Certification Requirements for State Contracts

*  The “value of the contract” means the dollar amount or equivalent benefit expended or received by the State in accordance with the contract; whereas, the “cost to the State for a contract” means the dollar amount or equivalent benefit expended by the State in accordance with the contract.

FORM 1 (Gift Certification)

Gift Certifications are to be used with State Contracts with a value of $50,000 or more within a calendar or fiscal year. Such Certifications shall cover the period of time between the “planning date” (i.e., the date designated by the agency as the date the project planning process commenced) and the date of the execution of the subject contract; accordingly, Form 1 must be completed contemporaneously with the execution of the subject contract by the contractor.

FORM 2 (Campaign Contribution Certification)

FORM 3 (Agency Certification)

Contracts with a value of $50,000 or more require an Agency Certification from the official or employee of the contracting state agency who is authorized to execute the subject contract.

FORM 4 (Annual Contract Certifications)

Annual Contract Certifications are only to be used annually to update previously submitted gift and campaign contribution certifications for state contracts with a value of $50,000 or more within a calendar or fiscal year.

FORM 5 (Consulting Agreement Affidavits)

Consulting Agreement Affidavits are only to be used when contracting for the purchase of goods or services, which contract has a total value to the State of $50,000 or more in any calendar or fiscal year.  This affidavit is not required for leases and licensing arrangements of any value.

SERIES 6 FORMS (Ethics Affirmation)

Ethics Affirmations are only to be used with “large state construction or procurement contracts” meaning 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 of the general statutes; or (D) the construction, reconstruction, alteration, remodeling, repair or demolition of any public building.

Form 6A - This affirmation is mandatory and must be completed before the Contractor’s bid or proposal can be considered by the state, pursuant to Connecticut General Statutes § 1-101qq.  This form requires the Contractor to affirm that the Contractor and its key employees have read, understand and agree to comply with the provisions of the state ethics law.
Form 6B -  This affirmation is mandatory and must be completed and returned prior to the execution of the contract by the awarding agency, pursuant to Connecticut General Statutes § 1-101qq.  This form is similar to Form 6A, except that Form 6B is to be used with no bid contracts.
Form 6C -  This affirmation is mandatory and must be completed and returned in a timely manner.  This form requires the Contractor to provide a summary of state ethics laws to all subcontractors and consultants and obtain an affirmation from such subcontractor or consultant that the provided summary has been read, understood and agreed thereto.

OPM has posted the approved Forms on the OPM Web site.

 If you have any questions, please contact Gareth Bye, Esq. at (860) 418-6433 or Tom Cox, Esq. at (860) 418-6467.

For a copy of the Contract Certification Instructions, click here.