitting a proposal in response to this RFP, a proposer implicitly accepts that the following rights are reserved to the State:

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• Timing Sequence. The timing and sequence of events associated with this RFP shall ultimately be determined by OSC.

• Amending or Canceling RFP. OSC reserves the right to amend or cancel this RFP on any date and at any time, if OSC deems it to be necessary, appropriate, or otherwise in the best interests of the State.

• No Acceptable Proposals. In the event that no acceptable proposals are submitted in response to this RFP, OSC may reopen the procurement process, if it is determined to be in the best interests of the State.

• Award and Rejection of Proposals. OSC reserves the right to award in part, to reject any and all proposals in whole or in part, for misrepresentation or if the proposal limits or modifies any of the terms, conditions, or specifications of this RFP. OSC may waive minor technical defects, irregularities, or omissions, if in its judgment the best interests of the State will be served. OSC reserves the right to reject the proposal of any proposer who submits a proposal after the submission date and time.

• Sole Property of the State. All proposals submitted in response to this RFP are to be the sole property of the State. Any product, whether acceptable or unacceptable, developed under a contract awarded as a result of this RFP shall be the sole property of the State, unless stated otherwise in this RFP or subsequent contract. The right to publish, distribute, or disseminate any and all information or reports, or part thereof, shall accrue to the State without recourse.

• Contract Negotiation. OSC reserves the right to negotiate or contract for all or any portion of the services contained in this RFP. OSC further reserves the right to contract with one or more proposer for such services. After reviewing the scored criteria, OSC may seek Best and Final

Offers (BFO) on cost from proposers. OSC may set parameters on any BFOs received.

• Clerical Errors in Award. OSC reserves the right to correct inaccurate awards resulting from its clerical errors. This may include, in extreme circumstances, revoking the awarding of a contract already made to a proposer and subsequently awarding the contract to another proposer. Such action on the part of the State shall not constitute a breach of contract on the part of the State since the contract with the initial proposer is deemed to be void ab initio and of no effect as if no contract ever existed between the State and the proposer.

• Key Personnel. When OSC is the sole funder of a purchased service, OSC reserves the right to approve any additions, deletions, or changes in key personnel, with the exception of key personnel who have terminated employment. OSC also reserves the right to approve replacements for key personnel who have terminated employment. OSC further reserves the right to require the removal and replacement of any of the proposer’s key personnel who do not perform adequately, regardless of whether they were previously approved by OSC.

STATUTORY AND REGULATORY COMPLIANCE

By submitting a proposal in response to this RFP, the proposer implicitly agrees to comply with all applicable State and federal laws and regulations, including, but not limited to, the following:

Freedom of Information, C.G.S. § 1-210(b). The Freedom of Information Act (FOIA) generally requires the disclosure of documents in the possession of the State upon request of any citizen, unless the content of the document falls within certain categories of exemption, as defined by C.G.S. § 1-210(b).

Proposers are generally advised not to include in their proposals any confidential information. If the proposer indicates that certain documentation, as required by this RFP, is submitted in confidence, the

State will endeavor to keep said information confidential to the extent permitted by law. Failure to clearly mark materials as "CONFIDENTIAL" and/or failure to provide a redacted copy of a Proposer’s RFP response may result in the release of the RFP response on file with the State at the time that an FOI request is made. The State has no obligation to initiate, prosecute, or defend any legal proceeding or to seek a protective order or other similar relief to prevent disclosure of any information pursuant to a FOI

11 | P a g e request. The proposer has the burden of establishing the availability of any FOI exemption in any proceeding where it is an issue. While a proposer may claim an exemption to the State’s FOI Act, the final administrative authority to release or exempt any or all material so identified rests with the State. In no event shall the State or any of its employees have any liability for disclosure of documents or information in the possession of the State and which the State or its employees believe(s) to be required pursuant to the FOI Act or other requirements of law.

Contract Compliance, C.G.S. § 4a-60 and Regulations of CT State Agencies § 46a-68j-21 thru 43, inclusive. CT statute and regulations impose certain obligations on State agencies (as well as contractors and subcontractors doing business with the State) to ensure that State agencies do not enter into contracts with organizations or businesses that discriminate against protected class persons.

Consulting Agreements, C.G.S. § 4a-81. Consulting Agreements Representation, C.G.S. § 4ad-81.

Pursuant to C.G.S. §§ 4a-81 the successful contracting party shall certify that it has not entered into any consulting agreements in connection with this Contract, except for the agreements listed below.

"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) contacting, 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.

"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 contract is executed in accordance with the provisions of section 4a-81 of the Connecticut General Statutes. Such representation shall be sworn as true to the best knowledge and belief of the person signing the resulting contract and shall be subject to the penalties of false statement.

Campaign Contribution Restriction, C.G.S. § 9-612. For all State contracts, defined in section 9- 612 of the Connecticut General Statutes as having a value in a calendar year of $50,000 or more, or a combination or series of such agreements or contracts having a value of $100,000 or more, the authorized signatory to the resulting contract must represent that they have received the State Elections Enforcement

Commission’s notice advising state contractors of state campaign contribution and solicitation prohibitions, and will inform its principals of the contents of the notice, as set forth in “Notice to

Executive Branch State Contractors and Prospective State Contractors of Campaign Contribution and

Solicitation Limitations.” Such notice is available at https://seec.ct.gov/Portal/data/forms/ContrForms/seec_form_11_notice_only.pdf

Gifts, Conn. Gen. Stat. § 4-252. Pursuant to section 4-252 of the Connecticut General Statutes and

Acting Governor Susan Bysiewicz’s Executive Order No. 21-2, the Contractor, for itself and on behalf of all of its principals or key personnel who submitted a bid or proposal, represents:

(1) That no gifts were made by (A) the Contractor, (B) any principals and key personnel of the

Contractor, who participate substantially in preparing bids, proposals or negotiating State contracts, or

(C) any agent of the Contractor or principals and key personnel, who participates substantially in preparing bids, proposals or negotiating State contracts, to (i) any public official or State employee of the

State agency or quasi- public agency soliciting bids or proposals for State contracts, who participates substantially in the preparation of bid solicitations or requests for proposals for State contracts or the negotiation or award of State contracts, or (ii) any public official or State employee of any other State agency, who has supervisory or appointing authority over such State agency or quasi- public agency;

(2) That no such principals and key personnel of the Contractor, or agent of the Contractor or of such principals and key personnel, knows of any action by the Contractor to circumvent such prohibition on https://seec.ct.gov/Portal/data/forms/ContrForms/seec_form_11_notice_only.pdf

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Contractor to provide a gift to any such public official or State employee; and

(3) That the Contractor is submitting bids or proposals without fraud or collusion with any person.

Any bidder or proposer that does not agree to the representations required under this section shall be rejected and the State agency or quasi-public agency shall award the contract to the next highest ranked proposer or the next lowest responsible qualified bidder or seek new bids or proposals.

Iran Energy Investment Certification C.G.S. § 4-252(a). Pursuant to C.G.S. § 4-252(a), the successful contracting party shall certify the following: (a) that it 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 has not increased or renewed such investment on or after said date. (b) If the Contractor makes a good faith effort to determine whether it has made an investment described in subsection (a) of this section it shall not be subject to the penalties of false statement pursuant to section 4-252a of the Connecticut General Statutes. A "good faith effort" for purposes of this subsection includes a determination that the Contractor is not on the list of persons who engage in certain investment activities in Iran created by the Department of General Services of the State of California pursuant to Division 2, Chapter 2.7 of the California Public Contract Code.

Nothing in this subsection shall be construed to impair the ability of the State agency or quasi-public agency to pursue a breach of contract action for any violation of the provisions of the resulting contract.

Nondiscrimination Certification, C.G.S. § 4a-60 and 4a-60a. If a bidder is awarded an opportunity to negotiate a contract, the proposer must provide the State agency with written representation in the resulting contract that certifies the bidder complies with the State's nondiscrimination agreements and warranties. This nondiscrimination certification is required for all State contracts – regardless of type, term, cost, or value. Municipalities and CT State agencies are exempt from this requirement. The authorized signatory of the contract shall demonstrate his or her understanding of this obligation by either

(A) initialing the nondiscrimination affirmation provision in the body of the resulting contract, or (B) providing an affirmative response in the required online bid or response to a proposal question, if applicable, which asks if the contractor understands its obligations. If a bidder or vendor refuses to agree to this representation, such bidder or vendor shall be rejected and the State agency or quasi-public agency shall award the contract to the next highest ranked vendor or the next lowest responsible qualified bidder or seek new bids or proposals.

Access to Data for State Auditors. The Contractor shall provide to OPM access to any data, as defined in C.G.S. § 4e-1, concerning the resulting contract that are in the possession or control of the Contractor upon demand and shall provide the data to OPM in a format prescribed by OPM [or the Client Agency] and the State Auditors of Public Accounts at no additional cost.

APPENDIX: State Contract

Below are the standard terms and conditions that the selected proposer will be expected to comply with upon the award of the RFP. Such terms and conditions are subject to changes in laws, state contracting requirements and any contracting and additional requirements of the Office of the Attorney General.

Personal Service Agreement Between

The Office of the State Comptroller

And

XXXX

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This Personal Service Agreement (“Agreement”) is between the State of Connecticut Office of the State

Comptroller (“Comptroller's Office”) and XXX, a XX corporation (“Contractor”).

RECITALS

• The Comptroller’s Office enters into this Agreement pursuant to Section 3-112 of the Connecticut

General Statutes.

Accordingly, the Parties agree as follows:

SECTION 1

DEFINITIONS

Definitions and Defined Terms. Each term defined in the preamble and the recitals of this Agreement has its assigned meaning. Each defined term that follows has the meaning assigned to it.

• “Claims” means all actions, suits, claims, demands, investigations, and proceedings of any kind, open, pending or threatened, whether mature, unmatured, contingent, known or unknown, at law or in equity, in any forum.

• “Confidential Information” means any name, number or other information that may be used, alone or in conjunction with any other information, to identify a specific individual including, but not limited to, such individual's name, date of birth, mother's maiden name, motor vehicle operator's license number, Social Security number, employee identification number, employer or taxpayer identification number, alien registration number, government passport number, health insurance identification number, demand deposit account number, savings account number, credit card number, debit card number or unique biometric data such as fingerprint, voice print, retina or iris image, or other unique physical representation. Without limiting the foregoing, Confidential

Information shall also include any information that the Comptroller's Office classifies as

“confidential” or “restricted.” Confidential Information shall not include information that may be lawfully obtained from publicly available sources or from federal, state, or local government records which are lawfully made available to the public.

• “Confidential Information Breach” means an instance where an unauthorized person or entity accesses Confidential Information in any manner, including but not limited to the following occurrences: (1) any Confidential Information that is not encrypted or protected is misplaced, lost, stolen or in any way compromised; (2) one or more third parties have had access to or taken control or possession of any Confidential Information that is not encrypted or protected without prior written authorization from the State; (3) the unauthorized acquisition of encrypted or protected Confidential Information together with the confidential process or key that is capable of compromising the integrity of the Confidential Information; or (4) if there is a substantial risk of identity theft or fraud to the client, the Contractor, the Comptroller's Office or State.

• “Contractor Parties” means a Contractor’s members, directors, officers, shareholders, partners, managers, principal officers, representatives, agents, servants, consultants, employees or any one of them or any other person or entity with whom the Contractor is in privity of oral or written contract and the Contractor intends for such other person or entity to Perform under the Agreement in any capacity.

• "End Date” has the same meaning assigned to it in Section 2.

• “Goods” means all things which are movable when the Agreement is effective and which includes but is not limited to, supplies, materials and equipment.

• “Goods or Services” means Goods, Services or both.

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• “Parties” means the Comptroller's Office and the Contractor, collectively.

• “Perform” means the verb “to perform” and the Contractor’s performance in this Agreement are referred to as “Perform,” “Performance” and other capitalized variations of the term.

• “Records” means all working papers and such other information and materials as may have been accumulated by the Contractor in Performing the Agreement, including, but not limited to, documents, data, plans, books, computations, drawings, specifications, notes, reports, records, estimates, summaries, memoranda and correspondence, kept or stored in any form.

• “Services” means the performance of labor or work, as specified in the Solicitation (as applicable) and as set forth in this Agreement.

• “Solicitation” means a State request, in whatever form issued, inviting bids, proposals or quotes for Goods or Services, typified by, but not limited to, an invitation to bid, request for proposals, request for information or request for quote.

• “State” means the State of Connecticut, including the Comptroller’s Office and any office, department, board, council, commission, institution or other agency or entity of the State.

• “Termination” means an end to the Agreement prior to the end of its term whether effected pursuant to a right which the Agreement creates or for a breach.

SECTION 2

CONTRACT PERIOD

This Agreement is effective on the date that the State of Connecticut Office of the Attorney General executes and delivers this Agreement as indicated by the date on that party’s signature line. This

Agreement’s initial term expires on XX XX, 202X (“End Date”). After the initial term, the Comptroller may extend this Agreement for up to two (2) additional years. The duties of the Contractor as set forth in this Agreement shall be completed no later than the End Date.

SECTION 3

NOTICE OF CHANGE AND TERMINATION

Unless otherwise expressly provided to the contrary, any notice provided under this Agreement shall be in writing and shall be delivered personally, electronically, by recognized overnight courier service, or by certified or registered mail to the following addresses:

Comptroller:

Office of the State Comptroller

165 Capitol Ave.

Hartford, CT 06106

Attention: XX

XX

AND

Office of the State Comptroller

165 Capitol Ave.

Hartford, CT 06106

Attention: Yamuna Menon, General Counsel/Assistant State Comptroller yamuna.menon@ct.gov

Contractor:

mailto:Yamuna.menon@ct.gov

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[NAME OF CONTRACTOR]

[ADDRESS OF CONTRACTOR]

Attn: [CONTACT NAME]

CONTACT EMAIL]

Notwithstanding any provisions in this Agreement, the Comptroller’s Office, through a duly authorized employee, may Terminate the Agreement before the End Date whenever the Comptroller’s Office makes a written determination that such Termination is in the best interests of the State.

The Comptroller’s Office shall notify the Contractor in writing of Termination pursuant to this section, which notice shall specify the effective date of Termination and the extent to which the Contractor must complete its Performance under the Agreement prior to such date.

Notwithstanding any provisions in this Agreement, the Comptroller’s Office, through a duly authorized employee, may, after making a written determination that the Contractor has breached the Agreement, Terminate the Agreement in accordance with the provisions in the Breach section of this Agreement.

The Comptroller’s Office shall send the notice of Termination via certified mail, return receipt requested, to the Contractor at the most current address which the Contractor has furnished to the Comptroller’s Office for purposes of correspondence, or by hand delivery. Upon receiving the notice from the Comptroller’s Office, the Contractor shall immediately discontinue all services affected in accordance with the notice, undertake all commercially reasonable efforts to mitigate any losses or damages, and deliver to the Office all Records. The Records are deemed to be the property of the Comptroller’s Office and the Contractor shall deliver them to the Office no later than thirty (30) days after the Termination of the Agreement or fifteen (15) days after the Contractor receives a written request from the Office for the Records. The Contractor shall deliver those Records that exist in electronic, magnetic or other intangible form in a non-proprietary format, such as, but not limited to, ASCII or .TXT.

Upon receipt of a written notice of Termination from the Comptroller’s Office, the Contractor shall cease operations as the Comptroller’s Office directs in the notice, and take all actions that are necessary or appropriate, or that the Comptroller’s Office may reasonably direct, for the protection, and preservation of the Goods and any other property. Except for any work which the Comptroller’s Office directs the

Contractor to Perform in the notice prior to the effective date of Termination, and except as otherwise provided in the notice, the Contractor shall terminate or conclude all existing subcontracts and purchase orders and shall not enter into any further subcontracts, purchase orders or commitments.

The Comptroller’s Office shall, within forty-five (45) days of the effective date of Termination, reimburse the Contractor for its Performance rendered and accepted by the Comptroller’s Office, in addition to all actual and reasonable costs incurred after Termination in completing those portions of the Performance which the notice required the Contractor to complete.