Pursuant to Connecticut law and Office of Treasurer policies, vendors and prospective vendors of the Office of the Treasurer are required to provide the following compliance documents.  Prior to completing these compliance documents, review the Office of State Ethics “State Contractors Guide to the Code of Ethics” here: Contractors-Guide-to-the-Code-of-Ethics-Rev-11-2021.pdf.

Use the current version of the form below and read each form carefully.

I.

Prior to contracting with the Office of the Treasurer

As part of the RFP/contract procurement process of the Office of the Treasurer, prospective vendors must complete the following Legal and Policy attachments:

Attachment1A

CHRO Contract Compliance Report Parts I, II, III and V

Attachment 1B

(No Law firms)

Attachment 1B

(Law firms only)

CHRO Contract Compliance Report Part IV (EIR - Employer Information Report) - Part IV of the CHRO Contract Compliance Report is an Excel file. Submit in Excel format.

Attachment 2

Diversity, Equity and Inclusion and Connecticut Nexus Questionnaire

Attachment 3

Third-Party Fees Affidavit

Attachment 4A

Conflict of Interest Certification

Attachment 4B

(Pension fund consultants only)

Conflict of Interest - CRPTF Consultant Addendum  - Respondents who provide consulting services to the CRPTF complete this supplemental addendum to Attachment 4A.

Attachment 5

Legal Proceedings and Organization Certification

Attachment 6

Campaign Contribution Affidavit - Prior to completing this certification, review the State Election Enforcement Commission Notice to Executive Branch State Contractors and Prospective State Contractors of Campaign Contribution and Solicitation Limitations.

Attachment 7A

Evaluation and Implementation of Sustainable Principles

Attachment 7B

(Real estate investment managers only)

Sustainable Principles Real Estate Addendum - Respondents who manage real estate asset classes for the CRPTF complete this supplemental addendum to Attachment 7A.

II.

Annual Disclosures - Vendors are required to confirm annually for each fiscal year.

A.

Global Risk Assessment Certification - Annual certification by investment services providers confirming compliance with investment contract global securities risk and restricted investment requirements for prior calendar year. See the Investment Restrictions page.

B.

Annual Disclosures - Vendors are required to confirm annually for each fiscal year.

1. Third-Party Fees Affidavit Attachment 3
2. Conflict of Interest Certification Attachment 4A

C.

Other contractually required contract submissions

Insurance Certificates - Any vendor contractually required to maintain insurance must submit proof of insurance annually, which may consist of a copy of the insurance policy or an insurance certificate. Submit to OTT.Compliance@ct.gov.

All other contractually required reports - Submit as directed by the relevant contact person within the Office of the Treasurer.