REQUEST FOR PROPOSALS

FOR

BROKER OF RECORD AND ASSOCIATED SERVICES

April 2007

Proposals Due 4:00 PM EST on May 29, 2007

Note: Proposals received after the Due Date/Time will be rejected.

Olympic Regional Development Authority 2634 Main Street

Lake Placid, NY 12946

TABLE OF CONTENTS SECTION 1 – REQUEST FOR PROPOSALS 1.1 BACKGROUND. 1.2 PURPOSE 1.3 PROCUREMENT SCHEDULE. SECTION 2: ADMINISTRATIVE PROCEDURES AND PROCUREMENT PROCESS 2.1 RFP COORDINATOR-ISSUING OFFICE 2.2 RESTRICTION ON COMMUNICATION 2.3 SUBMISSION OF PROPOSALS. 2.4 PROPOSAL SUBMITTAL COSTS 2.5 REQUEST FOR PROPOSALS (RFP) AMENDMENT AND CANCELLATION. SECTION 3: GENERAL INFORMATION FOR PROPOSING FIRMS 3.1 CONTRACTUAL AGREEMENT. 3.2 CONTRACT PAYMENT. 3.3 RFP DOCUMENTS. 3.4 BASIS OF AWARD 3.5 WAIVER OF DEFICIENCIES & NONMATERIAL VARIATIONS. 3.6 LEGAL REQUIREMENTS 3.7 CONTRACT TERM. 3.8 SILENCE OF RFP 3.9 CONFIDENTIAL INFORMATION. SECTION 4 – SERVICE REQUIREMENTS 4.1 SCOPE OF WORK/SERVICE REQUIREMENTS 4.2 MINIMUM BROKER QUALIFICATIONS SECTION 5 - PROPOSAL SUBMISSION 5.1 PROPOSAL SUBMISSIONS. 5.2. WITHDRAWAL NOTIFICATION 5.3. ADDENDA. SECTION 6: PROPOSAL ORGANIZATION 6.1 ORGANIZATION OF PROPOSAL. A. TRANSMITTAL LETTER B. TABLE OF CONTENTS C. FIRM INFORMATION/PERSONNEL D. EXPERIENCE E. WORK PLAN F. CONFLICT OF INTEREST G. COST PROPOSAL H. REQUIRED FORMS I. EXCEPTIONS TO GENERAL INFORMATION FOR THE CONSULTANT J. EXCEPTIONS TO THE STANDARD ORDA CONTRACT. 6.2 METHOD OF EVALUATION A. EVALUATION CRITERIA: SECTION 7 - GENERAL INFORMATION FOR THE CONSULTANT 7.1 RESERVATION OF RIGHTS 7.2 PRIME RESPONSIBILITIES. 7.3 NEWS RELEASE. 7.4 MATERIAL SUBMITTED. APPENDIX A: NYS REQUIRED CONTRACT CLAUSES (MANDATORY PROVISIONS) APPENDIX B: ORDA REQUIRED FORMS

2

ATTACHMENT 1: NON-COLLUSION CERTIFICATION ATTACHMENT 2: CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND RESPONSIBILITY ATTACHMENT 3: ACKNOWLEDGEMENT OF AUTHORITY TO SUBMIT PROPOSAL ATTACHMENT 4: PRICE PROPOSAL FORM ATTACHMENT 5: AFFIRMATION OF UNDERSTANDING OF AND AGREEMENT PURSUANT TO STATE FINANCE LAW §139-J (3) AND §139-J (6) (B) ATTACHMENT 6: CONTRACTOR DISCLOSURE OF CONTACTS ATTACHMENT 7: OFFERER DISCLOSURE OF PRIOR NON-RESPONSIBILITY DETERMINATIONS

3

SECTION 1 – REQUEST FOR PROPOSALS 1.1 Background. The New York State Olympic Regional Development Authority is a product of the legacy of the XIIIth Olympic Winter Games in Lake Placid. The Olympic Regional Development Authority, or ORDA -- created by the New York State legislature -- assumed management, operation, and promotion of the Olympic facilities in October 1982 as a result of a state constitutional amendment. The concept was to combine facilities owned by the State of New York (Whiteface Mountain Ski Center, the bobsled, luge, cross country and biathlon facilities of the Olympic Sports Complex at Mt. Van Hoevenberg) with those of the Town of North Elba (Olympic Center, Olympic Speed Skating Oval and the Olympic Jumping Complex) for efficient and effective management. Presently ORDA is an integral part of the Empire State Development Corporation. The Authority has hosted over 250 major national and international events during its tenure. They have included 11 World Championships and over 75 World Cup competitions in bobsled, luge, alpine racing; ski jumping, speedskating and freestyle skiing. ORDA manages these competitions with its events, marketing, communications, finance, timing and scoring, engineering and corporate marketing departments. The Facilities • The Olympic Center – The Olympic Center includes four ice surfaces: the 1932 Arena, the 1980 Arena (home of the “Miracle on Ice”) and two practice rinks. It is a world-class, year-round training facility for speedskating, figure skating, hockey and available for recreation skating, conventions and concerts. In 1994, the 1932 & 1980 Lake Placid Winter Olympic Museum opened in the Olympic Center. The ORDA Box Office is also located in the Olympic Center. • The Olympic Speedskating Oval – This outdoor oval is one of three refrigerated 400-meter skating ovals in the United States and the site of Eric Heiden’s record five gold medals in 1980. It is open in the winter months (Dec. - Mar.) for competitive training, events, and recreational skating. • The Mac-Kenzie Intervale Ski Jumping Complex- This complex is home to winter and summer ski jumping and freestyle skiing. The large (120-meter K point) and normal (90-meter K point) jumps were used for the 1980 Olympic Winter Games. In addition, there are three smaller hills used for development programs. A combination of ceramic tiles and plastic mats allow the jumpers to train and compete in the non-snow months. The Kodak Sports Park, completed in 1988, is America’s foremost water ramp training and competitive facility for freestyle aerial skiing and mogul skiing. In summer, skiers in both disciplines utilize the facilities heated 750,000 gallon pool. In the winter, launching ramps and a steep landing hill are utilized for training and world-class events in freestyle aerials. • The Olympic Sports Complex – Located five miles from Lake Placid at Mt. Van Hoevenberg, the attractions include the world’s newest combined bobsled, luge and skeleton run built in 1999. There is a 50 kilometer (31 mile) cross-country skiing network built for the 1980 Games and a biathlon target range. Athletes train year-round at the facility, the public can take bobsled and luge rides, tour the complex, ski the extensive cross-country network of groomed and set track trails. In the summer months wheeled bobsled rides are also available, as well as a mountain biking center, and summer biathlon training facility. • Whiteface Mountain Ski Center- Whiteface has the greatest vertical drop East of the Rockies at 3,430 feet. In addition to being a favorite among recreational skiers and snowboarders, all of the race trails are fully sanctioned for international competition. There are 73 trails ranging from beginner to expert and out-of-bounds skiing and riding. In the non-winter months, Whiteface operates as a mountain bike center, a site for festivals, and tourists can enjoy a summer gondola ride or drive the Whiteface Mountain Veterans Memorial Highway to the summit. Beyond management of events and initiation of programs such as Sports Development to promote education and participation in Olympic sports, ORDA, working collaboratively with the office of Governor George Pataki, has significantly expanded and improved the facilities, investing over $40 million. In

4

addition, with the support of the State of New York, ORDA constructed the $16 million U.S. Olympic Training Center at Lake Placid, one of three in the country. ORDA is also a major promoter of tourism in the Adirondack region of upstate New York. In 2005, for example, an economic impact study conducted by the Technical Assistance Center at SUNY Plattsburgh showed that “the total impact of ORDA’s activities was the creation of 1,138.5 local jobs (over and above the people employed by ORDA). Statewide, 1487 additional jobs were created as a result of ORDA operations. The overall economic impact of ORDA facilities and operations in the primary study area was $323,709,866 in 2004-2005, and $356,179,578 in New York State over the same period. From figure skating shows and major concerts at the Olympic Center to major world competitions in winter sports, the organization has allowed Lake Placid to proudly carry the banner of the “Winter Sports Capital of the World.” 1.2 Purpose. The NYS Olympic Regional Development Authority (ORDA) is seeking a Broker of Record to (1) represent ORDA in the marketing of the following types of insurance coverage: Commercial Property, General Liability, Crime, Directors and Officers, Fiduciary Liability, and any other insurances that may be required and (2) provide risk management services. The three facilities in the New York Forest Preserve, Whiteface Mountain, the Olympic Sports Complex at Mt. Van Hoevenberg, and Gore Mountain Ski Area (excluding operations at the North Creek Ski Bowl, operated by Gore Mountain), are not subject to Liability Insurance. This Request for Proposals (RFP) is intended to provide interested vendors with information to enable them to prepare and submit proposals for consideration by the NYS Olympic Regional Development Authority (ORDA). This Request for Proposals is not an authorization to approach the insurance marketplace on behalf of ORDA. Prospective brokers failing to comply with this condition will be subject to immediate disqualification. The successful proposer will be expected to provide extensive services including: providing advice on ORDA’s coverage program and its design, negotiating on ORDA’s behalf with insurers, risk management support, consultative services, loss prevention and risk control activities, and additional services as outlined in this RFP document. 1.3 Procurement Schedule. The following Procurement Schedule represents ORDA’s best estimate of the schedule that shall be followed for this Procurement. ORDA reserves the right, at its sole discretion, to adjust this schedule as it deems necessary. It is the responsibility of interested parties to obtain notice of any changes in this Schedule. The schedule of events for this RFP is anticipated to proceed as follows: ♦ RFP distribution: April 30, 2007. ♦ All requests for RFP clarification must be submitted in writing to the RFP Coordinator at the email address provided in Section 2.1 above and received no later than 3:00 PM EST on May 14, 2007. ♦ All questions will be answered and documented in writing as an Addendum to the RFP. These will be sent out to all Consultants on record as having received the original RFP on or before May 21, 2007. ♦ Final RFP submissions must be received by 4:00 PM EST on May 29, 2007. ♦ Review of proposals: May 29, 2007 –June 22, 2007.

5

SECTION 2: ADMINISTRATIVE PROCEDURES AND PROCUREMENT PROCESS 2.1 RFP Coordinator-Issuing Office. This RFP is issued for the NYS Olympic Regional Development Authority. The RFP Coordinator, identified below, is the sole point of contact regarding this RFP from the date of issuance until the selection of the successful Consultant. Kathleen R Bushy Director of Finance NYS Olympic Regional Development Authority 2634 Main Street Lake Placid, NY 12946 Electronic mail: bushy@orda.org 2.2 Restriction on Communication. Pursuant to §139-j and §139-k of the State Finance Law, this solicitation includes and imposes certain procurement lobbying limitations. From the date of issuance of this RFP until announcement of the successful vendor [“restricted period”], proposers may contact only the RFP Coordinator. No contact will be allowed between the Consultant and any other member of ORDA with regard to this RFP during the RFP process unless specifically authorized in writing by the RFP Coordinator. Prohibited contact may be grounds for Consultant disqualification. To maintain a fair and impartial competitive process, the RFP Coordinator will respond only to written questions (including electronic mail) submitted within the specified timeframe. Written questions submitted during the specified timeframe will be the only opportunity for respondents to ask questions as to form and content. Please respect this policy and do not attempt to query ORDA personnel regarding this RFP except through written questions submitted via electronic mail or the U.S. Postal service. In the event that a proposer or someone acting on the proposer’s behalf attempts to discuss the RFP orally or in writing, with any employee of ORDA, other than the RFP Coordinator, the proposer may be disqualified. Proposers may continue to communicate with ORDA staff regarding other business matters relative to ORDA business. In all cases, no verbal communication shall override written communication from the RFP Coordinator. No one is authorized to amend the specifications in any respect by any oral statement or to make any oral representation or interpretation in conflict with the provisions of the specifications. 2.3 Submission of Proposals. The proposal submitted in response to this invitation will be considered the only submission after the due date. Revised proposals will not be permitted after the proposals are opened, unless ORDA requests additional or clarifying information. Once a proposal is opened, it will be considered a firm and binding proposal, and may not be withdrawn from consideration. Proposals facsimiled or electronically mailed will not be accepted. It is the proposer’s responsibility to ensure that the proposal is received by the deadline. Postmarking by the due date will not substitute for actual receipt. 2.4 Proposal Submittal Costs.

6

ORDA is not liable for any costs incurred by firms in developing the responses and/or attending meetings directly or indirectly related to this RFP. Proposing firms are responsible for all costs associated with information, proposals, visitations, orientation training and personnel furnished to comply with this RFP or any subsequent request prior to and after issuance of any resulting contract. All proposals submitted become the property of ORDA and shall not be returned. In the event that the RFP is withdrawn by ORDA for any reason, ORDA shall have no liability to any proposer for any costs or expenses incurred in connection with this RFP or otherwise. 2.5 Request for Proposals (RFP) Amendment and Cancellation. ORDA reserves the unilateral right to amend this RFP in writing at any time. ORDA also reserves the right to cancel or reissue the RFP at its sole discretion. Firms shall respond to the final RFP and any exhibits, addenda, and amendments. SECTION 3: GENERAL INFORMATION FOR PROPOSING FIRMS 3.1 Contractual Agreement. The selected firm will be required to enter into a contractual agreement with ORDA. Award of contract is not final until approval has been received from the ORDA Board of Directors. 3.2 Contract Payment. All available financing and payment options will be described as part of each proposal. Actual terms of payment will be the result of negotiations and agreements reached between ORDA and the successful firm. 3.3 RFP Documents. Potential proposer shall examine this Request for Proposals carefully and thoroughly familiarize him/herself with the detailed requirements prior to submitting a proposal. Ignorance of the requirements will not relieve the proposer from liability and obligations under the proposal offered by the proposer or the resulting contract. 3.4 Basis of Award. Award will be based on receipt of a responsive proposal from a responsible firm that best meets the terms, conditions, and requirements of this RFP and that best meets the needs of ORDA. ORDA reserves the sole and exclusive right to determine if the offered services meet ORDA’s requirements for Broker of Record Services. ORDA also reserves the sole and exclusive right to award to the firm whose proposal meets the terms, conditions, and specifications of the RFP and whose proposal is considered to best serve ORDA’s interests, in the sole judgment of ORDA. ORDA reserves the right to seek additional information and/or clarification from any proposer. 3.5 Waiver of Deficiencies & Nonmaterial Variations. ORDA reserves the sole right to reject any and all proposals for any reason and to waive any minor informalities or immaterial errors in a proposal that are merely a matter of form and not substance and the correction of which would not be prejudicial to other proposals. ORDA also reserves the right to re-solicit proposals in the event that no proposal is acceptable to ORDA. ORDA reserves the right to permit cure of nonmaterial variances in a proposal, provided that such waiver is based on the best interest of ORDA. Nonmaterial variances include minor informalities that do not affect responsiveness, variances that are merely a matter of form or format, variances that do not change the relative standing of other proposers, variances that do not prejudice other proposers, variances that do not change the meaning or scope of the RFP or variances that do not reflect a material change in the services. The determination of whether a particular matter constitutes a material or nonmaterial variation from the RFP is within the sole discretion of ORDA. 3.6 Legal Requirements. Federal, State, County and local laws, resolutions, rules and regulations that in any

7

manner affect the items covered herein apply. Lack of knowledge by the responding firms shall in no way be cause for relief from responsibility. Firms are to be in full compliance with applicable New York State Statutes, along with any and all federal rules and regulations. 3.7 Contract Term. Proposers should assume a service agreement between ORDA and the successful Broker of Record for a term of one (1) year, with four (4) one-year renewal options, at the sole option of ORDA. 3.8 Silence of RFP. The intent of this RFP is to cover Broker of Record Services in every respect. Details of service not explicitly stated in this document, but attendant thereto, is deemed understood by the proposer and included herein. The successful proposer shall furnish all material and services usually furnished with such services in accordance with industry standards. The apparent silence of this RFP, as to any detail or the apparent omission from it of any service requirement shall be regarded as meaning that only the best practices are to prevail. All interpretations of this RFP shall be made on the basis of this statement. 3.9 Confidential Information. ORDA may be required to disclose proposal responses under the definition of a “public record.” By submitting a proposal, the proposing firm agrees that ORDA may copy the proposal for purposes of facilitating the evaluation of the proposal or to respond to requests for public information. By submitting a proposal, the proposing firm consents to such copying and warrants and represents that such copying will not violate the rights of any third party. Any documents submitted which contain confidential information must be marked on the outside as containing confidential information, and each page upon which confidential information appears must be marked as containing confidential information. The confidential information must be clearly identified to the reader where it appears. All copies of the proposal submission, as well as the original, must be marked in this manner.If there is any challenge to ORDA withholding of information on the basis of trade secret, the proposing firm shall bear any legal costs associated with the defense of the withholding of that information. By submitting a proposal, the proposing firm agrees that it will not bring any claim or have any cause of action against ORDA based on any misunderstanding concerning the information provided in this RFP or concerning ORDA’s failure, negligence or otherwise to provide the proposing firm with pertinent information as intended by this RFP. SECTION 4 – SERVICE REQUIREMENTS 4.1 Scope of Work/Service Requirements. ORDA’s selected Broker of Record will be required to furnish, at a minimum, the following services. A. Services 1. Review and evaluate ORDA’s exposure to risk. 2. Market and place selected insurance coverage as requested by ORDA. 3. Once coverage is in place, review and maintain copies of all policies and all negotiated endorsements, and confirm that classifications, exposures and limits are in conformity with ORDA’s specifications and negotiated coverage and that all applicable negotiated extensions of coverage are being provided; 4. Prepare insurance applications, specifications and underwriting exhibits in cooperation with ORDA’s designated representative; 5. Provide assistance in evaluating current property values for use in obtaining property insurance coverage; 6. Process or facilitate the processing of certificates of insurance, bonds and auto identification cards, with respect to insurance policies placed by Broker, as

8

requested by ORDA; 7. Assist in developing underwriting data and specifications for renewal negotiations. 8. Provide trended values for property insurance policies. 9. Conduct strategic planning sessions to review current performance and establish future objectives and strategies for ORDA’s risk and insurance program; 10. With the participation of ORDA’s designated representative, obtain Proposals from the insurance industry and negotiate the best terms and coverage for the various exposure areas. 11. Evaluate the commitment and financial stability of proposed underwriters. 12. Prepare summaries of policies submitted for ORDA’s consideration. 13. Service existing insurance policies by tendering losses, reviewing coverage issues, assisting in collection of losses, reporting values, issuing Certificates of Insurance as needed, processing policy changes, etc., in a timely manner. 14. Review and determine the feasibility of insurer recommendations and assist in the implementation of realistic recommendations; 15. Review all losses submitted by ORDA and forward to all potentially involved insurance carriers; 16. Analyze loss experience for insurance policies to determine possible adverse frequency and/or severity trends; 17. Review advantages and disadvantages of alternate programs; 18. Keep ORDA informed of significant changes and/or trends in the insurance marketplace and provide ORDA with an annual forecast of market conditions; 19. Report the actual commissions earned on all business placed by Broker on behalf of ORDA; 20. Assist in the expediting, resolution, negotiation, and settlement of claims and coverage questions; 21. Notify the carrier of claims as requested by ORDA’s Designated Representative. 22. Provide ORDA with consulting services upon request. If independent consultants are to be contracted for these services, ORDA must approve the consultant. Such consulting services may include, but are not limited to: a. An audit of ORDA’s risk management program; b. Assistance in feasibility studies, risk retention recommendations, and analysis of the costs of risk; c. Assistance in connection with selection and review of independent administrators for claims, safety, and loss control; d. Review of insurance-related aspects of ORDA’s contractual agreements and recommendations for improvement, risk evaluation, risk control, and insurance exposures; NOTE: It is understood by both parties that the services denoted in this Item 22 are advisory in nature and that Broker has not agreed to perform them entirely without additional compensation. The extent of the consultant services contracted for will be evaluated and the level of compensation to Broker will be negotiated at the time of request for performance or contracting for such services. 23. Provide the following reports annually or when requested by ORDA: a. Summary of insurance policies and premiums; b. Progress and status of insurance program, planned implementation, and/or renewal; c. Losses incurred, reserved, and settled by policy, supplementing insurance company reports as needed; and, d. Report of commissions included in premium quotes and placements.

9

24. Schedule quarterly meetings with ORDA’s designated Risk Management representative to discuss loss control issues, exposure changes, and general administrative matters. 25. Prepare annual marketing strategy reports identifying significant changes and/or trends in market conditions and propose a marketing strategy for ORDA’s major loss exposure areas prior to policy renewal. 26. With the participation of appropriate ORDA personnel, obtain initial premium renewals and negotiate for the lowest renewal rates. Seek and analyze premium rates with comparable insurance providers. 27. Analyze ORDA’s exposure to loss, adequacy of coverage, and develop options on coverage not presently purchased by ORDA. 28. Assist ORDA in developing insurance requirements for various contracts (design, construction, and service) and in reviewing insurance policies, contracts and leases as requested by ORDA 29. Prepare an annual report including a schedule of policies in force, coverage provisions, premiums, insurance claims experience for the prior policy year and recommendations for possible adjustments to insurance coverage for the next policy year. The report should provide a summary of broker support services rendered during the prior year, with recommendations for broker services recommended for the subsequent year. ORDA retains the right to select its own consultant for any of these services separately from any provided by Broker. 4.2 Minimum Broker Qualifications 1. Licensed in the State of New York. 2. Ten (10) years’ experience as a licensed insurance broker, three (3) of which should be with at least two (2) municipal or public accounts. 3. Must be able to demonstrate evidence of insurance agents’ and brokers’ errors and omissions insurance with a minimum limit of three million dollars ($3,000,000). 4. Annual commercial coverage premium volume of one million dollars ($1,000,000) or greater. 5. The successful broker shall be fully incorporated at least five (5) years and shall have an office in New York State. It is preferred that the successful firm be a full Service Insurance Agency.

10

SECTION 5 - PROPOSAL SUBMISSION 5.1 Proposal Submissions. Acceptance Period and Location: To be considered, Consultants must submit a complete response to this RFP. Proposals not responding to all information requested in this RFP or indicating exceptions to those items not responded to may be rejected. One (1) original and three (3) complete copies of the signed original proposal must be submitted by U.S. mail or hand delivery to Kathleen R Bushy, Director of Finance, Olympic Regional Development Authority, 2634 Main Street, Lake Placid, NY 12946 by May 29, 2007 at 4:00 p.m. Proposals received after the time and date specified will not be considered. Proposals must be submitted in a sealed envelope on or before 4:00 p.m. Eastern Standard Time, on Tuesday, May 29, 2007 and must be clearly addressed as follows: “PROPOSAL FOR BROKER OF RECORD AND ASSOCIATED SERVICES” Kathleen R Bushy, Director of Finance Olympic Regional Development Authority 2634 Main Street Lake Placid, NY 12946 Proposals must be typed. All corrections must be initialed and dated by the person signing the proposal documents. No changes or corrections will be allowed after the proposal submission date and time. Proposals shall be binding for one-hundred and twenty (120) days after the proposal submission due date. It is ORDA’s policy that MBE/WBE/DBE firms are afforded opportunities to participate in the performance of its contracts. There will be no public opening of the proposals. 5.2. Withdrawal Notification. Consultants receiving this RFP who do not wish to submit a proposal should reply with a "No Proposal" letter to be received by the RFP Coordinator no later than the proposal submission date. This copy of the RFP is to be returned with the withdrawal correspondence. The RFP is the property of ORDA and may not be reproduced or distributed for purposes other than proposal submission without the written consent of ORDA. 5.3. Addenda. In the event it becomes necessary to revise any part of this RFP, ORDA will make every effort to provide the addendum (a) to all who are on record as having received the basic RFP. An acknowledgment of such addenda, if any, must be submitted with the RFP response. SECTION 6: PROPOSAL ORGANIZATION In responding to this RFP, Consultants must follow the prescribed format as outlined in this Section. By so doing, each Consultant will be providing comparable data submitted by other Consultants and, thus, be assured of fair and objective treatment in the review and evaluation process. While every effort has been made to ensure the accuracy and completeness of the information in this RFP, ORDA recognizes that the information may not be complete in every detail and that all required work and materials may not be expressly mentioned in this RFP. It is the responsibility of the proposers to include in their proposals all services and materials that are manifestly necessary for the full and faithful performance of the services in accordance with the objectives of this RFP. Format and Content of Proposal Submission Proposals should be prepared as simply as possible and provide a straightforward, concise

11

description of the Consultant's capabilities to satisfy the requirements of the RFP. Expensive bindings, color displays, promotional material, etc. are not necessary or desired. Emphasis should be concentrated on accuracy, completeness, and clarity of content. Vague terms such as "Consultant complies" or "Consultant understands" should be avoided. 6.1 Organization of Proposal. This section outlines the information that must be included in all proposals. Please outline proposals in the same order as the items in this section. A. Transmittal Letter. Each response to the RFP must be accompanied by a letter of transmittal not exceeding one (1) page that summarizes key points of the proposal and which is signed by a corporate officer of the firm authorized to legally bind the Consultant’s firm to the obligations contained in the proposal. The Consultant must certify that all material, supervision, and personnel will be provided as proposed, at no additional cost above the proposal price. Any costs not identified and subsequently incurred by ORDA must be borne by the Consultant. This certification is accomplished by the Transmittal Letter being signed by an individual who has the authority to bind the Consultant. The transmittal letter should include a phone number, fax number and e-mail address for the Consultant's contact person. Any request for confidential treatment of information shall be included in the transmittal letter. Any request for confidential treatment must comply with all requirements for such requests outlined herein. The absence of a request for confidential treatment shall be construed to mean that no portion of the proposal is requested by the offeror to be kept confidential. B. Table of Contents. Include a Table of Contents at the beginning, which clearly outlines the contents of the proposal. C. Firm Information/Personnel. Provide information related to the proposing company and any companies being proposed as sub-contractors. Specifically address the following: (a) Provide legal name and address of the firm, as well as a brief summary of the firm’s size and structure of its organization, the number of full-time employees and the number of years the firm has been in the business of conducting the described services. (b) Identify your firm’s designated lead person and primary day-to-day point of contact for work to be performed on behalf of ORDA. (c] Describe the functions and location of the proposing firm’s nearest regional office to ORDA. [d] Describe the proposing firm’s expertise in the insurance industry. [e]. Provide a list of carriers with which the agency is currently associated. [f] Provide the following information: 1. Total Number of Staff company-wide and for servicing office (office that will serve ORDA). 2. Total Number of Licensed Professionals in the servicing office. 3. Total Premiums Written by the Company and by servicing office. 4. Provide a list of major insurance carriers, including re-insurers and excess carriers with whom the proposing agency does business; also include a list of carriers with whom the proposing firm has binding authority, including the scope of such authority. [g] Include copies of the following: 1. Certificate of Insurance for Errors and Omissions coverage. Include the following information regarding the Errors and Omissions coverage:

12

_Name of Insurance Carrier _Current Policy Effective & Expiration Dates _Policy Limit _Deductible or Retention 2. Business license 3. Statement of compliance with federal and state laws. D. Experience. Provide demonstrated experience in providing brokerage services of a similar nature to those outlined in this RFP to other public entities of comparable size and complexity. This section must include: 1. A list of all public sector clients in the State of New York and the dates of engagement for each client. Include the following information for each public sector client: a. Name and address of the client; b. Approximate annual budget; c. Name and telephone number of contact person; 2. Provide evidence of expertise in public entity risk management (or other accounts of similar size and complexity). E. Work Plan. Proposals must include a detailed Work Plan that describes: 1) the Proposing Firm’s understanding of the proposed work and its various tasks. 2) how the proposing firm’s management procedures will ensure quality work is performed; 3) how the proposed work plan will meet the tasks and deliverables as described in this Request for Proposals; 4) Detailed services that will be provided to ORDA. 5) The firm’s view of their responsibilities to ORDA in the provision of brokerage services. 6) Claims Services a. Describe your agency’s in-house claims administration expertise. b. Describe how your agency plans to monitor carrier settlement procedures. c. Describe procedures for notifying primary and excess insurers of losses. 7) Insurance Placement Services a. Describe the proposing agency’s policy on client involvement in the marketing of insurance coverage. b. Indicate whether copies of insurance market applications/specifications are provided to clients. If no, please explain why not. c. Specifically describe your agency’s experience/involvement in reinsurance agreements. d. Include specific procedures used by your firm to evaluate each insurer in terms of overall financial integrity and the limit of liability or the amount of insurance that may be placed with the insurer. Describe if there is any relationship between your firm and the proposed carrier. 8]. Detail the techniques to be used to assist the ORDA in developing current risk exposure information. 9]. How will your firm augment the carrier’s risk evaluation services (i.e. loss summaries, claim reviews, reserve analysis, etc.)? F. Conflict of Interest. (a) Discuss fully any conflict of interest, potential or actual, which might arise in

13

connection with the proposing firm’s involvement in providing services to ORDA. (b) State whether the proposing firm represents any party that is or may be adverse to ORDA. (c) Discuss any past or present civil or criminal legal investigation or pertinent litigation and/or regulatory action involving your firm or any of its employees. Include a detailed discussion of the outcome of such investigation/litigation or regulatory action. If none, include a statement that there are no past or present civil or criminal legal investigations, or pertinent litigation and/or regulatory actions involving your firm. [d] Proposals must disclose any sanctions imposed by the State of New York Insurance Commission on the agency. G. Cost Proposal. 1. Based on the information provided, please provide a price quote for the work described in this RFP, using the Price Proposal Form attached hereto (Attachment 4.) As shown on the Price Proposal Form, please provide the price quote in the following format: (1) provide a fixed annual dollar cost for the Broker of Record Services outlined in this RFP. Pricing must be broken down to its lowest determinant. All potential costs that ORDA may incur as part of this contract shall be fully detailed in all proposals. The proposed fees shall be guaranteed in effect for a minimum of two (2) years from the commencement of the Contract; guarantees beyond this time frame will be viewed favorably in the Proposal Evaluation process. Any proposed increase after two (2) years shall be clearly stated in the proposal. If no such increase is included in the proposal, it will be assumed that the proposal rate shall be in effect for the term of the contract, including renewal options. Fees are to be maintained at the proposed level unless approval is given by ORDA for a change in the fee structure or level. The proposal must also indicate what services will be included in the basic fee, plus the methodology for determining the cost of additional or supplemental services. Successful broker of record will be required to divulge all income by line of coverage developed on this account. 2. Proposals must identify all services for which ORDA will be charged separately, if any, and must include proposed price(s) for those services. Proposals must also describe all other fees and expenses, if any, that may be charged to ORDA in connection with this engagement. H. Required Forms. The Required Forms attached to this RFP must be completed, signed by an officer of the company authorized to legally bind the company, and submitted with the proposal. Failure to complete these documents and submit them with a proposal may render the proposal non-responsive and ineligible for award.

14

I. Exceptions to General Information for the Consultant. For all exceptions to Section 4, the Consultant must indicate on a separate sheet labeled "Exceptions Taken to the Administrative Procedures (Section 2)” or “Exceptions Taken to General Information for the Consultant (Section 3)", the section number of any requirement to which an exception is being taken and an explanation of their position. 6.2 Method of Evaluation. Evaluation Committee: Selected personnel from ORDA will form the evaluation committee for this RFP. It will be the responsibility of this Committee to evaluate all properly-prepared and properly-submitted proposals and make a recommendation to the ORDA Board. The ORDA Evaluation Committee will review all proposals. All properly-prepared proposals will be scored based on how well they address the specific needs of ORDA as outlined in this RFP. Proposals will be evaluated based on Best Value. The proposal which “optimizes quality, cost, and efficiency among the responsible and responsive proposals” shall be selected for award. (State Finance Law, Article 11, Section 163.) Each evaluation criterion listed in Section A below has been given a point value that indicates its importance to ORDA. The evaluators will score the properly submitted proposals, and may award all the points, none of the points, or some of the points, depending upon how the evaluator rates the suitability of the respondent for the item in question. Once the Evaluators have calculated the “Suitability Scores” for all properly-prepared proposals, the Evaluation Team will meet to review the proposals and the scores. The individual Evaluator ratings will be added together to obtain the overall score for each responsible and responsive proposal. Since it is not possible to totally specify all of ORDA’s requirements in this RFP, it is possible that further discussion may take place. ORDA reserves the right to conduct competitive negotiations to develop the final contract with the firm whose proposal best suits the needs of ORDA, based upon the sole discretion of ORDA. If the preferred proposer and ORDA are unable to reach agreement, ORDA reserves the right, but not the obligation, to negotiate with the responsible proposer receiving the next highest score. A. Evaluation Criteria: A proposal shall be deemed unresponsive if it fails to meet the minimum qualifying criteria defined below. A non-responsive proposal will not be evaluated or ranked. The Committee’s review process for Broker of Record Services will focus on the capabilities and experience of each Respondent as it relates to the criteria outlined below. 1) Minimum Qualifying Criteria (Pass/Fail) – This is a Pass/Fail Category in which proposals must meet minimum/mandatory qualifying criteria to receive a passing grade. Failure to do so will result in disqualification of the proposal. The minimum qualifying criteria are as follows: • Overall completeness, clarity, quality of proposal and conformance to RFP Requirements (determination of responsiveness), • Determination of Responsibility of the Proposer (proposer’s ability to provide the required services per the RFP, as evidenced by the qualifications of the proposing firm and its employees and references of current and/or past clients. The proposing firm’s managerial and

15

financial strength and organizational size and stability shall also be evaluated). 2) ORDA will evaluate proposals and, if a Broker of Record Service provider is to be selected, select the firm on the basis of the selection criteria outlined below. All proposals deemed to meet the minimum qualifying criteria outlined above will be evaluated according to the following criteria: The Technical and Financial components of the proposals will be evaluated separately, as follows: a) Technical Competence = [80%] (Includes understanding of the required services, degree of relevant experience in insurance brokerage, qualifications of staff assigned to the project, capacity and availability to perform the requested services, and client references) Firm/Staff Qualifications (Weight: 40%) Experience (Weight: 30%) Work Plan/Project Administration (Weight: 10%) b) Financial Component = [20%] [Includes proposed fees; any and all charges for proposed services associated with project implementation and administration] Price Quote (Weight: 20%) SECTION 7 - GENERAL INFORMATION FOR THE CONSULTANT 7.1 Reservation of Rights. ORDA reserves the right to refuse any and all proposals, in part, or in their entirety, or select certain products and/or services from various Consultant proposals, should it be deemed to be in the best interest of ORDA. ORDA is not committed, by virtue of this RFP, to award a contract, or to procure or contract for services. The proposals submitted in response to this request become the property of ORDA. If it is in its best interest to do so, ORDA reserves the right to: A. Make selections based solely on the proposals or negotiate further with one or more Consultants. B. Award a contract to more than one Consultant for any portion of this specification. 7.2 Prime Responsibilities. The selected Consultant will be required to assume responsibility for all services offered in its proposal whether or not provided by them. The selected Consultant will be liable, both individually and severally, for the performance of all obligations under the awarded contract and will not be relieved of non-performance of any of its subcontractors. 7.3 News Release. News releases pertaining to this RFP or the services to which it relates will not be made without prior approval by ORDA. 7.4 Material Submitted. All right, title and interest in the material submitted by the Consultant as part of a proposal shall vest in ORDA upon submission of the Consultant’s proposal to ORDA without any obligation or liability by ORDA to the Consultant. ORDA has the right to use any or all ideas presented by a Consultant. ORDA reserves the right to ownership, without limitation, of all proposals submitted. However, because ORDA could be required to disclose proposals under the New York Freedom of Information Law (Public Officers Law §§ 84 – 90), ORDA will, to the extent permitted by law, seek to protect the Contractor’s interests with respect to any trade secret information submitted as follows: Pursuant to Public Officers Law § 87, ORDA will deny public access to Consultants’ proposal to the extent the information constitutes a trade secret, which if disclosed

16

would cause substantial harm to the Consultant’s competitive position, provided the Consultant identified the information it considers to be a trade secret and explains how disclosure would cause harm to the Consultant’s competitive position.

17

APPENDIX A

MANDATORY CONTRACTUAL PROVISIONS

NON-DISCRIMINATION PROVISIONS

During the performance of this Agreement, [Insert Contractor Name], for itself, its assignees, and successors in interest (hereinafter referred to as the “Contractor”) agrees as follows: 1. COMPLIANCE WITH REGULATIONS: Contractor shall comply with the regulations relative to non-discrimination in federally-assisted programs of the New York State Department of Transportation and Title 49, Code of Federal Regulations, Part 26, as the same may be amended from time to time (hereinafter referred to as the “Regulations”), which are herein incorporated by reference and made a part of this Agreement. 2. SOLICITATIONS FOR SUBCONTRACTS, INCLUDING PROCUREMENTS OF MATERIALS AND EQUIPMENT: In all solicitations, either by competitive bidding or negotiations made by the Contractor for work to be performed under a subcontract, including procurement of materials or leases of equipment, each potential subcontractor or supplier shall be notified by the Contractor of the Contractor’s obligations under this contract and the Regulations relative to non-discrimination on the grounds of race, color, sex or national origin. 3. INFORMATION AND REPORTS: Contractor shall provide all information and reports required by the Regulations or directives issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by ORDA to be pertinent, to ascertain compliance with required Federal and/or State Regulations, orders and instructions. Where any information is required, or the Contractor is in the exclusive possession or control of another who fails or refuses to furnish this information, the Contractor shall so certify to ORDA and shall set forth efforts it has made to obtain the information. 4. SANCTIONS FOR NON-COMPLIANCE: In the event of Contractor’s non-compliance with the non-discrimination provisions of this Agreement, ORDA shall impose such sanctions as it, the Federal Transportation Administration and/or the New York State Department of Transportation may determine to be appropriate, including, but not limited to: a. withholding of payments to the Contractor under this Agreement until the Contractor complies; and/or b. cancellation, termination or suspension of this Agreement, in whole or in part. 6. INCORPORATION OF PROVISIONS: Contractor shall include the provisions of paragraphs 1 - 4 in every subcontract, including procurements of materials and leases of equipment, unless exempt by the Regulations, or directives issued pursuant thereto. Contractor shall take such action with respect to any subcontract or procurement as ORDA may direct as a means of enforcing such provisions, including sanctions for non-compliance; provided, however, that in the event a Contractor becomes involved in, or is threatened with litigation with a subcontractor or supplier as a result of such direction, Contractor may request ORDA to enter into such litigation to protect the interests of the recipient and, in addition, Contractor may request the United States to enter into such litigation to protect the interests of the recipient or the United States.

18

MANDATORY CONTRACTUAL PROVISIONS (continued) WAIVER OF IMMUNITY PROVISION

Contractor agrees to the provisions of Section 103(a) of the New York State General Municipal Law which requires that upon the refusal by a person, when called before a Grand Jury or the Organized Crime Task Force in the Department of Law, to testify concerning any transaction or contract the Contractor had with the State, any political subdivision thereof or of a public authority, to sign a Waiver of Immunity against subsequent criminal prosecution or to answer any relevant question concerning such transaction or contract: 1. Such person, and any firm, partnership or corporation of which he is a member, partner, director or officer, shall be disqualified from thereafter selling to or submitting bids to or receiving awards from or entering into any contracts with any municipal corporation or fire district or any public department, agency or official thereof, for goods, work or services for a period of five (5) years after such refusal; and 2. Any and all contracts made with any municipal corporation of any public department, agency or official thereof since July 1, 1959, or with any fire district or any agency or official person, and by any firm, partnership or corporation of which he is a member, partner, director or officer may be cancelled or terminated by the municipal corporation or fire district without incurring any penalty or damages on account of such cancellation or termination, but any monies owing by the municipal corporation or fire district for goods delivered or work done prior to the cancellation or termination shall be paid.

19

NYS REQUIRED CONTRACT CLAUSES (MANDATORY PROVISIONS)

The parties to the attached Agreement, license, lease, amendment or other contract of any kind (hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which are hereby made a part of the contract (the word "Contractor" herein refers to any party other than the State, whether a contractor, licenser, licensee, lessor, lessee or any other party): 1. EXECUTORY CLAUSE. In accordance with Section 41 of the State Finance Law, the State shall have no liability under this contract to the Contractor or to anyone else beyond funds appropriated and available for this contract. 2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without the previous consent, in writing, of the State and any attempts to assign the contract without the State's written consent are null and void. The Contractor may, however, assign its right to receive payment without the State's prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance Law. 3. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law. 4. NON-DISCRIMINATION REQUIREMENTS. To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex, national origin, sexual orientation, age, disability, genetic predisposition or carrier status, or marital status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall by reason of race, creed, color, national origin, age, sex or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent violation. 5. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in

20

NYS REQUIRED CONTRACT CLAUSES (Continued) prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor Department in accordance with the Labor Law. 6. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor affirms, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Contractor further affirms that, at the time Contractor submitted its bid, an authorized and responsible person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf. 7. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-f of the Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affiliates of Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the contract's execution, such contract, amendment or modification thereto shall be rendered forfeit and void. The Contractor shall so notify the State Comptroller within five (5) business days of such conviction, determination or disposition of appeal (2NYCRR 105.4). 8. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory rights of set-off. These rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any other contract with any State department or agency, including any contract for a term commencing prior to the term of this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto. The State shall exercise its set-off rights in accordance with normal State practices including, in cases of set-off pursuant to an audit, the finalization of such audit by the State agency, its representatives, or the State Comptroller. 9. RECORDS. The Contractor shall establish and maintain complete and accurate books, records, documents, accounts and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the Records"). The Records must be kept for the balance of the calendar year in which they were made and for six (6) additional years thereafter. The State Comptroller, the Attorney General and any other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from public disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided that: (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable. Nothing contained herein shall

21

NYS REQUIRED CONTRACT CLAUSES (Continued) diminish, or in any way adversely affect, the State's right to discovery in any pending or future litigation. 10. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION. (a) FEDERAL EMPLOYER IDENTIFICATION NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. All invoices or New York State standard vouchers submitted for payment for the sale of goods or services or the lease of real or personal property to a New York State agency must include the payee's identification number, i.e., the seller's or lessor's identification number. The number is either the payee's Federal employer identification number or Federal social security number, or both such numbers when the payee has both such numbers. Failure to include this number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or New York State standard voucher, must give the reason or reasons why the payee does not have such number or numbers. (b) PRIVACY NOTIFICATION. (1) The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5 of the State Tax Law. Disclosure of this information by the seller or lessor to the State is mandatory. The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the Commissioner of Taxation and Finance. The information will be used for tax administration purposes and for any other purpose authorized by law. (2) The personal information is requested by the purchasing unit of the agency contracting to purchase the goods or services or lease the real or personal property covered by this contract or lease. The information is maintained in New York State's Central Accounting System by the Director of Accounting Operations, Office of the State Comptroller, 110 State Street, Albany, New York 12236. 11. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN. In accordance with Section 312 of the Executive Law, if this contract is: (i) a written agreement or purchase order instrument, providing for a total expenditure in excess of $25,000.00, whereby a contracting agency is committed to expend or does expend funds in return for labor, services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or (iii) a written agreement in excess of $100,000.00 whereby the State assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then: (a) The Contractor will not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability or marital status, and will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination. Affirmative action shall mean recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation; (b) at the request of the contracting agency, the Contractor shall request each

22

NYS REQUIRED CONTRACT CLAUSES (Continued) employment agency, labor union, or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, to furnish a written statement that such employment agency, labor union or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the contractor's obligations herein; and (c) the Contractor shall state, in all solicitations or advertisements for employees, that, in the performance of the State contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. Contractor will include the provisions of "a", "b", and "c" above, in every subcontract over $25,000.00 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work") except where the Work is for the beneficial use of the Contractor. Section 312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii) employment outside New York State; or (iii) banking services, insurance policies or the sale of securities. The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of this section. The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful rules and regulations of the Governor's Office of Minority and Women's Business Development pertaining hereto. 12. CONFLICTING TERMS. In the event of a conflict between the terms of the contract (including any and all attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of this Appendix A shall control, except where the Federal supremacy clause requires otherwise. 13. GOVERNING LAW. This contract shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise. 14. LATE PAYMENT. Timeliness of payment and any interest to be paid to Contractor for late payment shall be governed by Article 11-A of the State Finance Law to the extent required by law. 15. NO ARBITRATION. Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of competent jurisdiction of the State of New York. 16. SERVICE OF PROCESS. In addition to the methods of service allowed by the State Civil Practice Law & Rules ("CPLR"), Contractor hereby consents to service of process upon it by registered or certified mail, return receipt requested. Service hereunder shall be complete upon Contractor's actual receipt of process or upon the State's receipt of the return thereof by the United States Postal Service as refused or undeliverable. Contractor must promptly notify the State, in writing, of each and every change of address to which service of process can be made. Service by the State to the last known address shall be sufficient. Contractor will have thirty (30) calendar days after service hereunder is complete in which to respond. 17. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In accordance with the MacBride Fair Employment Principles (Chapter 807 of the Laws of 1992), the Contractor hereby stipulates that the Contractor either (a) has no business operations in Northern Ireland, or

23

NYS REQUIRED CONTRACT CLAUSES (Continued) (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Fair Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of compliance with such principles. 18. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts. Information on the availability of New York State subcontractors and suppliers is available from: NYS Department of Economic Development Division for Small Business 30 South Pearl St -- 7th Floor Albany, New York 12245 Telephone: 518-292-5220 Fax: 518-292-5884 http://www.empire.state.ny.us A directory of certified minority and women-owned business enterprises is available from: NYS Department of Economic Development Division of Minority and Women's Business Development 30 South Pearl St -- 2nd Floor Albany, New York 12245 Telephone: 518-292-5250 Fax: 518-292-5803 http://www.empire.state.ny.us The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that whenever the total bid amount is greater than $1 million: (a) The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State; (b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended; (c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements. The Contractor agrees to document these efforts and to provide said documentation to the State upon request; and (d) The Contractor acknowledges notice that the State may seek to obtain offset credits from foreign countries as a result of this contract and agrees to cooperate with the State in these efforts. 19. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are hereby notified that if their principal place of business is located in a country, nation, province, state or political subdivision that penalizes New York State vendors, and if the goods or services they offer will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana and Hawaii. Contact NYS Department of Economic Development for a current list of jurisdictions subject to this provision.

24

APPENDIX B: NYS ORDA REQUIRED FORMS

THE FOLLOWING FORMS ARE REQUIRED PROPOSAL SUBMISSION DOCUMENTS. FAILURE TO COMPLETE ANY OF THESE FORMS AND SUBMIT THEM WITH YOUR PROPOSAL MAY RENDER THE PROPOSAL NON-RESPONSIVE AND INELIGIBLE FOR AWARD. Attachment 1: Non-Collusion Certification Attachment 2: Certification Regarding Debarment, Suspension, and Responsibility Attachment 3: Acknowledgement of Authority to Submit Proposal Attachment 4: Price Proposal Form Attachment 5: Affirmation of Understanding of and Agreement pursuant to State Finance Law §139-j (3) and §139-j (6) (b) Attachment 6: Contractor Disclosure of Contacts Attachment 7: Offerer Disclosure of Prior Non-Responsibility Determinations

25

Attachment 1

NON-COLLUSION CERTIFICATION

By submission of this proposal, the Offeror ____________________________certifies, Name of Offeror that (s)he is _____________________________ of __________________________________ and, under penalty of perjury, affirms: 1. The prices in this proposal have been arrived at independently without collusion, consultation, communication, or agreement, for the purpose of restricting competition, as to any matter relating to such prices with any other Offeror or with any competitor; 2. Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the Offeror and will not knowingly be disclosed by the Offeror prior to opening, directly or indirectly, to any other Offeror or to any competitor; and 3. No attempt has been made or will be made by the Offeror to induce any other person, partnership or corporation to submit or not submit a proposal for the purpose of restricting competition. 4. The proposal was not made in the interest of or on behalf of any undisclosed person, partnership, company, organization or corporation. 5. Each person signing the proposal certifies that: [a] He is the person in the Consultant's organization responsible within that organization for the decision as to prices being offered in the proposal and that he has not participated and will not participate in any action contrary to (1-4] above; or [b] He is not the person in the Consultant's organization responsible within that organization for the decision as to prices being offered in the proposal but that he has been authorized in writing to act as agent for the persons responsible for such decisions in certifying that such persons have not participated, and will not participate, in any action contrary to (1-4) above, and that as their agent, does hereby so certify; and that he has not participated, and will not participate in any action contrary to (1-4) above. ____________________________________ Offeror Signature Sworn to before me this ________ day of _________________, _____. ____________________________ (SEAL) Notary Public

26

Attachment 2

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND RESPONSIBILITY

The undersigned certifies, to the best of his/her knowledge and belief, that the Contractor and its principals: 1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency; 2. Have not within a three-year period preceding this transaction/application/proposal/ contract/agreement been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; 3. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph 2 of this certification; and 4. Have not within a three-year period preceding this transaction/ application/proposal/contract/agreement had one or more public transactions (Federal, State or local) terminated for cause or default. Date: [Print name of Contractor] [Signature of Authorized Individual] [Print Name of Signer] [Print Title/Office of Signer]

27

Attachment 3

ACKNOWLEDGEMENT OF AUTHORITY TO SUBMIT PROPOSAL

Individual, Corporation, Partnership, or LLC Acknowledgment STATE OF: } SS.: COUNTY OF } On the day ______ of _________ in the year 20___, before me personally appeared ______________________ known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that _he resides at ______________________________, Town of , County of _________________ , State of ; and further that: [Mark an X in the appropriate box and complete the accompanying statement.] _____ (If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf. _____(If a corporation): _he is the of , the corporation described in said instrument; that, by authority of the Board of Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said corporation as the act and deed of said corporation. _____(If a partnership): _he is the of , the partnership described in said instrument; that, by the terms of said partnership, _he is authorized to execute the foregoing instrument on behalf of the partnership for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said partnership as the act and deed of said partnership. _____(If a limited liability company): _he is a duly authorized member of _ LLC, the limited liability company described in said instrument; that _he is authorized to execute the foregoing instrument on behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said limited liability company as the act and deed of said limited liability company. Notary Public Date Registration Number

28

Attachment 4

PRICE PROPOSAL FORM

Payment in full for services rendered will be made upon completion of work by the Consultant and acceptance of the same by ORDA. TO: OLYMPIC REGIONAL DEVELOPMENT AUTHORITY The undersigned hereby agrees to perform the work and/or provide the services listed herein in accordance with the terms and specifications attached hereto, which have been carefully examined. The undersigned submits the following proposal, which is in complete conformity with the intent of the request for proposal documents. The proposer agrees that, should it be awarded a contract on the basis of this RFP through the issuance of a contract from ORDA, it will provide the materials, supplies, equipment or services in strict compliance with the contract documents for the compensation stipulated herein. SERVICE DESCRIPTION ANNUAL FEE Broker of Record and Associated Services _________________ NAME OF CORPORATION DATE INDIVIDUAL OR PARTNER ADDRESS AUTHORIZED SIGNATURE CITY, STATE & ZIP CODE TITLE OF SIGNER TELEPHONE # / FAX # PRINTED NAME BIDDER’S TAX I.D. NUMBER ELECTRONIC MAIL ADDRESS

29

Attachment 5

Affirmation of Understanding of and Agreement pursuant to State Finance Law §139-j ( 3) and §139-j (6) (b)

The New York State Finance Law §139-j(6)(b) provides that: Every Governmental Entity shall seek written affirmations from all Offerers as to the Offerer’s understanding of and agreement to comply with the Governmental Entity’s procedures relating to permissible contacts during a Governmental Procurement pursuant to subdivision three of this section. As a “Governmental Entity,” ORDA must obtain the required affirmation of understanding and agreement to comply with procedures on procurement lobbying restrictions regarding permissible contacts in the restricted period for a procurement contract in accordance with State Finance Law §§139-j and 139-k. ______________________________ affirms that it understands and agrees to comply with the (Name of Offeror’s firm) procedures of ORDA relative to permissible contacts as required by State Finance Law §139-j (3) and §139-j (6) (b). By:

(PRINT Name of Authorized Representative) Date Signature:____________________________________ Title: _________________________________ Contractor Address: _____________________________________________________ ______________________________________________________________________ *Note to Proposer: Any firm submitting inaccurate or misleading information may be disqualified and reported to the Office of General Services. If specific firms continue to submit inaccurate or misleading information, such firms may be made inactive or removed from the list of eligible firms until further notice.

30

Attachment 6

CONTRACTOR DISCLOSURE OF CONTACTS

This form must be completed and submitted with all proposals. Failure to complete and submit this form may result in a determination of non-responsiveness and disqualification of the proposal. Proposer agrees to update this information during the negotiation or evaluation process of this procurement, and throughout the term of any contract awarded to the bidder/proposer pursuant to this Request for Proposals. PROCUREMENT NAME: CONTRACTOR NAME: ADDRESS: Street: City: State: Zip: NAME OF PERSON SUBMITTING THIS FORM: SIGNATURE OF PERSON SUBMITTING THIS FORM Has any individual or organization been retained, employed, or designated by your firm to attempt to influence the above-named procurement process? YES (If YES, complete rest of form) NO (If NO, do not complete rest of form) 0

The following person or organization was retained, employed or designated by or on behalf of the Bidder/Proposer to attempt to influence the procurement process: NAME: ADDRESS: Street: City: State: Zip: TELEPHONE NUMBER: PLACE OF PRINCIPAL EMPLOYMENT: OCCUPATION: Does the above named person or organization have a financial interest in this procurement?

YES NO DEFINITIONS: 1. “Attempt to influence the procurement process” means any attempt to influence any determination of a member, officer or employee of a covered agency or authority by a person other than a member, officer or employee of a covered agency or authority with respect to: (a) the solicitation, evaluation or award of a procurement contract; or (b) the preparation of specifications or request for submissions of proposals for a procurement contract. 2. “Contractor” means bidder, offeror or proposer for a procurement contract and shall include any subcontractor who may be engaged in the delivery of goods, services or construction pursuant to the procurement contract. 3. “Financial interest in the procurement” means:

31

(a) owning or exercising direct or indirect control over, or owning a financial interest of more than one percent in, a contractor or other entity that stands to gain or benefit financially from the award of a procurement contract; (b) receiving, expecting or attempting to receive compensation, fees, remuneration or other financial gain or benefit from a contractor or other individual or entity that stands to benefit financially from a procurement contract; (c) being compensated by, or being a member of, an entity or organization which is receiving, expecting or attempting to receive compensation, fees, remuneration or other financial gain from a contractor or other individual or entity that stands to benefit financially from a procurement contract; (d) receiving, expecting or attempting to receive any other financial gain or benefit as a result of the procurement contract; (e) being a relative of a person with a financial interest in the procurement, as set forth in paragraphs (a) though (d) above. For purposes of this paragraph, “relative” shall mean spouse, child, stepchild, stepparent, or any person who is a direct descendant of the grandparents of an individual listed in paragraphs (a) though (d) of this subdivision or of the individual’s spouse.

32

Attachment 7

Offeror Disclosure Of

Prior Non-Responsibility Determinations

(Pursuant to Procurement Lobbying Law (SFL §139-j)) A. Has any Governmental Entity made a finding of non-responsibility regarding the individual or entity seeking to enter into the Procurement Contract in the previous four years? If yes, please answer the following question: B. Was the basis for the finding of non-responsibility due to a violation of State Finance Law §139-j?

YES NO C. If YES, was the basis for the finding of non-responsibility due to the intentional provision of false or incomplete information to a governmental entity?

YES NO If yes, please provide details regarding the finding of non-responsibility: Date of Finding of Non-responsibility: ________ / ________ / ________ D. Has any governmental agency terminated or withheld a procurement contract with the above-named individual or entity due to the intentional provision of false or incomplete information? YES NO If YES, please provide details: Governmental Entity: ________________________________________ Date of Termination or Withholding of Contract: ________ / ________ / ________ (Add Basis of Termination or Withholding (additional pages if necessary) Address of Individual or Entity seeking to enter into the Procurement Contract: Name and Title of Person Submitting this Form: _________________________________________ _________________________________________________________________________________________ Date: ________ / ________ / ________ Procurement Lobbying Termination: ORDA reserves the right to terminate this project, in accordance with New York State Finance Law §139-k, if it is found that the certification filed by the Offeror is intentionally false or intentionally incomplete.

33