Request for Proposal #CGP031612 Laboratory Supplies and ...

University of Connecticut Procurement Services
3 North Hillside Road, Unit 6076, Storrs, CT 06269-6076
Request for Proposal
#CGP031612
Laboratory Supplies and Equipment
Supplemental Contract
Date Issued
Mandatory
Pre-Proposal Meeting
Proposal Due Date
Procurement
Administrator Telephone #
March 16, 2012 April 2, 2012
@ 10:00 a.m. (EDT)
April 23, 2012
@ 2:00 p.m. (EDT)
Cathleen G. Paquette
Purchasing Agent II
(860) 486-2620

Table of Contents
RFP #CGP031612
Laboratory Supplies and Equipment – Supplemental Contract
Section I – Overview 3
Section II – Definitions 4
Section III – Introduction 5 - 7
Section IV – Terms and Conditions 8 - 13
Section V - UCHC Terms and Conditions 14 - 20
Section VI - Specifications 21 - 28
Section VII – Storrs Campus Information 29 - 30
Section VIII – Submittal of Proposal 31 - 35
Section IX - Award 36 - 37
Cover Page for Submittal 38
Form of Proposal 39
Discount Schedule 40 - 41
Point-by-Point Worksheets 42 – 44
Form HIPAA 1050 45
Form AD-1048 46
Bidder’s Qualification Statement 47 - 49
Standard Forms:
CHRO Contract Compliance Regulations 50 - 51
Bidder Contract Compliance Monitoring Report 52 - 53
SEEC Form 11 54 – 55
Non-discrimination Certification 56
Gift and Campaign Affidavit (Form 1) 57 - 58
Consulting Affidavit (Form 5) 59
Affirmation/State Ethics Summary (Form 6) 60
Ethics Memo 61
APPENDIX 1 CCPG Membership 62
APPENDIX 2 Sample Certified Resolution 63
APPENDIX 3 Sample Agreement 64 - 74
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Section I
Overview
The University of Connecticut (hereinafter referred to as the "University") is seeking proposals from experienced
and qualified vendors to provide laboratory and research equipment, supplies and related services for the
University's main campus, located in Storrs, and the University of Connecticut Health Center (UCHC), located in
Farmington. Vendors should also be prepared to meet the needs of the University's regional campuses located
at Avery Point, Hartford, West Hartford, Torrington, Waterbury and Stamford. In addition, any contract issued
pursuant to this solicitation shall be extended to all State of Connecticut Agencies as well as members of the
Connecticut Colleges Purchasing Group (CCPG).
At present, the University has a contractual agreement with Fisher Scientific as the primary supplier of
laboratory equipment, apparatus and supplies, including chemicals and reagents. The agreement has a
potential term through April 30, 2016. In an effort to support the wide breadth of research and teaching
requirements at the University’s academic campuses as well as UCHC and in conjunction with recent cost
reduction and operational improvement efforts, it is necessary to expand the supply and equipment sources
available to the research community to supplement the existing contract. The intent of this Request for
Proposal (RFP) is to establish agreements and partnerships with multiple vendors offering products not readily
available through Fisher. This shall include, but may not be limited to, companies that manufacture and
distribute their own product line of goods and services and distributors that have exclusive rights to specific
manufacturers and/or unique products.
The state’s flagship institution of higher learning, the University of Connecticut is ranked among the Top 20
public universities in the nation by U.S. News & World Report. UConn’s main campus in Storrs is admitting the
highest-achieving freshman in University history. The total enrollment in Fall 2010 was just over 30,000
students (undergraduate and graduate). UConn continues to enhance the campus through the state-supported
UConn 2000 / 21 st Century UConn program. As of October 2010, 105 projects totaling nearly $1.8 billion have
been authorized and more than 10 million square feet of new and renovated space has been completed.
UConn Technology Park: Within the next five years, the University plans to construct a roughly 300 acre
technology park (tech park) located near North Campus on the main campus at Storrs. The park will include
several large structures containing laboratories along with highly specialized equipment used for collaborative
research and academic purposes. In partnership with the University’s Office of Technology Commercialization,
the Tech Park will promote economic growth through the provision of a state of the art research facility space
combined with the guidance of UConn’s renowned research faculty and students.
The UConn Health Center, located in Farmington, Connecticut, is home to the School of Medicine, School of
Dental Medicine, John Dempsey Hospital, UConn Medical Group, UConn Health Partners, University Dentists
and a thriving research enterprise, which now includes the new Cell and Genome Sciences Building. It is closely
linked with the University of Connecticut’s main campus in Storrs through multiple, cross-campus academic and
administrative projects. In fact, the UConn Health Center represents half of the University: half of its budget;
half of its employees and half of its research portfolio.
Bioscience Connecticut: To be completed in 2018, the University of Connecticut plans to implement the
Bioscience Connecticut renovation project at the Health Center to transform the campus into a state-of-the-art
Bioscience research site. The Bioscience center, which will be part of a new research triangle in Connecticut,
will provide increased access to high quality health care, create 16,400 new jobs by 2037, and aid the Health
Center in graduating more dentists and physicians to meet growing state needs. Plans to meet these objectives
include the renovation of existing Health Center facilities to increase research productivity and capacity, a 30%
enrollment increase in medical and dental schools and the construction of a new patient tower and ambulatory
care facility.
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Section II
Definitions
2.0 The word "University", or "UCONN", or a pronoun used in its place shall mean the University of Connecticut
Main and Depot Campuses at Storrs, Connecticut, as well as its regional campuses located at Avery Point,
Hartford, West Hartford, Stamford, Torrington and Waterbury, Connecticut.
2.1 The term “Health Center”, or “UCHC”, or any pronoun used in its place shall mean the University of
Connecticut Health Center at Farmington.
2.2 "Bidder", "Proposer", "Vendor" “Firm” and "Respondent" refer to a company or individual responding to this
Request for Proposal.
2.3 The term “Preferred Vendor” shall refer to the Vendor that is chosen to be the main provider of
commodities and a strategic partner to the University. This vendor may be granted exceptional
privileges including:
• The right to offer vendor shows, seminars, and workshops regarding current and future product lines
• The right to run promotional events on campus
• The right to a constant presence on campus through the duration of the agreement. This presence will
be ensured through the provision of a site-specific account representative responsible for customer
service and sales.
• The right to appear as a cataloged vendor on the University’s preferred e-procurement tool, SciQuest.
2.4 An “Authorized Vendor” is a vendor that is permitted to conduct business with the University per the terms
of an agreement. Authorized Vendors are granted no special privileges, may not necessarily appear in
catalog ordering systems, and may not allowed a constant presence on UCONN campus.
2.5 Request for Proposals (RFP) is defined as a competitive procurement process that helps to serve the
University’s best interests. It also provides vendors with a fair opportunity for their services to be
considered. The RFP process being used in this case should not be confused with the Request for Quotation
(RFQ) process. The latter process is usually used where the goods or services being procured can be
described precisely and price is generally the determining factor. With RFP’s however, price alone is not
required to be the determinative factor, although it may be, and the University has the flexibility it needs to
negotiate with vendors to arrive at a mutually agreeable relationship. This RFP states the instructions for
submitting proposals, the procedure and criteria by which a vendor will be selected, and the contractual
terms by which the University proposed to govern the relationship between it and the selected vendor.
2.6 “U”-Count
As a result of the difficult economic climate we are facing, the University began an initiative in August, 2011
to re-evaluate the way it procures goods and services in an effort to reduce overall costs. Sourcing teams
comprised of Storrs, Regional Campus and UCHC faculty and staff members have been established. Their
charge is to review the combined annual spend and explore options to achieve savings.
As efforts continue, updates on procurement initiative savings can be found on the “U”-Count website at
http://ucount.uconn.edu. Contract vendors will have an opportunity to post promotional information on
this site.
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Section III
Introduction
3.0 Scope
The successful vendors will serve all University departments located at the Storrs and regional campuses and
the UConn Health Center in Farmington. Services shall include, but not be limited to, the warehousing and
distribution of supplies, filling of orders received by mail, facsimile, EDI or Internet, fielding all inquiries,
tracking all orders, resolving all disputes, providing reports as required, and submission of invoices. The
awarded vendors will provide goods and services as a means to supplement the University’s current
partnership with its Prime Vendor, Fisher-Scientific.
Note: Vendor must recognize that the e-commerce platform(s) may change during the course of the
contract. Vendor must be willing to make any and all adjustments at no additional cost to the University.
The University desires experienced, professional firms that can provide the following:
• accurately deliver products next day, if possible
• offer the deepest discount prices possible
• cut administrative costs and improve efficiencies,
• skillfully implement and manage the contract,
• customize programs, materials and billing to the University’s exact needs and requirements,
• possess the technology to monitor and assess our contract as the University’s needs change,
• to support the University’s e-commerce platform
The successful vendors must have an experienced and knowledgeable sales and support staff to meet the
requirements of the University community.
Vendors interested in providing the required goods and services, should submit their proposals and
discounted prices based on the General Terms and Conditions, Specifications contained herein.
3.1 New Products/Technology
Should new products and/or technologies become available during the term of this contract, supplemental
solicitations may be conducted to ensure the highest level of support of research and laboratory
requirements.
3.2 Extension to Other Agencies/Institutions
Although this contract is being established for the University of Connecticut, these services may also be
required by other using Agencies of the Department of Higher Education and/or the Connecticut College
Purchasing Group (CCPG) member institutions. (A complete list of members is located in Appendix A). Each
bidder should indicate on the Form of Bid whether they are willing to extend the same discounts, terms, and
conditions to the other Agencies and/or CCPG member institutions.
3.3 Exclusions
The following items are NOT included in this RFP:
• Equipment and Supplies which may be included in a vendor’s catalog, but which are not specifically designed
or intended for laboratory use (e.g. reception chairs, couches, coffee tables, general office equipment, etc.)
• Any Compressed Gas supply or related items, as these are currently available under another University
contract award. Vendors are to submit pricing for chemicals as part of the response. However, due to
nature of on-going research, there is no mechanism by which to predict or commit to future requirements.
Accordingly, any contract issued pursuant to this RFP will be non-exclusive.
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3.4 Value
The overall average annual requirements for the University and UCHC total approximately $4.3 million per year.
This figure is provided for informational purposes only and should not be construed as a commitment to any
annual volume of purchases.
3.5 Pre-Proposal Meeting
A pre-proposal meeting will be held in the Bid Room of Procurement located at 3 North Hillside Road, April
2, 2012 @ 10:00 a.m. (EDT). This will be the only opportunity for interested parties to familiarize
themselves with the scope of this project and these contract requirements and to ask questions.
In order to accommodate all interested parties, please provide a written R.S.V.P., including the number of
attendees from your company, to Cathleen Paquette: cathleen.paquette@uconn.edu
For directions to our location, please go to:
http://www.purchasing.uconn.edu/staff/images/Directions%20to%20Purchasing.pdf
3.6 Time Table
RFP Issued March 16, 2012
Pre-proposal Meeting April 2, 2012
Closing Date for Inquiries April 11, 2012
Proposals Due April 23, 2012
Anticipated contract award date July 2012
Contract effective date August 2012
Note: The University reserves the right to adjust timetable as deemed necessary.
3.7 Attention to Terms and Conditions
3.7.1 The terms and conditions included in this document must be reviewed carefully to ensure full
responsiveness to the RFP. The final contract shall be, in form and substance, consistent with
applicable University policies and State of Connecticut statutes and regulations regarding the creation
and execution of such Agreements. The purchase order, when duly executed, will represent the entire
contract agreement between the parties.
3.7.2 Failure to agree to the terms and conditions found herein may cause the vendor’s submittal to be noncompliant
and subject to rejection. The submittal of a proposal shall be conclusive evidence of the
bidder’s understanding of the University’s intent to incorporate such terms and conditions into the final
contract.
3.8 Errors
Vendors shall promptly notify the University of any ambiguity, inconsistency or error that they may discover
upon examination of these documents.
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3.9 Clarifications
A firm requiring clarification or interpretation of the Request for Proposal (RFP) shall make a written request to
the University via facsimile to (860) 486-5051, by e-mail to cathleen.paquette@uconn.edu or by mail to:
Cathleen Paquette
Procurement Services
University of Connecticut
3 North Hillside Road, Unit 6076
Storrs, CT 06269-6076
All requests must be in writing, preferably in a WORD document.
3.9.1 Any interpretation, correction, or change of this RFP shall be made by addendum. Interpretations,
corrections or changes of the RFP made in any other manner shall not be binding and vendors shall not
rely upon such interpretations, corrections or changes. Any changes or corrections shall be issued by
the University Procurement Services.
3.9.2 All addenda shall be mailed or delivered to all who are known to have received the RFP. No addenda
shall be issued later than seven (7) days prior to the date for receipt of proposals except an addendum,
if necessary, postponing the date for receipt of proposals or withdrawing the RFP.
3.10 Communications between the University and the Vendor:
ANY AND ALL COMMUNICATIONS WITH REGARD TO THIS SOLICITATION MUST BE DIRECTED TO
PROCUREMENT SERVICES ONLY AS SPECIFIED IN SECTION 3.9.
3.10.1 Informal Communications:
From the date of receipt of this RFP by each vendor until a binding contractual agreement exists with
the selected vendor and all other vendors have been notified or when the University rejects all
proposals, informal communications regarding this procurement shall cease. Informal
communications shall include but not be limited to:
3.10.1.1 Requests from the vendors to any department(s) at the University, for information,
comments, speculation, etc; and
3.10.1.2 Requests from any department at the University, or any employee of the University for
information, comments, speculation, etc.
3.10.2 Formal Communications:
From the date of receipt of this Request for Proposal by each vendor until a binding contractual
agreement exists with the selected vendors and all other vendors have been notified or when the
University rejects all proposals, all communications between the University and the vendors will be
formal, or as provided for in this Request for Proposal. Formal communications shall include but not be
limited to:
3.10.2.1 Oral Presentations
3.10.2.2 Pre-Award Negotiations
3.10.3 ANY FAILURE TO ADHERE TO THE PROVISIONS SET FORTH IN 3.8.1 AND 3.8.2 ABOVE MAY RESULT IN
THE REJECTION OF ANY VENDORS PROPOSAL OR CANCELLATION OF THIS REQUEST FOR PROPOSAL.
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Section IV
Terms and Conditions
4.0 The language provided in Section IV, Terms and Conditions, has been established by the Attorney General’s
office of the State of Connecticut. The University of Connecticut, as an agency of the State, must adhere to
these terms and is not authorized to alter the language.
4.1 Claims
State of Connecticut agencies (University of Connecticut) may not enter into indemnification or “hold
harmless” agreements. In the event of a loss by the vendor or any third party, recourse may be found
through the State of Connecticut Claims Commission, as provided under Chapter 53 of the General Statutes
of the State of Connecticut, in which all claims against the State of Connecticut and the University of
Connecticut will be filed with the Connecticut Claims Commissioner.
4.2 Insurance
The Contractor agrees that while performing Services specified in this agreement s/he shall carry sufficient
insurance (liability and/or other) as applicable according to the nature of the service to be performed so as
to "save harmless" the State of Connecticut from any insurable cause whatsoever. If requested, certificates
of such insurance shall be filed with the contracting State agency prior to the performance of Services.
4.3 Indemnification
The Contractor shall indemnify and hold harmless the State of Connecticut, including any agency or official of
the State of Connecticut from, and against all costs, claims, damages, or expenses, including reasonable
attorney’s fees, arising from its negligent acts or omissions in connection with the performance of any
Contract resulting from this solicitation.
4.4 Governing Law
The terms and provisions of this RFP and any ensuing contract shall be construed in accordance with the laws of
the State of Connecticut.
4.5 Connecticut General Statutes Sections 4a-60 and 4a-60a
Non-discrimination. References in this section to "Contract" shall mean this Contract and references to
"Contractor" shall mean the Contractor.
(a) The following subsections are set forth here as required by section 4a-60 of the Connecticut General
Statutes:
(1) The Contractor agrees and warrants that in the performance of the Contract such Contractor will not
discriminate or permit discrimination against any person or group of persons on the grounds of race,
color, religious creed, age, marital status, national origin, ancestry, sex, mental retardation, mental
disability or physical disability, including, but not limited to, blindness, unless it is shown by such
Contractor that such disability prevents performance of the work involved, in any manner prohibited by
the laws of the United States or of the state of Connecticut. The Contractor further agrees to take
affirmative action to insure that applicants with job-related qualifications are employed and that
employees are treated when employed without regard to their race, color, religious creed, age, marital
status, national origin, ancestry, sex, mental retardation, mental disability or physical disability,
including, but not limited to, blindness, unless it is shown by such Contractor that such disability
prevents performance of the work involved; (2) the Contractor agrees, in all solicitations or
advertisements for employees placed by or on behalf of the Contractor, to state that it is an "affirmative
action-equal opportunity employer" in accordance with regulations adopted by the commission; (3) the
Contractor agrees to provide each labor union or representative of workers with which such Contractor
has a collective bargaining agreement or other contract or understanding and each vendor with which
such Contractor has a contract or understanding, a notice to be provided by the commission advising the
labor union or workers' representative of the Contractor's commitments under this section, and to post
copies of the notice in conspicuous places available to employees and applicants for employment; (4)
the Contractor agrees to comply with each provision of this section and sections 46a-68e and 46a-68f
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and with each regulation or relevant order issued by said commission pursuant to sections 46a-56, 46a-
68e and 46a-68f; (5) the Contractor agrees to provide the Commission on Human Rights and
Opportunities with such information requested by the commission, and permit access to pertinent
books, records and accounts, concerning the employment practices and procedures of the Contractor as
relate to the provisions of this section and section 46a-56.
(b) If the Contract is a public works contract, the Contractor agrees and warrants that he will make good
faith efforts to employ minority business enterprises as subcontractors and suppliers of materials on
such public works project.
(c) "Minority business enterprise" means any small contractor or supplier of materials fifty-one per cent or
more of the capital stock, if any, or assets of which is 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 management and policies of
the enterprise and (3) who are members of a minority, as such term is defined in subsection (a) of
section 32-9n; and "good faith" means that degree of diligence which a reasonable person would
exercise in the performance of legal duties and obligations. "Good faith efforts" shall include, but not be
limited to, those reasonable initial efforts necessary to comply with statutory or regulatory requirements
and additional or substituted efforts when it is determined that such initial efforts will not be sufficient
to comply with such requirements.
(d) Determination of the Contractor's good faith efforts shall include but shall not be limited to the following
factors: The Contractor's employment and subcontracting policies, patterns and practices; affirmative
advertising, recruitment and training; technical assistance activities and such other reasonable activities
or efforts as the commission may prescribe that are designed to ensure the participation of minority
business enterprises in public works projects.
(e) The Contractor shall develop and maintain adequate documentation, in a manner prescribed by the
commission, of its good faith efforts.
(f) The Contractor shall include the provisions of sections (a) and (b) above in every subcontract or purchase
order entered into in order to fulfill any obligation of a contract with the state and such provisions shall
be binding on a subcontractor, vendor or manufacturer unless exempted by regulations or orders of the
commission. The Contractor shall take such action with respect to any such subcontract or purchase
order as the commission may direct as a means of enforcing such provisions including sanctions for
noncompliance in accordance with section 46a-56; provided, if such Contractor becomes involved in, or
is threatened with, litigation with a subcontractor or vendor as a result of such direction by the
commission, the Contractor may request the state of Connecticut to enter into any such litigation or
negotiation prior thereto to protect the interests of the state and the state may so enter.
(g) The following subsections are set forth here as required by section 4a-60a of the Connecticut General
Statutes:
(1) The Contractor agrees and warrants that in the performance of the Contract such Contractor will not
discriminate or permit discrimination against any person or group of persons on the grounds of sexual
orientation, in any manner prohibited by the laws of the United States or of the state of Connecticut,
and that employees are treated when employed without regard to their sexual orientation; (2) the
Contractor agrees to provide each labor union or representative of workers with which such Contractor
has a collective bargaining agreement or other contract or understanding and each vendor with which
such Contractor has a contract or understanding, a notice to be provided by the Commission on Human
Rights and Opportunities advising the labor union or workers' representative of the Contractor's
commitments under this section, and to post copies of the notice in conspicuous places available to
employees and applicants for employment; (3) the Contractor agrees to comply with each provision of
this section and with each regulation or relevant order issued by said commission pursuant to section
46a-56; and (4) the Contractor agrees to provide the Commission on Human Rights and Opportunities
with such information requested by the commission, and permit access to pertinent books, records and
accounts, concerning the employment practices and procedures of the Contractor which relate to the
provisions of this section and section 46a-56.
(h) The Contractor shall include the provisions of section (g) above in every subcontract or purchase order
entered into in order to fulfill any obligation of a contract with the state and such provisions shall be
binding on a subcontractor, vendor or manufacturer unless exempted by regulations or orders of the
commission. The Contractor shall take such action with respect to any such subcontract or purchase
order as the commission may direct as a means of enforcing such provisions including sanctions for
noncompliance in accordance with section 46a-56; provided, if such Contractor becomes involved in, or
9

is threatened with, litigation with a subcontractor or vendor as a result of such direction by the
commission, the Contractor may request the state of Connecticut to enter into any such litigation or
negotiation prior thereto to protect the interests of the state and the state may so enter.
For the purposes of this entire Non-Discrimination section, “Contract” or "contract" includes any
extension or modification of the Contract or contract, “Contractor” or "contractor" includes any
successors or assigns of the Contractor or contractor, "marital status" means being single, married as
recognized by the state of Connecticut, widowed, separated or divorced, and "mental disability" means
one or more mental disorders, as defined in the most recent edition of the American Psychiatric
Association's "Diagnostic and Statistical Manual of Mental Disorders", or a record of or regarding a
person as having one or more such disorders. For the purposes of this section, "Contract" does not
include a contract where each contractor is (1) a political subdivision of the state, including, but not
limited to, a municipality, (2) a quasi-public agency, as defined in Conn. Gen. Stat. Section 1-120, (3) any
other state, including but not limited to any federally recognized Indian tribal governments, as defined in
Conn. Gen. Stat. Section 1-267, (4) the federal government, (5) a foreign government, or (6) an agency of
a subdivision, agency, state or government described in the immediately preceding enumerated items
(1), (2), (3), (4) or (5).
4.6 Executive Orders
The Contract is subject to the provisions of Executive Order No. Three of Governor Thomas J. Meskill,
promulgated June 16, 1971, concerning labor employment practices, Executive Order No. Seventeen of
Governor Thomas J. Meskill promulgated February 15, 1973, concerning the listing of employment openings
and Executive Order No. Sixteen of Governor John G. Rowland promulgated August 4, 1999, concerning
violence in the workplace, all of which are incorporated into and are made a part of the Contract as if they
had been fully set forth in it. At the Contractor’s request, the Client Agency shall provide a copy of these
orders to the Contractor. The Contract may also be subject to Executive Order No. 7C of Governor M. Jodi
Rell, promulgated July 13, 2006, concerning contracting reforms and Executive Order No. 14 of Governor M.
Jodi Rell, promulgated April 17, 2006, concerning procurement of cleaning products and services, in
accordance with their respective terms and conditions.
4.7 Campaign Contribution Restrictions
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
combination or series of such agreements or contracts having a value of $100,000 or more, the authorized
signatory to this Agreement expressly acknowledges receipt of the State Elections Enforcement
Commission's notice advising state contractors of state campaign contribution and solicitation prohibitions,
and will inform its principals of the contents of the notice attached hereto as Exhibit A.
4.8 Contract Termination for Cause
The University may terminate any resulting Contract for cause by providing a written Notice to Cure to the
Contractor citing the instances of noncompliance with the contract. The Contractor will have ten (10) days to
reply to the Notice to Cure and indicate why the contract should not be terminated and recommend
remedies to be taken.
4.8.1 If the Contractor and the University reach an agreed upon solution, the Contractor will then have
thirty (30) days after such agreement is reached to cure the noncompliance cited in the Notice to
Cure.
4.8.2 If a mutually agreed upon solution cannot be reached within ten (10) days after receipt of Notice to
Cure by Contractor, the University reserves the right to terminate the Contract at that time by
written notice of such termination.
4.8.3 If the mutually agreed upon solution is not implemented within thirty (30) days from the date of
agreement, the University reserves the right to terminate the Contract at that time by written notice
of such termination.
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4.8.4 The University will be obligated only for those goods or Services rendered and accepted prior to the
date of Notice of Termination.
4.8.5 Remedies for Default: If the solution mutually agreed upon pursuant to subsection (a) of this Section
is not implemented within the thirty (30) days provided in said subsection, the University may
procure the subject goods or services from another source and charge any cost difference to the
Contractor.
4.9 Contract Termination for Convenience:
4.9.1 The University may terminate any resulting Contract in whole or in part whenever, for any reason,
the University shall determine that such termination is in the best interest of the University and/or
the State of Connecticut.
4.9.2 If the Contract is terminated by the University pursuant to this section, the University will provide
the Contractor sixty (60) days written notice of such intention. In the event of such termination, the
Contract Administrator and/or designee will notify the Contractor by certified mail, return receipt
requested. Termination will be effective as of the close of business on the date specified in the
notice.
4.10 Force Majeure
If the performance of obligations under this Agreement are rendered impossible or hazardous or is
otherwise prevented or impaired due to illness, accident, Act(s) of God, riots, strikes, labor difficulties,
epidemics, earthquakes, and/or any other cause or event, similar or dissimilar, beyond the control of the
Contractor, then each party’s obligations to the other under this Agreement shall be excused and neither
party shall have any liability to the other under or in connection with this Agreement.
4.11 Statutory/Regulatory Compliance
Vendor(s) shall keep informed of, and shall provide all permits and comply with all applicable laws, ordinances,
rules, regulations, and orders of the state and federal governments or public bodies having jurisdiction affecting
any contract that may result from this RFP.
4.12 Taxes
The University of Connecticut is exempt from federal excise taxes, and no payment will be made for any taxes
levied on a vendor's employees' wages. The University is exempt from state and local sales and use taxes on
the services and/or equipment supplied pursuant to this agreement.
4.13 Additional Costs
Costs associated with every aspect of materials and service necessary to provide the commodities as specified
herein must be made explicit in the vendor's reply. The University will not be responsible for any costs incurred
by vendor(s) that are not included in the price schedule offered including hazardous materials charges, dry ice
charges and fuel surcharges.
4.14 Payment Terms
The University's payment terms are 2% 15 days net 45 days. These terms will be honored unless otherwise
stated on the Form of Proposal. The University will authorize payment to the vendor after providing
satisfactory product and receipt of the vendor's invoice.
4.15 Remedies Upon Default
In any case where the vendor has failed to deliver or has delivered non-conforming goods or services, the
university shall provide a "notice to cure". If, after notice, the vendor continues to be in default, the University
may procure goods or services as substitution from another source and charge the cost difference to the
defaulting vendor.
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4.16 Collection for Default
The Attorney General shall be requested to make collection from any defaulting vendor pursuant to the
preceding paragraph.
4.17 Immunity from Liability
Every person who is a party to this agreement is hereby notified and agrees that the University, and its agents,
is immune from liability and suit for or from the vendor's activities involving third parties and arising from any
contract which may result from this solicitation.
4.18 Assignment/Modification
Neither party shall have the right to assign any Agreement without the written consent of the other party.
Neither may this agreement be modified except by written instrument signed by both parties hereto, upon
thirty (30) days written notice to the other party.
4.19 Promotion
Unless specifically authorized in writing by the University on a case by case basis, vendor shall have no right to
use, and shall not use, the name of The University of Connecticut, its officials or employees, or the Seal of the
University: (a) in any advertising, publicity, promotion; nor (b) to express or to imply any endorsement of
vendor's products or services; nor (c) to use the name of the state, its officials or employees or the University
seal in any manner (whether or not similar to uses prohibited by subparagraphs (a) and (b) above), except only
to manufacture and deliver in accordance with this agreement such items as are hereby contracted by the
University.
4.20 Ethics and Compliance Hotline
In accordance with the University’s compliance program, the University has in place an anonymous ethics
and compliance reporting hotline service – 1-888-685-2637. Any person who is aware of unethical practices,
fraud, violation of state laws or regulations or other concerns relating to University policies and procedures
can report such matters anonymously. Such persons may also directly contact the University’s compliance
office at: Office of Audit, Compliance, and Ethics, 9 Walters Avenue, Unit 5084, Storrs, CT 06269-5084;
Phone 860-486-4526; Fax 860-486-4527. As a provider of goods and/or services to the University, you are
hereby required to notify your employees, as well as any subcontractors, who are involved in the
implementation of this contract, of this reporting mechanism.
4.21 Ethical Considerations
Respondent hereby certifies that: no elected or appointed official or employee or student of the University
has benefited, or will benefit financially or materially from the proposed services. The University may
terminate any contract resulting from this RFP, if it is determined that gratuities of any kind were either
offered to, or received by, any University officer or employee contrary to this policy. The authorized
signatory of a submitted proposal automatically attests this to be true.
The laws of the State of Connecticut provide it is a felony to offer, promise or give anything of value or
benefit to a State employee with intent to influence that employee’s acts, opinion, judgment or exercise of
discretion with respect to that employee’s duty. Evidence of violation of this statute will be turned over to
the proper prosecuting attorney. See Code of Ethics in Connecticut General Statutes Section 1-79 through
Section 1-90. Vendor agrees by signing any resultant contract to abide by all Connecticut and Federal
ethics laws, current and future.
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4.22 President’s Committee For Corporate Social Responsibility: The University of Connecticut (“UConn”) has a
longstanding commitment to the protection and advancement of socially responsible practices that reflect
respect for fundamental human rights and dignity of all people. The University strives to promote the basic
human rights and appropriate labor standards for individuals throughout its supply chain. Promoting these
values in concrete practice is the central charge of the President’s committee on Corporate Social
Responsibility (http://csr.uconn.edu). The University is also committed to building a safe, healthy and
sustainable environment for employees and the general public. The University is dedicated to conserving
natural resources, increasing its use of environmentally sustainable products, materials and services
(including renewable resources), and preventing pollution and minimizing waste through reduction, reuse,
and recycling. UConn is proactive about purchasing recycled and environmentally preferred products, when
practicable, and buying from entities committed to the support of campus sustainability initiatives.
For this RFP process, vendor(s) must provide a comprehensive discussion of corporate and local sustainability
practices for the entire scope of Lab Supplies and Equipment offered in your proposal. The response should
include, but not be limited to, efforts to reduce adverse effects on human health and the environment for the
entire product lifecycle; including energy, water, safety, delivery, storage, packaging and training. The awarded
vendor will be required to provide, a comprehensive, annual summary report of its corporate social and
environmental practices. Where practicable, vendor(s) should include numeric measures of progress made to
meet established sustainability goals, objectives and targets.
4.23 UCHC Policies
The vendor will comply with John Dempsey Hospital policies and procedures, as well as all applicable laws,
ordinances, rules, regulations, standards and orders of governmental, regulatory and accrediting bodies,
including, but not limited to, the Joint Commission on the Accreditation of Health Care Organizations (JCAHO),
having jurisdiction in the premises that are applicable to the conduct of physicians. Background checks may be
required for any persons to be entering the facility.
4.24 Disqualification
The University reserves the right to consider as acceptable only those responses submitted in accordance
with all of the requirements set for herein, and which demonstrate an understanding of the scope of the
work. Note: Any response offering any terms and conditions other than those included in this document
may be disqualified without further notice.
A respondent may be disqualified and their response automatically rejected for any one or more of the
following reasons:
• The proposal shows any non-compliance with applicable law.
• The proposal is conditional, incomplete, or irregular in such a way as to make the proposal indefinite
or ambiguous as to its meaning
• The proposal has any provision(s) reserving the right to accept or reject award, or to enter into a
contract pursuant to an award, or provisions contrary to those required in the solicitation.
• The respondent is debarred or suspended.
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Section V
UCHC Special Terms and Conditions
5.0 UCHC Policies
In addition to University policies and procedures, the vendor will comply with John Dempsey Hospital policies
and procedures, as well as all applicable laws, ordinances, rules, regulations, standards and orders of
governmental, regulatory and accrediting bodies, including, but not limited to, the Joint Commission on the
Accreditation of Health Care Organizations (JCAHO), having jurisdiction in the premises that are applicable to
the conduct of physicians.
5.1 Background Checks And Certifications
Supplier shall comply with applicable UCHC Policies and procedures regarding completion of background
checks and/or certifications and shall pay all related fees. If UCHC determines that the results of a background
check are unfavorable, UCHC may require supplier to immediately cease performance hereunder without
penalty to UCHC.
5.2 Health Insurance Portability and Accountability Act of 1996 (“HIPAA”).
5.2.1 If the Contractor is a Business Associate under the requirements of the Health Insurance Portability
and Accountability Act of 1996 (“HIPAA”), the Contractor must comply with all terms and conditions
of this Section of the Contract. If the Contractor is not a Business Associate under HIPAA, this Section
of the Contract does not apply to the Contractor for this Contract.
5.2.2 The Contractor is required to safeguard the use, publication and disclosure of information on all
applicants for, and all clients who receive, services under the Contract in accordance with all
applicable federal and state law regarding confidentiality, which includes but is not limited to HIPAA,
more specifically with the Privacy and Security Rules at 45 C.F.R. part 160 and part 164, subparts A,
C, and E; and
5.2.3 The University of Connecticut Health Center (hereinafter in this Section of the Contract, “UCHC”) is a
“covered entity” as that term is defined in 45 C.F.R. §160.103; and
5.2.4 The Contractor, on behalf of UCHC, performs functions that involve the use or disclosure of
“individually identifiable health information,” as that term is defined in 45 C.F.R. §160.103; and
5.2.5 The Contractor is a “business associate” of UCHC, as that term is defined in 45 C.F.R. §160.103; and
5.2.6 The Contractor and UCHC agree to the following in order to secure compliance with HIPAA, the
requirements of Subtitle D of the Health Information Technology for Economic and Clinical Health
Act (hereinafter the HITECH Act) (Pub. L. 111-5, sections 13400 to 13423), and more specifically with
the Privacy and Security Rules at 45 C.F.R. part 160 and part 164, subparts A, C, and E.
5.2.7 Definitions.
5.2.7.1 “Breach” shall have the same meaning as the term is defined in section 13400 of the
HITECH Act (42 U.S.C. §17921(1)).
5.2.7.2 “Business Associate” shall mean the Contractor.
5.2.7.3 “Covered Entity” shall mean the University of Connecticut Health Center.
5.2.7.4 “Designated Record Set” shall have the same meaning as the term “designated record set”
in 45 C.F.R. §164.501.
5.2.7.5 “Electronic Health Record” shall have the same meaning as the term is defined in section
13400 of the HITECH Act (42 U.S.C. §17921(5)).
5.2.7.6 “Individual” shall have the same meaning as the term “individual” in 45 C.F.R. §160.103
and shall include a person who qualifies as a personal representative as defined in 45
C.F.R. §164.502(g).
5.2.7.7 “Privacy Rule” shall mean the Standards for Privacy of Individually Identifiable Health
Information at 45 C.F.R. part 160 and parts 164, subparts A and E.
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5.2.7.8 “Protected Health Information” or “PHI” shall have the same meaning as the term
“protected health information” in 45 C.F.R. §160.103, limited to information created or
received by the Business Associate from or on behalf of the Covered Entity.
5.2.7.9 “Required by Law” shall have the same meaning as the term “required by law” in 45 C.F.R.
§164.103.
5.2.7.10 “Secretary” shall mean the Secretary of the Department of Health and Human Services or
his designee.
5.2.7.11 “More stringent” shall have the same meaning as the term “more stringent” in 45 C.F.R.
§160.202.
5.2.7.12 “This Section of the Contract” refers to the HIPAA Provisions stated herein, in their
entirety.
5.2.7.13 “Security Incident” shall have the same meaning as the term “security incident” in
45 C.F.R. §164.304.
5.2.7.14 “Security Rule” shall mean the Security Standards for the Protection of Electronic
Protected Health Information at 45 C.F.R. part 160 and parts 164, subparts A and C.
5.2.7.15 “Unsecured protected health information” shall have the same meaning as the term as
defined in section 13402(h)(1)(A) of HITECH Act (42 U.S.C. §17932(h)(1)(A)).
5.2.8 Obligations and Activities of Business Associates.
5.2.8.1 Business Associate agrees not to use or disclose PHI other than as permitted or required
by this Section of the Contract or as Required by Law.
5.2.8.2 Business Associate agrees to use appropriate safeguards to prevent use or disclosure of
PHI other than as provided for in this Section of the Contract.
5.2.8.3 Business Associate agrees to use administrative, physical and technical safeguards that
reasonably and appropriately protect the confidentiality, integrity, and availability of
electronic protected health information that it creates, receives, maintains, or transmits
on behalf of the Covered Entity.
5.2.8.4 Business Associate agrees to mitigate, to the extent practicable, any harmful effect that is
known to the Business Associate of a use or disclosure of PHI by Business Associate in
violation of this Section of the Contract.
5.2.8.5 Business Associate agrees to report to Covered Entity any use or disclosure of PHI not
provided for by this Section of the Contract or any security incident of which it becomes
aware.
5.2.8.6 Business Associate agrees to insure that any agent, including a subcontractor, to whom it
provides PHI received from, or created or received by Business Associate, on behalf of the
Covered Entity, agrees to the same restrictions and conditions that apply through this
Section of the Contract to Business Associate with respect to such information.
5.2.8.7 Business Associate agrees to provide access, at the request of the Covered Entity, and in
the time and manner agreed to by the parties, to PHI in a Designated Record Set, to
Covered Entity or, as directed by Covered Entity, to an Individual in order to meet the
requirements under 45 C.F.R. §164.524.
5.2.8.8 Business Associate agrees to make any amendments to PHI in a Designated Record Set
that the Covered Entity directs or agrees to pursuant to 45 C.F.R. §164.526 at the request
of the Covered Entity, and in the time and manner agreed to by the parties.
5.2.8.9 Business Associate agrees to make internal practices, books, and records, including policies
and procedures and PHI, relating to the use and disclosure of PHI received from, or created
or received by, Business Associate on behalf of Covered Entity, available to Covered Entity
or to the Secretary in a time and manner agreed to by the parties or designated by the
Secretary, for purposes of the Secretary determining Covered Entity’s compliance with the
Privacy Rule.
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5.2.8.10 Business Associate agrees to document such disclosures of PHI and information related to
such disclosures as would be required for Covered Entity to respond to a request by an
Individual for an accounting of disclosures of PHI in accordance with 45 C.F.R. §164.528
and section 13405 of the HITECH Act (42 U.S.C. §17935) and any regulations promulgated
thereunder.
5.2.8.11 Business Associate agrees to provide to Covered Entity, in a time and manner agreed to by
the parties, information collected in accordance with clause 22.8.10 of this Section of the
Contract, to permit Covered Entity to respond to a request by an Individual for an
accounting of disclosures of PHI in accordance with 45 C.F.R. §164.528 and section 13405
of the HITECH Act (42 U.S.C. §17935) and any regulations promulgated thereunder.
Business Associate agrees at the Covered Entity’s direction to provide an accounting of
disclosures of PHI directly to an individual in accordance with 45 C.F.R. §164.528 and
section 13405 of the HITECH Act (42 U.S.C. §17935) and any regulations promulgated
thereunder.
5.2.8.12 Business Associate agrees to comply with any state or federal law that is more stringent
than the Privacy Rule.
5.2.8.13 Business Associate agrees to comply with the requirements of the HITECH Act relating to
privacy and security that are applicable to the Covered Entity and with the requirements of
45 C.F.R. sections 164.504(e), 164.308, 164.310, 164.312, and 164.316.
5.2.8.14 In the event that an individual requests that the Business Associate (a) restrict disclosures
of PHI; (b) provide an accounting of disclosures of the individual’s PHI; or (c) provide a
copy of the individual’s PHI in an electronic health record, the Business Associate agrees to
notify the covered entity, in writing, within two business days of the request.
5.2.8.15 Business Associate agrees that it shall not, directly or indirectly, receive any remuneration
in exchange for PHI of an individual without (1) the written approval of the covered entity,
unless receipt of remuneration in exchange for PHI is expressly authorized by this Contract
and (2) the valid authorization of the individual, except for the purposes provided under
section 13405(d)(2) of the HITECH Act (42 U.S.C. §17935(d)(2)) and in any accompanying
regulations.
5.2.8.16 Obligations in the Event of a Breach.
5.2.8.16.1 The Business Associate agrees that, following the discovery of a breach of
unsecured protected health information, it shall notify the Covered Entity of
such breach in accordance with the requirements of section 13402 of HITECH
(42 U.S.C. 17932(b)) and the provisions of this Section of the Contract.
5.2.8.16.2 Such notification shall be provided by the Business Associate to the Covered
Entity without unreasonable delay, and in no case later than 30 days after the
breach is discovered by the Business Associate, except as otherwise instructed
in writing by a law enforcement official pursuant to section 13402(g) of
HITECH (42 U.S.C. 17932(g)). A breach is considered discovered as of the first
day on which it is, or reasonably should have been, known to the Business
Associate. The notification shall include the identification and last known
address, phone number and email address of each individual (or the next of
kin of the individual if the individual is deceased) whose unsecured protected
health information has been, or is reasonably believed by the Business
Associate to have been, accessed, acquired, or disclosed during such breach.
5.2.8.16.3 The Business Associate agrees to include in the notification to the Covered
Entity at least the following information: (a) a brief description of what
happened, including the date of the breach and the date of the discovery of
the breach, if known; (b) a description of the types of unsecured protected
health information that were involved in the breach (such as full name, Social
Security number, date of birth, home address, account number, or disability
16

code); (c) the steps the Business Associate recommends that individuals take
to protect themselves from potential harm resulting from the breach; (d) a
detailed description of what the Business Associate is doing to investigate the
breach, to mitigate losses, and to protect against any further breaches; (e)
whether a law enforcement official has advised either verbally or in writing the
Business Associate that he or she has determined that notification or notice to
individuals or the posting required under section 13402 of the HITECH Act
would impede a criminal investigation or cause damage to national security
and; if so, include contact information for said official.
5.2.8.16.4 Business Associate agrees to provide appropriate staffing and have established
procedures to ensure that individuals informed by the Covered Entity of a
breach by the Business Associate have the opportunity to ask questions and
contact the Business Associate for additional information regarding the
breach. Such procedures shall include a toll-free telephone number, an e-mail
address, a posting on its Web site and a postal address. Business Associate
agrees to include in the notification of a breach by the Business Associate to
the Covered Entity, a written description of the procedures that have been
established to meet these requirements. Costs of such contact procedures will
be borne by the Contractor. Business Associate agrees that, in the event of a
breach, it has the burden to demonstrate that it has complied with all
notification requirements set forth above, including evidence demonstrating
the necessity of a delay in notification to the Covered Entity.
5.2.9 Permitted Uses and Disclosure by Business Associate.
5.2.9.1 General Use and Disclosure Provisions. Except as otherwise limited in this Section of the
Contract, Business Associate may use or disclose PHI to perform functions, activities, or
services for, or on behalf of, Covered Entity as specified in this Contract, provided that
such use or disclosure would not violate the Privacy Rule if done by Covered Entity or the
minimum necessary policies and procedures of the Covered Entity.
5.2.9.2 Specific Use and Disclosure Provisions.
5.2.9.2.1 Except as otherwise limited in this Section of the Contract, Business Associate
may use PHI for the proper management and administration of Business
Associate or to carry out the legal responsibilities of Business Associate.
5.2.9.2.2 Except as otherwise limited in this Section of the Contract, Business Associate
may disclose PHI for the proper management and administration of Business
Associate, provided that disclosures are Required by Law, or Business
Associate obtains reasonable assurances from the person to whom the
information is disclosed that it will remain confidential and used or further
disclosed only as Required by Law or for the purpose for which it was disclosed
to the person, and the person notifies Business Associate of any instances of
which it is aware in which the confidentiality of the information has been
breached.
5.2.9.2.3 Except as otherwise limited in this Section of the Contract, Business Associate
may use PHI to provide Data Aggregation services to Covered Entity as
permitted by 45 C.F.R. §164.504(e)(2)(i)(B).
5.2.10 Obligations of Covered Entity.
5.2.10.1 Covered Entity shall notify Business Associate of any limitations in its notice of privacy
practices of Covered Entity, in accordance with 45 C.F.R. §164.520, or to the extent that
such limitation may affect Business Associate’s use or disclosure of PHI.
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5.2.10.2 Covered Entity shall notify Business Associate of any changes in, or revocation of,
permission by Individual to use or disclose PHI, to the extent that such changes may affect
Business Associate’s use or disclosure of PHI.
5.2.10.3 Covered Entity shall notify Business Associate of any restriction to the use or disclosure of
PHI that Covered Entity has agreed to in accordance with 45 C.F.R. §164.522, to the extent
that such restriction may affect Business Associate’s use or disclosure of PHI
5.2.11 Permissible Requests by Covered Entity. Covered Entity shall not request Business Associate to use
or disclose PHI in any manner that would not be permissible under the Privacy Rule if done by the
Covered Entity, except that Business Associate may use and disclose PHI for data aggregation, and
management and administrative activities of Business Associate, as permitted under this Section of
the Contract.
5.2.12 Term and Termination.
5.2.12.1 Term. The Term of this Section of the Contract shall be effective as of the date the
Contract is effective and shall terminate when the information collected in accordance
with clause 22.8.10 of this Section of the Contract is provided to the Covered Entity and all
of the PHI provided by Covered Entity to Business Associate, or created or received by
Business Associate on behalf of Covered Entity, is destroyed or returned to Covered Entity,
or, if it is infeasible to return or destroy PHI, protections are extended to such information,
in accordance with the termination provisions in this Section.
5.2.12.2 Termination for Cause. Upon Covered Entity’s knowledge of a material breach by Business
Associate, Covered Entity shall either: (a) provide an opportunity for Business Associate to
cure the breach or end the violation and terminate the Contract if Business Associate does
not cure the breach or end the violation within the time specified by the Covered Entity; or
(b) immediately terminate the Contract if Business Associate has breached a material term
of this Section of the Contract and cure is not possible; or (c) if neither termination nor
cure is feasible, Covered Entity shall report the violation to the Secretary.
5.2.12.3 Effect of Termination. Except as provided in 22.12.2 of this Section of the Contract, upon
termination of this Contract, for any reason, Business Associate shall return or destroy all
PHI received from Covered Entity, or created or received by Business Associate on behalf
of Covered Entity. Business Associate shall also provide the information collected in
accordance with clause 22.8.10 of this Section of the Contract to the Covered Entity within
ten business days of the notice of termination. This provision shall apply to PHI that is in
the possession of subcontractors or agents of Business Associate. Business Associate shall
retain no copies of the PHI. In the event that Business Associate determines that returning
or destroying the PHI is infeasible, Business Associate shall provide to Covered Entity
notification of the conditions that make return or destruction infeasible. Upon
documentation by Business Associate that return or destruction of PHI is infeasible,
Business Associate shall extend the protections of this Section of the Contract to such PHI
and limit further uses and disclosures of PHI to those purposes that make return or
destruction infeasible, for as long as Business Associate maintains such PHI. Infeasibility of
the return or destruction of PHI includes, but is not limited to, requirements under state or
federal law that the Business Associate maintains or preserves the PHI or copies thereof.
5.2.13 Miscellaneous Provisions.
5.2.13.1 Regulatory References. A reference in this Section of the Contract to a section in the
Privacy Rule means the section as in effect or as amended.
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5.2.13.2 Amendment. The Parties agree to take such action as is necessary to amend this Section of
the Contract from time to time as is necessary for Covered Entity to comply with
requirements of the Privacy Rule and the Health Insurance Portability and Accountability
Act of 1996, Pub. L. No. 104-191.
5.2.13.3 Survival. The respective rights and obligations of Business Associate shall survive the
termination of this Contract.
5.2.13.4 Effect on Contract. Except as specifically required to implement the purposes of this
Section of the Contract, all other terms of the Contract shall remain in force and effect.
5.2.13.5 Construction. This Section of the Contract shall be construed as broadly as necessary to
implement and comply with the Privacy Standard. Any ambiguity in this Section of the
Contract shall be resolved in favor of a meaning that complies, and is consistent with, the
Privacy Standard.
5.2.13.6 Disclaimer. Covered Entity makes no warranty or representation that compliance with this
Section of the Contract will be adequate or satisfactory for Business Associate’s own
purposes. Covered Entity shall not be liable to Business Associate for any claim, civil or
criminal penalty, loss or damage related to or arising from the unauthorized use or
disclosure of PHI by Business Associate or any of its officers, directors, employees,
contractors or agents, or any third party to whom Business Associate has disclosed PHI
contrary to the provisions of this Contract or applicable law. Business Associate is solely
responsible for all decisions made, and actions taken, by Business Associate regarding the
safeguarding, use and disclosure of PHI within its possession, custody or control.
5.2.13.7 Indemnification. The Business Associate shall indemnify and hold the Covered Entity
harmless from and against any and all claims, liabilities, judgments, fines, assessments,
penalties, awards and any statutory damages that may be imposed or assessed pursuant
to HIPAA, as amended, or the HITECH Act, including, without limitation, attorney’s fees,
expert witness fees, costs of investigation, litigation or dispute resolution, and costs
awarded thereunder, relating to or arising out of any violation by the Business Associate
and its agents, including subcontractors, of any obligation of Business Associate and its
agents, including subcontractors, under this Section of the Contract, under HIPAA, the
HITECH Act, the Privacy Rule and the Security Rule.
5.3 Confidential Information and Protection of Data
5.3.1 Contractor and Contractor Parties, at their own expense, have a duty to and shall protect from a
Confidential Information Breach any and all Confidential Information which they come to possess or
control, wherever and however stored or maintained, in a commercially reasonable manner in
accordance with current industry standards.
5.3.2 Each Contractor and Contractor Parties shall implement and maintain a comprehensive data -
security program for the protection of Confidential Information. The safeguards contained in such
program shall be consistent with and comply with the safeguards for protection of Confidential
Information, and information of a similar character, as set forth in all applicable federal and state law
and written policy of the Department or State concerning the confidentiality of Confidential
Information. Such data-security program shall include, but not be limited to, the following:
5.3.2.1 A security policy for employees related to the storage, access and transportation of data
containing Confidential Information;
5.3.2.2 Reasonable restrictions on access to records containing Confidential Information, including
access to any locked storage where such records are kept
5.3.2.3 A process for reviewing policies and security measures at least annually \
5.3.2.4 Creating secure access controls to Confidential Information, including but not limited to
passwords; and
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5.3.2.5 Encrypting of Confidential Information that is stored on laptops, portable devices or being
transmitted electronically.
5.3.3 The Contractor and Contractor Parties shall notify the Department and the Connecticut Office of the
Attorney General as soon as practical, but no later than twenty-four (24) hours, after they become
aware of or suspect that any Confidential Information which Contractor or Contractor Parties
possess or control has been subject to a Confidential Information Breach. If a Confidential
Information Breach has occurred, the Contractor shall, within three (3) business days after the
notification, present a credit monitoring and protection plan to the Commissioner of Administrative
Services, the Department and the Connecticut Office of the Attorney General, for review and
approval. Such credit monitoring or protection plan shall be made available by the Contractor at its
own cost and expense to all individuals affected by the Confidential Information Breach. Such credit
monitoring or protection plan shall include, but is not limited to reimbursement for the cost of
placing and lifting one (1) security freeze per credit file pursuant to Connecticut General Statutes §
36a-701a. Such credit monitoring or protection plans shall be approved by the State in accordance
with this Section and shall cover a length of time commensurate with the circumstances of the
Confidential Information Breach. The Contractors’ costs and expenses for the credit monitoring and
protection plan shall not be recoverable from the Department, any State of Connecticut entity or
any affected individuals
5.3.4 The Contractor shall incorporate the requirements of this Section in all subcontracts requiring each
Contractor Party to safeguard Confidential Information in the same manner as provided for in this
Section.
5.3.5 Nothing in this Section shall supersede in any manner Contractor’s or Contractor Party’s obligations
pursuant to HIPAA or the provisions of this Contract concerning the obligations of the Contractor as
a Business Associate.
5.3.6 All data provided to the Contractor by UCHC or developed internally by the Contractor with regard
to UCHC shall be treated as proprietary to UCHC unless UCHC agrees in writing to the contrary. The
Contractor agrees to forever hold in confidence all files, records, documents, or other information as
designated, whether prepared by UCHC or others, which may come into the Contractor’s possession
during the term of this Contract, except where disclosure of such information by the Contractor is
required by governmental authority to ensure compliance with laws, rules or regulations, and such
disclosure shall be limited to that actually so required. Where such disclosure is required, the
Contractor shall provide advance notice to UCHC of the need for the disclosure and shall not disclose
absent consent from UCHC. The requirements of this section are in addition to those pertaining to
HIPAA as set forth above.
5.3.7 UCHC will afford due regard to the Contractor’s request for the protection of proprietary or
confidential data that UCHC receives. However, all materials associated with the Solicitation and the
Contract are subject to the FOIA provisions set forth in Chapter 14 of the Connecticut General
Statutes, and all corresponding rules, regulations and interpretations. If the Contractor indicates that
certain documents are submitted in confidence, by specifically and clearly marking them as
“CONFIDENTIAL,” UCHC will endeavor to keep said data confidential to the extent permitted by law.
However, UCHC has no obligation to initiate, prosecute or defend any legal proceeding or to seek a
protective order or other similar relief to prevent disclosure of anything that is sought pursuant to a
FOIA request. The Contractor shall have the burden of establishing, in the legally-prescribed manner,
the availability of any FOIA exemption in any proceeding where it is an issue. In no event shall UCHC
or the State have any liability for the disclosure of any documents or data in UCHC’s possession
which UCHC believes is required to be disclosed pursuant to FOIA or other requirements of law. To
the extent that any other provision of the Contract, Solicitation or any other Records or documents
conflicts or is in any way inconsistent with this section, this section controls and shall apply.
20

Section VI
Specifications
6.0 Scope
The successful vendors will serve all University departments located at the Storrs and regional campuses and
the UConn Health Center in Farmington. Services shall include, but not be limited to, the warehousing and
distribution of supplies, filling of orders received by mail, facsimile, EDI or Internet, fielding all inquiries,
tracking all orders, resolving all disputes, providing reports as required, and submission of invoices. The
awarded vendors will provide goods and services as a means to supplement the University’s current
partnership with its Prime Vendor, Fisher-Scientific.
Note: Vendor must recognize that the e-commerce platform(s) may change during the course of the contract.
Vendor must be willing to make any and all adjustments at no additional cost to the University.
The University desires experienced, professional firms that can provide the following:
• accurately deliver products next day, if possible
• offer the deepest discount prices possible
• cut administrative costs and improve efficiencies,
• skillfully implement and manage the contract,
• customize programs, materials and billing to the University’s exact needs and requirements,
• possess the technology to monitor and assess our contract as the University’s needs change,
• to support the University’s e-commerce platform
The successful vendors must have an experienced and knowledgeable sales and support staff to meet the
requirements of the University community.
Vendors interested in providing the required goods and services, should submit their proposals and discounted
prices based on the General Terms and Conditions, Specifications contained herein.
6.1 Exclusions
The following items are NOT included in this RFP:
• Equipment and Supplies which may be included in a vendor’s catalog, but which are not specifically designed
or intended for laboratory use (e.g. reception chairs, couches, coffee tables, general office equipment, etc.)
• Any Compressed Gas supply or related items, as these are currently available under another University
contract award. Vendors are to submit pricing for chemicals as part of the response. However, due to
nature of on-going research, there is no mechanism by which to predict or commit to future requirements.
Accordingly, any contract issued pursuant to this RFP will be non-exclusive.
6.2 Preferred vs. Authorized Vendors
Vendor responses will be rated, as per the evaluation criteria found in Section IX of this document. Once a
point value has been assigned to each response, the University will rank the responses and choose any number
of firms it deems necessary to define the different vendor categories: Preferred and Authorized. Any
designation will be made based on Vendor ability to fulfill University’s demands and expectations, in addition
to Vendor willingness to provide these enhancements.
Those awarded vendors designated as Preferred shall be responsible for all vendor requirements outlined in
Section VI of the RFP. Vendors designated as Authorized will be responsible for all requirements with the
exception of Sections 6.4.1, 6.14, 6.15 and 6.16.
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6.3 Local Business Support/MWBE/DBE
UConn encourages the use and/or involvement of local businesses, as well as small, minority, women-owned and
disadvantaged businesses for any subcontracting or purchasing related to this contract. Describe any programs
that your company currently has in place in support of these types of businesses; and whether and how the
resulting contract would or could be incorporated into the program(s). Further, please provide any information
pertaining to the requirement of Department of Administrative Services (DAS) certification or Federal SBA
certifications.
6.4 Personnel Requirements
6.4.1 A (Preferred) Vendor must provide a sales representative, on a regular basis, who has a exceptional
knowledge of the products and who will provide, at a minimum, the following services:
6.4.1.1.1 Provide technical information regarding products for the end users;
6.4.1.1.2 Assist the Procurement Services Department with resolving customer service problems;
6.4.1.1.3 Provide data input of orders as required.
6.4.1.1.4 Provide demonstrations and samples of products and supplies for the end user;
6.4.1.1.5 Provide needs assessment for individual departments;
6.4.1.1.6 Consult on new building projects with regard to Laboratory requirements;
6.4.1.1.7 Detail new products to the end user and integrate those items into the pricing structure of
the contract;
6.4.1.1.8 Amend the pricing structure to meet new University requirements, i.e., providing special
pricing for unusually large orders and/or high volume items;
6.4.1.1.9 Provide training for new staff as well as in-service training as required by individual
departments.
6.4.1.1.10 Devote as much time as is necessary to effectively meet the needs of the University as they
relate to this contract. At a minimum, the representative will be required to have a presence
at the Storrs Campus three (3) days each week and the UCHC facility three (3) days per week.
6.4.1.1.11 Be accessible 24 hours a day, seven days a week for emergencies.
6.4.1.1.12 There shall be one sales representative for both Storrs and Farmington. He/she will
coordinate all specialty representatives as well as manufacturer’s representatives.
6.4.1.1.13 Contingent on product offerings, UCHC may request one representative for both research
and clinical areas.
6.4.2 Vendor(s) must provide a dedicated inside customer service representative, available via a toll-free
number, who is intimately familiar with the account requirements, to provide the following minimum
services:
6.4.2.1 Product research and knowledge
6.4.2.2 Order processing
6.4.2.3 Manage and update computerized pricing
6.4.2.4 Handle all billing and credit issues, including returns
6.4.2.5 Track shipments when required
6.4.2.6 Support the sales representative on campus when required
6.4.2.7 Information regarding more cost effective alternatives for clients.
6.4.2.8 Training and support for use in on-line ordering systems.
6.4.3 Vendor(s) must have the ability to provide access to account information on-line, including, but not
limited to, usage history, usage by delivery address, order status, order entry, Material Safety Data
Sheets, product specifications and various other analysis tools
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6.4.4 Vendor(s) must offer in-house technical assistance.
6.4.5 In order to assist with credentialing all vendor representatives in the most efficient way, UCHC has
partnered with Status Blue (www.status-blue.com). Status Blue provides an internet based service that
will allow our vendors and hospital departments to navigate our compliance goals in an efficient, easy
and comprehensive manner.
Sales Representatives or Contractors requesting access to the University of Connecticut Health Center
(UCHC) Campus must submit, for approval, a completed “Background Information Sheet” form. This is
necessary to comply with Public Safety Department requirements. Please see the linked Policy and
Procedure and attached form.
To view Policy and Procedure, use the following link:
http://opa.uchc.edu/Forms/Policy%20and%20Procedure%20Background%20check.pdf
Once all of the required credentials and a photo for the badge have been submitted, the Vendor will
receive 'approved' vendor status for UCHC. Call 678-324-4487 or visit www.status-blue.com with any
questions. Please note that all vendors must be part of the Status Blue compliance network.
6.4.6 Although no vendor badge system currently exists at the Storrs Campus and regional campuses,
vendor(s) must agree to comply with any initiatives regarding the future implementation of a campuswide
badge system and/or a credentialing system, which may include background checks.
6.5 Product Requirements
It is not the intent of these specifications to rule out or eliminate any prospective bidder or manufacturer. If
the materials or services you intend to bid do not comply with the specifications as written, you are instructed
to attach to your proposal a complete itemization and explanation for each deviation or variation from the
specifications. The University may, at its discretion, consider or deny any deviation and purchase the material
which best suits its intended use. The bidder shall not purposely bid goods or services of a lesser quality,
which requires deviation from the specification, if the bidder can furnish the goods or services, which will
comply with the minimum technical specifications.
6.5.1 Proposals must include a complete list of the manufacturer's product offering for which the vendor is
the OEM or authorized distributor.
6.5.2 Proposals must include the vendor’s policy for providing demonstration equipment, including any
restrictions on the number of units or the length of time.
6.5.3 Vendor(s) must have the ability to cross-reference other suppliers' and manufacturers’ catalog
numbers.
6.5.4 Vendor(s) must have the ability to offer substitutes for discontinued products or stock outs
6.5.5 In the event that an item ordered becomes discontinued during the contract, all bidders must notify
University Procurement Services for authorization before the item is substituted and shipped.
Successful bidders may be required to provide samples of the proposed substitutions before sending
shipments. The University reserves the right to return any shipment, if in its opinion the products
supplied do not conform to the specifications of this contract.
6.5.6 Unless otherwise specified supplies and services must be new items, in good condition, fit for the
purpose for which they are being acquired and free from defects. The decision of the University
pertaining to items being rejected is final.
6.5.7 Manufacturers’ brand names and numbers are used for the guidance of bidders. Alternate items of
equal quality will be considered. Manufacturers’ name and model number should be indicated in the
appropriate field FOR EVERY ITEM BID.
6.5.8 The determination of equal quality will be based on the internal professional opinions of University
staff.
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6.5.9 Any material, equipment, service or work ordered, which in the opinion of the University, does not
completely fulfill the specifications, must be removed and/or completed at the expense of the
successful bidder(s) and be replaced immediately with the material, equipment, services or work that
fulfills the specifications.
6.6 Term
The term of any contract resulting from this RFP shall be from the date of award through June 30, 2018.
6.7 Prices
Pricing for this contract will be based on a discount schedule from vendor’s price list or catalog.
6.7.1 For evaluation purposes, vendors will complete the discount schedule for the product categories listed
in the Form of Proposal and or any additional categories as appropriate for their primary business
function. Product pricing will be based on this discount schedule. Net prices must include delivery to
the specified location.
Each prospective vendor must furnish firm pricing discounts on all their category/pricing codes as part
of this proposal. The percentage discount and pricing code for each category and/or sub-categories
must be provided. Respondents must indicate the applicable discount(s) for each of his/her company’s
sub-categories.
6.7.2 Respondents shall propose a structure for tiered pricing with discounts increasing as thresholds are
achieved. For example:
Volume Threshold $0 – $50,000 $50,000 - $100,000 >$100,000
Discount 15% 20% 25%
The ‘volume’ refers to overall spend among all participating agencies and institutions. As the overall
spend increases, better discounts and/or incentives are expected.
6.7.3 All proposals must also include a list of all product lines offered and any additional pricing information
that will apply. Where the cost to vendor(s) for any given product line is determined by a published
price list from the manufacturer, the University’s net pricing shall remain fixed for the duration of that
price list.
6.7.4 Prices quoted shall remain firm through 6/30/2013. Thereafter, prices may be subject to revision, at
the annual anniversary date. Price changes will be accepted subject to the following conditions only:
6.7.4.1 The proposal should include suggested procedures for dialog and agreement regarding
the review of requested price increases in other similar mutual circumstances. After the
initial period, the prices quoted in response to this RFP may be adjusted up or down in
an amount not to exceed the Consumer Price Index (CPI), appropriate for the
commodity, as published by the United States Department of Labor.
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6.7.4.2 Price changes shall be submitted in writing thirty (30) calendar days prior to the date the
increase rate is allowed to become effective. Acceptance of which shall be subject to
the University’s receipt and approval of the written documentation requesting the
changes. No retroactive increases will be allowed. Price escalation is permitted only
once per term. Price changes approved by the University shall then remain firm for the
annual term.
6.7.4.3 The prices quoted for each yearly period shall be firm except that the University shall
receive any reduction in prices that may occur during the contract period. The reduced
prices shall apply on all shipments made on or after the date the reduced prices become
effective.
6.7.5 The University reserves the right to request additional large quantity discounts and to seek additional
competitive bids on any item(s) listed in any customized catalog or general laboratory supply catalog
during the contract period when it is deemed by the University to be in its own best interest.
6.7.6 The University, at its sole discretion, reserves the right to limit the value of any single item to no more
than $250,000.00.
6.8 Warehousing of Laboratory Supplies
Vendor(s) must have and maintain an adequate inventory in a vendor-operated warehouse(s) to provide all
items covered by the contract. The University reserves the right to inspect the vendor’s warehouse(s), prior
to an award being made, to determine if vendor has appropriate inventory and such resources as necessary
or appropriate, determined by commercially reasonable standards in the industry, to meet all of the
vendor’s duties and obligations as set forth in this RFP.
6.9 Ordering Procedure
6.9.1 All orders (Storrs locations and all branch/extension locations and UCHC) shall be accepted by the
vendor between the hours of 8:00 a.m. and 5:00 p.m. EST, Monday through Friday, except legal
holidays. Orders shall be processed via manual purchase orders, telephone, facsimile, EDI, or via an
internet based ordering system and must be delivered to the specified destination within 24 hours
“next business day” after receipt of order except for equipment, special orders, backorders, and sameday
deliveries. It is the University’s goal to achieve a 99% fill rate based on UConn’s and UCHC’s top
100. Orders placed against an established “Blanket” purchase order will be maintained by individual
release numbers, either University assigned or assigned by the vendor’s system when ordering via the
internet. These numbers will verify the orders’ authenticity and that the items are being purchased
consistent with the University’s procurement policies.
• Vendors must submit data to support their fill-rate capabilities.
• Vendors must detail how order placement continuity will be maintained when vendor’s key
personnel are on vacations or holidays, or when illness or emergency strikes.
6.9.2 The University and UCHC use a Master Card purchasing card, issued by J.P MORGAN CHASE. This card
acts as a procurement tool offering an alternative to the existing University procurement process. It
provides an extremely efficient and effective method of purchasing and paying for goods and services.
This purchasing card is designed for purchases related to University business only. Vendor shall be
responsible for credit card user-handling fees. Vendor shall only charge to the University’s Master Card
upon delivery or shipment of the goods. Successful vendor must be able to provide Level III data
reporting.
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6.10 Delivery
6.10.1 Vendor(s) will be responsible for the delivery of commodities in first-class condition at the point of
delivery, and in accordance with good commercial practice.
6.10.2 Vendor(s) shall indicate the method of delivery of goods (e.g., common carrier, fleet, etc.) in the
response.
6.10.3 Deliveries will be “inside delivery”. “Inside delivery” is defined as the designated delivery location
within the ordering entity’s building, which may be a particular floor, room, etc. Bidders should be
aware that there might be multiple inside deliveries to multiple locations within a building, as well
as dock delivery for the same building.
6.10.4 “Inside Delivery” of lab equipment shall include uncrating and set-in-place at no additional charge
to the University.
6.10.5 Deliveries to the UConn main campus, all branch campuses and extension offices throughout the
State will be made to their respective receiving areas five (5) days per week. Due to limited access
to many of the buildings on the Storrs campus, deliveries to be made directly to departments must
be made using a straight-bodied truck. Vendor(s) will be responsible for ascertaining any additional
restrictions for inside deliveries to departments. Equipment deliveries and any other deliveries
being transported by common carrier shall be at pre-arranged times to be determined between
the department contact and the contract vendor.
6.10.6 UCHC requires a minimum of 5 deliveries per week: Monday - Friday. There are two primary
delivery/receiving points: Central Receiving and Warehouse. Vendor will be responsible for
establishing delivery guidelines with UCHC personnel. Daily manifest and actual carton count must
match.
6.10.7 Each order must be individually wrapped, packed and labeled with the department name and unit
number, building name (with a zone designation), street address and room number, an attention
name and order release number (original purchase order number). Each package must contain a
copy of the packing slip with the complete order and product information.
6.10.8 Shipping Terms
6.10.8.1 All orders shall be FOB destination, freight included. There shall be no dry ice, blue ice,
handling, fuel, hazmat, shipping or delivery charges (FOB Destination) to any location.
6.10.8.2 For special orders, and same-day deliveries, deliveries shall be FOB destination, with freight
prepaid and billed to the University.
6.10.9 Acceptance of the total delivery by signature based on total package count and manifest
does not represent transfer of responsibility to the University for the contents of each
package. In the event of shortage, overage or damage within the package, vendor(s) will
accept University documentation for resolution.
6.10.10 Vendor(s) shall resolve all order and invoice discrepancies (e.g. shortage, overage,
damage, etc.) within five (5) business days after written notification or, if because of their
nature, the discrepancies cannot be resolved within that time frame, vendor(s) shall take
all of the steps the University Procurement Services Department deems necessary.
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6.10.11 Proposals must include a detailed description of the procedures used for international
deliveries. Frequently researchers are collaborating with colleagues overseas or
conducting their own projects in foreign countries and require shipment of materials
directly to the research site.
6.11 Return Policy
Describe in detail your company’s return policy with any appropriate copies of required documents (e.g.
return for credit forms). The University desires the most streamlined process possible.
6.11.1 Products returned because shipped in error, quality issues, duplicated shipments, outdated products,
etc., shall be picked up by vendor(s) within five (5) business days after notification, with no
restocking fee, and shall be replaced with specified products, or the University shall be credited for
the full purchase price in same or next billing cycle.
6.11.2 Bidders must state if there is a time limit on returning goods.
6.11.3 Products ordered in error by the University may be returned for credit without penalty (restocking
fee) when returned within thirty (30) days of receipt, unused). It is understood by the University that
products must be in resalable condition (original container, unused).
6.12 Invoicing – UConn Main Campus, Branches and Extension Offices
Invoices and inquiries regarding same shall be directed to: The University of Connecticut, Accounts Payable
Department, 3 North Hillside Road, Unit 6080, Storrs, CT 06269-6080; (860) 486-4137.
The successful vendor must be able to accept payment by:
• Conventional check
• Procurement card (credit card numbers must be SSL-encrypted, should be able to provide Level III data
and capable of providing credit-card aliases)
• EFT (e-invoicing)
6.13 Warranty
Vendor(s) shall unconditionally warrant all products as being free from defects and capable of performing when
operated within the parameters specified in the manufacturer's specifications. Within one (1) year from final
acceptance of products, vendor(s) shall correct all errors subsequently discovered in the design not due to the
fault and negligence of the University and without charge to the University.
6.14 Micro Site
Upon award of the contract, a micro site shall be developed and maintained exclusively for the University by
(Preferred) Vendor(s) at no cost to the University. At a minimum, the micro site shall consist of four (4)
sections:
• Procedures
• Contacts
• News
• Access to vendor’s electronic catalog/ordering
At a minimum, the micro site must feature:
• Customization (branding) with the marks of the University
• A minimum of two (2) custom “links”
The University will approve appropriate content in support of awarded contract.
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6.15 Product Shows and Demonstrations
6.15.1 At the discretion of the University, (Preferred) Vendor(s) may be expected to hold at least one (1)
annual show. The show must be no less than three (3) hours in length. Booth coverage must extend
through the lunch hour. All costs associated with show including but not limited to room rental,
tables/chairs/booths, audio visual, parking passes, food and beverages and signage must be borne by
vendor. All reservations and coordination efforts with the rental facility are the responsibility of
vendor(s). Additional breakout rooms/spaces for special presentations and/or training are welcome.
6.15.2 The University expects that vendors will provide educational and technical demonstrations, for the
display of new technologies and products, made widely accessible to University research and
academic networks.
6.16 Website Ordering Training and Implementation
(Preferred) Vendor(s) shall provide formal on-site training sessions as necessary at both the UConn Storrs
Campus and at UCHC within the first six months of implementing vendor website ordering. Upon completion of
the implementation period, vendor(s) shall provide a minimum of one formal training session per quarter.
Thereafter, the CSR representative shall provide individual training as needed.
6.17 Management Reports
6.17.1 As required by the University and UCHC, the successful vendor(s) shall submit activity reports
corresponding to the University fiscal year. For the purposes of this contract, vendors must report
data by quarter from July 1 to September 30, October 1 to December 31, January 1 to March 31,
and April 1 to June 30.
6.17.2 The reports shall be provided in electronic format or computer generated spreadsheets, in
accordance with a template to be provided by the University. At minimum, reports shall provide
the following information:
• sales by account number,
• within each account, sales shall be broken out by commodity group, quantity and dollar
amount
• aggregate summary of monthly and year to date sales for each account number,
• aggregate summary of monthly and year to date sales for the total University,
• summary of annual sales data by all participating CCPG members.
• Small business and minority reporting
6.17.3 Detail in your response how your firm rates and reports its performance, as well as, the
performance of those employees assigned to the University account.
6.17.4 The University would expect the successful vendor to conduct formal, quarterly and annual
business reviews with University and UCHC purchasing management. Detail in your response how
these reviews are structured, who attends and conducts the presentation and what performance
measures are discussed.
6.17.5 Detail in your response how your firm will assess and report its performance at the account level;
how often will you do this, what criteria are evaluated and how fast do you implement change or
corrections?
6.17.6 Detail how your firm will provide a breakdown of spend across all accounts.
6.17.7 Detail a plan in which the University may receive additional discounts or rebates on bulk
purchases, as indicated on these spending reports.
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Section VII
Storrs Campus Information
7.0 Vehicles on Campus
To safeguard the students, faculty and staff, as well as to maintain the aesthetic beauty of the University,
vendors must take note of the following rules and considerations that must be followed when making deliveries
or service calls on campus:
• Driving speeds on campus must be kept at a maximum of 25 mph to ensure safety. The maximum
speed in all parking lots is 10MPH. These limits are in effect 24 hours per day Pediestrians have the
right of way at all times.
• All traffic signs, lights or other indicators are to be obeyed. This is of utmost importance given the
on-going construction/renovation projects and pedestrians on campus.
• Driving on sidewalks, unless otherwise posted, is prohibited. Violators will be ticked and chronic
violators may be barred from doing business with the University. In those areas where sidewalk
driving is permitted and required, drivers must employ adequate skills so as to avoid driving on
adjacent green spaces.
• It is preferable that deliveries to any facility loading dock be made utilizing a maximum sized 24’, 6-
wheel saddle truck. To facilitate other deliveries, it is imperative delivery trucks have the capability to
off load large quantities (pallets) in short periods of time.
7.1 Parking Information and Guidelines:
The following rules and regulations provide guidance and information when bringing a vehicle onto the
University of CT Storrs Campus. These policies follow Connecticut State Statute 10A-139 and are intended to
provide control and availability of campus parking. All students, employees, vendors, visitors, contractors,
etc., who park a motor vehicle on campus are subject to these rules and regulations.
• It is the responsibility of all individuals operating a motor vehicle on campus to be aware of and
abide by the parking policies contained in this literature. Operating a vehicle on campus is deemed
evidence of the vehicle operator's acceptance and understanding of these policies.
• Parking on the Storrs campus is strictly regulated and is allowed only in paved, lined areas. Parking
on lawns, grounds, or sidewalks is strictly prohibited. Parking during the hours of 7AM and 5PM,
Monday through Friday is by permit only. Some areas are restricted beginning at 5AM or for 24
hours (as posted). Violators will be ticketed and are subject to towing.
• Parking in the North and South Garage is available for vehicles for a daily fee. There is no overnight
parking available in the garages.
• Parking on campus is in high demand. Anyone who can avoid bringing a vehicle to campus should do
so. The use of carpools and public transportation is encouraged. A shuttle service is operated to
serve the University of Connecticut at Storrs and surrounding areas. This shuttle is free to UConn
students, employees, and visitors. For information on shuttle services and schedules, call
Transportation at (860) 486-1448.
• Visitor Parking
It is the responsibility of the host/hostess to inform guests of the University's parking regulations.
Visitors to campus are directed to park in either the metered areas (not to exceed 45 minutes) or a
parking garage. For information about parking garage rates and hours call (860) 486-6267 for the
North Garage or call (860) 486-9088 for the South Garage
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• Load Zones
Load zones are restricted to loading and unloading of materials and are limited to 15 minutes 24
hours per day, unless otherwise posted. Four-way flashers must be left on to indicate loading. Notes
left on vehicles will not be accepted. Vehicles cannot be parked in load zones overnight or on
weekends.
Parking Services Information
University of Connecticut
Parking & Transportation Services
3 North Hillside Road, Unit 6199
Storrs, CT 06269-6199
Phone: (860) 486-4930
Fax: (860) 486-0191
7.2 Accommodations
In support of this bid opportunity and to assist with any business related accommodation needs, the University
recommends that all overnight visitors stay on campus at the Nathan Hale Inn. Parking is available at the Inn
during your stay and includes complimentary access to the campus shuttle. The Nathan Hale Inn can offer
preferred rates to long term and project stays.
Please contact the sales office directly at the Inn (860-427-7888) or you can view their website at
www.nathanhaleinn.com.
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Section VIII
Submittal of Proposals
8.0 Qualification of Vendors
8.0.1 Proposals will be considered from vendors with a demonstrated history of successfully providing similar
goods and/or services to other institutions of higher education or private sector corporations with
similar volumes and needs.
8.0.2 Vendors must be prepared to provide any evidence of experience, performance and/or financial surety
that the University deems necessary to fully establish the performance capabilities represented in the
vendor's proposal.
8.0.3 The University will reject any proposal and void any award resulting from this RFP to a vendor who
makes any material misrepresentation in their proposal.
8.0.4 The University reserves the right to request a vendor site visit, and may use the visit as a basis for
accepting or rejecting their proposal.
8.1 Each firm, by submitting a proposal, represents that the firm has:
8.1.1 Read and completely understands the RFP documents and attachments thereto.
8.1.2 Is familiar with the conditions under which services would be provided, including availability and cost of
goods and labor.
8.1.3 Understands and agrees that all proposals must conform to the instructions and conditions contained
herein to receive consideration.
8.2 Form of Proposal
Complete all information requested on the Form of Proposal Document. There are spaces provided for the
acknowledgement of addenda issued. If no addenda are issued, these spaces may be left blank.
• Identify your primary business function, e.g. cell biology, chemical reagents, molecular biology, etc.
• Define the volume tiers for discounts
• Complete the discount schedule for the product categories listed and/or any additional categories as
appropriate – using the same format as provided
• Attach a complete list of manufacturers represented and any pertinent discount information offered in
addition to the previous schedule.
• Include any additional information that will affect the University’s net price.
• Any catalogs or price sheets that pertain to this RFP must be submitted with the vendor’s proposal.
Proposals must demonstrate an understanding of the scope of work and the ability to accomplish the tasks
set forth and must include information that will enable the University to determine the proposer's overall
qualifications.
8.3 Enhancements
This is a Request for Proposal. Vendors are encouraged to be creative in offering means of providing the most
cost effective products and services. Provide a summary of any incentives your firm will offer to the University
in addition to the requirements outlined. This may include special price structures for outfitting new
laboratories, freezer programs and quantity discounts as well as incentives for a long-term commitment and
incorporating the services of a representative to process the manual orders.
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8.4 Compliance with Specifications
A checklist has been provided noting each numbered paragraph in this document with spaces to acknowledge
acceptance or to take exception. Use these sheets to indicate compliance or exceptions. Attach additional
sheets as necessary to clearly explain any deviations from or exceptions to these specifications; otherwise, the
vendor will be held responsible for compliance with all specifications listed herein. Include written responses to
all paragraphs in Section VI, including any and all necessary information as to how your company will meet the
noted requirements. This information will be used to evaluate the Customer Service, Order Placement and
Tracking, Delivery and Implementation portions of the evaluation matrix.
8.5 Insurance Requirements
Contractor shall not commence work under this contract until he has obtained all insurance required under
this Section, nor shall the Contractor allow any subcontractor to commence work on his subcontract until all
similar insurance required of the subcontractor has been obtained.
8.5.1 Commercial General Liability- $1,000,000 Combined Single Limit per occurrence for bodily injury,
personal injury and property damage. Coverage shall include Premises and Operations, Independent
Contractors, Products and Completed Operations, Contractual Liability and Board Form Property
Damage coverage. If a general aggregate used, the general aggregate limit shall apply either
separately to the project or the general aggregate limit shall be twice the occurrence amount.
8.5.2 Automobile Liability- $1,000,000 Combined Single Limit Automobile Liability insurance shall be
maintained against claims damages resulting from bodily injury, including wrongful death, and
property damage which may arise from the operations of any owned, hired or non-owned vehicles
used by or for the Contractor in any capacity in connection with carrying out this contract.
8.5.3 Workers Compensation and Employers’ Liability- Statutory coverage in compliance with the
Compensation laws of the State of Connecticut. Coverage shall include Employers’ Liability with
minimum limits of $100,000 each accident, $100,000 disease-each employee and $500,000 diseasepolicy
limit.
8.5.4 Minimum Scope of Insurance- All Liability insurance policies shall be written on an “occurrence”
basis only. All insurance coverage is to be placed with insurers authorized to do business in the State
of Connecticut and must be placed with an insurer that has an A.M. Best’s Rating of no less than A-,
VII. All certificates of insurance shall be filed with the University Procurement Services Department
on the standard Acord Certificate of Insurance form showing the specified insurance and limits. The
University shall be named as an Additional Insured. The contractor’s insurer shall have no right of
recovery of subrogation against the State and the contractor’s insurance shall be primary coverage.
8.5.5 The awarded contractor must provide the University Procurement Services Department with a
current insurance certificate. The awarded contractor shall carry insurance during the term of this
contract according to the nature of the work to be performed to “save harmless” the University
from any claims, suits or demands that may be asserted against it by reason of any act or omission of
the contractor, subcontractor or employee of either the contractor or subcontractor in providing
services of this contract.
8.6 Form HIPAA 1050
Complete and submit for HIPAA 1050 Contractors’ Compliance Certification Regarding Confidentiality and
Disclosure of Patient Healthcare Information.
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8.7 Form AD-1048
Complete and submit form AD-1048 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion-Lower Tier Covered Transactions.
8.8 Bidder’s Qualification Statement / References
Complete the Bidder’s Qualification Statement including a minimum of three (3) references of institutions that
have recently purchased products of the type being offered. At a minimum, the customer's name, the name of
a contact person, an e-mail address and a telephone number shall be provided.
The University shall make such investigations as deemed necessary to determine a vendor's ability to provide
the specified goods and/or services and to perform the installation in an expeditious and workmanlike manner.
The University reserves the right to reject any bid if the evidence submitted by, or investigation of, such vendor
fails to satisfy the University that said vendor is properly qualified to carry out the obligations of the contract.
8.9 Bidders Contract Compliance Monitoring Report
Respondents are required to submit the completed 2-page form for the State of Connecticut regardless of their
location.
8.10 Non-discrimination Certification
The Office of the Attorney General has approved the attached nondiscrimination certification form to assist
executive branch agencies in complying with the State of Connecticut's contracting requirements, pursuant
to the Connecticut General Statutes § 4a-60(a)(1) and § 4a-60a(a)(1), as amended by Public Act 07-245 and
Sections 9 and 10 of Public Act 07-142.
By law, a contractor must provide the State with documentation in the form of a company or corporate
policy adopted by resolution of the board of directors, shareholders, managers, members or other governing
body of such contractor to support the nondiscrimination agreement and warranty under C.G.S. §§ 4a-60a
and 46a-68h.
Please refer to: http://www.ct.gov/opm/cwp/view.asp?a=2982&Q=390928 for more information.
8.11 Mandatory Affidavits
The Office of Policy and Management has created new ethics forms effective October 31, 2007 to assist
executive branch agencies in complying with the State of Connecticut's current contracting requirements,
pursuant to the Connecticut General Statutes and Executive Orders of Governor M. Jodi Rell.
The University will require the applicable mandatory affidavits to be completed by the Vendor at the time of
bid response and contract award. The required affidavits are enclosed as part of this document. Detailed
information regarding the requirement of such affidavits can also be found on the Office of Policy and
Management website at:
http://www.ct.gov/opm/cwp/view.asp?a=2982&q=386038&opmNav_GID=1806
All required forms must be completed and notarized prior to the signing of contracts or the issuance of
agency purchase orders.
33

8.12 Signature Authorization Documentation (Mandatory Submittal):
Signature authorization documentation must be included in your proposal response under the following
guidelines in reference to the individual signing this proposal and agreement.
‣ With the exception of an individual, signing in his/her individual capacity, ALL contractors must
provide some type of signature authorization documentation clearly stating who is authorized to
sign the proposal on the contractor’s behalf.
‣ Documentation must clearly state when and how such authorization was given.
‣ Documentation must state that the authorization is still in full force and effect.
‣ Documentation must be signed by someone other than the individual signing the proposal ON OR
AFTER the date the proposal is signed.
‣ Corporate Resolution, Secretarial Certification or Ratification are acceptable forms of signature
authorization documentation.
‣ Samples and further information are on the University of Connecticut Procurement Services
Department’s web page: http://www.purchasing.uconn.edu/corpres/corpres.html
8.13 Submittal of Proposals
8.13.1 The University will receive proposals at:
The University of Connecticut
Procurement Services
Attn: Cathleen G. Paquette
3 North Hillside Road, Unit 6076
Storrs, CT 06269-6076
No later than 2:00 p.m. (EST) on April 23, 2012.
8.13.2 Each proposal shall be submitted as follows: an electronic copy in .pdf format on a cd-rom or USB flash
drive and one original hard copy in a sealed parcel identified with the name and address of the vendor
and the designation "SEALED PROPOSAL #CGP031612 - Laboratory Supplies and Equipment". No oral,
telephonic or telegraphic proposals will be accepted. No responsibility will be attached to any person
for the premature opening of any proposal that is not properly identified.
8.13.3 Vendors shall be solely responsible for the delivery of their proposal to the University at the place and
before the time as specified. Any proposal received after the time specified for receipt shall not be
considered and shall be returned unopened. If a proposal is sent by mail, allowance should be made
for the time required for such transmission. The officer whose duty it is to open proposals shall decide
when the specified time has arrived and no proposal received thereafter will be considered.
8.13.4 The complete response to this RFP shall include the following documentation:
‣ Form of Proposal ‣ Form AD-1048
‣ Price Discount Schedules offered ‣ Bidder’s Qualification Statement
‣ Vendor summary including background, ‣ Bidder Contract Compliance Monitoring
experience and proposed enhancements
Report
‣ Point-by point response sheets ‣ Non-discrimination Certification (Form C)
‣ Explanation of exceptions ‣ Campaign and Gift Affidavit (Form 1)
‣ Written responses to Section VI ‣ Consulting Affidavit (Form 5)
‣ Certificate of Insurance ‣ State Ethics Laws Summary (Form 6)
‣ Form HIPAA 1050 ‣ Signature Authorization document
34

8.14 Incomplete Information
Failure to complete or provide any of the information requested herein, including all requested literature,
manufacturer’s retail price lists or catalog and/or additional information as indicated, may disqualify a vendor
for reasons of non-responsiveness.
8.15 Minor Technicalities
8.15.1 The University reserves the right to reject any or all proposals submitted for consideration, in whole or
in part, and to waive minor technicalities, irregularities, or omissions, if, in its judgement, the best
interest of the University will be served. Non-acceptance of a proposal shall mean that another
proposal was deemed more advantageous to the University, or that all proposals were rejected.
8.15.2 If, during the course of the evaluation, it is determined that a particular mandatory requirement may
be modified or waived and still allow the University to obtain supplies and services that substantially
meet the intent of this RFP, the mandatory requirement will be modified or waived for all vendors and
all proposals will be reevaluated in light of the change.
8.16 Obligations
The contents of the Proposal and any clarification thereto submitted by the successful vendor(s) shall become a
part of the contractual obligation incorporated by reference into the ensuing contract.
8.17 Modification Or Withdrawal Of Proposals Will Be Executed As Follows:
8.17.1 A proposal shall not be modified, withdrawn or canceled by the vendor for a ninety (90) day period
following the time and date assigned for the receipt of proposals and the vendor so agrees in
submitting a proposal.
8.17.2 Prior to the time and date assigned for receipt, proposals submitted early shall be modified or
withdrawn only by written notice to the University. Such notice shall be received by the University
prior to the designated date and time for receipt of proposals.
8.17.3 Withdrawn proposals may be submitted up to the time designated for receipt of proposals provided
they are then fully in conformance with these terms and conditions.
8.18 Ownership
8.18.1 Unless otherwise noted elsewhere in this document, all materials submitted in response to this
solicitation shall become the property of the University of Connecticut upon delivery and are to be
appended to any formal documentation that would further define or expand the contractual
relationship of the University and the successful firm.
8.18.2 The laws of the State of Connecticut require that the contents of all Proposals be placed in the public
domain and be opened to inspection to interested contained in all responses received; however,
respondents should be aware that all materials associated with this solicitation or resulting contract are
subject to the terms of the Freedom of Information Act, the Privacy Act, and all rules, regulations and
interpretations resulting therefrom.
8.19 Presentation
Firms may be asked to discuss their written responses to this document at a presentation on the Storrs campus
on dates mutually agreed upon by the firm and the University. If a firm is requested to make a presentation,
the firm will make the necessary arrangements and bear any costs associated with the
demonstration/evaluation.
35

Section IX
Award
9.0 Method of Award
Each proposal will be evaluated by using a points-earned matrix. The award shall be made to the most
responsive and responsible firm offering the best value and most economical proposal based on the matrix
scores as determined by the University. All firms, in submitting proposals, concur with this method of award
and will not, under any circumstances or in any manner, dispute any award made using this method.
The evaluation process will include a comparative analysis of submittals conducted by representatives from the
University of Connecticut (Storrs, Farmington), the Department of Administrative Services (DAS), the
Connecticut Colleges Purchasing Group (CCPG) and the Connecticut State Board of Regents.
9.1 Evaluation
9.1.1 Criteria to be evaluated are as follows:
Criteria
Contract Pricing
• Discount Schedule
• Fulfillment of future procurement needs, including new research building
and staff
Enhancements, Preferred Vendor Differentiators
• Special Price Incentives
o Bulk Purchase discounts/rebates
• Value-added enhancements offered, such as: Annual Shows, cost
reduction programs.
• Product Lines
• Technical/Sales support teams
Customer Service
• Personnel assigned to account
• Vendor’s experience, commitment and demonstrated understanding
• Training
• Reports and reporting
• Technical Assistance
Order Placement and Tracking
• Capabilities of on-line system
• Cross referencing
• Accessibility to manufacturers
• Fill rate
Delivery
• Ability to meet specified requirements
• International capabilities
References from peer institutions
Total
Weight
40 Points
20 Points
15 Points
5 Points
5 Points
15 Points
100 Points
36

9.1.2 The University reserves the right to conduct any test it may deem advisable to make accurate
evaluations.
9.1.3 To effectively evaluate the discounts offered, vendors may be provided with a Market Basket of
products typically purchased in a particular business category. Unit pricing shall then be provided for
those products based on the discount schedule. Net prices must include delivery.
9.2 Formation of Agreement
At its option, the University may take either one of the following actions in order to form an agreement
between the University and the selected vendor:
Option 1: Accept proposal, which refers to this solicitation and accepts the proposal as written. It is
recommended that the submitted response be reviewed by the vendor’s legal department, as it is
the desire of the University to incorporate this response into the resultant contract.
Option 2: Enter into negotiations with one or more respondents in an effort to reach mutually satisfactory
agreement that will be executed by both parties and will be based on this solicitation, the offer
submitted by the selected firm and the negotiations concerning these. Negotiations will not
include changes to prices unless negotiations change the requirements.
Because the University may use Option 1, each vendor shall include in its offer all requirements it may have and
shall not assume that an opportunity will exist to add such matters after the proposal has been submitted.
9.3 Contract Award
9.3.1 As previously stated in Section 2.2, the University will approach any multiple awards scenario by
categorizing Vendors into Preferred and Authorized vendors based upon the criteria in the matrix.
9.3.2 The University reserves the right to make an award not based solely on the firm with the lowest cost,
but based on an offer which, in the sole opinion of the University, best fulfills or exceeds the
requirements of this RFP and is deemed to be in the best interest of the University.
9.3.3 The University reserves the right to establish multiple vendor contracts pursuant to this solicitation in
an effort to best fulfill the University’s procurement requirements.
9.3.4 The University reserves the right to limit the number of awards to vendors in any particular business
category, e.g. antibodies, chemicals, etc.
9.3.5 The University reserves the right to restrict the content of any vendor’s catalog so as not to conflict
with existing contracts or strategic initiatives.
9.4 Contract Document
The University’s “Purchasing Agreement” document may serve as the final executed contract between the
University and the awarded Contractor(s). A sample copy of the form is located in APPENDIX C. The form will
be populated after the selection process and any necessary negotiations are completed. This document will
require approval from the Office of the Attorney General of the State of Connecticut.
37

Cover Page for Submittal
University of Connecticut
RFP #CGP031612
Due: April 23, 2012
(Vendor Name)
The following documentation is attached hereto as part of this submittal:
Form of Proposal (p. 39)
Discount Schedules (p. 40 -41) – add additional sheets as necessary
Vendor summary including company background and experience, proposed enhancements to
requirements (if any)
Point-by-point response (p. 42 – 44)
Details of any exceptions noted in Point-by-Point
Written responses to Section VI
Certificate of Insurance
Form HIPAA 1050 (p. 45)
Form AD-1048 (p. 46)
Bidders Qualification Statement/References (p. 47 – 49)
Bidder Contract Compliance Monitoring Report (p. 52 – 53)
Non-discrimination Certificate (p. 56)
Campaign and Gift Affidavit (Form 1) (p. 57 – 58)
Consulting Affidavit (Form 5) (p. 59)
Affirmation of Receipt of State Ethics Laws Summary (Form 6) (p. 60)
Signature Authorization Documentation
To facilitate the evaluation process vendors are requested to submit their package with the information in the
order listed above. Each section shall be clearly marked and presented in a three-ring binder.
An electronic copy of the proposal is also required.
38

FORM OF PROPOSAL
RFP #CGP011812
To: The University of Connecticut April 23, 2009
Procurement Services
3 North Hillside Road, Unit 6076
Storrs, CT 06269-6076
1. The undersigned vendor, in response to your request for proposal for the above referenced contract, having examined the
Request for Proposal, hereby proposes to provide Laboratory Supplies and Equipment in accordance with the proposal attached
hereto.
Vendor acknowledges receipt of the following addenda that are a part of the proposal documents:
#1________________ #2 ________________ #3_______________
date date date
2. Vendor understands that the University reserves the right to reject any and all proposals, waive irregularities or technicalities in
any proposal, and accept any proposal in whole or in part which it deems to be in its best interest.
3. Vendor agrees that this proposal shall be good and may not be withdrawn for a period of ninety (90) calendar days after the
public opening and reading of the proposals.
4. Vendor hereby certifies that: (a) this proposal is genuine and is not made in the interest of or on behalf of any undisclosed
person, firm or corporation; (b) the vendor has not directly or indirectly induced or solicited any other vendor to put in a false or
sham proposal; (c) the vendor has not solicited or induced any person, firm or corporation to refrain from responding; and (d)
the vendor has not sought by collusion to obtain any advantage over any other vendor or over the University.
5. Vendor offers pricing and discounts in accordance with the Discount Schedule and any additional offers specified and attached
hereto.
6. Indicate your firm’s desire to be a preferred vendor here:
Yes ο No ο
7 I (we) agree that any contract resulting from this proposal will be extended to the members of the Connecticut Colleges
Purchasing Group (CCPG) with the same pricing, terms and conditions as proposed herein.
Yes ο No ο
8 I (we) agree that any contract resulting from this proposal will be extended to the members of the All Connecticut State
Agencies with the same pricing, terms and conditions as proposed herein.
9 Payment terms: _____________________
Yes ο No ο
Signed this ____________ day of _______________________________, 20_____
Firm Name: __________________________________________________
Address:
__________________________________________________
__________________________________________________
Duly Authorized __________________________________________________
Title:
__________________________________________________
39

Vendor Name:
Primary Business
(biochemical compounds, cell biology, chemical reagents, chromatography, electronics, electrophoresis,
lab equipment, lab supplies, molecular biology, safety supplies, medical supplies, etc.)
Discount Schedule (by category)
Category Brand/Manufacturer Discount
Tier 1 Tier 2 Tier 3
__________ __________ __________
Supplies
Glassware _____________________ _________ % _________ % _________ %
Reuseable _____________________ _________ % _________ %
_____________________ _________ % _________ % _________ %
Disposable _____________________ _________ % _________ %
_____________________ _________ % _________ % _________ %
Plasticware _____________________ _________ % _________ % _________ %
Reusable _____________________ _________ % _________ %
_____________________ _________ % _________ % _________ %
Disposable _____________________ _________ % _________ %
_____________________ _________ % _________ % _________ %
Tissue Culture _____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
Safety _____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
Microscopes/Supplies _____________________ _________ % _________ % _________ %
Pipets _____________________ _________ % _________ % _________ %
Pipetters _____________________ _________ % _________ % _________ %
Water Purification _____________________ _________ % _________ % _________ %
Chromotography _____________________ _________ % _________ % _________ %
Appliances <
$1,000.00
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
40

Vendor Name:
Primary Business
Discount Schedule (by category)
Category Brand/Manufacturer Discount
Tier 1 Tier 2 Tier 3
Chemicals
Solvents
Technical Grade _____________________ _________ % _________ % _________ %
Reagent Grade _____________________ _________ % _________ % _________ %
HPLC Grade _____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
Solutions _____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
Acids _____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
Organics _____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
Microbiological Media _____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
Equipment/Apparatus
(> $1,000) _____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
_____________________ _________ % _________ % _________ %
41

Point-by-Point Response Sheet
RFP CGP031612
The following table provides a list of all of the paragraphs in the solicitation. Check the appropriate
response for each item. Attach a separate sheet clarifying all exceptions.
Comply/Agree Exception Comply/Agree Exception
Section I
Section II
Section III
3.0 3.8
3.1 3.9
3.2 3.9.1
3.3 3.9.2
3.4 3.10
3.5 3.10.1
3.6 3.10.2
3.7 3.10.3
3.7.1
3.7.2
Section IV
4.0 4.13
4.1 4.14
4.2 4.15
4.3 4.16
4.4 4.17
4.5 4.18
4.6 4.19
4.7 4.20
4.8 4.21
4.9 4.22
4.10 4.23
4.11 4.24
4.12
Section V
5.0 5.2.10
5.1 5.2.11
5.2 5.2.12
5.2.1 5.2.13
5.2.2 5.3
5.2.3 5.3.1
5.2.4 5.3.2
5.2.5 5.3.3
5.2.6 5.3.4
5.2.7 5.3.5
5.2.8 5.3.6
5.2.9 5.3.7
42

Point-by-Point Response Sheet
RFP CGP031612
Comply/Agree Exception Comply/Agree Exception
Section VI
6.0 6.9
6.1 6.9.1
6.2 6.9.2
6.3 6.10
6.4 6.10.1
6.4.1 6.10.2
6.4.2 6.10.3
6.4.3 6.10.4
6.4.4 6.10.5
6.4.5 6.10.6
6.4.6 6.10.7
6.5 6.10.8
6.5.1 6.10.9
6.5.2 6.10.10
6.5.3 6.10.11
6.5.4 6.11
6.5.5 6.11.1
6.5.6 6.11.2
6.5.7 6.11.3
6.5.8 6.12
6.5.9 6.13
6.6 6.14
6.7 6.15
6.7.1 6.15.1
6.7.2 6.15.2
6.7.3 6.16
6.7.4 6.17
6.7.4.1 6.17.1
6.7.4.2 6.17.2
6.7.4.3 6.17.3
6.7.5 6.17.4
6.7.6 6.17.5
6.8 6.17.6
6.17.7
43

Point-by-Point Response Sheet
RFP CGP031612
Comply/Agree Exception Comply/Agree Exception
Section VII
7.0
7.1
7.2
Section VIII
8.0 8.10
8.0.1 8.11
8.0.2 8.12
8.0.3 8.13
8.0.4 8.13.1
8.1 8.13.2
8.1.1 8.13.3
8.1.2 8.13.4
8.1.3 8.14
8.2 8.15
8.3 8.15.1
8.4 8.15.2
8.5 8.16
8.5.1 8.17
8.5.2 8.17.1
8.5.3 8.17.2
8.5.4 8.17.3
8.5.5 8.18
8.6 8.18.1
8.7 8.18.2
8.8 8.19
8.9
Section IX
9.0 9.3
9.1 9.3.1
9.1.1 9.3.2
9.1.2 9.3.3
9.1.3 9.3.4
9.3.5
9.2 9.4
44

BIDDER'S QUALIFICATION STATEMENT
All bidders are required to file this form, properly completed, WITH THEIR BID RESPONSE.
Failure of a bidder to answer any question or provide required information may be grounds for the
awarding authority to disqualify and reject their bid. If a question or request for information does not
pertain to your organization in any way, use the symbol "NA" (Not Applicable). Use additional 8
1/2" x 11" sheets with your letterhead as necessary.
1. Indicate exactly the name by which this organization is known:
Name .
2. How many years has this organization been in business under its present business name?
Years? .
3. Indicate all other names by which this organization has been known and the length of time
known by each name:
1.
2. _____________________________
3. ____________________________
4. What is the primary commodity/service provided by this business? How many years has this
organization been in business providing this commodity/service?
Commodity/Service
____________________________
Years? ___________
5. This firm is a: Corporation Partnership _________Sole Proprietorship
Joint Venture
Other
_______Women Owned _______Minority Business ________Set Aside Contractor
47

6. Provide names all supervisory personnel, such as Principals, Supervisors, and Sales
Representatives, who will be directly involved with the contract on which you are now a
bidder. Indicate the number of years of experience and number of years of which they have
been in a Supervisory capacity.
Name Years Years/supervisor Telephone/Fax #'s
__________________________ ______ ______________
______________
__________________________ ______ ______________
______________
7. Trade References: Names, addresses and telephone numbers of several firms with whom your
organization has regular business dealings:
_________________________________________________________
_________________________________________________________
_________________________________________________________
(Attach additional sheet if necessary)
8. References: List at least three (3) references for contacts of similar size and scope including
the location, the name, telephone number and e-mail of a contact person familiar with the
contract. Current contracts are preferred, but recently completed contracts which were
performed satisfactorily will be accepted.
Attach separate sheets as necessary.
48

9. Has your organization ever failed to complete a contract, or has any officer or partner of your
organization ever been an officer or partner of another organization that failed to complete a
contract? If so, indicate the circumstances leading to the project failure and the name of the
company which provided the bonding for the failed contract(s):
_____________________________________________________
10. List all legal or administrative proceedings currently pending or concluded adversely within
the last five years which relate to procurement or performance of any public or private
service/maintenance contracts.
1. Attached 2. N/A
Dated at _________________________________________________________________________
this __________________________ day of __________________ 20 ________
Name of Organization: ___________________________________________
Address:
___________________________________________
___________________________________________
Telephone: ______________________________ Fax: ________________________
Signature
(Print Name)
Title
______________________________ E Mail: _________________________
______________________________
______________________________
49

COMMISSION ON HUMAN RIGHTS AND OPPORTUNITIES
CONTRACT COMPLIANCE REGULATIONS
NOTIFICATION TO BIDDERS
The contract to be awarded is subject to contract compliance requirements mandated by Sections 4a-60 and 4a-
60a of the Connecticut General Statutes; and, when the awarding agency is the State, Sections 46a-71(d) and
46a-81i(d) of the Connecticut General Statutes. There are Contract Compliance Regulations codified at Section
46a-68j-21 through 43 of the Regulations of Connecticut State Agencies, which establish a procedure for
awarding all contracts covered by Sections 4a-60 and 46a-71(d) of the Connecticut General Statutes.
According to Section 46a-68j-30(9) of the Contract Compliance Regulations, every agency awarding a contract
subject to the contract compliance requirements has an obligation to “aggressively solicit the participation of
legitimate minority business enterprises as bidders, contractors, subcontractors and suppliers of materials.”
“Minority business enterprise” is defined in Section 4a-60 of the Connecticut General Statutes as a business
wherein fifty-one percent or more of the capital stock, or assets belong to a person or persons: “(1) Who are
active in daily affairs of the enterprise; (2) who have the power to direct the management and policies of the
enterprise; and (3) who are members of a minority, as such term is defined in subsection (a) of Section 32-9n.”
“Minority” groups are defined in Section 32-9n of the Connecticut General Statutes as “(1) Black Americans . . .
(2) Hispanic Americans . . . (3) persons who have origins in the Iberian Peninsula . . . (4)Women . . . (5) Asian
Pacific Americans and Pacific Islanders; (6) American Indians . . .” An individual with a disability is also a
minority business enterprise as provided by Section 4a-60g of the Connecticut General Statutes. The above
definitions apply to the contract compliance requirements by virtue of Section 46a-68j-21(11) of the Contract
Compliance Regulations.
The awarding agency will consider the following factors when reviewing the bidder’s qualifications under the
contract compliance requirements:
(a) the bidder’s success in implementing an affirmative action plan;
(b) the bidder’s success in developing an apprenticeship program complying with Sections 46a-68-1 to
46a-68-17 of the Administrative Regulations of Connecticut State Agencies, inclusive;
(c) the bidder’s promise to develop and implement a successful affirmative action plan;
(d) the bidder’s submission of employment statistics contained in the “Employment Information Form”,
indicating that the composition of its workforce is at or near parity when compared to the racial and
sexual composition of the workforce in the relevant labor market area; and
(e) the bidder’s promise to set aside a portion of the contract for legitimate minority
business enterprises. See Section 46a-68j-30(10)(E) of the Contract Compliance Regulations.
__________________________________________________________
INSTRUCTIONS AND OTHER INFORMATION
The following BIDDER CONTRACT COMPLIANCE MONITORING REPORT must be completed in full, signed,
and submitted with the bid for this contract. The contract awarding agency and the Commission on Human
Rights and Opportunities will use the information contained thereon to determine the bidders compliance to
Sections 4a-60 and 4a- 60a CONN. GEN. STAT., and Sections 46a-68j-23 of the Regulations of Connecticut
State Agencies regarding equal employment opportunity, and the bidders good faith efforts to include minority
business enterprises as subcontractors and suppliers for the work of the contract.
1) Definition of Small Contractor
Section 4a-60g CONN. GEN. STAT. defines a small contractor as a company that has been doing business
under the same management and control and has maintained its principal place of business in Connecticut for a
one year period immediately prior to its application for certification under this section, had gross revenues not
exceeding ten million dollars in the most recently completed fiscal year, and at least fifty-one percent of the
ownership of which is held by a person or persons who are active in the daily affairs of the company, and have
the power to direct the management and policies of the company, except that a nonprofit corporation shall be
construed to be a small contractor if such nonprofit corporation meets the requirements of subparagraphs (A)
and (B) of subdivision 4a-60g CONN. GEN. STAT.
50

2) Description of Job Categories (as used in Part IV Bidder Employment Information) (Page 2)
MANAGEMENT: Managers plan, organize, direct, and control
the major functions of an organization through subordinates
who are at the managerial or supervisory level. They make
policy decisions and set objectives for the company or
departments. They are not usually directly involved in
production or providing services. Examples include top
executives, public relations managers, managers of operations
specialties (such as financial, human resources, or purchasing
managers), and construction and engineering managers.
BUSINESS AND FINANCIAL OPERATIONS: These
occupations include managers and professionals who work
with the financial aspects of the business. These occupations
include accountants and auditors, purchasing agents,
management analysts, labor relations specialists, and budget,
credit, and financial analysts.
COMPUTER SPECIALISTS: Professionals responsible for the
computer operations within a company are grouped in this
category. Examples of job titles in this category include
computer programmers, software engineers, database
administrators, computer scientists, systems analysts, and
computer support specialists
ARCHITECTURE AND ENGINEERING: Occupations related
to architecture, surveying, engineering, and drafting are
included in this category. Some of the job titles in this category
include electrical and electronic engineers, surveyors,
architects, drafters, mechanical engineers, materials
engineers, mapping technicians, and civil engineers.
OFFICE AND ADMINISTRATIVE SUPPORT: All clerical-type
work is included in this category. These jobs involve the
preparing, transcribing, and preserving of written
communications and records; collecting accounts; gathering
and distributing information; operating office machines and
electronic data processing equipment; and distributing mail.
Job titles listed in this category include telephone operators,
payroll clerks, bill and account collectors, customer service
representatives, files clerks, dispatchers, shipping clerks,
secretaries and administrative assistants, computer operators,
mail clerks, and stock clerks.
BUILDING AND GROUNDS CLEANING AND
MAINTENANCE: This category includes occupations
involving landscaping, housekeeping, and janitorial services.
Job titles found in this category include supervisors of
landscaping or housekeeping, janitors, maids, grounds
maintenance workers, and pest control workers.
CONSTRUCTION AND EXTRACTION: This category
includes construction trades and related occupations. Job
titles found in this category include boilermakers, masons (all
types), carpenters, construction laborers, electricians,
plumbers (and related trades), roofers, sheet metal workers,
elevator installers, hazardous materials removal workers,
paperhangers, and painters. Paving, surfacing, and tamping
equipment operators; drywall and ceiling tile installers; and
carpet, floor and tile installers and finishers are also included
in this category. First line supervisors, foremen, and helpers
in these trades are also grouped in this category..
INSTALLATION, MAINTENANCE AND REPAIR:
Occupations involving the installation, maintenance, and
repair of equipment are included in this group. Examples of
job titles found here are heating, ac, and refrigeration
mechanics and installers; telecommunication line installers
and repairers; heavy vehicle and mobile equipment service
technicians and mechanics; small engine mechanics;
security and fire alarm systems installers; electric/electronic
repair, industrial, utility and transportation equipment;
millwrights; riggers; and manufactured building and mobile
home installers. First line supervisors, foremen, and helpers
for these jobs are also included in the category.
MATERIAL MOVING WORKERS: The job titles included in
this group are Crane and tower operators; dredge,
excavating, and lading machine operators; hoist and winch
operators; industrial truck and tractor operators; cleaners of
vehicles and equipment; laborers and freight, stock, and
material movers, hand; machine feeders and offbearers;
packers and packagers, hand; pumping station operators;
refuse and recyclable material collectors; and miscellaneous
material moving workers.
3) Definition of Racial and Ethnic Terms (as used in Part IV Bidder Employment Information)
White (not of Hispanic Origin)- All persons having origins in
any of the original peoples of Europe, North Africa, or the
Middle East.
Black(not of Hispanic Origin)- All persons having origins in any
of the Black racial groups of Africa.
Hispanic- All persons of Mexican, Puerto Rican, Cuban,
Central or South American, or other Spanish culture or origin,
regardless of race.
Asian or Pacific Islander- All persons having origins in any of
the original peoples of the Far East, Southeast Asia, the
Indian subcontinent, or the Pacific Islands. This area includes
China, India, Japan, Korea, the Philippine Islands, and
Samoa.
American Indian or Alaskan Native- All persons having
origins in any of the original peoples of North America, and
who maintain cultural identification through tribal affiliation or
community recognition.
51

BIDDER CONTRACT COMPLIANCE MONITORING REPORT
PART I - Bidder Information (Page 3)
Company Name
Street Address
City & State
Chief Executive
Major Business Activity
(brief description)
Bidder Federal Employer
Identification Number____________________
Or
Social Security Number__________________
Bidder Identification (response optional/definitions on page 1)
-Bidder is a small contractor.
Yes__ No__
-Bidder is a minority business enterprise
Yes__ No__
(If yes, check ownership category)
Black___ Hispanic___ Asian American___
American Indian/Alaskan Native___ Iberian Peninsula___
Individual(s) with a Physical Disability___ Female___
Bidder Parent Company
(If any) - Bidder is certified as above by State of CT Yes__ No__
Other Locations in Ct.
(If any)
PART II - Bidder Nondiscrimination Policies and Procedures
1. Does your company have a written Affirmative Action/Equal
Employment Opportunity statement posted on company bulletin
boards?
Yes__ No__
2. Does your company have the state-mandated sexual harassment
prevention in the workplace policy posted on company bulletin
boards?
Yes__ No__
3. Do you notify all recruitment sources in writing of your company’s
Affirmative Action/Equal Employment Opportunity employment
policy?
Yes__ No__
4. Do your company advertisements contain a written statement that
you are an Affirmative Action/Equal Opportunity Employer?
Yes__ No__
5. Do you notify the Ct. State Employment Service of all employment
openings with your company?
Yes__ No__
6. Does your company have a collective bargaining agreement with
workers?
Yes__ No__
6a. If yes, do the collective bargaining agreements contain
non-discrimination clauses covering all workers? Yes__ No__
6b. Have you notified each union in writing of your
commitments under the nondiscrimination requirements of
contracts with the state of Ct.
Yes__ No__
- DAS Certification Number ___________________________
7. Do all of your company contracts and purchase orders contain
non-discrimination statements as required by Sections 4a-60 & 4a-
60a Conn. Gen. Stat.?
Yes__ No__
8. Do you, upon request, provide reasonable accommodation to
employees, or applicants for employment, who have physical or
mental disability?
Yes__ No__
9. Does your company have a mandatory retirement age for all
employees?
Yes__ No__
10. If your company has 50 or more employees, have you provided
at least two (2) hours of sexual harassment training to all of your
supervisors?
Yes__ No__ NA__
11. If your company has apprenticeship programs, do they meet the
Affirmative Action/Equal Employment Opportunity requirements of
the apprenticeship standards of the Ct. Dept. of Labor?
Yes__ No__ NA__
12. Does your company have a written affirmative action Plan?
Yes__ No__
If no, please explain.
13. Is there a person in your company who is responsible for equal
employment opportunity?
Yes__ No__
If yes, give name and phone
number._________________________
Part III - Bidder Subcontracting Practices
1. Will the work of this contract include subcontractors or suppliers? Yes__ No__
1a. If yes, please list all subcontractors and suppliers and report if they are a small contractor and/or a minority business enterprise.
(defined on page 1 / use additional sheet if necessary)
1b. Will the work of this contract require additional subcontractors or suppliers other than those identified in 1a. above? Yes__ No__
52

PART IV - Bidder Employment Information Date: (Page 4)
JOB CATEGORY
OVERALL
TOTALS
WHITE (not of
Hispanic origin)
BLACK (not of
Hispanic origin)
HISPANIC
ASIAN or PACIFIC
ISLANDER
AMERICAN INDIAN or
ALASKAN NATIVE
Male Female Male Female Male Female Male Female Male Female
Management
Business & Financial
Ops
Computer Specialists
Architecture/
Engineering
Office & Admin Support
Bldg/ Grounds
Cleaning/
Maintenance
Construction &
Extraction
Installation ,
Maintenance
& Repair
Material Moving
Workers
TOTALS ABOVE
Total One Year Ago
FORMAL ON THE JOB TRAINEES (ENTER FIGURES FOR THE SAME CATEGORIES AS ARE SHOWN ABOVE)
Apprentices
Trainees
PART V - Bidder Hiring and Recruitment Practices
1. Which of the following recruitment sources are used by you?
(Check yes or no, and report percent used)
SOURCE YES NO % of applicants
provided by source
State Employment Service
Private Employment
Agencies
Schools and Colleges
Newspaper Advertisement
Walk Ins
Present Employees
Labor Organizations
Minority/Community
Organizations
Others (please identify)
2. Check (X) any of the below listed
requirements that you use as a hiring
qualification
Work Experience
Ability to Speak or Write
English
Written Tests
High School Diploma
College Degree
Union Membership
Personal
Recommendation
Height or Weight
Car Ownership
Arrest Record
3. Describe below any other practices or actions that you
take which show that you hire, train, and promote
employees without discrimination
Wage Garnishments
Certification (Read this form and check your statements on it CAREFULLY before signing). I certify that the statements made by me on this BIDDER CONTRACT COMPLIANCE MONITORING
REPORT are complete and true to the best of my knowledge and belief, and are made in good faith. I understand that if I knowingly make any misstatements of facts, I am subject to be
declared in non-compliance with Section 4a-60, 4a-60a, and related sections of the CONN. GEN. STAT.
(Signature) (Title) (Date) (Telephone)
53

EXHIBIT A - SEEC FORM 11
CONNECTICUT STATE ELECTIONS ENFORCEMENT COMMISSION
Rev. 1/11
NOTICE TO EXECUTIVE BRANCH STATE CONTRACTORS AND PROSPECTIVE STATE
CONTRACTORS OF CAMPAIGN CONTRIBUTION AND SOLICITATION LIMITATIONS
This notice is provided under the authority of Connecticut General Statutes §9-612(g)(2), as amended by P.A. 10-1, and is for the
purpose of informing state contractors and prospective state contractors of the following law (italicized words are defined on the
reverse side of this page).
CAMPAIGN CONTRIBUTION AND SOLICITATION LIMITATIONS
No state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor,
with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-public
agency or a holder, or principal of a holder of a valid prequalification certificate, shall make a contribution to (i) an exploratory
committee or candidate committee established by a candidate for nomination or election to the office of Governor, Lieutenant
Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to
make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee (which includes town
committees).
In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to (i) an
exploratory committee or candidate committee established by a candidate for nomination or election to the office of State
senator or State representative, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of
such candidates, or (iii) a party committee.
On and after January 1, 2011, no state contractor, prospective state contractor, principal of a state contractor or principal of a
prospective state contractor, with regard to a state contract or state contract solicitation with or from a state agency in the executive
branch or a
quasi-public agency or a holder, or principal of a holder of a valid prequalification certificate, shall knowingly solicit
contributions from the state contractor's or prospective state contractor's employees or from a subcontractor or principals of the
subcontractor on behalf of (i)
an exploratory committee or candidate committee established by a candidate for nomination or election to the office of
Governor,
Lieutenant Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee
authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee.
DUTY TO INFORM
State contractors and prospective state contractors are required to inform their principals of the above prohibitions, as applicable,
and the possible penalties and other consequences of any violation thereof.
PENALTIES FOR VIOLATIONS
Contributions or solicitations of contributions made in violation of the above prohibitions may result in the following civil and
criminal penalties:
Civil penalties—Up to $2,000 or twice the amount of the prohibited contribution, whichever is greater, against a principal or a
contractor. Any state contractor or prospective state contractor which fails to make reasonable efforts to comply with the
provisions requiring notice to its principals of these prohibitions and the possible consequences of their violations may also be
subject to civil penalties of up to $2,000 or twice the amount of the prohibited contributions made by their principals.
Criminal penalties—Any knowing and willful violation of the prohibition is a Class D felony, which may subject the
violator to imprisonment of not more than 5 years, or not more than $5,000 in fines, or both.
CONTRACT CONSEQUENCES
In the case of a state contractor, contributions made or solicited in violation of the above prohibitions may resulting the
contract being voided.
In the case of a prospective state contractor, contributions made or solicited in violation of the above prohibitions shall result in
the contract described in the state contract solicitation not being awarded to the prospective state contractor, unless the State
Elections Enforcement Commission determines that mitigating circumstances exist concerning such violation.
The State shall not award any other state contract to anyone found in violation of the above prohibitions for a period of one year
after the election for which such contribution is made or solicited, unless the State Elections Enforcement Commission determines
that mitigating circumstances exist concerning such violation.
54

Additional information may be found on the website of the State Elections Enforcement Commission, www.ct.gov/seec. Click
on the link to “Lobbyist/Contractor Limitations.”
DEFINITIONS
“State contractor” means a person, business entity or nonprofit organization that enters into a state contract. Such person, business entity or
nonprofit organization shall be deemed to be a state contractor until December thirty-first of the year in which such contract terminates. “State
contractor” does not include a municipality or any other political subdivision of the state, including any entities or associations duly created by the
municipality or political subdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or an employee in the
executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full or part-time,
and only in such person's capacity as a state or quasi-public agency employee.
“Prospective state contractor” means a person, business entity or nonprofit organization that (i) submits a response to a state contract solicitation by
the state, a state agency or a quasi-public agency, or a proposal in response to a request for proposals by the state, a state agency or a quasipublic
agency, until the contract has been entered into, or (ii) holds a valid prequalification certificate issued by the Commissioner of
Administrative Services under section 4a-100. “Prospective state contractor” does not include a municipality or any other political subdivision of
the state, including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further
any purpose authorized by statute or charter, or an employee in the executive or legislative branch of state government or a quasi-public agency,
whether in the classified or unclassified service and full or part-time, and only in such person's capacity as a state or quasi-public agency employee.
“Principal of a state contractor or prospective state contractor” means (i) any individual who is a member of the board of directors of, or has an
ownership interest of five per cent or more in, a state contractor or prospective state contractor, which is a business entity, except for an individual
who is a member of the board of directors of a nonprofit organization, (ii) an individual who is employed by a state contractor or prospective state
contractor, which is a business entity, as president, treasurer or executive vice president, (iii) an individual who is the chief executive officer of a
state contractor or prospective state contractor, which is not a business entity, or if a state contractor or prospective state contractor has no such
officer, then the officer who duly possesses comparable powers and duties, (iv) an officer or an employee of any state contractor or prospective
state contractor who has managerial or discretionary responsibilities with respect to a state contract, (v) the spouse or a dependent child who is
eighteen years of age or older of an individual described in this subparagraph, or (vi) a political committee established or controlled by an
individual described in this subparagraph or the business entity or nonprofit organization that is the state contractor or prospective state contractor.
“State contract” means an agreement or contract with the state or any state agency or any quasi-public agency, let through a procurement process or
otherwise, having a value of fifty thousand dollars or more, or a combination or series of such agreements or contracts having a value of one
hundred thousand dollars or more in a calendar year, for (i) the rendition of services, (ii) the furnishing of any goods, material, supplies,
equipment or any items of any kind, (iii) the construction, alteration or repair of any public building or public work, (iv) the acquisition, sale or
lease of any land or building, (v) a licensing arrangement, or (vi) a grant, loan or loan guarantee. “State contract” does not include any agreement
or contract with the state, any state agency or any quasi-public agency that is exclusively federally funded, an education loan, a loan to an
individual for other than commercial purposes or any agreement or contract between the state or any state agency and the United States Department
of the Navy or the United States Department of Defense.
“State contract solicitation” means a request by a state agency or quasi-public agency, in whatever form issued, including, but not limited to, an
invitation to bid, request for proposals, request for information or request for quotes, inviting bids, quotes or other types of submittals, through a
competitive procurement process or another process authorized by law waiving competitive procurement.
“Managerial or discretionary responsibilities with respect to a state contract” means having direct, extensive and substantive responsibilities with
respect to the negotiation of the state contract and not peripheral, clerical or ministerial responsibilities.
“Dependent child” means a child residing in an individual’s household who may legally be claimed as a dependent on the federal income
tax of such individual.
“Solicit” means (A) requesting that a contribution be made, (B) participating in any fund-raising activities for a candidate committee, exploratory
committee, political committee or party committee, including, but not limited to, forwarding tickets to potential contributors, receiving
contributions for transmission to any such committee or bundling contributions, (C) serving as chairperson, treasurer or deputy treasurer of any
such committee, or (D) establishing a political committee for the sole purpose of soliciting or receiving contributions for any committee. Solicit
does not include: (i) making a contribution that is otherwise permitted by Chapter 155 of the Connecticut General Statutes; (ii) informing any
person of a position taken by a candidate for public office or a public official, (iii) notifying the person of any activities of, or contact information
for, any candidate for public office; or (iv) serving as a member in any party committee or as an officer of such committee that is not otherwise
prohibited in this section.
“Subcontractor” means any person, business entity or nonprofit organization that contracts to perform part or all of the obligations of a state
contractor's state contract. Such person, business entity or nonprofit organization shall be deemed to be a subcontractor until December thirty first
of the year in which the subcontract terminates. “Subcontractor” does not include (i) a municipality or any other political subdivision of the state,
including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further any
purpose authorized by statute or charter, or (ii) an employee in the executive or legislative branch of state government or a quasi-public agency,
whether in the classified or unclassified service and full or part-time, and only in such person's capacity as a state or quasi-public agency
employee.
“Principal of a subcontractor” means (i) any individual who is a member of the board of directors of, or has an ownership interest of five per cent
or more in, a subcontractor, which is a business entity, except for an individual who is a member of the board of directors of a nonprofit
organization, (ii) an individual who is employed by a subcontractor, which is a business entity, as president, treasurer or executive vice president,
(iii) an individual who is the chief executive officer of a subcontractor, which is not a business entity, or if a subcontractor has no such officer,
then the officer who duly possesses comparable powers and duties, (iv) an officer or an employee of any subcontractor who has managerial or
discretionary responsibilities with respect to a subcontract with a state contractor, (v) the spouse or a dependent child who is eighteen years of
age or older of an individual described in this subparagraph, or (vi) a political committee established or controlled by an individual described in
this subparagraph or the business entity or nonprofit organization that is the subcontractor.
55

STATE OF CONNECTICUT
NONDISCRIMINATION CERTIFICATION — Affidavit
By Entity
For Contracts Valued at $50,000 or More
Form C
07-08-2009
Documentation in the form of an affidavit signed under penalty of false statement by a chief executive
officer, president, chairperson, member, or other corporate officer duly authorized to adopt corporate,
company, or partnership policy that certifies the contractor complies with the nondiscrimination
agreements and warranties under Connecticut General Statutes §§ 4a-60(a)(1) and 4a-60a(a)(1), as
amended
INSTRUCTIONS:
For use by an entity (corporation, limited liability company, or partnership) when entering into any contract
type with the State of Connecticut valued at $50,000 or more for any year of the contract. Complete all
sections of the form. Sign form in the presence of a Commissioner of Superior Court or Notary Public.
Submit to the awarding State agency prior to contract execution.
AFFIDAVIT:
I, the undersigned, am over the age of eighteen (18) and understand and appreciate the obligations of
an oath. I am _________________________ of ________________________________ , an entity
Signatory’s Title
Name of Entity
duly formed and existing under the laws of _____________________________________.
Name of State or Commonwealth
I certify that I am authorized to execute and deliver this affidavit on behalf of
________________________________ and that ________________________________
Name of Entity
Name of Entity
has a policy in place that complies with the nondiscrimination agreements and warranties of Connecticut
General Statutes §§ 4a-60(a)(1)and 4a-60a(a)(1), as amended.
___________________________________________
Authorized Signatory
___________________________________________
Printed Name
Sworn and subscribed to before me on this ______ day of ____________, 20____.
___________________________________________
Commissioner of the Superior Court/
Notary Public
___________________________________
Commission Expiration Date
56

OPM Ethics Form 1 Rev. 10-01-11
Page 1 of 2
STATE OF CONNECTICUT
GIFT AND CAMPAIGN CONTRIBUTION CERTIFICATION
Written or electronic certification to accompany a State contract with a value of $50,000 or more
in a calendar or fiscal year, pursuant to C.G.S. §§ 4-250 and 4-252(c); Governor M. Jodi Rell’s
Executive Orders No. 1, Para. 8, and No. 7C, Para. 10; and C.G.S. §9-612(g)(2)
INSTRUCTIONS:
Complete all sections of the form. Attach additional pages, if necessary, to provide full disclosure about any
lawful campaign contributions made to campaigns of candidates for statewide public office or the General
Assembly, as described herein. Sign and date the form, under oath, in the presence of a Commissioner of
the Superior Court or Notary Public. Submit the completed form to the awarding State agency at the time
of initial contract execution and if there is a change in the information contained in the most recently filed
certification, such person shall submit an updated certification either (i) not later than thirty (30) days after
the effective date of such change or (ii) upon the submittal of any new bid or proposal for a contract,
whichever is earlier. Such person shall also submit an accurate, updated certification not later than fourteen
days after the twelve-month anniversary of the most recently filed certification or updated certification.
CHECK ONE: Initial Certification 12 Month Anniversary Update (Multi-year contracts only.)
GIFT CERTIFICATION:
Updated Certification because of change of information contained in the most
recently filed certification or twelve-month anniversary update.
As used in this certification, the following terms have the meaning set forth below:
1) “Contract” means that contract between the State of Connecticut (and/or one or more of it agencies or
instrumentalities) and the Contractor, attached hereto, or as otherwise described by the awarding State
agency below;
2) If this is an Initial Certification, “Execution Date” means the date the Contract is fully executed by, and
becomes effective between, the parties; if this is a twelve-month anniversary update, “Execution Date”
means the date this certification is signed by the Contractor;
3) “Contractor” means the person, firm or corporation named as the contactor below;
4) “Applicable Public Official or State Employee” means any public official or state employee described in
C.G.S. §4-252(c)(1)(i) or (ii);
5) “Gift” has the same meaning given that term in C.G.S. § 4-250(1);
6) “Principals or Key Personnel” means and refers to those principals and key personnel of the Contractor,
and its or their agents, as described in C.G.S. §§ 4-250(5) and 4-252(c)(1)(B) and (C).
I, the undersigned, am the official authorized to execute the Contract on behalf of the Contractor. I hereby
certify that, no gifts were made by (A) such person, firm, corporation, (B) any principals and key personnel
of the person firm or corporation who participate substantially in preparing bids, proposals or negotiating
state contracts or (C) any agent of such, firm, corporation, or principals or key personnel who participates
substantially in preparing bids, proposals or negotiating state contracts, to (i) any public official or state
employee of the state agency or quasi-public agency soliciting bids or proposals for state contracts who
participates substantially in the preparation of bid solicitations or request for proposals for state contracts or
the negotiation or award of state contracts or (ii) any public official or state employee of any other state
agency, who has supervisory or appointing authority over such state agency or quasi-public agency.
I further certify that no Principals or Key Personnel know of any action by the Contractor to circumvent (or
which would result in the circumvention of) the above certification regarding Gifts by providing for any other
principals, key personnel, officials, or employees of the Contractor, or its or their agents, to make a Gift to
any Applicable Public Official or State Employee. I further certify that the Contractor made the bid or
proposal for the Contract without fraud or collusion with any person.
57

OPM Ethics Form 1 Rev. 10-01-11
Page 2 of 2
CAMPAIGN CONTRIBUTION CERTIFICATION:
I further certify that, on or after December 31, 2006, neither the Contractor nor any of its principals, as
defined in C.G.S. § 9-612(g)(1), has made any campaign contributions to, or solicited any contributions
on behalf of, any exploratory committee, candidate committee, political committee, or party committee
established by, or supporting or authorized to support, any candidate for statewide public office, in violation
of C.G.S. § 9-612(g)(2)(A). I further certify that all lawful campaign contributions that have been made
on or after December 31, 2006 by the Contractor or any of its principals, as defined in C.G.S. § 9-612(g)(1),
to, or solicited on behalf of, any exploratory committee, candidate committee, political committee, or party
committee established by, or supporting or authorized to support any candidates for statewide public office
or the General Assembly, are listed below:
Lawful Campaign Contributions to Candidates for Statewide Public Office:
Contribution Date Name of Contributor Recipient Value Description
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
Lawful Campaign Contributions to Candidates for the General Assembly:
Contribution Date Name of Contributor Recipient Value Description
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
Sworn as true to the best of my knowledge and belief, subject to the penalties of false statement.
__________________________________
Printed Contractor Name
_________________________________________
Printed Name of Authorized Official
___________________________________
Signature of Authorized Official
Subscribed and acknowledged before me this ______ day of __________________, 20___.
___________________________________________
Commissioner of the Superior Court (or Notary Public)
58

OPM Ethics Form 5 Rev. 10-01-11
STATE OF CONNECTICUT
CONSULTING AGREEMENT AFFIDAVIT
Affidavit to accompany a bid or proposal for the purchase of goods and services with a value of $50,000 or
more in a calendar or fiscal year, pursuant to Connecticut General Statutes §§ 4a-81(a) and 4a-81(b). For
sole source or no bid contracts the form is submitted at time of contract execution.
INSTRUCTIONS:
If the bidder or vendor has entered into a consulting agreement, as defined by Connecticut
General Statutes § 4a-81(b)(1): Complete all sections of the form. If the bidder or contractor has
entered into more than one such consulting agreement, use a separate form for each agreement. Sign and
date the form in the presence of a Commissioner of the Superior Court or Notary Public. If the bidder or
contractor has not entered into a consulting agreement, as defined by Connecticut General
Statutes § 4a-81(b)(1): Complete only the shaded section of the form. Sign and date the form in the
presence of a Commissioner of the Superior Court or Notary Public.
Submit completed form to the awarding State agency with bid or proposal. For a sole source award, submit
completed form to the awarding State agency at the time of contract execution.
This affidavit must be amended if there is any change in the information contained in the most recently filed
affidavit not later than (i) thirty days after the effective date of any such change or (ii) upon the submittal of
any new bid or proposal, whichever is earlier.
AFFIDAVIT:
[Number of Affidavits Sworn and Subscribed On This Day: _____]
I, the undersigned, hereby swear that I am a principal or key personnel of the bidder or contractor awarded
a contract, as described in Connecticut General Statutes § 4a-81(b), or that I am the individual awarded
such a contract who is authorized to execute such contract. I further swear that I have not entered into any
consulting agreement in connection with such contract, except for the agreement listed below:
__________________________________________
Consultant’s Name and Title
_______________________________________
Name of Firm (if applicable)
__________________ ___________________ ___________________
Start Date End Date Cost
Description of Services Provided: ___________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
Is the consultant a former State employee or former public official? YES NO
If YES: ___________________________________
Name of Former State Agency
__________________________
Termination Date of Employment
Sworn as true to the best of my knowledge and belief, subject to the penalties of false statement.
___________________________ ___________________________________ __________________
Printed Name of Bidder or Contractor Signature of Principal or Key Personnel Date
___________________________________ ___________________
Printed Name (of above)
Awarding State Agency
Sworn and subscribed before me on this _______ day of ____________, 20___.
___________________________________
Commissioner of the Superior Court
or Notary Public
59

OPM Ethics Form 6 Rev. 10-01-11
STATE OF CONNECTICUT
AFFIRMATION OF RECEIPT OF STATE ETHICS LAWS SUMMARY
Written or electronic affirmation to accompany a large State construction or procurement
contract, having a cost of more than $500,000, pursuant to Connecticut General Statutes §§ 1-
101mm and 1-101qq
INSTRUCTIONS:
Complete all sections of the form. Submit completed form to the awarding State agency or contractor, as
directed below.
CHECK ONE:
I am a person seeking a large State construction or procurement contract. I am submitting this
affirmation to the awarding State agency with my bid or proposal. [Check this box if the contract
will be awarded through a competitive process.]
I am a contractor who has been awarded a large State construction or procurement contract. I am
submitting this affirmation to the awarding State agency at the time of contract execution. [Check
this box if the contract was a sole source award.]
I am a subcontractor or consultant of a contractor who has been awarded a large State construction
or procurement contract. I am submitting this affirmation to the contractor.
I am a contractor who has already filed an affirmation, but I am updating such affirmation either (i)
no later than thirty (30) days after the effective date of any such change or (ii) upon the submittal
of any new bid or proposal, whichever is earlier.
IMPORTANT NOTE:
Within fifteen (15) days after the request of such agency, institution or quasi-public agency for such
affirmation contractors shall submit the affirmations of their subcontractors and consultants to the awarding
State agency. Failure to submit such affirmations in a timely manner shall be cause for termination of the
large State construction or procurement contract.
AFFIRMATION:
I, the undersigned person, contractor, subcontractor, consultant, or the duly authorized representative
thereof, affirm (1) receipt of the summary of State ethics laws* developed by the Office of State Ethics
pursuant to Connecticut General Statutes § 1-81b and (2) that key employees of such person, contractor,
subcontractor, or consultant have read and understand the summary and agree to comply with its
provisions.
* The summary of State ethics laws is available on the State of Connecticut’s Office of State Ethics website.
________________________________________________
Signature
________________________________________________
Printed Name
____________________
Date
____________________________________
Title
________________________________________________
Firm or Corporation (if applicable)
________________________________________________ ____________________ ____ ______
Street Address City State Zip
____________________________________
Awarding State Agency
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APPENDIX 1
CONNECTICUT COLLEGES PURCHASING GROUP
Current Participating Institutions
Albertus Magnus College
Asnuntuck Community College
Board of Trustees for Community Colleges
Capital Community College
Central Connecticut State University
Charter Oak College
Connecticut State University System
Eastern Connecticut State University
Fairfield University
Gateway Community College
Hartford Seminary
Holy Apostles College & Seminary
The Hotchkiss School
Housatonic Community College
Kingswood-Oxford School
Manchester Community College
Middlesex Community College
Yale University
Mitchell College
Naugatuck Valley Community College
Norwalk Community College
Post University
Quinebaug Valley Community College
Quinnipiac University
Sacred Heart University
Saint Joseph College
Southern Connecticut State University
Three Rivers Community College
Trinity College
Tunxis Community College
University of Connecticut
University of Hartford
University of New Haven
Wesleyan University
Western Connecticut State University
For more information on CCPG, visit their website at http://www.ccpg.net/mainh1.htm .
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APPENDIX 2
CERTIFIED RESOLUTION
I, (name of Secretary), Secretary of (name of corporation), a corporation
organized and existing under the laws of the State of __________ (the
“Company”), do hereby certify that the following is a true and correct copy of a
resolution duly adopted at a meeting of the Board of Directors of the Company
duly held and convened on ______________, 200__, at which meeting a duly
constituted quorum of the Board of Directors was present and acting throughout,
and that such resolution has not been modified, rescinded or revoked, and is at
present in full force and effect:
RESOLVED: That (name of officer),(office held e.g. president, vice
president. etc.), of (name of corporation), is empowered and authorized to
execute and deliver contracts on behalf of the Company.
[or if the signatory has received authorization specifically for the UConn
contract, use the paragraph below and delete the paragraph above (including
this internal note)]
RESOLVED: That (name of officer), (office held e.g. president. vice
president. etc.), of (name of corporation), is empowered and authorized to
execute and deliver in the name and on behalf of this Company a certain contract
with __________ the University of Connecticut for (general description of
services) and to affix the corporate seal [if applicable].
IN WITNESS WHEREOF, the undersigned has affixed his/her
signature and the corporate seal of the Company this ______ day
of___________, 200__.
[or, if the corporation has no seal use the paragraph below and delete the
paragraph above (including this internal note)]
IN WITNESS WHEREOF, the undersigned has affixed his/her
signature this _____ day of, 200__. The Company has no corporate seal.
_______________________
(Name), Secretary
(Corporate Seal or “L.S. “)
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APPENDIX 3
University of Connecticut
Purchasing Agreement
for
Laboratory Supplies and Equipment
UC-12-CGP031612
(Supplemental to primary vendor contract UC-09-CGP021309)
This Agreement (hereinafter “Agreement”) is made and entered into by and between:
University of Connecticut and ____________________________
Purchasing Department
____________________________
3 North Hillside Road, Unit 6076 ____________________________
Storrs, CT 06269-6076
____________________________
hereinafter “University”
hereinafter “Contractor”
________________________________
University Contract Administrator/Phone
____________________________
Contractor Contact/Phone
Section 1
DEFINITIONS (if any):
A.
B.
C.
1.1. Term: This Agreement between the University and the Contractor will govern the provision of goods,
services or other considerations (hereinafter “Services”) referenced herein from:
1.1.1 Effective Date: _____________________ End Date: _____________________
1.1.2 Amendment Terms: All revisions to this Agreement may only be made by written amendment
executed by both parties and approved by the Office of the Attorney General prior to the end date of this
Agreement.
1.2. Brief Summary of Services: Contractor will provide . . .
1.2.1 Service Location: Contractor will provide Services at/for the location(s) listed below:
1.3 Maximum Amount Payable: $ ______________________
1.3.1 Payment/Pricing Terms:
1.4 Detailed Contractor Responsibilities:
1.4.1 Responsibilities: Contractor will provide the following Services:
1.4.2 Deliverables/Methods: Contractor will deliver to University . . .
1.4.3. Work Schedule/Deadlines: Contractor will provide Services by . . .
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1.4.4. Health Insurance Portability and Accountability Act of 1996 (“HIPAA”)
1.4.4.1 If the Contactor is a Business Associate under the requirements of the Health Insurance Portability
and Accountability Act of 1996 (“HIPAA”), the Contractor must comply with all terms and conditions
of this Section of the Contract. If the Contractor is not a Business Associate under HIPAA, this
Section of the Contract does not apply to the Contractor for this Contract.
1.4.4.2 The Contractor is required to safeguard the use, publication and disclosure of information on all
applicants for, and all clients who receive, services under the Contract in accordance with all
applicable federal and state law regarding confidentiality, which includes but is not limited to HIPAA,
more specifically with the Privacy and Security Rules at 45 C.F.R. Part 160 and Part 164, subparts
A, C, and E; and
1.4.4.3 The State of Connecticut Agency named on page 1 of this Contract (hereinafter the “Department”)
is a “covered entity” as that term is defined in 45 C.F.R. § 160.103; and
1.4.4.4 The Contractor, on behalf of the Department, performs functions that involve the use or disclosure
of “individually identifiable health information,” as that term is defined in 45 C.F.R. § 160.103; and
1.4.4.5 The Contractor is a “business associate” of the Department, as that term is defined in 45 C.F.R.
§ 160.103; and
1.4.4.6 The Contractor and the Department agree to the following in order to secure compliance with the
HIPAA, the requirements of Subtitle D of the Health Information Technology for Economic and
Clinical Health Act (hereinafter the HITECH Act), (Pub. L. 111-5, sections 13400 to 13423), and
more specifically with the Privacy and Security Rules at 45 C.F.R. Part 160 and Part 164, subparts
A, C, and E.
1.4.4.7 Definitions
a) “Breach shall have the same meaning as the term is defined in section 13400 of the HITECH
Act (42 U.S.C. §17921(1))
b) “Business Associate” shall mean the Contractor.
c) “Covered Entity” shall mean the Department of the State of Connecticut named on page 1 of
this Contract.
d) “Designated Record Set” shall have the same meaning as the term “designated record set” in
45 C.F.R. § 164.501.
e) “Electronic Health Record” shall have the same meaning as the term is defined in section
13400 of the HITECH Act (42 U.S.C. §17921(5))
f) “Individual” shall have the same meaning as the term “individual”’ in 45 C.F.R. § 160.103 and
shall include a person who qualifies as a personal representative as defined in 45 C.F.R.
§ 164.502(g).
g) “Privacy Rule” shall mean the Standards for Privacy of Individually Identifiable Health
Information at 45 C.F.R. part 160 and parts 164, subparts A and E.
h) “Protected Health Information” or “PHI” shall have the same meaning as the term “protected
health information” in 45 C.F.R. § 160.103, limited to information created or received by the
Business Associate from or on behalf of the Covered Entity.
i) “Required by Law”’ shall have the same meaning as the term “required by law” in 45 C.F.R.
§ 164.103.
j) “Secretary” shall mean the Secretary of the Department of Health and Human Services or his
designee.
k) “More stringent” shall have the same meaning as the term “more stringent” in 45 C.F.R.
§ 160.202.
l) This Section of the Contract refers to the HIPAA Provisions stated herein, in their entirety.
m) “Security Incident” shall have the same meaning as the term “security incident” in
45 C.F.R.§ 164.304.
n) “Security Rule” shall mean the Security Standards for the Protection of Electronic Protected
Health Information at 45 C.F.R. part 160 and parts 164, subpart A and C.
o) “Unsecured protected health information” shall have the same meaning as the term as
defined in section 13402(h)(1)(A) of HITECH. Act. (42 U.S.C. §17932(h)(1)(A)).
1.4.4.8 Obligations and Activities of Business Associates.
a) Business Associate agrees not to use or disclose PHI other than as permitted or required by
this Section of the Contract or as Required by Law.
b) Business Associate agrees to use appropriate safeguards to prevent use or disclosure of PHI
other than as provided for in this Section of the Contract.
c) Business Associate agrees to use administrative, physical and technical safeguards that
reasonably and appropriately protect the confidentiality, integrity, and availability of electronic
protected health information that it creates, receives, maintains, or transmits on behalf of the
Covered Entity.
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d) Business Associate agrees to mitigate, to the extent practicable, any harmful effect that is
known to the Business Associate of a use or disclosure of PHI by Business Associate in
violation of this Section of the Contract.
e) Business Associate agrees to report to Covered Entity any use or disclosure of PHI not
provided for by this Section of the Contract or any security incident of which it becomes
aware.
f) Business Associate agrees to insure that any agent, including a subcontractor, to whom it
provides PHI received from, or created or received by Business Associate, on behalf of the
Covered Entity, agrees to the same restrictions and conditions that apply through this Section
of the Contract to Business Associate with respect to such information.
g) Business Associate agrees to provide access, at the request of the Covered Entity, and in the
time and manner agreed to by the parties, to PHI in a Designated Record Set, to Covered
Entity or, as directed by Covered Entity, to an Individual in order to meet the
requirements under 45 C.F.R. § 164.524.
h) Business Associate agrees to make any amendments to PHI in a Designated Record Set that
the Covered Entity directs or agrees to pursuant to 45 C.F.R. § 164.526 at the request of the
Covered Entity, and in the time and manner agreed to by the parties.
i) Business Associate agrees to make internal practices, books, and records, including policies
and procedures and PHI, relating to the use and disclosure of PHI received from, or created
or received by, Business Associate on behalf of Covered Entity, available to Covered Entity
or to the Secretary in a time and manner agreed to by the parties or designated by the
Secretary, for purposes of the Secretary determining Covered Entity’s compliance with the
Privacy Rule.
j) Business Associate agrees to document such disclosures of PHI and information related to
such disclosures as would be required for Covered Entity to respond to a request by an
Individual for an accounting of disclosures of PHI in accordance with 45 C.F.R. § 164.528
and section 13405 of the HITECH Act (42 U.S.C. § 17935) and any regulations promulgated
thereunder.
k) Business Associate agrees to provide to Covered Entity, in a time and manner agreed to by
the parties, information collected in accordance with clause h. (10) of this Section of the
Contract, to permit Covered Entity to respond to a request by an Individual for an accounting
of disclosures of PHI in accordance with 45 C.F.R. § 164.528 and section 13405 of the
HITECH Act (42 U.S.C. § 17935) and any regulations promulgated thereunder. Business
Associate agrees at the Covered Entity’s direction to provide an accounting of disclosures of
PHI directly to an individual in accordance with 45 C.F.R. § 164.528 and section 13405 of the
HITECH Act (42 U.S.C. § 17935) and any regulations promulgated thereunder.
l) Business Associate agrees to comply with any state or federal law that is more stringent than
the Privacy Rule.
m) Business Associate agrees to comply with the requirements of the HITECH Act relating to
privacy and security that are applicable to the Covered Entity and with the requirements of 45
C.F.R. sections 164.504(e), 164.308, 164.310, 164.312, and 164.316.
n) In the event that an individual requests that the Business Associate (a) restrict disclosures of
PHI; (b) provide an accounting of disclosures of the individual’s PHI; or (c) provide a copy of
the individual’s PHI in an electronic health record, the Business Associate agrees to notify the
covered entity, in writing, within two business days of the request.
o) Business Associate agrees that it shall not, directly or indirectly, receive any remuneration in
exchange for PHI of an individual without (1) the written approval of the covered entity, unless
receipt of remuneration in exchange for PHI is expressly authorized by this Contract and (2)
the valid authorization of the individual, except for the purposes provided under section
13405(d)(2) of the HITECH Act,(42 U.S.C. § 17935(d)(2)) and in any accompanying
regulations
p) Obligations in the Event of a Breach
1) The Business Associate agrees that, following the discovery of a breach of unsecured
protected health information, it shall notify the Covered Entity of such breach in
accordance with the requirements of section 13402 of HITECH (42 U.S.C. 17932(b)
and the provisions of this Section of the Contract.
2) Such notification shall be provided by the Business Associate to the Covered Entity
without unreasonable delay, and in no case later than 30 days after the breach is
discovered by the Business Associate, except as otherwise instructed in writing by a
law enforcement official pursuant to section 13402 (g) of HITECH (42 U.S.C. 17932(g))
. A breach is considered discovered as of the first day on which it is, or reasonably
should have been, known to the Business Associate. The notification shall include the
identification and last known address, phone number and email address of each
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individual (or the next of kin of the individual if the individual is deceased) whose
unsecured protected health information has been, or is reasonably believed by the
Business Associate to have been, accessed, acquired, or disclosed during such
breach.
3) The Business Associate agrees to include in the notification to the Covered Entity at
least the following information: (a) a brief description of what happened, including the
date of the breach and the date of the discovery of the breach, if known; (b) a
description of the types of unsecured protected health information that were involved in
the breach (such as full name, Social Security number, date of birth, home address,
account number, or disability code); (c) the steps the Business Associate
recommends that individuals take to protect themselves from potential harm resulting
from the breach; (d) a detailed description of what the Business Associate is doing to
investigate the breach, to mitigate losses, and to protect against any further breaches;
(e) whether a law enforcement official has advised either verbally or in writing the
Business Associate that he or she has determined that notification or notice to
individuals or the posting required under section 13402 of the HITECH Act would
impede a criminal investigation or cause damage to national security and; if so, include
contact information for said official.
4) Business Associate agrees to provide appropriate staffing and have established
procedures to ensure that individuals informed by the Covered Entity of a breach by the
Business Associate have the opportunity to ask questions and contact the Business
Associate for additional information regarding the breach. Such procedures shall
include a toll-free telephone number, an e-mail address, a posting on its Web site and a
postal address. Business Associate agrees to include in the notification of a breach by
the Business Associate to the Covered Entity, a written description of the procedures
that have been established to meet these requirements. Costs of such contact
procedures will be borne by the Contractor.Business Associate agrees that, in the
event of a breach, it has the burden to demonstrate that it has complied with all
notifications requirements set forth above, including evidence demonstrating the
necessity of a delay in notification to the Covered Entity.
1.4.4.9 Permitted Uses and Disclosure by Business Associate.
a) General Use and Disclosure Provisions Except as otherwise limited in this Section of the
Contract, Business Associate may use or disclose PHI to perform functions, activities, or
services for, or on behalf of, Covered Entity as specified in this Contract, provided that such
use or disclosure would not violate the Privacy Rule if done by Covered Entity or the
minimum necessary policies and procedures of the Covered Entity.
b) Specific Use and Disclosure Provisions
1) Except as otherwise limited in this Section of the Contract, Business Associate may
use PHI for the proper management and administration of Business Associate or to
carry out the legal responsibilities of Business Associate.
2) Except as otherwise limited in this Section of the Contract, Business Associate may
disclose PHI for the proper management and administration of Business Associate,
provided that disclosures are Required by Law, or Business Associate obtains
reasonable assurances from the person to whom the information is disclosed that it will
remain confidential and used or further disclosed only as Required by Law or for the
purpose for which it was disclosed to the person, and the person notifies Business
Associate of any instances of which it is aware in which the confidentiality of the
information has been breached.
3) Except as otherwise limited in this Section of the Contract, Business Associate may
use PHI to provide Data Aggregation services to Covered Entity as permitted by 45
C.F.R. § 164.504(e)(2)(i)(B).
1.4.4.10 Obligations of Covered Entity.
a) Covered Entity shall notify Business Associate of any limitations in its notice of privacy
practices of Covered Entity, in accordance with 45 C.F.R. § 164.520, or to the extent that
such limitation may affect Business Associate’s use or disclosure of PHI.
b) Covered Entity shall notify Business Associate of any changes in, or revocation of,
permission by Individual to use or disclose PHI, to the extent that such changes may
affect Business Associate’s use or disclosure of PHI.
c) Covered Entity shall notify Business Associate of any restriction to the use or
disclosure of PHI that Covered Entity has agreed to in accordance with 45 C.F.R.
§ 164.522, to the extent that such restriction may affect Business Associate’s use or
disclosure of PHI.
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1.4.4.11 Permissible Requests by Covered Entity.
Covered Entity shall not request Business Associate to use or disclose PHI in any manner that
would not be permissible under the Privacy Rule if done by the Covered Entity, except that
Business Associate may use and disclose PHI for data aggregation, and management and
administrative activities of Business Associate, as permitted under this Section of the Contract.
1.4.4.12 Term and Termination.
a) Term. The Term of this Section of the Contract shall be effective as of the date the Contract
is effective and shall terminate when the information collected in accordance with clause h.
(10) of this Section of the Contract is provided to the Covered Entity and all of the PHI
provided by Covered Entity to Business Associate, or created or received by Business
Associate on behalf of Covered Entity, is destroyed or returned to Covered Entity, or, if it is
infeasible to return or destroy PHI, protections are extended to such information, in
accordance with the termination provisions in this Section.
b) Termination for Cause Upon Covered Entity’s knowledge of a material breach by Business
Associate, Covered Entity shall either:
1) Provide an opportunity for Business Associate to cure the breach or end the violation
and terminate the Contract if Business Associate does not cure the breach or end the
violation within the time specified by the Covered Entity; or
2) Immediately terminate the Contract if Business Associate has breached a material term
of this Section of the Contract and cure is not possible; or
3) If neither termination nor cure is feasible, Covered Entity shall report the violation to the
Secretary.
c) Effect of Termination
1) Except as provided in (l)(2) of this Section of the Contract, upon termination of this
Contract, for any reason, Business Associate shall return or destroy all PHI received
from Covered Entity, or created or received by Business Associate on behalf of
Covered Entity. Business Associate shall also provide the information collected in
accordance with clause h. (10) of this Section of the Contract to the Covered Entity
within ten business days of the notice of termination. This provision shall apply to PHI
that is in the possession of subcontractors or agents of Business Associate. Business
Associate shall retain no copies of the PHI.
2) In the event that Business Associate determines that returning or destroying the PHI is
infeasible, Business Associate shall provide to Covered Entity notification of the
conditions that make return or destruction infeasible. Upon documentation by Business
Associate that return or destruction of PHI is infeasible, Business Associate shall
extend the protections of this Section of the Contract to such PHI and limit further uses
and disclosures of PHI to those purposes that make return or destruction infeasible, for
as long as Business Associate maintains such PHI. Infeasibility of the return or
destruction of PHI includes, but is not limited to, requirements under state or federal
law that the Business Associate maintains or preserves the PHI or copies thereof.
1.4.4.13 Miscellaneous Provisions.
a) Regulatory References. A reference in this Section of the Contract to a section in the Privacy
Rule means the section as in effect or as amended.
b) Amendment. The Parties agree to take such action as in necessary to amend this Section of
the Contract from time to time as is necessary for Covered Entity to comply with requirements
of the Privacy Rule and the Health Insurance Portability and Accountability Act of 1996, Pub.
L. No. 104-191.
c) Survival. The respective rights and obligations of Business Associate shall survive the
termination of this Contract.
d) Effect on Contract. Except as specifically required to implement the purposes of this Section
of the Contract, all other terms of the Contract shall remain in force and effect.
e) Construction. This Section of the Contract shall be construed as broadly as necessary to
implement and comply with the Privacy Standard. Any ambiguity in this Section of the
Contract shall be resolved in favor of a meaning that complies, and is consistent with, the
Privacy Standard.
f) Disclaimer. Covered Entity makes no warranty or representation that compliance with this
Section of the Contract will be adequate or satisfactory for Business Associate’s own
purposes. Covered Entity shall not be liable to Business Associate for any claim, civil or
criminal penalty, loss or damage related to or arising from the unauthorized use or disclosure
of PHI by Business Associate or any of its officers, directors, employees, contractors or
agents, or any third party to whom Business Associate has disclosed PHI contrary to the
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provisions of this Contract or applicable law. Business Associate is solely responsible for all
decisions made, and actions taken, by Business Associate regarding the safeguarding, use
and disclosure of PHI within its possession, custody or control.
g) Indemnification. The Business Associate shall indemnify and hold the Covered Entity
harmless from and against any and all claims, liabilities, judgments, fines, assessments,
penalties, awards and any statutory damages that may be imposed or assessed pursuant to
HIPAA, as amended or the HITECH Act, including, without limitation, attorney’s fees, expert
witness fees, costs of investigation, litigation or dispute resolution, and costs awarded
thereunder, relating to or arising out of any violation by the Business Associate and its
agents, including subcontractors, of any obligation of Business Associate and its agents,
including subcontractors, under this section of the contract, under HIPAA, the HITECH Act,
the Privacy Rule
1.4.4. Encryption of Data:
1.4.4.1 Contractor and Contractor Parties, at their own expense, have a duty to and shall protect from a
Confidential Information Breach any and all Confidential Information which they come to possess
or control, wherever and however stored or maintained, in a commercially reasonable manner in
accordance with current industry standards.
1.4.4.2 Each Contractor and Contractor Parties shall implement and maintain a comprehensive data -
security program for the protection of Confidential Information. The safeguards contained in such
program shall be consistent with and comply with the safeguards for protection of Confidential
Information, and information of a similar character, as set forth in all applicable federal and state
law and written policy of the Department or State concerning the confidentiality of Confidential
Information. Such data-security program shall include, but not be limited to, the following:
1.4.4.1 A security policy for employees related to the storage, access and transportation of data
containing Confidential Information;
1.4.4.2 Reasonable restrictions on access to records containing Confidential Information, including
access to any locked storage where such records are kept
1.4.4.3 A process for reviewing policies and security measures at least annually
1.4.4.4 Creating secure access controls to Confidential Information, including but not limited to
passwords; and
1.4.4.5 Encrypting of Confidential Information that is stored on laptops, portable devices or being
transmitted electronically.
1.4.4.3 The Contractor and Contractor Parties shall notify the Department and the Connecticut Office of
the Attorney General as soon as practical, but no later than twenty-four (24) hours, after they
become aware of or suspect that any Confidential Information which Contractor or Contractor
Parties possess or control has been subject to a Confidential Information Breach. If a Confidential
Information Breach has occurred, the Contractor shall, within three (3) business days after the
notification, present a credit monitoring and protection plan to the Commissioner of Administrative
Services, the Department and the Connecticut Office of the Attorney General, for review and
approval. Such credit monitoring or protection plan shall be made available by the Contractor at
its own cost and expense to all individuals affected by the Confidential Information Breach. Such
credit monitoring or protection plan shall include, but is not limited to reimbursement for the cost
of placing and lifting one (1) security freeze per credit file pursuant to Connecticut General
Statutes § 36a-701a. Such credit monitoring or protection plans shall be approved by the State in
accordance with this Section and shall cover a length of time commensurate with the
circumstances of the Confidential Information Breach. The Contractors’ costs and expenses for
the credit monitoring and protection plan shall not be recoverable from the Department, any State
of Connecticut entity or any affected individuals
1.4.4.4 The Contractor shall incorporate the requirements of this Section in all subcontracts requiring
each Contractor Party to safeguard Confidential Information in the same manner as provided for
in this Section.
1.4.4.5 Nothing in this Section shall supersede in any manner Contractor’s or Contractor Party’s
obligations pursuant to HIPAA or the provisions of this Contract concerning the obligations of the
Contractor as a Business Associate.
1.4.4.6 All data provided to the Contractor by UCHC or developed internally by the Contractor with regard
to UCHC shall be treated as proprietary to UCHC unless UCHC agrees in writing to the contrary.
The Contractor agrees to forever hold in confidence all files, records, documents, or other
information as designated, whether prepared by UCHC or others, which may come into the
Contractor’s possession during the term of this Contract, except where disclosure of such
information by the Contractor is required by governmental authority to ensure compliance with
laws, rules or regulations, and such disclosure shall be limited to that actually so required. Where
such disclosure is required, the Contractor shall provide advance notice to UCHC of the need for
69

the disclosure and shall not disclose absent consent from UCHC. The requirements of this
section are in addition to those pertaining to HIPAA as set forth above.
1.4.4.7 UCHC will afford due regard to the Contractor’s request for the protection of proprietary or
confidential data that UCHC receives. However, all materials associated with the Solicitation and
the Contract are subject to the FOIA provisions set forth in Chapter 14 of the Connecticut General
Statutes, and all corresponding rules, regulations and interpretations. If the Contractor indicates
that certain documents are submitted in confidence, by specifically and clearly marking them as
“CONFIDENTIAL,” UCHC will endeavor to keep said data confidential to the extent permitted by
law. However, UCHC has no obligation to initiate, prosecute or defend any legal proceeding or to
seek a protective order or other similar relief to prevent disclosure of anything that is sought
pursuant to a FOIA request. The Contractor shall have the burden of establishing, in the legallyprescribed
manner, the availability of any FOIA exemption in any proceeding where it is an issue.
In no event shall UCHC or the State have any liability for the disclosure of any documents or data
in UCHC’s possession which UCHC believes is required to be disclosed pursuant to FOIA or
other requirements of law. To the extent that any other provision of the Contract, Solicitation or
any other Records or documents conflicts or is in any way inconsistent with this section, this
section controls and shall apply.
1.5. University Responsibilities: University will . . .
1.6. Notice: All notices, demands or requests provided for or permitted to be given pursuant to this Agreement must
be in writing. All notices, demands and requests shall be deemed to have been properly served if given by personal
delivery, or if transmitted by facsimile with confirmed receipt, or if delivered to Federal Express or other reputable express
carrier for next business day delivery, charges billed to or prepaid by shipper; or if deposited in the United States mail,
registered or certified with return receipt requested, proper postage prepaid, addressed as follows:
If to the University* [name/address]:
If to the Contractor* [name/address]:
[Note: *Any party may change its Notice information by giving written notice in accordance with this Section.]
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Section 2 - State of Connecticut Required Terms and Conditions
As an Agency of the State of Connecticut (a sovereign entity) the University is governed by the following terms and
conditions, which may not be modified, amended or deleted unless approved by the Office of the Attorney General.
2.1. Statutory Authority. Connecticut General Statute §§ 10a-104, 10a-108, 4a-52a, and 10a-151b provide the University with
authority to enter into contracts in the pursuit of its mission.
2.2. Claims. The Contractor agrees that the sole and exclusive means for the presentation of any claim against the State of
Connecticut or the University of Connecticut arising from this Agreement shall be in accordance with Chapter 53 of the
Connecticut General Statutes (Claims Against the State) and the Contractor further agrees not to initiate any legal proceedings
in any state or federal court in addition to, or in lieu of, said Chapter 53 proceedings.
2.3. Insurance. The Contractor agrees that while performing Services specified in this agreement s/he shall carry sufficient
insurance (liability and/or other) as applicable according to the nature of the service to be performed so as to "save harmless"
the State of Connecticut from any insurable cause whatsoever. If requested, certificates of such insurance shall be filed with
the contracting State agency prior to the performance of Services.
2.4. Indemnification.
The Contractor shall indemnify and hold harmless the State of Connecticut, including any agency or official of the State of
Connecticut from, and against all costs, claims, damages, or expenses, including reasonable attorney’s fees, arising from its
negligent acts or omissions in connection with the performance of this Agreement.
2.5. Governing Law. This Agreement shall be construed in accordance with and governed by the laws of the State of Connecticut.
2.6. Non-discrimination (a) For purposes of this Section, the following terms are defined as follows: (i) "Commission" means the
Commission on Human Rights and Opportunities; (ii) "Contract" and “contract” include any extension or modification of the
Contract or contract; (iii) "Contractor" and “contractor” include any successors or assigns of the Contractor or contractor; (iv)
"Gender identity or expression" means a person's gender-related identity, appearance or behavior, whether or not that genderrelated
identity, appearance or behavior is different from that traditionally associated with the person's physiology or assigned
sex at birth, which gender-related identity can be shown by providing evidence including, but not limited to, medical history,
care or treatment of the gender-related identity, consistent and uniform assertion of the gender-related identity or any other
evidence that the gender-related identity is sincerely held, part of a person's core identity or not being asserted for an improper
purpose; (v) “good faith" means that degree of diligence which a reasonable person would exercise in the performance of legal
duties and obligations; (vi) "good faith efforts" shall include, but not be limited to, those reasonable initial efforts necessary to
comply with statutory or regulatory requirements and additional or substituted efforts when it is determined that such initial
efforts will not be sufficient to comply with such requirements; (vii) "marital status" means being single, married as recognized
by the State of Connecticut, widowed, separated or divorced; (viii) "mental disability" means one or more mental disorders, as
defined in the most recent edition of the American Psychiatric Association's "Diagnostic and Statistical Manual of Mental
Disorders", or a record of or regarding a person as having one or more such disorders; (ix) "minority business enterprise"
means any small contractor or supplier of materials fifty-one percent or more of the capital stock, if any, or assets of which is
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
management and policies of the enterprise, and (3) who are members of a minority, as such term is defined in subsection (a)
of Connecticut General Statutes § 32-9n; and (x) "public works contract" means any agreement between any individual, firm or
corporation and the State or any political subdivision of the State other than a municipality for construction, rehabilitation,
conversion, extension, demolition or repair of a public building, highway or other changes or improvements in real property, or
which is financed in whole or in part by the State, including, but not limited to, matching expenditures, grants, loans, insurance
or guarantees.
For purposes of this Section, the terms "Contract" and “contract” do not include a contract where each contractor is (1) a
political subdivision of the state, including, but not limited to, a municipality, (2) a quasi-public agency, as defined in Conn.
Gen. Stat. Section 1-120, (3) any other state, including but not limited to any federally recognized Indian tribal governments, as
defined in Conn. Gen. Stat. Section 1-267, (4) the federal government, (5) a foreign government, or (6) an agency of a
subdivision, agency, state or government described in the immediately preceding enumerated items (1), (2), (3), (4) or (5).
(b) (1) The Contractor agrees and warrants that in the performance of the Contract such Contractor will not discriminate or
permit discrimination against any person or group of persons on the grounds of race, color, religious creed, age, marital status,
national origin, ancestry, sex, gender identity or expression, mental retardation, mental disability or physical disability,
including, but not limited to, blindness, unless it is shown by such Contractor that such disability prevents performance of the
work involved, in any manner prohibited by the laws of the United States or of the State of Connecticut; and the Contractor
further agrees to take affirmative action to insure that applicants with job-related qualifications are employed and that
employees are treated when employed without regard to their race, color, religious creed, age, marital status, national origin,
ancestry, sex, gender identity or expression, mental retardation, mental disability or physical disability, including, but not
limited to, blindness, unless it is shown by the Contractor that such disability prevents performance of the work involved;
(2) the Contractor agrees, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, to state
that it is an "affirmative action-equal opportunity employer" in accordance with regulations adopted by the Commission; (3) the
Contractor agrees to provide each labor union or representative of workers with which the Contractor has a collective
bargaining Agreement or other contract or understanding and each vendor with which the Contractor has a contract or
understanding, a notice to be provided by the Commission, advising the labor union or workers’ representative of the
Contractor's commitments under this section and to post copies of the notice in conspicuous places available to employees
and applicants for employment; (4) the Contractor agrees to comply with each provision of this Section and Connecticut
General Statutes §§ 46a-68e and 46a-68f and with each regulation or relevant order issued by said Commission pursuant to
Connecticut General Statutes §§ 46a-56, 46a-68e and 46a-68f; and (5) the Contractor agrees to provide the Commission on
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Human Rights and Opportunities with such information requested by the Commission, and permit access to pertinent books,
records and accounts, concerning the employment practices and procedures of the Contractor as relate to the provisions of
this Section and Connecticut General Statutes § 46a-56. If the contract is a public works contract, the Contractor agrees and
warrants that he will make good faith efforts to employ minority business enterprises as subcontractors and suppliers of
materials on such public works projects.
(c) Determination of the Contractor's good faith efforts shall include, but shall not be limited to, the following factors: The
Contractor's employment and subcontracting policies, patterns and practices; affirmative advertising, recruitment and training;
technical assistance activities and such other reasonable activities or efforts as the Commission may prescribe that are
designed to ensure the participation of minority business enterprises in public works projects.
(d) The Contractor shall develop and maintain adequate documentation, in a manner prescribed by the Commission, of its
good faith efforts.
(e) The Contractor shall include the provisions of subsection (b) of this Section in every subcontract or purchase order
entered into in order to fulfill any obligation of a contract with the State and such provisions shall be binding on a
subcontractor, vendor or manufacturer unless exempted by regulations or orders of the Commission. The Contractor shall
take such action with respect to any such subcontract or purchase order as the Commission may direct as a means of
enforcing such provisions including sanctions for noncompliance in accordance with Connecticut General Statutes §46a-56;
provided if such Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of
such direction by the Commission, the Contractor may request the State of Connecticut to enter into any such litigation or
negotiation prior thereto to protect the interests of the State and the State may so enter.
(f) The Contractor agrees to comply with the regulations referred to in this Section as they exist on the date of this Contract
and as they may be adopted or amended from time to time during the term of this Contract and any amendments thereto.
(g) (1) The Contractor agrees and warrants that in the performance of the Contract such Contractor will not discriminate or
permit discrimination against any person or group of persons on the grounds of sexual orientation, in any manner prohibited by
the laws of the United States or the State of Connecticut, and that employees are treated when employed without regard to
their sexual orientation; (2) the Contractor agrees to provide each labor union or representative of workers with which such
Contractor has a collective bargaining Agreement or other contract or understanding and each vendor with which such
Contractor has a contract or understanding, a notice to be provided by the Commission on Human Rights and Opportunities
advising the labor union or workers' representative of the Contractor's commitments under this section, and to post copies of
the notice in conspicuous places available to employees and applicants for employment; (3) the Contractor agrees to comply
with each provision of this section and with each regulation or relevant order issued by said Commission pursuant to
Connecticut General Statutes § 46a-56; and (4) the Contractor agrees to provide the Commission on Human Rights and
Opportunities with such information requested by the Commission, and permit access to pertinent books, records and
accounts, concerning the employment practices and procedures of the Contractor which relate to the provisions of this Section
and Connecticut General Statutes § 46a-56.
(h) The Contractor shall include the provisions of the foregoing paragraph in every subcontract or purchase order entered
into in order to fulfill any obligation of a contract with the State and such provisions shall be binding on a subcontractor, vendor
or manufacturer unless exempted by regulations or orders of the Commission. The Contractor shall take such action with
respect to any such subcontract or purchase order as the Commission may direct as a means of enforcing such provisions
including sanctions for noncompliance in accordance with Connecticut General Statutes § 46a-56; provided, if such Contractor
becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the
Commission, the Contractor may request the State of Connecticut to enter into any such litigation or negotiation prior thereto
to protect the interests of the State and the State may so enter.
2.7 Executive Orders. The Contract is subject to the provisions of Executive Order No. Three of Governor Thomas J. Meskill,
promulgated June 16, 1971, concerning labor employment practices, Executive Order No. Seventeen of Governor Thomas J.
Meskill, promulgated February 15, 1973, concerning the listing of employment openings and Executive Order No. Sixteen of
Governor John G. Rowland promulgated August 4, 1999, concerning violence in the workplace, all of which are incorporated
into and are made a part of the Contract as if they had been fully set forth in it. At the Contractor’s request, the Client Agency
shall provide a copy of these orders to the Contractor. The Contract may also be subject to Executive Order No. 7C of
Governor M. Jodi Rell, promulgated July 13, 2006, concerning contracting reforms and Executive Order No. 14 of Governor M.
Jodi Rell, promulgated April 17, 2006, concerning procurement of cleaning products and services, in accordance with their
respective terms and conditions.
2.8. Campaign Contribution Restrictions. 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 combination or series of such agreements or contracts having a value of $100,000 or more, the
authorized signatory to this Agreement expressly acknowledges receipt of the State Elections Enforcement Commission's
notice advising state contractors of state campaign contribution and solicitation prohibitions, and will inform its principals of the
contents of the notice attached hereto as Exhibit A.
2.9. Termination for Cause. The University may terminate this contract for cause by providing a written Notice to Cure to the
Contractor citing the instances of noncompliance with the contract. The Contractor will have ten (10) days to reply to the
Notice to Cure and indicate why the contract should not be terminated and recommend remedies to be taken.
(a) If the Contractor and the University reach an agreed upon solution, the Contractor will then have thirty (30) days after
such agreement is reached to cure the noncompliance cited in the Notice to Cure.
(b) If a mutually agreed upon solution cannot be reached within ten (10) days after receipt of Notice to Cure by Contractor,
the University reserves the right to terminate the agreement at that time by written notice of such termination.
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(c) If the mutually agreed upon solution is not implemented within thirty (30) days from the date of agreement, the
University reserves the right to terminate the contract at that time by written notice of such termination.
(d) The University will be obligated only for those goods or Services rendered and accepted prior to the date of Notice of
Termination.
(e) Remedies for Default: If the solution mutually agreed upon pursuant to subsection (a) of this Section is not
implemented within the thirty (30) days provided in said subsection, the University may procure the subject goods or
services from another source and charge any cost difference to the Contractor.
2.10. Termination for Convenience.
(a) The University may terminate this Contract in whole or in part whenever, for any reason, the University shall determine
(b)
that such termination is in the best interest of the University and/or the State of Connecticut.
If this Agreement is terminated by the University pursuant to this section, the University will provide the Contractor ____
days written notice of such intention. In the event of such termination, the Contract Administrator and/or designee will
notify the Contractor by certified mail, return receipt requested. Termination will be effective as of the close of business on
the date specified in the notice.
2.11. Force Majeure. If the performance of obligations under this Agreement are rendered impossible or hazardous or is otherwise
prevented or impaired due to illness, accident, Act(s) of God, riots, strikes, labor difficulties, epidemics, earthquakes, and/or
any other cause or event, similar or dissimilar, beyond the control of the Contractor, then each party’s obligations to the other
under this Agreement shall be excused and neither party shall have any liability to the other under or in connection with this
Agreement.
2.12. Entire Agreement and Amendment. This Agreement is the entire agreement between the Contractor and the University and
supersedes and rescinds all prior agreements relating to the subject matter hereof. This Agreement may be amended only in
writing signed by both the Contractor and the University and if applicable, approved by the Office of the Attorney General. The
Contractor indicates it has read and freely signed this Agreement, which shall take effect as a sealed instrument. The
Contractor further certifies that the terms of this agreement are legally binding and its duly authorized representative has
signed this agreement after having carefully read and understood the same.
2.13. Additional Required Contractor Signature Authority, Affidavits and Certifications.
(a)
(b)
(c)
The individual signing this Agreement on behalf of the Contractor certifies that s/he has full authority to execute the
same on behalf of the Contractor and that this Agreement has been duly authorized, executed and delivered by the
Contractor and is binding upon the Contractor in accordance with its terms. The Contractor shall provide a Corporate
Resolution or other signature authority documentation certifying that the individual executing this Agreement has
been authorized by the governing body of the Contractor to sign on behalf of the Contractor. Sample forms can be
found at: http://www.contracts.uconn.edu/corpres.html
The University, as an agency of the State of Connecticut, requires that notarized Gift and Campaign Contribution
Certificates (Office of Policy and Management “OPM” Form 1) and Consulting Agreement Affidavits (OPM Form 5)
accompany all State contracts/agreements with a value of $50,000 or more in a calendar or fiscal year. [Form 1 is
also used with a multi-year contract to update the initial certification on an annual basis.] The State also requires an
Affirmation of Receipt of State Ethics Laws Summary (OPM Form 6) which must accompany large State construction
or procurement contracts with a value of $500,000 or more. Pursuant to Conn. Gen. Stat. § 4-252(c)(1), these
documents must be executed by the official who is authorized to execute the contract/agreement on behalf of the
Contractor. Ethics Affidavits and Certifications can be found at:
http://www.ct.gov/opm/cwp/view.asp?a=2982&q=386038
An executed Nondiscrimination Certification must also be provided by the Contractor at the time of contract execution
for all contracts/agreements with corporations and other entities, regardless of type, term, cost or value. The
Certification requires the signer to disclose his/her title and certify that the Contractor has in place a properly-adopted
policy, which supports the nondiscrimination requirements of Connecticut law. This Certification is required for all
original contracts/agreements as well as amendments. The Nondiscrimination Certification form can be found at:
http://www.ct.gov/opm/lib/opm/finance/psa/oag_nondiscrim_certification_080207_fillable_form.doc
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IN WITNESS WHEREOF, this Agreement has been duly executed by the following parties:
UNIVERSITY OF CONNECTICUT:
CONTRACTOR: _________________________
By:
Print Name:
Title:
Date:
By:
Print Name:
Title:
Date:
AGO Approval (As to Form)
By:
Print Name:
Date:
Title: __________________________________
Form Rev. 7/19/2011
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