The Team or select members of the Team will be responsible for: 1) writing the RFP, 2) writing the evaluation plan, and 3) reviewing the proposals.

It’s recommended that an Official Agency Contact also be designated. Wherever possible, the Official Agency Contact should be a "disinterested" but informed contact who receives and maintains all proposals, and handles communications with the Proposers, but will not be part of the Selection Team. This structure may not be possible or preferable for all grant programs.

It is recognized that specific peer review may differ from project to project based on subject matter of the proposal and potential environmental concerns affected by each proposal. While specific reviewers may not always be apparent at the time of RFP release, a core group of primary agency contacts within the applicable divisions should be identified early in the process.

Examples of reasons for different peer review may include but not be limited to, the following:

• project design
• local, state and federal regulatory requirements/permits and authorizations
• access to specific property and/or resources
• habitat concerns
• existence of endangered species
• ongoing research in the affected area
• potential conflicts with existing agency initiatives
• ADA design and access requirements
• use conflicts

To ensure equitable treatment among potential Proposers, each should be provided the same level of accurate information and assistance throughout the RFP process.

• Consider giving sole responsibility for handling communications from Proposers and other outside parties to an Official Agency Contact. If utilized, make sure the contact information (telephone number, e-mail address, etc.) for the Official Agency Contact is widely circulated and known throughout the agency. It is recommended that an e-mail be sent out (at least within the Bureau) providing a brief description of the RFP (RFP #, subject matter, opening date, contact name and phone number) and indicating that communication regarding the RFP be referred to the Official Agency Contact.
• Refer communications about the RFP to the Official Agency Contact. The Official Agency Contact is encouraged to provide as much technical assistance as possible to obtain the highest quality proposals. Referrals to other technical experts is also allowed.
• If the Selection Team needs to communicate with any Proposer during the review process, the communication should be routed through the Official Agency Contact.

All public officials and State employees must strive to avoid both actual conflicts of interest and any appearance of impropriety in their official conduct. Team members and any other individuals who participate in the RFP process must comply with the State’s current ethics laws pertaining to State contracting. All Team members must become familiar with the State Ethics and Confidentiality Requirements and adhere to them.

All members of the RFP Team must be advised about the activities prohibited by the State’s Code of Ethics for Public Officials (C.G.S. § 1-84). All members must also be advised that they must not participate in the RFP process if they have any interest that substantially conflicts with the proper discharge of their duties in the public interest (C.G.S. § 1-85).

To reinforce the importance and seriousness of these matters, you should consider having all Team members, and other agency employees who are privy to confidential information pertaining to the RFP, sign an ethics and confidentiality agreement at the outset of the RFP process. In signing the agreement, the Team members and agency employees attest that they will abide by the standards of conduct set forth in the State’s Code of Ethics and further attest that they do not have a conflict of interest with the proper discharge of their duties.

If used, the ethics and confidentiality agreements must be reviewed and endorsed once the identities of the Proposers become known.

Team members must also be instructed that they must remove themselves from participation in specific proposals if they have any conflict of interest with any proposer. Proposal rating formulas must be modified to account for these situations as they arise.

Below is a sample outline of information to include in an RFP (also see attached sample Grant RFP). Divisions may organize their RFP differently, adding or deleting items to meet their own requirements.

• Statement of Availability
• Identify the Bureau/Division/Section making the grant opportunity available and describing the types of projects or applicants eligible for funding. This should be no more than a few sentences in length.
• Proposal Deadline & Mailing Information
• Identify the Date and Time the proposals are due. Identify whether or not the agency will accept items that are postmarked by specific dates. Identify a contact name, along with their mailing address and telephone number so it’s clear where proposals are to be submitted and to whom questions can be submitted regarding receipt of those applications.
• Minimum Submission Requirements
• Minimum submission requirements for an "acceptable" proposal must be determined. Only acceptable proposals are eligible for review by the Selection Team. Any proposal that does not meet the requirements must be deemed "unacceptable" and ineligible for review by the Selection Team. Examples of such requirements include, but are not limited to: (1) meeting the submission deadline, (2) submitting a complete proposal, (3) following the required format, and (4) being signed by the legally authorized representative of the proposer.
• When proposals are opened, they should receive a preliminary review to determine if they meet the minimum submission requirements. The minimum submission requirements are rated either yes or no. In other words, a proposal either meets the minimum requirements or it does not.
• The RFP should clearly state if proposals which do not meet the minimum submission requirement will be deemed ineligible for funding or have an opportunity to address the deficiency.
• Program Purpose
• Identify a more detailed description of why the funds are being made available and the types of projects eligible to receive funding. If additional consideration will be afforded to specific types of projects, those should be identified. Clearly identify groups of eligible applicants, such as municipalities, academic institutions, not-for-profit environmental organizations, etc. Any entities that are specifically excluded from eligibility should also be clearly identified.
• Award Process
• Identify whether or not a selection committee has been established for proposal review and selection. Identify whether or not the agency reserves the right to reduce the amount of award from that which is applied or the ability to modify the scope of work. State that awards will be made in the form of a contract and that costs associated with any work initiated prior to full execution of the contract will not be deemed eligible for reimbursement. Clearly identify the anticipated timeframes for review of materials and release of decisions.
• Funding Guidelines
• Identify any match requirements, and list whether the award will be made on a reimbursement basis or if any advanced funding will be made available. Indicate any preferred payment schedule. Suggest maximum project durations to be considered and identify any recommended upper limits for awards.
• Communications Notice
• Identify the name address, phone number and e-mail address of the individual to be contacted regarding questions related to the RFP or award process. To avoid any potential for the perception of favoritism, wherever possible, this individual should not be among those included in the Selection Team.
• Confidential Information (optional but recommended)
• In the event the RFP will result in proposals which would contain confidential information, proposers should be notified that the contents of the proposals submitted are public documents and available through the Freedom of Information Act unless specifically identified as Confidential (see specific language in the Sample RFP).
• Style Requirements (optional)
• If it is desired to have proposals limited to a specific number or size of typewritten pages, the details should be listed. Style requirements are recommended in the event that a high volume of proposals or attachments such as maps or lengthy reports are anticipated.
• Multiple Submissions (optional but recommended)
• Identify whether multiple submissions from a single applicant will be considered or limited. If only a single proposal per applicant will be considered, that should be clearly stated
• CHRO Contract Compliance Requirements
• The Commission on Human Rights and Opportunities requires certain documentation depending on the value of the contract and who will be awarded the contract. Identification of those requirements should be noted (see Sample RFP for more detailed language).
• Campaign Contribution and Solicitation Ban
• The State Elections and Enforcement Commission requires the submission of certifications on Campaign Contributions related to proposals and contracts with a value of $50,000 or more in a fiscal or calendar year. Certifications are not required from municipalities and are also not required where a grant is being awarded with the exclusive use of federal funding. In the event that an RFP may yield applications from non-municipal applicants with contract values at or above this threshold, or use other than federal funding, SEEC’s Form 10 should be required to be submitted with the proposals.
• Eligibility Requirements
• Identify any and all eligibility requirements. Identify such items as:
• Type of projects to be considered
• Who are the eligible applicants
• Complete application submission
• Will routine maintenance activities be allowed
• Will applications be considered if permits need to be sought
• Will proposals be accepted if the applicant is not the property owner
• Will projects which exceed a 1-year duration be considered
• Review Criteria
• Review criteria are the standards by which the Selection Team will judge the merits of the proposals. An RFP must include the criteria that will be used to review proposals. The criteria should be individually tailored for each RFP. Including the criteria in the RFP provides additional guidance to Proposers about what the agency is requesting. Only the criteria contained in the RFP shall be used to review proposals. The use of review criteria other than those listed in the RFP is prohibited. The criteria must be applied to the submitted proposals without any changes, deletions, or enhancements and the criteria must be determined before the RFP is released (and any proposals are received).
• Whatever criteria are used, they should be: (1) objective, meaning they are based on the project’s characteristics and requirements; (2) comprehensive, meaning they address all key elements of the RFP; (3) clear, meaning they are readily understood by Proposers and the Selection Team; (4) fair, meaning they treat all Proposers equitably, (5) appropriate, meaning they are right or suitable for the purposes at hand; and (6) measurable, meaning they are quantifiable.
• The Team members responsible for writing the evaluation plan must use the criteria to create standardized rating sheets or some other instrument (e.g., an electronic spreadsheet) that can be used by the Selection Team when reviewing proposals. The rating sheets must be approved by the Agency Head (or designee) and Selection Team before the RFP is evaluated.

The Team, or a subset of the Team must determine the process for reviewing proposals submitted in response to the RFP. The process, when put in writing, is called an evaluation plan.

The Team must also develop standardized rating sheets that will be used when reviewing proposals. It is recommended that a standardized form be created based on the review criteria and used when reviewing the proposals and checking the Proposers’ references. The evaluation plan and review materials must be developed prior to publishing the RFP to ensure a fair and non-biased process.

Any outside steering committee and/or peer review process must be identified in the Evaluation Plan. The process and timing of reviews by each reviewing body must also be identified in the Plan.

The RFP needs to be advertised in ways that allow for the greatest possible visibility and distribution.

All RFPs and related materials must be posted on the DEEP’s Web Page. Electronic copies of documents must be forwarded to DEEP's webmaster (Naomi Davidson) in order to post information to this site, with sufficient lead time and a specified date on which to post the information. A viewer should be able to view, download, and print each RFP.

Some interested parties may request a hard copy of the RFP from an agency. So as not to discriminate against those without access to a computer, a printer, or the Internet, a hard copy of an RFP must be given to anyone who requests one. It is advisable to keep a list of all those requesting a copy, as this information can be useful for updating the agency’s direct mailing list or issuing any amendments to the RFP.

If desired, a legal notice can be used to advertise the availability of the funding opportunity in newspapers or other publications. The legal notice should contain the following information:

• the agency’s name and address
• a brief description of the program funding opportunity
• the person to contact to obtain a copy of the RFP
• the deadline, method (mail, hand delivery, fax, e-mail, etc.), contact and address for submitting proposals

Be sure to coordinate the timing of any direct mailing with the publication of the legal notice in the print media and on the website. They should occur simultaneously.

Print media should include major newspapers having either state-wide or regional circulation, such as the Hartford Courant, The New London Day, The New Haven Register, the Connecticut Post, Middletown Press, Norwich Bulletin, Waterbury Republican, Stamford Advocate/Greenwich Times, Norwich Bulletin, etc. For specific papers of general circulation, contact your business office staff.

Other methods of advertisement such as direct mailings, global e-mails and the use of list servers, etc. may also be employed.

All proposals received on or before the deadline must be stamped with the time and date they are received.

Once all proposals have been received and opened, the Ethics and Confidentiality Agreements should be reviewed to ensure that no conflicts of interest exist between the Selection Team and the applicants. Team members must remove themselves if a conflict of interest may exist between themselves and one or more Proposers responding to the RFP.

A list of all proposals should be forwarded to all Bureau Chiefs, the Selection Committee and any appropriate peer reviewers to ensure that all affected parties within the agency are informed of potential projects and has the opportunity to provide comment on issues related to the project, e.g. site contamination, applications competing for multiple funding opportunities, enforcement issues.

Applications must be screened for completeness and verification of legal corporate name and authorized signature. Applications must be verified to ensure the appropriate FEIN or SSN has been provided.

Late, incomplete or ineligible applicants must be returned to the applicant promptly, explaining why the application has been rejected. One copy of the application and a copy of the letter of rejection must be retained by the granting Division. Please refer to your Records Retention Schedules for specific requirements for each Division or Bureau.

A formal rating sheet is recommended to form the basis of the Contractor selection.

The rating sheet must follow the criteria listed in the RFP. No additional criteria can be used to evaluate the proposals. Scoring must be used as a guideline as there may be extenuating circumstances which pre-empt the proposal from being approved (e.g. falsification of information included in the proposal, outside steering committee members having other knowledge about the project proposal, site or applicant, even distribution of funds among regions or proposal categories). Peer review for specific subject matter is highly recommended.

The Selection Team should compile a report with information on all proposals received, and those who were selected for funding. The report should include the name of the proposer, the amount requested/awarded, a proposal title and an identification of the award decision. This report should be submitted to the appropriate Unit/Division/Bureau Manager for review to acknowledge the conclusion of the selection process and acceptance of the Selection Team’s decision. Additional referrals to other DEEP units may be necessary before award to ensure consistency with agency requirements and goals. A copy of the report should be maintained in the official grants file for that grant program.

DEEP's Communications office needs to be fully informed of all grants being made by the agency so it can determine if the grant will be announced with a press release.

• Draft the contract using the Blank Grant/Contract/PSA Packet (including the standard administrative requirements, the Scope of Work and Schedule of Payments) making sure to include the project duration, funding sources and dollar amounts
• Check "Concord On-Line" on the Secretary of State's web site to determine the proper spelling of any Connecticut Contractor. The exact spelling at this web site is what must be used on the agreement and any resolution and/or incumbency certification (exact punctuation is also required).
• Include the FEIN in all spaces provided.
• Include statutory references to citations indicating the authority to enter into agreement (include 22a-6(a)(2) as amended as well as an additional statute or US Code citation that would be specific to the work being contracted and/or funding being used).
• Print the contract using double-sided printing.
• Include standard administrative requirements as appropriate (note that language for Sovereign Immunity, Termination, Severability and Forum and Choice of Law are required by the AG's office for all agreements).
• Depending on the funding source involved with each specific contract, Set-aside requirements for small and minority/women-owned firms may apply and be required to be incorporated into the standard terms and conditions of the contract.
• If federal funds are used, you must review the specific federal grant award and incorporate any requirements for that funding source.
• If state or other funds are being utilized, you must consult DEEP's set-aside list of program exemptions approved by DAS to determine if the specific contract is subject to the requirements of CGS 4a-60g "Set-Aside program for small contractors, minority business enterprises, individuals with disabilities and nonprofit corporations." Contact Nancy Lent to obtain that information.
• If state and federal funds are co-mingled, only the Federal requirements for small, minority/women owned firms, required by the specific program must be followed. These projects must also comply with the specific CHRO Affirmative Action Plan requirements applicable to the contract award.
• Audit language must be included in all Grant contracts (see Audit Directive MC 5270 D1). This audit language is not required for contracts for professional or other services provided to the department (e.g. consultant contracts, etc.).
• Merge features can be embedded into the form to enter repeated information into forms, letters, payments, etc. You can contact Nancy Lent or your designated Central Business Office contact for models and instructions on how this can be done.
• Draft a Scope of Work for projects which require more detail than will fit on a Grant/Contract/PSA form. Be sure to include sufficient information to ensure that any reader would have a clear depiction of exactly what work is required; the sequence of work; applicable time frames and deliverables; responsible parties for specific tasks; reporting requirements, etc. Keep in mind that within the duration of a contract, staffing changes may occur. The contract must be clear enough that individuals with no prior knowledge of a project would be able to determine what work was required under the provisions of the contract.
  
  Be sure to avoid using vague terms such as "proposes to," or "may." Instead, use definitive terms such as "must" and "shall." If you are using language provided in electronic format from a proposal, take care to edit the text to ensure that it clearly denotes the specific work the Contractor is responsible for performing.
  
  If the contractor is likely to be employing the services of a subcontractor, include a statement such as "The contractor is responsible for ensuring the completion of the following tasks." While the work may be conducted by a subcontractor, this statement indicates that it is still the responsibility of the Contractor for ensuring that the work is completed. If a subcontractor is not a party to the contract (will not be signing the agreement), the contract should not specify that work "shall be conducted by" the subcontractor.

Take care to check all cross references to pages, paragraph numbers, Appendices, Attachments, etc. to ensure that all are referenced properly, and attached if referenced.

Business Officers should review all contracts and start completing the AG's Contract Approval Request to ensure all required language referenced has been included prior to sending to the Contractor for signature.

Note that the language regarding Extensions/Amendments is required by the AG's office for all agreements.

• Amendments: Amendments must be processed (including complete approval through the AG's office) prior to the termination date of the existing contract. All efforts should be taken to amend contracts in this manner. As this is a somewhat time-consuming process, it is recommended that extension requests be required at least 60 days prior to the contract termination date. An amendment will run from the date of the start of the original contract through the extension period. If the amendment is for a no-cost extension, you can process a 1-page amendment without any attachments. All amendments should indicate the reason for the amendment on the Grant/Contract/PSA form and reference prior contracts, numbers and approval dates. If the original contract, and any subsequent amendments, did not include language deemed mandatory by the AG's office, the amendment contract must incorporate the mandatory language. If you are modifying the Scope of Work or the cost, you must include the revised Scope of Work / Schedule of Payments and reference it on the Amended Grant/Contract/PSA form.
• Renewals: There is no such thing as a renewal agreement. The AG's Office is no longer allowing the processing of renewal contracts. If you need to extend a contract but it is not possible to process and obtain approval of an amendment contract prior to the termination date of the current contract, you must prepare a new contract with an effective date of the execution of the new contract. Contractors must be notified that they must cease work at the end of the prior contract term or be advised that expenses for work conducted outside of an approved contract term will NOT be eligible for reimbursement. You should ensure that any payments eligible for release under the prior contract are made prior to drafting the new contract. The dollar value of the new will include only the unpaid balance of the prior contract, making adjustments for any funds you are adding or reducing. This will be a new and separate contract and must include the Scope of Work, Schedule of Payments and any other appropriate attachments.

• Attach a routing slip and route for required Division/Bureau review and approval (use attached routing slip as a model). Unless otherwise requested by a Bureau Chief or Commissioner, the initial internal review will include those individuals up to but not including the individual who will be signing the agreement on behalf of DEEP. For example, if the Bureau Chief is authorized to sign the agreement, initial internal review may include individuals such as: Business Officer, Program Supervisor, Assistant Director and Division Director. Please note that in all cases, a Business Officer, Financial Management Buyer, Grant/Program Coordinator and Director must review and approve the contract prior to being sent to the Contractor for signature.
• Once internal review has been concluded, the routing slip should be saved in the project file, to be used at a later date when routed for signature by DEEP's authorized designee.

Please visit the Forms Directory to view the Routing Slip Form.

Send 2 (double-sided) copies of the contract to the Recipient along with a Cover letter including processing instructions:

• For contracts in excess of $50,000.00 attach a Gift and Campaign Contribution Certification
• Attach model Resolution/Incumbency forms
• Attach a model Non-Discrimination Certification (for all but governmental entities)
• Flag the signature blocks of the Grant/Contract/PSA form indicating where Contractor needs to sign & date (two original signed contracts are required)
• For CT companies, alert company that AG's Office requires name as on CONCORD SYSTEM. If not, must explain in writing.

In accordance with CHRO Regulations, contracts in excess of $4,000.00, require completion and submission of certain Contract compliance paperwork by the Contractor. Such paperwork must be received by DEEP prior to processing any payments. CHRO has indicated that they do not require Contract Compliance Monitoring Reports for contracts with values of less than $10,000.00 (per CGS 4a-60 and 4a-60a revised 6/2007, municipalities are exempt from these requirements):

See the CHRO website for specific forms. The following table will assist in determining which forms are required.

Any delay in submitting CHRO paperwork may delay release of contract payments.

It is required that each division maintain a log to track the location of the contract as it proceeds through the signature process. See the attached Contract Log as a sample for tracking this information.

Business Officers should finish completing the AG's Contract Approval Request.

Check Resolution, Incumbency Certification & contract to determine if signatures and seals are appropriately applied.

• Verify that the Contractor name on the Resolution and Incumbency Certification match those in the contract exactly.
• All signatures must appear as they are recorded on the Resolution and Incumbency Certification.
• Resolution & Incumbency Certification must be sealed, or indicate in writing that a seal is not used.
• Resolution/Incumbency Certification is not required if contract is with an individual (which differs from a bona fide corporation or LLC which has only a single member, in which case an individual affidavit is required).
• Resolution and Incumbency Certification CANNOT be signed by the person who signs the contract.
• Contractor name must be identical in all locations of all documents (Contract, all appendices, Resolution, Incumbency Certification).
• If the Resolution, Incumbency Certification or contract were done incorrectly, call or write the Contractor to have it corrected.

Review all CHRO paperwork to determine if all required forms and plans have been submitted.

• Retain a photocopy of the CHRO Contract Compliance Forms for the official program file and forward the original documents to CHRO with a transmittal letter identifying each document being forwarded. Note that as Affirmative Action Plans are lengthy documents, a copy of the Plan does not need to be retained by DEEP, but only referenced in the letter transmitting the contract compliance documents to CHRO. A cc of the transmittal letter and Contract Compliance Monitoring Reports (not the Plan) must also be forwarded to DEEP's Affirmative Action Office.
• If ALL CHRO paperwork was not completed or returned, contact the vendor to obtain the remaining information.
• If processing an amendment, and CHRO paperwork was submitted to CHRO at the time of the original agreement, paperwork does not need to be requested again. However, if the original nondiscrimination certification was prepared prior to 7/9/09, a new Nondiscrimination Certification will be required.

• Fill out a face sheet and print three (3) copies (1 for file, 2 for Financial Mgt., Ondria Lucky) The Agency's contact person will generally be the Central Business Officer in the Financial Management Division, who has been assigned to act as liaison for your office, Bureau or program. Click on link for Contacts by Program & Funding Source. Enter all funding string information on the face sheet and make sure to indicate the selection process used in determining the vendor.
• Amendments: The Face Sheet must indicate that the contract is an amendment and note the amount of this contract, the prior contract, and the difference between the two. If the contract you're processing is an "amendment," you must attach a copy of the previously approved contract(s) to the packet when sending it to Financial Management for approval.
• Assemble the contract packet for submission to Financial Management (Ondria Lucky) to obtain remaining approvals. The packet should consist of:
• Face sheet (2 copies)
• Routing Slip used for initial internal review
• AG's Contract Approval Request (AG's will reject if not attached)
• Grant document & all attachments and appendices (2 originals)
• Resolution
• Incumbency Certification (if needed)
• Nondiscrimination Certification
• Any prior contracts, if Grant is an amendment
• If the agreement is a Large State Contract (agreement with contractor/consultant in excess of $50,000), attach a blank copy of the Certification by Agency Official form and flag it for Commissioner level signature.

• Financial Management logs the contract in tracking database, assigns a number, reviews the contract for appropriate mandatory language, attachments and certifications, ensures that all applicable items noted on the AG Contract Approval Request form have been included, and signs the contracts to indicate that funds are available.
• Financial Management (Ondria Lucky) forwards the contract to the individual authorized to sign the contract for DEEP. Once signed, the contract is returned to Financial Management.
• Once signed and returned to Financial Management, the contract signature date is recorded in the database.
• If the contract is with an individual and in an amount greater than $3,000.00, DAS approval is requested by Financial Management prior to final contract approval.
• Grants and other contracts, with values greater than $3,000.00, are forwarded to the AG's office for final approvals.
• Once the contract is approved by the AG's Office, it is returned to Financial Management, logged in the database and forwarded to the Central Business Office Contact assigned a role of Buyer in Core CT. The Buyers make a contract entry in CORE CT, and in turn, generate a Purchase Order (all contract payments must be made against Purchase Orders entered in CORE CT), and records the PO number on the approved contract.
• Financial Management keeps a copy of the contract for their records and forwards the original contracts and routing slips to the program office.

The Division's Business Office completes the Contract Notification form (for agreements in excess of $4,000 which include non-federal funding) and forwards it to CHRO, with a cc to DEEP's Affirmative Action Office, along with any other CHRO documents that were not previously forwarded to CHRO. A copy of the Contract Notification Form must be retained in the program file.

Please visit the Forms Directory to view the Contract Notification Form.

The program office retains one original contract for the official project file and forwards the other original (or a copy if only 1 original was signed) to the Contractor. A sample cover letter forwarding the approved contract is available on DEEP's intranet or through the Central Business Office.

Program office reviews all deliverables and compares them against the contract to ensure all components have been completed. If items are missing or are not delivered as specified in the contract, this should be rectified prior to releasing payment.

If the contract is for the creation of studies, brochures, publications, or research, the Connecticut State Library may be interested in obtaining copies of those publications. Contact the Connecticut State Depository Program at CDA@cslib.org to determine if they should be provided with hard copies and/or electronic copies of the publication.

Prepare CO-17's for all payments required in the contract, making sure to reference the corresponding PO number on the CO-17.

When making the final payment, make sure to check the box on the CO-17 indicating this is the final payment so remaining funds can be decommitted.