OPM: Ethics Forms
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and Management
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Hartford, CT 06106-1379
 
(860) 418-6200
(800) 286-2214
 
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PERSONAL SERVICE AGREEMENTS (PSA)
Ethics Affidavits & Certifications for State Contracts

Forms & Descriptions   Summary Chart   Definitions   Other Notes


The Office of Policy and Management created the ethics forms (below) to assist executive branch agencies in complying with the State of Connecticut's current contracting requirements, pursuant to the Connecticut General Statutes and Executive Orders of Governor M. Jodi Rell.  The forms are effective August 1, 2007.
 

{Back To Top} FORMS & DESCRIPTIONS    {Adobe icon}  Adobe.pdf (all)   {Word icon}  Word.doc (all)  Rev. 04-06-09
 
Form 1. Gift and Campaign Contribution Certification
Rev. 10-31-07   Adobe.pdf   Word.doc            
This certification accompanies a State contract with a value of $50,000 or more in a calendar or fiscal year.  The completed form is submitted by the contractor to the awarding State agency at the time of contract execution.  The form is also used with a multi-year contract to update the initial certification on an annual basis.

Form 2. Rescinded on 01-Aug-07.  Use Form 1.

Form 3. Certification of State Agency Official or Employee Authorized to Execute Contract   
Rev. 08-01-07   Adobe.pdf   Word.doc

This certification accompanies a State contract with a value of $50,000 or more in a calendar or fiscal year.  The completed form is signed at the time of contract execution by the State agency official or employee authorized to execute the contract on behalf of the awarding State agency.

Form 4. Rescinded on 01-Aug-07.  Use Form 1.

Form 5. Consulting Agreement Affidavit   
Rev. 10-31-07   Adobe.pdf   Word.doc

This affidavit accompanies a State contract for the purchase of goods or services with a value of $50,000 or more in a calendar or fiscal year.  Form 5 is normally submitted by the contractor to the awarding State agency with the bid or proposal.  However, for a sole source or no bid contract, it is submitted at the time of contract execution.

Form 6. Affirmation of Receipt of State Ethics Laws Summary
Rev. 04-06-09     Adobe.pdf   Word.doc
This affirmation accompanies a large State construction contract or a large State procurement contract with a cost of more than $500,000.  Form 6 is normally submitted by the contractor to the awarding State agency with the bid or proposal.  However, for a sole source or no bid contract, Form 6 is submitted at the time of contract execution.
When applicable, Form 6 is also used by a subcontractor or consultant of the contractor.  The subcontractor or consultant submits the form to the contractor, who then submits it to the awarding State agency.

Forms 6A, 6B, 6C.  Rescinded on 01-Aug-07.  Use Form 6.



 
The chart belows summarizes who signs which ethics form, and when each form is submitted during the contracting process.
 
 

WHEN TO SUBMIT

ETHICS FORMS

Signed by
AGENCY

Signed by CONTRACTOR

ALL Contracts
cost or value

$50 K or more

LARGE Contracts

cost
$500 K or more

submit form

with

bid or proposal

Form 5 *

Form 6 **

submit form

at time of

contract execution

Form 3

Form 1

Form 5 *

Form 6 **

submit form

after

contract execution

Form 6 **

submit form

annually if

multi-year contract

Form 1

 

*   Form 5 is normally submitted by the contractor to the awarding State agency with the bid or proposal.  However, for a sole source or no bid contract, it is submitted at the time of contract execution.

** Form 6 is normally submitted by the contractor to the awarding State agency with the bid or proposal.  However, for a sole source or no bid contract, Form 6 is submitted at the time of contract execution.  When applicable, Form 6 is also used by a subcontractor or consultant of the contractor.  The subcontractor or consultant submits the form to the contractor, who then submits it to the awarding State agency.  Depending on when the contractor engages the subcontractor or consultant, the contractor either submits the form at the time of contract execution or after contract execution.

 

  • Cost of the contract means the dollar amount (or equivalent benefit) expended by the State in accordance with the contract.
Example:
 
OPM entered into a contract with Servus Management Corporation to manage the State office complex located at 410-474 Capitol Avenue in Hartford.  OPM pays the contractor a specified amount of money for this service.  This contract represents a cost expended by the State.
  • Value of the contract means the dollar amount (or equivalent benefit) expended or received by the State in accordance with the contract. 
Example:
 
OPM entered into an agreement with Pinpoint Power whereby, in the event of a power shortage, certain State agencies may be asked to use their own emergency generators.  In exchange, the contractor pays the State a specified amount of money to compensate for the service interruption.  This contract represents a value received by the State.
  • Large state construction contract or large procurement contract means any contract, having a cost of more than $500,000 for (A) the remodeling, alteration, repair or enlargement of any real asset, (B) the construction, alteration, reconstruction, improvement, relocation, widening or changing of the grade of a section of a state highway or a bridge, (C) the purchase or lease of supplies, materials or equipment, as defined in section 4a-50, or (D) the construction, reconstruction, alteration, remodeling, repair or demolition of any public building.


Affidavits and certifications are NOT required for grants or loans, as such awards are not:

  1. large state contracts, as defined by Connecticut General Statutes
    § 4-250;
  2. State Contracts, as defined by Executive Order 7C, Paragraph 2(f); or
  3. contracts for the purchase of goods and services, as used in Connecticut General Statutes § 4-81.

For Further Information, Contact:
Please direct any questions about the ethics forms to Wanda Dupuy, (860) 418-6261, wanda.dupuy@ct.gov.





Content Last Modified on 4/6/2009 2:20:31 PM





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