ADDENDUM 4 IMPORTANT NOTIFICATIONS · 2009. 1. 20. · Connecticut Lottery Corporation . 777 Brook...

Connecticut Lottery Corporation 777 Brook Street

Rocky Hill CT 06067

Request for Proposals CLC200818

Courier Delivery Services

ADDENDUM 4

IMPORTANT NOTIFICATIONS

1. The Proposal due date is revised to Monday, January 26, 2009 at 2:00 p.m. local time to allow Vendors time to factor into their proposal an additional requirement, item #2 below.

2. Section entitled Required Insurance Certificates is amended to include the following requirement:

CARGO INSURANCE – The Vendor must secure and maintain at all times during the term of the contract and any extension thereof, a policy of cargo insurance which shall pay to the CLC replacement value of any tickets which are lost for any reason while in the possession of the Vendor. The policy shall pay to the CLC the cost of replacing the tickets and distributing the tickets to Retailer locations where the lost shipment was to be delivered. The policy shall be payable regardless of the reason or cause for the loss, including but not limited to theft, fire, or vehicular

accident. Coverage shall not be less than $500,000. The policy shall apply to all Lottery tickets and other materials that may be delivered under the Contract from the time they are received by the Vendor until the tickets or materials are properly delivered to the location specified by the CLC. The policy shall name the CLC as the Additional Insured and shall contain a provision that it is not cancelable with less than thirty (30) days advance written notice to both the Vendor and the CLC. The notice sent to the CLC shall be addressed to:

Connecticut Lottery Corporation’ Corporate Counsel 777 Brook Street Rocky Hill, CT 06067

The above‐specified policy of cargo insurance shall be submitted to and approved by the CLC after award of the Contract to the Vendor, but prior to its final execution.


Rocky Hill, CT 06067 860-713-2700 (voice)



ADDENDUM 3

December 22, 2008

Response to Vendor’s Questions

1. Can you provide the current pricing schedule? The Connecticut Lottery currently pays $3.88 per package for new game and daily game deliveries. For messenger services, we pay $23.00 per hour.

2. Can you provide the current number of routes/drivers?

Each Prospective Vendor must determine the appropriate routing and staffing levels in order to meet the requirements of this RFP. Please refer to the response to Question #11 for current routing information.

3. In the RFP it states that you will include a single digit number on the shipping label to

facilitate presort by the vendor, but the label appears to have a 2 digit routing code (e.g. 6A, 2B, etc.) – will the new vendor have 1 or 2 digits as a routing code? The Lottery has confirmed that our system does, in fact, use two (2) digits.

4. In addition to the jiffy bag, do you use any additional packaging and if so what are the

dimensions of the bag(s) and/or box(s)?

RFP # CLC200818 Courier Delivery Services Addendum 3

RFP # CLC200818 Courier Delivery Services Addendum 3

No, we don’t currently use any packaging other than Jiffy® bags; we have no immediate plans to expand or change this decision.

5. Would you use a third party solution for producing mail labels and paying postage?

The Connecticut Lottery will consider all Proposals as long as they offer reliable and economic benefits and meet the requirements of this RFP.

6. What software does CLC use to produce their barcoded labels and electronically

upload their files? The Connecticut Lottery uses proprietary Games Management Software that is owned and developed by our on-line Vendor, Scientific Games International. The shipping, manifest and inventory tracking information are modules of the software.

7. Do you weigh each piece or do you use pre-determined weights?

Packages are not weighed. The Lottery is requesting a price per package for delivery. Please refer to the RFP for the approximate package weights when determining your package price.

8. What is meant by “not commingling”? Commingling occurs when the delivery driver is allowed to carry freight for more than one client in the same vehicle when making deliveries.

9. If we are unable to sign an ethics agreement, such as “No employee will purchase

lottery tickets,” will we be disqualified from the bidding process? Yes, this prohibition is a condition of the Contract Award and a requirement of licensing. It applies to the drivers delivering tickets as well as to the office personnel handling Lottery business.

10. If we are unable to meet the net (30) day billing request, will we be disqualified from

the bidding process? While you may not be disqualified from further consideration, your Proposal may be negatively evaluated as a result of this deviation. Please explain your payment terms in detail.

11. Can you provide a breakdown/definition of the zones and their subsections? e.g. Zone 3A vs. Zone 3B. Please refer to the Lottery’s official web site (www. ctlottery.org/bids-open.htm) for a complete listing of the current routing information.

12. Are the zones day-specific? e.g. Are zones 3, 6 & 8 picked and packed on Tuesdays for delivery on Wednesdays? No, the zones are not day-specific. The Lottery picks and packs as business needs require. The Prospective Vendor must be prepared to deliver in each zone every day as specified in the RFP.

13. Are all zones delivered each day? Please refer to Question #12.

14. Can we have a breakdown of the zones by location address, town, and zip?

Please refer to Question #11.

15. What is CT lottery consider proper staffing level? Proper staffing levels are those sufficient enough to handle all the delivery requirements of the RFP.

16. If deliveries cannot be completed because of weather conditions who or what will be the deciding factor on fines? During adverse weather conditions, the Connecticut Lottery maintains close contact with the Vendor and may decide to adjust delivery schedules as deemed necessary.

17. Will the daily deliveries be provided segregated by the CLC by regions or will the

vendor receive deliveries that could potentially go to all regions of the State on a daily basis? As an example, Mondays would be region 1, 2, 3; Tuesday would be region 4, 5, 6, etc. The Prospective Vendor must be prepared to deliver in each zone every day as specified in the RFP. The Vendor will receive unsorted packages from the Lottery. It is the responsibility of the Vendor to sort the packages into the designated routes.

18. There are 2,800 retail agents and each one of them gets a daily delivery at least once weekly. The RFP states that there are an average of 450 daily deliveries. If deliveries are made on a Monday through Friday schedule (5 days), the total amount of deliveries would be 5 days X 450 deliveries = 2,250. This would be a shortfall of 550 deliveries. Is this right? As stated in the RFP, these are average numbers. They are provided to Prospective Vendors as guidelines to help determine the package volume. The number of packages delivered weekly may fluctuate throughout the year. In some weeks, retailers may not receive a ticket order at all and, conversely, in other weeks, retailers may receive multiple ticket orders.

19. Are the delivery days actually Monday though Friday? The actual delivery days are Tuesday through Saturday. The Lottery requires next day delivery for daily orders. For example, all daily orders packed on Monday must be delivered on Tuesday and all daily orders packed on Friday must be delivered on Saturday. New game orders must be delivered within 48-hours. New game orders are picked up on Tuesday and must be delivered by close of business on Thursday.

20. Can deliveries be made on the weekends? Please refer to Question #19. Deliveries picked up on Friday must be delivered on Saturday.

21. The line-haul freight that is picked up on Friday, we are to hold it in our terminal over the weekend for delivery on Monday. Is this correct? Please refer to Question #19. Deliveries picked up on Friday must be delivered on Saturday.

RFP# CLC200818 Courier Delivery Services ADDENDUM 2 12/15/2008

RFP# CLC200818 Courier Delivery Services 12/15/2008





ADDENDUM 2

December 15, 2008

1.) In the Summary of Key Dates and Deadlines on page 12, the Anticipated Notice of Contract Award is amended to February 27, 2009.

2.) Attachment C, Pricing Schedule is amended to include messenger services as optional and is consistent with Section 3.17, MESSENGER SERVICES (INVITED OPTION). Proposals must be submitted using the revised Pricing Schedule that follows this Addendum.

ADDENDUM 2

Attachment C – PRICING SCHEDULE Amended December 15, 2008

Connecticut Lottery Corporation RFP# CLC200818

Vendors must complete the following Pricing Schedule and submit it along with their Proposal, in a separately sealed envelope. There must be only one (1) original Pricing Schedule submitted with the original Proposal.

Vendor Name __________________________________________________________ Address __________________________________________________________ __________________________________________________________ __________________________________________________________ Contact Name __________________________________________________________ Telephone __________________________ Fax _____________________________ E-mail ___________________________________________________________

CONTRACT YEAR # 1

(April 1, 2009 to March 31, 2010) Next Day Delivery (Daily packages within 24 hours) $___________per package Two day delivery (New Game packages within 48 hours) $___________per package *All deliveries completed by 5:00pm on Thursday of launch week. OPTIONAL: One day delivery of all New Game packages $___________per package High‐Tier Claim Center Deliveries $___________per package *All New Game packages to be delivered to three (3) High‐Tier Claim Centers by 10:00am on launch day. High‐Tier Claims Returns $___________per package *Claim form returns OPTIONAL: Messenger Services $___________per hour

See next page


CONTRACT YEAR # 2

(April 1, 2010 to March 31, 2011) Next Day Delivery (Daily packages within 24 hours) $___________per package Two day delivery (New Game packages within 48 hours) $___________per package *All deliveries completed by 5:00pm on Thursday of launch week. OPTIONAL: One day delivery of all New Game packages $___________per package High‐Tier Claim Center Deliveries $___________per package *All packages to be delivered to three (3) High‐Tier Claim Centers by 10:00am on launch day. High‐Tier Claims Returns $___________per package *Claim form returns OPTIONAL: Messenger Services $___________per hour

CONTRACT YEAR # 3 (April 1, 2011 to March 31, 2012)

Next Day Delivery (Daily packages within 24 hours) $___________per package Two day delivery (New Game packages within 48 hours) $___________per package *All deliveries completed by 5:00pm on Thursday of launch week. OPTIONAL: One day delivery of all New Game packages $___________per package High‐Tier Claim Center Deliveries $___________per package *All packages to be delivered to three (3) High‐Tier Claim Centers by 10:00am on launch day. High‐Tier Claims Returns $___________per package *Claim form returns OPTIONAL: Messenger Services $___________per hour

See next page


RFP# CLC200818 Courier Delivery Services 12/15/2008

ADDENDUM 2

OPTION EXTENSION YEAR # 1 (April 1, 2012 to March 31, 2013)








ADDENDUM 1

December 9, 2008

The mandatory pre-proposal conference is scheduled for 10:00 a.m. on December 15, 2008, not December 22 as previously reported. Registration

forms are due on or before December 12, 2008.



Request for Proposals Courier Delivery Services CLC200818 Version: FINAL

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Bid Number: CLC200818 Bid Description: Courier Delivery Services Issue Date: December 8, 2008

Proposals Due: January 22, 2009 by 2:00pm Local Time

NOTE: Bids cannot be accepted after the specified bid response date and time.

Sealed bids may be submitted via U.S. Postal Service, commercial delivery service or hand delivered; electronic or facsimile versions will not be accepted.

RETURN SEALED BIDS TO: Janice Beckner Associate Fiscal Administrative Officer (Purchasing Officer) Connecticut Lottery Corporation 777 Brook Street Rocky Hill, CT 06067 Reference: CLC200818

Courier Delivery Services CLC200818 Version: FINAL

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PROPOSAL # CLC200818

VENDOR’S CHECKLIST

It is suggested that you review and check off each action as you complete it.

1. Read the entire document. Note critical items such as mandatory requirements,

required services, date to submit, number of copies required, terms and conditions of the Contract.

2. Note the Purchasing Officer’s name, address, phone numbers and email address.

This is the only person who is allowed to communicate with Vendors regarding this solicitation.

3. Attend the Pre‐Proposal conference, if one is offered. These conferences provide an opportunity to ask clarifying questions, obtain a better understanding of the project, or to notify the CLC of any ambiguities, inconsistencies or errors in the solicitation.

4. Take advantage of the Question and Answer period. Submit your questions to the Purchasing Officer by the due date listed in the Schedule of Events and view the answers given in the formal addenda issued for the solicitation. All addenda issued for a solicitation are posted on the CLC website and will distributed to vendors registered to receive bid opportunity notices via the State of Connecticut, Department of Administrative Services Procurement Portal. Addenda will include all questions asked and answers provided for this solicitation.

5. Follow the format required in the solicitation when preparing your response.

Provide point‐by‐point responses to all sections in a clear and concise manner.

6. Provide complete answers/descriptions. Read and answer all questions and requirements. Do not assume the CLC or the Evaluation Committee will know what your capabilities are or what services you can provide even if you have previously contracted with the CLC. The Proposals are evaluated based solely on the information and materials provided in your response.

7. Use the forms provided (ie. cover page, pricing form, release forms, affidavit, etc.)

8. Check the CLC’s website for RFP addenda. Before submitting your Proposal, check the CLC’s website at www.ctlottery.org or the State of Connecticut, Department of Administrative Services Procurement Portal to see whether any addenda were issued for the solicitation.

9. Review and read the solicitation document more than once to make sure that you have addressed all requirements. Your original response and the requested copies must be identical and complete. The copies are provided to the Evaluation Committee and will be used to score your response.

10. Submit ONE (1) original and SEVEN (7) exact duplicate copies of your response no later than the date and time specified. ONE (1) copy of the Pricing Proposal should be submitted in a separately‐sealed envelope Note all the dates and times


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http://www.ctlottery.org/

listed in the Schedule of Events within the document, and be sure to submit all required items on time. Late Proposal responses are not accepted or evaluated.

This checklist is provided for assistance only and should not be submitted with the Vendor’s Proposal.


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Courier Delivery Services TABLE OF CONTENTS

VENDOR’S CHECKLIST .................................................................................................................................................10

TABLE OF CONTENTS...................................................................................................................................................12

PART I STANDARD SUBMISSION REQUIREMENTS ...................................................................................................14 RESPONSES AND PROPOSALS..........................................................................................................................................14 GUARANTY OR SURETY .................................................................................................................................................15 SAMPLES....................................................................................................................................................................15 AWARD .....................................................................................................................................................................15 CONTRACT .................................................................................................................................................................15 DELIVERY ...................................................................................................................................................................16 FORCE MAJEURE .........................................................................................................................................................16 ADVERTISING ..............................................................................................................................................................16 RIGHTS ......................................................................................................................................................................16 TERMINATION OF CONTRACT .........................................................................................................................................17

PART II GENERAL SUBMISSION INFORMATION .........................................................................................................19 ISSUING OFFICE ...........................................................................................................................................................19 PURCHASING OFFICER ..................................................................................................................................................19 DATE AND TIME OF PROPOSAL SUBMISSION .....................................................................................................................19 PROPOSAL FORMAT .....................................................................................................................................................19 REQUIRED DOCUMENTS FOR THE PROPOSAL ....................................................................................................................19 SUMMARY OF KEY DATES AND DEADLINES........................................................................................................................21 MANDATORY SITE INSPECTION/PRE‐PROPOSAL CONFERENCE ..............................................................................................21 QUALIFICATIONS OF THE VENDOR ...................................................................................................................................21 PRIME CONTRACTOR RESPONSIBILITY ..............................................................................................................................21 INDEPENDENT CONTRACTOR OR SUBCONTRACTOR APPROVAL ..............................................................................................21 APPROVAL OF STAFFING AND MINIMUM STAFFING LEVELS ..................................................................................................22 DRIVER AND VEHICLE SAFETY .........................................................................................................................................22 SUBCONTRACTORS .......................................................................................................................................................22 EQUAL BUSINESS OPPORTUNITY .....................................................................................................................................22 ETHICS IN PUBLIC CONTRACTING.....................................................................................................................................22 CONFIDENTIALITY OF DATA ............................................................................................................................................23 EXPIRATION OF CONTRACT AND TRANSITION TO NEW VENDOR ............................................................................................23 CODE OF CONDUCT FOR THE VENDOR..............................................................................................................................23

PART III SCOPE OF SERVICES.......................................................................................................................................24 STATEMENT OF WORK ..................................................................................................................................................24 BACKGROUND INFORMATION.........................................................................................................................................24 MINIMUM SPECIFICATIONS AND REQUIRED SERVICES .........................................................................................................24

PART IV EVALUATION AND CONTRACT AWARD........................................................................................................30 CONTRACT PERIOD.......................................................................................................................................................30 BASIS OF CONTRACT AWARD .........................................................................................................................................30 EVALUATION PROCESS ..................................................................................................................................................30 RECOMMENDATION OF CONTRACT AWARD ......................................................................................................................32


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CONTRACT AWARD ......................................................................................................................................................32 CONTRACT EXECUTION .................................................................................................................................................33 REQUIRED INSURANCE CERTIFICATES ...............................................................................................................................33 REQUIRED PERFORMANCE BOND ....................................................................................................................................33

PART V SECURITY ........................................................................................................................................................35 VENDOR LICENSING......................................................................................................................................................35 SECURITY PLAN ...........................................................................................................................................................35

PART VI LIQUIDATED DAMAGES................................................................................................................................37

APPENDIX A ‐ GLOSSARY ............................................................................................................................................38

APPENDIX B ‐ PROPOSAL REQUIREMENTS ................................................................................................................39

APPENDIX C ‐ RETAILER LISTING.................................................................................................................................40

APPENDIX D ‐ SAMPLE OF SHIPPING LABEL AND MANIFEST.....................................................................................41

ATTACHMENT A ‐ VENDOR INFORMATION FORM ....................................................................................................42

ATTACHMENT B – VENDOR’S AFFIDAVIT ...................................................................................................................43

ATTACHMENT C ‐ PRICING SCHEDULE..........................................................................................................................5

ATTACHMENT D ‐ CONSULTING AGREEMENT AFFIDAVIT .........................................................................................47

ATTACHMENT E – GIFT AND CAMPAIGN CONTRIBUTION CERTIFICATION ...............................................................49

ATTACHMENT F...........................................................................................................................................................52 INDIVIDUAL RELEASE AUTHORIZATION ..................................................................................................................52 BUSINESS RELEASE AUTHORIZATION ......................................................................................................................53

ATTACHMENT G ‐ PROHIBITION AGAINST PLAYING THE CONNECTICUT LOTTERY ..................................................54

ATTACHMENT H ‐ AFFIRMATION OF RECEIPT OF STATE ETHICS LAWS SUMMARY.................................................55

ATTACHMENT I – SEEC FORM 10, CAMPAIGN CONTRIBUTION AND SOLICITATION BAN ........................................57

ATTACHMENT J – MANDATORY PRE‐PROPOSAL CONFERENCE REGISTRATION FORM............................................59

ATTACHMENT K ‐ CONFIDENTIALITY STATEMENT .....................................................................................................60

ATTACHMENT L ...........................................................................................................................................................61 IMPORTANT NOTICE TO CLC EMPLOYEES ...............................................................................................................61 IMPORTANT NOTICE TO CLC BOARD OF DIRECTORS...............................................................................................62 IMPORTANT NOTICE TO DIVISION OF SPECIAL REVENUE........................................................................................64


PART I STANDARD SUBMISSION REQUIREMENTS The following Terms and Conditions shall form the basis for the final Contract between the Vendor and the Connecticut Lottery Corporation (CLC) unless otherwise negotiated.

Responses and Proposals 1.1 Forms specified and provided by the CLC in this solicitation must be submitted with the Request for Proposals (RFP)

response. Telephone, electronic or facsimile Proposals will not be accepted. 1.2 The time and date that the RFP responses are due is clearly stated on each solicitation issued. Proposals received after the

specified time and date shall NOT be considered. Response envelopes must clearly indicate the number and title of the solicitation. The name and address of the Vendor should appear in the upper left‐hand corner of the envelope.

1.3 Amendments to Proposals received by the CLC after the time specified shall NOT be considered. One original and seven

(7) copies of the Proposal shall be returned to the CLC. RFP responses shall be computer prepared, typewritten or handwritten in ink. All Proposals shall be signed by a person duly authorized to sign the RFP responses on behalf of the Vendor. Unsigned RFP Proposals shall be rejected. The person signing the Proposal must initial errors, alterations or corrections on both the original and copies of the Proposal.

1.4 Proposals shall be prepared in a straightforward manner, describing the Vendor’s ability to meet the requirements of this

RFP. Proposals shall be loosely bound and indexed in a manner that follows the outline of the RFP. 1.5 Conditional Proposals are subject to rejection in whole or in part. A conditional Proposal is defined as one that limits,

modifies, expands or supplements any of the terms and conditions and/or specifications of the RFP. 1.6 The CLC reserves the right to ask the Vendor to submit information missing from the Proposal, or to clarify the Proposal or

submit additional information which the CLC deems desirable. 1.7 Alternate Proposals will not be considered. An alternate Proposal is defined as one that is submitted in addition to the

Vendors primary response to the RFP. 1.8 Prices should be extended in decimal and not in fraction, must be net, shall include transportation and delivery charges

fully prepaid by the Vendor to the destination specified in the RFP, and subject only to cash discount. 1.9 Pursuant to Section 12‐816 of the Connecticut General Statutes, the Connecticut Lottery Corporation is exempt from any

form of Federal or State taxation. Such taxes must not be included in Proposal prices. 1.10 In the event of a discrepancy between the unit price and the extension, the unit price shall govern. 1.11 The CLC, in its sole discretion, may waive informalities and nonmaterial deviations in the Proposal. Any waiver of

informalities or nonmaterial deviations shall not modify the original RFP or relieve the Vendor from full compliance with the Contract requirements, if awarded.

1.12 All Vendors shall certify to the CLC that their Proposals are made without collusion or fraud and that they have not offered

or received any kickbacks, gifts or inducements from any other Vendor, supplier, manufacturer or subcontractor in connection with their Proposal, and that they have not conferred on any public employee having official responsibility for this procurement transaction, any payment, gift, loan, subscription, advance, deposit of money or service, present or promised, to or from any such public employee unless such consideration was not related to and was not intended to influence any decision regarding this RFP.

1.13 All Vendors must certify to the CLC that they are in full compliance with all required affidavits and contracting

requirements hereto attached to this RFP. 1.14 By submitting their Proposals, Vendors shall certify that they are not currently debarred from submitting Proposals on

contracts by any agency of the State of Connecticut, or any other state within the United States, nor are they an agent of any person or entity that is currently debarred from submitting bids on contracts by any agency of the State of Connecticut or other state within the United States.

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uaranty or Surety 1.16 Guaranty, ce bonds may be required. Bonds must meet the following requirement: Corporation –

Samples 1.17 Accepted mples do not supersede specifications for quality unless sample is superior in quality. All deliveries

.18 Samples are furnished free of charge. Vendor must indicate their return is desired, provided they have not been made

Award 1.19 The CLC’s a Vendor for this purchase will be based on competitive principles and in accordance with Procedures

.20 The CLC may reject any Vendor in default of any prior contract with the State of Connecticut or with the CLC or guilty of

.21 The CLC may correct inaccurate awards resulting from clerical or administrative errors.

.22 As a condition of any Contract award, the Vendor shall certify that no CLC director, officer, agent or employee has financial

Contract 1.23 The Vend or otherwise dispose of their contract or their right, title or interest, or their power to execute

.24 Failure of a Vendor to deliver commodities or perform services as specified will constitute authority for the CLC to

.25 Vendor agrees to: guarantee their products against defective material or workmanship; repair damages of any kind, for

.26 The Vendor shall indemnify and hold harmless the CLC, its directors, officers, agents, employees, , Lottery Retailers and the

1.15 It is the policy of the CLC to contribute to the establishment, preservation and strengthening of small businesses and

businesses owned by women and minorities in our procurement activities. Toward that end, the CLC encourages firms to provide for the participation of Connecticut small businesses and Connecticut businesses owned by women and minorities through partnerships, joint ventures, subcontracts, and other contractual opportunities. This solicitation, however, is NOT restricted to Connecticut businesses nor those designated as small and/or minority owned businesses. Vendors that are certified through the Connecticut Department of Administrative Services (DAS), Business CONNections as a small, minority, women, or disabled owned business are requested to provide a copy of their current certification of eligibility issued by DAS with their Proposal.

G surety and/or performan

must be signed by an official of the corporation above their official title and the corporate seal must be affixed over the signature; Firm or Partnership – must be signed by all the partners and indicate they are “doing business as”; Individual – must be signed by the owner and indicated as ”Owner”. The surety company executing the bond or countersigning must be licensed in the state of Connecticut and an official of the surety company must sign the bond; a corporate seal must be affixed over their signature. Signatures of two witnesses for both the principal and the surety must appear on the bond. Power of attorney for the official signing the bond for the surety company must be submitted with the bond.

Proposal sashall have at least the same quality as the accepted bid sample.

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useless by test. Samples may be held for comparison with deliveries.

choice of established by the CLC’s Board of Directors. Proposals or RFP responses will be evaluated on quality of the article or services to be supplied, their conformance with specifications, delivery terms, price, administrative costs, past performance, financial responsibility and any other criteria specified in the solicitation. The CLC shall award a Contract to the Vendor deemed to have submitted the most favorable Proposal considering price and other factors, when, in the judgment of the CLC, such award is in the best interests of the CLC. The Contract will not be in effect until the Vendor and the CLC enter into a binding Contract which may contain additional Terms and Conditions.

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misrepresentation or any Vendor with a member of its firm in default or guilty of misrepresentation. 1 1

interest whatsoever in the Vendor or Vendor’s business.

or shall not assignsuch contract to any other person, firm or corporation without the prior written consent of the CLC.

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purchase these commodities or services on the open market. The Vendor agrees to promptly reimburse the CLC for excess cost of these purchases. The purchases will be deducted from the contracted quantities.

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which they are responsible to the premises or equipment, to their own work or to the work of other Vendors; obtain and pay for all licenses, permits, fees etc. and to give all notices and comply with all requirements of city or town in which the service is to be provided and to the CLC.

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State of Connecticut against liability for any suits, actions, claims, losses, injuries, damages, awards, judgments and expenses of any character arising from the malfeasance, misconduct, negligence or performance by the Vendor under this Contract or from actions by the Vendor during the preparation, submission and evaluation of the RFP and during the period of time prior to the expiration of the Contract. This indemnification shall survive the term of this Contract.


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.27 Any Contract resulting from this solicitation shall be governed in all respects by the laws of the State of Connecticut, and

elivery 1.28 All produ pment delivered must be new unless otherwise stated in the RFP specifications.

.29 All products offered for purchase and installation shall meet all OSHA safety standards as required.

.30 Delivery shall be FOB Destination. All fees, freight charges, labor and equipment shall be included unless otherwise noted.

.31 Delivery will be on to the CLC’s loading docks by the Vendor unless otherwise stated in the RFP specifications.

.32 Payment terms are net 30 days after receipt of goods or invoice, whichever is later, unless otherwise specified.

Force Majeure 1.33 The Vend efault by reason of any failure in performance of this contract in accordance with its terms

Advertising 1.34 The Vend use either directly or implicitly, the CLC or its logo, or make any other reference to the Lottery in

1.35 The CLC as sole and exclusive right and title to all printed materials produced for the CLC and the Vendor shall not

copyright d matter produced under the Contract.

and to all causes of action it may have under Section 4 of the Clayton Act, 15 USC 15, or under Chapter 624 of the Federal Statutes. This assignment occurs upon execution of the

rtifies compliance with all applicable federal, state and local laws and regulations. Vendor further certifies compliance with all applicable contracting standards and affidavits as defined in this RFP. Vendor agrees to indemnify and

1any litigation with respect thereto shall be brought in the courts of the State of Connecticut. The Vendor shall comply with applicable federal, state and local laws and regulations. Notwithstanding any provision or language in this Contract to the contrary, the CLC may, at its sole discretion, terminate, clarify, modify, amend, alter or withdraw the RFP and any Contract resulting from this RFP whenever it is determined to be in the best interests of the CLC. Any such action shall be effected by delivery to the Vendor of a written notice of action. Any notice of termination shall be sent by registered mail to the Vendor address furnished to the CLC for the purposes of correspondence or by hand delivery. Upon receipt of such termination notice, the Vendor shall both immediately discontinue all services affected (unless the notice directs otherwise) and deliver to the CLC all data, drawings, specifications, reports, estimates, summaries and such other information and materials as may have been accumulated by the Vendor in performing his duties under this Contract, whether completed or in progress. All such documents, information, and materials shall become the property of the CLC. In the event of such termination, the Vendor shall be entitled to reasonable compensation as determined by the CLC; however, no compensation for lost profits shall be allowed.

Dcts and equi

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or shall not be in d(including any failure by the Vendor to make progress in the prosecution of the work hereunder which endangers such performance) if such failure arises out of causes beyond the control and without the fault or negligence of the Vendor. Such causes may include, but are not restricted to, acts of God or of public enemy, fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes, and unusually severe weather, but in every case the failure to perform must be beyond the control and without the fault or negligence of the Vendor. If the failure in performance of the Contract is caused by the failure of a subcontractor to perform or otherwise results from an act of the subcontractor, or if such failure arises out of causes beyond the control of both the Vendor and subcontractor, and without fault or negligence of either of them, the Vendor shall not be deemed to be in default unless (a) the supplies or services to be furnished by the subcontractor were obtainable from other sources, (b) the Lottery ordered the Vendor in writing to procure such supplies or services from such other sources, and (c) the Vendor failed to comply reasonably with such order. Upon request of the Vendor, the Lottery’s Contracting Officer shall ascertain the facts and extent of such failure and, if it is determined that any failure to perform was occasioned by any one or more of the said causes, the delivery schedule shall be revised accordingly, subject to the rights of the Lottery under the clause hereof entitled "Termination for Default". (As used in this clause, the term "subcontractor(s)" means subcontractor(s) of any tier.)

or agrees not toany advertisement, brochure or other material as a means to induce business or otherwise, without the Lottery’s prior written consent.

Rights h the printe

1.36 The Vendor assigns to the CLC all rights, title and interests in

Contract. 1.37 Vendor ce

hold the CLC harmless from any and all claims, causes of actions, suits, damages, costs, attorney fees in the defense of any action or any other losses in connection with the use by vendors of independent contractors or subcontractors.


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.38 No portion of the work shall be subcontracted to any firm, other than those reflected in the Vendor’s Proposal, without

Termination of Contract 1.39 Terminat the CLC reserves the right to terminate the Contract entered into as a

1prior consent of the CLC. In the event that the Vendor desires to subcontract some part of the work specified herein, the Vendor shall furnish the CLC with the names, qualifications and experience of their proposed subcontractor(s). The Vendor shall, however, remain fully liable and responsible for the work to be done by its subcontractor(s) and shall assure compliance with all requirements of the Contract. The Vendor agrees that it is fully responsible to the Lottery for the acts and omissions of its subcontractors and of persons whether directly or indirectly employed by the subcontractor(s), as he or she is for acts and omissions of persons directly employed by the Vendor.

ion Without Cause. In its sole discretion,result of the RFP without cause by providing no less than ten calendar (10) days written notice to the Vendor. In the evenof such termination, the CLC’s liability shall be limited to payment to the Vendor in the amount due pursuant to the terms of this Contract for performance of the Contract by the Vendor rendered up to the effective date of such termination.

t

.40 Termination With Cause. In its sole discretion, the CLC also reserves the right, to terminate the Contract entered into as a 1result of the RFP with cause, in whole or in part, upon written notice to the Vendor without prejudice to any rights and cause of action the CLC may have against the Vendor. Such reasons may include but are not limited to the following:

A. A receiver, conservator, liquidator, or trustee of the Vendor, or of any of its property, is appointed by order or decree

t

. The Vendor files a case under the Federal Bankruptcy Code or is seeking relief under any provision of any bankruptcy,

C. The Vendor makes any assignment for the benefit of its creditors, or admits in writing its inability to pay its debts r of

e

gainst all

. A court or competent jurisdiction finds that the Vendor has failed to adhere to any laws, ordinances, rules, regulations

E. The Vendor fails to communicate with the CLC as required by the Contract, or,

F. The Vendor breaches its duty of confidentiality contained in the Contract, or,

G. The CLC makes a written determination that the Vendor has failed to perform any material requirement under the d

H. Any of the representations or warranties or certificates made or furnished by the Vendor in the Contract, the Bid or in

I. The Vendor fails to comply with any of the terms, conditions, or provisions of the Contract, in any manner

J. The CLC determines that the Vendor’s operation of the courier service, or other acts, omissions or conduct, could jeopardize the integrity of the Lottery, or,

of any court or agency or supervisory authority having jurisdiction; or any order for relief is entered against the Vendor, under the Federal Bankruptcy Code; or the Vendor is adjudicated bankrupt or insolvent; or any materialportion of the property of the Vendor is sequestered by court order and such order remains in effect for more thathirty (30) days after such party obtains knowledge thereof; or a petition is filed against the Vendor under any state,reorganization, arrangement, insolvency, readjustment of debt, dissolution, liquidation, or receivership law of any jurisdiction, whether now or hereafter in effect, and such petition is not dismissed within sixty (60) days, or,

B

reorganization, arrangement, insolvency, readjustment of debt, dissolution, or liquidation law of any jurisdiction, whether now or hereafter in effect, or consents to the filing of any case or petition against it under any such law, or,

generally as they become due, or consents to the appointment of a receiver, trustee, or liquidator of the Vendor oall or any part of its property; or judgment for the payment of money in excess of $50,000 (which is not covered by insurance) is rendered by any court or governmental body against the Vendor, and the Vendor does not discharge thsame or provide for its discharge in accordance with its terms, or procure a stay of execution thereof within thirty (30) days from the date of entry thereof, and within said 30‐day period or such longer period which or such longer period during which execution of such judgment shall have been stayed, appeal there from and caused the execution thereofto be stayed during such appeal while providing such reserves as may be required under generally‐accepted accounting principles; or a writ or warrant of attachment or any similar process shall be issued by any court aor any material portion of the property of the Vendor, and such writ or warrant of attachment or any similar process is not released or bonded within thirty (30) days after is entry, or,

D

or orders of any public authority having jurisdiction, or,

Contract, which determination shall specify the events resulting in the CLC’s determination that the Vendor has faileto perform under the Contract, or,

oral presentations, if any, are found by the CLC to be materially false, deceptive, incorrect, or incomplete, or,

whatsoever, or,


18

ithout the prior written consent of the CLC, or,

tant lottery games shall be determined by the CLC not to be in the best interest of the State of Connecticut. In the event of termination for this

s subcontractor commits fraud or is involved in collusion, conspiracy or other unlawful or fraudulent activities, or

r its subcontractors purchases a Connecticut Lottery ticket or attempts to claim a prize in any Connecticut Lottery game, or

licensing regulations and background checks of the Division of Special Revenue.

The Vendor, upon receipt of notice of termination under this Section, shall take all steps necessary to mitigate any costs nd expenses payable under this Section. Termination of the Contract does not excuse the Vendor from any liquidated

K. The Vendor modifies the Courier System, w

L. Because of legislative or other governmental changes or lack of funding, continuation of ins

reason, the Vendor shall receive reimbursement for the cost of any materials, services, or other expenses, reasonably and actually incurred at the time of receipt of notification of cancellation and not otherwise usable or recoverable by the Vendor, or

M. Any Vendor or it

N. The Vendor o

O. The Vendor fails to adhere to the

adamage assessments incurred during the Contract or any extension thereof.


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PART II GENERAL SUBMISSION INFORMATION

Issuing Office

This Request for Proposals (RFP) is issued by and is for the exclusive use of the CLC. The current mailing address for the Corporate Headquarters is as follows: Connecticut Lottery Corporation 777 Brook Street Rocky Hill, CT 06067 Corporate Website www.ctlottery.org

Purchasing Officer

The Purchasing Officer is the sole point of contact with regard to matters related to this RFP. All communications concerning this procurement shall be addressed in writing to the Purchasing Officer: Janice Beckner, CPPB Associate Fiscal Administrative Officer (Purchasing Officer) Connecticut Lottery Corporation 777 Brook Street Rocky Hill, CT 06067 Voice Telephone 860.713.2789 Facsimile Number 860.713.2660 Email address: [email protected] Any changes to this RFP made as a result of written inquiries, questions or requests will be communicated by published addenda distributed via the State of Connecticut, Department of Administrative Services Purchasing Portal, Bidder Notification System and will be posted on the CLC’s website at www.ctlottery.org/bids‐open.htm. If minor revisions become necessary after the closing date for submitting Bids, the CLC will also publish and distribute addenda to all recipients of the original RFP.

Date and Time of Proposal Submission All Proposals pursuant to this RFP shall be submitted to the CLC at its offices on 777 Brook Street in Rocky Hill, CT 06067 by Monday, January 22, 2009 by 2:00pm Local Time. Vendors are solely responsible for ensuring timely delivery. Proposals received after that time and date shall be rejected by the CLC and shall result in the Proposal being returned unopened to the Vendor.

Proposal Format The Proposal shall be mailed or hand‐delivered in a sealed envelope to the CLC Purchasing Officer named above; the envelope must be clearly identified as Proposal # CLC200818 as well as the date and time that the Proposal is due. All pages must be numbered and all sections must follow the exact numerical outline identified in this RFP. Conciseness and clarity of content are emphasized. The Vendor shall supply one (1) original Proposal with the pricing schedule included in a separately‐ sealed envelope and seven (7) copies of the Proposal only. All costs and expenses associated with the preparation and submission of the RFP shall be the sole responsibility of the Vendor. Failure to submit pricing in a separately sealed envelope shall disqualify the Vendor from further consideration. Vendor shall not mention, refer to, or quote pricing or cost figures in any section of their Proposal other than the pricing schedule within a separately sealed envelope. Required Documents for the Proposal The following is checklist is provided to assist Vendors in submitting a responsive Proposal but may not be all‐inclusive of the solicitation requirements. Vendors should verify that these forms and issues have been addressed prior to submitting a Proposal.


mailto:[email protected]


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Transmittal Letter is completed, signed by an official authorized to bind the Vendor and included as Page 1 of the Vendor Proposal. Attachment A, Vendor Information Form, is completed, signed by an official authorized to bind the Vendor and included as Page 2 of the Vendor Proposal. Attachment B, Vendor’s Affidavit, is completed, signed and included as Page 3 of the Vendor Proposal. Attachment C, Pricing Schedule, is completed and submitted in a separate‐sealed envelope exclusively with the Original Proposal. Attachment D, Consulting Agreement Affidavit is completed, signed and included as Page 5 of the Vendor Proposal. Attachment E, Gift and Campaign Contribution Certification is completed, signed and included as Page 6 of the Vendor Proposal. Attachment F, Individual and Business Release Authorizations, are completed, signed and included as Page 7 and Page 8 of the Vendor Proposal. Attachment G, Prohibition Against Playing the Connecticut Lottery, is completed, signed and included as Page 9 of the Vendor Proposal. Attachment H, Affirmation of Receipt of State Ethics Laws Summary is completed, signed and included as Page 10 of the Vendor Proposal. Attachment I, SEEC Form 10 Campaign Contribution and Solicitation Ban is completed, signed and included as Page 11 of the Vendor Proposal. Attachment J, Mandatory Pre‐Proposal Conference Registration Form, is completed, signed and returned to the CLC prior to the submission deadline. Attachment K, Confidentiality Statement is completed, signed and returned to the CLC prior to the submission deadline.

Proof of Performance Bond or an Irrevocable Letter of Credit is completed, signed and included as Page 12 of the Vendor Proposal.

Proof of Insurance Coverage is completed, signed and included as Page 13 of the Vendor Proposal.

Three References included as Page 14 of the Vendor Proposal.

Financial Disclosures are signed and transmitted as part of the Vendor Proposal and submitted in a separate‐sealed envelope exclusively with the Original Proposal. Description of Services and Proposed Methodology.


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Summary of Key Dates and Deadlines

Project Task Date

Request for Proposals Issued December 8, 2008 Mandatory Pre‐Proposal Conference Registration Form Due December 12, 2008 Mandatory Pre‐Proposal Conference December 15, 2008 at 10:00am Local Time Vendor Questions Submitted December 18, 2008 CLC Responses Issued December 22, 2008 Proposals Due to the CLC January 22, 2009 by 2:00pm Local Time Anticipated Notice of Contract Award February 16, 2009 Contract Effective Date April 1, 2009

Mandatory Site Inspection/Pre‐Proposal Conference

A mandatory Pre‐Proposal conference will be held at 10:00am on Monday, December 15, 2008 at Lottery Headquarters, 777 Brook Street in Rocky Hill, CT 06067. The meeting will start promptly at 10:00am local time. Anyone arriving after that time shall NOT be allowed in the meeting and subsequently shall NOT be eligible for participation in the RFP process or award of the Contract. The Vendors will have an opportunity to view the operation and the site as part of this meeting. To participate in this RFP process, Vendors must complete the enclosed Pre‐Proposal Conference Registration Form and fax a copy to Janice Beckner at 860.713.2660 no later than Friday, December 12, 2008. All questions and responses discussed at the Pre‐Proposal conference will be distributed in writing electronically to all participating Vendors as Contract Addenda by Monday, December 22, 2008. Any questions after the Pre‐Proposal Conference must be submitted in writing to the Purchasing Officer and will be answered in the Addenda to be distributed on December 22, 2008. The addenda will also be posted to the State of Connecticut, Department of Administrative Services Purchasing Portal Bidder Notification System and to the CLC’s official web site. Vendors who attended the conference will be sent an electronic list of all questions and corresponding answers, but the origin of the questions will not be identified. If an attendee does not receive this electronic listing it is the Vendor’s responsibility to retrieve question responses and/or Addenda from one of these two sources.

Qualifications of the Vendor The Lottery, the Division of Special Revenue and/or the State Police may make any investigations as deemed proper and necessary to determine the ability and suitability of the Vendor to provide the goods and services specified herein. Such investigations may include but not be limited to, financial and criminal background investigations on those individuals who, in the Lottery’s sole determination, are key employees directly involved in the fulfillment of this Contract. The Vendor must be experienced in all aspects of small package delivery and must furnish a minimum of three (3) references to validate that the Vendor has delivered goods or services similar in scope to that described in this RFP. The references must include the name, address and phone number of contact person for each reference.

Prime Contractor Responsibility The Vendor assumes sole responsibility for the complete effort of the goods and services required by this RFP. The CLC shall consider the Vendor to be the sole point of contact with regard to all contractual matters.

Independent Contractor or Subcontractor Approval Any proposed independent contractor or subcontractor shall be subject to prior written approval by the CLC. Independent contractors or subcontractors shall be subject to licensing and background checks. Failure of an independent contractor or subcontractor to qualify for a license by the Division of Special Revenue will prohibit independent contractor or subcontractor from performing services under a Contract with the CLC. The Vendor’s Proposal must state clearly any intentions to use independent contractors or subcontractors for any part of this


22

RFP. Additionally, a detailed description must be provided to the CLC regarding the proposed independent contractor or subcontractor’s organizations and specific arrangements made between the Vendor and its independent contractors or subcontractors.

Approval of Staffing and Minimum Staffing Levels The CLC reserves the right to review and, if necessary, disapprove any employee of the Vendor who is assigned to a Contract with the CLC. In addition, the CLC shall require the Vendor to maintain minimum staffing levels to meet the requirements of this Contract.

Driver and Vehicle Safety The Vendor must certify that their employees, as well as any independent contractors or subcontractors, maintain current driver’s licenses and that these licenses are in good standing with the Department of Motor Vehicles. Further, the Vendor must certify that automobile and liability insurance coverage remains current throughout the term of the Contract and any extension thereof. The Vendor must also certify that their employees, independent contractors and subcontractors must comply with Connecticut Motor Vehicle laws and safety obligations. The Vendor shall indemnify and hold harmless the CLC from any failures of their employees, independent contractors and subcontractors to operate vehicles in a safe manner.

Subcontractors Subcontracting to support the requirements of this RFP is allowed as long as the use of subcontractors is transparent to the CLC and our retailers. Subcontractors must be approved in advance by the CLC and will be subject to background checks of personnel and principals, and may also require Vendor licensing, as described in Section V (Security) of this RFP. Vendors must signify in their Proposals their intent to use subcontractor(s) and to what extent. Subcontractors in the performance of this contract using trucks that are subject by law to annual safety inspections shall submit a copy of annual safety inspections to the CLC.

Equal Business Opportunity The CLC encourages procurement from minority businesses. As a result, the Vendor will be expected to make a good faith effort to provide meaningful procurement opportunities to minority businesses when providing goods or services to the CLC pursuant to their RFP. Therefore, prior to award of contract, the Vendor, if not a Connecticut certified minority enterprise, shall state the extent to which minority businesses are to be utilized as subcontractors or material suppliers. After award of contract, the Vendor must provide periodic reports documenting minority business utilization. Quarterly reports will be due to the CLC on the 15th day of January, April, July and October for statistics covering the previous calendar quarter. For more information, go to www.das.state.ct.us/Purchase/New_PurchHome/busopp_template.asp?F_ID=25 or contact the CLC‘s Purchasing Officer.

Ethics in Public Contracting By submitting a Proposal in response to this RFP, all Vendors certify to the CLC that their Proposals are made without collusion or fraud and that they have not offered or received any kickbacks or inducements from any other Vendor, supplier, manufacturer or subcontractor in connection with their Proposal, and that they have not conferred on any public employee having official responsibility for this procurement transaction, any payment, loan, subscription, advance, deposit of money, service or anything of more than nominal value, present or promised, to or from any such public employee unless consideration of substantially equal or greater value was exchanged and such consideration was not related to and was not intended to influence any decision regarding this RFP. Vendors are required to submit the following affidavits with their Proposals, contained herein as Attachment B, Vendor’s Affidavit, Attachment D, Consulting Agreement Affidavit, Attachment E, Gift and Campaign Contribution Certification, Attachment H, Affirmation of Receipt of State Ethics Laws Summary, and Attachment I,

http://www.das.state.ct.us/Purchase/New_PurchHome/busopp_template.asp?F_ID=25


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SEEC Form 10 Campaign Contribution and Solicitation Ban. Vendors are further notified that annual recertification will be required of Attachment E, Gift and Campaign Contribution Certification when so notified by the CLC.

Confidentiality of Data

All financial, statistical, technical and other data related to the Lottery operation which are designated “confidential” by the CLC and made available to the Vendor in carrying out the Contract shall be protected by the Vendor from unauthorized use and disclosure. The Vendor shall not be required under the provisions of this paragraph to treat in a confidential manner any data or information which is or becomes publicly available, is already rightfully in the Vendor’s possession, is independently developed by the Vendor outside the scope of the Contract or is lawfully obtained from third parties.

All information and data related to the Vendor operation which are designated “confidential” by the Vendor and made available to the CLC in carrying out the Contract shall be protected to the extent allowed by law from unauthorized use and disclosure. The Vendor shall be required to clearly identify all confidential information included in the Proposal. Said information will be redacted from public disclosure.

Expiration of Contract and Transition to New Vendor It is contemplated that the CLC will award a new Contract to allow uninterrupted continuation of the Courier System approximately one month prior to the expiration date of the Contract that will result from this RFP. The parties understand and agree that the CLC may utilize the last thirty (30) days of the Contract or any extension thereof for the orderly transition between the current Vendor and the successor Vendor. The current Vendor shall cooperate fully and in good faith in that transition. Such cooperation shall include, but not be limited to, the sharing of pertinent information as it relates to the implementation of the new Contract.

Code of Conduct for the Vendor It is essential that the Vendor’s operations and reputation avoid any impropriety or appearance of impropriety. Because of this, the Vendor must adhere to the following code of conduct:

A. The Vendor must offer services of the highest standards. B. The Vendor must use its best efforts to prevent the industry from becoming involved in a

controversy or conflict.

C. The Vendor must avoid promotions and endorsements which the CLC could interpret as improper or embarrassing to the CLC or State of Connecticut.

D. The Vendor must report security problems or potential security problems immediately to the

CLC.

E. The Vendor must agree to comply with any and all regulations promulgated by the Division of Special Revenue relevant to this Contract.

F. The Vendor must ensure that their employees, as well as any independent contractors and sub‐contractors. working on the Lottery Contract refrain from purchasing Connecticut Lottery tickets or from receiving a prize(s) from said tickets. Further, any spouse, domestic partner, child, sibling or parent residing as a member of the same household shall also be prohibited. This prohibition may be expanded to include Vendor employees, independent contractors and subcontractors who are not directly assigned to duties associated with the Contract, if the CLC determines it to be in the best interests to expand such prohibition.


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PART III SCOPE OF SERVICES

Statement of Work The purpose of this RFP is to obtain competitive Proposals from Vendors qualified to provide statewide ticket delivery and related services for the Connecticut Lottery Corporation, 777 Brook Street, Rocky Hill, CT 06067.

Background Information The Connecticut Lottery Corporation (hereinafter “the Lottery” or “the CLC”) is a quasi‐public agency with the sole purpose of generating revenues for the State of Connecticut’s General Fund. For Fiscal 2008, the Lottery generated gross annual sales of approximately $998 million and transferred $283 million to the State. In addition to a variety of draw games, the CLC currently offers numerous instant “scratch” games through a network base consisting of approximately 2,800 Lottery establishments or retail locations (retailers). The CLC Headquarters consists of office space for approximately one hundred (140) administrative personnel and warehouse space. The facility is staffed, at a minimum, from 6:30am to 7:00pm.

Minimum Specifications and Required Services The following specifications establish the minimum standards with which each Vendor must comply. Vendors are encouraged and expected to propose products or services that exceed the minimum specifications. Innovative or creative solutions may be proposed as an option to the CLC and may or may not be used as evaluation criteria. The CLC is offering solutions based on our current operation but is receptive to entertaining new solutions. If the Vendor knows of different ways of doing business that would accomplish our goals of prompt delivery and efficient service, the CLC would invite this discussion from the Vendors. Vendors are encouraged to identify these new approaches or business opportunities as OPTIONS. The Vendor shall provide the following minimum services:

3.1 COURIER SERVICES AND GROUND DELIVERY. The capability to provide courier services and ground delivery to approximately 2,800 retailers* located within all zip codes of the state of Connecticut. The point of origin for all such deliveries is the CLC Warehouse located at 777 Brook Street, Rocky Hill, CT 06067.

* A current retailer listing can be obtained by accessing the Lottery’s official website, www.ctlottery.org. For additional information, please refer to Appendix C. The CLC updates the list periodically as a result of changes to the retailer network. Throughout the year the CLC routinely licenses new retailers to sell lottery tickets and the Vendor is expected to provide the same service to new retailers.

3.2 AVERAGE NUMBER OF PACKAGES PER MONTH AND PER YEAR. The capability to deliver an average of

20,000 packages of scratch tickets within the state of Connecticut on a monthly basis. At the sole discretion of the CLC, this average may increase or decrease during any given month. For Calendar Year 2007, the total number of new game and daily packages delivered was approximately 240,000. The scratch tickets are not “live” insofar as they cannot be redeemed for cash, but the CLC requests that they be treated as if they were “live” and that proper security measures are exercised in the pick‐up and delivery of this product. The tickets are shipped in secure packaging envelopes. The packaging envelopes are Jiffy #7 self‐adhesive and are 14.25” x 19.0” in size. Each package is affixed with a shipping label (see Appendix D). A route number is currently printed on this label and is meant to assist the vendor in presorting. The shipping labels will be generated by the CLC and formatted in compliance with the Vendor’s system requirements. The Vendor must be prepared to work with the CLC’s Information Technology Department to ensure proper formatting.

3.3 NEW GAME PICK‐UP AND DELIVERIES. New game pick‐up and deliveries are currently made

approximately once per month, although the CLC reserves the right to amend the schedule to include shorter or longer durations or to accommodate holiday or special games. These packages are picked up approximately once every 4 weeks by the Vendor at the CLC Warehouse. New game deliveries account for approximately 3,000 packages made to 2,800 retailers.



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3.3.1 The CLC plans to launch approximately forty‐eight (48) new games annually, although this

number may increase or decrease at the sole discretion of the CLC. Of that number, the CLC will issue approximately thirty‐six (36) new games and twelve (12) daily games (see Section 3.4 below for more information on daily game rotations).

3.3.2 New game packages are typically picked up at the CLC Warehouse approximately once every

month on a Tuesday (except for holidays). Deliveries must begin on the next day on Wednesday and be completed by 5:00pm on Thursday. The CLC prefers that the majority of new game packages are delivered on Wednesday.

NOTE: As an INVITED OPTION, Vendors are asked to provide pricing for same‐day delivery of ALL new game packages.

3.3.3 The CLC will notify the Vendor at least three days in advance of a new game pick‐up.

3.3.4 The status of all new game packages must be available to the Lottery via the Vendor’s automated

tracking system.

3.3.5 The average weight of the NEW GAME PACKAGES is 4 pounds. However, the weight may vary: the weight range per package is approximately one (1) to seven (7) pounds. Approximately 97% of all new game deliveries consist of one package per retailer. The remaining 3% consist of two or more packages.

3.3.6 New game packages must be scanned at the time of pick‐up. The Vendor must scan all daily/new

game packages into the automated tracking system PRIOR to leaving the CLC Warehouse. This scan will be compared to the electronic file sent prior to pick‐up. Discrepancies must be noted in writing to the CLC before the Vendor leaves the CLC Warehouse.

NOTE: Prior to leaving the CLC’s Warehouse, it will be imperative of the Vendor to verify the total number of NEW GAME PACKAGES picked up with the total number of packages listed on the electronic file.

3.4 DAILY GAME PICK‐UP AND DELIVERIES. Daily game packages are picked up every business day (except

holidays) between 4:30pm and 5:30pm and taken to the Vendor’s operating facility for sorting for delivery the next day. Daily game packages consist of a variety of games ordered specifically by the retailers. These packages are additional to the new game pick‐up. Daily game deliveries account for approximately 900 packages made to 450 retailers.

3.4.1 Daily game packages are typically picked up at the CLC Warehouse every business day (except

holidays) between 4:30pm and 5:30pm. Deliveries must be completed by 5:00pm on the next business day.

3.4.2 The status of all daily game packages must be available to the Lottery via the Vendor’s

automated tracking system.

3.4.3 The average weight of the DAILY GAME PACKAGES is normally 6.5 pounds. However, the weight may vary: the weight range per package is approximately five (5) to ten and one‐half (10½) pounds.

3.4.4 Based upon these figures, approximately 1,500 to 2,500 retailer visits are made in a normal

week.


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3.5 DELIVERY OF POINT‐OF‐SALE MATERIALS. The Vendor must have the capability to deliver point‐of‐sale materials from time to time to approximately 2,800 retailers located within all zip codes of the state of Connecticut. Cost to be negotiated with vendor when services are needed.

3.6 MINIMUM OF TWO DELIVERY ATTEMPTS REQUIRED. The Vendor must have the capability to make a

minimum of two (2) delivery attempts with no additional charge on consecutive business days for each package shipped by the CLC. If two (2) delivery attempts on consecutive business days are made, the unopened package may be returned to the CLC without liability to the Vendor.

3.7 DAILY PICK‐UP FROM THE CLC WAREHOUSE. The Vendor must have the capability to pick up packages of

tickets from the CLC Warehouse between 4:30pm and 5:30pm Monday through Friday, excluding holidays. The CLC reserves the right to add an extra pick‐up time either on an individual or across‐the‐board basis, during the term of the Contract, without incurring additional costs for Vendor delivery services.

NOTE: Prior to leaving the CLC’s Warehouse, it will be imperative of the Vendor to verify the total number of DAILY PACKAGES picked up with the total number of packages listed on the electronic file.

3.8 ELECTRONIC TRANSMISSION OF SHIPPING INFORMATION BY THE CLC. The shipping information (i.e.

barcode numbers for all packages) must be transmitted electronically from the CLC to the Vendor’s host system prior to pick‐up from the CLC’s Warehouse.

3.9 SCANNING OF DAILY and NEW GAME PACKAGES AT THE CLC WAREHOUSE. At the time of pick‐up, the

Vendor must scan all daily/new game packages into the automated tracking system PRIOR to leaving the CLC Warehouse. This scan will be compared to the electronic file sent prior to pick‐up. Discrepancies must be noted in writing to the CLC before the Vendor leaves the CLC Warehouse.

3.9.1 The only exception to the scanning of packages will be in the event of a mechanical or electronic

failure of the scanning devices. This exception must, however, be reported to the CLC before the Vendor leaves the CLC Warehouse. In this case, the Vendor is permitted to scan into the tracking system the daily/new game packages upon arrival at their operating facility.

NOTE: In this section, the CLC has recommended scanning. However, if there is another methodology used by the Vendor with greater efficiencies or improved accuracy, the CLC would be receptive to learning about it. The goal is to maintain strict controls over inventory.

3.10 SIGNATURE CAPTURE AT TIME OF DELIVERY. At the time of delivery, Vendor drivers are required to get

signatures and a printed Proof Of Delivery from the retailers. A copy of these signatures must be made available electronically to the Lottery in real‐time. If a hardcopy is required, the Vendor must be able to furnish it within 24‐hours.

3.11 SORTING PACKAGES. It is the Vendor’s responsibility to pick up the packages from the CLC Warehouse. Once the packages have been picked up, the Vendor must sort the packages according to zip code and/or routes. The CLC will include a single‐digit number on the shipping label to facilitate the pre‐sort by the Vendor.

NOTE: The CLC has recommended sorting by zip code. However, if there is another methodology used by the Vendor with greater efficiencies or improved accuracy, the CLC would be receptive to learning about it. The goal is to sort and deliver accurately and quickly.

3.12 ELECTRONIC TRACKING SYSTEM. The Vendor must have the capability to provide on‐line tracking of all

packages in real‐time via the Internet without special equipment or special software.


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3.13 FLEXIBILITY TO ADD, DELETE AND MODIFY RETAILER ADDRESS FILE. The Vendor must have the flexibility to meet the changing delivery needs of the CLC insofar as the addition of new retailers, change of address or store name, expansion of distribution points, increased retail store hours, additional games.

3.14 PROPER HANDLING OF MISSED AND WRONG DELIVERIES. The Vendor will have the responsibility to

properly handle and account for packages that were not delivered or that were delivered incorrectly to the wrong retailer. The Vendor must report these incidents immediately to the CLC so that proper recovery steps can be taken.

NOTE: Under no circumstances will the Vendor be allowed to transfer OPENED packages of tickets. For example, if the Vendor notices a missed or incorrect delivery and seeks to rectify the mistake, the packages must be unopened in order to do so.

3.15 SERVICE TO CLC’ S HIGH‐TIER CLAIMS CENTERS. The Vendor must have the capability to pick‐up and

deliver packages to the CLC’s designated High‐Tier Claims Centers.

3.15.1 There are currently three (3) High‐Tier Claims Centers in Connecticut. They are located in Waterbury, Norwalk and West Haven. The CLC reserves the right to add or change these Centers at any time.

3.15.2 The Vendor will be required to deliver new game packages to the High‐Tier Claim Centers no

later than 10:00am on the first day of the new game distribution cycle.

3.15.3 Every Tuesday through Saturday, the Vendor will be required to pick‐up envelopes containing claim forms and validated winning tickets from each High‐Tier Claim Center. These envelopes must be returned to the CLC on the next business day.

3.16 SPECIAL DELIVERY POINTS, DESIGNATED LOCATIONS AND DESIGNATED POINT PERSONS WITHIN RETAIL

LOCATIONS. The Vendor must have the capability to deliver packages to certain designated locations or to certain designated point person(s) within the retail stores. In these special cases, the CLC has negotiated arrangements with the retailer and will expect compliance from the Vendor.

3.17 MESSENGER SERVICES (INVITED OPTION). The CLC may require the Vendor to provide messenger

services for the CLC every Monday through Friday (excluding holidays) from 9:00am to 12:00pm (noon).

3.17.1 The Vendor should include the hourly rate for the messenger services as a separate line item in the Pricing Proposal.

3.17.2 Messenger services include, but are not limited to, pick‐up and delivery to the CLC’s satellite offices and to other State agencies, as well as to make bank deposits and post‐office runs.

3.18 TIMELY INVOICES. The Vendor must have the capability of preparing detailed and timely invoices on a

monthly basis.

3.18.1 All invoices must be made on the Vendor’s standard invoice form and submitted after products and/or services have been performed.

3.18.2 Invoices must be itemized in accordance with CLC specifications. At a minimum, the retailer

deliveries must be separated from the services rendered for messenger and High‐Tier Claims Centers.

3.18.3 Payments shall be due and payable on a net thirty (30) day basis, unless specifically stated

otherwise and subject to CLC approval.


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3.19 PROOF OF FINANCIAL SOUNDNESS AND STABILITY. The Vendor must be financially sound and stable. The CLC must receive immediate written notice no later than ten (10) days if the Vendor experiences any material change in its financial condition and/or ownership at any time during the term of the Contract or any extension thereof. Failure to comply may be grounds for Contract termination. 3.19.1 Financial information will remain confidential to the extent allowed by law. 3.19.2 Financial information must be submitted in a separately sealed envelope. 3.19.3 Three (3) copies of the following financial information must be submitted with the Proposal.

3.19.3.1 Audited Financial Statements. If audited statements are unavailable, the Vendor must

provide Unaudited Financial Statements PLUS Tax Returns for the last three years.

• If the Vendor is a subsidiary of another company, the same financials for the parent company should be added to the subsidiary reports.

• If the subsidiary is proposing, while relying on the strength of the parent's financials, the

Vendor should submit a guaranty form attesting to the fact that the parent has the resources and will guaranty the subsidiary performance as well as the necessary financial resources.

• If the Vendor is a publically‐traded company, the Vendor should submit the last three

years' 10K forms, as well as the 10‐Qs and any Registration Statements or 8K forms over the last three years.

• If the Vendor needs to borrow to complete the Contract, the Vendor must provide a

commitment letter from their bank or creditor.

3.20 PROPER STAFFING LEVELS. The Vendor must be capable of maintaining proper staffing levels to handle both new game and daily game orders.

3.21 NO CO‐MINGLING OF GOODS. The Vendor staff assigned to this Contract must be dedicated to the CLC

and will not be able to carry or deliver any other goods or services to other businesses while in the performance of duties under this Contract.

3.22 MAINTAINING FINANCIAL RECORDS. The Vendor must be capable of maintaining financial records,

books and all other evidence pertaining to the Contract in accordance with generally accepted accounting principles. Records pertaining to the Contract must be available to the CLC, its internal auditors, the Division of Special Revenue at all times during the Contract term or any extension thereof for five (5) full years from the expiration date or final payment date, whichever comes later.

The Vendor shall provide the following equipment and resource requirements:

3.23 DRIVERS. 3.23.1 Drivers must be dedicated to performing deliveries exclusively for the CLC. 3.23.2 Drivers must be professionally attired in uniforms that prominently display the Vendor logo.

Vendors are required to provide a photo of the driver uniforms with their Proposals. 3.23.3 Drivers will be subjected to background investigations and must be licensed by the Division of

Special Revenue.

3.23.4 Drivers must undergo drug testing as part of their employment with the Vendor and, if requested, of the Vendor by the CLC or the Division.


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3.23.5 Drivers must have and maintain a good driving record and agree to notify the Vendor of any

material change the driver license status. 3.23.6 Drivers must wear occupational licenses and Vendor identification visible on their person at all

times during the performance of this Contract and any extension thereof. 3.23.7 Drivers and other employees, independent contractors and subcontractors engaged by the

Vendor to work on the Contract with the CLC must certify and agree in writing not to purchase Connecticut Lottery tickets or from receiving a prize(s) from said tickets. (Attachment G, Prohibition Against Playing the Connecticut Lottery). The Vendor must keep copies of these certifications on hand in a separate file folder and available for inspection by any CLC representative. Further, any spouse, domestic partner, child, sibling or partner residing as a member of the same household shall also be prohibited from purchasing or cashing Connecticut Lottery tickets. This prohibition may be expanded to include Vendor employees, as well as independent contractors and subcontractors, who are not directly assigned to duties associated with the Contract, if the CLC or the Division determines it to be in its best interests to expand such prohibition.

3.24 VEHICLES.

3.24.1 The Vendor must provide a list of all vehicles to be used in the performance of the contract; include US Department of Transportation (US DOT) vehicle registration number of applicable trucks.

3.24.2 The Vendor must provide a list of subcontractors including Connecticut Department of

Transportation vehicle registration number of applicable trucks.

3.25 ACCOUNT EXECUTIVE. A qualified account executive must be assigned to this Contract and must oversee all contractual obligations. This professional will be available for meetings, discussions and reviews and will ensure timely invoice preparation and performance reports as required. The account executive will serve as the liaison between the CLC and the parent company (if necessary) and will follow‐through on all requests from the CLC. In general, the account executive will be the primary point of contact to the CLC from the Vendor.

3.26 SECURE OPERATING FACILITY. To ensure timely delivery and responsiveness to the needs of the CLC,

the CLC prefers that the Vendor operate a principal place of business within 25 miles of the CLC Headquarters and Primary Warehouse. The CLC or the Division reserves the right to conduct announced and unannounced inspections of the Vendor’s operating facility to determine the suitability for purposes of this Contract.


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PART IV EVALUATION AND CONTRACT AWARD

Contract Period The Contract for the Courier Delivery Services shall have an initial term of three (3) years commencing on April 1, 2009 and expiring on March 31, 2012, unless extended or terminated. At its sole discretion and by providing the Vendor with no less than sixty (60) days written notice of its intent, the CLC may extend the Contract for up to two (2) one‐year year extensions, issued either separately or in whole, under the same terms and conditions of the original Contract. Under no circumstances, however, shall this Contract and any extension thereof last for more than five (5) years.

Basis of Contract Award The Connecticut Lottery Corporation shall award a Contract to the Vendor whose Proposal is deemed to be in the best interests of the Lottery and in accordance with the criteria set forth in this Proposal. All Proposals meeting the requirements of the RFP will be evaluated by a Project Committee consisting of CLC employees. This Committee shall make the recommendation for Contract award to the CLC President & CEO. Final execution of a Contract is subject to successful completion of all requisite licensing and background checks as required by the Division of Special Revenue.

Evaluation Process The evaluation of Proposals for this RFP involves a multi‐step process. There will be a preliminary review of each Proposal to ascertain compliance with the mandatory requirements of the RFP. Vendor Proposals that pass the mandatory requirements will be approved for rating in accordance with the criteria established below.

4.1 Preliminary Review. The Purchasing Officer will first review the Proposals for compliance with the RFP instructions and determine that the responses meet all mandatory requirements. Proposals must be received by 2:00pm Local Time on January 22, 2009. Any Proposals received after that date and time, shall be disqualified and returned unopened to the Vendors. Non‐responsive Proposals shall be eliminated from further evaluation.

As part of the preliminary review, Vendors must submit a clear and concise transmittal letter attached to the Proposals. The transmittal letter must be signed by the person(s) legally authorized to bind the business entity.

The transmittal letter must include the information clearly set forth in Attachment A, Vendor Information Form.

A. Name, Address, Telephone Number, Facsimile Number of the Business Entity submitting the

Proposal.

B. Type of Business Entity (i.e. corporation, partnership, trust, association, subsidiary, limited liability).

C. Date of Registration to do Business in Connecticut.

D. Federal Employer Identification Number and Connecticut Tax Identification/Registration Number.

E. Names and Addresses of Person(s) legally authorized to bind the Contract.

F. Name/Address/Phone Number of Vendor’s Account Representative.

G. Name/Address of Offices, Warehouse and Other Facilities that relate to the Vendor’s Performance under the terms of this RFP.


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H. Names/Addresses and Functions to be performed by any and all Subcontractors, associated companies or consultants involved in any phase of this Contract.

I. The following statements must be included with the transmittal letter as part of Attachment B, Vendor Affidavit Form.

1) The Vendor is a legal business entity. 2) The Vendor (for the purpose of restricting competition) has made no attempt and will

make no attempt to induce any other person or firm to submit or not to submit a Proposal.

3) The prices in the Vendor Proposal have been determined independently, without

consultation, communication or agreement (for the purpose of restricting completion) on any matter relating to such prices with any other Vendor or competitor.

4) The Vendor agrees to comply with all Terms and Conditions of this RFP. Failure to

comply shall be cause for the CLC to disqualify the Vendor.

5) The Vendor understands, accepts and can meet the mandatory delivery requirements set forth in this RFP.

4.2 Weighted Evaluation. The evaluation will calculate the scores for each Vendor according to the following

weights. Only those Vendors who submitted a responsive Proposal and have agreed to comply fully with the mandatory requirements will be allowed to proceed. NOTE: There are two separate tiers to the evaluation process. All Vendor Proposals will be evaluated in Tier 1. The first tier consists of scoring for technical specifications, management, proposed implementation plan and pricing. The Proposals will be ranked by total number of points earned. Vendors must receive at least 60% or 54 points of the total possible points available in Tier 1 to be eligible to progress to Tier 2.* Those Proposals that do not qualify to move on to Tier 2 will NOT be evaluated further. * Proposals allowed to move to Tier 2 will not be evaluated any further if it is mathematically impossible for them to win the Contract, based on the number of available points for the remaining Tier 2 categories.

TIER 1 EVALUATION

4.2.1 Technical Specifications (30%). This portion will focus on the Vendor’s proposed delivery system, security of the physical facility and warehouse, type and age of vehicles, intent to use subcontractors and to what extent, staffing levels, hours of operation, geographic proximity to the CLC, staff, equipment, service capabilities, automated real‐time tracking system, sorting and scanning processes.

• Pricing will not be a factor in the Technical evaluation.

4.2.2 Management (15%). This portion will focus on the financial condition of the Vendor, insurance and bonding submissions, the experience of the Vendor in providing similar goods and services, organizational chart and references.

• Pricing will not be a factor in the Management evaluation.

4.2.3 Proposed Implementation Plan (25%). This portion will focus on the proposed implementation plan including, but not limited to, handling deliveries and non‐deliveries, returns, missed deliveries and problem resolution.

• Pricing will not be a factor in the Proposed Methodology evaluation.


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4.2.4 Pricing (20%). This portion will focus on proposed costs, including new game and daily game

pick‐up and deliveries, messenger services and High‐Tier Claims Center support. The CLC shall award a Contract to the Vendor deemed to have submitted the most favorable Proposal considering price and other factors when, in the judgment of the CLC, such award is in the best interests of the CLC.

4.2.4.1 Pricing Proposals must be submitted in a separately‐sealed envelope and clearly marked

with the RFP number (CLC200818).

4.2.4.2 Pricing Proposals included with the Statement of Work shall be disqualified.

Total Number of Points Available in Tier 1 = 90 Points Total Number of Points Necessary to Move to Tier 2, unless it is mathematically impossible to win = 54 Points

TIER 2 EVALUATION 4.24 Oral Presentation (5%). After the initial evaluation, the Evaluation Committee will request oral

presentations from some or all Vendors as determined by the CLC. If the CLC determines that oral presentations are necessary, they will take place at a time and place designated by the CLC. Oral presentations will be restricted to one‐half hour of presentation and one‐half hour of questions and answers.

4.25 Site Visits and Demonstration of Methodology (at the discretion of the CLC) (5%). After the

initial evaluation, the Evaluation Committee will request a site visit as well as a demonstration of the proposed methodology for routing, delivery and tracking of packages and an explanation as to how this methodology would apply directly to the CLC’s business needs. These site visits and demonstrations will be made entirely at the option of the CLC and the CLC shall not be obligated to request a site visit of any or all Vendors. However, if so requested, the failure to comply with an on‐site demonstration will disqualify the Vendor from further evaluation. NOTE: The CLC also reserves the right to conduct Vendor site visits throughout the term of the Contract and any extension thereof. Site visits may be announced or unannounced, at the discretion of the CLC.

Total Number of Points Available in Tier 2 = 10 Points

APPARENT VENDOR 4.26 The Vendor who best meets the qualifications established by the CLC, as determined by

successful completion of the Tier 1 and Tier 2 Evaluation Processes, shall be named the Apparent Vendor by the Evaluation Committee.

Recommendation of Contract Award

After the Proposals have been evaluated and ranked, the Evaluation Committee shall recommend to the President & CEO an Apparent Vendor whose Proposal, in the opinion of the Evaluation Committee, is most advantageous to the CLC, taking into account price as well as the evaluation factors set forth in this RFP. Notice of intent to contract, however, does not constitute the award of a Contract. The CLC shall award a Contract to the Vendor deemed to have submitted the most favorable Proposal, considering price and other factors, when, in the judgment of the CLC, such award is in the best interests of the CLC. The Contract will not be in effect until the Vendor and the CLC enter into a binding Contract which may contain additional Terms and Conditions.

Contract Award

Upon approval by the President & CEO, the Contract shall be awarded to the Vendor deemed to have submitted the most favorable Proposal, considering price and other factors when, in the judgment of the CLC, such award is


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in the best interests of the CLC. The Contract will not be in effect until the Vendor and the CLC enter into a binding Contract which may contain additional Terms and Conditions. Final execution of a Contract is subject to successful completion of all requisite licensing and background checks as required by the Division of Special Revenue.

Contract Execution The Contract will not be in effect until the Vendor provides all documentation required by the CLC and a Contract is signed by all parties. The CLC reserves the right to conduct any test it may deem advisable and to make all evaluations. The Lottery also reserves the right to reject any or all Proposals, in whole or in part, to waive informalities and to delete items prior to making the award, whenever it is deemed in the sole opinion of the CLC to be in its best interests. Upon approval of the CLC President & CEO, the name of the Vendor will be released to all Vendors submitting Proposals. Upon approval of the CLC President & CEO, the Contract must be posted to the State of Connecticut Purchasing Portal pursuant to Executive Order #3.

Required Insurance Certificates By signing and submitting a Proposal, the Vendor certifies that they will have the following insurance coverage at the time the Contract is awarded. If any independent contractors or subcontractors are involved, the independent contractor or subcontractor must have workers’ compensation insurance in accordance with Connecticut law. The Vendor further certifies that they and any independent contractors or subcontractors will maintain the specified insurance coverage during the entire term of the contract and that insurance companies registered to do business in Connecticut will underwrite all such required coverage. The Vendor will be required to provide proof of insurance coverage prior to the initial commencement of work.

General Liability – In the minimum amount of $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 Broad Form Property Damage coverage. A certificate of insurance naming the CLC as Additional Insured must be provided upon Contract award. Said certificate of insurance shall provide for thirty (30) days advance notice of any termination, failure to renew or default. If a general aggregate is used, the general aggregate limit shall apply either separately to the project or the general aggregate limit shall be twice the occurrence amount.

Automobile Liability ‐ In the minimum amount of $1,000,000 Combined Single Limit Automobile Liability insurance shall be maintained against claims for damages resulting from bodily injury, including wrongful death, and property damage which may arise from the operations of any owned, hired or non‐owned automobiles used by or for the Vendor in any capacity in connection with carrying out this contract. A certificate of insurance as proof of coverage naming the CLC as Additional Insured must be provided upon Contract award. Said certificate of insurance shall provide for thirty (30) days advance notice of any termination, failure to renew or default. In addition, the Vendor shall require driving records of every courier driver to be checked and satisfactory prior to the drivers participation in the CLC contract.

Workers Compensation and Employer’s Liability – In accordance with all State of Connecticut statutes and regulations, coverage shall include Employer’s Liability with minimum limits of $100,000 each accident, $100,000 disease per employee, and $500,000 disease policy limit. Said certificate of insurance shall provide for thirty (30) days advance notice of any termination, failure to renew or default.

Commercial Umbrella Policy ‐ in the amount of $5,000,000.

Required Performance Bond

When named the Vendor and prior to Contract execution, the CLC will require a Performance Bond in the amount of $250,000. A company authorized to conduct business in the state of Connecticut must execute the bond. The bond shall be maintained in full force for the life of the Contract. An irrevocable letter of credit drawn on an acceptable financial institution licensed to conduct business in the State of Connecticut may be substituted. If the


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Vendor defaults in the performance of its contractual obligations or if the CLC incurs damages due to the Vendor’s breach of its duties, the Performance Bond may be forfeited to the CLC, in whole or in part.


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PART V SECURITY

Vendor Licensing As a condition of any Contract awarded, the CLC and the Division of Special Revenue require that a Vendor, its officers, employees, independent contractors and subcontractors who are assigned to carry out the responsibilities of this Contract, are licensed by the Division, as well as to pay any application fees associated with licensing. Background investigations are part of the licensing process and shall include fingerprint identification by the Connecticut State Police. The CLC reserves the right to remove any and all Vendor employees from performing services under this Contract, based upon the results of the background checks, or if the CLC finds that such employee is not performing in the best interests of the CLC. Upon Contract award, the Vendor shall provide the following security elements:

A. A list of names, addresses, dates of birth and Social Security numbers for all employees and subcontractors.

B. Authorizations signed by the employees and subcontractors to allow law enforcement agencies to release relevant background information.

C. Assurance to the CLC that, as changes are processed throughout the Contract and any extension thereof, the new information shall be reported to the CLC within one calendar month.

D. Written notification to the CLC no later than ten (10) business days of a change of ownership for the business.

E. Unfettered and unannounced access, inspection and evaluation privileges for all phases of performance and for all facilities used by the Vendor for this Contract.

F. Immediate notification in writing of employee terminations and resignations or change in driver license status.

G. Certification from all employees, independent contractors and subcontractors assigned to this Contract

that they are prohibited from purchasing Connecticut Lottery tickets and from receiving a prize(s) from said tickets during the term of the Contract and any extension thereof. Further, any spouse, domestic partner, child, sibling or parent residing as a member of the same household shall also be prohibited. This prohibition may be expanded to include Vendor employees, independent contractors and subcontractors who are not directly assigned to duties associated with the Contract, if the CLC or the Division determines it to be in the best interests to expand such prohibition.

Security Plan

Upon award of the Contract, the Vendor must provide a written Security Plan describing in detail how they intend to protect the scratch tickets from damage and/or theft while under control of the Vendor. The Plan should include, but not be limited to, the following information:

A. Damage and Theft Protection. The Vendor must store and maintain all lottery tickets in a secure manner, as approved by the CLC. The CLC reserves the right to make unannounced inspections at any time.

B. Communication Links. Drivers must be in contact with a dispatcher regularly throughout the day. C. Uniform. Drivers must wear the Vendor logo as an identifier to retailers. D. Identification Badge. Badges must include driver’s name, company name and photograph.


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E. Access to Facility and Vehicles. The CLC and the Division shall have the right of unfettered access to the Vendor’s vehicles and premises at all times.

F. Video Cameras and Space Segregation. The CLC requires the use of video surveillance cameras at the

Vendor’s facility and premises, as well as full access to videotapes or other recording media. Further, the Vendor must designate a separate space that must be kept segregated and locked from other business customers of the Vendor for the storage and processing of lottery inventory.


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PART VI LIQUIDATED DAMAGES

The services provided under this Contract are unique to the CLC and are not readily available on the open market. As a result, any breach by or failure of the Vendor will disrupt the CLC’s ticket distribution and, thereby, cause substantial damages which will be difficult to quantify. Therefore, in the event of a breach of Contract, the Vendor shall be liable for the following liquidated damages:

6.1 For failure to deliver an order in its entirety to the correct retailer address as provided by the CLC, the Vendor shall be assessed $100.00 per order.

6.2 For each day or part thereof that the Vendor does not pick up envelopes from the CLC’s

High‐Tier Claim Center, the Vendor shall be assessed $100.00 per Claim Center.

6.3 For failure to accommodate special delivery requirements for the High Tier Claim Centers new game delivery, the Vendor shall be assessed $100.00.

6.4 For each package that is lost in delivery, the Vendor shall be assessed $100.00.

6.5 For each day or part thereof that the Vendor fails to perform messenger services, the

Vendor shall be assessed $100.00.

6.6 For each day or part thereof that the Vendor fails to notify the CLC of missed and/or late deliveries or of any other operational problems, the Vendor shall be assessed $100.00.

6.7 For each day that the Vendor arrives late to pick up packages at the CLC’s Warehouse in

accordance with the time schedule established in the RFP, the Vendor shall be assessed $100.00.

6.8 For each day that the Vendor fails to pick up packages at the CLC’s Warehouse in

accordance with the requirements established in the RFP, the Vendor shall be assessed $1,000.00.

6.9 For each day that the Vendor fails to scan packages at the CLC’s Warehouse in accordance

with the terms established in the RFP, the Vendor shall be assessed $100.00.

6.10 For each failure of Vendor’s drivers to secure the vehicle used to transport instant tickets, the Vendor shall be assessed $100.00. If such failure results in the theft of the vehicle or Lottery tickets, the Vendor shall be assessed an additional $500.00.


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Appendix A ‐ Glossary Connecticut Lottery Corporation

Award – Shall refer to the Contract award issued by the CLC to the Vendor.

Business Day – Monday through Friday (excluding Holidays).

Delivery Day – Tuesday through Saturday (excluding Holidays). It is expected that any non‐deliverables will be subsequently delivered on Monday although Monday is not a typically‐scheduled workday.

Division of Special Revenue (Division or DOSR) – Refers to the Lottery’s regulatory agency.

Evaluation Committee—Refers to the group of CLC employees who will review the Vendor Proposals received as a result of this RFP.

Holidays – Currently: New Year’s Day, Martin Luther King Day, Lincoln’s Birthday, Washington’s Birthday, Good Friday, Memorial Day, Independence Day, Labor Day, Columbus Day, Veteran’s Day, Thanksgiving Day, and Christmas Day. The number of holidays, and corresponding dates may be changed by the CLC. Instant Ticket – A latex‐covered Lottery product (also known as a “Scratch ticket”). Each ticket is constructed of recyclable cardboard stock upon which graphic design and latex covering are imprinted. Instant tickets are differentiated from other Lottery products in that the prize amount is known immediately upon removal of the latex covering. Lottery Retailer (Agent) – A retailer (individual, partnership, trust, association, corporation, limited liability company or other legal entity) authorized to sell and redeem lottery tickets. Manifest – A pre‐printed form supplied by the Lottery that identifies the ticket package, computer‐calculated weight, contents, and destination.

Order – A quantity of tickets to be delivered to a Lottery Retailer location. Pack – A shrink‐wrapped batch of Instant Tickets pre‐packaged by the print ticket manufacturer. Proposal – The materials submitted by a Vendor in response to this RFP. Vendor – Any responsible entity and/or business firm, which may be qualified to submit a Proposal in response to this RFP. The term “Vendor” shall include the prime contractor awarded the Contract in connection with this RFP, and any independent or sub‐contractors used by the prime contractor. This definition also includes: a parent corporation of the Vendor and any other subsidiary of that parent corporation.


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Appendix B ‐ Proposal Requirements Connecticut Lottery Corporation

Order of Proposal Special Notes

Transmittal Letter

Description of Services and Proposed Methodology

Vendor must not mention or include price information within this Section.

Three References

Financial Disclosures Vendor must include disclosures in a separate envelope and submit them with the Original Proposal.

Proof of Ability to Secure Performance Bond

Proof of Insurance Coverage

Vendor Information Form Complete Attachment A Vendor’s Affidavit Complete Attachment B Pricing Schedule Vendor must seal pricing in a separate envelope

and submit it with the Original Proposal. Complete Attachment C

Consulting Agreement Affidavit Complete Attachment D Gift and Campaign Contribution Certification Complete Attachment E Individual and Business Release Authorizations

Complete Attachment F

Prohibition Against Playing the Connecticut Lottery

Complete Attachment G

Affirmation of Receipt of State Ethics Laws Summary

Complete Attachment H

SEEC Form 10 Campaign Contribution and Solicitation Ban

Complete Attachment I

Mandatory Pre‐Proposal Conference Registration Form

Complete Attachment J

Confidentiality Statement Complete Attachment K


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Appendix C ‐ Retailer Listing Connecticut Lottery Corporation

Please visit the CLC’s official website at www.ctlottery.org/bids‐open.htm

to download a complete listing of current retailer locations.

http://www.ctlottery.org/bids-open.htm


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Appendix D ‐ Sample of Shipping Label and Manifest

Connecticut Lottery Corporation


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Attachment A ‐ VENDOR INFORMATION FORM Connecticut Lottery Corporation

IMPORTANT: ALL parts of this form must be completed, signed and returned by the Vendor.

Vendor Legal Business Name Taxpayer ID/FEIN #

Business Name, Trade Name, Doing Business As Name (if different from above)

Business Entity: Corporation ____ LLC Corporation ____ LLC Partnership ____ LLC Single Member Entity ____

Non-Profit ____ Partnership ____ Individual/Sole Proprietor ____

NOTES: If your business is a Corporation, in which State are you Incorporated? ________________________________ If individual/sole proprietor, individual’s name (as owner) must appear in the legal business name block above.

If your business is a Partnership, you must attach the names and titles of all partners to your bid submission.

Vendor Address

Business Telephone Business Fax

Contact Person Telephone Fax E-Mail Address:

Remittance City State Zip Code

SIGNATURE OF PERSON AUTHORIZED TO SIGN BIDS ON BEHALF OF THE ABOVE NAMED VENDOR

SIGN Date Executed

Type or Print Name of Authorized Person Title of Authorized Person

Is Your Business Minority Business Enterprise? Yes___No___ Is your business CURRENTLY registered as a DAS Certified Small or Minority Business Enterprise?

Yes ____ Attach Copy of Certificate No ____

City State Zip Code

Remittance Address if different from above


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Attachment B – VENDOR’S AFFIDAVIT Connecticut Lottery Corporation

I hereby certify that I am the __________________________________ and the duly authorized representative of the firm of Please Print whose address is ___________________________________________________ and that neither Address City, State, Zip I nor, to the best of my knowledge, information and belief, the above firm or any of its other representatives I herein represent have:

a) Agreed, conspired, connived or colluded to produce a deceptive show of competition in the

compilation of this Proposal being submitted herewith; or, b) In any manner, directly or indirectly, entered into any agreement, participated in any

collusion to fix the Proposal price of the Vendor herein or any competitor, or otherwise taken any action in restraint of free competitive bidding in connection with the Contract for which this Proposal is submitted.

In signing this Affidavit, the Vendor agrees to all terms and conditions of this Request for Proposals and affirms that all information contained in the Proposal is true and accurately portrays all aspects of the proposed services. The Vendor is aware that any substantive misinformation or misrepresentation shall disqualify the Proposal from further consideration by the Connecticut Lottery Corporation. Authorized Signature: Signatory’s Name: Print Name Date: ___________________________ Sworn to and subscribed before me this ______ day of _______________, 200_. ______________________________________________ Notary Public Commission Expiration Date (Seal)

Attachment C ‐ PRICING SCHEDULE Connecticut Lottery Corporation

RFP# CLC200818 Vendors must complete the following Pricing Schedule and submit it along with their Proposal, in a separately sealed envelope. There must be only one (1) original Pricing Schedule submitted with the original Proposal.

Vendor Name __________________________________________________________ Address __________________________________________________________ __________________________________________________________ __________________________________________________________ Contact Name __________________________________________________________ Telephone __________________________ Fax _____________________________ E-mail ___________________________________________________________

CONTRACT YEAR # 1

(April 1, 2009 to March 31, 2010) Next Day Delivery (Daily packages within 24 hours) $___________per package Two day delivery (New Game packages within 48 hours) $___________per package *All deliveries completed by 5:00pm on Thursday of launch week. OPTIONAL: One day delivery of all New Game packages $___________per package High‐Tier Claim Center Deliveries $___________per package *All New Game packages to be delivered to three (3) High‐Tier Claim Centers by 10:00am on launch day. High‐Tier Claims Returns $___________per package *Claim form returns Messenger Services $___________per hour

See Next Page


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CONTRACT YEAR # 2

(April 1, 2010 to March 31, 2011) Next Day Delivery (Daily packages within 24 hours) $___________per package Two day delivery (New Game packages within 48 hours) $___________per package *All deliveries completed by 5:00pm on Thursday of launch week. OPTIONAL: One day delivery of all New Game packages $___________per package High‐Tier Claim Center Deliveries $___________per package *All packages to be delivered to three (3) High‐Tier Claim Centers by 10:00am on launch day. High‐Tier Claims Returns $___________per package *Claim form returns Messenger Services $___________per hour

CONTRACT YEAR # 3 (April 1, 2011 to March 31, 2012)

Next Day Delivery (Daily packages within 24 hours) $___________per package Two day delivery (New Game packages within 48 hours) $___________per package *All deliveries completed by 5:00pm on Thursday of launch week. OPTIONAL: One day delivery of all New Game packages $___________per package High‐Tier Claim Center Deliveries $___________per package *All packages to be delivered to three (3) High‐Tier Claim Centers by 10:00am on launch day. High‐Tier Claims Returns $___________per package *Claim form returns Messenger Services $___________per hour

See Next Page

OPTION EXTENSION YEAR # 1

(April 1, 2012 to March 31, 2013) Next Day Delivery (Daily packages within 24 hours) $___________per package Two day delivery (New Game packages within 48 hours) $___________per package *All deliveries completed by 5:00pm on Thursday of launch week. OPTIONAL: One day delivery of all New Game packages $___________per package High‐Tier Claim Center Deliveries $___________per package *All packages to be delivered to three (3) High‐Tier Claim Centers by 10:00am on launch day. High‐Tier Claims Returns $___________per package *Claim form returns Messenger Services $___________per hour


Next Day Delivery (Daily packages within 24 hours) $___________per package Two day delivery (New Game packages within 48 hours) $___________per package *All deliveries completed by 5:00pm on Thursday of launch week. OPTIONAL: One day delivery of all New Game packages $___________per package High‐Tier Claim Center Deliveries $___________per package *All packages to be delivered to three (3) High‐Tier Claim Centers by 10:00am on launch day. High‐Tier Claims Returns $___________per package *Claim form returns Messenger Services $___________per hour


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Attachment D ‐ Consulting Agreement Affidavit

STATE OF CONNECTICUT CONSULTING AGREEMENT AFFIDAVIT

Affidavit to accompany a State contract 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)

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 vendor 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 vendor 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 the contractor enters into any new consulting agreement(s) during the term of the State contract. AFFIDAVIT: [ Number of Affidavits Sworn and Subscribed On This Day: _____ ] I, the undersigned, hereby swear that I am the chief official of the bidder or vendor awarded a contract, as described in Connecticut General Statutes § 4a-81(a), 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 Vendor Signature of Chief Official or Individual Date ___________________________________ ___________________


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Printed Name (of above) Awarding State Agency Sworn and subscribed before me on this _______ day of ____________, 200__.

___________________________________ Commissioner of the Superior Court or Notary Public

OPM Ethics Form 1 Rev. 10-31-07 Page 1 of 2

ATTACHMENT E – Gift and Campaign Contribution Certification

STATE OF CONNECTICUT GIFT AND CAMPAIGN CONTRIBUTION CERTIFICATION

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), as amended by Public Act 07-1

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 on each anniversary date of a multi-year contract, if applicable). CHECK ONE: Initial Certification Annual Update (Multi-year contracts only.) GIFT CERTIFICATION: 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 an Annual 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) “Planning Start Date” is the date the State agency began planning the project, services, procurement,

lease or licensing arrangement covered by this Contract, as indicated by the awarding State agency below; and

7) “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, between the Planning Start Date and Execution Date, neither the Contractor nor any Principals or Key Personnel has made, will make (or has promised, or offered, to, or otherwise indicated that he, she or it will, make) any Gifts to any Applicable Public Official or State Employee. 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. 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


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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:

STATE OF CONNECTICUT GIFT AND CAMPAIGN CONTRIBUTION CERTIFICATION

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 Signature of Authorized Official Subscribed and acknowledged before me this ______ day of __________________, 200__.

___________________________________________ Commissioner of the Superior Court (or Notary Public)


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For State Agency Use Only

____________________________________ __________________________________

Awarding State Agency Planning Start Date

___________________________________________________________________________________ Contract Number or Description


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Attachment F

INDIVIDUAL RELEASE AUTHORIZATION Connecticut Lottery Corporation

Request for Proposals #CLC200818

To all Courts, Probation Departments, Selective Service Boards, Employers, Educational Institutions, Banks, Financial and Other Such Institutions, including Consumer Credit Reporting Services and all Governmental agencies ‐ federal, state and local, without exception, both foreign and domestic. I have authorized the Connecticut Lottery Corporation (CLC), the Connecticut Division of Special Revenue and the Connecticut State Police to conduct a full investigation into my background and activities. No such investigation shall be conducted upon the expiration of this Agreement. Therefore, you are hereby authorized to release any and all information pertaining to me, documentary or otherwise, as requested by an employee or agent of the CLC, the Connecticut Division of Special Revenue and the Connecticut State Police, and to provide copies of same as requested, provided that he or she certifies to you that I have an application pending before the CLC or Connecticut Division of Special Revenue, or that I am presently a licensee, registrant or person required to be qualified under the provisions of the applicable Connecticut General Statutes and/or Connecticut Division of Special Revenue regulations. This authorization shall supersede and countermand any prior request or authorization to the contrary. A photocopy of this authorization will be considered as effective and valid as the original. __________________________________ ______________________________________ LEGAL SIGNATURE OF APPLICANT NAME OF APPLICANT (PRINT or TYPE)

_____________________________________ __________________________________________ DATE OF BIRTH STREET ADDRESS _____________________________________ __________________________________________ SOCIAL SECURITY NUMBER CITY, STATE, ZIP Subscribed and sworn to before me this day of ____________________, 200___. _____________________________________ _________________________________________ NOTARY PUBLIC COMMISSION EXPIRATION DATE/SEAL


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BUSINESS RELEASE AUTHORIZATION


Request for Proposals #CLC200818

To all Courts, Probation Departments, Selective Service Boards, Employers, Educational Institutions, Banks, Financial and Other Such Institutions, including Consumer Credit Reporting Services and all Governmental agencies ‐ federal, state and local, without exception, both foreign and domestic. On behalf of _________________________________________________________________________ (Name of Firm) I, ____________________________________________________________________________________, (Name of President, CEO, Partner, Owner) authorize the Connecticut Lottery Corporation (CLC) , the Connecticut Division of Special Revenue and the Connecticut State Police to conduct a full investigation into my background and activities and into the background of the said business entity. Therefore, you are hereby authorized to release any and all information pertaining to me, documentary or otherwise, as requested by an employee or agent of CLC, the Connecticut Division of Special Revenue, and the Connecticut State Police, and to provide copies of same as requested, provided that he or she certifies to you that I have an application pending before the CLC/Connecticut Division of Special Revenue, or is presently a license, registrant or entity required to be qualified under the provisions of the applicable Connecticut General Statutes and/or Connecticut Division of Special Revenue regulations. This authorization shall supersede and countermand any prior request or authorization to the contrary. A photocopy of this authorization will be considered as effective and valid as the original. ___ _ LEGAL SIGNATURE OF INDIVIDUAL NAME OF BUSINESS

________ BUSINESS ADDRESS

________ CITY, STATE, ZIP

Subscribed and sworn to before me this day of ___________________________, 200___. _______________________________________ __________________________________ NOTARY PUBLIC COMMISSION EXPIRATION DATE/SEAL


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Attachment G ‐ Prohibition Against Playing the Connecticut Lottery Connecticut Lottery Corporation

Request for Proposal CLC200818

According to the terms and conditions of the Contract between the Connecticut Lottery Corporation and effective , any individual, employee or subcontractor assigned or engaged by work on the Connecticut Lottery contract agrees not to purchase Connecticut lottery tickets or receive a prize from said lottery ticket. Further, any spouse, domestic partner, child, sibling or parent residing as a member of the same household shall also be prohibited. This prohibition may be expanded to include Vendor employees, independent contractors and subcontractors who are not directly assigned to duties associated with the Contract, if the CLC or the Division determines it to be in the best interests to expand such prohibition.

By my signature below‐affixed, I, , fully understand and agree to comply with this policy. It is also my understanding that compliance with this policy is required pursuant to my engagement with the Connecticut Lottery Corporation and may be grounds for termination if violated. Signed: Dated: Name of Employee/Subcontractor


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Attachment H ‐ Affirmation of Receipt of State Ethics Laws Summary

Request for Proposal CLC200818

See Next Page


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STATE OF CONNECTICUT AFFIRMATION OF RECEIPT OF STATE ETHICS LAWS SUMMARY

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. IMPORTANT NOTE: 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 at

http://www.ct.gov/ethics/lib/ethics/contractors_guide_final2.pdf ________________________________________________ ____________________ Signature Date ________________________________________________ ____________________________________ Printed Name Title ________________________________________________ Firm or Corporation (if applicable) ________________________________________________ ____________________ ____ ______ Street Address City State Zip

____________________________________ Awarding State Agency


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Attachment I – SEEC Form 10, Campaign Contribution and Solicitation Ban

STATE OF CONNECTICUT STATE ELECTIONS ENFORCEMENT COMMISSION 20

Trinity Street Hartford, Connecticut 06106—1628

SEEC FORM 10

NOTICE TO EXECUTIVE BRANCH STATE CONTRACTORS AND PROSPECTIVE STATE CONTRACTORS OF CAMPAIGN CONTRIBUTION AND SOLICITATION BAN

This notice is provided under the authority of Connecticut General Statutes 9-612(g)(2), as amended by P.A. 07-1, and is for the purpose of informing state contractors and prospective state contractors of the following law (italicized words are defined on page 2): Campaign Contribution and Solicitation Ban 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, or solicit contributions 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; In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicit contributions on behalf of (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. 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--$2000 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 $2000 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 $5000 in fines, or both. Contract Consequences Contributions made or solicited in violation of the above prohibitions may result, in the case of a state contractor, in the contract being voided. Contributions made or solicited in violation of the above prohibitions, in the case of a prospective state contractor, 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 will 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. Receipt acknowledged:_______________________________________ ______________ (signature) (date) Print name:_________________________________________________ Title:______________________________ Company Name:_____________________________________________ Additional information and the entire text of P.A 07-1 may be found on the website of the State Elections Enforcement Commission, www.ct.gov/seec. Click on the link to “State Contractor Contribution Ban”

SEEC FORM 11

NOTICE TO EXECUTIVE BRANCH STATE CONTRACTORS AND PROSPECTIVE STATE CONTRACTORS OF

CAMPAIGN CONTRIBUTION AND SOLICITATION BAN

This notice is provided under the authority of Connecticut General Statutes 9-612(g)(2), as am d by P.A. 07-1, and is for the purpose of informing state contractors and prospective state contractors of the following law (italicized words are defined below):

ende

SEEC FORM 11




ende

SEEC FORM 11




ende

Campaign Contribution and Solicitation Ban 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, or solicit contributions 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;



In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicit contributions on behalf of (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.

In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicit contributions on behalf of (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.

In addition, no holder or principal of a holder of a valid prequalification certificate, shall make a contribution to, or solicit contributions on behalf of (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. 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.

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.

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:

Penalties for Violations Contributions or solicitations of contributions made in violation of the above prohibitions may result in the following civil and criminal penalties:

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--$2000 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 $2000 or twice the amount of the prohibited contributions made by their principals.

Civil penalties--$2000 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 $2000 or twice the amount of the prohibited contributions made by their principals.

Civil penalties--$2000 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 $2000 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 $5000 in fines, or both. 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 $5000 in fines, or both. 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 $5000 in fines, or both. Contract Consequences Contributions made or solicited in violation of the above prohibitions may result, in the case of a state contractor, in the contract being voided.

Contract Consequences Contributions made or solicited in violation of the above prohibitions may result, in the case of a state contractor, in the contract being voided.

Contract Consequences Contributions made or solicited in violation of the above prohibitions may result, in the case of a state contractor, in the contract being voided. Contributions made or solicited in violation of the above prohibitions, in the case of a prospective state contractor, 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.

Contributions made or solicited in violation of the above prohibitions, in the case of a prospective state contractor, 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.

Contributions made or solicited in violation of the above prohibitions, in the case of a prospective state contractor, 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 will 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.




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Additional information and the entire text of P.A 07-1 may be found on the website of the State Elections Enforcement Commission, www.ct.gov/seec. Click on the link to “State Contractor Contribution Ban.”



http://www.ct.gov/seec

Attachment J – Mandatory Pre‐Proposal Conference Registration Form


Request for Proposal CLC200818 The Lottery will conduct a Mandatory Pre-Proposal Conference on Monday, December 15, 2008 at 10:00am local time at Lottery Headquarters, 777 Brook Street, Rocky Hill, Connecticut. All Vendors interested in submitting a Proposal must register to attend. Due to space limitations, only two Vendor representatives will be allowed to attend. Please complete the following information and fax it to the attention of the Lottery’s Associate Fiscal Administrative Officer, Janice Beckner, no later than Friday, December 12, 2008. The fax number is 860-713-2660. Please Print Agency Name: __________________________________________________ Address: __________________________________________________ __________________________________________________

Authorized Representative #1: __________________________________________ Title of Representative: _______-___________________________________ Email Address: __________________________________________

Authorized Representative #2: __________________________________________ Title of Representative: _______-___________________________________


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Email Address: __________________________________________

Signature: __________________________ Date: _____________ Print Name: _______________________________________________ Title In Company: ___________________________________________

Attachment K ‐ Confidentiality Statement


Request for Proposal CLC 200818

Vendor Name: _______________________________________________________________ RFP Name: __________________________________________________________________ As an authorized representative and/or corporate officer of the Firm named below, I warrant that my Firm and its employees will not disclose any documents, diagrams, concepts, ideas, representations and/or relative information made available to us by the Connecticut Lottery Corporation (CLC) for the purpose of responding to this procurement or in conjunction with any Contract arising therefrom. I warrant that only those employees who are authorized and required to use such material will have access to it. I further warrant that all materials provided by the CLC will be returned promptly after their use and that all copies or derivations of the materials will be physically and/or electronically destroyed. I will include, with the returned materials, a letter attesting to the complete return of materials and documenting the destruction of copies and derivations. Failure to comply will subject the Agency to liability, both criminal and civil, including all damages to the CLC and third parties. I authorize the CLC to inspect and verify the above.


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I further warrant that if my Firm is awarded the Contract, it will not enter into any agreements or discussions with a third party concerning such materials prior to receiving written confirmation from the CLC that such third party has an agreement with the CLC similar in nature to this one. Signature of Authorized Representative: ________________________________ Title of Authorized Representative: ____________________________________ Print or Type Name: ____________________________ Date: ______________ Print Name of Vendor: ______________________________________________

Attachment L IMPORTANT NOTICE TO CLC EMPLOYEES

TO: All Connecticut Lottery Corporation Employees FROM: Anne M. Noble, President & CEO DATE: December 8, 2008 SUBJECT: Instant Ticket Courier Contract (Request for Proposals CLC200818)


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The Connecticut Lottery Corporation (the “CLC”) has issued a Request for Proposals for an Instant Ticket Courier Contract. Effective immediately, therefore, in order to assure the integrity of the procurement and selection processes, there shall be NO CONTACT authorized between CLC staff members and any Prospective Vendor, except for such contacts as may be necessary by the Evaluation Committee during the selection process and for routine contacts as may be required in connection with existing contracts The definition of “Vendor” for this purpose includes all management and staff of companies expected to submit a Proposal for this Contract, as well as any consultant, lobbyist, agent or advisor to any such Vendor This prohibition against contact will continue until the entire RFP and Contract Award process has been concluded. This prohibition against non‐essential contacts will continue until the entire RFP and Contract Award process has been concluded. The sole contact on matters pertaining to this RFP is Janice Beckner, Associate Fiscal Administrative Officer. All telephone calls and/or correspondence must be directed to Ms. Beckner at [email protected] or 860‐713‐2789. It is very unlikely that Prospective Vendors will attempt any communication because the RFP strictly prohibits all such inquiries. However, in the event that any attempt is made by a Prospective Vendor to contact or establish communication with a member of the Lottery staff, it should be reported immediately to Ms. Beckner. Prospective Vendors and CLC employees are further reminded that no news releases or statements to the news media pertaining to this RFP, related Proposals, and/or Contracts resulting there from shall be issued or made without prior written approval of the President & CEO. Any questions or requests for clarification of this requirement should be directed to Ms. Beckner.

IMPORTANT NOTICE TO CLC BOARD OF DIRECTORS TO: Members of the CLC Board of Directors


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http://[email protected]/

FROM: Anne M. Noble, President & CEO DATE: December 8, 2008 SUBJECT: Instant Ticket Courier Contract (Request for Proposals CLC200818) The Connecticut Lottery Corporation (the “CLC”) has issued a Request for Proposals for an Instant Ticket Courier Contract. The CLC contracts with a Vendor to provide courier and ground delivery services of instant tickets to our retail network. There are two categories of delivery service required by the CLC: (1) the first relates to the delivery of brand‐new instant games and (2) the second relates to the delivery of replenishment or existing instant games. New games are delivered once a month to the retailer network, while existing games are delivered every day to a certain group of retailers appearing on a daily call list. In addition to the delivery of instant tickets, the Courier is also expected to pick‐up and deliver claims information on a daily basis from each of the CLC’s High‐Tier Claims Centers. Effective immediately, therefore, in order to assure the integrity of the procurement and selection processes, I am asking Members of the Board of Directors to refrain from all non‐essential contact with any Prospective Vendor. The definition of “Vendor” for this purpose includes all management and staff of companies expected to submit a Proposal for this Contract, as well as any consultant, lobbyist, agent or advisor to any such Vendor, except for such contacts as may be necessary by the Evaluation Committee during the selection process and for routine contacts as may be required in connection with existing contracts. This prohibition against non‐essential contacts will continue until the entire RFP and Contract Award process has been concluded. The sole contact on matters pertaining to this RFP is Janice Beckner, Associate Fiscal Administrative Officer. All telephone calls and/or correspondence must be directed to Ms. Beckner at [email protected] or 860‐713‐2789. It is very unlikely that Prospective Vendors will attempt any communication because the RFP strictly prohibits all such contact. However, in the event that any attempt is made by a Prospective Vendor to contact or establish communication with a member of the Board of Directors, it should be reported immediately to Ms. Beckner.

Members of the CLC Board of Directors are further reminded that no news releases or statements to the news media pertaining to this RFP, related Proposals, and/or Contracts resulting there from shall be issued or made without prior written approval of the President & CEO.


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IMPORTANT NOTICE TO DIVISION OF SPECIAL REVENUE TO: Paul Young, Executive Director of the Division of Special Revenue FROM: Anne M. Noble, President & CEO DATE: December 8, 2008 SUBJECT: Instant Ticket Courier Contract (Request for Proposals CLC200818) The Connecticut Lottery Corporation (the “CLC”) has issued a Request for Proposals for an Instant Ticket Courier Contract. The CLC contracts with a Vendor to provide courier and ground delivery services of instant tickets to our retail network. There are two categories of delivery service required by the CLC: (1) the first relates to the delivery of brand‐new instant games and (2) the second relates to the delivery of replenishment or existing instant games. New games are delivered once a month to the retailer network, while existing games are delivered every day to a certain group of retailers appearing on a daily call list. In addition to the delivery of instant tickets, the Courier is also expected to pick‐up and deliver claims information on a daily basis from each of the CLC’s High‐Tier Claims Centers. Effective immediately, therefore, in order to assure the integrity of the procurement and selection processes, the Lottery asks your assistance in directing employees of the Division of Special Revenue to prohibit contact with any Prospective Vendor for this contract except for such contacts as may be necessary by the Evaluation Committee during the selection process and for routine contacts as may be required in connection with existing contracts. The definition of “Vendor” for this purpose includes all management and staff of companies expected to submit a Proposal for this Contract, as well as any consultant, lobbyist, agent or advisor to any such Vendor. This prohibition will continue until the entire RFP and Contract Award process has been concluded. The sole contact on matters pertaining to this RFP is Janice Beckner, Fiscal Administrative Officer. All telephone calls and/or correspondence must be directed to Ms. Beckner at [email protected] or 860‐713‐2789. It is very unlikely that Prospective Vendors will attempt any communication because the RFP strictly prohibits all such inquiries. However, in the event that any attempt is made


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by a Prospective Vendor to contact or establish communication with a member of the Lottery staff, it should be reported immediately to Ms. Beckner. DOSR employees are further reminded that no news releases or statements to the news media pertaining to this RFP, related Proposals, and/or Contracts resulting therefrom shall be issued or made without prior written approval of the President & CEO. Any questions or requests for clarification of this requirement should be directed to Ms. Beckner.

ADDENDUM 4 IMPORTANT NOTIFICATIONS · 2009. 1. 20. · Connecticut Lottery Corporation . 777 Brook...

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