CONNECTICUT LOTTERY CORPORATION REQUEST FOR PROPOSALS RE: LEGAL SERVICES RFP # CLC

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1 CONNECTICUT LOTTERY CORPORATION REQUEST FOR PROPOSALS RE: LEGAL SERVICES RFP # CLC ISSUE DATE: SEPTEMBER 9, 2013 PROPOSAL DUE DATE: OCTOBER 10, 2013 BY 2:00 PM EASTERN TIME The Connecticut Lottery Corporation ( CLC ), a quasi-public agency created to generate revenue for the State of Connecticut s General Fund, issues this Request for Proposals ( RFP ) for its exclusive use. This RFP is not a contract offer, and no contract will exist unless and until a written contract is signed by the CLC and a successful proposer. The CLC reserves the right to enter into one or more contracts for any category of legal services described in this RFP, in each instance as the CLC in its sole discretion determines is in its best interests. Any contract will be non-exclusive and without any guarantee of a minimum or specific amount of work. The CLC seeks competitive proposals from qualified law firms or individual lawyers to provide a full range of legal services to the CLC, as more fully described below. Interested parties may submit a proposal by October 10, 2013, 2:00 PM Eastern time in accordance with the requirements and directions of this RFP. Proposers are prohibited from contacting any CLC employee or officer, member of the CLC Board of Directors, or State of Connecticut official concerning this RFP, except as set forth in E.2, below; a proposer s failure to comply with this requirement may result in disqualification. A. ABOUT THE CLC The State of Connecticut has operated a lottery since In 1996, however, the Connecticut legislature created the CLC and transferred to it the operation of the state lottery (see P.A , codified at Conn. Gen. Stat et seq.). The CLC s statutory purposes are to: (1) Operate and manage the lottery in an entrepreneurial and business-like manner free from the budgetary and other constraints that affect state agencies; (2) provide continuing and increased revenue to the people of the state through the lottery by being responsive to market forces and acting generally as a corporation engaged in entrepreneurial pursuits; and (3) ensure that the lottery continues to be operated with integrity and for the public good. Conn. Gen. Stat (a). To achieve these goals, the legislature granted the CLC a broad range of powers. Conn. Gen. Stat (b). The CLC, governed by a Board of Directors, currently has approximately 135 employees, the vast majority of whom are represented by one of five (5) State of Connecticut bargaining Request for Proposals re: Legal Services, # CLC Page 1

2 units. The CLC has two in-house lawyers who manage all of the CLC s legal affairs (i.e., the State Attorney General does not represent the CLC). The Connecticut Department of Consumer Protection regulates the CLC. For additional information about the CLC, please visit B. PRACTICE AREAS The CLC seeks proposals for the provision of legal services in the following primary practice areas: Employment, Labor, and Human Resources: The CLC may require legal advice and assistance on various employment, labor and human resources matters, including but not limited to: labor law and collective bargaining agreements; compliance with applicable state and federal laws; the design, implementation and enforcement of workplace policies and practices; employment disputes and investigations; employee discipline; and employment commencement and termination decisions. Intellectual Property and Information Technology: The CLC may require legal advice and assistance on various intellectual property and information technology matters, including but not limited to: gaming systems, software and services, and commercial technology; licensing and contractual agreements; patent, trademark, and copyright issues arising in the normal course of the CLC s business operations (particularly in connection with the development of new initiatives and products); and the conduct of an IP inventory and the recommendation of best practices for the management of such assets. General Counsel Support: The CLC may require legal advice and assistance in a broad range of other areas, including but not limited to: the negotiation and documentation of certain contracts and business transactions; procurement efforts and processes; corporate governance matters, including policy creation and/or review; federal and state laws, regulations and procedures applicable to the CLC and its operations; the structuring and implementation of multi-jurisdictional games; Connecticut s Freedom of Information Act; compliance; legal opinions; and insurance and risk-management issues. Proposers may submit a proposal to provide legal services in one or more of the practice areas listed above. In addition, the CLC invites proposers to identify in their responses any additional practice areas in which they are qualified to provide legal services and for which they would like to be selected. Proposers must clearly list each practice areas for which they seek selection. C. REQUIRED PROPOSAL CONTENTS Each proposal must fully address the following minimum matters. The CLC encourages proposers to address each matter thoroughly and to provide additional relevant information. The CLC reserves the right to request additional information and documents at any time. 1. Cover Letter. Include a cover letter signed by an individual authorized to enter into a contract with the CLC. Request for Proposals re: Legal Services, # CLC Page 2

3 2. Proposer History and Experience. Describe generally the proposer (firm or individual attorney), its history, areas of practice, number of employed attorneys, number of employed paralegals, and location of all offices, including those in Connecticut. Identify each practice area for which the proposer seeks selection, and describe all relevant practice experience (including, if permissible, specific clients and matters). 3. Individuals Qualifications and Experience. Identify the individual attorneys and/or paralegals expected to work with the CLC, as well as a description of each individual s experience in each practice area for which the proposer seeks selection. Also identify the individual(s) who will have primary responsibility for contact and communication with the CLC in each such practice area. Indicate whether the proposer intends to use the services of subcontractor vendors or attorneys, describing the nature of such arrangements and the names and resumes of such vendors or attorneys. 4. Approach to Delivering Legal Services. Describe the proposer s overall approach, plans, and qualifications for providing legal services, including creativity in achieving client goals, and availability and responsiveness to clients. 5. Quality Control. Describe in detail any quality control programs the proposer uses to ensure legal services are properly managed and delivered. 6. Cost Containment. Describe in detail any policies or processes the proposer uses to manage and control client legal costs, including alternative fee arrangements, and how and why they have been successful. 7. Budgets. Describe in detail the proposer s process for establishing budgets on assigned matters and its ability to adhere to such budgets. 8. Ability to Provide Legal Services. Include a statement that each individual attorney listed in the proposal is able ethically and legally to provide legal services to the CLC. 9. Representation of Lotteries and Quasi-Public Agencies. Describe any specific experience representing and advising lotteries, recognized gaming entities, quasipublic agencies, or other similar entities. 10. Professional Ethics, including Conflicts of Interest. Describe fully any assignments, relationships, or other employment with a recognized gaming entity, state or local government entity, or other person or entity that may create a conflict of interest in serving as the CLC s outside counsel. Also, describe any established procedures that ensure compliance with the Rules of Professional Conduct. Request for Proposals re: Legal Services, # CLC Page 3

4 11. Professional Complaints/Grievances. Describe fully any complaints or grievances, including status and outcome, brought against the proposer or individual attorneys within the last seven (7) years. 12. Relationship with Insurers. List all insurance carriers for which the proposer or any of its attorneys is approved counsel and, further, list the specific coverage areas. 13. References. Provide a minimum of three (3) client references for which the proposer has provided legal services (preferably in the same practice areas as those for which the proposer seeks selection), including a description of the services performed and the client s contact information (client name, and client contact name and telephone number). 14. Professional Liability Insurance. Provide details about the nature and amount of the proposer s professional liability insurance. The CLC reserves the right, in its sole discretion, to require the successful proposer(s) to provide evidence of such insurance in a form and amount that the CLC determines is in its best interests. 15. Training. Describe the types and topics of training the proposer could provide to the CLC Board of Directors, management, or staff. 16. Client Communications. Describe the communication methods (for example, newsletters and blasts) the proposer uses to provide updates of important information, such as new court decisions and trends. 17. Diversity. Describe your firm s efforts to ensure diversity on ownership and employment. Attach all relevant policies, including an affirmative action policy. Also please describe the composition of your executive/management committees. 18. Concluding Statement. Explain why the proposer is best qualified to meet the CLC s needs, including a description of the perceived alignment of interests and of value and price efficiencies. Include any other relevant information. 19. Pricing. Pricing and fee information, as set forth more fully in D, below. 20. Forms. Complete and return each of the attached forms: CLC Vendor Information/Supplier Diversity Information Form Consulting Agreement Affidavit Gift and Campaign Contribution Certification Nondiscrimination Certification Acknowledgement of SEEC Form 10 Request for Proposals re: Legal Services, # CLC Page 4

5 D. PRICING & FEE STRUCTURE INFORMATION Each proposal shall include the following minimum information: 1. How the proposer proposes to charge the CLC for its services (fees other than a monthly retainer are preferred). Given its statutory mission, the CLC seeks proposals that evidence cost containment and value and price efficiencies. a. In addition to hourly rates, the CLC welcomes proposers ideas on the potential use of alternative fee arrangements ( AFA ) that provide incentives for prudent cost savings. Such AFAs may include, but are not limited to, flat fees, capped fees, fixed fees, and blended rates. Describe fully any such AFA, and provide examples of how such AFA would be used with respect to any practice area for which the proposal is submitted. For example only, a proposer may be able to offer fixed pricing for discrete project work -- such as a copyright search, a trademark search, the filing of a trademark application, or a freedom to operate search and analysis. b. The CLC is also interested in learning how proposers believe they could assist the CLC in meeting its obligations under the Freedom of Information Act specifically, but not only, by performing the initial administrative tasks (for example, receiving and acknowledging receipt of a request; obtaining clarification of it, if necessary; and compiling the potentially responsive records) and the initial review of the potentially responsive records. The CLC welcomes proposers thoughts on what a partnership in this space could look like (including staffing and pricing models) and is open to creative, progressive ideas. 2. Whether the proposer will charge the CLC for ancillary fees and, if so, the rate for each such item. Generally speaking, the CLC does not pay for telephone calls, photocopying, overnight mail, travel time, mileage, or on-line research fees unless, in each instance, specifically authorized in advance. For example, the CLC encourages the use of CaseMaker, which is a free benefit of membership in the Connecticut Bar Association. 3. Whether the proposer plans to charge the CLC to review the CLC s gaming system contract with its online vendor (approximately 200 pages in length), as well as its enabling statutory provisions and regulations. Familiarity with these documents is required. E. PROPOSAL SUBMISSION REQUIREMENTS A proposer must observe the following requirements in preparing and submitting a proposal: 1. The CLC must receive one (1) original and four (4) copies of the proposal no later than 2 p.m. Eastern time on October 10, Proposals postmarked prior to that date and time do NOT satisfy this requirement. Proposals must be sealed, contain the Request for Proposals re: Legal Services, # CLC Page 5

6 proposer s name and address in the upper left-hand corner, and must be clearly labeled with the words RFP PROPOSAL and the RFP description and RFP number. 2. The proposal must be addressed to Lana M. Glovach, General Counsel, Connecticut Lottery Corporation, 777 Brook Street, Rocky Hill, CT Also, inquiries about or requests for clarification of this RFP must be addressed solely to Ms. Glovach by (lana.glovach@ctlottery.org) no later than 3:00 p.m. Eastern time on September 23, (See G re: key dates). 3. The CLC will post responses to relevant inquiries and requests for clarification by posting one or more addenda on its website. Each proposer is responsible for checking the Lottery s website to determine if the Lottery has posted any addenda and, if so, to complete its proposal in accordance with this RFP as modified by the addenda. 4. Faxed responses and late proposals will not be considered. 5. Each proposer s costs incurred in developing its proposal are its sole responsibility, and the CLC shall have no liability for such costs. 6. Proposals cannot be withdrawn, cancelled or modified prior to December 1, 2013, to allow the CLC to review and evaluate the proposals, investigate a proposer s qualifications, and execute a contract with any successful proposer. F. EVALUATION PROCESS AND CRITERIA The CLC reserves the rights, in its sole discretion, to accept all or any part of a proposal, to reject all proposals, to waive any informalities or non-material deficiencies in a proposal, and to enter into one or more contracts for any practice areas, in each instance as the CLC determines in its sole discretion is in its best interests. The CLC also reserves the right to ask any proposer, at any time, to clarify its proposal or to submit additional information that the CLC in its sole discretion deems advisable. The CLC will evaluate proposals and select one or more proposers that it determines is/are in its best interests. The evaluation and selection will be based upon, among other factors, the proposer s experience and overall quality of legal services; the qualifications of its personnel; its organization and approach to partnering with the CLC (including its demonstrated understanding of a client s business operations and the practical impact of legal advice); its professional references; its proposed fee structure(s); its oral presentation (if any); its familiarity with the framework governing the CLC as set forth in the Connecticut General Statutes and the Regulations of Connecticut State Agencies; its flexibility, efficiency and timeliness in providing day-to-day service to clients; and other criteria as the CLC, in its sole discretion, deems to be in its best interests. The CLC anticipates inviting selected proposers to make oral presentations. The CLC will give at least three (3) business days notice of the presentation date. The CLC currently Request for Proposals re: Legal Services, # CLC Page 6

7 expects such presentations to occur during the week of November 4, 2013, although that timeframe is subject to change. A contract with the CLC does not guarantee a specific amount or percentage of work. Certain lawyers and employees of the successful proposer (generally those individuals assigned to provide services to the CLC) will be prohibited from purchasing, in any state or jurisdiction, lottery tickets for any game in which the CLC participates and from receiving a prize from said tickets during the term of the contract. This prohibition also applies to any spouse, domestic partner, child, sibling or parent residing as a member of same household of a person assigned to the contract. The CLC may expand this prohibition to other employees if the CLC determines it to be in its best interests. The CLC reserves the right to negotiate the terms and conditions of the contract with the successful proposer. The contract will commence on approximately December 1, 2013 and be for an initial term of three (3) years, with the CLC having the option to extend the contract for two additional years, exercised in any combination of months. G. KEY DATES DATE EVENT 9/9/2013 CLC issues RFP 9/23/2013, 3 PM Eastern time Proposer questions due 9/30/2013* CLC responds to proposer questions 10/10/2013, 2 PM Eastern time Proposals due Week of 11/4/2013* Oral presentations 12/1/2013* New contract(s) effective * = anticipated, not firm, dates Request for Proposals re: Legal Services, # CLC Page 7

8 Rev. 10/11 Page 1 of 2 Vendor Legal Business Name BUSINESS INFORMATION Vendor Website address Vendor Address City State Zip Code Business Telephone Number Business Fax Number Nature of Business (please describe): Business Entity Type: Corporation LLC Corporation LLC Partnership LLC Single Member Entity Non-Profit Partnership Individual/Sole Proprietor NOTE: If your business is a Corporation, in which State are you Incorporated? If individual/sole proprietor, individual s name (as owner) must appear in the legal business name block above. If your business is a Partnership, you must attach the names and titles of all partners to any bid submission. Are you a current CLC Vendor? Yes No Do you hire Subcontractors? Yes No Business Name, Trade Name, Doing Business As Name (if different from above) Remittance Address if Different from Business Address Above Remittance City State Zip Code CONTACT INFORMATION Name of Individual Job Title Business Telephone Number Business Fax Number Business Cell Phone Number Address " The Request Connecticut for Lottery Proposals Corporation re: is Legal collecting Services, vendor and # supplier CLC information in order to compile a list of available vendors and to track Page its 8 compliance with supplier diversity goals. The CT Lottery considers commercial and financial information disclosed on this form to be confidential but, unless exempted from disclosure by the Connecticut Freedom of Information Act or other applicable law, information supplied to the Connecticut Lottery Corporation may be subject to disclosure under the Connecticut Freedom of Information Act."

9 Page 2 of 2 Vendor Legal Business Name CURRENT CERTIFICATION INFORMATION Small Business Enterprise (SBE) Yes No HUB Zone Enterprise Yes No Minority Business Enterprise (MBE) Women Business Enterprise (WBE) Yes Yes No No Disadvantaged Business Enterprise (DBE) Yes No Veteran Owned Business Enterprise Yes No Sheltered Workshop Yes No NOTE: Include copies of certifications with the submission of this form for all items checked YES. If YES, indicate which Agency/Organization has certified your business: Department of Administrative Services (DAS) Department of Transportation (DOT) Greater New England Minority Supplier Diversity Council (GNEMSDC) Women s Business Enterprise National Council (WBENC) Small Business Administration (SBA) If MBE/WBE certified, indicate Diversity Category: (check all that apply) Other: Agency/Organization Name Hispanic American African American Asian / Indian American Native American / Alaskan Woman Owned Minority Woman Owned Asian / Pacific American Subcontinent Asian American LGBT FINANCIAL AND ORGANIZATIONAL INFORMATION Please provide the Gross Annual Receipts for the last three fiscal years: Year Amount $ Fiscal Year End Date / / Year Amount $ MM/DD/YYYY Year Amount $ Current number of full-time employees Current number of part-time employees CERTIFICATION SIGNATURE OF PERSON AUTHORIZED TO SIGN PROPOSALS ON BEHALF OF THE ABOVE NAMED VENDOR Date Executed Type or Print Name of Authorized Person Title of Authorized Person The Connecticut Lottery Corporation is collecting vendor and supplier information in order to compile a list of available vendors and to track its compliance with supplier diversity goals. The CT Lottery considers commercial and financial information disclosed on this form to be confidential but, unless exempted from disclosure by the Connecticut Freedom of Information Act or other applicable law, information supplied to the Connecticut Lottery Corporation may be subject to disclosure under the Connecticut Freedom of Information Act. Request for Proposals re: Legal Services, # CLC Page 9

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