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State of Connecticut

Request for Proposal #20PSX0084

A STUDY OF THE CORONAVIRUS DISEASE 2019 OUTBREAK AND RESPONSE IN CONNECTICUT LONG TERM CARE FACILITIES

Issued By: Janet DelGreco Olson, Contract Specialist

Date Issued: June 12, 2020

Due Date: June 19, 2020 at 2:00 pm Eastern Time

Department of Administrative Services Procurement Division

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TABLE OF CONTENTS

GUIDE TO ELECTRONIC PROPOSAL SUBMISSIONS _______________________________________ 3

OVERVIEW ______________________________________________________________________ 6

STUDY OBJECTIVES ________________________________________________________________ 7

SUBMITTAL REQUIREMENTS_________________________________________________________8

PRICING _________________________________________________________________________9

SELECTION CRITERIA______________________________________________________________10

INSTRUCTIONS___________________________________________________________________10

PROPOSAL REQUIREMENTS _______________________________________________________ 111

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Request for Proposals (“RFP”) A STUDY OF THE CORONAVIRUS DISEASE 2019 OUTBREAK AND RESPONSE IN CONNECTICUT LONG TERM CARE FACILTIES

Guide to Electronic Proposal Submissions

1. Introduction To BizNet

It is now a requirement of Department of Administrative Services (“DAS”)/Procurement Division that all companies create a Business Network (“BizNet”) account and add their company profiles to the State of Connecticut BizNet system. Companies are responsible for maintaining and updating company information in their BizNet account as updates occur. Companies that have been certified through the Supplier Diversity or the Pre-Qualification Program have already created a BizNet account. The BizNet login is: https://www.biznet.ct.gov/AccountMaint/Login.aspx New Companies: Create an account by clicking the BizNet login link above and then the button on the right labeled “Create New Account”. Login and select “Doing Business with the State” and “Company Information”. Please be sure to complete information in all tabs (“Company Information”, “Accounts”, “Address”, etc.). Existing Companies Needing to Update Their Information: Login to BizNet and select “Doing Business with the State” and “Company Information”. Anyone having difficulty connecting to their account or downloading or uploading forms should call DAS/Procurement Division at 860-713-5095.

2. Business Friendly Legislation

As a result of Public Act 11-229, DAS/Procurement Division’s goal is to make doing business with the State of Connecticut more business friendly. To eliminate redundancy, forms that were repetitively filled out with each RFP are being automated in BizNet. DAS/Procurement Division began the transition to on-line bidding by automating the submission of affidavits and non-discrimination forms on October 1, 2011. Companies must submit forms electronically to their BizNet account if they haven’t already done so. These forms must be updated on an annual basis, no later than thirty (30) days after the effective date of any material change. Rather than completing them with each proposal submittal, companies that have already filed these forms have the ability to view, verify and update their information prior to submitting a proposal response.

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Instructions for Uploading Affidavits and Non-Discrimination Forms: Click on the following link for instructions on how to upload Affidavits and Non-Discrimination forms: https://portal.ct.gov/-/media/DAS/DAS-Procurement-Services/Contracting/Admin-Instructions.pdf?la=en (a) AFFIDAVITS

THE FOLLOWING FORMS MUST BE SIGNED, DATED, NOTARIZED, UPLOADED OR UPDATED ON BIZNET. TO OBTAIN A COPY OF THESE FORMS, YOU MUST LOGIN INTO BIZNET AND FOLLOW THE INSTRUCTIONS LISTED ABOVE.

(1) OPM Ethics Form 1 – Gift & Campaign Contribution Certification; (2) OPM Ethics Form 5 – Consulting Agreement Affidavit; (3) OPM Ethics Form 6 – Affirmation of Receipt of State Ethics Laws Summary; (4) OPM Ethics Form 7 – Iran Certification.

For information regarding these forms, please access the Office of Policy & Management’s website by clicking on the following link: http://www.ct.gov/opm/cwp/view.asp?a=2982&q=386038

(b) NON-DISCRIMINATION –

CHOOSE ONE (1) FORM THAT APPLIES TO YOUR BUSINESS. COMPLETE AND UPLOAD OR UPDATE ON BIZNET ANNUALLY. TO OBTAIN A COPY OF THESE FORMS, YOU MUST LOGIN INTO BIZNET AND FOLLOW THE INSTRUCTIONS LISTED ABOVE.

(1) Form A – Representation by Individual (Regardless of Value); (2) Form B – Representation by Entity (Valued at $50,000 or less); (3) Form C – Affidavit by Entity (RECOMMENDED) (Valued at $50,000 or more) ; (4) Form D – New Resolution by Entity; (5) Form E – Prior Resolution by Entity.

For information regarding these forms and on which form your company should complete, please access the Office of Policy & Management’s website by clicking following link: http://www.ct.gov/opm/cwp/view.asp?a=2982&q=390928&opmNav_GID=1806

3. Online Proposal Responses

Any proposal posted by DAS/Procurement Division must be submitted electronically. The common forms listed below have also been automated in the BizNet system. In addition, specific forms are now fillable, as noted below. To complete forms; download them from your BizNet account, complete your submittal response, and then upload these completed documents (as well as any other required submittal documents) through BizNet prior to date and time upon which the Proposal is due pursuant to the RFP. Late submissions will not be accepted. All proposals response submitted must be e-signed. Proposals that are not e-signed are not received by DAS/Procurement and cannot be viewed or considered. If any required documents have not been uploaded, the system will not allow you to e-sign. After successful e-signature, Proposers will get a confirmation that their proposal has been successfully submitted. If you do not receive this electronic confirmation, please contact DAS/Procurement at 860-713-5095. Proposals are not publicly opened and are not available for viewing until after the Contract has been awarded.

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• Contractor Information/Electronic Signature Page – Web Based fillable Form; • Employment Information Form (DAS-45) – Web Based fillable Form; • Statement of Qualifications (DAS-14) – PDF Fillable Form; • Connecticut Economic Impact Form (DAS-46) – Web Based fillable Form; • Contract Exhibit B – Price Schedule (RFP-16); • Detailed submittal requirements prepared by Proposer and • RFP Addendum (RFP-18) – if applicable.

Additional forms such as those listed below must be reviewed carefully and accepted by the Proposer prior to proposal submittal:

• Standard Terms and Conditions (RFP-19); • Request for Proposal Document (RFP-22); • Contract Exhibit A – Description of Goods & Services and Additional Terms & Conditions and • Contract Exhibit C – Notice to Executive Branch State Contractors and Prospective State Contractors of

Campaign Contribution and Solicitations Limitations

Proposers are cautioned that there may be additional documents, attachments or requirements depending on the complexity of the RFP. Please read ALL RFP documents carefully and provide all required information. Failure to do so may result in rejection of your proposal.

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Overview

The State of Connecticut Department of Administrative Services is issuing this Solicitation as a Request for Proposal (“RFP”) in partnership with the Department of Public Health (DPH) pursuant to Governor Lamont’s Executive Order 7Z to procure the services of an independent contractor to study and issue a report on the outbreak of Novel Coronavirus Disease (COVID-19) in Connecticut long-term care facilities (LTC) consisting of 215 long-term nursing homes and 114 assisted living facilities, and the response of the state and the industry. The successful contractor will be required to complete the study and submit interim recommendations to the Governor and Legislative leaders no later than August 15, 2020 with a final report including final recommendations by September 30, 2020. The COVID-19 pandemic has severely impacted LTC residents and staff around the country. In CT, nursing homes have experienced over 2,500 resident deaths and more than 8,500 cases in a population of just over 21,000. More than 60% of total COVID-19 related deaths in CT have been among those residing in nursing homes. Certain assisted living facilities also saw high numbers of cases and deaths. CT took several aggressive steps to contain these outbreaks, including:

• Becoming one of the first states to discontinue visitation early in March 2020; • Establishing dedicated COVID-recovery facilities to prevent COVID positive patients from re-entering nursing

homes and assisted living; • Greatly enhancing inspection and monitoring of infection control practices leveraging the Connecticut National

Guard; • Delivering hundreds of thousands of units of personal protective equipment (PPE) through the mutual aid

program; and • Providing a $125 million financial aid package for nursing homes to support staff payment, infection control, PPE

costs, and other pandemic-related expenses.

In the months of May and June 2020, CT facilitated SARS CoV-2 testing of every nursing home resident who had not previously tested positive. Connecticut recently became one of the first states in the nation to mandate by Executive Order weekly staff testing in both nursing homes and assisted living facilities. As the pandemic in CT wanes and infections and community spread are low, it is important to review and understand the outbreak in CT LTC facilities prior to a potential second wave. We know that COVID-19 most severely impacts older adults and those with chronic underlying conditions. This is clearly a factor in the number of deaths CT has experienced. Congregate settings are at risk for infectious disease outbreaks, and LTC facilities regularly experience outbreaks of influenza and other illnesses. But given the potentially deadly nature of a “second wave,” and in order to ensure that CT mounts the best possible response to any resurgence of COVID-19, Governor Lamont is commissioning a study of the Coronavirus outbreak and response in CT LTC.

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STUDY OBJECTIVES

1. The resultant Contractor shall conduct a study to identify significant circumstances that may have favorably or unfavorably impacted the outbreak severity. The study should include, at a minimum:

a. Using available data, review and describe the overall nature of COVID-19 in CT nursing homes and

assisted living facilities, as compared to LTC facilities in other similarly situated states and the country overall1. Specific areas to address include, but may not be limited to:

i. Confirmed cases by age/race/ethnicity/geographic location ii. Confirmed deaths by age/race/ethnicity/geographic location iii. Other notable epidemiologic characteristics of the pandemic in LTC in CT

b. Provide a Review and overall assessment of the State’s preparedness for the pandemic in LTC prior to

the Governor’s emergency declaration on March 10th, 2020: i. Ability to detect and respond to outbreaks ii. Data and reporting systems iii. Flexibility/adaptability of LTC payment policies iv. Inspection, certification and regulatory framework v. Relationship with the industry vi. Staffing, expertise and agency structures vii. Other

c. Review and overall assessment of State’s response to the pandemic in LTC facilities following the

Governor’s emergency declaration on March 10th, 2020: i. Timeliness of response in comparison to the progression of the outbreak ii. Regulatory framework, including infection control, survey and certification iii. Guidance iv. Payment policies v. Communication vi. With the Industry vii. With Residents and family members/Responsible parties viii. Data availability and reporting ix. Establishment of COVID Recovery Facilities x. Availability of Testing and PPE xi. Other

d. Review and overall assessment of the CT LTC industry’s preparedness for the pandemic prior to the Governor’s emergency declaration on March 10th, 2020: i. Staffing challenges ii. Availability of PPE and ability to track/inventory iii. Infection control infrastructure iv. Staff expertise and skill levels v. Communication and coordination with other parts of the healthcare system such as hospitals

1 If indicated by this initial review, assessment of state and industry preparedness and response should be extended to include assisted living facilities as well as nursing homes

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vi. Communication with residents and family members/responsible parties vii. Other systemic issues viii. Other epidemiologic issues ix. Comparison to LTC industry preparedness in other states

e. Review and provide an overall assessment of the CT LTC industry’s response to the pandemic following

the Governor’s emergency declaration on March 10th, 2020: i. Timeliness of response in comparison to the progression of the outbreak ii. Staffing challenges iii. Ability to meet the social and emotional needs of the residents iv. Availability of PPE v. Availability of testing vi. Staff expertise and skill levels vii. Establishment of COVID Recovery Facilities viii. Use of Funding enhancements ix. Communication and coordination issues with other parts of the healthcare system such as hospitals x. Communication with residents and family members/responsible parties xi. Other systemic issues xii. Other epidemiologic issues xiii. Comparison to LTC industry response in other states

2. Develop and submit to the Governor and Legislative Leaders no later than August 15, 2020, interim

recommendations that shall describe immediate and achievable steps for the State and the industry to take in preparation for a potential second wave.

3. Develop and submit to the Governor and Legislative Leaders no later than September 30, 2020 a final

report and recommendations for preparing for and preventing future infectious disease outbreaks in CT long term care facilities.

4. The resultant Contractor shall be expected to conduct an audit-like review and complete the tasks

described herein through review of data and interviews with the Departments of Public Health, Social Services, Aging and Disability Services, the Office of Policy and Management, the Long Term Care Ombudsman’s Office, members of the legislative and executive branch, non-partisan staff of the legislative branch, industry, residents and families, LTC experts, and LTC staff.

Submittal Requirements

The proposal must describe the organization’s ability to conduct the described study and submit the recommendations in accordance with the established timelines.

Proposers must also include the level of support from the State or Departments that would be required to complete the study objectives.

Proposals must include the following information and a description of how the proposer shall conduct and address all requirements identified in the RFP. Respondents can use the following headers to outline their responses.

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Project Workplan, Timeline and Approach

Describe your overall approach to this project including a proposed workplan with timelines. Include in your description any assumptions used in the development of the response.

Qualifications and Experience

Provide background on your history and expertise in public health, including knowledge and experience in the LTC Industry. This may include information on all or some of the following examples:

Provide a general overview of your organization; What past experience do you have that demonstrates your ability to conduct this study and develop

recommendations in the timeline provided? Provide at least three (3) client references that the proposer has provided similar service within the last

three (3) years. Provide the following information for each reference: Organization Name of the reference; contact person name phone and email address; contract start and end dates; and detailed description of service provided.

Proposers must complete the following forms (available online) and include them with their submission.

• Statement of Qualifications (DAS-14) – PDF Fillable Form • Vendor Profile Form - PDF Fillable Form • Vendor W9 Form – PDF Fillable Form

Pricing

Provide an all inclusive fixed price for each of the following deliverables:

a. Interim report with Short-term recommendations b. Final report with Long-term system recommendations

The State is asking all proposers to respond with their best, most competitive pricing given the immediate need to provide services to Connecticut residents in a safe, comprehensive and efficient manner during these unprecedented times.

All price offerings must reflect net pricing, inclusive of any time or materials required to perform the services proposed.

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Selection Criteria The State may award by individual item, group of items, or the entirety of all items. The State may also reject any and all responses in whole or in part, and waive minor irregularities and omissions if, in the judgment of the State, the best interest of the State will be served. It is the intention of the State to partner with one qualified, responsible proposer that meets the specifications and requirements in order to best meet the terms of the RFP within the defined time period. This RFP will be awarded to the most advantageous proposer based on the most favorable service delivery approach, past relevant organization experience, and price, as determined by the State. The State intends that this contract shall be in effect for an initial term of one year. The State, in its sole discretion, may extend this Contract for additional terms beyond the original term, prior to Termination or expiration, one or more times for a combined total period not to exceed the complete length of the original term.

Instructions to Proposers

1. Proposal Schedule RELEASE OF RFP: Date: June 12, 2020 RECEIPT OF QUESTIONS: Date: Questions will be answered on a rolling basis

through June 18th at 4:00pm ANSWERS TO QUESTIONS POSTED AS ADDENDUM: Date: Questions received by 4:00pm will be

answered by the next business day RFP DUE DATE: Date: June 19, 2020 at 2:00 pm Eastern Time

2. Questions

Questions for the purpose of clarifying this RFP must be directed to: Heather.Aaron@ct.gov Please indicate the RFP number in the subject line of your email.

3. Solicitation Submission Submissions are due: by midnight on Friday, June 19, 2020. Proposers can submit responses via email directly as a PDF to: Heather.Aaron@ct.gov

4. Solicitation Submission

Solicitations shall be submitted online by the RFP due date and time only. Proposers shall upload their solicitation submission to their BizNet Account.

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Proposal Requirements

1. Stability of Proposed Prices

Any price offerings from proposers must be valid for a period of 30 days from the due date of the proposals.

2. Amendment or Cancellation of the RFP The State reserves the right to cancel, amend, modify or otherwise change this RFP at any time if it deems it to be in the best interest of the State to do so.

3. Proposal Modifications No additions or changes to any proposal will be allowed after the proposal due date, unless such modification is specifically requested by the State. The State, at its option, may seek proposer retraction and/or clarification of any discrepancy or contradiction found during its review of proposals.

4. Proposer Presentation of Supporting Evidence Proposers must be prepared to provide any evidence of experience, performance, ability, and/or financial surety that the State deems to be necessary or appropriate to fully establish the performance capabilities represented in their proposals.

5. Proposer Demonstration of Proposed Services and or Products At the discretion of the State, proposers must be able to confirm their ability to provide all proposed services. Any required confirmation must be provided at a site approved by the State and without cost to the State.

6. Erroneous Awards The State reserves the right to correct inaccurate awards.

7. Proposal Expenses Proposers are responsible for all costs and expenses incurred in the preparation of proposals and for any subsequent work on the proposal that is required by the State

8. Ownership of Proposals All proposals shall become the sole property of the State and will not be returned.

9. Ownership of Subsequent Products Any product, whether acceptable or unacceptable, developed under a contract awarded as a result of this RFP shall be the sole property of the State unless otherwise stated in the contract.

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10. Oral Agreement or Arrangements Any alleged oral agreements or arrangements made by proposers with any State agency or employee will be disregarded in any State proposal evaluation or associated award.

Contract # 20PSX0084 Rev. 11/7/13 Prev. Rev. 9/12/13

EXHIBIT A

DESCRIPTION OF GOODS & SERVICES AND ADDITIONAL TERMS & CONDITIONS

This document will be completed when the contract has been awarded.

Fill-in Forms Information for the SP-26NB and W-9 Forms

Overview There is no verification of the information you enter. You are responsible for entering all information.

Some information must be handwritten on the form.

Software Requirements To view, complete and print the following fill-in PDF forms, you will need the freely available Adobe

Reader software installed on your computer.

Adobe Reader Adobe PDF files are a means to distribute publications and other information. To fill-in, download and

print a PDF file, you will need to have the Adobe Reader software installed. You can download the latest version of Adobe Reader FREE from the Adobe Reader download page on Adobe's Web site.

Completing the form on your PC When positioning the cursor on a fill-in area, the cursor will change appearance.

The I-beam pointer allows you to type text.

The hand pointer allows you to select a check box or button. Enter the appropriate data in each box or field.

To move from one field to the next, press the Tab key.

You can also use your mouse to move your cursor from field to field. Place your cursor in the field you want to fill in, then left-click.

Some fields limit the maximum number of characters you can enter and may automatically advance to the next field.

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Saving a Form

When saving a file, be sure to use the Save function of Adobe Reader rather than the web browser's save.

Printing a Form

When printing Adobe PDF files from within your web browser, whether you are printing a blank form or printing a form after filling it in from your PC, use the print button at the left end of the special

Adobe Acrobat tool bar, which appears immediately above the viewing window.

THIS PAGE IS FOR INFORMATION ONLY AND DOES NOT NEED TO BE PRINTED NOR SUBMITTED WITH THE FOLLOWING FORMS.

STATE OF CONNECTICUT - AGENCY VENDOR FORM IMPORTANT: ALL parts of this form must be completed, signed and returned by the vendor.

READ OMPLETE AREFULLY SP-26NB-IPDF Rev. 4/10 & C C

COMPLETE VENDOR LEGAL BUSINESS NAME Taxpayer ID # (TIN):

SSN FEIN

WRITE/TYPE SSN/FEIN NUMBER ABOVE

BUSINESS NAME, TRADE NAME, DOING BUSINESS AS (IF DIFFERENT FROM ABOVE) BUSINESS ENTITY: CORPORATION LLC CORPORATION LLC PARTNERSHIP LLC SINGLE MEMBER ENTITY NON-PROFIT PARTNERSHIP INDIVIDUAL/SOLE PROPRIETORNOTE: IF INDIVIDUAL/SOLE PROPRIETOR, INDIVIDUAL’S NAME (AS OWNER) MUST APPEAR IN THE LEGAL BUSINESBUSINESS TYPE: A. SALE OF COMMODITIES B. MEDICAL SERVICES C. ATTORNEY FEES D. R (R

E. OTHER (DESCRIBE IN DETAIL)

UNDER THIS TIN, WHAT IS THE PRIMARY TYPE OF BUSINESS YOU PROVIDE TO THE STATE? (ENTER LETTER FROM

UNDER THIS TIN, WHAT OTHER TYPES OF BUSINESS MIGHT YOU PROVIDE TO THE STATE? (ENTER LETTER FROM

NOTE: IF YOUR BUSINESS IS A PARTNERSHIP, YOU MUST ATTACH THE NAMES AND TITLES OF ALL PARTNERS TO YNOTE: IF YOUR BUSINESS IS A CORPORATION, IN WHICH STATE ARE YOU INCORPORATED? VENDOR ADDRESS STREET CITY STA

Add Additional Business Address & Contact information on back of this form.

VENDOR E-MAIL ADDRESS

VENDOR WEB SITE

REMITTANCE INFORMATION: INDICATE BELOW THE REMITTANCE ADDRESS OF YOUR BUSINESS. SAME AS VENDOREMIT ADDRESS STREET CITY STA

CONTACT INFORMATION: NAME (TYPE OR PRINT) 1ST BUSINESS PHONE: Ext. # HOME PHONE: 2ND BUSINESS PHONE: Ext. #� 1ST PAGER: CELLULAR: 2ND PAGER: 1ST FAX NUMBER:� TOLL FREE PHONE: 2ND FAX NUMBER:� TELEX: WRITTEN SIGNATURE OF PERSON AUTHORIZED TO SIGN PROPOSALS ON BEHALF OF THE ABOVE NAMED VENDOR

SIGN HERETYPE OR PRINT NAME OF AUTHORIZED PERSON

TITLE OF AUTHORIZED PER

IS YOUR BUSINESS CURRENTLY A DAS CERTIFIED SMALL BUSINESS ENTERPRISE? YES (ATTACH COPY OF CE

IS YOUR BUSINESS CURRENTLY A CT DOT CERTIFIED DISADVANTAGED BUSINESS ENTERPRISE (DBE)? YES

IF YOU ARE A STATE EMPLOYEE, INDICATE YOUR POSITION, AGENCY & AGENCY ADDRESS

PURCHASE ORDER DISTRIBUTION: (E-MAIL ADDRESS)

NOTE: THE E-MAIL ADDRESS INDICATED IMMEDIATELY ABOVE WILL BE USED TO FORWARD PURCHASE ORDER

ADD FURTHER BUSINESS ADDRESS, E-MAIL & CONTACT INFORMATION ON SEPARATE SHE

G

OVERNMENT S NAME BLOCK ABOVE.ENTAL OF PROPERTY

EAL ESTATE & EQUIPMENT)

ABOVE) ➝

ABOVE) ➝

OUR BID SUBMISSION.

TE ZIP CODE

R ADDRESS ABOVE. TE ZIP CODE

DATE EXECUTED

SON

RTIFICATE) NO NO

S TO YOUR BUSINESS.

ET IF REQUIRED

CONNECTICUT STATE ELECTIONS ENFORCEMENT COMMISSION Rev. 07/18 Page 1 of 2

RFP Number: 20PSX0084 Exhibit C

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 (f) (2) and is for the purpose of informing state contractors and prospective state contractors of the following law (italicized words are defined on the reverse side of this page).

CAMPAIGN CONTRIBUTION AND SOLICITATION LIMITATIONS

No state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor, with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi-public agency or a holder, or principal of a holder, of a valid prequalification certificate, shall make a contribution to (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of Governor, Lieutenant Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee (which includes town committees).

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

On and after January 1, 2011, no state contractor, prospective state contractor, principal of a state contractor or principal of a prospective state contractor, with regard to a state contract or state contract solicitation with or from a state agency in the executive branch or a quasi- public agency or a holder, or principal of a holder of a valid prequalification certificate, shall knowingly solicit contributions from the state contractor’s or prospective state contractor’s employees or from a subcontractor or principals of the subcontractor on behalf of (i) an exploratory committee or candidate committee established by a candidate for nomination or election to the office of Governor, Lieutenant Governor, Attorney General, State Comptroller, Secretary of the State or State Treasurer, (ii) a political committee authorized to make contributions or expenditures to or for the benefit of such candidates, or (iii) a party committee.

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:

Civ il 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.

Cri minal pe nalties —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 result in the contract being voided.

In the case of a prospective state contractor, contributions made or solicited in violation of the above prohibitions shall result in the contract described in the state contract solicitation not being awarded to the prospective state contractor, unless the State Elections Enforcement Commission determines that mitigating circumstances exist concerning such violation.

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

Additional information may be found on the website of the State Elections Enforcement Commission, www.ct. go v/ see c . Click on the link to “Lobbyist/Contractor Limitations.”

CONNECTICUT STATE ELECTIONS ENFORCEMENT COMMISSION Rev. 07/18 Page 2 of 2

RFP Number: 20PSX0084 Exhibit C

DEFINITIONS

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

“Prospective state contractor” means a person, business entity or nonprofit organization that (i) submits a response to a state contract solicitation by the state, a state agency or a quasi-public agency, or a proposal in response to a request for proposals by the state, a state agency or a quasi-public agency, until the contract has been entered into, or (ii) holds a valid prequalification certificate issued by the Commissioner of Administrative Services under section 4a-100. “Prospective state contractor” does not include a municipality or any other political subdivision of the state, including any entities or associations duly created by the municipality or political subdivision exclusively amongst themselves to further any purpose authorized by statute or charter, or an employee in the executive or legislative branch of state government or a quasi-public agency, whether in the classified or unclassified service and full or part-time, and only in such person’s capacity as a state or quasi-public agency employee.

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

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

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

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

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

“Solicit” means (A) requesting that a contribution be made, (B) participating in any fundraising activities for a candidate committee, exploratory committee, political committee or party committee, including, but not limited to, forwarding tickets to potential contributors, receiving contributions for transmission to any such committee, serving on the committee that is hosting a fundraising event, introducing the candidate or making other public remarks at a fundraising event, being honored or otherwise recognized at a fundraising event, or bundling contributions, (C) serving as chairperson, treasurer or deputy treasurer of any such committee, or (D) establishing a political committee for the sole purpose of soliciting or receiving contributions for any committee. Solicit does not include: (i) making a contribution that is otherwise permitted 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.