Request for Proposal #CGP031612 Laboratory Supplies and ...
Request for Proposal #CGP031612 Laboratory Supplies and ...
Request for Proposal #CGP031612 Laboratory Supplies and ...
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University of Connecticut Procurement Services<br />
3 North Hillside Road, Unit 6076, Storrs, CT 06269-6076<br />
<strong>Request</strong> <strong>for</strong> <strong>Proposal</strong><br />
<strong>#CGP031612</strong><br />
<strong>Laboratory</strong> <strong>Supplies</strong> <strong>and</strong> Equipment<br />
Supplemental Contract<br />
Date Issued<br />
M<strong>and</strong>atory<br />
Pre-<strong>Proposal</strong> Meeting<br />
<strong>Proposal</strong> Due Date<br />
Procurement<br />
Administrator Telephone #<br />
March 16, 2012 April 2, 2012<br />
@ 10:00 a.m. (EDT)<br />
April 23, 2012<br />
@ 2:00 p.m. (EDT)<br />
Cathleen G. Paquette<br />
Purchasing Agent II<br />
(860) 486-2620
Table of Contents<br />
RFP <strong>#CGP031612</strong><br />
<strong>Laboratory</strong> <strong>Supplies</strong> <strong>and</strong> Equipment – Supplemental Contract<br />
Section I – Overview 3<br />
Section II – Definitions 4<br />
Section III – Introduction 5 - 7<br />
Section IV – Terms <strong>and</strong> Conditions 8 - 13<br />
Section V - UCHC Terms <strong>and</strong> Conditions 14 - 20<br />
Section VI - Specifications 21 - 28<br />
Section VII – Storrs Campus In<strong>for</strong>mation 29 - 30<br />
Section VIII – Submittal of <strong>Proposal</strong> 31 - 35<br />
Section IX - Award 36 - 37<br />
Cover Page <strong>for</strong> Submittal 38<br />
Form of <strong>Proposal</strong> 39<br />
Discount Schedule 40 - 41<br />
Point-by-Point Worksheets 42 – 44<br />
Form HIPAA 1050 45<br />
Form AD-1048 46<br />
Bidder’s Qualification Statement 47 - 49<br />
St<strong>and</strong>ard Forms:<br />
CHRO Contract Compliance Regulations 50 - 51<br />
Bidder Contract Compliance Monitoring Report 52 - 53<br />
SEEC Form 11 54 – 55<br />
Non-discrimination Certification 56<br />
Gift <strong>and</strong> Campaign Affidavit (Form 1) 57 - 58<br />
Consulting Affidavit (Form 5) 59<br />
Affirmation/State Ethics Summary (Form 6) 60<br />
Ethics Memo 61<br />
APPENDIX 1 CCPG Membership 62<br />
APPENDIX 2 Sample Certified Resolution 63<br />
APPENDIX 3 Sample Agreement 64 - 74<br />
2
Section I<br />
Overview<br />
The University of Connecticut (hereinafter referred to as the "University") is seeking proposals from experienced<br />
<strong>and</strong> qualified vendors to provide laboratory <strong>and</strong> research equipment, supplies <strong>and</strong> related services <strong>for</strong> the<br />
University's main campus, located in Storrs, <strong>and</strong> the University of Connecticut Health Center (UCHC), located in<br />
Farmington. Vendors should also be prepared to meet the needs of the University's regional campuses located<br />
at Avery Point, Hart<strong>for</strong>d, West Hart<strong>for</strong>d, Torrington, Waterbury <strong>and</strong> Stam<strong>for</strong>d. In addition, any contract issued<br />
pursuant to this solicitation shall be extended to all State of Connecticut Agencies as well as members of the<br />
Connecticut Colleges Purchasing Group (CCPG).<br />
At present, the University has a contractual agreement with Fisher Scientific as the primary supplier of<br />
laboratory equipment, apparatus <strong>and</strong> supplies, including chemicals <strong>and</strong> reagents. The agreement has a<br />
potential term through April 30, 2016. In an ef<strong>for</strong>t to support the wide breadth of research <strong>and</strong> teaching<br />
requirements at the University’s academic campuses as well as UCHC <strong>and</strong> in conjunction with recent cost<br />
reduction <strong>and</strong> operational improvement ef<strong>for</strong>ts, it is necessary to exp<strong>and</strong> the supply <strong>and</strong> equipment sources<br />
available to the research community to supplement the existing contract. The intent of this <strong>Request</strong> <strong>for</strong><br />
<strong>Proposal</strong> (RFP) is to establish agreements <strong>and</strong> partnerships with multiple vendors offering products not readily<br />
available through Fisher. This shall include, but may not be limited to, companies that manufacture <strong>and</strong><br />
distribute their own product line of goods <strong>and</strong> services <strong>and</strong> distributors that have exclusive rights to specific<br />
manufacturers <strong>and</strong>/or unique products.<br />
The state’s flagship institution of higher learning, the University of Connecticut is ranked among the Top 20<br />
public universities in the nation by U.S. News & World Report. UConn’s main campus in Storrs is admitting the<br />
highest-achieving freshman in University history. The total enrollment in Fall 2010 was just over 30,000<br />
students (undergraduate <strong>and</strong> graduate). UConn continues to enhance the campus through the state-supported<br />
UConn 2000 / 21 st Century UConn program. As of October 2010, 105 projects totaling nearly $1.8 billion have<br />
been authorized <strong>and</strong> more than 10 million square feet of new <strong>and</strong> renovated space has been completed.<br />
UConn Technology Park: Within the next five years, the University plans to construct a roughly 300 acre<br />
technology park (tech park) located near North Campus on the main campus at Storrs. The park will include<br />
several large structures containing laboratories along with highly specialized equipment used <strong>for</strong> collaborative<br />
research <strong>and</strong> academic purposes. In partnership with the University’s Office of Technology Commercialization,<br />
the Tech Park will promote economic growth through the provision of a state of the art research facility space<br />
combined with the guidance of UConn’s renowned research faculty <strong>and</strong> students.<br />
The UConn Health Center, located in Farmington, Connecticut, is home to the School of Medicine, School of<br />
Dental Medicine, John Dempsey Hospital, UConn Medical Group, UConn Health Partners, University Dentists<br />
<strong>and</strong> a thriving research enterprise, which now includes the new Cell <strong>and</strong> Genome Sciences Building. It is closely<br />
linked with the University of Connecticut’s main campus in Storrs through multiple, cross-campus academic <strong>and</strong><br />
administrative projects. In fact, the UConn Health Center represents half of the University: half of its budget;<br />
half of its employees <strong>and</strong> half of its research portfolio.<br />
Bioscience Connecticut: To be completed in 2018, the University of Connecticut plans to implement the<br />
Bioscience Connecticut renovation project at the Health Center to trans<strong>for</strong>m the campus into a state-of-the-art<br />
Bioscience research site. The Bioscience center, which will be part of a new research triangle in Connecticut,<br />
will provide increased access to high quality health care, create 16,400 new jobs by 2037, <strong>and</strong> aid the Health<br />
Center in graduating more dentists <strong>and</strong> physicians to meet growing state needs. Plans to meet these objectives<br />
include the renovation of existing Health Center facilities to increase research productivity <strong>and</strong> capacity, a 30%<br />
enrollment increase in medical <strong>and</strong> dental schools <strong>and</strong> the construction of a new patient tower <strong>and</strong> ambulatory<br />
care facility.<br />
3
Section II<br />
Definitions<br />
2.0 The word "University", or "UCONN", or a pronoun used in its place shall mean the University of Connecticut<br />
Main <strong>and</strong> Depot Campuses at Storrs, Connecticut, as well as its regional campuses located at Avery Point,<br />
Hart<strong>for</strong>d, West Hart<strong>for</strong>d, Stam<strong>for</strong>d, Torrington <strong>and</strong> Waterbury, Connecticut.<br />
2.1 The term “Health Center”, or “UCHC”, or any pronoun used in its place shall mean the University of<br />
Connecticut Health Center at Farmington.<br />
2.2 "Bidder", "Proposer", "Vendor" “Firm” <strong>and</strong> "Respondent" refer to a company or individual responding to this<br />
<strong>Request</strong> <strong>for</strong> <strong>Proposal</strong>.<br />
2.3 The term “Preferred Vendor” shall refer to the Vendor that is chosen to be the main provider of<br />
commodities <strong>and</strong> a strategic partner to the University. This vendor may be granted exceptional<br />
privileges including:<br />
• The right to offer vendor shows, seminars, <strong>and</strong> workshops regarding current <strong>and</strong> future product lines<br />
• The right to run promotional events on campus<br />
• The right to a constant presence on campus through the duration of the agreement. This presence will<br />
be ensured through the provision of a site-specific account representative responsible <strong>for</strong> customer<br />
service <strong>and</strong> sales.<br />
• The right to appear as a cataloged vendor on the University’s preferred e-procurement tool, SciQuest.<br />
2.4 An “Authorized Vendor” is a vendor that is permitted to conduct business with the University per the terms<br />
of an agreement. Authorized Vendors are granted no special privileges, may not necessarily appear in<br />
catalog ordering systems, <strong>and</strong> may not allowed a constant presence on UCONN campus.<br />
2.5 <strong>Request</strong> <strong>for</strong> <strong>Proposal</strong>s (RFP) is defined as a competitive procurement process that helps to serve the<br />
University’s best interests. It also provides vendors with a fair opportunity <strong>for</strong> their services to be<br />
considered. The RFP process being used in this case should not be confused with the <strong>Request</strong> <strong>for</strong> Quotation<br />
(RFQ) process. The latter process is usually used where the goods or services being procured can be<br />
described precisely <strong>and</strong> price is generally the determining factor. With RFP’s however, price alone is not<br />
required to be the determinative factor, although it may be, <strong>and</strong> the University has the flexibility it needs to<br />
negotiate with vendors to arrive at a mutually agreeable relationship. This RFP states the instructions <strong>for</strong><br />
submitting proposals, the procedure <strong>and</strong> criteria by which a vendor will be selected, <strong>and</strong> the contractual<br />
terms by which the University proposed to govern the relationship between it <strong>and</strong> the selected vendor.<br />
2.6 “U”-Count<br />
As a result of the difficult economic climate we are facing, the University began an initiative in August, 2011<br />
to re-evaluate the way it procures goods <strong>and</strong> services in an ef<strong>for</strong>t to reduce overall costs. Sourcing teams<br />
comprised of Storrs, Regional Campus <strong>and</strong> UCHC faculty <strong>and</strong> staff members have been established. Their<br />
charge is to review the combined annual spend <strong>and</strong> explore options to achieve savings.<br />
As ef<strong>for</strong>ts continue, updates on procurement initiative savings can be found on the “U”-Count website at<br />
http://ucount.uconn.edu. Contract vendors will have an opportunity to post promotional in<strong>for</strong>mation on<br />
this site.<br />
4
Section III<br />
Introduction<br />
3.0 Scope<br />
The successful vendors will serve all University departments located at the Storrs <strong>and</strong> regional campuses <strong>and</strong><br />
the UConn Health Center in Farmington. Services shall include, but not be limited to, the warehousing <strong>and</strong><br />
distribution of supplies, filling of orders received by mail, facsimile, EDI or Internet, fielding all inquiries,<br />
tracking all orders, resolving all disputes, providing reports as required, <strong>and</strong> submission of invoices. The<br />
awarded vendors will provide goods <strong>and</strong> services as a means to supplement the University’s current<br />
partnership with its Prime Vendor, Fisher-Scientific.<br />
Note: Vendor must recognize that the e-commerce plat<strong>for</strong>m(s) may change during the course of the<br />
contract. Vendor must be willing to make any <strong>and</strong> all adjustments at no additional cost to the University.<br />
The University desires experienced, professional firms that can provide the following:<br />
• accurately deliver products next day, if possible<br />
• offer the deepest discount prices possible<br />
• cut administrative costs <strong>and</strong> improve efficiencies,<br />
• skillfully implement <strong>and</strong> manage the contract,<br />
• customize programs, materials <strong>and</strong> billing to the University’s exact needs <strong>and</strong> requirements,<br />
• possess the technology to monitor <strong>and</strong> assess our contract as the University’s needs change,<br />
• to support the University’s e-commerce plat<strong>for</strong>m<br />
The successful vendors must have an experienced <strong>and</strong> knowledgeable sales <strong>and</strong> support staff to meet the<br />
requirements of the University community.<br />
Vendors interested in providing the required goods <strong>and</strong> services, should submit their proposals <strong>and</strong><br />
discounted prices based on the General Terms <strong>and</strong> Conditions, Specifications contained herein.<br />
3.1 New Products/Technology<br />
Should new products <strong>and</strong>/or technologies become available during the term of this contract, supplemental<br />
solicitations may be conducted to ensure the highest level of support of research <strong>and</strong> laboratory<br />
requirements.<br />
3.2 Extension to Other Agencies/Institutions<br />
Although this contract is being established <strong>for</strong> the University of Connecticut, these services may also be<br />
required by other using Agencies of the Department of Higher Education <strong>and</strong>/or the Connecticut College<br />
Purchasing Group (CCPG) member institutions. (A complete list of members is located in Appendix A). Each<br />
bidder should indicate on the Form of Bid whether they are willing to extend the same discounts, terms, <strong>and</strong><br />
conditions to the other Agencies <strong>and</strong>/or CCPG member institutions.<br />
3.3 Exclusions<br />
The following items are NOT included in this RFP:<br />
• Equipment <strong>and</strong> <strong>Supplies</strong> which may be included in a vendor’s catalog, but which are not specifically designed<br />
or intended <strong>for</strong> laboratory use (e.g. reception chairs, couches, coffee tables, general office equipment, etc.)<br />
• Any Compressed Gas supply or related items, as these are currently available under another University<br />
contract award. Vendors are to submit pricing <strong>for</strong> chemicals as part of the response. However, due to<br />
nature of on-going research, there is no mechanism by which to predict or commit to future requirements.<br />
Accordingly, any contract issued pursuant to this RFP will be non-exclusive.<br />
5
3.4 Value<br />
The overall average annual requirements <strong>for</strong> the University <strong>and</strong> UCHC total approximately $4.3 million per year.<br />
This figure is provided <strong>for</strong> in<strong>for</strong>mational purposes only <strong>and</strong> should not be construed as a commitment to any<br />
annual volume of purchases.<br />
3.5 Pre-<strong>Proposal</strong> Meeting<br />
A pre-proposal meeting will be held in the Bid Room of Procurement located at 3 North Hillside Road, April<br />
2, 2012 @ 10:00 a.m. (EDT). This will be the only opportunity <strong>for</strong> interested parties to familiarize<br />
themselves with the scope of this project <strong>and</strong> these contract requirements <strong>and</strong> to ask questions.<br />
In order to accommodate all interested parties, please provide a written R.S.V.P., including the number of<br />
attendees from your company, to Cathleen Paquette: cathleen.paquette@uconn.edu<br />
For directions to our location, please go to:<br />
http://www.purchasing.uconn.edu/staff/images/Directions%20to%20Purchasing.pdf<br />
3.6 Time Table<br />
RFP Issued March 16, 2012<br />
Pre-proposal Meeting April 2, 2012<br />
Closing Date <strong>for</strong> Inquiries April 11, 2012<br />
<strong>Proposal</strong>s Due April 23, 2012<br />
Anticipated contract award date July 2012<br />
Contract effective date August 2012<br />
Note: The University reserves the right to adjust timetable as deemed necessary.<br />
3.7 Attention to Terms <strong>and</strong> Conditions<br />
3.7.1 The terms <strong>and</strong> conditions included in this document must be reviewed carefully to ensure full<br />
responsiveness to the RFP. The final contract shall be, in <strong>for</strong>m <strong>and</strong> substance, consistent with<br />
applicable University policies <strong>and</strong> State of Connecticut statutes <strong>and</strong> regulations regarding the creation<br />
<strong>and</strong> execution of such Agreements. The purchase order, when duly executed, will represent the entire<br />
contract agreement between the parties.<br />
3.7.2 Failure to agree to the terms <strong>and</strong> conditions found herein may cause the vendor’s submittal to be noncompliant<br />
<strong>and</strong> subject to rejection. The submittal of a proposal shall be conclusive evidence of the<br />
bidder’s underst<strong>and</strong>ing of the University’s intent to incorporate such terms <strong>and</strong> conditions into the final<br />
contract.<br />
3.8 Errors<br />
Vendors shall promptly notify the University of any ambiguity, inconsistency or error that they may discover<br />
upon examination of these documents.<br />
6
3.9 Clarifications<br />
A firm requiring clarification or interpretation of the <strong>Request</strong> <strong>for</strong> <strong>Proposal</strong> (RFP) shall make a written request to<br />
the University via facsimile to (860) 486-5051, by e-mail to cathleen.paquette@uconn.edu or by mail to:<br />
Cathleen Paquette<br />
Procurement Services<br />
University of Connecticut<br />
3 North Hillside Road, Unit 6076<br />
Storrs, CT 06269-6076<br />
All requests must be in writing, preferably in a WORD document.<br />
3.9.1 Any interpretation, correction, or change of this RFP shall be made by addendum. Interpretations,<br />
corrections or changes of the RFP made in any other manner shall not be binding <strong>and</strong> vendors shall not<br />
rely upon such interpretations, corrections or changes. Any changes or corrections shall be issued by<br />
the University Procurement Services.<br />
3.9.2 All addenda shall be mailed or delivered to all who are known to have received the RFP. No addenda<br />
shall be issued later than seven (7) days prior to the date <strong>for</strong> receipt of proposals except an addendum,<br />
if necessary, postponing the date <strong>for</strong> receipt of proposals or withdrawing the RFP.<br />
3.10 Communications between the University <strong>and</strong> the Vendor:<br />
ANY AND ALL COMMUNICATIONS WITH REGARD TO THIS SOLICITATION MUST BE DIRECTED TO<br />
PROCUREMENT SERVICES ONLY AS SPECIFIED IN SECTION 3.9.<br />
3.10.1 In<strong>for</strong>mal Communications:<br />
From the date of receipt of this RFP by each vendor until a binding contractual agreement exists with<br />
the selected vendor <strong>and</strong> all other vendors have been notified or when the University rejects all<br />
proposals, in<strong>for</strong>mal communications regarding this procurement shall cease. In<strong>for</strong>mal<br />
communications shall include but not be limited to:<br />
3.10.1.1 <strong>Request</strong>s from the vendors to any department(s) at the University, <strong>for</strong> in<strong>for</strong>mation,<br />
comments, speculation, etc; <strong>and</strong><br />
3.10.1.2 <strong>Request</strong>s from any department at the University, or any employee of the University <strong>for</strong><br />
in<strong>for</strong>mation, comments, speculation, etc.<br />
3.10.2 Formal Communications:<br />
From the date of receipt of this <strong>Request</strong> <strong>for</strong> <strong>Proposal</strong> by each vendor until a binding contractual<br />
agreement exists with the selected vendors <strong>and</strong> all other vendors have been notified or when the<br />
University rejects all proposals, all communications between the University <strong>and</strong> the vendors will be<br />
<strong>for</strong>mal, or as provided <strong>for</strong> in this <strong>Request</strong> <strong>for</strong> <strong>Proposal</strong>. Formal communications shall include but not be<br />
limited to:<br />
3.10.2.1 Oral Presentations<br />
3.10.2.2 Pre-Award Negotiations<br />
3.10.3 ANY FAILURE TO ADHERE TO THE PROVISIONS SET FORTH IN 3.8.1 AND 3.8.2 ABOVE MAY RESULT IN<br />
THE REJECTION OF ANY VENDORS PROPOSAL OR CANCELLATION OF THIS REQUEST FOR PROPOSAL.<br />
7
Section IV<br />
Terms <strong>and</strong> Conditions<br />
4.0 The language provided in Section IV, Terms <strong>and</strong> Conditions, has been established by the Attorney General’s<br />
office of the State of Connecticut. The University of Connecticut, as an agency of the State, must adhere to<br />
these terms <strong>and</strong> is not authorized to alter the language.<br />
4.1 Claims<br />
State of Connecticut agencies (University of Connecticut) may not enter into indemnification or “hold<br />
harmless” agreements. In the event of a loss by the vendor or any third party, recourse may be found<br />
through the State of Connecticut Claims Commission, as provided under Chapter 53 of the General Statutes<br />
of the State of Connecticut, in which all claims against the State of Connecticut <strong>and</strong> the University of<br />
Connecticut will be filed with the Connecticut Claims Commissioner.<br />
4.2 Insurance<br />
The Contractor agrees that while per<strong>for</strong>ming Services specified in this agreement s/he shall carry sufficient<br />
insurance (liability <strong>and</strong>/or other) as applicable according to the nature of the service to be per<strong>for</strong>med so as<br />
to "save harmless" the State of Connecticut from any insurable cause whatsoever. If requested, certificates<br />
of such insurance shall be filed with the contracting State agency prior to the per<strong>for</strong>mance of Services.<br />
4.3 Indemnification<br />
The Contractor shall indemnify <strong>and</strong> hold harmless the State of Connecticut, including any agency or official of<br />
the State of Connecticut from, <strong>and</strong> against all costs, claims, damages, or expenses, including reasonable<br />
attorney’s fees, arising from its negligent acts or omissions in connection with the per<strong>for</strong>mance of any<br />
Contract resulting from this solicitation.<br />
4.4 Governing Law<br />
The terms <strong>and</strong> provisions of this RFP <strong>and</strong> any ensuing contract shall be construed in accordance with the laws of<br />
the State of Connecticut.<br />
4.5 Connecticut General Statutes Sections 4a-60 <strong>and</strong> 4a-60a<br />
Non-discrimination. References in this section to "Contract" shall mean this Contract <strong>and</strong> references to<br />
"Contractor" shall mean the Contractor.<br />
(a) The following subsections are set <strong>for</strong>th here as required by section 4a-60 of the Connecticut General<br />
Statutes:<br />
(1) The Contractor agrees <strong>and</strong> warrants that in the per<strong>for</strong>mance of the Contract such Contractor will not<br />
discriminate or permit discrimination against any person or group of persons on the grounds of race,<br />
color, religious creed, age, marital status, national origin, ancestry, sex, mental retardation, mental<br />
disability or physical disability, including, but not limited to, blindness, unless it is shown by such<br />
Contractor that such disability prevents per<strong>for</strong>mance of the work involved, in any manner prohibited by<br />
the laws of the United States or of the state of Connecticut. The Contractor further agrees to take<br />
affirmative action to insure that applicants with job-related qualifications are employed <strong>and</strong> that<br />
employees are treated when employed without regard to their race, color, religious creed, age, marital<br />
status, national origin, ancestry, sex, mental retardation, mental disability or physical disability,<br />
including, but not limited to, blindness, unless it is shown by such Contractor that such disability<br />
prevents per<strong>for</strong>mance of the work involved; (2) the Contractor agrees, in all solicitations or<br />
advertisements <strong>for</strong> employees placed by or on behalf of the Contractor, to state that it is an "affirmative<br />
action-equal opportunity employer" in accordance with regulations adopted by the commission; (3) the<br />
Contractor agrees to provide each labor union or representative of workers with which such Contractor<br />
has a collective bargaining agreement or other contract or underst<strong>and</strong>ing <strong>and</strong> each vendor with which<br />
such Contractor has a contract or underst<strong>and</strong>ing, a notice to be provided by the commission advising the<br />
labor union or workers' representative of the Contractor's commitments under this section, <strong>and</strong> to post<br />
copies of the notice in conspicuous places available to employees <strong>and</strong> applicants <strong>for</strong> employment; (4)<br />
the Contractor agrees to comply with each provision of this section <strong>and</strong> sections 46a-68e <strong>and</strong> 46a-68f<br />
8
<strong>and</strong> with each regulation or relevant order issued by said commission pursuant to sections 46a-56, 46a-<br />
68e <strong>and</strong> 46a-68f; (5) the Contractor agrees to provide the Commission on Human Rights <strong>and</strong><br />
Opportunities with such in<strong>for</strong>mation requested by the commission, <strong>and</strong> permit access to pertinent<br />
books, records <strong>and</strong> accounts, concerning the employment practices <strong>and</strong> procedures of the Contractor as<br />
relate to the provisions of this section <strong>and</strong> section 46a-56.<br />
(b) If the Contract is a public works contract, the Contractor agrees <strong>and</strong> warrants that he will make good<br />
faith ef<strong>for</strong>ts to employ minority business enterprises as subcontractors <strong>and</strong> suppliers of materials on<br />
such public works project.<br />
(c) "Minority business enterprise" means any small contractor or supplier of materials fifty-one per cent or<br />
more of the capital stock, if any, or assets of which is owned by a person or persons: (1) Who are active<br />
in the daily affairs of the enterprise, (2) who have the power to direct the management <strong>and</strong> policies of<br />
the enterprise <strong>and</strong> (3) who are members of a minority, as such term is defined in subsection (a) of<br />
section 32-9n; <strong>and</strong> "good faith" means that degree of diligence which a reasonable person would<br />
exercise in the per<strong>for</strong>mance of legal duties <strong>and</strong> obligations. "Good faith ef<strong>for</strong>ts" shall include, but not be<br />
limited to, those reasonable initial ef<strong>for</strong>ts necessary to comply with statutory or regulatory requirements<br />
<strong>and</strong> additional or substituted ef<strong>for</strong>ts when it is determined that such initial ef<strong>for</strong>ts will not be sufficient<br />
to comply with such requirements.<br />
(d) Determination of the Contractor's good faith ef<strong>for</strong>ts shall include but shall not be limited to the following<br />
factors: The Contractor's employment <strong>and</strong> subcontracting policies, patterns <strong>and</strong> practices; affirmative<br />
advertising, recruitment <strong>and</strong> training; technical assistance activities <strong>and</strong> such other reasonable activities<br />
or ef<strong>for</strong>ts as the commission may prescribe that are designed to ensure the participation of minority<br />
business enterprises in public works projects.<br />
(e) The Contractor shall develop <strong>and</strong> maintain adequate documentation, in a manner prescribed by the<br />
commission, of its good faith ef<strong>for</strong>ts.<br />
(f) The Contractor shall include the provisions of sections (a) <strong>and</strong> (b) above in every subcontract or purchase<br />
order entered into in order to fulfill any obligation of a contract with the state <strong>and</strong> such provisions shall<br />
be binding on a subcontractor, vendor or manufacturer unless exempted by regulations or orders of the<br />
commission. The Contractor shall take such action with respect to any such subcontract or purchase<br />
order as the commission may direct as a means of en<strong>for</strong>cing such provisions including sanctions <strong>for</strong><br />
noncompliance in accordance with section 46a-56; provided, if such Contractor becomes involved in, or<br />
is threatened with, litigation with a subcontractor or vendor as a result of such direction by the<br />
commission, the Contractor may request the state of Connecticut to enter into any such litigation or<br />
negotiation prior thereto to protect the interests of the state <strong>and</strong> the state may so enter.<br />
(g) The following subsections are set <strong>for</strong>th here as required by section 4a-60a of the Connecticut General<br />
Statutes:<br />
(1) The Contractor agrees <strong>and</strong> warrants that in the per<strong>for</strong>mance of the Contract such Contractor will not<br />
discriminate or permit discrimination against any person or group of persons on the grounds of sexual<br />
orientation, in any manner prohibited by the laws of the United States or of the state of Connecticut,<br />
<strong>and</strong> that employees are treated when employed without regard to their sexual orientation; (2) the<br />
Contractor agrees to provide each labor union or representative of workers with which such Contractor<br />
has a collective bargaining agreement or other contract or underst<strong>and</strong>ing <strong>and</strong> each vendor with which<br />
such Contractor has a contract or underst<strong>and</strong>ing, a notice to be provided by the Commission on Human<br />
Rights <strong>and</strong> Opportunities advising the labor union or workers' representative of the Contractor's<br />
commitments under this section, <strong>and</strong> to post copies of the notice in conspicuous places available to<br />
employees <strong>and</strong> applicants <strong>for</strong> employment; (3) the Contractor agrees to comply with each provision of<br />
this section <strong>and</strong> with each regulation or relevant order issued by said commission pursuant to section<br />
46a-56; <strong>and</strong> (4) the Contractor agrees to provide the Commission on Human Rights <strong>and</strong> Opportunities<br />
with such in<strong>for</strong>mation requested by the commission, <strong>and</strong> permit access to pertinent books, records <strong>and</strong><br />
accounts, concerning the employment practices <strong>and</strong> procedures of the Contractor which relate to the<br />
provisions of this section <strong>and</strong> section 46a-56.<br />
(h) The Contractor shall include the provisions of section (g) above in every subcontract or purchase order<br />
entered into in order to fulfill any obligation of a contract with the state <strong>and</strong> such provisions shall be<br />
binding on a subcontractor, vendor or manufacturer unless exempted by regulations or orders of the<br />
commission. The Contractor shall take such action with respect to any such subcontract or purchase<br />
order as the commission may direct as a means of en<strong>for</strong>cing such provisions including sanctions <strong>for</strong><br />
noncompliance in accordance with section 46a-56; provided, if such Contractor becomes involved in, or<br />
9
is threatened with, litigation with a subcontractor or vendor as a result of such direction by the<br />
commission, the Contractor may request the state of Connecticut to enter into any such litigation or<br />
negotiation prior thereto to protect the interests of the state <strong>and</strong> the state may so enter.<br />
For the purposes of this entire Non-Discrimination section, “Contract” or "contract" includes any<br />
extension or modification of the Contract or contract, “Contractor” or "contractor" includes any<br />
successors or assigns of the Contractor or contractor, "marital status" means being single, married as<br />
recognized by the state of Connecticut, widowed, separated or divorced, <strong>and</strong> "mental disability" means<br />
one or more mental disorders, as defined in the most recent edition of the American Psychiatric<br />
Association's "Diagnostic <strong>and</strong> Statistical Manual of Mental Disorders", or a record of or regarding a<br />
person as having one or more such disorders. For the purposes of this section, "Contract" does not<br />
include a contract where each contractor is (1) a political subdivision of the state, including, but not<br />
limited to, a municipality, (2) a quasi-public agency, as defined in Conn. Gen. Stat. Section 1-120, (3) any<br />
other state, including but not limited to any federally recognized Indian tribal governments, as defined in<br />
Conn. Gen. Stat. Section 1-267, (4) the federal government, (5) a <strong>for</strong>eign government, or (6) an agency of<br />
a subdivision, agency, state or government described in the immediately preceding enumerated items<br />
(1), (2), (3), (4) or (5).<br />
4.6 Executive Orders<br />
The Contract is subject to the provisions of Executive Order No. Three of Governor Thomas J. Meskill,<br />
promulgated June 16, 1971, concerning labor employment practices, Executive Order No. Seventeen of<br />
Governor Thomas J. Meskill promulgated February 15, 1973, concerning the listing of employment openings<br />
<strong>and</strong> Executive Order No. Sixteen of Governor John G. Rowl<strong>and</strong> promulgated August 4, 1999, concerning<br />
violence in the workplace, all of which are incorporated into <strong>and</strong> are made a part of the Contract as if they<br />
had been fully set <strong>for</strong>th in it. At the Contractor’s request, the Client Agency shall provide a copy of these<br />
orders to the Contractor. The Contract may also be subject to Executive Order No. 7C of Governor M. Jodi<br />
Rell, promulgated July 13, 2006, concerning contracting re<strong>for</strong>ms <strong>and</strong> Executive Order No. 14 of Governor M.<br />
Jodi Rell, promulgated April 17, 2006, concerning procurement of cleaning products <strong>and</strong> services, in<br />
accordance with their respective terms <strong>and</strong> conditions.<br />
4.7 Campaign Contribution Restrictions<br />
For all State contracts as defined in Public Act 10-1 having a value in a calendar year of $50,000 or more or a<br />
combination or series of such agreements or contracts having a value of $100,000 or more, the authorized<br />
signatory to this Agreement expressly acknowledges receipt of the State Elections En<strong>for</strong>cement<br />
Commission's notice advising state contractors of state campaign contribution <strong>and</strong> solicitation prohibitions,<br />
<strong>and</strong> will in<strong>for</strong>m its principals of the contents of the notice attached hereto as Exhibit A.<br />
4.8 Contract Termination <strong>for</strong> Cause<br />
The University may terminate any resulting Contract <strong>for</strong> cause by providing a written Notice to Cure to the<br />
Contractor citing the instances of noncompliance with the contract. The Contractor will have ten (10) days to<br />
reply to the Notice to Cure <strong>and</strong> indicate why the contract should not be terminated <strong>and</strong> recommend<br />
remedies to be taken.<br />
4.8.1 If the Contractor <strong>and</strong> the University reach an agreed upon solution, the Contractor will then have<br />
thirty (30) days after such agreement is reached to cure the noncompliance cited in the Notice to<br />
Cure.<br />
4.8.2 If a mutually agreed upon solution cannot be reached within ten (10) days after receipt of Notice to<br />
Cure by Contractor, the University reserves the right to terminate the Contract at that time by<br />
written notice of such termination.<br />
4.8.3 If the mutually agreed upon solution is not implemented within thirty (30) days from the date of<br />
agreement, the University reserves the right to terminate the Contract at that time by written notice<br />
of such termination.<br />
10
4.8.4 The University will be obligated only <strong>for</strong> those goods or Services rendered <strong>and</strong> accepted prior to the<br />
date of Notice of Termination.<br />
4.8.5 Remedies <strong>for</strong> Default: If the solution mutually agreed upon pursuant to subsection (a) of this Section<br />
is not implemented within the thirty (30) days provided in said subsection, the University may<br />
procure the subject goods or services from another source <strong>and</strong> charge any cost difference to the<br />
Contractor.<br />
4.9 Contract Termination <strong>for</strong> Convenience:<br />
4.9.1 The University may terminate any resulting Contract in whole or in part whenever, <strong>for</strong> any reason,<br />
the University shall determine that such termination is in the best interest of the University <strong>and</strong>/or<br />
the State of Connecticut.<br />
4.9.2 If the Contract is terminated by the University pursuant to this section, the University will provide<br />
the Contractor sixty (60) days written notice of such intention. In the event of such termination, the<br />
Contract Administrator <strong>and</strong>/or designee will notify the Contractor by certified mail, return receipt<br />
requested. Termination will be effective as of the close of business on the date specified in the<br />
notice.<br />
4.10 Force Majeure<br />
If the per<strong>for</strong>mance of obligations under this Agreement are rendered impossible or hazardous or is<br />
otherwise prevented or impaired due to illness, accident, Act(s) of God, riots, strikes, labor difficulties,<br />
epidemics, earthquakes, <strong>and</strong>/or any other cause or event, similar or dissimilar, beyond the control of the<br />
Contractor, then each party’s obligations to the other under this Agreement shall be excused <strong>and</strong> neither<br />
party shall have any liability to the other under or in connection with this Agreement.<br />
4.11 Statutory/Regulatory Compliance<br />
Vendor(s) shall keep in<strong>for</strong>med of, <strong>and</strong> shall provide all permits <strong>and</strong> comply with all applicable laws, ordinances,<br />
rules, regulations, <strong>and</strong> orders of the state <strong>and</strong> federal governments or public bodies having jurisdiction affecting<br />
any contract that may result from this RFP.<br />
4.12 Taxes<br />
The University of Connecticut is exempt from federal excise taxes, <strong>and</strong> no payment will be made <strong>for</strong> any taxes<br />
levied on a vendor's employees' wages. The University is exempt from state <strong>and</strong> local sales <strong>and</strong> use taxes on<br />
the services <strong>and</strong>/or equipment supplied pursuant to this agreement.<br />
4.13 Additional Costs<br />
Costs associated with every aspect of materials <strong>and</strong> service necessary to provide the commodities as specified<br />
herein must be made explicit in the vendor's reply. The University will not be responsible <strong>for</strong> any costs incurred<br />
by vendor(s) that are not included in the price schedule offered including hazardous materials charges, dry ice<br />
charges <strong>and</strong> fuel surcharges.<br />
4.14 Payment Terms<br />
The University's payment terms are 2% 15 days net 45 days. These terms will be honored unless otherwise<br />
stated on the Form of <strong>Proposal</strong>. The University will authorize payment to the vendor after providing<br />
satisfactory product <strong>and</strong> receipt of the vendor's invoice.<br />
4.15 Remedies Upon Default<br />
In any case where the vendor has failed to deliver or has delivered non-con<strong>for</strong>ming goods or services, the<br />
university shall provide a "notice to cure". If, after notice, the vendor continues to be in default, the University<br />
may procure goods or services as substitution from another source <strong>and</strong> charge the cost difference to the<br />
defaulting vendor.<br />
11
4.16 Collection <strong>for</strong> Default<br />
The Attorney General shall be requested to make collection from any defaulting vendor pursuant to the<br />
preceding paragraph.<br />
4.17 Immunity from Liability<br />
Every person who is a party to this agreement is hereby notified <strong>and</strong> agrees that the University, <strong>and</strong> its agents,<br />
is immune from liability <strong>and</strong> suit <strong>for</strong> or from the vendor's activities involving third parties <strong>and</strong> arising from any<br />
contract which may result from this solicitation.<br />
4.18 Assignment/Modification<br />
Neither party shall have the right to assign any Agreement without the written consent of the other party.<br />
Neither may this agreement be modified except by written instrument signed by both parties hereto, upon<br />
thirty (30) days written notice to the other party.<br />
4.19 Promotion<br />
Unless specifically authorized in writing by the University on a case by case basis, vendor shall have no right to<br />
use, <strong>and</strong> shall not use, the name of The University of Connecticut, its officials or employees, or the Seal of the<br />
University: (a) in any advertising, publicity, promotion; nor (b) to express or to imply any endorsement of<br />
vendor's products or services; nor (c) to use the name of the state, its officials or employees or the University<br />
seal in any manner (whether or not similar to uses prohibited by subparagraphs (a) <strong>and</strong> (b) above), except only<br />
to manufacture <strong>and</strong> deliver in accordance with this agreement such items as are hereby contracted by the<br />
University.<br />
4.20 Ethics <strong>and</strong> Compliance Hotline<br />
In accordance with the University’s compliance program, the University has in place an anonymous ethics<br />
<strong>and</strong> compliance reporting hotline service – 1-888-685-2637. Any person who is aware of unethical practices,<br />
fraud, violation of state laws or regulations or other concerns relating to University policies <strong>and</strong> procedures<br />
can report such matters anonymously. Such persons may also directly contact the University’s compliance<br />
office at: Office of Audit, Compliance, <strong>and</strong> Ethics, 9 Walters Avenue, Unit 5084, Storrs, CT 06269-5084;<br />
Phone 860-486-4526; Fax 860-486-4527. As a provider of goods <strong>and</strong>/or services to the University, you are<br />
hereby required to notify your employees, as well as any subcontractors, who are involved in the<br />
implementation of this contract, of this reporting mechanism.<br />
4.21 Ethical Considerations<br />
Respondent hereby certifies that: no elected or appointed official or employee or student of the University<br />
has benefited, or will benefit financially or materially from the proposed services. The University may<br />
terminate any contract resulting from this RFP, if it is determined that gratuities of any kind were either<br />
offered to, or received by, any University officer or employee contrary to this policy. The authorized<br />
signatory of a submitted proposal automatically attests this to be true.<br />
The laws of the State of Connecticut provide it is a felony to offer, promise or give anything of value or<br />
benefit to a State employee with intent to influence that employee’s acts, opinion, judgment or exercise of<br />
discretion with respect to that employee’s duty. Evidence of violation of this statute will be turned over to<br />
the proper prosecuting attorney. See Code of Ethics in Connecticut General Statutes Section 1-79 through<br />
Section 1-90. Vendor agrees by signing any resultant contract to abide by all Connecticut <strong>and</strong> Federal<br />
ethics laws, current <strong>and</strong> future.<br />
12
4.22 President’s Committee For Corporate Social Responsibility: The University of Connecticut (“UConn”) has a<br />
longst<strong>and</strong>ing commitment to the protection <strong>and</strong> advancement of socially responsible practices that reflect<br />
respect <strong>for</strong> fundamental human rights <strong>and</strong> dignity of all people. The University strives to promote the basic<br />
human rights <strong>and</strong> appropriate labor st<strong>and</strong>ards <strong>for</strong> individuals throughout its supply chain. Promoting these<br />
values in concrete practice is the central charge of the President’s committee on Corporate Social<br />
Responsibility (http://csr.uconn.edu). The University is also committed to building a safe, healthy <strong>and</strong><br />
sustainable environment <strong>for</strong> employees <strong>and</strong> the general public. The University is dedicated to conserving<br />
natural resources, increasing its use of environmentally sustainable products, materials <strong>and</strong> services<br />
(including renewable resources), <strong>and</strong> preventing pollution <strong>and</strong> minimizing waste through reduction, reuse,<br />
<strong>and</strong> recycling. UConn is proactive about purchasing recycled <strong>and</strong> environmentally preferred products, when<br />
practicable, <strong>and</strong> buying from entities committed to the support of campus sustainability initiatives.<br />
For this RFP process, vendor(s) must provide a comprehensive discussion of corporate <strong>and</strong> local sustainability<br />
practices <strong>for</strong> the entire scope of Lab <strong>Supplies</strong> <strong>and</strong> Equipment offered in your proposal. The response should<br />
include, but not be limited to, ef<strong>for</strong>ts to reduce adverse effects on human health <strong>and</strong> the environment <strong>for</strong> the<br />
entire product lifecycle; including energy, water, safety, delivery, storage, packaging <strong>and</strong> training. The awarded<br />
vendor will be required to provide, a comprehensive, annual summary report of its corporate social <strong>and</strong><br />
environmental practices. Where practicable, vendor(s) should include numeric measures of progress made to<br />
meet established sustainability goals, objectives <strong>and</strong> targets.<br />
4.23 UCHC Policies<br />
The vendor will comply with John Dempsey Hospital policies <strong>and</strong> procedures, as well as all applicable laws,<br />
ordinances, rules, regulations, st<strong>and</strong>ards <strong>and</strong> orders of governmental, regulatory <strong>and</strong> accrediting bodies,<br />
including, but not limited to, the Joint Commission on the Accreditation of Health Care Organizations (JCAHO),<br />
having jurisdiction in the premises that are applicable to the conduct of physicians. Background checks may be<br />
required <strong>for</strong> any persons to be entering the facility.<br />
4.24 Disqualification<br />
The University reserves the right to consider as acceptable only those responses submitted in accordance<br />
with all of the requirements set <strong>for</strong> herein, <strong>and</strong> which demonstrate an underst<strong>and</strong>ing of the scope of the<br />
work. Note: Any response offering any terms <strong>and</strong> conditions other than those included in this document<br />
may be disqualified without further notice.<br />
A respondent may be disqualified <strong>and</strong> their response automatically rejected <strong>for</strong> any one or more of the<br />
following reasons:<br />
• The proposal shows any non-compliance with applicable law.<br />
• The proposal is conditional, incomplete, or irregular in such a way as to make the proposal indefinite<br />
or ambiguous as to its meaning<br />
• The proposal has any provision(s) reserving the right to accept or reject award, or to enter into a<br />
contract pursuant to an award, or provisions contrary to those required in the solicitation.<br />
• The respondent is debarred or suspended.<br />
13
Section V<br />
UCHC Special Terms <strong>and</strong> Conditions<br />
5.0 UCHC Policies<br />
In addition to University policies <strong>and</strong> procedures, the vendor will comply with John Dempsey Hospital policies<br />
<strong>and</strong> procedures, as well as all applicable laws, ordinances, rules, regulations, st<strong>and</strong>ards <strong>and</strong> orders of<br />
governmental, regulatory <strong>and</strong> accrediting bodies, including, but not limited to, the Joint Commission on the<br />
Accreditation of Health Care Organizations (JCAHO), having jurisdiction in the premises that are applicable to<br />
the conduct of physicians.<br />
5.1 Background Checks And Certifications<br />
Supplier shall comply with applicable UCHC Policies <strong>and</strong> procedures regarding completion of background<br />
checks <strong>and</strong>/or certifications <strong>and</strong> shall pay all related fees. If UCHC determines that the results of a background<br />
check are unfavorable, UCHC may require supplier to immediately cease per<strong>for</strong>mance hereunder without<br />
penalty to UCHC.<br />
5.2 Health Insurance Portability <strong>and</strong> Accountability Act of 1996 (“HIPAA”).<br />
5.2.1 If the Contractor is a Business Associate under the requirements of the Health Insurance Portability<br />
<strong>and</strong> Accountability Act of 1996 (“HIPAA”), the Contractor must comply with all terms <strong>and</strong> conditions<br />
of this Section of the Contract. If the Contractor is not a Business Associate under HIPAA, this Section<br />
of the Contract does not apply to the Contractor <strong>for</strong> this Contract.<br />
5.2.2 The Contractor is required to safeguard the use, publication <strong>and</strong> disclosure of in<strong>for</strong>mation on all<br />
applicants <strong>for</strong>, <strong>and</strong> all clients who receive, services under the Contract in accordance with all<br />
applicable federal <strong>and</strong> state law regarding confidentiality, which includes but is not limited to HIPAA,<br />
more specifically with the Privacy <strong>and</strong> Security Rules at 45 C.F.R. part 160 <strong>and</strong> part 164, subparts A,<br />
C, <strong>and</strong> E; <strong>and</strong><br />
5.2.3 The University of Connecticut Health Center (hereinafter in this Section of the Contract, “UCHC”) is a<br />
“covered entity” as that term is defined in 45 C.F.R. §160.103; <strong>and</strong><br />
5.2.4 The Contractor, on behalf of UCHC, per<strong>for</strong>ms functions that involve the use or disclosure of<br />
“individually identifiable health in<strong>for</strong>mation,” as that term is defined in 45 C.F.R. §160.103; <strong>and</strong><br />
5.2.5 The Contractor is a “business associate” of UCHC, as that term is defined in 45 C.F.R. §160.103; <strong>and</strong><br />
5.2.6 The Contractor <strong>and</strong> UCHC agree to the following in order to secure compliance with HIPAA, the<br />
requirements of Subtitle D of the Health In<strong>for</strong>mation Technology <strong>for</strong> Economic <strong>and</strong> Clinical Health<br />
Act (hereinafter the HITECH Act) (Pub. L. 111-5, sections 13400 to 13423), <strong>and</strong> more specifically with<br />
the Privacy <strong>and</strong> Security Rules at 45 C.F.R. part 160 <strong>and</strong> part 164, subparts A, C, <strong>and</strong> E.<br />
5.2.7 Definitions.<br />
5.2.7.1 “Breach” shall have the same meaning as the term is defined in section 13400 of the<br />
HITECH Act (42 U.S.C. §17921(1)).<br />
5.2.7.2 “Business Associate” shall mean the Contractor.<br />
5.2.7.3 “Covered Entity” shall mean the University of Connecticut Health Center.<br />
5.2.7.4 “Designated Record Set” shall have the same meaning as the term “designated record set”<br />
in 45 C.F.R. §164.501.<br />
5.2.7.5 “Electronic Health Record” shall have the same meaning as the term is defined in section<br />
13400 of the HITECH Act (42 U.S.C. §17921(5)).<br />
5.2.7.6 “Individual” shall have the same meaning as the term “individual” in 45 C.F.R. §160.103<br />
<strong>and</strong> shall include a person who qualifies as a personal representative as defined in 45<br />
C.F.R. §164.502(g).<br />
5.2.7.7 “Privacy Rule” shall mean the St<strong>and</strong>ards <strong>for</strong> Privacy of Individually Identifiable Health<br />
In<strong>for</strong>mation at 45 C.F.R. part 160 <strong>and</strong> parts 164, subparts A <strong>and</strong> E.<br />
14
5.2.7.8 “Protected Health In<strong>for</strong>mation” or “PHI” shall have the same meaning as the term<br />
“protected health in<strong>for</strong>mation” in 45 C.F.R. §160.103, limited to in<strong>for</strong>mation created or<br />
received by the Business Associate from or on behalf of the Covered Entity.<br />
5.2.7.9 “Required by Law” shall have the same meaning as the term “required by law” in 45 C.F.R.<br />
§164.103.<br />
5.2.7.10 “Secretary” shall mean the Secretary of the Department of Health <strong>and</strong> Human Services or<br />
his designee.<br />
5.2.7.11 “More stringent” shall have the same meaning as the term “more stringent” in 45 C.F.R.<br />
§160.202.<br />
5.2.7.12 “This Section of the Contract” refers to the HIPAA Provisions stated herein, in their<br />
entirety.<br />
5.2.7.13 “Security Incident” shall have the same meaning as the term “security incident” in<br />
45 C.F.R. §164.304.<br />
5.2.7.14 “Security Rule” shall mean the Security St<strong>and</strong>ards <strong>for</strong> the Protection of Electronic<br />
Protected Health In<strong>for</strong>mation at 45 C.F.R. part 160 <strong>and</strong> parts 164, subparts A <strong>and</strong> C.<br />
5.2.7.15 “Unsecured protected health in<strong>for</strong>mation” shall have the same meaning as the term as<br />
defined in section 13402(h)(1)(A) of HITECH Act (42 U.S.C. §17932(h)(1)(A)).<br />
5.2.8 Obligations <strong>and</strong> Activities of Business Associates.<br />
5.2.8.1 Business Associate agrees not to use or disclose PHI other than as permitted or required<br />
by this Section of the Contract or as Required by Law.<br />
5.2.8.2 Business Associate agrees to use appropriate safeguards to prevent use or disclosure of<br />
PHI other than as provided <strong>for</strong> in this Section of the Contract.<br />
5.2.8.3 Business Associate agrees to use administrative, physical <strong>and</strong> technical safeguards that<br />
reasonably <strong>and</strong> appropriately protect the confidentiality, integrity, <strong>and</strong> availability of<br />
electronic protected health in<strong>for</strong>mation that it creates, receives, maintains, or transmits<br />
on behalf of the Covered Entity.<br />
5.2.8.4 Business Associate agrees to mitigate, to the extent practicable, any harmful effect that is<br />
known to the Business Associate of a use or disclosure of PHI by Business Associate in<br />
violation of this Section of the Contract.<br />
5.2.8.5 Business Associate agrees to report to Covered Entity any use or disclosure of PHI not<br />
provided <strong>for</strong> by this Section of the Contract or any security incident of which it becomes<br />
aware.<br />
5.2.8.6 Business Associate agrees to insure that any agent, including a subcontractor, to whom it<br />
provides PHI received from, or created or received by Business Associate, on behalf of the<br />
Covered Entity, agrees to the same restrictions <strong>and</strong> conditions that apply through this<br />
Section of the Contract to Business Associate with respect to such in<strong>for</strong>mation.<br />
5.2.8.7 Business Associate agrees to provide access, at the request of the Covered Entity, <strong>and</strong> in<br />
the time <strong>and</strong> manner agreed to by the parties, to PHI in a Designated Record Set, to<br />
Covered Entity or, as directed by Covered Entity, to an Individual in order to meet the<br />
requirements under 45 C.F.R. §164.524.<br />
5.2.8.8 Business Associate agrees to make any amendments to PHI in a Designated Record Set<br />
that the Covered Entity directs or agrees to pursuant to 45 C.F.R. §164.526 at the request<br />
of the Covered Entity, <strong>and</strong> in the time <strong>and</strong> manner agreed to by the parties.<br />
5.2.8.9 Business Associate agrees to make internal practices, books, <strong>and</strong> records, including policies<br />
<strong>and</strong> procedures <strong>and</strong> PHI, relating to the use <strong>and</strong> disclosure of PHI received from, or created<br />
or received by, Business Associate on behalf of Covered Entity, available to Covered Entity<br />
or to the Secretary in a time <strong>and</strong> manner agreed to by the parties or designated by the<br />
Secretary, <strong>for</strong> purposes of the Secretary determining Covered Entity’s compliance with the<br />
Privacy Rule.<br />
15
5.2.8.10 Business Associate agrees to document such disclosures of PHI <strong>and</strong> in<strong>for</strong>mation related to<br />
such disclosures as would be required <strong>for</strong> Covered Entity to respond to a request by an<br />
Individual <strong>for</strong> an accounting of disclosures of PHI in accordance with 45 C.F.R. §164.528<br />
<strong>and</strong> section 13405 of the HITECH Act (42 U.S.C. §17935) <strong>and</strong> any regulations promulgated<br />
thereunder.<br />
5.2.8.11 Business Associate agrees to provide to Covered Entity, in a time <strong>and</strong> manner agreed to by<br />
the parties, in<strong>for</strong>mation collected in accordance with clause 22.8.10 of this Section of the<br />
Contract, to permit Covered Entity to respond to a request by an Individual <strong>for</strong> an<br />
accounting of disclosures of PHI in accordance with 45 C.F.R. §164.528 <strong>and</strong> section 13405<br />
of the HITECH Act (42 U.S.C. §17935) <strong>and</strong> any regulations promulgated thereunder.<br />
Business Associate agrees at the Covered Entity’s direction to provide an accounting of<br />
disclosures of PHI directly to an individual in accordance with 45 C.F.R. §164.528 <strong>and</strong><br />
section 13405 of the HITECH Act (42 U.S.C. §17935) <strong>and</strong> any regulations promulgated<br />
thereunder.<br />
5.2.8.12 Business Associate agrees to comply with any state or federal law that is more stringent<br />
than the Privacy Rule.<br />
5.2.8.13 Business Associate agrees to comply with the requirements of the HITECH Act relating to<br />
privacy <strong>and</strong> security that are applicable to the Covered Entity <strong>and</strong> with the requirements of<br />
45 C.F.R. sections 164.504(e), 164.308, 164.310, 164.312, <strong>and</strong> 164.316.<br />
5.2.8.14 In the event that an individual requests that the Business Associate (a) restrict disclosures<br />
of PHI; (b) provide an accounting of disclosures of the individual’s PHI; or (c) provide a<br />
copy of the individual’s PHI in an electronic health record, the Business Associate agrees to<br />
notify the covered entity, in writing, within two business days of the request.<br />
5.2.8.15 Business Associate agrees that it shall not, directly or indirectly, receive any remuneration<br />
in exchange <strong>for</strong> PHI of an individual without (1) the written approval of the covered entity,<br />
unless receipt of remuneration in exchange <strong>for</strong> PHI is expressly authorized by this Contract<br />
<strong>and</strong> (2) the valid authorization of the individual, except <strong>for</strong> the purposes provided under<br />
section 13405(d)(2) of the HITECH Act (42 U.S.C. §17935(d)(2)) <strong>and</strong> in any accompanying<br />
regulations.<br />
5.2.8.16 Obligations in the Event of a Breach.<br />
5.2.8.16.1 The Business Associate agrees that, following the discovery of a breach of<br />
unsecured protected health in<strong>for</strong>mation, it shall notify the Covered Entity of<br />
such breach in accordance with the requirements of section 13402 of HITECH<br />
(42 U.S.C. 17932(b)) <strong>and</strong> the provisions of this Section of the Contract.<br />
5.2.8.16.2 Such notification shall be provided by the Business Associate to the Covered<br />
Entity without unreasonable delay, <strong>and</strong> in no case later than 30 days after the<br />
breach is discovered by the Business Associate, except as otherwise instructed<br />
in writing by a law en<strong>for</strong>cement official pursuant to section 13402(g) of<br />
HITECH (42 U.S.C. 17932(g)). A breach is considered discovered as of the first<br />
day on which it is, or reasonably should have been, known to the Business<br />
Associate. The notification shall include the identification <strong>and</strong> last known<br />
address, phone number <strong>and</strong> email address of each individual (or the next of<br />
kin of the individual if the individual is deceased) whose unsecured protected<br />
health in<strong>for</strong>mation has been, or is reasonably believed by the Business<br />
Associate to have been, accessed, acquired, or disclosed during such breach.<br />
5.2.8.16.3 The Business Associate agrees to include in the notification to the Covered<br />
Entity at least the following in<strong>for</strong>mation: (a) a brief description of what<br />
happened, including the date of the breach <strong>and</strong> the date of the discovery of<br />
the breach, if known; (b) a description of the types of unsecured protected<br />
health in<strong>for</strong>mation that were involved in the breach (such as full name, Social<br />
Security number, date of birth, home address, account number, or disability<br />
16
code); (c) the steps the Business Associate recommends that individuals take<br />
to protect themselves from potential harm resulting from the breach; (d) a<br />
detailed description of what the Business Associate is doing to investigate the<br />
breach, to mitigate losses, <strong>and</strong> to protect against any further breaches; (e)<br />
whether a law en<strong>for</strong>cement official has advised either verbally or in writing the<br />
Business Associate that he or she has determined that notification or notice to<br />
individuals or the posting required under section 13402 of the HITECH Act<br />
would impede a criminal investigation or cause damage to national security<br />
<strong>and</strong>; if so, include contact in<strong>for</strong>mation <strong>for</strong> said official.<br />
5.2.8.16.4 Business Associate agrees to provide appropriate staffing <strong>and</strong> have established<br />
procedures to ensure that individuals in<strong>for</strong>med by the Covered Entity of a<br />
breach by the Business Associate have the opportunity to ask questions <strong>and</strong><br />
contact the Business Associate <strong>for</strong> additional in<strong>for</strong>mation regarding the<br />
breach. Such procedures shall include a toll-free telephone number, an e-mail<br />
address, a posting on its Web site <strong>and</strong> a postal address. Business Associate<br />
agrees to include in the notification of a breach by the Business Associate to<br />
the Covered Entity, a written description of the procedures that have been<br />
established to meet these requirements. Costs of such contact procedures will<br />
be borne by the Contractor. Business Associate agrees that, in the event of a<br />
breach, it has the burden to demonstrate that it has complied with all<br />
notification requirements set <strong>for</strong>th above, including evidence demonstrating<br />
the necessity of a delay in notification to the Covered Entity.<br />
5.2.9 Permitted Uses <strong>and</strong> Disclosure by Business Associate.<br />
5.2.9.1 General Use <strong>and</strong> Disclosure Provisions. Except as otherwise limited in this Section of the<br />
Contract, Business Associate may use or disclose PHI to per<strong>for</strong>m functions, activities, or<br />
services <strong>for</strong>, or on behalf of, Covered Entity as specified in this Contract, provided that<br />
such use or disclosure would not violate the Privacy Rule if done by Covered Entity or the<br />
minimum necessary policies <strong>and</strong> procedures of the Covered Entity.<br />
5.2.9.2 Specific Use <strong>and</strong> Disclosure Provisions.<br />
5.2.9.2.1 Except as otherwise limited in this Section of the Contract, Business Associate<br />
may use PHI <strong>for</strong> the proper management <strong>and</strong> administration of Business<br />
Associate or to carry out the legal responsibilities of Business Associate.<br />
5.2.9.2.2 Except as otherwise limited in this Section of the Contract, Business Associate<br />
may disclose PHI <strong>for</strong> the proper management <strong>and</strong> administration of Business<br />
Associate, provided that disclosures are Required by Law, or Business<br />
Associate obtains reasonable assurances from the person to whom the<br />
in<strong>for</strong>mation is disclosed that it will remain confidential <strong>and</strong> used or further<br />
disclosed only as Required by Law or <strong>for</strong> the purpose <strong>for</strong> which it was disclosed<br />
to the person, <strong>and</strong> the person notifies Business Associate of any instances of<br />
which it is aware in which the confidentiality of the in<strong>for</strong>mation has been<br />
breached.<br />
5.2.9.2.3 Except as otherwise limited in this Section of the Contract, Business Associate<br />
may use PHI to provide Data Aggregation services to Covered Entity as<br />
permitted by 45 C.F.R. §164.504(e)(2)(i)(B).<br />
5.2.10 Obligations of Covered Entity.<br />
5.2.10.1 Covered Entity shall notify Business Associate of any limitations in its notice of privacy<br />
practices of Covered Entity, in accordance with 45 C.F.R. §164.520, or to the extent that<br />
such limitation may affect Business Associate’s use or disclosure of PHI.<br />
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5.2.10.2 Covered Entity shall notify Business Associate of any changes in, or revocation of,<br />
permission by Individual to use or disclose PHI, to the extent that such changes may affect<br />
Business Associate’s use or disclosure of PHI.<br />
5.2.10.3 Covered Entity shall notify Business Associate of any restriction to the use or disclosure of<br />
PHI that Covered Entity has agreed to in accordance with 45 C.F.R. §164.522, to the extent<br />
that such restriction may affect Business Associate’s use or disclosure of PHI<br />
5.2.11 Permissible <strong>Request</strong>s by Covered Entity. Covered Entity shall not request Business Associate to use<br />
or disclose PHI in any manner that would not be permissible under the Privacy Rule if done by the<br />
Covered Entity, except that Business Associate may use <strong>and</strong> disclose PHI <strong>for</strong> data aggregation, <strong>and</strong><br />
management <strong>and</strong> administrative activities of Business Associate, as permitted under this Section of<br />
the Contract.<br />
5.2.12 Term <strong>and</strong> Termination.<br />
5.2.12.1 Term. The Term of this Section of the Contract shall be effective as of the date the<br />
Contract is effective <strong>and</strong> shall terminate when the in<strong>for</strong>mation collected in accordance<br />
with clause 22.8.10 of this Section of the Contract is provided to the Covered Entity <strong>and</strong> all<br />
of the PHI provided by Covered Entity to Business Associate, or created or received by<br />
Business Associate on behalf of Covered Entity, is destroyed or returned to Covered Entity,<br />
or, if it is infeasible to return or destroy PHI, protections are extended to such in<strong>for</strong>mation,<br />
in accordance with the termination provisions in this Section.<br />
5.2.12.2 Termination <strong>for</strong> Cause. Upon Covered Entity’s knowledge of a material breach by Business<br />
Associate, Covered Entity shall either: (a) provide an opportunity <strong>for</strong> Business Associate to<br />
cure the breach or end the violation <strong>and</strong> terminate the Contract if Business Associate does<br />
not cure the breach or end the violation within the time specified by the Covered Entity; or<br />
(b) immediately terminate the Contract if Business Associate has breached a material term<br />
of this Section of the Contract <strong>and</strong> cure is not possible; or (c) if neither termination nor<br />
cure is feasible, Covered Entity shall report the violation to the Secretary.<br />
5.2.12.3 Effect of Termination. Except as provided in 22.12.2 of this Section of the Contract, upon<br />
termination of this Contract, <strong>for</strong> any reason, Business Associate shall return or destroy all<br />
PHI received from Covered Entity, or created or received by Business Associate on behalf<br />
of Covered Entity. Business Associate shall also provide the in<strong>for</strong>mation collected in<br />
accordance with clause 22.8.10 of this Section of the Contract to the Covered Entity within<br />
ten business days of the notice of termination. This provision shall apply to PHI that is in<br />
the possession of subcontractors or agents of Business Associate. Business Associate shall<br />
retain no copies of the PHI. In the event that Business Associate determines that returning<br />
or destroying the PHI is infeasible, Business Associate shall provide to Covered Entity<br />
notification of the conditions that make return or destruction infeasible. Upon<br />
documentation by Business Associate that return or destruction of PHI is infeasible,<br />
Business Associate shall extend the protections of this Section of the Contract to such PHI<br />
<strong>and</strong> limit further uses <strong>and</strong> disclosures of PHI to those purposes that make return or<br />
destruction infeasible, <strong>for</strong> as long as Business Associate maintains such PHI. Infeasibility of<br />
the return or destruction of PHI includes, but is not limited to, requirements under state or<br />
federal law that the Business Associate maintains or preserves the PHI or copies thereof.<br />
5.2.13 Miscellaneous Provisions.<br />
5.2.13.1 Regulatory References. A reference in this Section of the Contract to a section in the<br />
Privacy Rule means the section as in effect or as amended.<br />
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5.2.13.2 Amendment. The Parties agree to take such action as is necessary to amend this Section of<br />
the Contract from time to time as is necessary <strong>for</strong> Covered Entity to comply with<br />
requirements of the Privacy Rule <strong>and</strong> the Health Insurance Portability <strong>and</strong> Accountability<br />
Act of 1996, Pub. L. No. 104-191.<br />
5.2.13.3 Survival. The respective rights <strong>and</strong> obligations of Business Associate shall survive the<br />
termination of this Contract.<br />
5.2.13.4 Effect on Contract. Except as specifically required to implement the purposes of this<br />
Section of the Contract, all other terms of the Contract shall remain in <strong>for</strong>ce <strong>and</strong> effect.<br />
5.2.13.5 Construction. This Section of the Contract shall be construed as broadly as necessary to<br />
implement <strong>and</strong> comply with the Privacy St<strong>and</strong>ard. Any ambiguity in this Section of the<br />
Contract shall be resolved in favor of a meaning that complies, <strong>and</strong> is consistent with, the<br />
Privacy St<strong>and</strong>ard.<br />
5.2.13.6 Disclaimer. Covered Entity makes no warranty or representation that compliance with this<br />
Section of the Contract will be adequate or satisfactory <strong>for</strong> Business Associate’s own<br />
purposes. Covered Entity shall not be liable to Business Associate <strong>for</strong> any claim, civil or<br />
criminal penalty, loss or damage related to or arising from the unauthorized use or<br />
disclosure of PHI by Business Associate or any of its officers, directors, employees,<br />
contractors or agents, or any third party to whom Business Associate has disclosed PHI<br />
contrary to the provisions of this Contract or applicable law. Business Associate is solely<br />
responsible <strong>for</strong> all decisions made, <strong>and</strong> actions taken, by Business Associate regarding the<br />
safeguarding, use <strong>and</strong> disclosure of PHI within its possession, custody or control.<br />
5.2.13.7 Indemnification. The Business Associate shall indemnify <strong>and</strong> hold the Covered Entity<br />
harmless from <strong>and</strong> against any <strong>and</strong> all claims, liabilities, judgments, fines, assessments,<br />
penalties, awards <strong>and</strong> any statutory damages that may be imposed or assessed pursuant<br />
to HIPAA, as amended, or the HITECH Act, including, without limitation, attorney’s fees,<br />
expert witness fees, costs of investigation, litigation or dispute resolution, <strong>and</strong> costs<br />
awarded thereunder, relating to or arising out of any violation by the Business Associate<br />
<strong>and</strong> its agents, including subcontractors, of any obligation of Business Associate <strong>and</strong> its<br />
agents, including subcontractors, under this Section of the Contract, under HIPAA, the<br />
HITECH Act, the Privacy Rule <strong>and</strong> the Security Rule.<br />
5.3 Confidential In<strong>for</strong>mation <strong>and</strong> Protection of Data<br />
5.3.1 Contractor <strong>and</strong> Contractor Parties, at their own expense, have a duty to <strong>and</strong> shall protect from a<br />
Confidential In<strong>for</strong>mation Breach any <strong>and</strong> all Confidential In<strong>for</strong>mation which they come to possess or<br />
control, wherever <strong>and</strong> however stored or maintained, in a commercially reasonable manner in<br />
accordance with current industry st<strong>and</strong>ards.<br />
5.3.2 Each Contractor <strong>and</strong> Contractor Parties shall implement <strong>and</strong> maintain a comprehensive data -<br />
security program <strong>for</strong> the protection of Confidential In<strong>for</strong>mation. The safeguards contained in such<br />
program shall be consistent with <strong>and</strong> comply with the safeguards <strong>for</strong> protection of Confidential<br />
In<strong>for</strong>mation, <strong>and</strong> in<strong>for</strong>mation of a similar character, as set <strong>for</strong>th in all applicable federal <strong>and</strong> state law<br />
<strong>and</strong> written policy of the Department or State concerning the confidentiality of Confidential<br />
In<strong>for</strong>mation. Such data-security program shall include, but not be limited to, the following:<br />
5.3.2.1 A security policy <strong>for</strong> employees related to the storage, access <strong>and</strong> transportation of data<br />
containing Confidential In<strong>for</strong>mation;<br />
5.3.2.2 Reasonable restrictions on access to records containing Confidential In<strong>for</strong>mation, including<br />
access to any locked storage where such records are kept<br />
5.3.2.3 A process <strong>for</strong> reviewing policies <strong>and</strong> security measures at least annually \<br />
5.3.2.4 Creating secure access controls to Confidential In<strong>for</strong>mation, including but not limited to<br />
passwords; <strong>and</strong><br />
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5.3.2.5 Encrypting of Confidential In<strong>for</strong>mation that is stored on laptops, portable devices or being<br />
transmitted electronically.<br />
5.3.3 The Contractor <strong>and</strong> Contractor Parties shall notify the Department <strong>and</strong> the Connecticut Office of the<br />
Attorney General as soon as practical, but no later than twenty-four (24) hours, after they become<br />
aware of or suspect that any Confidential In<strong>for</strong>mation which Contractor or Contractor Parties<br />
possess or control has been subject to a Confidential In<strong>for</strong>mation Breach. If a Confidential<br />
In<strong>for</strong>mation Breach has occurred, the Contractor shall, within three (3) business days after the<br />
notification, present a credit monitoring <strong>and</strong> protection plan to the Commissioner of Administrative<br />
Services, the Department <strong>and</strong> the Connecticut Office of the Attorney General, <strong>for</strong> review <strong>and</strong><br />
approval. Such credit monitoring or protection plan shall be made available by the Contractor at its<br />
own cost <strong>and</strong> expense to all individuals affected by the Confidential In<strong>for</strong>mation Breach. Such credit<br />
monitoring or protection plan shall include, but is not limited to reimbursement <strong>for</strong> the cost of<br />
placing <strong>and</strong> lifting one (1) security freeze per credit file pursuant to Connecticut General Statutes §<br />
36a-701a. Such credit monitoring or protection plans shall be approved by the State in accordance<br />
with this Section <strong>and</strong> shall cover a length of time commensurate with the circumstances of the<br />
Confidential In<strong>for</strong>mation Breach. The Contractors’ costs <strong>and</strong> expenses <strong>for</strong> the credit monitoring <strong>and</strong><br />
protection plan shall not be recoverable from the Department, any State of Connecticut entity or<br />
any affected individuals<br />
5.3.4 The Contractor shall incorporate the requirements of this Section in all subcontracts requiring each<br />
Contractor Party to safeguard Confidential In<strong>for</strong>mation in the same manner as provided <strong>for</strong> in this<br />
Section.<br />
5.3.5 Nothing in this Section shall supersede in any manner Contractor’s or Contractor Party’s obligations<br />
pursuant to HIPAA or the provisions of this Contract concerning the obligations of the Contractor as<br />
a Business Associate.<br />
5.3.6 All data provided to the Contractor by UCHC or developed internally by the Contractor with regard<br />
to UCHC shall be treated as proprietary to UCHC unless UCHC agrees in writing to the contrary. The<br />
Contractor agrees to <strong>for</strong>ever hold in confidence all files, records, documents, or other in<strong>for</strong>mation as<br />
designated, whether prepared by UCHC or others, which may come into the Contractor’s possession<br />
during the term of this Contract, except where disclosure of such in<strong>for</strong>mation by the Contractor is<br />
required by governmental authority to ensure compliance with laws, rules or regulations, <strong>and</strong> such<br />
disclosure shall be limited to that actually so required. Where such disclosure is required, the<br />
Contractor shall provide advance notice to UCHC of the need <strong>for</strong> the disclosure <strong>and</strong> shall not disclose<br />
absent consent from UCHC. The requirements of this section are in addition to those pertaining to<br />
HIPAA as set <strong>for</strong>th above.<br />
5.3.7 UCHC will af<strong>for</strong>d due regard to the Contractor’s request <strong>for</strong> the protection of proprietary or<br />
confidential data that UCHC receives. However, all materials associated with the Solicitation <strong>and</strong> the<br />
Contract are subject to the FOIA provisions set <strong>for</strong>th in Chapter 14 of the Connecticut General<br />
Statutes, <strong>and</strong> all corresponding rules, regulations <strong>and</strong> interpretations. If the Contractor indicates that<br />
certain documents are submitted in confidence, by specifically <strong>and</strong> clearly marking them as<br />
“CONFIDENTIAL,” UCHC will endeavor to keep said data confidential to the extent permitted by law.<br />
However, UCHC has no obligation to initiate, prosecute or defend any legal proceeding or to seek a<br />
protective order or other similar relief to prevent disclosure of anything that is sought pursuant to a<br />
FOIA request. The Contractor shall have the burden of establishing, in the legally-prescribed manner,<br />
the availability of any FOIA exemption in any proceeding where it is an issue. In no event shall UCHC<br />
or the State have any liability <strong>for</strong> the disclosure of any documents or data in UCHC’s possession<br />
which UCHC believes is required to be disclosed pursuant to FOIA or other requirements of law. To<br />
the extent that any other provision of the Contract, Solicitation or any other Records or documents<br />
conflicts or is in any way inconsistent with this section, this section controls <strong>and</strong> shall apply.<br />
20
Section VI<br />
Specifications<br />
6.0 Scope<br />
The successful vendors will serve all University departments located at the Storrs <strong>and</strong> regional campuses <strong>and</strong><br />
the UConn Health Center in Farmington. Services shall include, but not be limited to, the warehousing <strong>and</strong><br />
distribution of supplies, filling of orders received by mail, facsimile, EDI or Internet, fielding all inquiries,<br />
tracking all orders, resolving all disputes, providing reports as required, <strong>and</strong> submission of invoices. The<br />
awarded vendors will provide goods <strong>and</strong> services as a means to supplement the University’s current<br />
partnership with its Prime Vendor, Fisher-Scientific.<br />
Note: Vendor must recognize that the e-commerce plat<strong>for</strong>m(s) may change during the course of the contract.<br />
Vendor must be willing to make any <strong>and</strong> all adjustments at no additional cost to the University.<br />
The University desires experienced, professional firms that can provide the following:<br />
• accurately deliver products next day, if possible<br />
• offer the deepest discount prices possible<br />
• cut administrative costs <strong>and</strong> improve efficiencies,<br />
• skillfully implement <strong>and</strong> manage the contract,<br />
• customize programs, materials <strong>and</strong> billing to the University’s exact needs <strong>and</strong> requirements,<br />
• possess the technology to monitor <strong>and</strong> assess our contract as the University’s needs change,<br />
• to support the University’s e-commerce plat<strong>for</strong>m<br />
The successful vendors must have an experienced <strong>and</strong> knowledgeable sales <strong>and</strong> support staff to meet the<br />
requirements of the University community.<br />
Vendors interested in providing the required goods <strong>and</strong> services, should submit their proposals <strong>and</strong> discounted<br />
prices based on the General Terms <strong>and</strong> Conditions, Specifications contained herein.<br />
6.1 Exclusions<br />
The following items are NOT included in this RFP:<br />
• Equipment <strong>and</strong> <strong>Supplies</strong> which may be included in a vendor’s catalog, but which are not specifically designed<br />
or intended <strong>for</strong> laboratory use (e.g. reception chairs, couches, coffee tables, general office equipment, etc.)<br />
• Any Compressed Gas supply or related items, as these are currently available under another University<br />
contract award. Vendors are to submit pricing <strong>for</strong> chemicals as part of the response. However, due to<br />
nature of on-going research, there is no mechanism by which to predict or commit to future requirements.<br />
Accordingly, any contract issued pursuant to this RFP will be non-exclusive.<br />
6.2 Preferred vs. Authorized Vendors<br />
Vendor responses will be rated, as per the evaluation criteria found in Section IX of this document. Once a<br />
point value has been assigned to each response, the University will rank the responses <strong>and</strong> choose any number<br />
of firms it deems necessary to define the different vendor categories: Preferred <strong>and</strong> Authorized. Any<br />
designation will be made based on Vendor ability to fulfill University’s dem<strong>and</strong>s <strong>and</strong> expectations, in addition<br />
to Vendor willingness to provide these enhancements.<br />
Those awarded vendors designated as Preferred shall be responsible <strong>for</strong> all vendor requirements outlined in<br />
Section VI of the RFP. Vendors designated as Authorized will be responsible <strong>for</strong> all requirements with the<br />
exception of Sections 6.4.1, 6.14, 6.15 <strong>and</strong> 6.16.<br />
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6.3 Local Business Support/MWBE/DBE<br />
UConn encourages the use <strong>and</strong>/or involvement of local businesses, as well as small, minority, women-owned <strong>and</strong><br />
disadvantaged businesses <strong>for</strong> any subcontracting or purchasing related to this contract. Describe any programs<br />
that your company currently has in place in support of these types of businesses; <strong>and</strong> whether <strong>and</strong> how the<br />
resulting contract would or could be incorporated into the program(s). Further, please provide any in<strong>for</strong>mation<br />
pertaining to the requirement of Department of Administrative Services (DAS) certification or Federal SBA<br />
certifications.<br />
6.4 Personnel Requirements<br />
6.4.1 A (Preferred) Vendor must provide a sales representative, on a regular basis, who has a exceptional<br />
knowledge of the products <strong>and</strong> who will provide, at a minimum, the following services:<br />
6.4.1.1.1 Provide technical in<strong>for</strong>mation regarding products <strong>for</strong> the end users;<br />
6.4.1.1.2 Assist the Procurement Services Department with resolving customer service problems;<br />
6.4.1.1.3 Provide data input of orders as required.<br />
6.4.1.1.4 Provide demonstrations <strong>and</strong> samples of products <strong>and</strong> supplies <strong>for</strong> the end user;<br />
6.4.1.1.5 Provide needs assessment <strong>for</strong> individual departments;<br />
6.4.1.1.6 Consult on new building projects with regard to <strong>Laboratory</strong> requirements;<br />
6.4.1.1.7 Detail new products to the end user <strong>and</strong> integrate those items into the pricing structure of<br />
the contract;<br />
6.4.1.1.8 Amend the pricing structure to meet new University requirements, i.e., providing special<br />
pricing <strong>for</strong> unusually large orders <strong>and</strong>/or high volume items;<br />
6.4.1.1.9 Provide training <strong>for</strong> new staff as well as in-service training as required by individual<br />
departments.<br />
6.4.1.1.10 Devote as much time as is necessary to effectively meet the needs of the University as they<br />
relate to this contract. At a minimum, the representative will be required to have a presence<br />
at the Storrs Campus three (3) days each week <strong>and</strong> the UCHC facility three (3) days per week.<br />
6.4.1.1.11 Be accessible 24 hours a day, seven days a week <strong>for</strong> emergencies.<br />
6.4.1.1.12 There shall be one sales representative <strong>for</strong> both Storrs <strong>and</strong> Farmington. He/she will<br />
coordinate all specialty representatives as well as manufacturer’s representatives.<br />
6.4.1.1.13 Contingent on product offerings, UCHC may request one representative <strong>for</strong> both research<br />
<strong>and</strong> clinical areas.<br />
6.4.2 Vendor(s) must provide a dedicated inside customer service representative, available via a toll-free<br />
number, who is intimately familiar with the account requirements, to provide the following minimum<br />
services:<br />
6.4.2.1 Product research <strong>and</strong> knowledge<br />
6.4.2.2 Order processing<br />
6.4.2.3 Manage <strong>and</strong> update computerized pricing<br />
6.4.2.4 H<strong>and</strong>le all billing <strong>and</strong> credit issues, including returns<br />
6.4.2.5 Track shipments when required<br />
6.4.2.6 Support the sales representative on campus when required<br />
6.4.2.7 In<strong>for</strong>mation regarding more cost effective alternatives <strong>for</strong> clients.<br />
6.4.2.8 Training <strong>and</strong> support <strong>for</strong> use in on-line ordering systems.<br />
6.4.3 Vendor(s) must have the ability to provide access to account in<strong>for</strong>mation on-line, including, but not<br />
limited to, usage history, usage by delivery address, order status, order entry, Material Safety Data<br />
Sheets, product specifications <strong>and</strong> various other analysis tools<br />
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6.4.4 Vendor(s) must offer in-house technical assistance.<br />
6.4.5 In order to assist with credentialing all vendor representatives in the most efficient way, UCHC has<br />
partnered with Status Blue (www.status-blue.com). Status Blue provides an internet based service that<br />
will allow our vendors <strong>and</strong> hospital departments to navigate our compliance goals in an efficient, easy<br />
<strong>and</strong> comprehensive manner.<br />
Sales Representatives or Contractors requesting access to the University of Connecticut Health Center<br />
(UCHC) Campus must submit, <strong>for</strong> approval, a completed “Background In<strong>for</strong>mation Sheet” <strong>for</strong>m. This is<br />
necessary to comply with Public Safety Department requirements. Please see the linked Policy <strong>and</strong><br />
Procedure <strong>and</strong> attached <strong>for</strong>m.<br />
To view Policy <strong>and</strong> Procedure, use the following link:<br />
http://opa.uchc.edu/Forms/Policy%20<strong>and</strong>%20Procedure%20Background%20check.pdf<br />
Once all of the required credentials <strong>and</strong> a photo <strong>for</strong> the badge have been submitted, the Vendor will<br />
receive 'approved' vendor status <strong>for</strong> UCHC. Call 678-324-4487 or visit www.status-blue.com with any<br />
questions. Please note that all vendors must be part of the Status Blue compliance network.<br />
6.4.6 Although no vendor badge system currently exists at the Storrs Campus <strong>and</strong> regional campuses,<br />
vendor(s) must agree to comply with any initiatives regarding the future implementation of a campuswide<br />
badge system <strong>and</strong>/or a credentialing system, which may include background checks.<br />
6.5 Product Requirements<br />
It is not the intent of these specifications to rule out or eliminate any prospective bidder or manufacturer. If<br />
the materials or services you intend to bid do not comply with the specifications as written, you are instructed<br />
to attach to your proposal a complete itemization <strong>and</strong> explanation <strong>for</strong> each deviation or variation from the<br />
specifications. The University may, at its discretion, consider or deny any deviation <strong>and</strong> purchase the material<br />
which best suits its intended use. The bidder shall not purposely bid goods or services of a lesser quality,<br />
which requires deviation from the specification, if the bidder can furnish the goods or services, which will<br />
comply with the minimum technical specifications.<br />
6.5.1 <strong>Proposal</strong>s must include a complete list of the manufacturer's product offering <strong>for</strong> which the vendor is<br />
the OEM or authorized distributor.<br />
6.5.2 <strong>Proposal</strong>s must include the vendor’s policy <strong>for</strong> providing demonstration equipment, including any<br />
restrictions on the number of units or the length of time.<br />
6.5.3 Vendor(s) must have the ability to cross-reference other suppliers' <strong>and</strong> manufacturers’ catalog<br />
numbers.<br />
6.5.4 Vendor(s) must have the ability to offer substitutes <strong>for</strong> discontinued products or stock outs<br />
6.5.5 In the event that an item ordered becomes discontinued during the contract, all bidders must notify<br />
University Procurement Services <strong>for</strong> authorization be<strong>for</strong>e the item is substituted <strong>and</strong> shipped.<br />
Successful bidders may be required to provide samples of the proposed substitutions be<strong>for</strong>e sending<br />
shipments. The University reserves the right to return any shipment, if in its opinion the products<br />
supplied do not con<strong>for</strong>m to the specifications of this contract.<br />
6.5.6 Unless otherwise specified supplies <strong>and</strong> services must be new items, in good condition, fit <strong>for</strong> the<br />
purpose <strong>for</strong> which they are being acquired <strong>and</strong> free from defects. The decision of the University<br />
pertaining to items being rejected is final.<br />
6.5.7 Manufacturers’ br<strong>and</strong> names <strong>and</strong> numbers are used <strong>for</strong> the guidance of bidders. Alternate items of<br />
equal quality will be considered. Manufacturers’ name <strong>and</strong> model number should be indicated in the<br />
appropriate field FOR EVERY ITEM BID.<br />
6.5.8 The determination of equal quality will be based on the internal professional opinions of University<br />
staff.<br />
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6.5.9 Any material, equipment, service or work ordered, which in the opinion of the University, does not<br />
completely fulfill the specifications, must be removed <strong>and</strong>/or completed at the expense of the<br />
successful bidder(s) <strong>and</strong> be replaced immediately with the material, equipment, services or work that<br />
fulfills the specifications.<br />
6.6 Term<br />
The term of any contract resulting from this RFP shall be from the date of award through June 30, 2018.<br />
6.7 Prices<br />
Pricing <strong>for</strong> this contract will be based on a discount schedule from vendor’s price list or catalog.<br />
6.7.1 For evaluation purposes, vendors will complete the discount schedule <strong>for</strong> the product categories listed<br />
in the Form of <strong>Proposal</strong> <strong>and</strong> or any additional categories as appropriate <strong>for</strong> their primary business<br />
function. Product pricing will be based on this discount schedule. Net prices must include delivery to<br />
the specified location.<br />
Each prospective vendor must furnish firm pricing discounts on all their category/pricing codes as part<br />
of this proposal. The percentage discount <strong>and</strong> pricing code <strong>for</strong> each category <strong>and</strong>/or sub-categories<br />
must be provided. Respondents must indicate the applicable discount(s) <strong>for</strong> each of his/her company’s<br />
sub-categories.<br />
6.7.2 Respondents shall propose a structure <strong>for</strong> tiered pricing with discounts increasing as thresholds are<br />
achieved. For example:<br />
Volume Threshold $0 – $50,000 $50,000 - $100,000 >$100,000<br />
Discount 15% 20% 25%<br />
The ‘volume’ refers to overall spend among all participating agencies <strong>and</strong> institutions. As the overall<br />
spend increases, better discounts <strong>and</strong>/or incentives are expected.<br />
6.7.3 All proposals must also include a list of all product lines offered <strong>and</strong> any additional pricing in<strong>for</strong>mation<br />
that will apply. Where the cost to vendor(s) <strong>for</strong> any given product line is determined by a published<br />
price list from the manufacturer, the University’s net pricing shall remain fixed <strong>for</strong> the duration of that<br />
price list.<br />
6.7.4 Prices quoted shall remain firm through 6/30/2013. Thereafter, prices may be subject to revision, at<br />
the annual anniversary date. Price changes will be accepted subject to the following conditions only:<br />
6.7.4.1 The proposal should include suggested procedures <strong>for</strong> dialog <strong>and</strong> agreement regarding<br />
the review of requested price increases in other similar mutual circumstances. After the<br />
initial period, the prices quoted in response to this RFP may be adjusted up or down in<br />
an amount not to exceed the Consumer Price Index (CPI), appropriate <strong>for</strong> the<br />
commodity, as published by the United States Department of Labor.<br />
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6.7.4.2 Price changes shall be submitted in writing thirty (30) calendar days prior to the date the<br />
increase rate is allowed to become effective. Acceptance of which shall be subject to<br />
the University’s receipt <strong>and</strong> approval of the written documentation requesting the<br />
changes. No retroactive increases will be allowed. Price escalation is permitted only<br />
once per term. Price changes approved by the University shall then remain firm <strong>for</strong> the<br />
annual term.<br />
6.7.4.3 The prices quoted <strong>for</strong> each yearly period shall be firm except that the University shall<br />
receive any reduction in prices that may occur during the contract period. The reduced<br />
prices shall apply on all shipments made on or after the date the reduced prices become<br />
effective.<br />
6.7.5 The University reserves the right to request additional large quantity discounts <strong>and</strong> to seek additional<br />
competitive bids on any item(s) listed in any customized catalog or general laboratory supply catalog<br />
during the contract period when it is deemed by the University to be in its own best interest.<br />
6.7.6 The University, at its sole discretion, reserves the right to limit the value of any single item to no more<br />
than $250,000.00.<br />
6.8 Warehousing of <strong>Laboratory</strong> <strong>Supplies</strong><br />
Vendor(s) must have <strong>and</strong> maintain an adequate inventory in a vendor-operated warehouse(s) to provide all<br />
items covered by the contract. The University reserves the right to inspect the vendor’s warehouse(s), prior<br />
to an award being made, to determine if vendor has appropriate inventory <strong>and</strong> such resources as necessary<br />
or appropriate, determined by commercially reasonable st<strong>and</strong>ards in the industry, to meet all of the<br />
vendor’s duties <strong>and</strong> obligations as set <strong>for</strong>th in this RFP.<br />
6.9 Ordering Procedure<br />
6.9.1 All orders (Storrs locations <strong>and</strong> all branch/extension locations <strong>and</strong> UCHC) shall be accepted by the<br />
vendor between the hours of 8:00 a.m. <strong>and</strong> 5:00 p.m. EST, Monday through Friday, except legal<br />
holidays. Orders shall be processed via manual purchase orders, telephone, facsimile, EDI, or via an<br />
internet based ordering system <strong>and</strong> must be delivered to the specified destination within 24 hours<br />
“next business day” after receipt of order except <strong>for</strong> equipment, special orders, backorders, <strong>and</strong> sameday<br />
deliveries. It is the University’s goal to achieve a 99% fill rate based on UConn’s <strong>and</strong> UCHC’s top<br />
100. Orders placed against an established “Blanket” purchase order will be maintained by individual<br />
release numbers, either University assigned or assigned by the vendor’s system when ordering via the<br />
internet. These numbers will verify the orders’ authenticity <strong>and</strong> that the items are being purchased<br />
consistent with the University’s procurement policies.<br />
• Vendors must submit data to support their fill-rate capabilities.<br />
• Vendors must detail how order placement continuity will be maintained when vendor’s key<br />
personnel are on vacations or holidays, or when illness or emergency strikes.<br />
6.9.2 The University <strong>and</strong> UCHC use a Master Card purchasing card, issued by J.P MORGAN CHASE. This card<br />
acts as a procurement tool offering an alternative to the existing University procurement process. It<br />
provides an extremely efficient <strong>and</strong> effective method of purchasing <strong>and</strong> paying <strong>for</strong> goods <strong>and</strong> services.<br />
This purchasing card is designed <strong>for</strong> purchases related to University business only. Vendor shall be<br />
responsible <strong>for</strong> credit card user-h<strong>and</strong>ling fees. Vendor shall only charge to the University’s Master Card<br />
upon delivery or shipment of the goods. Successful vendor must be able to provide Level III data<br />
reporting.<br />
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6.10 Delivery<br />
6.10.1 Vendor(s) will be responsible <strong>for</strong> the delivery of commodities in first-class condition at the point of<br />
delivery, <strong>and</strong> in accordance with good commercial practice.<br />
6.10.2 Vendor(s) shall indicate the method of delivery of goods (e.g., common carrier, fleet, etc.) in the<br />
response.<br />
6.10.3 Deliveries will be “inside delivery”. “Inside delivery” is defined as the designated delivery location<br />
within the ordering entity’s building, which may be a particular floor, room, etc. Bidders should be<br />
aware that there might be multiple inside deliveries to multiple locations within a building, as well<br />
as dock delivery <strong>for</strong> the same building.<br />
6.10.4 “Inside Delivery” of lab equipment shall include uncrating <strong>and</strong> set-in-place at no additional charge<br />
to the University.<br />
6.10.5 Deliveries to the UConn main campus, all branch campuses <strong>and</strong> extension offices throughout the<br />
State will be made to their respective receiving areas five (5) days per week. Due to limited access<br />
to many of the buildings on the Storrs campus, deliveries to be made directly to departments must<br />
be made using a straight-bodied truck. Vendor(s) will be responsible <strong>for</strong> ascertaining any additional<br />
restrictions <strong>for</strong> inside deliveries to departments. Equipment deliveries <strong>and</strong> any other deliveries<br />
being transported by common carrier shall be at pre-arranged times to be determined between<br />
the department contact <strong>and</strong> the contract vendor.<br />
6.10.6 UCHC requires a minimum of 5 deliveries per week: Monday - Friday. There are two primary<br />
delivery/receiving points: Central Receiving <strong>and</strong> Warehouse. Vendor will be responsible <strong>for</strong><br />
establishing delivery guidelines with UCHC personnel. Daily manifest <strong>and</strong> actual carton count must<br />
match.<br />
6.10.7 Each order must be individually wrapped, packed <strong>and</strong> labeled with the department name <strong>and</strong> unit<br />
number, building name (with a zone designation), street address <strong>and</strong> room number, an attention<br />
name <strong>and</strong> order release number (original purchase order number). Each package must contain a<br />
copy of the packing slip with the complete order <strong>and</strong> product in<strong>for</strong>mation.<br />
6.10.8 Shipping Terms<br />
6.10.8.1 All orders shall be FOB destination, freight included. There shall be no dry ice, blue ice,<br />
h<strong>and</strong>ling, fuel, hazmat, shipping or delivery charges (FOB Destination) to any location.<br />
6.10.8.2 For special orders, <strong>and</strong> same-day deliveries, deliveries shall be FOB destination, with freight<br />
prepaid <strong>and</strong> billed to the University.<br />
6.10.9 Acceptance of the total delivery by signature based on total package count <strong>and</strong> manifest<br />
does not represent transfer of responsibility to the University <strong>for</strong> the contents of each<br />
package. In the event of shortage, overage or damage within the package, vendor(s) will<br />
accept University documentation <strong>for</strong> resolution.<br />
6.10.10 Vendor(s) shall resolve all order <strong>and</strong> invoice discrepancies (e.g. shortage, overage,<br />
damage, etc.) within five (5) business days after written notification or, if because of their<br />
nature, the discrepancies cannot be resolved within that time frame, vendor(s) shall take<br />
all of the steps the University Procurement Services Department deems necessary.<br />
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6.10.11 <strong>Proposal</strong>s must include a detailed description of the procedures used <strong>for</strong> international<br />
deliveries. Frequently researchers are collaborating with colleagues overseas or<br />
conducting their own projects in <strong>for</strong>eign countries <strong>and</strong> require shipment of materials<br />
directly to the research site.<br />
6.11 Return Policy<br />
Describe in detail your company’s return policy with any appropriate copies of required documents (e.g.<br />
return <strong>for</strong> credit <strong>for</strong>ms). The University desires the most streamlined process possible.<br />
6.11.1 Products returned because shipped in error, quality issues, duplicated shipments, outdated products,<br />
etc., shall be picked up by vendor(s) within five (5) business days after notification, with no<br />
restocking fee, <strong>and</strong> shall be replaced with specified products, or the University shall be credited <strong>for</strong><br />
the full purchase price in same or next billing cycle.<br />
6.11.2 Bidders must state if there is a time limit on returning goods.<br />
6.11.3 Products ordered in error by the University may be returned <strong>for</strong> credit without penalty (restocking<br />
fee) when returned within thirty (30) days of receipt, unused). It is understood by the University that<br />
products must be in resalable condition (original container, unused).<br />
6.12 Invoicing – UConn Main Campus, Branches <strong>and</strong> Extension Offices<br />
Invoices <strong>and</strong> inquiries regarding same shall be directed to: The University of Connecticut, Accounts Payable<br />
Department, 3 North Hillside Road, Unit 6080, Storrs, CT 06269-6080; (860) 486-4137.<br />
The successful vendor must be able to accept payment by:<br />
• Conventional check<br />
• Procurement card (credit card numbers must be SSL-encrypted, should be able to provide Level III data<br />
<strong>and</strong> capable of providing credit-card aliases)<br />
• EFT (e-invoicing)<br />
6.13 Warranty<br />
Vendor(s) shall unconditionally warrant all products as being free from defects <strong>and</strong> capable of per<strong>for</strong>ming when<br />
operated within the parameters specified in the manufacturer's specifications. Within one (1) year from final<br />
acceptance of products, vendor(s) shall correct all errors subsequently discovered in the design not due to the<br />
fault <strong>and</strong> negligence of the University <strong>and</strong> without charge to the University.<br />
6.14 Micro Site<br />
Upon award of the contract, a micro site shall be developed <strong>and</strong> maintained exclusively <strong>for</strong> the University by<br />
(Preferred) Vendor(s) at no cost to the University. At a minimum, the micro site shall consist of four (4)<br />
sections:<br />
• Procedures<br />
• Contacts<br />
• News<br />
• Access to vendor’s electronic catalog/ordering<br />
At a minimum, the micro site must feature:<br />
• Customization (br<strong>and</strong>ing) with the marks of the University<br />
• A minimum of two (2) custom “links”<br />
The University will approve appropriate content in support of awarded contract.<br />
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6.15 Product Shows <strong>and</strong> Demonstrations<br />
6.15.1 At the discretion of the University, (Preferred) Vendor(s) may be expected to hold at least one (1)<br />
annual show. The show must be no less than three (3) hours in length. Booth coverage must extend<br />
through the lunch hour. All costs associated with show including but not limited to room rental,<br />
tables/chairs/booths, audio visual, parking passes, food <strong>and</strong> beverages <strong>and</strong> signage must be borne by<br />
vendor. All reservations <strong>and</strong> coordination ef<strong>for</strong>ts with the rental facility are the responsibility of<br />
vendor(s). Additional breakout rooms/spaces <strong>for</strong> special presentations <strong>and</strong>/or training are welcome.<br />
6.15.2 The University expects that vendors will provide educational <strong>and</strong> technical demonstrations, <strong>for</strong> the<br />
display of new technologies <strong>and</strong> products, made widely accessible to University research <strong>and</strong><br />
academic networks.<br />
6.16 Website Ordering Training <strong>and</strong> Implementation<br />
(Preferred) Vendor(s) shall provide <strong>for</strong>mal on-site training sessions as necessary at both the UConn Storrs<br />
Campus <strong>and</strong> at UCHC within the first six months of implementing vendor website ordering. Upon completion of<br />
the implementation period, vendor(s) shall provide a minimum of one <strong>for</strong>mal training session per quarter.<br />
Thereafter, the CSR representative shall provide individual training as needed.<br />
6.17 Management Reports<br />
6.17.1 As required by the University <strong>and</strong> UCHC, the successful vendor(s) shall submit activity reports<br />
corresponding to the University fiscal year. For the purposes of this contract, vendors must report<br />
data by quarter from July 1 to September 30, October 1 to December 31, January 1 to March 31,<br />
<strong>and</strong> April 1 to June 30.<br />
6.17.2 The reports shall be provided in electronic <strong>for</strong>mat or computer generated spreadsheets, in<br />
accordance with a template to be provided by the University. At minimum, reports shall provide<br />
the following in<strong>for</strong>mation:<br />
• sales by account number,<br />
• within each account, sales shall be broken out by commodity group, quantity <strong>and</strong> dollar<br />
amount<br />
• aggregate summary of monthly <strong>and</strong> year to date sales <strong>for</strong> each account number,<br />
• aggregate summary of monthly <strong>and</strong> year to date sales <strong>for</strong> the total University,<br />
• summary of annual sales data by all participating CCPG members.<br />
• Small business <strong>and</strong> minority reporting<br />
6.17.3 Detail in your response how your firm rates <strong>and</strong> reports its per<strong>for</strong>mance, as well as, the<br />
per<strong>for</strong>mance of those employees assigned to the University account.<br />
6.17.4 The University would expect the successful vendor to conduct <strong>for</strong>mal, quarterly <strong>and</strong> annual<br />
business reviews with University <strong>and</strong> UCHC purchasing management. Detail in your response how<br />
these reviews are structured, who attends <strong>and</strong> conducts the presentation <strong>and</strong> what per<strong>for</strong>mance<br />
measures are discussed.<br />
6.17.5 Detail in your response how your firm will assess <strong>and</strong> report its per<strong>for</strong>mance at the account level;<br />
how often will you do this, what criteria are evaluated <strong>and</strong> how fast do you implement change or<br />
corrections?<br />
6.17.6 Detail how your firm will provide a breakdown of spend across all accounts.<br />
6.17.7 Detail a plan in which the University may receive additional discounts or rebates on bulk<br />
purchases, as indicated on these spending reports.<br />
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Section VII<br />
Storrs Campus In<strong>for</strong>mation<br />
7.0 Vehicles on Campus<br />
To safeguard the students, faculty <strong>and</strong> staff, as well as to maintain the aesthetic beauty of the University,<br />
vendors must take note of the following rules <strong>and</strong> considerations that must be followed when making deliveries<br />
or service calls on campus:<br />
• Driving speeds on campus must be kept at a maximum of 25 mph to ensure safety. The maximum<br />
speed in all parking lots is 10MPH. These limits are in effect 24 hours per day Pediestrians have the<br />
right of way at all times.<br />
• All traffic signs, lights or other indicators are to be obeyed. This is of utmost importance given the<br />
on-going construction/renovation projects <strong>and</strong> pedestrians on campus.<br />
• Driving on sidewalks, unless otherwise posted, is prohibited. Violators will be ticked <strong>and</strong> chronic<br />
violators may be barred from doing business with the University. In those areas where sidewalk<br />
driving is permitted <strong>and</strong> required, drivers must employ adequate skills so as to avoid driving on<br />
adjacent green spaces.<br />
• It is preferable that deliveries to any facility loading dock be made utilizing a maximum sized 24’, 6-<br />
wheel saddle truck. To facilitate other deliveries, it is imperative delivery trucks have the capability to<br />
off load large quantities (pallets) in short periods of time.<br />
7.1 Parking In<strong>for</strong>mation <strong>and</strong> Guidelines:<br />
The following rules <strong>and</strong> regulations provide guidance <strong>and</strong> in<strong>for</strong>mation when bringing a vehicle onto the<br />
University of CT Storrs Campus. These policies follow Connecticut State Statute 10A-139 <strong>and</strong> are intended to<br />
provide control <strong>and</strong> availability of campus parking. All students, employees, vendors, visitors, contractors,<br />
etc., who park a motor vehicle on campus are subject to these rules <strong>and</strong> regulations.<br />
• It is the responsibility of all individuals operating a motor vehicle on campus to be aware of <strong>and</strong><br />
abide by the parking policies contained in this literature. Operating a vehicle on campus is deemed<br />
evidence of the vehicle operator's acceptance <strong>and</strong> underst<strong>and</strong>ing of these policies.<br />
• Parking on the Storrs campus is strictly regulated <strong>and</strong> is allowed only in paved, lined areas. Parking<br />
on lawns, grounds, or sidewalks is strictly prohibited. Parking during the hours of 7AM <strong>and</strong> 5PM,<br />
Monday through Friday is by permit only. Some areas are restricted beginning at 5AM or <strong>for</strong> 24<br />
hours (as posted). Violators will be ticketed <strong>and</strong> are subject to towing.<br />
• Parking in the North <strong>and</strong> South Garage is available <strong>for</strong> vehicles <strong>for</strong> a daily fee. There is no overnight<br />
parking available in the garages.<br />
• Parking on campus is in high dem<strong>and</strong>. Anyone who can avoid bringing a vehicle to campus should do<br />
so. The use of carpools <strong>and</strong> public transportation is encouraged. A shuttle service is operated to<br />
serve the University of Connecticut at Storrs <strong>and</strong> surrounding areas. This shuttle is free to UConn<br />
students, employees, <strong>and</strong> visitors. For in<strong>for</strong>mation on shuttle services <strong>and</strong> schedules, call<br />
Transportation at (860) 486-1448.<br />
• Visitor Parking<br />
It is the responsibility of the host/hostess to in<strong>for</strong>m guests of the University's parking regulations.<br />
Visitors to campus are directed to park in either the metered areas (not to exceed 45 minutes) or a<br />
parking garage. For in<strong>for</strong>mation about parking garage rates <strong>and</strong> hours call (860) 486-6267 <strong>for</strong> the<br />
North Garage or call (860) 486-9088 <strong>for</strong> the South Garage<br />
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• Load Zones<br />
Load zones are restricted to loading <strong>and</strong> unloading of materials <strong>and</strong> are limited to 15 minutes 24<br />
hours per day, unless otherwise posted. Four-way flashers must be left on to indicate loading. Notes<br />
left on vehicles will not be accepted. Vehicles cannot be parked in load zones overnight or on<br />
weekends.<br />
Parking Services In<strong>for</strong>mation<br />
University of Connecticut<br />
Parking & Transportation Services<br />
3 North Hillside Road, Unit 6199<br />
Storrs, CT 06269-6199<br />
Phone: (860) 486-4930<br />
Fax: (860) 486-0191<br />
7.2 Accommodations<br />
In support of this bid opportunity <strong>and</strong> to assist with any business related accommodation needs, the University<br />
recommends that all overnight visitors stay on campus at the Nathan Hale Inn. Parking is available at the Inn<br />
during your stay <strong>and</strong> includes complimentary access to the campus shuttle. The Nathan Hale Inn can offer<br />
preferred rates to long term <strong>and</strong> project stays.<br />
Please contact the sales office directly at the Inn (860-427-7888) or you can view their website at<br />
www.nathanhaleinn.com.<br />
30
Section VIII<br />
Submittal of <strong>Proposal</strong>s<br />
8.0 Qualification of Vendors<br />
8.0.1 <strong>Proposal</strong>s will be considered from vendors with a demonstrated history of successfully providing similar<br />
goods <strong>and</strong>/or services to other institutions of higher education or private sector corporations with<br />
similar volumes <strong>and</strong> needs.<br />
8.0.2 Vendors must be prepared to provide any evidence of experience, per<strong>for</strong>mance <strong>and</strong>/or financial surety<br />
that the University deems necessary to fully establish the per<strong>for</strong>mance capabilities represented in the<br />
vendor's proposal.<br />
8.0.3 The University will reject any proposal <strong>and</strong> void any award resulting from this RFP to a vendor who<br />
makes any material misrepresentation in their proposal.<br />
8.0.4 The University reserves the right to request a vendor site visit, <strong>and</strong> may use the visit as a basis <strong>for</strong><br />
accepting or rejecting their proposal.<br />
8.1 Each firm, by submitting a proposal, represents that the firm has:<br />
8.1.1 Read <strong>and</strong> completely underst<strong>and</strong>s the RFP documents <strong>and</strong> attachments thereto.<br />
8.1.2 Is familiar with the conditions under which services would be provided, including availability <strong>and</strong> cost of<br />
goods <strong>and</strong> labor.<br />
8.1.3 Underst<strong>and</strong>s <strong>and</strong> agrees that all proposals must con<strong>for</strong>m to the instructions <strong>and</strong> conditions contained<br />
herein to receive consideration.<br />
8.2 Form of <strong>Proposal</strong><br />
Complete all in<strong>for</strong>mation requested on the Form of <strong>Proposal</strong> Document. There are spaces provided <strong>for</strong> the<br />
acknowledgement of addenda issued. If no addenda are issued, these spaces may be left blank.<br />
• Identify your primary business function, e.g. cell biology, chemical reagents, molecular biology, etc.<br />
• Define the volume tiers <strong>for</strong> discounts<br />
• Complete the discount schedule <strong>for</strong> the product categories listed <strong>and</strong>/or any additional categories as<br />
appropriate – using the same <strong>for</strong>mat as provided<br />
• Attach a complete list of manufacturers represented <strong>and</strong> any pertinent discount in<strong>for</strong>mation offered in<br />
addition to the previous schedule.<br />
• Include any additional in<strong>for</strong>mation that will affect the University’s net price.<br />
• Any catalogs or price sheets that pertain to this RFP must be submitted with the vendor’s proposal.<br />
<strong>Proposal</strong>s must demonstrate an underst<strong>and</strong>ing of the scope of work <strong>and</strong> the ability to accomplish the tasks<br />
set <strong>for</strong>th <strong>and</strong> must include in<strong>for</strong>mation that will enable the University to determine the proposer's overall<br />
qualifications.<br />
8.3 Enhancements<br />
This is a <strong>Request</strong> <strong>for</strong> <strong>Proposal</strong>. Vendors are encouraged to be creative in offering means of providing the most<br />
cost effective products <strong>and</strong> services. Provide a summary of any incentives your firm will offer to the University<br />
in addition to the requirements outlined. This may include special price structures <strong>for</strong> outfitting new<br />
laboratories, freezer programs <strong>and</strong> quantity discounts as well as incentives <strong>for</strong> a long-term commitment <strong>and</strong><br />
incorporating the services of a representative to process the manual orders.<br />
31
8.4 Compliance with Specifications<br />
A checklist has been provided noting each numbered paragraph in this document with spaces to acknowledge<br />
acceptance or to take exception. Use these sheets to indicate compliance or exceptions. Attach additional<br />
sheets as necessary to clearly explain any deviations from or exceptions to these specifications; otherwise, the<br />
vendor will be held responsible <strong>for</strong> compliance with all specifications listed herein. Include written responses to<br />
all paragraphs in Section VI, including any <strong>and</strong> all necessary in<strong>for</strong>mation as to how your company will meet the<br />
noted requirements. This in<strong>for</strong>mation will be used to evaluate the Customer Service, Order Placement <strong>and</strong><br />
Tracking, Delivery <strong>and</strong> Implementation portions of the evaluation matrix.<br />
8.5 Insurance Requirements<br />
Contractor shall not commence work under this contract until he has obtained all insurance required under<br />
this Section, nor shall the Contractor allow any subcontractor to commence work on his subcontract until all<br />
similar insurance required of the subcontractor has been obtained.<br />
8.5.1 Commercial General Liability- $1,000,000 Combined Single Limit per occurrence <strong>for</strong> bodily injury,<br />
personal injury <strong>and</strong> property damage. Coverage shall include Premises <strong>and</strong> Operations, Independent<br />
Contractors, Products <strong>and</strong> Completed Operations, Contractual Liability <strong>and</strong> Board Form Property<br />
Damage coverage. If a general aggregate used, the general aggregate limit shall apply either<br />
separately to the project or the general aggregate limit shall be twice the occurrence amount.<br />
8.5.2 Automobile Liability- $1,000,000 Combined Single Limit Automobile Liability insurance shall be<br />
maintained against claims damages resulting from bodily injury, including wrongful death, <strong>and</strong><br />
property damage which may arise from the operations of any owned, hired or non-owned vehicles<br />
used by or <strong>for</strong> the Contractor in any capacity in connection with carrying out this contract.<br />
8.5.3 Workers Compensation <strong>and</strong> Employers’ Liability- Statutory coverage in compliance with the<br />
Compensation laws of the State of Connecticut. Coverage shall include Employers’ Liability with<br />
minimum limits of $100,000 each accident, $100,000 disease-each employee <strong>and</strong> $500,000 diseasepolicy<br />
limit.<br />
8.5.4 Minimum Scope of Insurance- All Liability insurance policies shall be written on an “occurrence”<br />
basis only. All insurance coverage is to be placed with insurers authorized to do business in the State<br />
of Connecticut <strong>and</strong> must be placed with an insurer that has an A.M. Best’s Rating of no less than A-,<br />
VII. All certificates of insurance shall be filed with the University Procurement Services Department<br />
on the st<strong>and</strong>ard Acord Certificate of Insurance <strong>for</strong>m showing the specified insurance <strong>and</strong> limits. The<br />
University shall be named as an Additional Insured. The contractor’s insurer shall have no right of<br />
recovery of subrogation against the State <strong>and</strong> the contractor’s insurance shall be primary coverage.<br />
8.5.5 The awarded contractor must provide the University Procurement Services Department with a<br />
current insurance certificate. The awarded contractor shall carry insurance during the term of this<br />
contract according to the nature of the work to be per<strong>for</strong>med to “save harmless” the University<br />
from any claims, suits or dem<strong>and</strong>s that may be asserted against it by reason of any act or omission of<br />
the contractor, subcontractor or employee of either the contractor or subcontractor in providing<br />
services of this contract.<br />
8.6 Form HIPAA 1050<br />
Complete <strong>and</strong> submit <strong>for</strong> HIPAA 1050 Contractors’ Compliance Certification Regarding Confidentiality <strong>and</strong><br />
Disclosure of Patient Healthcare In<strong>for</strong>mation.<br />
32
8.7 Form AD-1048<br />
Complete <strong>and</strong> submit <strong>for</strong>m AD-1048 Certification Regarding Debarment, Suspension, Ineligibility <strong>and</strong> Voluntary<br />
Exclusion-Lower Tier Covered Transactions.<br />
8.8 Bidder’s Qualification Statement / References<br />
Complete the Bidder’s Qualification Statement including a minimum of three (3) references of institutions that<br />
have recently purchased products of the type being offered. At a minimum, the customer's name, the name of<br />
a contact person, an e-mail address <strong>and</strong> a telephone number shall be provided.<br />
The University shall make such investigations as deemed necessary to determine a vendor's ability to provide<br />
the specified goods <strong>and</strong>/or services <strong>and</strong> to per<strong>for</strong>m the installation in an expeditious <strong>and</strong> workmanlike manner.<br />
The University reserves the right to reject any bid if the evidence submitted by, or investigation of, such vendor<br />
fails to satisfy the University that said vendor is properly qualified to carry out the obligations of the contract.<br />
8.9 Bidders Contract Compliance Monitoring Report<br />
Respondents are required to submit the completed 2-page <strong>for</strong>m <strong>for</strong> the State of Connecticut regardless of their<br />
location.<br />
8.10 Non-discrimination Certification<br />
The Office of the Attorney General has approved the attached nondiscrimination certification <strong>for</strong>m to assist<br />
executive branch agencies in complying with the State of Connecticut's contracting requirements, pursuant<br />
to the Connecticut General Statutes § 4a-60(a)(1) <strong>and</strong> § 4a-60a(a)(1), as amended by Public Act 07-245 <strong>and</strong><br />
Sections 9 <strong>and</strong> 10 of Public Act 07-142.<br />
By law, a contractor must provide the State with documentation in the <strong>for</strong>m of a company or corporate<br />
policy adopted by resolution of the board of directors, shareholders, managers, members or other governing<br />
body of such contractor to support the nondiscrimination agreement <strong>and</strong> warranty under C.G.S. §§ 4a-60a<br />
<strong>and</strong> 46a-68h.<br />
Please refer to: http://www.ct.gov/opm/cwp/view.asp?a=2982&Q=390928 <strong>for</strong> more in<strong>for</strong>mation.<br />
8.11 M<strong>and</strong>atory Affidavits<br />
The Office of Policy <strong>and</strong> Management has created new ethics <strong>for</strong>ms effective October 31, 2007 to assist<br />
executive branch agencies in complying with the State of Connecticut's current contracting requirements,<br />
pursuant to the Connecticut General Statutes <strong>and</strong> Executive Orders of Governor M. Jodi Rell.<br />
The University will require the applicable m<strong>and</strong>atory affidavits to be completed by the Vendor at the time of<br />
bid response <strong>and</strong> contract award. The required affidavits are enclosed as part of this document. Detailed<br />
in<strong>for</strong>mation regarding the requirement of such affidavits can also be found on the Office of Policy <strong>and</strong><br />
Management website at:<br />
http://www.ct.gov/opm/cwp/view.asp?a=2982&q=386038&opmNav_GID=1806<br />
All required <strong>for</strong>ms must be completed <strong>and</strong> notarized prior to the signing of contracts or the issuance of<br />
agency purchase orders.<br />
33
8.12 Signature Authorization Documentation (M<strong>and</strong>atory Submittal):<br />
Signature authorization documentation must be included in your proposal response under the following<br />
guidelines in reference to the individual signing this proposal <strong>and</strong> agreement.<br />
‣ With the exception of an individual, signing in his/her individual capacity, ALL contractors must<br />
provide some type of signature authorization documentation clearly stating who is authorized to<br />
sign the proposal on the contractor’s behalf.<br />
‣ Documentation must clearly state when <strong>and</strong> how such authorization was given.<br />
‣ Documentation must state that the authorization is still in full <strong>for</strong>ce <strong>and</strong> effect.<br />
‣ Documentation must be signed by someone other than the individual signing the proposal ON OR<br />
AFTER the date the proposal is signed.<br />
‣ Corporate Resolution, Secretarial Certification or Ratification are acceptable <strong>for</strong>ms of signature<br />
authorization documentation.<br />
‣ Samples <strong>and</strong> further in<strong>for</strong>mation are on the University of Connecticut Procurement Services<br />
Department’s web page: http://www.purchasing.uconn.edu/corpres/corpres.html<br />
8.13 Submittal of <strong>Proposal</strong>s<br />
8.13.1 The University will receive proposals at:<br />
The University of Connecticut<br />
Procurement Services<br />
Attn: Cathleen G. Paquette<br />
3 North Hillside Road, Unit 6076<br />
Storrs, CT 06269-6076<br />
No later than 2:00 p.m. (EST) on April 23, 2012.<br />
8.13.2 Each proposal shall be submitted as follows: an electronic copy in .pdf <strong>for</strong>mat on a cd-rom or USB flash<br />
drive <strong>and</strong> one original hard copy in a sealed parcel identified with the name <strong>and</strong> address of the vendor<br />
<strong>and</strong> the designation "SEALED PROPOSAL <strong>#CGP031612</strong> - <strong>Laboratory</strong> <strong>Supplies</strong> <strong>and</strong> Equipment". No oral,<br />
telephonic or telegraphic proposals will be accepted. No responsibility will be attached to any person<br />
<strong>for</strong> the premature opening of any proposal that is not properly identified.<br />
8.13.3 Vendors shall be solely responsible <strong>for</strong> the delivery of their proposal to the University at the place <strong>and</strong><br />
be<strong>for</strong>e the time as specified. Any proposal received after the time specified <strong>for</strong> receipt shall not be<br />
considered <strong>and</strong> shall be returned unopened. If a proposal is sent by mail, allowance should be made<br />
<strong>for</strong> the time required <strong>for</strong> such transmission. The officer whose duty it is to open proposals shall decide<br />
when the specified time has arrived <strong>and</strong> no proposal received thereafter will be considered.<br />
8.13.4 The complete response to this RFP shall include the following documentation:<br />
‣ Form of <strong>Proposal</strong> ‣ Form AD-1048<br />
‣ Price Discount Schedules offered ‣ Bidder’s Qualification Statement<br />
‣ Vendor summary including background, ‣ Bidder Contract Compliance Monitoring<br />
experience <strong>and</strong> proposed enhancements<br />
Report<br />
‣ Point-by point response sheets ‣ Non-discrimination Certification (Form C)<br />
‣ Explanation of exceptions ‣ Campaign <strong>and</strong> Gift Affidavit (Form 1)<br />
‣ Written responses to Section VI ‣ Consulting Affidavit (Form 5)<br />
‣ Certificate of Insurance ‣ State Ethics Laws Summary (Form 6)<br />
‣ Form HIPAA 1050 ‣ Signature Authorization document<br />
34
8.14 Incomplete In<strong>for</strong>mation<br />
Failure to complete or provide any of the in<strong>for</strong>mation requested herein, including all requested literature,<br />
manufacturer’s retail price lists or catalog <strong>and</strong>/or additional in<strong>for</strong>mation as indicated, may disqualify a vendor<br />
<strong>for</strong> reasons of non-responsiveness.<br />
8.15 Minor Technicalities<br />
8.15.1 The University reserves the right to reject any or all proposals submitted <strong>for</strong> consideration, in whole or<br />
in part, <strong>and</strong> to waive minor technicalities, irregularities, or omissions, if, in its judgement, the best<br />
interest of the University will be served. Non-acceptance of a proposal shall mean that another<br />
proposal was deemed more advantageous to the University, or that all proposals were rejected.<br />
8.15.2 If, during the course of the evaluation, it is determined that a particular m<strong>and</strong>atory requirement may<br />
be modified or waived <strong>and</strong> still allow the University to obtain supplies <strong>and</strong> services that substantially<br />
meet the intent of this RFP, the m<strong>and</strong>atory requirement will be modified or waived <strong>for</strong> all vendors <strong>and</strong><br />
all proposals will be reevaluated in light of the change.<br />
8.16 Obligations<br />
The contents of the <strong>Proposal</strong> <strong>and</strong> any clarification thereto submitted by the successful vendor(s) shall become a<br />
part of the contractual obligation incorporated by reference into the ensuing contract.<br />
8.17 Modification Or Withdrawal Of <strong>Proposal</strong>s Will Be Executed As Follows:<br />
8.17.1 A proposal shall not be modified, withdrawn or canceled by the vendor <strong>for</strong> a ninety (90) day period<br />
following the time <strong>and</strong> date assigned <strong>for</strong> the receipt of proposals <strong>and</strong> the vendor so agrees in<br />
submitting a proposal.<br />
8.17.2 Prior to the time <strong>and</strong> date assigned <strong>for</strong> receipt, proposals submitted early shall be modified or<br />
withdrawn only by written notice to the University. Such notice shall be received by the University<br />
prior to the designated date <strong>and</strong> time <strong>for</strong> receipt of proposals.<br />
8.17.3 Withdrawn proposals may be submitted up to the time designated <strong>for</strong> receipt of proposals provided<br />
they are then fully in con<strong>for</strong>mance with these terms <strong>and</strong> conditions.<br />
8.18 Ownership<br />
8.18.1 Unless otherwise noted elsewhere in this document, all materials submitted in response to this<br />
solicitation shall become the property of the University of Connecticut upon delivery <strong>and</strong> are to be<br />
appended to any <strong>for</strong>mal documentation that would further define or exp<strong>and</strong> the contractual<br />
relationship of the University <strong>and</strong> the successful firm.<br />
8.18.2 The laws of the State of Connecticut require that the contents of all <strong>Proposal</strong>s be placed in the public<br />
domain <strong>and</strong> be opened to inspection to interested contained in all responses received; however,<br />
respondents should be aware that all materials associated with this solicitation or resulting contract are<br />
subject to the terms of the Freedom of In<strong>for</strong>mation Act, the Privacy Act, <strong>and</strong> all rules, regulations <strong>and</strong><br />
interpretations resulting therefrom.<br />
8.19 Presentation<br />
Firms may be asked to discuss their written responses to this document at a presentation on the Storrs campus<br />
on dates mutually agreed upon by the firm <strong>and</strong> the University. If a firm is requested to make a presentation,<br />
the firm will make the necessary arrangements <strong>and</strong> bear any costs associated with the<br />
demonstration/evaluation.<br />
35
Section IX<br />
Award<br />
9.0 Method of Award<br />
Each proposal will be evaluated by using a points-earned matrix. The award shall be made to the most<br />
responsive <strong>and</strong> responsible firm offering the best value <strong>and</strong> most economical proposal based on the matrix<br />
scores as determined by the University. All firms, in submitting proposals, concur with this method of award<br />
<strong>and</strong> will not, under any circumstances or in any manner, dispute any award made using this method.<br />
The evaluation process will include a comparative analysis of submittals conducted by representatives from the<br />
University of Connecticut (Storrs, Farmington), the Department of Administrative Services (DAS), the<br />
Connecticut Colleges Purchasing Group (CCPG) <strong>and</strong> the Connecticut State Board of Regents.<br />
9.1 Evaluation<br />
9.1.1 Criteria to be evaluated are as follows:<br />
Criteria<br />
Contract Pricing<br />
• Discount Schedule<br />
• Fulfillment of future procurement needs, including new research building<br />
<strong>and</strong> staff<br />
Enhancements, Preferred Vendor Differentiators<br />
• Special Price Incentives<br />
o Bulk Purchase discounts/rebates<br />
• Value-added enhancements offered, such as: Annual Shows, cost<br />
reduction programs.<br />
• Product Lines<br />
• Technical/Sales support teams<br />
Customer Service<br />
• Personnel assigned to account<br />
• Vendor’s experience, commitment <strong>and</strong> demonstrated underst<strong>and</strong>ing<br />
• Training<br />
• Reports <strong>and</strong> reporting<br />
• Technical Assistance<br />
Order Placement <strong>and</strong> Tracking<br />
• Capabilities of on-line system<br />
• Cross referencing<br />
• Accessibility to manufacturers<br />
• Fill rate<br />
Delivery<br />
• Ability to meet specified requirements<br />
• International capabilities<br />
References from peer institutions<br />
Total<br />
Weight<br />
40 Points<br />
20 Points<br />
15 Points<br />
5 Points<br />
5 Points<br />
15 Points<br />
100 Points<br />
36
9.1.2 The University reserves the right to conduct any test it may deem advisable to make accurate<br />
evaluations.<br />
9.1.3 To effectively evaluate the discounts offered, vendors may be provided with a Market Basket of<br />
products typically purchased in a particular business category. Unit pricing shall then be provided <strong>for</strong><br />
those products based on the discount schedule. Net prices must include delivery.<br />
9.2 Formation of Agreement<br />
At its option, the University may take either one of the following actions in order to <strong>for</strong>m an agreement<br />
between the University <strong>and</strong> the selected vendor:<br />
Option 1: Accept proposal, which refers to this solicitation <strong>and</strong> accepts the proposal as written. It is<br />
recommended that the submitted response be reviewed by the vendor’s legal department, as it is<br />
the desire of the University to incorporate this response into the resultant contract.<br />
Option 2: Enter into negotiations with one or more respondents in an ef<strong>for</strong>t to reach mutually satisfactory<br />
agreement that will be executed by both parties <strong>and</strong> will be based on this solicitation, the offer<br />
submitted by the selected firm <strong>and</strong> the negotiations concerning these. Negotiations will not<br />
include changes to prices unless negotiations change the requirements.<br />
Because the University may use Option 1, each vendor shall include in its offer all requirements it may have <strong>and</strong><br />
shall not assume that an opportunity will exist to add such matters after the proposal has been submitted.<br />
9.3 Contract Award<br />
9.3.1 As previously stated in Section 2.2, the University will approach any multiple awards scenario by<br />
categorizing Vendors into Preferred <strong>and</strong> Authorized vendors based upon the criteria in the matrix.<br />
9.3.2 The University reserves the right to make an award not based solely on the firm with the lowest cost,<br />
but based on an offer which, in the sole opinion of the University, best fulfills or exceeds the<br />
requirements of this RFP <strong>and</strong> is deemed to be in the best interest of the University.<br />
9.3.3 The University reserves the right to establish multiple vendor contracts pursuant to this solicitation in<br />
an ef<strong>for</strong>t to best fulfill the University’s procurement requirements.<br />
9.3.4 The University reserves the right to limit the number of awards to vendors in any particular business<br />
category, e.g. antibodies, chemicals, etc.<br />
9.3.5 The University reserves the right to restrict the content of any vendor’s catalog so as not to conflict<br />
with existing contracts or strategic initiatives.<br />
9.4 Contract Document<br />
The University’s “Purchasing Agreement” document may serve as the final executed contract between the<br />
University <strong>and</strong> the awarded Contractor(s). A sample copy of the <strong>for</strong>m is located in APPENDIX C. The <strong>for</strong>m will<br />
be populated after the selection process <strong>and</strong> any necessary negotiations are completed. This document will<br />
require approval from the Office of the Attorney General of the State of Connecticut.<br />
37
Cover Page <strong>for</strong> Submittal<br />
University of Connecticut<br />
RFP <strong>#CGP031612</strong><br />
Due: April 23, 2012<br />
(Vendor Name)<br />
The following documentation is attached hereto as part of this submittal:<br />
Form of <strong>Proposal</strong> (p. 39)<br />
Discount Schedules (p. 40 -41) – add additional sheets as necessary<br />
Vendor summary including company background <strong>and</strong> experience, proposed enhancements to<br />
requirements (if any)<br />
Point-by-point response (p. 42 – 44)<br />
Details of any exceptions noted in Point-by-Point<br />
Written responses to Section VI<br />
Certificate of Insurance<br />
Form HIPAA 1050 (p. 45)<br />
Form AD-1048 (p. 46)<br />
Bidders Qualification Statement/References (p. 47 – 49)<br />
Bidder Contract Compliance Monitoring Report (p. 52 – 53)<br />
Non-discrimination Certificate (p. 56)<br />
Campaign <strong>and</strong> Gift Affidavit (Form 1) (p. 57 – 58)<br />
Consulting Affidavit (Form 5) (p. 59)<br />
Affirmation of Receipt of State Ethics Laws Summary (Form 6) (p. 60)<br />
Signature Authorization Documentation<br />
To facilitate the evaluation process vendors are requested to submit their package with the in<strong>for</strong>mation in the<br />
order listed above. Each section shall be clearly marked <strong>and</strong> presented in a three-ring binder.<br />
An electronic copy of the proposal is also required.<br />
38
FORM OF PROPOSAL<br />
RFP #CGP011812<br />
To: The University of Connecticut April 23, 2009<br />
Procurement Services<br />
3 North Hillside Road, Unit 6076<br />
Storrs, CT 06269-6076<br />
1. The undersigned vendor, in response to your request <strong>for</strong> proposal <strong>for</strong> the above referenced contract, having examined the<br />
<strong>Request</strong> <strong>for</strong> <strong>Proposal</strong>, hereby proposes to provide <strong>Laboratory</strong> <strong>Supplies</strong> <strong>and</strong> Equipment in accordance with the proposal attached<br />
hereto.<br />
Vendor acknowledges receipt of the following addenda that are a part of the proposal documents:<br />
#1________________ #2 ________________ #3_______________<br />
date date date<br />
2. Vendor underst<strong>and</strong>s that the University reserves the right to reject any <strong>and</strong> all proposals, waive irregularities or technicalities in<br />
any proposal, <strong>and</strong> accept any proposal in whole or in part which it deems to be in its best interest.<br />
3. Vendor agrees that this proposal shall be good <strong>and</strong> may not be withdrawn <strong>for</strong> a period of ninety (90) calendar days after the<br />
public opening <strong>and</strong> reading of the proposals.<br />
4. Vendor hereby certifies that: (a) this proposal is genuine <strong>and</strong> is not made in the interest of or on behalf of any undisclosed<br />
person, firm or corporation; (b) the vendor has not directly or indirectly induced or solicited any other vendor to put in a false or<br />
sham proposal; (c) the vendor has not solicited or induced any person, firm or corporation to refrain from responding; <strong>and</strong> (d)<br />
the vendor has not sought by collusion to obtain any advantage over any other vendor or over the University.<br />
5. Vendor offers pricing <strong>and</strong> discounts in accordance with the Discount Schedule <strong>and</strong> any additional offers specified <strong>and</strong> attached<br />
hereto.<br />
6. Indicate your firm’s desire to be a preferred vendor here:<br />
Yes ο No ο<br />
7 I (we) agree that any contract resulting from this proposal will be extended to the members of the Connecticut Colleges<br />
Purchasing Group (CCPG) with the same pricing, terms <strong>and</strong> conditions as proposed herein.<br />
Yes ο No ο<br />
8 I (we) agree that any contract resulting from this proposal will be extended to the members of the All Connecticut State<br />
Agencies with the same pricing, terms <strong>and</strong> conditions as proposed herein.<br />
9 Payment terms: _____________________<br />
Yes ο No ο<br />
Signed this ____________ day of _______________________________, 20_____<br />
Firm Name: __________________________________________________<br />
Address:<br />
__________________________________________________<br />
__________________________________________________<br />
Duly Authorized __________________________________________________<br />
Title:<br />
__________________________________________________<br />
39
Vendor Name:<br />
Primary Business<br />
(biochemical compounds, cell biology, chemical reagents, chromatography, electronics, electrophoresis,<br />
lab equipment, lab supplies, molecular biology, safety supplies, medical supplies, etc.)<br />
Discount Schedule (by category)<br />
Category Br<strong>and</strong>/Manufacturer Discount<br />
Tier 1 Tier 2 Tier 3<br />
__________ __________ __________<br />
<strong>Supplies</strong><br />
Glassware _____________________ _________ % _________ % _________ %<br />
Reuseable _____________________ _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Disposable _____________________ _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Plasticware _____________________ _________ % _________ % _________ %<br />
Reusable _____________________ _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Disposable _____________________ _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Tissue Culture _____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Safety _____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Microscopes/<strong>Supplies</strong> _____________________ _________ % _________ % _________ %<br />
Pipets _____________________ _________ % _________ % _________ %<br />
Pipetters _____________________ _________ % _________ % _________ %<br />
Water Purification _____________________ _________ % _________ % _________ %<br />
Chromotography _____________________ _________ % _________ % _________ %<br />
Appliances <<br />
$1,000.00<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
40
Vendor Name:<br />
Primary Business<br />
Discount Schedule (by category)<br />
Category Br<strong>and</strong>/Manufacturer Discount<br />
Tier 1 Tier 2 Tier 3<br />
Chemicals<br />
Solvents<br />
Technical Grade _____________________ _________ % _________ % _________ %<br />
Reagent Grade _____________________ _________ % _________ % _________ %<br />
HPLC Grade _____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Solutions _____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Acids _____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Organics _____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Microbiological Media _____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
Equipment/Apparatus<br />
(> $1,000) _____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
_____________________ _________ % _________ % _________ %<br />
41
Point-by-Point Response Sheet<br />
RFP CGP031612<br />
The following table provides a list of all of the paragraphs in the solicitation. Check the appropriate<br />
response <strong>for</strong> each item. Attach a separate sheet clarifying all exceptions.<br />
Comply/Agree Exception Comply/Agree Exception<br />
Section I<br />
Section II<br />
Section III<br />
3.0 3.8<br />
3.1 3.9<br />
3.2 3.9.1<br />
3.3 3.9.2<br />
3.4 3.10<br />
3.5 3.10.1<br />
3.6 3.10.2<br />
3.7 3.10.3<br />
3.7.1<br />
3.7.2<br />
Section IV<br />
4.0 4.13<br />
4.1 4.14<br />
4.2 4.15<br />
4.3 4.16<br />
4.4 4.17<br />
4.5 4.18<br />
4.6 4.19<br />
4.7 4.20<br />
4.8 4.21<br />
4.9 4.22<br />
4.10 4.23<br />
4.11 4.24<br />
4.12<br />
Section V<br />
5.0 5.2.10<br />
5.1 5.2.11<br />
5.2 5.2.12<br />
5.2.1 5.2.13<br />
5.2.2 5.3<br />
5.2.3 5.3.1<br />
5.2.4 5.3.2<br />
5.2.5 5.3.3<br />
5.2.6 5.3.4<br />
5.2.7 5.3.5<br />
5.2.8 5.3.6<br />
5.2.9 5.3.7<br />
42
Point-by-Point Response Sheet<br />
RFP CGP031612<br />
Comply/Agree Exception Comply/Agree Exception<br />
Section VI<br />
6.0 6.9<br />
6.1 6.9.1<br />
6.2 6.9.2<br />
6.3 6.10<br />
6.4 6.10.1<br />
6.4.1 6.10.2<br />
6.4.2 6.10.3<br />
6.4.3 6.10.4<br />
6.4.4 6.10.5<br />
6.4.5 6.10.6<br />
6.4.6 6.10.7<br />
6.5 6.10.8<br />
6.5.1 6.10.9<br />
6.5.2 6.10.10<br />
6.5.3 6.10.11<br />
6.5.4 6.11<br />
6.5.5 6.11.1<br />
6.5.6 6.11.2<br />
6.5.7 6.11.3<br />
6.5.8 6.12<br />
6.5.9 6.13<br />
6.6 6.14<br />
6.7 6.15<br />
6.7.1 6.15.1<br />
6.7.2 6.15.2<br />
6.7.3 6.16<br />
6.7.4 6.17<br />
6.7.4.1 6.17.1<br />
6.7.4.2 6.17.2<br />
6.7.4.3 6.17.3<br />
6.7.5 6.17.4<br />
6.7.6 6.17.5<br />
6.8 6.17.6<br />
6.17.7<br />
43
Point-by-Point Response Sheet<br />
RFP CGP031612<br />
Comply/Agree Exception Comply/Agree Exception<br />
Section VII<br />
7.0<br />
7.1<br />
7.2<br />
Section VIII<br />
8.0 8.10<br />
8.0.1 8.11<br />
8.0.2 8.12<br />
8.0.3 8.13<br />
8.0.4 8.13.1<br />
8.1 8.13.2<br />
8.1.1 8.13.3<br />
8.1.2 8.13.4<br />
8.1.3 8.14<br />
8.2 8.15<br />
8.3 8.15.1<br />
8.4 8.15.2<br />
8.5 8.16<br />
8.5.1 8.17<br />
8.5.2 8.17.1<br />
8.5.3 8.17.2<br />
8.5.4 8.17.3<br />
8.5.5 8.18<br />
8.6 8.18.1<br />
8.7 8.18.2<br />
8.8 8.19<br />
8.9<br />
Section IX<br />
9.0 9.3<br />
9.1 9.3.1<br />
9.1.1 9.3.2<br />
9.1.2 9.3.3<br />
9.1.3 9.3.4<br />
9.3.5<br />
9.2 9.4<br />
44
BIDDER'S QUALIFICATION STATEMENT<br />
All bidders are required to file this <strong>for</strong>m, properly completed, WITH THEIR BID RESPONSE.<br />
Failure of a bidder to answer any question or provide required in<strong>for</strong>mation may be grounds <strong>for</strong> the<br />
awarding authority to disqualify <strong>and</strong> reject their bid. If a question or request <strong>for</strong> in<strong>for</strong>mation does not<br />
pertain to your organization in any way, use the symbol "NA" (Not Applicable). Use additional 8<br />
1/2" x 11" sheets with your letterhead as necessary.<br />
1. Indicate exactly the name by which this organization is known:<br />
Name .<br />
2. How many years has this organization been in business under its present business name?<br />
Years? .<br />
3. Indicate all other names by which this organization has been known <strong>and</strong> the length of time<br />
known by each name:<br />
1.<br />
2. _____________________________<br />
3. ____________________________<br />
4. What is the primary commodity/service provided by this business? How many years has this<br />
organization been in business providing this commodity/service?<br />
Commodity/Service<br />
____________________________<br />
Years? ___________<br />
5. This firm is a: Corporation Partnership _________Sole Proprietorship<br />
Joint Venture<br />
Other<br />
_______Women Owned _______Minority Business ________Set Aside Contractor<br />
47
6. Provide names all supervisory personnel, such as Principals, Supervisors, <strong>and</strong> Sales<br />
Representatives, who will be directly involved with the contract on which you are now a<br />
bidder. Indicate the number of years of experience <strong>and</strong> number of years of which they have<br />
been in a Supervisory capacity.<br />
Name Years Years/supervisor Telephone/Fax #'s<br />
__________________________ ______ ______________<br />
______________<br />
__________________________ ______ ______________<br />
______________<br />
7. Trade References: Names, addresses <strong>and</strong> telephone numbers of several firms with whom your<br />
organization has regular business dealings:<br />
_________________________________________________________<br />
_________________________________________________________<br />
_________________________________________________________<br />
(Attach additional sheet if necessary)<br />
8. References: List at least three (3) references <strong>for</strong> contacts of similar size <strong>and</strong> scope including<br />
the location, the name, telephone number <strong>and</strong> e-mail of a contact person familiar with the<br />
contract. Current contracts are preferred, but recently completed contracts which were<br />
per<strong>for</strong>med satisfactorily will be accepted.<br />
Attach separate sheets as necessary.<br />
48
9. Has your organization ever failed to complete a contract, or has any officer or partner of your<br />
organization ever been an officer or partner of another organization that failed to complete a<br />
contract? If so, indicate the circumstances leading to the project failure <strong>and</strong> the name of the<br />
company which provided the bonding <strong>for</strong> the failed contract(s):<br />
_____________________________________________________<br />
10. List all legal or administrative proceedings currently pending or concluded adversely within<br />
the last five years which relate to procurement or per<strong>for</strong>mance of any public or private<br />
service/maintenance contracts.<br />
1. Attached 2. N/A<br />
Dated at _________________________________________________________________________<br />
this __________________________ day of __________________ 20 ________<br />
Name of Organization: ___________________________________________<br />
Address:<br />
___________________________________________<br />
___________________________________________<br />
Telephone: ______________________________ Fax: ________________________<br />
Signature<br />
(Print Name)<br />
Title<br />
______________________________ E Mail: _________________________<br />
______________________________<br />
______________________________<br />
49
COMMISSION ON HUMAN RIGHTS AND OPPORTUNITIES<br />
CONTRACT COMPLIANCE REGULATIONS<br />
NOTIFICATION TO BIDDERS<br />
The contract to be awarded is subject to contract compliance requirements m<strong>and</strong>ated by Sections 4a-60 <strong>and</strong> 4a-<br />
60a of the Connecticut General Statutes; <strong>and</strong>, when the awarding agency is the State, Sections 46a-71(d) <strong>and</strong><br />
46a-81i(d) of the Connecticut General Statutes. There are Contract Compliance Regulations codified at Section<br />
46a-68j-21 through 43 of the Regulations of Connecticut State Agencies, which establish a procedure <strong>for</strong><br />
awarding all contracts covered by Sections 4a-60 <strong>and</strong> 46a-71(d) of the Connecticut General Statutes.<br />
According to Section 46a-68j-30(9) of the Contract Compliance Regulations, every agency awarding a contract<br />
subject to the contract compliance requirements has an obligation to “aggressively solicit the participation of<br />
legitimate minority business enterprises as bidders, contractors, subcontractors <strong>and</strong> suppliers of materials.”<br />
“Minority business enterprise” is defined in Section 4a-60 of the Connecticut General Statutes as a business<br />
wherein fifty-one percent or more of the capital stock, or assets belong to a person or persons: “(1) Who are<br />
active in daily affairs of the enterprise; (2) who have the power to direct the management <strong>and</strong> policies of the<br />
enterprise; <strong>and</strong> (3) who are members of a minority, as such term is defined in subsection (a) of Section 32-9n.”<br />
“Minority” groups are defined in Section 32-9n of the Connecticut General Statutes as “(1) Black Americans . . .<br />
(2) Hispanic Americans . . . (3) persons who have origins in the Iberian Peninsula . . . (4)Women . . . (5) Asian<br />
Pacific Americans <strong>and</strong> Pacific Isl<strong>and</strong>ers; (6) American Indians . . .” An individual with a disability is also a<br />
minority business enterprise as provided by Section 4a-60g of the Connecticut General Statutes. The above<br />
definitions apply to the contract compliance requirements by virtue of Section 46a-68j-21(11) of the Contract<br />
Compliance Regulations.<br />
The awarding agency will consider the following factors when reviewing the bidder’s qualifications under the<br />
contract compliance requirements:<br />
(a) the bidder’s success in implementing an affirmative action plan;<br />
(b) the bidder’s success in developing an apprenticeship program complying with Sections 46a-68-1 to<br />
46a-68-17 of the Administrative Regulations of Connecticut State Agencies, inclusive;<br />
(c) the bidder’s promise to develop <strong>and</strong> implement a successful affirmative action plan;<br />
(d) the bidder’s submission of employment statistics contained in the “Employment In<strong>for</strong>mation Form”,<br />
indicating that the composition of its work<strong>for</strong>ce is at or near parity when compared to the racial <strong>and</strong><br />
sexual composition of the work<strong>for</strong>ce in the relevant labor market area; <strong>and</strong><br />
(e) the bidder’s promise to set aside a portion of the contract <strong>for</strong> legitimate minority<br />
business enterprises. See Section 46a-68j-30(10)(E) of the Contract Compliance Regulations.<br />
__________________________________________________________<br />
INSTRUCTIONS AND OTHER INFORMATION<br />
The following BIDDER CONTRACT COMPLIANCE MONITORING REPORT must be completed in full, signed,<br />
<strong>and</strong> submitted with the bid <strong>for</strong> this contract. The contract awarding agency <strong>and</strong> the Commission on Human<br />
Rights <strong>and</strong> Opportunities will use the in<strong>for</strong>mation contained thereon to determine the bidders compliance to<br />
Sections 4a-60 <strong>and</strong> 4a- 60a CONN. GEN. STAT., <strong>and</strong> Sections 46a-68j-23 of the Regulations of Connecticut<br />
State Agencies regarding equal employment opportunity, <strong>and</strong> the bidders good faith ef<strong>for</strong>ts to include minority<br />
business enterprises as subcontractors <strong>and</strong> suppliers <strong>for</strong> the work of the contract.<br />
1) Definition of Small Contractor<br />
Section 4a-60g CONN. GEN. STAT. defines a small contractor as a company that has been doing business<br />
under the same management <strong>and</strong> control <strong>and</strong> has maintained its principal place of business in Connecticut <strong>for</strong> a<br />
one year period immediately prior to its application <strong>for</strong> certification under this section, had gross revenues not<br />
exceeding ten million dollars in the most recently completed fiscal year, <strong>and</strong> at least fifty-one percent of the<br />
ownership of which is held by a person or persons who are active in the daily affairs of the company, <strong>and</strong> have<br />
the power to direct the management <strong>and</strong> policies of the company, except that a nonprofit corporation shall be<br />
construed to be a small contractor if such nonprofit corporation meets the requirements of subparagraphs (A)<br />
<strong>and</strong> (B) of subdivision 4a-60g CONN. GEN. STAT.<br />
50
2) Description of Job Categories (as used in Part IV Bidder Employment In<strong>for</strong>mation) (Page 2)<br />
MANAGEMENT: Managers plan, organize, direct, <strong>and</strong> control<br />
the major functions of an organization through subordinates<br />
who are at the managerial or supervisory level. They make<br />
policy decisions <strong>and</strong> set objectives <strong>for</strong> the company or<br />
departments. They are not usually directly involved in<br />
production or providing services. Examples include top<br />
executives, public relations managers, managers of operations<br />
specialties (such as financial, human resources, or purchasing<br />
managers), <strong>and</strong> construction <strong>and</strong> engineering managers.<br />
BUSINESS AND FINANCIAL OPERATIONS: These<br />
occupations include managers <strong>and</strong> professionals who work<br />
with the financial aspects of the business. These occupations<br />
include accountants <strong>and</strong> auditors, purchasing agents,<br />
management analysts, labor relations specialists, <strong>and</strong> budget,<br />
credit, <strong>and</strong> financial analysts.<br />
COMPUTER SPECIALISTS: Professionals responsible <strong>for</strong> the<br />
computer operations within a company are grouped in this<br />
category. Examples of job titles in this category include<br />
computer programmers, software engineers, database<br />
administrators, computer scientists, systems analysts, <strong>and</strong><br />
computer support specialists<br />
ARCHITECTURE AND ENGINEERING: Occupations related<br />
to architecture, surveying, engineering, <strong>and</strong> drafting are<br />
included in this category. Some of the job titles in this category<br />
include electrical <strong>and</strong> electronic engineers, surveyors,<br />
architects, drafters, mechanical engineers, materials<br />
engineers, mapping technicians, <strong>and</strong> civil engineers.<br />
OFFICE AND ADMINISTRATIVE SUPPORT: All clerical-type<br />
work is included in this category. These jobs involve the<br />
preparing, transcribing, <strong>and</strong> preserving of written<br />
communications <strong>and</strong> records; collecting accounts; gathering<br />
<strong>and</strong> distributing in<strong>for</strong>mation; operating office machines <strong>and</strong><br />
electronic data processing equipment; <strong>and</strong> distributing mail.<br />
Job titles listed in this category include telephone operators,<br />
payroll clerks, bill <strong>and</strong> account collectors, customer service<br />
representatives, files clerks, dispatchers, shipping clerks,<br />
secretaries <strong>and</strong> administrative assistants, computer operators,<br />
mail clerks, <strong>and</strong> stock clerks.<br />
BUILDING AND GROUNDS CLEANING AND<br />
MAINTENANCE: This category includes occupations<br />
involving l<strong>and</strong>scaping, housekeeping, <strong>and</strong> janitorial services.<br />
Job titles found in this category include supervisors of<br />
l<strong>and</strong>scaping or housekeeping, janitors, maids, grounds<br />
maintenance workers, <strong>and</strong> pest control workers.<br />
CONSTRUCTION AND EXTRACTION: This category<br />
includes construction trades <strong>and</strong> related occupations. Job<br />
titles found in this category include boilermakers, masons (all<br />
types), carpenters, construction laborers, electricians,<br />
plumbers (<strong>and</strong> related trades), roofers, sheet metal workers,<br />
elevator installers, hazardous materials removal workers,<br />
paperhangers, <strong>and</strong> painters. Paving, surfacing, <strong>and</strong> tamping<br />
equipment operators; drywall <strong>and</strong> ceiling tile installers; <strong>and</strong><br />
carpet, floor <strong>and</strong> tile installers <strong>and</strong> finishers are also included<br />
in this category. First line supervisors, <strong>for</strong>emen, <strong>and</strong> helpers<br />
in these trades are also grouped in this category..<br />
INSTALLATION, MAINTENANCE AND REPAIR:<br />
Occupations involving the installation, maintenance, <strong>and</strong><br />
repair of equipment are included in this group. Examples of<br />
job titles found here are heating, ac, <strong>and</strong> refrigeration<br />
mechanics <strong>and</strong> installers; telecommunication line installers<br />
<strong>and</strong> repairers; heavy vehicle <strong>and</strong> mobile equipment service<br />
technicians <strong>and</strong> mechanics; small engine mechanics;<br />
security <strong>and</strong> fire alarm systems installers; electric/electronic<br />
repair, industrial, utility <strong>and</strong> transportation equipment;<br />
millwrights; riggers; <strong>and</strong> manufactured building <strong>and</strong> mobile<br />
home installers. First line supervisors, <strong>for</strong>emen, <strong>and</strong> helpers<br />
<strong>for</strong> these jobs are also included in the category.<br />
MATERIAL MOVING WORKERS: The job titles included in<br />
this group are Crane <strong>and</strong> tower operators; dredge,<br />
excavating, <strong>and</strong> lading machine operators; hoist <strong>and</strong> winch<br />
operators; industrial truck <strong>and</strong> tractor operators; cleaners of<br />
vehicles <strong>and</strong> equipment; laborers <strong>and</strong> freight, stock, <strong>and</strong><br />
material movers, h<strong>and</strong>; machine feeders <strong>and</strong> offbearers;<br />
packers <strong>and</strong> packagers, h<strong>and</strong>; pumping station operators;<br />
refuse <strong>and</strong> recyclable material collectors; <strong>and</strong> miscellaneous<br />
material moving workers.<br />
3) Definition of Racial <strong>and</strong> Ethnic Terms (as used in Part IV Bidder Employment In<strong>for</strong>mation)<br />
White (not of Hispanic Origin)- All persons having origins in<br />
any of the original peoples of Europe, North Africa, or the<br />
Middle East.<br />
Black(not of Hispanic Origin)- All persons having origins in any<br />
of the Black racial groups of Africa.<br />
Hispanic- All persons of Mexican, Puerto Rican, Cuban,<br />
Central or South American, or other Spanish culture or origin,<br />
regardless of race.<br />
Asian or Pacific Isl<strong>and</strong>er- All persons having origins in any of<br />
the original peoples of the Far East, Southeast Asia, the<br />
Indian subcontinent, or the Pacific Isl<strong>and</strong>s. This area includes<br />
China, India, Japan, Korea, the Philippine Isl<strong>and</strong>s, <strong>and</strong><br />
Samoa.<br />
American Indian or Alaskan Native- All persons having<br />
origins in any of the original peoples of North America, <strong>and</strong><br />
who maintain cultural identification through tribal affiliation or<br />
community recognition.<br />
51
BIDDER CONTRACT COMPLIANCE MONITORING REPORT<br />
PART I - Bidder In<strong>for</strong>mation (Page 3)<br />
Company Name<br />
Street Address<br />
City & State<br />
Chief Executive<br />
Major Business Activity<br />
(brief description)<br />
Bidder Federal Employer<br />
Identification Number____________________<br />
Or<br />
Social Security Number__________________<br />
Bidder Identification (response optional/definitions on page 1)<br />
-Bidder is a small contractor.<br />
Yes__ No__<br />
-Bidder is a minority business enterprise<br />
Yes__ No__<br />
(If yes, check ownership category)<br />
Black___ Hispanic___ Asian American___<br />
American Indian/Alaskan Native___ Iberian Peninsula___<br />
Individual(s) with a Physical Disability___ Female___<br />
Bidder Parent Company<br />
(If any) - Bidder is certified as above by State of CT Yes__ No__<br />
Other Locations in Ct.<br />
(If any)<br />
PART II - Bidder Nondiscrimination Policies <strong>and</strong> Procedures<br />
1. Does your company have a written Affirmative Action/Equal<br />
Employment Opportunity statement posted on company bulletin<br />
boards?<br />
Yes__ No__<br />
2. Does your company have the state-m<strong>and</strong>ated sexual harassment<br />
prevention in the workplace policy posted on company bulletin<br />
boards?<br />
Yes__ No__<br />
3. Do you notify all recruitment sources in writing of your company’s<br />
Affirmative Action/Equal Employment Opportunity employment<br />
policy?<br />
Yes__ No__<br />
4. Do your company advertisements contain a written statement that<br />
you are an Affirmative Action/Equal Opportunity Employer?<br />
Yes__ No__<br />
5. Do you notify the Ct. State Employment Service of all employment<br />
openings with your company?<br />
Yes__ No__<br />
6. Does your company have a collective bargaining agreement with<br />
workers?<br />
Yes__ No__<br />
6a. If yes, do the collective bargaining agreements contain<br />
non-discrimination clauses covering all workers? Yes__ No__<br />
6b. Have you notified each union in writing of your<br />
commitments under the nondiscrimination requirements of<br />
contracts with the state of Ct.<br />
Yes__ No__<br />
- DAS Certification Number ___________________________<br />
7. Do all of your company contracts <strong>and</strong> purchase orders contain<br />
non-discrimination statements as required by Sections 4a-60 & 4a-<br />
60a Conn. Gen. Stat.?<br />
Yes__ No__<br />
8. Do you, upon request, provide reasonable accommodation to<br />
employees, or applicants <strong>for</strong> employment, who have physical or<br />
mental disability?<br />
Yes__ No__<br />
9. Does your company have a m<strong>and</strong>atory retirement age <strong>for</strong> all<br />
employees?<br />
Yes__ No__<br />
10. If your company has 50 or more employees, have you provided<br />
at least two (2) hours of sexual harassment training to all of your<br />
supervisors?<br />
Yes__ No__ NA__<br />
11. If your company has apprenticeship programs, do they meet the<br />
Affirmative Action/Equal Employment Opportunity requirements of<br />
the apprenticeship st<strong>and</strong>ards of the Ct. Dept. of Labor?<br />
Yes__ No__ NA__<br />
12. Does your company have a written affirmative action Plan?<br />
Yes__ No__<br />
If no, please explain.<br />
13. Is there a person in your company who is responsible <strong>for</strong> equal<br />
employment opportunity?<br />
Yes__ No__<br />
If yes, give name <strong>and</strong> phone<br />
number._________________________<br />
Part III - Bidder Subcontracting Practices<br />
1. Will the work of this contract include subcontractors or suppliers? Yes__ No__<br />
1a. If yes, please list all subcontractors <strong>and</strong> suppliers <strong>and</strong> report if they are a small contractor <strong>and</strong>/or a minority business enterprise.<br />
(defined on page 1 / use additional sheet if necessary)<br />
1b. Will the work of this contract require additional subcontractors or suppliers other than those identified in 1a. above? Yes__ No__<br />
52
PART IV - Bidder Employment In<strong>for</strong>mation Date: (Page 4)<br />
JOB CATEGORY<br />
OVERALL<br />
TOTALS<br />
WHITE (not of<br />
Hispanic origin)<br />
BLACK (not of<br />
Hispanic origin)<br />
HISPANIC<br />
ASIAN or PACIFIC<br />
ISLANDER<br />
AMERICAN INDIAN or<br />
ALASKAN NATIVE<br />
Male Female Male Female Male Female Male Female Male Female<br />
Management<br />
Business & Financial<br />
Ops<br />
Computer Specialists<br />
Architecture/<br />
Engineering<br />
Office & Admin Support<br />
Bldg/ Grounds<br />
Cleaning/<br />
Maintenance<br />
Construction &<br />
Extraction<br />
Installation ,<br />
Maintenance<br />
& Repair<br />
Material Moving<br />
Workers<br />
TOTALS ABOVE<br />
Total One Year Ago<br />
FORMAL ON THE JOB TRAINEES (ENTER FIGURES FOR THE SAME CATEGORIES AS ARE SHOWN ABOVE)<br />
Apprentices<br />
Trainees<br />
PART V - Bidder Hiring <strong>and</strong> Recruitment Practices<br />
1. Which of the following recruitment sources are used by you?<br />
(Check yes or no, <strong>and</strong> report percent used)<br />
SOURCE YES NO % of applicants<br />
provided by source<br />
State Employment Service<br />
Private Employment<br />
Agencies<br />
Schools <strong>and</strong> Colleges<br />
Newspaper Advertisement<br />
Walk Ins<br />
Present Employees<br />
Labor Organizations<br />
Minority/Community<br />
Organizations<br />
Others (please identify)<br />
2. Check (X) any of the below listed<br />
requirements that you use as a hiring<br />
qualification<br />
Work Experience<br />
Ability to Speak or Write<br />
English<br />
Written Tests<br />
High School Diploma<br />
College Degree<br />
Union Membership<br />
Personal<br />
Recommendation<br />
Height or Weight<br />
Car Ownership<br />
Arrest Record<br />
3. Describe below any other practices or actions that you<br />
take which show that you hire, train, <strong>and</strong> promote<br />
employees without discrimination<br />
Wage Garnishments<br />
Certification (Read this <strong>for</strong>m <strong>and</strong> check your statements on it CAREFULLY be<strong>for</strong>e signing). I certify that the statements made by me on this BIDDER CONTRACT COMPLIANCE MONITORING<br />
REPORT are complete <strong>and</strong> true to the best of my knowledge <strong>and</strong> belief, <strong>and</strong> are made in good faith. I underst<strong>and</strong> that if I knowingly make any misstatements of facts, I am subject to be<br />
declared in non-compliance with Section 4a-60, 4a-60a, <strong>and</strong> related sections of the CONN. GEN. STAT.<br />
(Signature) (Title) (Date) (Telephone)<br />
53
EXHIBIT A - SEEC FORM 11<br />
CONNECTICUT STATE ELECTIONS ENFORCEMENT COMMISSION<br />
Rev. 1/11<br />
NOTICE TO EXECUTIVE BRANCH STATE CONTRACTORS AND PROSPECTIVE STATE<br />
CONTRACTORS OF CAMPAIGN CONTRIBUTION AND SOLICITATION LIMITATIONS<br />
This notice is provided under the authority of Connecticut General Statutes §9-612(g)(2), as amended by P.A. 10-1, <strong>and</strong> is <strong>for</strong> the<br />
purpose of in<strong>for</strong>ming state contractors <strong>and</strong> prospective state contractors of the following law (italicized words are defined on the<br />
reverse side of this page).<br />
CAMPAIGN CONTRIBUTION AND SOLICITATION LIMITATIONS<br />
No state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor,<br />
with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-public<br />
agency or a holder, or principal of a holder of a valid prequalification certificate, shall make a contribution to (i) an exploratory<br />
committee or c<strong>and</strong>idate committee established by a c<strong>and</strong>idate <strong>for</strong> nomination or election to the office of Governor, Lieutenant<br />
Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to<br />
make contributions or expenditures to or <strong>for</strong> the benefit of such c<strong>and</strong>idates, or (iii) a party committee (which includes town<br />
committees).<br />
In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to (i) an<br />
exploratory committee or c<strong>and</strong>idate committee established by a c<strong>and</strong>idate <strong>for</strong> nomination or election to the office of State<br />
senator or State representative, (ii) a political committee authorized to make contributions or expenditures to or <strong>for</strong> the benefit of<br />
such c<strong>and</strong>idates, or (iii) a party committee.<br />
On <strong>and</strong> after January 1, 2011, no state contractor, prospective state contractor, principal of a state contractor or principal of a<br />
prospective state contractor, with regard to a state contract or state contract solicitation with or from a state agency in the executive<br />
branch or a<br />
quasi-public agency or a holder, or principal of a holder of a valid prequalification certificate, shall knowingly solicit<br />
contributions from the state contractor's or prospective state contractor's employees or from a subcontractor or principals of the<br />
subcontractor on behalf of (i)<br />
an exploratory committee or c<strong>and</strong>idate committee established by a c<strong>and</strong>idate <strong>for</strong> nomination or election to the office of<br />
Governor,<br />
Lieutenant Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee<br />
authorized to make contributions or expenditures to or <strong>for</strong> the benefit of such c<strong>and</strong>idates, or (iii) a party committee.<br />
DUTY TO INFORM<br />
State contractors <strong>and</strong> prospective state contractors are required to in<strong>for</strong>m their principals of the above prohibitions, as applicable,<br />
<strong>and</strong> the possible penalties <strong>and</strong> other consequences of any violation thereof.<br />
PENALTIES FOR VIOLATIONS<br />
Contributions or solicitations of contributions made in violation of the above prohibitions may result in the following civil <strong>and</strong><br />
criminal penalties:<br />
Civil penalties—Up to $2,000 or twice the amount of the prohibited contribution, whichever is greater, against a principal or a<br />
contractor. Any state contractor or prospective state contractor which fails to make reasonable ef<strong>for</strong>ts to comply with the<br />
provisions requiring notice to its principals of these prohibitions <strong>and</strong> the possible consequences of their violations may also be<br />
subject to civil penalties of up to $2,000 or twice the amount of the prohibited contributions made by their principals.<br />
Criminal penalties—Any knowing <strong>and</strong> willful violation of the prohibition is a Class D felony, which may subject the<br />
violator to imprisonment of not more than 5 years, or not more than $5,000 in fines, or both.<br />
CONTRACT CONSEQUENCES<br />
In the case of a state contractor, contributions made or solicited in violation of the above prohibitions may resulting the<br />
contract being voided.<br />
In the case of a prospective state contractor, contributions made or solicited in violation of the above prohibitions shall result in<br />
the contract described in the state contract solicitation not being awarded to the prospective state contractor, unless the State<br />
Elections En<strong>for</strong>cement Commission determines that mitigating circumstances exist concerning such violation.<br />
The State shall not award any other state contract to anyone found in violation of the above prohibitions <strong>for</strong> a period of one year<br />
after the election <strong>for</strong> which such contribution is made or solicited, unless the State Elections En<strong>for</strong>cement Commission determines<br />
that mitigating circumstances exist concerning such violation.<br />
54
Additional in<strong>for</strong>mation may be found on the website of the State Elections En<strong>for</strong>cement Commission, www.ct.gov/seec. Click<br />
on the link to “Lobbyist/Contractor Limitations.”<br />
DEFINITIONS<br />
“State contractor” means a person, business entity or nonprofit organization that enters into a state contract. Such person, business entity or<br />
nonprofit organization shall be deemed to be a state contractor until December thirty-first of the year in which such contract terminates. “State<br />
contractor” does not include a municipality or any other political subdivision of the state, including any entities or associations duly created by the<br />
municipality or political subdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or an employee in the<br />
executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service <strong>and</strong> full or part-time,<br />
<strong>and</strong> only in such person's capacity as a state or quasi-public agency employee.<br />
“Prospective state contractor” means a person, business entity or nonprofit organization that (i) submits a response to a state contract solicitation by<br />
the state, a state agency or a quasi-public agency, or a proposal in response to a request <strong>for</strong> proposals by the state, a state agency or a quasipublic<br />
agency, until the contract has been entered into, or (ii) holds a valid prequalification certificate issued by the Commissioner of<br />
Administrative Services under section 4a-100. “Prospective state contractor” does not include a municipality or any other political subdivision of<br />
the state, including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further<br />
any purpose authorized by statute or charter, or an employee in the executive or legislative branch of state government or a quasi-public agency,<br />
whether in the classified or unclassified service <strong>and</strong> full or part-time, <strong>and</strong> only in such person's capacity as a state or quasi-public agency employee.<br />
“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<br />
ownership interest of five per cent or more in, a state contractor or prospective state contractor, which is a business entity, except <strong>for</strong> an individual<br />
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<br />
contractor, which is a business entity, as president, treasurer or executive vice president, (iii) an individual who is the chief executive officer of a<br />
state contractor or prospective state contractor, which is not a business entity, or if a state contractor or prospective state contractor has no such<br />
officer, then the officer who duly possesses comparable powers <strong>and</strong> duties, (iv) an officer or an employee of any state contractor or prospective<br />
state contractor who has managerial or discretionary responsibilities with respect to a state contract, (v) the spouse or a dependent child who is<br />
eighteen years of age or older of an individual described in this subparagraph, or (vi) a political committee established or controlled by an<br />
individual described in this subparagraph or the business entity or nonprofit organization that is the state contractor or prospective state contractor.<br />
“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<br />
otherwise, having a value of fifty thous<strong>and</strong> dollars or more, or a combination or series of such agreements or contracts having a value of one<br />
hundred thous<strong>and</strong> dollars or more in a calendar year, <strong>for</strong> (i) the rendition of services, (ii) the furnishing of any goods, material, supplies,<br />
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<br />
lease of any l<strong>and</strong> or building, (v) a licensing arrangement, or (vi) a grant, loan or loan guarantee. “State contract” does not include any agreement<br />
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<br />
individual <strong>for</strong> other than commercial purposes or any agreement or contract between the state or any state agency <strong>and</strong> the United States Department<br />
of the Navy or the United States Department of Defense.<br />
“State contract solicitation” means a request by a state agency or quasi-public agency, in whatever <strong>for</strong>m issued, including, but not limited to, an<br />
invitation to bid, request <strong>for</strong> proposals, request <strong>for</strong> in<strong>for</strong>mation or request <strong>for</strong> quotes, inviting bids, quotes or other types of submittals, through a<br />
competitive procurement process or another process authorized by law waiving competitive procurement.<br />
“Managerial or discretionary responsibilities with respect to a state contract” means having direct, extensive <strong>and</strong> substantive responsibilities with<br />
respect to the negotiation of the state contract <strong>and</strong> not peripheral, clerical or ministerial responsibilities.<br />
“Dependent child” means a child residing in an individual’s household who may legally be claimed as a dependent on the federal income<br />
tax of such individual.<br />
“Solicit” means (A) requesting that a contribution be made, (B) participating in any fund-raising activities <strong>for</strong> a c<strong>and</strong>idate committee, exploratory<br />
committee, political committee or party committee, including, but not limited to, <strong>for</strong>warding tickets to potential contributors, receiving<br />
contributions <strong>for</strong> transmission to any such committee or bundling contributions, (C) serving as chairperson, treasurer or deputy treasurer of any<br />
such committee, or (D) establishing a political committee <strong>for</strong> the sole purpose of soliciting or receiving contributions <strong>for</strong> any committee. Solicit<br />
does not include: (i) making a contribution that is otherwise permitted by Chapter 155 of the Connecticut General Statutes; (ii) in<strong>for</strong>ming any<br />
person of a position taken by a c<strong>and</strong>idate <strong>for</strong> public office or a public official, (iii) notifying the person of any activities of, or contact in<strong>for</strong>mation<br />
<strong>for</strong>, any c<strong>and</strong>idate <strong>for</strong> public office; or (iv) serving as a member in any party committee or as an officer of such committee that is not otherwise<br />
prohibited in this section.<br />
“Subcontractor” means any person, business entity or nonprofit organization that contracts to per<strong>for</strong>m part or all of the obligations of a state<br />
contractor's state contract. Such person, business entity or nonprofit organization shall be deemed to be a subcontractor until December thirty first<br />
of the year in which the subcontract terminates. “Subcontractor” does not include (i) a municipality or any other political subdivision of the state,<br />
including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further any<br />
purpose authorized by statute or charter, or (ii) an employee in the executive or legislative branch of state government or a quasi-public agency,<br />
whether in the classified or unclassified service <strong>and</strong> full or part-time, <strong>and</strong> only in such person's capacity as a state or quasi-public agency<br />
employee.<br />
“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<br />
or more in, a subcontractor, which is a business entity, except <strong>for</strong> an individual who is a member of the board of directors of a nonprofit<br />
organization, (ii) an individual who is employed by a subcontractor, which is a business entity, as president, treasurer or executive vice president,<br />
(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,<br />
then the officer who duly possesses comparable powers <strong>and</strong> duties, (iv) an officer or an employee of any subcontractor who has managerial or<br />
discretionary responsibilities with respect to a subcontract with a state contractor, (v) the spouse or a dependent child who is eighteen years of<br />
age or older of an individual described in this subparagraph, or (vi) a political committee established or controlled by an individual described in<br />
this subparagraph or the business entity or nonprofit organization that is the subcontractor.<br />
55
STATE OF CONNECTICUT<br />
NONDISCRIMINATION CERTIFICATION — Affidavit<br />
By Entity<br />
For Contracts Valued at $50,000 or More<br />
Form C<br />
07-08-2009<br />
Documentation in the <strong>for</strong>m of an affidavit signed under penalty of false statement by a chief executive<br />
officer, president, chairperson, member, or other corporate officer duly authorized to adopt corporate,<br />
company, or partnership policy that certifies the contractor complies with the nondiscrimination<br />
agreements <strong>and</strong> warranties under Connecticut General Statutes §§ 4a-60(a)(1) <strong>and</strong> 4a-60a(a)(1), as<br />
amended<br />
INSTRUCTIONS:<br />
For use by an entity (corporation, limited liability company, or partnership) when entering into any contract<br />
type with the State of Connecticut valued at $50,000 or more <strong>for</strong> any year of the contract. Complete all<br />
sections of the <strong>for</strong>m. Sign <strong>for</strong>m in the presence of a Commissioner of Superior Court or Notary Public.<br />
Submit to the awarding State agency prior to contract execution.<br />
AFFIDAVIT:<br />
I, the undersigned, am over the age of eighteen (18) <strong>and</strong> underst<strong>and</strong> <strong>and</strong> appreciate the obligations of<br />
an oath. I am _________________________ of ________________________________ , an entity<br />
Signatory’s Title<br />
Name of Entity<br />
duly <strong>for</strong>med <strong>and</strong> existing under the laws of _____________________________________.<br />
Name of State or Commonwealth<br />
I certify that I am authorized to execute <strong>and</strong> deliver this affidavit on behalf of<br />
________________________________ <strong>and</strong> that ________________________________<br />
Name of Entity<br />
Name of Entity<br />
has a policy in place that complies with the nondiscrimination agreements <strong>and</strong> warranties of Connecticut<br />
General Statutes §§ 4a-60(a)(1)<strong>and</strong> 4a-60a(a)(1), as amended.<br />
___________________________________________<br />
Authorized Signatory<br />
___________________________________________<br />
Printed Name<br />
Sworn <strong>and</strong> subscribed to be<strong>for</strong>e me on this ______ day of ____________, 20____.<br />
___________________________________________<br />
Commissioner of the Superior Court/<br />
Notary Public<br />
___________________________________<br />
Commission Expiration Date<br />
56
OPM Ethics Form 1 Rev. 10-01-11<br />
Page 1 of 2<br />
STATE OF CONNECTICUT<br />
GIFT AND CAMPAIGN CONTRIBUTION CERTIFICATION<br />
Written or electronic certification to accompany a State contract with a value of $50,000 or more<br />
in a calendar or fiscal year, pursuant to C.G.S. §§ 4-250 <strong>and</strong> 4-252(c); Governor M. Jodi Rell’s<br />
Executive Orders No. 1, Para. 8, <strong>and</strong> No. 7C, Para. 10; <strong>and</strong> C.G.S. §9-612(g)(2)<br />
INSTRUCTIONS:<br />
Complete all sections of the <strong>for</strong>m. Attach additional pages, if necessary, to provide full disclosure about any<br />
lawful campaign contributions made to campaigns of c<strong>and</strong>idates <strong>for</strong> statewide public office or the General<br />
Assembly, as described herein. Sign <strong>and</strong> date the <strong>for</strong>m, under oath, in the presence of a Commissioner of<br />
the Superior Court or Notary Public. Submit the completed <strong>for</strong>m to the awarding State agency at the time<br />
of initial contract execution <strong>and</strong> if there is a change in the in<strong>for</strong>mation contained in the most recently filed<br />
certification, such person shall submit an updated certification either (i) not later than thirty (30) days after<br />
the effective date of such change or (ii) upon the submittal of any new bid or proposal <strong>for</strong> a contract,<br />
whichever is earlier. Such person shall also submit an accurate, updated certification not later than fourteen<br />
days after the twelve-month anniversary of the most recently filed certification or updated certification.<br />
CHECK ONE: Initial Certification 12 Month Anniversary Update (Multi-year contracts only.)<br />
GIFT CERTIFICATION:<br />
Updated Certification because of change of in<strong>for</strong>mation contained in the most<br />
recently filed certification or twelve-month anniversary update.<br />
As used in this certification, the following terms have the meaning set <strong>for</strong>th below:<br />
1) “Contract” means that contract between the State of Connecticut (<strong>and</strong>/or one or more of it agencies or<br />
instrumentalities) <strong>and</strong> the Contractor, attached hereto, or as otherwise described by the awarding State<br />
agency below;<br />
2) If this is an Initial Certification, “Execution Date” means the date the Contract is fully executed by, <strong>and</strong><br />
becomes effective between, the parties; if this is a twelve-month anniversary update, “Execution Date”<br />
means the date this certification is signed by the Contractor;<br />
3) “Contractor” means the person, firm or corporation named as the contactor below;<br />
4) “Applicable Public Official or State Employee” means any public official or state employee described in<br />
C.G.S. §4-252(c)(1)(i) or (ii);<br />
5) “Gift” has the same meaning given that term in C.G.S. § 4-250(1);<br />
6) “Principals or Key Personnel” means <strong>and</strong> refers to those principals <strong>and</strong> key personnel of the Contractor,<br />
<strong>and</strong> its or their agents, as described in C.G.S. §§ 4-250(5) <strong>and</strong> 4-252(c)(1)(B) <strong>and</strong> (C).<br />
I, the undersigned, am the official authorized to execute the Contract on behalf of the Contractor. I hereby<br />
certify that, no gifts were made by (A) such person, firm, corporation, (B) any principals <strong>and</strong> key personnel<br />
of the person firm or corporation who participate substantially in preparing bids, proposals or negotiating<br />
state contracts or (C) any agent of such, firm, corporation, or principals or key personnel who participates<br />
substantially in preparing bids, proposals or negotiating state contracts, to (i) any public official or state<br />
employee of the state agency or quasi-public agency soliciting bids or proposals <strong>for</strong> state contracts who<br />
participates substantially in the preparation of bid solicitations or request <strong>for</strong> proposals <strong>for</strong> state contracts or<br />
the negotiation or award of state contracts or (ii) any public official or state employee of any other state<br />
agency, who has supervisory or appointing authority over such state agency or quasi-public agency.<br />
I further certify that no Principals or Key Personnel know of any action by the Contractor to circumvent (or<br />
which would result in the circumvention of) the above certification regarding Gifts by providing <strong>for</strong> any other<br />
principals, key personnel, officials, or employees of the Contractor, or its or their agents, to make a Gift to<br />
any Applicable Public Official or State Employee. I further certify that the Contractor made the bid or<br />
proposal <strong>for</strong> the Contract without fraud or collusion with any person.<br />
57
OPM Ethics Form 1 Rev. 10-01-11<br />
Page 2 of 2<br />
CAMPAIGN CONTRIBUTION CERTIFICATION:<br />
I further certify that, on or after December 31, 2006, neither the Contractor nor any of its principals, as<br />
defined in C.G.S. § 9-612(g)(1), has made any campaign contributions to, or solicited any contributions<br />
on behalf of, any exploratory committee, c<strong>and</strong>idate committee, political committee, or party committee<br />
established by, or supporting or authorized to support, any c<strong>and</strong>idate <strong>for</strong> statewide public office, in violation<br />
of C.G.S. § 9-612(g)(2)(A). I further certify that all lawful campaign contributions that have been made<br />
on or after December 31, 2006 by the Contractor or any of its principals, as defined in C.G.S. § 9-612(g)(1),<br />
to, or solicited on behalf of, any exploratory committee, c<strong>and</strong>idate committee, political committee, or party<br />
committee established by, or supporting or authorized to support any c<strong>and</strong>idates <strong>for</strong> statewide public office<br />
or the General Assembly, are listed below:<br />
Lawful Campaign Contributions to C<strong>and</strong>idates <strong>for</strong> Statewide Public Office:<br />
Contribution Date Name of Contributor Recipient Value Description<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
Lawful Campaign Contributions to C<strong>and</strong>idates <strong>for</strong> the General Assembly:<br />
Contribution Date Name of Contributor Recipient Value Description<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
Sworn as true to the best of my knowledge <strong>and</strong> belief, subject to the penalties of false statement.<br />
__________________________________<br />
Printed Contractor Name<br />
_________________________________________<br />
Printed Name of Authorized Official<br />
___________________________________<br />
Signature of Authorized Official<br />
Subscribed <strong>and</strong> acknowledged be<strong>for</strong>e me this ______ day of __________________, 20___.<br />
___________________________________________<br />
Commissioner of the Superior Court (or Notary Public)<br />
58
OPM Ethics Form 5 Rev. 10-01-11<br />
STATE OF CONNECTICUT<br />
CONSULTING AGREEMENT AFFIDAVIT<br />
Affidavit to accompany a bid or proposal <strong>for</strong> the purchase of goods <strong>and</strong> services with a value of $50,000 or<br />
more in a calendar or fiscal year, pursuant to Connecticut General Statutes §§ 4a-81(a) <strong>and</strong> 4a-81(b). For<br />
sole source or no bid contracts the <strong>for</strong>m is submitted at time of contract execution.<br />
INSTRUCTIONS:<br />
If the bidder or vendor has entered into a consulting agreement, as defined by Connecticut<br />
General Statutes § 4a-81(b)(1): Complete all sections of the <strong>for</strong>m. If the bidder or contractor has<br />
entered into more than one such consulting agreement, use a separate <strong>for</strong>m <strong>for</strong> each agreement. Sign <strong>and</strong><br />
date the <strong>for</strong>m in the presence of a Commissioner of the Superior Court or Notary Public. If the bidder or<br />
contractor has not entered into a consulting agreement, as defined by Connecticut General<br />
Statutes § 4a-81(b)(1): Complete only the shaded section of the <strong>for</strong>m. Sign <strong>and</strong> date the <strong>for</strong>m in the<br />
presence of a Commissioner of the Superior Court or Notary Public.<br />
Submit completed <strong>for</strong>m to the awarding State agency with bid or proposal. For a sole source award, submit<br />
completed <strong>for</strong>m to the awarding State agency at the time of contract execution.<br />
This affidavit must be amended if there is any change in the in<strong>for</strong>mation contained in the most recently filed<br />
affidavit not later than (i) thirty days after the effective date of any such change or (ii) upon the submittal of<br />
any new bid or proposal, whichever is earlier.<br />
AFFIDAVIT:<br />
[Number of Affidavits Sworn <strong>and</strong> Subscribed On This Day: _____]<br />
I, the undersigned, hereby swear that I am a principal or key personnel of the bidder or contractor awarded<br />
a contract, as described in Connecticut General Statutes § 4a-81(b), or that I am the individual awarded<br />
such a contract who is authorized to execute such contract. I further swear that I have not entered into any<br />
consulting agreement in connection with such contract, except <strong>for</strong> the agreement listed below:<br />
__________________________________________<br />
Consultant’s Name <strong>and</strong> Title<br />
_______________________________________<br />
Name of Firm (if applicable)<br />
__________________ ___________________ ___________________<br />
Start Date End Date Cost<br />
Description of Services Provided: ___________________________________________________________<br />
______________________________________________________________________________________<br />
______________________________________________________________________________________<br />
Is the consultant a <strong>for</strong>mer State employee or <strong>for</strong>mer public official? YES NO<br />
If YES: ___________________________________<br />
Name of Former State Agency<br />
__________________________<br />
Termination Date of Employment<br />
Sworn as true to the best of my knowledge <strong>and</strong> belief, subject to the penalties of false statement.<br />
___________________________ ___________________________________ __________________<br />
Printed Name of Bidder or Contractor Signature of Principal or Key Personnel Date<br />
___________________________________ ___________________<br />
Printed Name (of above)<br />
Awarding State Agency<br />
Sworn <strong>and</strong> subscribed be<strong>for</strong>e me on this _______ day of ____________, 20___.<br />
___________________________________<br />
Commissioner of the Superior Court<br />
or Notary Public<br />
59
OPM Ethics Form 6 Rev. 10-01-11<br />
STATE OF CONNECTICUT<br />
AFFIRMATION OF RECEIPT OF STATE ETHICS LAWS SUMMARY<br />
Written or electronic affirmation to accompany a large State construction or procurement<br />
contract, having a cost of more than $500,000, pursuant to Connecticut General Statutes §§ 1-<br />
101mm <strong>and</strong> 1-101qq<br />
INSTRUCTIONS:<br />
Complete all sections of the <strong>for</strong>m. Submit completed <strong>for</strong>m to the awarding State agency or contractor, as<br />
directed below.<br />
CHECK ONE:<br />
<br />
<br />
<br />
<br />
I am a person seeking a large State construction or procurement contract. I am submitting this<br />
affirmation to the awarding State agency with my bid or proposal. [Check this box if the contract<br />
will be awarded through a competitive process.]<br />
I am a contractor who has been awarded a large State construction or procurement contract. I am<br />
submitting this affirmation to the awarding State agency at the time of contract execution. [Check<br />
this box if the contract was a sole source award.]<br />
I am a subcontractor or consultant of a contractor who has been awarded a large State construction<br />
or procurement contract. I am submitting this affirmation to the contractor.<br />
I am a contractor who has already filed an affirmation, but I am updating such affirmation either (i)<br />
no later than thirty (30) days after the effective date of any such change or (ii) upon the submittal<br />
of any new bid or proposal, whichever is earlier.<br />
IMPORTANT NOTE:<br />
Within fifteen (15) days after the request of such agency, institution or quasi-public agency <strong>for</strong> such<br />
affirmation contractors shall submit the affirmations of their subcontractors <strong>and</strong> consultants to the awarding<br />
State agency. Failure to submit such affirmations in a timely manner shall be cause <strong>for</strong> termination of the<br />
large State construction or procurement contract.<br />
AFFIRMATION:<br />
I, the undersigned person, contractor, subcontractor, consultant, or the duly authorized representative<br />
thereof, affirm (1) receipt of the summary of State ethics laws* developed by the Office of State Ethics<br />
pursuant to Connecticut General Statutes § 1-81b <strong>and</strong> (2) that key employees of such person, contractor,<br />
subcontractor, or consultant have read <strong>and</strong> underst<strong>and</strong> the summary <strong>and</strong> agree to comply with its<br />
provisions.<br />
* The summary of State ethics laws is available on the State of Connecticut’s Office of State Ethics website.<br />
________________________________________________<br />
Signature<br />
________________________________________________<br />
Printed Name<br />
____________________<br />
Date<br />
____________________________________<br />
Title<br />
________________________________________________<br />
Firm or Corporation (if applicable)<br />
________________________________________________ ____________________ ____ ______<br />
Street Address City State Zip<br />
____________________________________<br />
Awarding State Agency<br />
60
APPENDIX 1<br />
CONNECTICUT COLLEGES PURCHASING GROUP<br />
Current Participating Institutions<br />
Albertus Magnus College<br />
Asnuntuck Community College<br />
Board of Trustees <strong>for</strong> Community Colleges<br />
Capital Community College<br />
Central Connecticut State University<br />
Charter Oak College<br />
Connecticut State University System<br />
Eastern Connecticut State University<br />
Fairfield University<br />
Gateway Community College<br />
Hart<strong>for</strong>d Seminary<br />
Holy Apostles College & Seminary<br />
The Hotchkiss School<br />
Housatonic Community College<br />
Kingswood-Ox<strong>for</strong>d School<br />
Manchester Community College<br />
Middlesex Community College<br />
Yale University<br />
Mitchell College<br />
Naugatuck Valley Community College<br />
Norwalk Community College<br />
Post University<br />
Quinebaug Valley Community College<br />
Quinnipiac University<br />
Sacred Heart University<br />
Saint Joseph College<br />
Southern Connecticut State University<br />
Three Rivers Community College<br />
Trinity College<br />
Tunxis Community College<br />
University of Connecticut<br />
University of Hart<strong>for</strong>d<br />
University of New Haven<br />
Wesleyan University<br />
Western Connecticut State University<br />
For more in<strong>for</strong>mation on CCPG, visit their website at http://www.ccpg.net/mainh1.htm .<br />
62
APPENDIX 2<br />
CERTIFIED RESOLUTION<br />
I, (name of Secretary), Secretary of (name of corporation), a corporation<br />
organized <strong>and</strong> existing under the laws of the State of __________ (the<br />
“Company”), do hereby certify that the following is a true <strong>and</strong> correct copy of a<br />
resolution duly adopted at a meeting of the Board of Directors of the Company<br />
duly held <strong>and</strong> convened on ______________, 200__, at which meeting a duly<br />
constituted quorum of the Board of Directors was present <strong>and</strong> acting throughout,<br />
<strong>and</strong> that such resolution has not been modified, rescinded or revoked, <strong>and</strong> is at<br />
present in full <strong>for</strong>ce <strong>and</strong> effect:<br />
RESOLVED: That (name of officer),(office held e.g. president, vice<br />
president. etc.), of (name of corporation), is empowered <strong>and</strong> authorized to<br />
execute <strong>and</strong> deliver contracts on behalf of the Company.<br />
[or if the signatory has received authorization specifically <strong>for</strong> the UConn<br />
contract, use the paragraph below <strong>and</strong> delete the paragraph above (including<br />
this internal note)]<br />
RESOLVED: That (name of officer), (office held e.g. president. vice<br />
president. etc.), of (name of corporation), is empowered <strong>and</strong> authorized to<br />
execute <strong>and</strong> deliver in the name <strong>and</strong> on behalf of this Company a certain contract<br />
with __________ the University of Connecticut <strong>for</strong> (general description of<br />
services) <strong>and</strong> to affix the corporate seal [if applicable].<br />
IN WITNESS WHEREOF, the undersigned has affixed his/her<br />
signature <strong>and</strong> the corporate seal of the Company this ______ day<br />
of___________, 200__.<br />
[or, if the corporation has no seal use the paragraph below <strong>and</strong> delete the<br />
paragraph above (including this internal note)]<br />
IN WITNESS WHEREOF, the undersigned has affixed his/her<br />
signature this _____ day of, 200__. The Company has no corporate seal.<br />
_______________________<br />
(Name), Secretary<br />
(Corporate Seal or “L.S. “)<br />
63
APPENDIX 3<br />
University of Connecticut<br />
Purchasing Agreement<br />
<strong>for</strong><br />
<strong>Laboratory</strong> <strong>Supplies</strong> <strong>and</strong> Equipment<br />
UC-12-CGP031612<br />
(Supplemental to primary vendor contract UC-09-CGP021309)<br />
This Agreement (hereinafter “Agreement”) is made <strong>and</strong> entered into by <strong>and</strong> between:<br />
University of Connecticut <strong>and</strong> ____________________________<br />
Purchasing Department<br />
____________________________<br />
3 North Hillside Road, Unit 6076 ____________________________<br />
Storrs, CT 06269-6076<br />
____________________________<br />
hereinafter “University”<br />
hereinafter “Contractor”<br />
________________________________<br />
University Contract Administrator/Phone<br />
____________________________<br />
Contractor Contact/Phone<br />
Section 1<br />
DEFINITIONS (if any):<br />
A.<br />
B.<br />
C.<br />
1.1. Term: This Agreement between the University <strong>and</strong> the Contractor will govern the provision of goods,<br />
services or other considerations (hereinafter “Services”) referenced herein from:<br />
1.1.1 Effective Date: _____________________ End Date: _____________________<br />
1.1.2 Amendment Terms: All revisions to this Agreement may only be made by written amendment<br />
executed by both parties <strong>and</strong> approved by the Office of the Attorney General prior to the end date of this<br />
Agreement.<br />
1.2. Brief Summary of Services: Contractor will provide . . .<br />
1.2.1 Service Location: Contractor will provide Services at/<strong>for</strong> the location(s) listed below:<br />
1.3 Maximum Amount Payable: $ ______________________<br />
1.3.1 Payment/Pricing Terms:<br />
1.4 Detailed Contractor Responsibilities:<br />
1.4.1 Responsibilities: Contractor will provide the following Services:<br />
1.4.2 Deliverables/Methods: Contractor will deliver to University . . .<br />
1.4.3. Work Schedule/Deadlines: Contractor will provide Services by . . .<br />
64
1.4.4. Health Insurance Portability <strong>and</strong> Accountability Act of 1996 (“HIPAA”)<br />
1.4.4.1 If the Contactor is a Business Associate under the requirements of the Health Insurance Portability<br />
<strong>and</strong> Accountability Act of 1996 (“HIPAA”), the Contractor must comply with all terms <strong>and</strong> conditions<br />
of this Section of the Contract. If the Contractor is not a Business Associate under HIPAA, this<br />
Section of the Contract does not apply to the Contractor <strong>for</strong> this Contract.<br />
1.4.4.2 The Contractor is required to safeguard the use, publication <strong>and</strong> disclosure of in<strong>for</strong>mation on all<br />
applicants <strong>for</strong>, <strong>and</strong> all clients who receive, services under the Contract in accordance with all<br />
applicable federal <strong>and</strong> state law regarding confidentiality, which includes but is not limited to HIPAA,<br />
more specifically with the Privacy <strong>and</strong> Security Rules at 45 C.F.R. Part 160 <strong>and</strong> Part 164, subparts<br />
A, C, <strong>and</strong> E; <strong>and</strong><br />
1.4.4.3 The State of Connecticut Agency named on page 1 of this Contract (hereinafter the “Department”)<br />
is a “covered entity” as that term is defined in 45 C.F.R. § 160.103; <strong>and</strong><br />
1.4.4.4 The Contractor, on behalf of the Department, per<strong>for</strong>ms functions that involve the use or disclosure<br />
of “individually identifiable health in<strong>for</strong>mation,” as that term is defined in 45 C.F.R. § 160.103; <strong>and</strong><br />
1.4.4.5 The Contractor is a “business associate” of the Department, as that term is defined in 45 C.F.R.<br />
§ 160.103; <strong>and</strong><br />
1.4.4.6 The Contractor <strong>and</strong> the Department agree to the following in order to secure compliance with the<br />
HIPAA, the requirements of Subtitle D of the Health In<strong>for</strong>mation Technology <strong>for</strong> Economic <strong>and</strong><br />
Clinical Health Act (hereinafter the HITECH Act), (Pub. L. 111-5, sections 13400 to 13423), <strong>and</strong><br />
more specifically with the Privacy <strong>and</strong> Security Rules at 45 C.F.R. Part 160 <strong>and</strong> Part 164, subparts<br />
A, C, <strong>and</strong> E.<br />
1.4.4.7 Definitions<br />
a) “Breach shall have the same meaning as the term is defined in section 13400 of the HITECH<br />
Act (42 U.S.C. §17921(1))<br />
b) “Business Associate” shall mean the Contractor.<br />
c) “Covered Entity” shall mean the Department of the State of Connecticut named on page 1 of<br />
this Contract.<br />
d) “Designated Record Set” shall have the same meaning as the term “designated record set” in<br />
45 C.F.R. § 164.501.<br />
e) “Electronic Health Record” shall have the same meaning as the term is defined in section<br />
13400 of the HITECH Act (42 U.S.C. §17921(5))<br />
f) “Individual” shall have the same meaning as the term “individual”’ in 45 C.F.R. § 160.103 <strong>and</strong><br />
shall include a person who qualifies as a personal representative as defined in 45 C.F.R.<br />
§ 164.502(g).<br />
g) “Privacy Rule” shall mean the St<strong>and</strong>ards <strong>for</strong> Privacy of Individually Identifiable Health<br />
In<strong>for</strong>mation at 45 C.F.R. part 160 <strong>and</strong> parts 164, subparts A <strong>and</strong> E.<br />
h) “Protected Health In<strong>for</strong>mation” or “PHI” shall have the same meaning as the term “protected<br />
health in<strong>for</strong>mation” in 45 C.F.R. § 160.103, limited to in<strong>for</strong>mation created or received by the<br />
Business Associate from or on behalf of the Covered Entity.<br />
i) “Required by Law”’ shall have the same meaning as the term “required by law” in 45 C.F.R.<br />
§ 164.103.<br />
j) “Secretary” shall mean the Secretary of the Department of Health <strong>and</strong> Human Services or his<br />
designee.<br />
k) “More stringent” shall have the same meaning as the term “more stringent” in 45 C.F.R.<br />
§ 160.202.<br />
l) This Section of the Contract refers to the HIPAA Provisions stated herein, in their entirety.<br />
m) “Security Incident” shall have the same meaning as the term “security incident” in<br />
45 C.F.R.§ 164.304.<br />
n) “Security Rule” shall mean the Security St<strong>and</strong>ards <strong>for</strong> the Protection of Electronic Protected<br />
Health In<strong>for</strong>mation at 45 C.F.R. part 160 <strong>and</strong> parts 164, subpart A <strong>and</strong> C.<br />
o) “Unsecured protected health in<strong>for</strong>mation” shall have the same meaning as the term as<br />
defined in section 13402(h)(1)(A) of HITECH. Act. (42 U.S.C. §17932(h)(1)(A)).<br />
1.4.4.8 Obligations <strong>and</strong> Activities of Business Associates.<br />
a) Business Associate agrees not to use or disclose PHI other than as permitted or required by<br />
this Section of the Contract or as Required by Law.<br />
b) Business Associate agrees to use appropriate safeguards to prevent use or disclosure of PHI<br />
other than as provided <strong>for</strong> in this Section of the Contract.<br />
c) Business Associate agrees to use administrative, physical <strong>and</strong> technical safeguards that<br />
reasonably <strong>and</strong> appropriately protect the confidentiality, integrity, <strong>and</strong> availability of electronic<br />
protected health in<strong>for</strong>mation that it creates, receives, maintains, or transmits on behalf of the<br />
Covered Entity.<br />
65
d) Business Associate agrees to mitigate, to the extent practicable, any harmful effect that is<br />
known to the Business Associate of a use or disclosure of PHI by Business Associate in<br />
violation of this Section of the Contract.<br />
e) Business Associate agrees to report to Covered Entity any use or disclosure of PHI not<br />
provided <strong>for</strong> by this Section of the Contract or any security incident of which it becomes<br />
aware.<br />
f) Business Associate agrees to insure that any agent, including a subcontractor, to whom it<br />
provides PHI received from, or created or received by Business Associate, on behalf of the<br />
Covered Entity, agrees to the same restrictions <strong>and</strong> conditions that apply through this Section<br />
of the Contract to Business Associate with respect to such in<strong>for</strong>mation.<br />
g) Business Associate agrees to provide access, at the request of the Covered Entity, <strong>and</strong> in the<br />
time <strong>and</strong> manner agreed to by the parties, to PHI in a Designated Record Set, to Covered<br />
Entity or, as directed by Covered Entity, to an Individual in order to meet the<br />
requirements under 45 C.F.R. § 164.524.<br />
h) Business Associate agrees to make any amendments to PHI in a Designated Record Set that<br />
the Covered Entity directs or agrees to pursuant to 45 C.F.R. § 164.526 at the request of the<br />
Covered Entity, <strong>and</strong> in the time <strong>and</strong> manner agreed to by the parties.<br />
i) Business Associate agrees to make internal practices, books, <strong>and</strong> records, including policies<br />
<strong>and</strong> procedures <strong>and</strong> PHI, relating to the use <strong>and</strong> disclosure of PHI received from, or created<br />
or received by, Business Associate on behalf of Covered Entity, available to Covered Entity<br />
or to the Secretary in a time <strong>and</strong> manner agreed to by the parties or designated by the<br />
Secretary, <strong>for</strong> purposes of the Secretary determining Covered Entity’s compliance with the<br />
Privacy Rule.<br />
j) Business Associate agrees to document such disclosures of PHI <strong>and</strong> in<strong>for</strong>mation related to<br />
such disclosures as would be required <strong>for</strong> Covered Entity to respond to a request by an<br />
Individual <strong>for</strong> an accounting of disclosures of PHI in accordance with 45 C.F.R. § 164.528<br />
<strong>and</strong> section 13405 of the HITECH Act (42 U.S.C. § 17935) <strong>and</strong> any regulations promulgated<br />
thereunder.<br />
k) Business Associate agrees to provide to Covered Entity, in a time <strong>and</strong> manner agreed to by<br />
the parties, in<strong>for</strong>mation collected in accordance with clause h. (10) of this Section of the<br />
Contract, to permit Covered Entity to respond to a request by an Individual <strong>for</strong> an accounting<br />
of disclosures of PHI in accordance with 45 C.F.R. § 164.528 <strong>and</strong> section 13405 of the<br />
HITECH Act (42 U.S.C. § 17935) <strong>and</strong> any regulations promulgated thereunder. Business<br />
Associate agrees at the Covered Entity’s direction to provide an accounting of disclosures of<br />
PHI directly to an individual in accordance with 45 C.F.R. § 164.528 <strong>and</strong> section 13405 of the<br />
HITECH Act (42 U.S.C. § 17935) <strong>and</strong> any regulations promulgated thereunder.<br />
l) Business Associate agrees to comply with any state or federal law that is more stringent than<br />
the Privacy Rule.<br />
m) Business Associate agrees to comply with the requirements of the HITECH Act relating to<br />
privacy <strong>and</strong> security that are applicable to the Covered Entity <strong>and</strong> with the requirements of 45<br />
C.F.R. sections 164.504(e), 164.308, 164.310, 164.312, <strong>and</strong> 164.316.<br />
n) In the event that an individual requests that the Business Associate (a) restrict disclosures of<br />
PHI; (b) provide an accounting of disclosures of the individual’s PHI; or (c) provide a copy of<br />
the individual’s PHI in an electronic health record, the Business Associate agrees to notify the<br />
covered entity, in writing, within two business days of the request.<br />
o) Business Associate agrees that it shall not, directly or indirectly, receive any remuneration in<br />
exchange <strong>for</strong> PHI of an individual without (1) the written approval of the covered entity, unless<br />
receipt of remuneration in exchange <strong>for</strong> PHI is expressly authorized by this Contract <strong>and</strong> (2)<br />
the valid authorization of the individual, except <strong>for</strong> the purposes provided under section<br />
13405(d)(2) of the HITECH Act,(42 U.S.C. § 17935(d)(2)) <strong>and</strong> in any accompanying<br />
regulations<br />
p) Obligations in the Event of a Breach<br />
1) The Business Associate agrees that, following the discovery of a breach of unsecured<br />
protected health in<strong>for</strong>mation, it shall notify the Covered Entity of such breach in<br />
accordance with the requirements of section 13402 of HITECH (42 U.S.C. 17932(b)<br />
<strong>and</strong> the provisions of this Section of the Contract.<br />
2) Such notification shall be provided by the Business Associate to the Covered Entity<br />
without unreasonable delay, <strong>and</strong> in no case later than 30 days after the breach is<br />
discovered by the Business Associate, except as otherwise instructed in writing by a<br />
law en<strong>for</strong>cement official pursuant to section 13402 (g) of HITECH (42 U.S.C. 17932(g))<br />
. A breach is considered discovered as of the first day on which it is, or reasonably<br />
should have been, known to the Business Associate. The notification shall include the<br />
identification <strong>and</strong> last known address, phone number <strong>and</strong> email address of each<br />
66
individual (or the next of kin of the individual if the individual is deceased) whose<br />
unsecured protected health in<strong>for</strong>mation has been, or is reasonably believed by the<br />
Business Associate to have been, accessed, acquired, or disclosed during such<br />
breach.<br />
3) The Business Associate agrees to include in the notification to the Covered Entity at<br />
least the following in<strong>for</strong>mation: (a) a brief description of what happened, including the<br />
date of the breach <strong>and</strong> the date of the discovery of the breach, if known; (b) a<br />
description of the types of unsecured protected health in<strong>for</strong>mation that were involved in<br />
the breach (such as full name, Social Security number, date of birth, home address,<br />
account number, or disability code); (c) the steps the Business Associate<br />
recommends that individuals take to protect themselves from potential harm resulting<br />
from the breach; (d) a detailed description of what the Business Associate is doing to<br />
investigate the breach, to mitigate losses, <strong>and</strong> to protect against any further breaches;<br />
(e) whether a law en<strong>for</strong>cement official has advised either verbally or in writing the<br />
Business Associate that he or she has determined that notification or notice to<br />
individuals or the posting required under section 13402 of the HITECH Act would<br />
impede a criminal investigation or cause damage to national security <strong>and</strong>; if so, include<br />
contact in<strong>for</strong>mation <strong>for</strong> said official.<br />
4) Business Associate agrees to provide appropriate staffing <strong>and</strong> have established<br />
procedures to ensure that individuals in<strong>for</strong>med by the Covered Entity of a breach by the<br />
Business Associate have the opportunity to ask questions <strong>and</strong> contact the Business<br />
Associate <strong>for</strong> additional in<strong>for</strong>mation regarding the breach. Such procedures shall<br />
include a toll-free telephone number, an e-mail address, a posting on its Web site <strong>and</strong> a<br />
postal address. Business Associate agrees to include in the notification of a breach by<br />
the Business Associate to the Covered Entity, a written description of the procedures<br />
that have been established to meet these requirements. Costs of such contact<br />
procedures will be borne by the Contractor.Business Associate agrees that, in the<br />
event of a breach, it has the burden to demonstrate that it has complied with all<br />
notifications requirements set <strong>for</strong>th above, including evidence demonstrating the<br />
necessity of a delay in notification to the Covered Entity.<br />
1.4.4.9 Permitted Uses <strong>and</strong> Disclosure by Business Associate.<br />
a) General Use <strong>and</strong> Disclosure Provisions Except as otherwise limited in this Section of the<br />
Contract, Business Associate may use or disclose PHI to per<strong>for</strong>m functions, activities, or<br />
services <strong>for</strong>, or on behalf of, Covered Entity as specified in this Contract, provided that such<br />
use or disclosure would not violate the Privacy Rule if done by Covered Entity or the<br />
minimum necessary policies <strong>and</strong> procedures of the Covered Entity.<br />
b) Specific Use <strong>and</strong> Disclosure Provisions<br />
1) Except as otherwise limited in this Section of the Contract, Business Associate may<br />
use PHI <strong>for</strong> the proper management <strong>and</strong> administration of Business Associate or to<br />
carry out the legal responsibilities of Business Associate.<br />
2) Except as otherwise limited in this Section of the Contract, Business Associate may<br />
disclose PHI <strong>for</strong> the proper management <strong>and</strong> administration of Business Associate,<br />
provided that disclosures are Required by Law, or Business Associate obtains<br />
reasonable assurances from the person to whom the in<strong>for</strong>mation is disclosed that it will<br />
remain confidential <strong>and</strong> used or further disclosed only as Required by Law or <strong>for</strong> the<br />
purpose <strong>for</strong> which it was disclosed to the person, <strong>and</strong> the person notifies Business<br />
Associate of any instances of which it is aware in which the confidentiality of the<br />
in<strong>for</strong>mation has been breached.<br />
3) Except as otherwise limited in this Section of the Contract, Business Associate may<br />
use PHI to provide Data Aggregation services to Covered Entity as permitted by 45<br />
C.F.R. § 164.504(e)(2)(i)(B).<br />
1.4.4.10 Obligations of Covered Entity.<br />
a) Covered Entity shall notify Business Associate of any limitations in its notice of privacy<br />
practices of Covered Entity, in accordance with 45 C.F.R. § 164.520, or to the extent that<br />
such limitation may affect Business Associate’s use or disclosure of PHI.<br />
b) Covered Entity shall notify Business Associate of any changes in, or revocation of,<br />
permission by Individual to use or disclose PHI, to the extent that such changes may<br />
affect Business Associate’s use or disclosure of PHI.<br />
c) Covered Entity shall notify Business Associate of any restriction to the use or<br />
disclosure of PHI that Covered Entity has agreed to in accordance with 45 C.F.R.<br />
§ 164.522, to the extent that such restriction may affect Business Associate’s use or<br />
disclosure of PHI.<br />
67
1.4.4.11 Permissible <strong>Request</strong>s by Covered Entity.<br />
Covered Entity shall not request Business Associate to use or disclose PHI in any manner that<br />
would not be permissible under the Privacy Rule if done by the Covered Entity, except that<br />
Business Associate may use <strong>and</strong> disclose PHI <strong>for</strong> data aggregation, <strong>and</strong> management <strong>and</strong><br />
administrative activities of Business Associate, as permitted under this Section of the Contract.<br />
1.4.4.12 Term <strong>and</strong> Termination.<br />
a) Term. The Term of this Section of the Contract shall be effective as of the date the Contract<br />
is effective <strong>and</strong> shall terminate when the in<strong>for</strong>mation collected in accordance with clause h.<br />
(10) of this Section of the Contract is provided to the Covered Entity <strong>and</strong> all of the PHI<br />
provided by Covered Entity to Business Associate, or created or received by Business<br />
Associate on behalf of Covered Entity, is destroyed or returned to Covered Entity, or, if it is<br />
infeasible to return or destroy PHI, protections are extended to such in<strong>for</strong>mation, in<br />
accordance with the termination provisions in this Section.<br />
b) Termination <strong>for</strong> Cause Upon Covered Entity’s knowledge of a material breach by Business<br />
Associate, Covered Entity shall either:<br />
1) Provide an opportunity <strong>for</strong> Business Associate to cure the breach or end the violation<br />
<strong>and</strong> terminate the Contract if Business Associate does not cure the breach or end the<br />
violation within the time specified by the Covered Entity; or<br />
2) Immediately terminate the Contract if Business Associate has breached a material term<br />
of this Section of the Contract <strong>and</strong> cure is not possible; or<br />
3) If neither termination nor cure is feasible, Covered Entity shall report the violation to the<br />
Secretary.<br />
c) Effect of Termination<br />
1) Except as provided in (l)(2) of this Section of the Contract, upon termination of this<br />
Contract, <strong>for</strong> any reason, Business Associate shall return or destroy all PHI received<br />
from Covered Entity, or created or received by Business Associate on behalf of<br />
Covered Entity. Business Associate shall also provide the in<strong>for</strong>mation collected in<br />
accordance with clause h. (10) of this Section of the Contract to the Covered Entity<br />
within ten business days of the notice of termination. This provision shall apply to PHI<br />
that is in the possession of subcontractors or agents of Business Associate. Business<br />
Associate shall retain no copies of the PHI.<br />
2) In the event that Business Associate determines that returning or destroying the PHI is<br />
infeasible, Business Associate shall provide to Covered Entity notification of the<br />
conditions that make return or destruction infeasible. Upon documentation by Business<br />
Associate that return or destruction of PHI is infeasible, Business Associate shall<br />
extend the protections of this Section of the Contract to such PHI <strong>and</strong> limit further uses<br />
<strong>and</strong> disclosures of PHI to those purposes that make return or destruction infeasible, <strong>for</strong><br />
as long as Business Associate maintains such PHI. Infeasibility of the return or<br />
destruction of PHI includes, but is not limited to, requirements under state or federal<br />
law that the Business Associate maintains or preserves the PHI or copies thereof.<br />
1.4.4.13 Miscellaneous Provisions.<br />
a) Regulatory References. A reference in this Section of the Contract to a section in the Privacy<br />
Rule means the section as in effect or as amended.<br />
b) Amendment. The Parties agree to take such action as in necessary to amend this Section of<br />
the Contract from time to time as is necessary <strong>for</strong> Covered Entity to comply with requirements<br />
of the Privacy Rule <strong>and</strong> the Health Insurance Portability <strong>and</strong> Accountability Act of 1996, Pub.<br />
L. No. 104-191.<br />
c) Survival. The respective rights <strong>and</strong> obligations of Business Associate shall survive the<br />
termination of this Contract.<br />
d) Effect on Contract. Except as specifically required to implement the purposes of this Section<br />
of the Contract, all other terms of the Contract shall remain in <strong>for</strong>ce <strong>and</strong> effect.<br />
e) Construction. This Section of the Contract shall be construed as broadly as necessary to<br />
implement <strong>and</strong> comply with the Privacy St<strong>and</strong>ard. Any ambiguity in this Section of the<br />
Contract shall be resolved in favor of a meaning that complies, <strong>and</strong> is consistent with, the<br />
Privacy St<strong>and</strong>ard.<br />
f) Disclaimer. Covered Entity makes no warranty or representation that compliance with this<br />
Section of the Contract will be adequate or satisfactory <strong>for</strong> Business Associate’s own<br />
purposes. Covered Entity shall not be liable to Business Associate <strong>for</strong> any claim, civil or<br />
criminal penalty, loss or damage related to or arising from the unauthorized use or disclosure<br />
of PHI by Business Associate or any of its officers, directors, employees, contractors or<br />
agents, or any third party to whom Business Associate has disclosed PHI contrary to the<br />
68
provisions of this Contract or applicable law. Business Associate is solely responsible <strong>for</strong> all<br />
decisions made, <strong>and</strong> actions taken, by Business Associate regarding the safeguarding, use<br />
<strong>and</strong> disclosure of PHI within its possession, custody or control.<br />
g) Indemnification. The Business Associate shall indemnify <strong>and</strong> hold the Covered Entity<br />
harmless from <strong>and</strong> against any <strong>and</strong> all claims, liabilities, judgments, fines, assessments,<br />
penalties, awards <strong>and</strong> any statutory damages that may be imposed or assessed pursuant to<br />
HIPAA, as amended or the HITECH Act, including, without limitation, attorney’s fees, expert<br />
witness fees, costs of investigation, litigation or dispute resolution, <strong>and</strong> costs awarded<br />
thereunder, relating to or arising out of any violation by the Business Associate <strong>and</strong> its<br />
agents, including subcontractors, of any obligation of Business Associate <strong>and</strong> its agents,<br />
including subcontractors, under this section of the contract, under HIPAA, the HITECH Act,<br />
the Privacy Rule<br />
1.4.4. Encryption of Data:<br />
1.4.4.1 Contractor <strong>and</strong> Contractor Parties, at their own expense, have a duty to <strong>and</strong> shall protect from a<br />
Confidential In<strong>for</strong>mation Breach any <strong>and</strong> all Confidential In<strong>for</strong>mation which they come to possess<br />
or control, wherever <strong>and</strong> however stored or maintained, in a commercially reasonable manner in<br />
accordance with current industry st<strong>and</strong>ards.<br />
1.4.4.2 Each Contractor <strong>and</strong> Contractor Parties shall implement <strong>and</strong> maintain a comprehensive data -<br />
security program <strong>for</strong> the protection of Confidential In<strong>for</strong>mation. The safeguards contained in such<br />
program shall be consistent with <strong>and</strong> comply with the safeguards <strong>for</strong> protection of Confidential<br />
In<strong>for</strong>mation, <strong>and</strong> in<strong>for</strong>mation of a similar character, as set <strong>for</strong>th in all applicable federal <strong>and</strong> state<br />
law <strong>and</strong> written policy of the Department or State concerning the confidentiality of Confidential<br />
In<strong>for</strong>mation. Such data-security program shall include, but not be limited to, the following:<br />
1.4.4.1 A security policy <strong>for</strong> employees related to the storage, access <strong>and</strong> transportation of data<br />
containing Confidential In<strong>for</strong>mation;<br />
1.4.4.2 Reasonable restrictions on access to records containing Confidential In<strong>for</strong>mation, including<br />
access to any locked storage where such records are kept<br />
1.4.4.3 A process <strong>for</strong> reviewing policies <strong>and</strong> security measures at least annually<br />
1.4.4.4 Creating secure access controls to Confidential In<strong>for</strong>mation, including but not limited to<br />
passwords; <strong>and</strong><br />
1.4.4.5 Encrypting of Confidential In<strong>for</strong>mation that is stored on laptops, portable devices or being<br />
transmitted electronically.<br />
1.4.4.3 The Contractor <strong>and</strong> Contractor Parties shall notify the Department <strong>and</strong> the Connecticut Office of<br />
the Attorney General as soon as practical, but no later than twenty-four (24) hours, after they<br />
become aware of or suspect that any Confidential In<strong>for</strong>mation which Contractor or Contractor<br />
Parties possess or control has been subject to a Confidential In<strong>for</strong>mation Breach. If a Confidential<br />
In<strong>for</strong>mation Breach has occurred, the Contractor shall, within three (3) business days after the<br />
notification, present a credit monitoring <strong>and</strong> protection plan to the Commissioner of Administrative<br />
Services, the Department <strong>and</strong> the Connecticut Office of the Attorney General, <strong>for</strong> review <strong>and</strong><br />
approval. Such credit monitoring or protection plan shall be made available by the Contractor at<br />
its own cost <strong>and</strong> expense to all individuals affected by the Confidential In<strong>for</strong>mation Breach. Such<br />
credit monitoring or protection plan shall include, but is not limited to reimbursement <strong>for</strong> the cost<br />
of placing <strong>and</strong> lifting one (1) security freeze per credit file pursuant to Connecticut General<br />
Statutes § 36a-701a. Such credit monitoring or protection plans shall be approved by the State in<br />
accordance with this Section <strong>and</strong> shall cover a length of time commensurate with the<br />
circumstances of the Confidential In<strong>for</strong>mation Breach. The Contractors’ costs <strong>and</strong> expenses <strong>for</strong><br />
the credit monitoring <strong>and</strong> protection plan shall not be recoverable from the Department, any State<br />
of Connecticut entity or any affected individuals<br />
1.4.4.4 The Contractor shall incorporate the requirements of this Section in all subcontracts requiring<br />
each Contractor Party to safeguard Confidential In<strong>for</strong>mation in the same manner as provided <strong>for</strong><br />
in this Section.<br />
1.4.4.5 Nothing in this Section shall supersede in any manner Contractor’s or Contractor Party’s<br />
obligations pursuant to HIPAA or the provisions of this Contract concerning the obligations of the<br />
Contractor as a Business Associate.<br />
1.4.4.6 All data provided to the Contractor by UCHC or developed internally by the Contractor with regard<br />
to UCHC shall be treated as proprietary to UCHC unless UCHC agrees in writing to the contrary.<br />
The Contractor agrees to <strong>for</strong>ever hold in confidence all files, records, documents, or other<br />
in<strong>for</strong>mation as designated, whether prepared by UCHC or others, which may come into the<br />
Contractor’s possession during the term of this Contract, except where disclosure of such<br />
in<strong>for</strong>mation by the Contractor is required by governmental authority to ensure compliance with<br />
laws, rules or regulations, <strong>and</strong> such disclosure shall be limited to that actually so required. Where<br />
such disclosure is required, the Contractor shall provide advance notice to UCHC of the need <strong>for</strong><br />
69
the disclosure <strong>and</strong> shall not disclose absent consent from UCHC. The requirements of this<br />
section are in addition to those pertaining to HIPAA as set <strong>for</strong>th above.<br />
1.4.4.7 UCHC will af<strong>for</strong>d due regard to the Contractor’s request <strong>for</strong> the protection of proprietary or<br />
confidential data that UCHC receives. However, all materials associated with the Solicitation <strong>and</strong><br />
the Contract are subject to the FOIA provisions set <strong>for</strong>th in Chapter 14 of the Connecticut General<br />
Statutes, <strong>and</strong> all corresponding rules, regulations <strong>and</strong> interpretations. If the Contractor indicates<br />
that certain documents are submitted in confidence, by specifically <strong>and</strong> clearly marking them as<br />
“CONFIDENTIAL,” UCHC will endeavor to keep said data confidential to the extent permitted by<br />
law. However, UCHC has no obligation to initiate, prosecute or defend any legal proceeding or to<br />
seek a protective order or other similar relief to prevent disclosure of anything that is sought<br />
pursuant to a FOIA request. The Contractor shall have the burden of establishing, in the legallyprescribed<br />
manner, the availability of any FOIA exemption in any proceeding where it is an issue.<br />
In no event shall UCHC or the State have any liability <strong>for</strong> the disclosure of any documents or data<br />
in UCHC’s possession which UCHC believes is required to be disclosed pursuant to FOIA or<br />
other requirements of law. To the extent that any other provision of the Contract, Solicitation or<br />
any other Records or documents conflicts or is in any way inconsistent with this section, this<br />
section controls <strong>and</strong> shall apply.<br />
1.5. University Responsibilities: University will . . .<br />
1.6. Notice: All notices, dem<strong>and</strong>s or requests provided <strong>for</strong> or permitted to be given pursuant to this Agreement must<br />
be in writing. All notices, dem<strong>and</strong>s <strong>and</strong> requests shall be deemed to have been properly served if given by personal<br />
delivery, or if transmitted by facsimile with confirmed receipt, or if delivered to Federal Express or other reputable express<br />
carrier <strong>for</strong> next business day delivery, charges billed to or prepaid by shipper; or if deposited in the United States mail,<br />
registered or certified with return receipt requested, proper postage prepaid, addressed as follows:<br />
If to the University* [name/address]:<br />
If to the Contractor* [name/address]:<br />
[Note: *Any party may change its Notice in<strong>for</strong>mation by giving written notice in accordance with this Section.]<br />
70
Section 2 - State of Connecticut Required Terms <strong>and</strong> Conditions<br />
As an Agency of the State of Connecticut (a sovereign entity) the University is governed by the following terms <strong>and</strong><br />
conditions, which may not be modified, amended or deleted unless approved by the Office of the Attorney General.<br />
2.1. Statutory Authority. Connecticut General Statute §§ 10a-104, 10a-108, 4a-52a, <strong>and</strong> 10a-151b provide the University with<br />
authority to enter into contracts in the pursuit of its mission.<br />
2.2. Claims. The Contractor agrees that the sole <strong>and</strong> exclusive means <strong>for</strong> the presentation of any claim against the State of<br />
Connecticut or the University of Connecticut arising from this Agreement shall be in accordance with Chapter 53 of the<br />
Connecticut General Statutes (Claims Against the State) <strong>and</strong> the Contractor further agrees not to initiate any legal proceedings<br />
in any state or federal court in addition to, or in lieu of, said Chapter 53 proceedings.<br />
2.3. Insurance. The Contractor agrees that while per<strong>for</strong>ming Services specified in this agreement s/he shall carry sufficient<br />
insurance (liability <strong>and</strong>/or other) as applicable according to the nature of the service to be per<strong>for</strong>med so as to "save harmless"<br />
the State of Connecticut from any insurable cause whatsoever. If requested, certificates of such insurance shall be filed with<br />
the contracting State agency prior to the per<strong>for</strong>mance of Services.<br />
2.4. Indemnification.<br />
The Contractor shall indemnify <strong>and</strong> hold harmless the State of Connecticut, including any agency or official of the State of<br />
Connecticut from, <strong>and</strong> against all costs, claims, damages, or expenses, including reasonable attorney’s fees, arising from its<br />
negligent acts or omissions in connection with the per<strong>for</strong>mance of this Agreement.<br />
2.5. Governing Law. This Agreement shall be construed in accordance with <strong>and</strong> governed by the laws of the State of Connecticut.<br />
2.6. Non-discrimination (a) For purposes of this Section, the following terms are defined as follows: (i) "Commission" means the<br />
Commission on Human Rights <strong>and</strong> Opportunities; (ii) "Contract" <strong>and</strong> “contract” include any extension or modification of the<br />
Contract or contract; (iii) "Contractor" <strong>and</strong> “contractor” include any successors or assigns of the Contractor or contractor; (iv)<br />
"Gender identity or expression" means a person's gender-related identity, appearance or behavior, whether or not that genderrelated<br />
identity, appearance or behavior is different from that traditionally associated with the person's physiology or assigned<br />
sex at birth, which gender-related identity can be shown by providing evidence including, but not limited to, medical history,<br />
care or treatment of the gender-related identity, consistent <strong>and</strong> uni<strong>for</strong>m assertion of the gender-related identity or any other<br />
evidence that the gender-related identity is sincerely held, part of a person's core identity or not being asserted <strong>for</strong> an improper<br />
purpose; (v) “good faith" means that degree of diligence which a reasonable person would exercise in the per<strong>for</strong>mance of legal<br />
duties <strong>and</strong> obligations; (vi) "good faith ef<strong>for</strong>ts" shall include, but not be limited to, those reasonable initial ef<strong>for</strong>ts necessary to<br />
comply with statutory or regulatory requirements <strong>and</strong> additional or substituted ef<strong>for</strong>ts when it is determined that such initial<br />
ef<strong>for</strong>ts will not be sufficient to comply with such requirements; (vii) "marital status" means being single, married as recognized<br />
by the State of Connecticut, widowed, separated or divorced; (viii) "mental disability" means one or more mental disorders, as<br />
defined in the most recent edition of the American Psychiatric Association's "Diagnostic <strong>and</strong> Statistical Manual of Mental<br />
Disorders", or a record of or regarding a person as having one or more such disorders; (ix) "minority business enterprise"<br />
means any small contractor or supplier of materials fifty-one percent or more of the capital stock, if any, or assets of which is<br />
owned by a person or persons: (1) who are active in the daily affairs of the enterprise, (2) who have the power to direct the<br />
management <strong>and</strong> policies of the enterprise, <strong>and</strong> (3) who are members of a minority, as such term is defined in subsection (a)<br />
of Connecticut General Statutes § 32-9n; <strong>and</strong> (x) "public works contract" means any agreement between any individual, firm or<br />
corporation <strong>and</strong> the State or any political subdivision of the State other than a municipality <strong>for</strong> construction, rehabilitation,<br />
conversion, extension, demolition or repair of a public building, highway or other changes or improvements in real property, or<br />
which is financed in whole or in part by the State, including, but not limited to, matching expenditures, grants, loans, insurance<br />
or guarantees.<br />
For purposes of this Section, the terms "Contract" <strong>and</strong> “contract” do not include a contract where each contractor is (1) a<br />
political subdivision of the state, including, but not limited to, a municipality, (2) a quasi-public agency, as defined in Conn.<br />
Gen. Stat. Section 1-120, (3) any other state, including but not limited to any federally recognized Indian tribal governments, as<br />
defined in Conn. Gen. Stat. Section 1-267, (4) the federal government, (5) a <strong>for</strong>eign government, or (6) an agency of a<br />
subdivision, agency, state or government described in the immediately preceding enumerated items (1), (2), (3), (4) or (5).<br />
(b) (1) The Contractor agrees <strong>and</strong> warrants that in the per<strong>for</strong>mance of the Contract such Contractor will not discriminate or<br />
permit discrimination against any person or group of persons on the grounds of race, color, religious creed, age, marital status,<br />
national origin, ancestry, sex, gender identity or expression, mental retardation, mental disability or physical disability,<br />
including, but not limited to, blindness, unless it is shown by such Contractor that such disability prevents per<strong>for</strong>mance of the<br />
work involved, in any manner prohibited by the laws of the United States or of the State of Connecticut; <strong>and</strong> the Contractor<br />
further agrees to take affirmative action to insure that applicants with job-related qualifications are employed <strong>and</strong> that<br />
employees are treated when employed without regard to their race, color, religious creed, age, marital status, national origin,<br />
ancestry, sex, gender identity or expression, mental retardation, mental disability or physical disability, including, but not<br />
limited to, blindness, unless it is shown by the Contractor that such disability prevents per<strong>for</strong>mance of the work involved;<br />
(2) the Contractor agrees, in all solicitations or advertisements <strong>for</strong> employees placed by or on behalf of the Contractor, to state<br />
that it is an "affirmative action-equal opportunity employer" in accordance with regulations adopted by the Commission; (3) the<br />
Contractor agrees to provide each labor union or representative of workers with which the Contractor has a collective<br />
bargaining Agreement or other contract or underst<strong>and</strong>ing <strong>and</strong> each vendor with which the Contractor has a contract or<br />
underst<strong>and</strong>ing, a notice to be provided by the Commission, advising the labor union or workers’ representative of the<br />
Contractor's commitments under this section <strong>and</strong> to post copies of the notice in conspicuous places available to employees<br />
<strong>and</strong> applicants <strong>for</strong> employment; (4) the Contractor agrees to comply with each provision of this Section <strong>and</strong> Connecticut<br />
General Statutes §§ 46a-68e <strong>and</strong> 46a-68f <strong>and</strong> with each regulation or relevant order issued by said Commission pursuant to<br />
Connecticut General Statutes §§ 46a-56, 46a-68e <strong>and</strong> 46a-68f; <strong>and</strong> (5) the Contractor agrees to provide the Commission on<br />
71
Human Rights <strong>and</strong> Opportunities with such in<strong>for</strong>mation requested by the Commission, <strong>and</strong> permit access to pertinent books,<br />
records <strong>and</strong> accounts, concerning the employment practices <strong>and</strong> procedures of the Contractor as relate to the provisions of<br />
this Section <strong>and</strong> Connecticut General Statutes § 46a-56. If the contract is a public works contract, the Contractor agrees <strong>and</strong><br />
warrants that he will make good faith ef<strong>for</strong>ts to employ minority business enterprises as subcontractors <strong>and</strong> suppliers of<br />
materials on such public works projects.<br />
(c) Determination of the Contractor's good faith ef<strong>for</strong>ts shall include, but shall not be limited to, the following factors: The<br />
Contractor's employment <strong>and</strong> subcontracting policies, patterns <strong>and</strong> practices; affirmative advertising, recruitment <strong>and</strong> training;<br />
technical assistance activities <strong>and</strong> such other reasonable activities or ef<strong>for</strong>ts as the Commission may prescribe that are<br />
designed to ensure the participation of minority business enterprises in public works projects.<br />
(d) The Contractor shall develop <strong>and</strong> maintain adequate documentation, in a manner prescribed by the Commission, of its<br />
good faith ef<strong>for</strong>ts.<br />
(e) The Contractor shall include the provisions of subsection (b) of this Section in every subcontract or purchase order<br />
entered into in order to fulfill any obligation of a contract with the State <strong>and</strong> such provisions shall be binding on a<br />
subcontractor, vendor or manufacturer unless exempted by regulations or orders of the Commission. The Contractor shall<br />
take such action with respect to any such subcontract or purchase order as the Commission may direct as a means of<br />
en<strong>for</strong>cing such provisions including sanctions <strong>for</strong> noncompliance in accordance with Connecticut General Statutes §46a-56;<br />
provided if such Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of<br />
such direction by the Commission, the Contractor may request the State of Connecticut to enter into any such litigation or<br />
negotiation prior thereto to protect the interests of the State <strong>and</strong> the State may so enter.<br />
(f) The Contractor agrees to comply with the regulations referred to in this Section as they exist on the date of this Contract<br />
<strong>and</strong> as they may be adopted or amended from time to time during the term of this Contract <strong>and</strong> any amendments thereto.<br />
(g) (1) The Contractor agrees <strong>and</strong> warrants that in the per<strong>for</strong>mance of the Contract such Contractor will not discriminate or<br />
permit discrimination against any person or group of persons on the grounds of sexual orientation, in any manner prohibited by<br />
the laws of the United States or the State of Connecticut, <strong>and</strong> that employees are treated when employed without regard to<br />
their sexual orientation; (2) the Contractor agrees to provide each labor union or representative of workers with which such<br />
Contractor has a collective bargaining Agreement or other contract or underst<strong>and</strong>ing <strong>and</strong> each vendor with which such<br />
Contractor has a contract or underst<strong>and</strong>ing, a notice to be provided by the Commission on Human Rights <strong>and</strong> Opportunities<br />
advising the labor union or workers' representative of the Contractor's commitments under this section, <strong>and</strong> to post copies of<br />
the notice in conspicuous places available to employees <strong>and</strong> applicants <strong>for</strong> employment; (3) the Contractor agrees to comply<br />
with each provision of this section <strong>and</strong> with each regulation or relevant order issued by said Commission pursuant to<br />
Connecticut General Statutes § 46a-56; <strong>and</strong> (4) the Contractor agrees to provide the Commission on Human Rights <strong>and</strong><br />
Opportunities with such in<strong>for</strong>mation requested by the Commission, <strong>and</strong> permit access to pertinent books, records <strong>and</strong><br />
accounts, concerning the employment practices <strong>and</strong> procedures of the Contractor which relate to the provisions of this Section<br />
<strong>and</strong> Connecticut General Statutes § 46a-56.<br />
(h) The Contractor shall include the provisions of the <strong>for</strong>egoing paragraph in every subcontract or purchase order entered<br />
into in order to fulfill any obligation of a contract with the State <strong>and</strong> such provisions shall be binding on a subcontractor, vendor<br />
or manufacturer unless exempted by regulations or orders of the Commission. The Contractor shall take such action with<br />
respect to any such subcontract or purchase order as the Commission may direct as a means of en<strong>for</strong>cing such provisions<br />
including sanctions <strong>for</strong> noncompliance in accordance with Connecticut General Statutes § 46a-56; provided, if such Contractor<br />
becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the<br />
Commission, the Contractor may request the State of Connecticut to enter into any such litigation or negotiation prior thereto<br />
to protect the interests of the State <strong>and</strong> the State may so enter.<br />
2.7 Executive Orders. The Contract is subject to the provisions of Executive Order No. Three of Governor Thomas J. Meskill,<br />
promulgated June 16, 1971, concerning labor employment practices, Executive Order No. Seventeen of Governor Thomas J.<br />
Meskill, promulgated February 15, 1973, concerning the listing of employment openings <strong>and</strong> Executive Order No. Sixteen of<br />
Governor John G. Rowl<strong>and</strong> promulgated August 4, 1999, concerning violence in the workplace, all of which are incorporated<br />
into <strong>and</strong> are made a part of the Contract as if they had been fully set <strong>for</strong>th in it. At the Contractor’s request, the Client Agency<br />
shall provide a copy of these orders to the Contractor. The Contract may also be subject to Executive Order No. 7C of<br />
Governor M. Jodi Rell, promulgated July 13, 2006, concerning contracting re<strong>for</strong>ms <strong>and</strong> Executive Order No. 14 of Governor M.<br />
Jodi Rell, promulgated April 17, 2006, concerning procurement of cleaning products <strong>and</strong> services, in accordance with their<br />
respective terms <strong>and</strong> conditions.<br />
2.8. Campaign Contribution Restrictions. For all State contracts as defined in Public Act 10-1 having a value in a calendar year of<br />
$50,000 or more or a combination or series of such agreements or contracts having a value of $100,000 or more, the<br />
authorized signatory to this Agreement expressly acknowledges receipt of the State Elections En<strong>for</strong>cement Commission's<br />
notice advising state contractors of state campaign contribution <strong>and</strong> solicitation prohibitions, <strong>and</strong> will in<strong>for</strong>m its principals of the<br />
contents of the notice attached hereto as Exhibit A.<br />
2.9. Termination <strong>for</strong> Cause. The University may terminate this contract <strong>for</strong> cause by providing a written Notice to Cure to the<br />
Contractor citing the instances of noncompliance with the contract. The Contractor will have ten (10) days to reply to the<br />
Notice to Cure <strong>and</strong> indicate why the contract should not be terminated <strong>and</strong> recommend remedies to be taken.<br />
(a) If the Contractor <strong>and</strong> the University reach an agreed upon solution, the Contractor will then have thirty (30) days after<br />
such agreement is reached to cure the noncompliance cited in the Notice to Cure.<br />
(b) If a mutually agreed upon solution cannot be reached within ten (10) days after receipt of Notice to Cure by Contractor,<br />
the University reserves the right to terminate the agreement at that time by written notice of such termination.<br />
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(c) If the mutually agreed upon solution is not implemented within thirty (30) days from the date of agreement, the<br />
University reserves the right to terminate the contract at that time by written notice of such termination.<br />
(d) The University will be obligated only <strong>for</strong> those goods or Services rendered <strong>and</strong> accepted prior to the date of Notice of<br />
Termination.<br />
(e) Remedies <strong>for</strong> Default: If the solution mutually agreed upon pursuant to subsection (a) of this Section is not<br />
implemented within the thirty (30) days provided in said subsection, the University may procure the subject goods or<br />
services from another source <strong>and</strong> charge any cost difference to the Contractor.<br />
2.10. Termination <strong>for</strong> Convenience.<br />
(a) The University may terminate this Contract in whole or in part whenever, <strong>for</strong> any reason, the University shall determine<br />
(b)<br />
that such termination is in the best interest of the University <strong>and</strong>/or the State of Connecticut.<br />
If this Agreement is terminated by the University pursuant to this section, the University will provide the Contractor ____<br />
days written notice of such intention. In the event of such termination, the Contract Administrator <strong>and</strong>/or designee will<br />
notify the Contractor by certified mail, return receipt requested. Termination will be effective as of the close of business on<br />
the date specified in the notice.<br />
2.11. Force Majeure. If the per<strong>for</strong>mance of obligations under this Agreement are rendered impossible or hazardous or is otherwise<br />
prevented or impaired due to illness, accident, Act(s) of God, riots, strikes, labor difficulties, epidemics, earthquakes, <strong>and</strong>/or<br />
any other cause or event, similar or dissimilar, beyond the control of the Contractor, then each party’s obligations to the other<br />
under this Agreement shall be excused <strong>and</strong> neither party shall have any liability to the other under or in connection with this<br />
Agreement.<br />
2.12. Entire Agreement <strong>and</strong> Amendment. This Agreement is the entire agreement between the Contractor <strong>and</strong> the University <strong>and</strong><br />
supersedes <strong>and</strong> rescinds all prior agreements relating to the subject matter hereof. This Agreement may be amended only in<br />
writing signed by both the Contractor <strong>and</strong> the University <strong>and</strong> if applicable, approved by the Office of the Attorney General. The<br />
Contractor indicates it has read <strong>and</strong> freely signed this Agreement, which shall take effect as a sealed instrument. The<br />
Contractor further certifies that the terms of this agreement are legally binding <strong>and</strong> its duly authorized representative has<br />
signed this agreement after having carefully read <strong>and</strong> understood the same.<br />
2.13. Additional Required Contractor Signature Authority, Affidavits <strong>and</strong> Certifications.<br />
(a)<br />
(b)<br />
(c)<br />
The individual signing this Agreement on behalf of the Contractor certifies that s/he has full authority to execute the<br />
same on behalf of the Contractor <strong>and</strong> that this Agreement has been duly authorized, executed <strong>and</strong> delivered by the<br />
Contractor <strong>and</strong> is binding upon the Contractor in accordance with its terms. The Contractor shall provide a Corporate<br />
Resolution or other signature authority documentation certifying that the individual executing this Agreement has<br />
been authorized by the governing body of the Contractor to sign on behalf of the Contractor. Sample <strong>for</strong>ms can be<br />
found at: http://www.contracts.uconn.edu/corpres.html<br />
The University, as an agency of the State of Connecticut, requires that notarized Gift <strong>and</strong> Campaign Contribution<br />
Certificates (Office of Policy <strong>and</strong> Management “OPM” Form 1) <strong>and</strong> Consulting Agreement Affidavits (OPM Form 5)<br />
accompany all State contracts/agreements with a value of $50,000 or more in a calendar or fiscal year. [Form 1 is<br />
also used with a multi-year contract to update the initial certification on an annual basis.] The State also requires an<br />
Affirmation of Receipt of State Ethics Laws Summary (OPM Form 6) which must accompany large State construction<br />
or procurement contracts with a value of $500,000 or more. Pursuant to Conn. Gen. Stat. § 4-252(c)(1), these<br />
documents must be executed by the official who is authorized to execute the contract/agreement on behalf of the<br />
Contractor. Ethics Affidavits <strong>and</strong> Certifications can be found at:<br />
http://www.ct.gov/opm/cwp/view.asp?a=2982&q=386038<br />
An executed Nondiscrimination Certification must also be provided by the Contractor at the time of contract execution<br />
<strong>for</strong> all contracts/agreements with corporations <strong>and</strong> other entities, regardless of type, term, cost or value. The<br />
Certification requires the signer to disclose his/her title <strong>and</strong> certify that the Contractor has in place a properly-adopted<br />
policy, which supports the nondiscrimination requirements of Connecticut law. This Certification is required <strong>for</strong> all<br />
original contracts/agreements as well as amendments. The Nondiscrimination Certification <strong>for</strong>m can be found at:<br />
http://www.ct.gov/opm/lib/opm/finance/psa/oag_nondiscrim_certification_080207_fillable_<strong>for</strong>m.doc<br />
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IN WITNESS WHEREOF, this Agreement has been duly executed by the following parties:<br />
UNIVERSITY OF CONNECTICUT:<br />
CONTRACTOR: _________________________<br />
By:<br />
Print Name:<br />
Title:<br />
Date:<br />
By:<br />
Print Name:<br />
Title:<br />
Date:<br />
AGO Approval (As to Form)<br />
By:<br />
Print Name:<br />
Date:<br />
Title: __________________________________<br />
Form Rev. 7/19/2011<br />
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