REQUEST FOR PROPOSALS FOR UNDERWRITING SERVICES STATE OF MINNESOTA MINNESOTA MANAGEMENT AND BUDGET APPROPRIATION BONDS

I.

Introduction

The State of Minnesota (the State) is seeking proposals from financial institutions to provide underwriting services related to the issuance of bonds to secure up to approximately $498,000,000 in net proceeds to (i) provide financing of a portion of the costs of acquisition, construction, improving and equipping of the stadium project (the Project) of the Minnesota Sports Facilities Authority (the Authority) as provided by Minnesota Statutes, Chapter 473J , to be located in the City of Minneapolis, Minnesota, and (ii) to fund the payment of capitalized interest on such bonds and the payment of issuance costs relating to such bonds. The State is interested in receiving proposals for underwriting services related to the proposed financing. The financing is expected be executed in more than one transaction over a period of approximately two years. Each transaction may include tax-exempt and/or taxable bonds and may be sold on a competitive or negotiated basis. By the issuance of this Request for Proposal (RFP), the State is not obligating itself to issue the appropriation bonds. From the responses received from this RFP, the State will create a pool of underwriters to assist with one or more of these transactions as or if needed.

II.

Timetable

Requested information is due by Wednesday, October 9, 2013 (4:30 PM Central Time).

III.

Bond Authorization

The Commissioner of Management and Budget (the Commissioner) is authorized under Minnesota Statutes, Section 16A.965, to issue and sell general fund appropriation bonds (the Bonds) of the State from time to time in one or more series on the terms and conditions the Commissioner determines to be in the best interest of the State, in such principal amounts, not to 1

exceed $600,000,000 in the aggregate, that, in the opinion of the Commissioner, are necessary to provide sufficient funds (net of funds to be applied to certain costs as provided by subdivision 2(b) of Minnesota Statutes, Section 16A.965), not to exceed $498,000,000 in amount for achieving the purposes authorized as provided in subdivision 2(a) of Minnesota Statutes, Section 16A.965, including, in particular, to pay costs of the Project.

IV.

Bond Security
The Bonds are not public debt of the State subject to constitutional limitations on indebtedness, and the full faith, credit, and taxing powers of the State are not pledged to the payment of the Bonds or to any payment that the State agrees to make under Minnesota Statutes, Section 16A.965, and this Order. The Bonds shall be payable in each fiscal year only from amounts that the legislature may appropriate for debt service for any fiscal year, provided that nothing in Minnesota Statutes, Section 16A.965, (the Act) and the Order shall be construed to require the State to appropriate funds sufficient to make debt service payments with respect to the Bonds in any fiscal year.

V.

Ratings
The State maintains long term ratings on its general obligation bonds which ratings are currently Aa1 by Moodys, AA+ by S&P and AA+ by Fitch. In addition, the State has long term ratings on its appropriation bonds which are currently AA by S&P and AA by Fitch.

VI.

Other Financing Team Members

Public Financial Management is serving as the financial advisor for this transaction (the Financial Advisor). Kutak Rock LLP will serve as transaction/bond counsel (the Bond Counsel). As directed in Section VIII, all questions must be directed only to the Financial Advisor.

VII.

Form and Content of Proposal

Firms may submit proposals to serve as senior manager for the Bonds, co-manager or any combination thereof. If proposing only as a co-manager, firms need only complete Sections A, B, D and E. Proposals must address the following items in the following order. Responses must be limited to a maximum of 20 one sided pages in a 12-point font, not including the firms cover letter, brief resumes and any appendices provided in response to questions B1, C1, C3 and D and E. Efforts should be made to provide clear and concise responses. A. Firm Background and Staffing 1. Provide a general description of the firm and its relationship to any parent company.

2. Identify the key staff responsible for this engagement and their respective roles. Indicate who would serve as the primary contact for the transaction. Detail the experience of each key staff member specifically as it relates to the issuance of appropriation bonds and the other transactions of the State. Brief resumes may be included as an appendix to the proposal. 3. Provide an affirmative statement indicating the firms ability to meet the States timeframe for delivery of funds. 4. Comment on the marketing and distribution capabilities of your firm nationally and in Minnesota. Identify the number and location of your Minnesota offices, if any, noting the number of retail brokers and institutional salespersons at each location. B. Experience and Perspective 1. Identify similar appropriation bonds that your firm has underwritten for other governmental clients: 1) within the last five years; and 2) over the last ten years. If key personnel previously worked at another firm where they had substantial responsibility for underwriting appropriation bonds that experience may be included but such experience must be clearly delineated and the firm at which it was completed provided. A detailed list of such transactions may be included as an appendix. 2. Briefly describe your firms experience serving as book-running senior manager, cosenior manager and co-manager for bonds issued in Minnesota over $100 million since January 2009. 3. Describe the approach your underwriting desk would use to introduce the Bonds to the market, including retail customers in Minnesota and nationally. Describe your firm's retail and institutional marketing network for municipal bonds. Describe the likely distribution for the State's bonds: retail, institutional, and in-state versus out-ofstate. Specifically address the marketing strategy for Minnesota retail. Further, discuss whether different takedowns should be used for retail and institutional pricing. Please recognize that these are general fund appropriation bonds of the State when responding to the question. 4. The State encourages firms to be active in supporting the States competitively issued bonds and outstanding bonds in the secondary market, as well as keeping the State abreast of changing market dynamics, refunding opportunities, suggestions of financing options, etc. Please discuss your firms support of the States competitive sales, as well as secondary market activity of State bonds, since January 2011. Please also include a summary your firms outreach to the State or its Financial Advisor since this time, such as providing market updates, suggesting refunding opportunities and strategies, informing of changes in federal stimulus programs, and other relevant information. C. Financing Plan and Fees 1. The State is still collecting information to determine the tax status, specific size or term of the transaction and structure expected to be sold. Describe a plan of finance for this initial bond issuance assuming approximate proceeds of $250,000,000. Delineate the differences in approach for a tax-exempt issuance versus a taxable issuance including recommended call provisions. Discuss whether the plan of finance would differ for a 20-year versus 30-year transaction. Please complete Attachments

5A and 5B using the end of day scales for Tuesday, October 1, 2013. Please provide a detailed description of all fees, including the following: a. Takedown (takedowns by maturity and average takedown), b. Management fee, if any, c. Expenses (itemized, including underwriters counsel), and d. Any other fees (itemized). 2. Provide a discussion of the proposed structure of the syndicate, including a brief discussion of the use and number of co-managing underwriters and/or selling group members. Discuss how your firm would coordinate the flow of information to the syndicate and when the appropriate time would be for such communications. Provide recommended priority and designation rules. 3. Please identify two law firms, with the name of the designated individual and contact information, suggested to serve as underwriters counsel and their estimated cost. Underwriters counsel will not be responsible for preparing the disclosure documents. While only a single law firm need be utilized for underwriters counsel, the State requests at least two firms be identified in consideration of the required determination of no conflict by the Attorney General of the State. D. Conflicts of Interest and Litigation 1. Please disclose any conflicts of interest or potential conflicts of interest that may arise as a result of your being hired for this engagement. Disclosure should include if the firm is or has been working with the NFL team, as defined in statute, within the past 12 months and what the nature of that engagement is/was. Identify fully the extent to which your firm or individual partners or employees are the subject of any ongoing securities investigation, are a party to any securities litigation or arbitration, or are the subject of a subpoena in connection with a municipal securities investigation. Include any such investigations which concluded in an enforcement or disciplinary action ordered or imposed in the last three years. This may be included as an appendix. E. Required Forms 1. All respondents are required to complete Attachments 1, 2, 3, 4, 5A and 5B of this RFP and should be included in the response.

VIII.

Proposal Submittal and Time Schedule

In order to be considered for selection, responders (the Responder or Responders) must submit a complete response to this RFP. All conditions printed on the RFP form are hereby made a part of the conditions under which the proposal is submitted. In order to be considered for selection, proposals must arrive at the offices of Minnesota Management and Budget (MMB) on or before 4:30 P.M. CDT, Wednesday, October 9, 2013. Responders mailing proposals should allow for normal mail delivery time to ensure timely receipt. Late proposals will be returned unopened to the Responder. Machine facsimile or e-mail proposals will not be considered.

Each copy of the proposal must be signed, in ink, by an authorized member of the firm. MMB reserves the right to negotiate changes to proposed underwriting fees and expenses prior to the final selection of a senior manager (bookrunner). The time schedule for the RFP process and selection of an investment banking team is as follows: RFP Published Deadline for Underwriter Questions (4:30 P.M. CDT) State Response to Underwriter Questions Proposals Due (4:30 P.M. CDT) Banker Interviews (Optional) Selection of Banking Team September 23, 2013 September 30, 2013 October 3, 2013 October 9, 2013 Week of October 14, 2013 By October 21, 2013

1) Seven (7) hard copies and (1) one electronic copy on a CD or USB flash drive of the Proposals must be submitted to: Kristin Hanson Assistant Commissioner of MMB / Treasury Division Minnesota Management and Budget 400 Centennial Office Building 658 Cedar Street St. Paul, MN 55155 (2) In addition, one (1) electronic copy delivered by CD, USB flash drive or email must be delivered to the individual below: Jessica Cameron Mitchell Public Financial Management, Inc. 800 Nicollet Mall, Suite 2710 Minneapolis, MN 55402 cameronj@pfm.com Questions regarding this RFP should be directed to the States Financial Advisor for this transaction, to the attention of Jessica Cameron Mitchell at cameronj@pfm.com. All questions must be submitted in writing. Questions are limited to the person identified above and are due by 4:30 p.m. CDT on Monday, September 30, 2013. By submission of a proposal, the Responder warrants that the information provided is true, correct and reliable for purposes of evaluation for potential contract award. The submission of inaccurate or misleading information may be grounds for disqualification from the award as well as subject the Responder to suspension or debarment proceedings as well as other remedies available by law. All Responders are required to complete the Affidavit of Non Collusion page (Attachment 2) and return it with the response. The State reserves the right to reject any and all proposals at its discretion. It is further understood by the selected firm that no fees or costs will be paid to the

selected firm if the Bonds do not close and that the selected firm will only be paid by the State upon successful completion of the financing.

IX.

Selection Criteria
MMB will select the firm whose proposal demonstrates clear capability to best fulfill the purposes of the RFP in a cost effective manner. All responses received by the deadline will be evaluated by representatives of MMB. Interviews will be at the sole discretion of MMB. A 100-point scale will be used to create the final evaluation recommendation. The selection will be based upon the criteria factors and percentages outlined below: The selection criteria have been broken into two parts. Responders for senior manager must satisfy Part 1 below. If the Responder satisfies Part 1, they then will proceed to be evaluated based on the selection criteria in Part 2. If the Responder has been rated as Not Satisfying Requirement for Part 1 they will not be considered for the final selection criteria for senior manager. For Responders submitting as co-manager solely, only Part 2 will apply. Part 1: 1. The Responder must show evidence that they have a capital position equivalent of 75% of the par amount of the bonds and ability to underwrite bonds in the current market. 2. Demonstrated qualifications and experience with similar transactions. Please refer to requirement under VII.B.1 and B.2 (Experience and Perspective). 3. The Responder must disclose any potential Conflicts of Interest. Please refer to requirements under VII.D.1 and XI. B. Part 2: 1. General Qualifications and Experience (35 possible points) 2. Plan of Finance / Marketing Plan (20 possible points) 3. Ongoing Support of State of Minnesota and its Transactions (15 possible points) 4. Pricing (30 possible points) The State reserves the right to accept or reject responses whole or in part and to negotiate separately as necessary to serve the best interests of the State of Minnesota.

X.

General State Contract Requirements

A. Contract Commencement The State intends to market the first series of the Bonds and execute the Bond Purchase Agreement once the requirements of M.S. 16A.502 are met.

B. Contract Length This proposal, if accepted by the State, shall remain in full force for the period October 21, 2013 through June 30, 2017 or upon completion of the financing of the Project. C. Parties To The Contract Parties to this contract shall be the State and the successful responder (the Vendor" or Contractor). D. Contract Termination Either party may cancel the contract upon 30 days written notice, with or without cause. The minimum 30 day requirement may be modified upon mutual agreement of the State and Vendor. E. Applicable Law This contract entered into as a result of the RFP shall be governed and interpreted under the laws of the State of Minnesota.

XI.

Additional Proposal and Contract Requirements

A. Duration of Offer All proposals must indicate that they are valid for a minimum of ninety (90) calendar days. B. Conflicts Of Interest The Vendor must provide a list of all entities with which it has relationships that create, or appears to create, a conflict of interest with the work that it is contemplated in this RFP. The list should indicate the names of the entity, the relationship, and a discussion of the conflict. As stated in Section VII.D, disclosure should include if the firm is or has been working with the NFL team, as defined in statute, within the past 12 months and what the nature of that engagement is/was. C. Disposition of Responses All materials submitted in response to this RFP will become public record after the evaluation process is completed. The State will not consider the prices submitted by the responder to be proprietary or trade secret materials.

D. State Audit Under Minn. Stat. 16C.05, subd. 5, the Vendors books, records, documents and accounting procedures and practices relevant to the contract, including the work papers prepared in connection with the Vendors internal and/or external auditors are subject to examination by the State and/or the State Auditor or Legislative Auditor, as appropriate, for a minimum of six years from the end of this contract. E. Human Rights Requirements For all contracts estimated to be in excess of $100,000, responders are required to complete the attached Affirmative Action Data page (Attachment 1) and return it with the response. As required by Minn. R. 5000.3600, It is hereby agreed between the parties that Minn. Stat. 363A.36 and Minn. R.5000.3400 - 5000.3600 are incorporated into any contract between these parties based upon this specification or any modification of it. A copy of Minn. Stat. 363A.36 and Minn. R. 5000.3400 - 5000.3600 are available upon request from the contracting agency. F. Organizational Conflicts Of Interest The responder warrants that, to the best of its knowledge and belief, and except as otherwise disclosed, there are no relevant facts or circumstances that could give rise to organizational conflicts of interest. An organizational conflict of interest exists when, because of existing or planned activities or because of relationships with other persons, a vendor is unable or potentially unable to render impartial assistance or advice to the State, or the vendors objectivity in performing the contract work is or might be otherwise impaired, or the vendor has an unfair competitive advantage. The responder agrees that, if after award, an organizational conflict of interest is discovered, an immediate and full disclosure in writing must be made to the Assistant Commissioner of the Department of Management and Budgets Treasury Division that must include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. If an organizational conflict of interest is determined to exist, the State may, at its discretion, cancel the contract. In the event the responder was aware of an organizational conflict of interest prior to the award of the contract and did not disclose the conflict to the contracting officer, the State may terminate the contract for default. The provisions of this clause must be included in all subcontracts for work to be performed similar to the service provided by the prime contractor, and the terms contract, contractor, and contracting officer modified appropriately to preserve the States rights. G. Firm Proposal/Response Prices quoted in the response of the RFP must be valid for up to thirty (30) days from the date of the response opening, unless extended by the Vendor or accepted by the State. After the State has accepted the proposal the prices quoted herein are the maximum that can be charged during the life of the contract.

H. Preference to Targeted Group and Economically Disadvantaged Business and Individuals In accordance with Minnesota Rules, part 1230.1810, subpart B and Minnesota Rules, part 1230.1830, certified Targeted Group Businesses and individuals submitting proposals as prime contractors shall receive the equivalent of a six percent preference in the evaluation of their proposal, and certified Economically Disadvantaged Businesses and individuals submitting proposals as prime contractors shall receive the equivalent of a six percent preference in the evaluation of their proposal. For information regarding certification, contact the Materials Management Helpline at 651.296.2600, or you may reach the Helpline by e-mail at mmd.help.line@state.mn.us. For TTY/TDD communications, contact the Helpline through the Minnesota Relay Services at 1.800.627.3529. I. Veteran-Owned Preference In accordance with Minnesota Statute 16C.16, subd. 6a, veteran-owned businesses with their principal place of business in Minnesota and verified as eligible by the United States Department of Veterans Affairs Center for Veteran Enterprises (CVE Verified) will receive up to a 6 percent preference in the evaluation of its proposal. Eligible veteran-owned small businesses include CVE verified small businesses that are majority-owned and operated by either recently separated veterans, veterans with service-connected disabilities, and any other veteran-owned small businesses (pursuant to Minnesota Statute 16C.16, subd. 6a). Information regarding CVE verification may be found at http://www.vetbiz.gov. Eligible veteran-owned small businesses should complete and sign the Veteran-Owned Preference Form in this solicitation. Only eligible, CVE verified, veteran-owned small businesses that provide the required documentation, per the form, will be given the preference. See Attachment 4. J. Insurance Requirements A. Contractor shall not commence work under the contract until they have obtained all the insurance described below and the State has approved such insurance. Contractor shall maintain such insurance in force and effect throughout the term of the contract. B. Contractor is required to maintain and furnish satisfactory evidence of the following insurance policies: 1. Workers Compensation Insurance: Except as provided below, Contractor must provide Workers Compensation insurance for all its employees and, in case any work is subcontracted, Contractor will require

the subcontractor to provide Workers Compensation insurance in accordance with the statutory requirements of the State, including Coverage B, Employers Liability. Insurance minimum amounts are as follows: $100,000 Bodily Injury by Disease per employee $500,000 Bodily Injury by Disease aggregate $100,000 Bodily Injury by Accident If Minnesota Statute 176.041 exempts Contractor from Workers Compensation insurance or if the Contractor has no employees in the State, Contractor must provide a written statement, signed by an authorized representative, indicating the qualifying exemption that excludes Contractor from the Minnesota Workers Compensation requirements. If during the course of the contract the Contractor becomes eligible for Workers Compensation, the Contractor must comply with the Workers Compensation Insurance requirements herein and provide the State with a certificate of insurance. 2. Commercial General Liability: Contractor is required to maintain insurance protecting it from claims for damages for bodily injury, including sickness or disease, death, and for care and loss of services as well as from claims for property damage, including loss of use which may arise from operations under the Contract whether the operations are by the contractor or by a subcontractor or by anyone directly or indirectly employed by the Contractor under the contract. Insurance minimum limits are as follows: $2,000,000 per occurrence $2,000,000 annual aggregate $2,000,000 annual aggregate Products/Completed Operations The following coverages shall be included: Premises and Operations Bodily Injury and Property Damage Personal and Advertising Injury Blanket Contractual Liability Products and Completed Operations Liability Other; if applicable, please list__________________________________ State of Minnesota named as an Additional Insured 3. Commercial Automobile Liability: Contractor is required to maintain insurance protecting it from claims for damages for bodily injury as well as from claims for property damage resulting from the ownership,

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operation, maintenance or use of all owned, hired, and non-owned autos which may arise from operations under this contract, and in case any work is subcontracted the contractor will require the subcontractor to maintain Commercial Automobile Liability insurance. Insurance minimum limits are as follows: $2,000,000 per occurrence Combined Single limit for Bodily Injury and Property Damage In addition, the following coverages should be included: Owned, Hired, and Non-owned Automobile 4. Professional/Technical, Errors and Omissions, and/or Miscellaneous Liability Insurance This policy will provide coverage for all claims the contractor may become legally obligated to pay resulting from any actual or alleged negligent act, error, or omission related to Contractors professional services required under the contract. Contractor is required to carry the following minimum limits: $2,000,000 per claim or event $2,000,000 annual aggregate Any deductible will be the sole responsibility of the Contractor and may not exceed $50,000 without the written approval of the State. If the Contractor desires authority from the State to have a deductible in a higher amount, the Contractor shall so request in writing, specifying the amount of the desired deductible and providing financial documentation by submitting the most current audited financial statements so that the State can ascertain the ability of the Contractor to cover the deductible from its own resources. The retroactive or prior acts date of such coverage shall not be after the effective date of this Contract and Contractor shall maintain such insurance for a period of at least three (3) years, following completion of the work. If such insurance is discontinued, extended reporting period coverage must be obtained by Contractor to fulfill this requirement. C. Additional Insurance Conditions: 1. Contractors policy(ies) shall be primary insurance to any other valid and collectible insurance available to the State with respect to any claim arising out of Contractors performance under this contract;

11

2. If Contractor receives a cancellation notice from an insurance carrier affording coverage herein, Contractor agrees to notify the State of Minnesota within five (5) business days with a copy of the cancellation notice, unless Contractors policy(ies) contain a provision that coverage afforded under the policy(ies) will not be cancelled without at least thirty (30) days advance written notice to the State of Minnesota; 3. Contractor is responsible for payment of Contract related insurance premiums and deductibles; 4. If Contractor is self-insured, a Certificate of Self-Insurance must be attached; 5. Contractors policy(ies) shall include legal defense fees in addition to its liability policy limits, with the exception of B.4 above; 6. Contractor shall obtain insurance policy(ies) from insurance company(ies) having an AM BEST rating of A- (minus); Financial Size Category (FSC) VII or better, and authorized to do business in the State; and 7. An Umbrella or Excess Liability insurance policy may be used to supplement the Contractors policy limits to satisfy the full policy limits required by the Contract. D. The State reserves the right to immediately terminate the contract if the contractor is not in compliance with the insurance requirements and retains all rights to pursue any legal remedies against the contractor. All insurance policies must be open to inspection by the State, and copies of policies must be submitted to the States authorized representative upon written request. E. The Contractor is required to submit Certificates of Insurance acceptable to the State as evidence of insurance coverage requirements prior to commencing work under the contract. K. E-Verify Certification (In accordance with Minn. Stat. 16C.075) By submission of a proposal for services in excess of $50,000, the Vendor certifies that as of the date of services performed on behalf of the State, the Vendor and all its subcontractors will have implemented or be in the process of implementing the federal EVerify program for all newly hired employees in the United States who will perform work on behalf of the State. In the event of contract award, the Vendor shall be responsible for collecting all subcontractor certifications and may do so utilizing the EVerify Subcontractor Certification Form available at http://www.mmd.admin.state.mn.us/doc/EverifySubCertForm.doc. All subcontractor certifications must be kept on file with Vendor and made available to the State upon request. See Attachment 3.

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Attachment 1 State Of Minnesota Affirmative Action Certification

If your response to this solicitation is or could be in excess of $100,000, complete the information requested
below to determine whether you are subject to the Minnesota Human Rights Act (Minnesota Statutes 363A.36) certification requirement, and to provide documentation of compliance if necessary. It is your sole responsibility to provide this information andif requiredto apply for Human Rights certification prior to the due date of the bid or proposal and to obtain Human Rights certification prior to the execution of the contract. The State of Minnesota is under no obligation to delay proceeding with a contract until a company receives Human Rights certification BOX A For companies which have employed more than 40 full-time employees within Minnesota on any single working day during the previous 12 months. All other companies proceed to BOX B. Your response will be rejected unless your business: has a current Certificate of Compliance issued by the Minnesota Department of Human Rights (MDHR) or has submitted an affirmative action plan to the MDHR, which the Department received prior to the date the responses are due. Check one of the following statements if you have employed more than 40 full-time employees in Minnesota on any single working day during the previous 12 months: We have a current Certificate of Compliance issued by the MDHR. Proceed to BOX C. Include a copy of your certificate with your response. We do not have a current Certificate of Compliance. However, we submitted an Affirmative Action Plan to the MDHR for approval, which the Department received on __________________ (date). Proceed to BOX C. We do not have a Certificate of Compliance, nor has the MDHR received an Affirmative Action Plan from our company. We acknowledge that our response will be rejected. Proceed to BOX C. Contact the Minnesota Department of Human Rights for assistance. (See below for contact information.) Please note: Certificates of Compliance must be issued by the Minnesota Department of Human Rights. Affirmative Action Plans approved by the Federal government, a county, or a municipality must still be received, reviewed, and approved by the Minnesota Department of Human Rights before a certificate can be issued.

BOX B For those companies not described in BOX A Check below. We have not employed more than 40 full-time employees on any single working day in Minnesota within the previous 12 months. Proceed to BOX C.

BOX C For all companies By signing this statement, you certify that the information provided is accurate and that you are authorized to sign on behalf of the responder. You also certify that you are in compliance with federal affirmative action requirements that may apply to your company. (These requirements are generally triggered only by participating as a prime or subcontractor on federal projects or contracts. Contractors are alerted to these requirements by the federal government.) Name of Company: Authorized Signature: Printed Name: Date Telephone number: Title:

For assistance with this form, contact:

Minnesota Department of Human Rights, Compliance Services Mail: The Freeman Building 625 Robert Street North, TC Metro: (651) 296-5663 Saint Paul, MN 55155 Web: www.humanrights.state.mn.us Fax: (651) 296-9042 Email: compliance.mdhr@state.mn.us Toll Free: 800-657-3704 TTY: (651) 296-1283

Affirmative Action Certification Page, Revised 6/11 MDHR

Attachment 2

Affidavit of Noncollusion
State of Minnesota
Instructions: Please return your completed form as part of the Response submittal. I swear (or affirm) under the penalty of perjury: 1. That I am the Responder (if the Responder is an individual), a partner in the company (if the Responder is a partnership), or an officer or employee of the responding corporation having authority to sign on its behalf (if the Responder is a corporation). 2. That the attached proposal submitted in response to the <insert name> Request for Proposals has been arrived at by the Responder independently and has been submitted without collusion with and without any agreement, understanding or planned common course of action with, any other Responder of materials, supplies, equipment, or services described in the Request for Proposals, designed to limit fair and open competition. 3. That the contents of the proposal have not been communicated by the Responder or its employees or agents to any person not an employee or agent of the Responder and will not be communicated to any such persons prior to the official opening of the proposals. 4. That I am fully informed regarding the accuracy of the statements made in this affidavit.

Attachment 2

Request for Proposals

Authorized Signature
Responders firm name: Print authorized representative name: Authorized signature: Title: Date (mm/dd/yyyy):

Notary Public Subscribed and sworn to before me this: day of ,

Notary Public signature

Commission expires (mm/dd/yyyy)

ADM4-01 9/12/12

Page 1 of 1

Attachment 3 State of Minnesota Immigration Status Certification

By order of the Governors Executive Order 08-01, vendors and subcontractors MUST certify compliance with the Immigration Reform and Control Act of 1986 (8 U.S.C. 1101 et seq.) and certify use of the EVerify system established by the Department of Homeland Security. E-Verify program information can be found at http://www.dhs.gov/ximgtn/programs. If any response to a solicitation is or could be in excess of $50,000, vendors and subcontractors must certify compliance with items 1 and 2 below. In addition, prior to the delivery of the product or initiation of services, vendors MUST obtain this certification from all subcontractors who will participate in the performance of the contract. All subcontractor certifications must be kept on file with the contract vendor and made available to the state upon request. 1. The company shown below is in compliance with the Immigration Reform and Control Act of 1986 in relation to all employees performing work in the United States and does not knowingly employ persons in violation of the United States immigration laws. The company shown below will obtain this certification from all subcontractors who will participate in the performance of this contract and maintain subcontractor certifications for inspection by the state if such inspection is requested; and 2. By the date of the delivery of the product and/or performance of services, the company shown below will have implemented or will be in the process of implementing the E-Verify program for all newly hired employees in the United States who will perform work on behalf of the State of Minnesota. I certify that the company shown below is in compliance with items 1 and 2 above and that I am authorized
to sign on its behalf.
Name of Company: _____________________________________ Authorized Signature: _______________________________________ Printed Name: ___________________________________________ Date: ___________________________________ Telephone Number: _______________________ Title: ___________________________________

If the contract vendor and/or the subcontractors are not in compliance with the Immigration Reform and Control Act, or knowingly employ persons in violation of the United States immigration laws, or have not begun or implemented the E-Verify program for all newly hired employees in support of the contract, the state reserves the right to determine what action it may take. This action could include, but would not be limited to cancellation of the contract, and/or suspending or debarring the contract vendor from state purchasing. For assistance with the E-Verify Program Contact the National Customer Service Center (NCSC) at 1-800-375-5283 (TTY 1-800-767-1833). For assistance with this form, contact: Mail: 112 Administration Bldg, 50 Sherburne Ave. St. Paul, MN 55155 Email: MMDHelp.Line@state.mn.us Telephone: 651.296.2600 Persons with a hearing or speech disability may contact us by dialing 711 or 1.800.627.3529
Affirmative Action Certification Page, Revised 6/11 MDHR

Attachment 4
STATE OF MINNESOTA VETERAN-OWNED PREFERENCE FORM
In accordance with Minn. Stat. 16C.16, subd. 6a, (a) Except when mandated by the federal government as a condition of receiving federal funds, the commissioner shall award up to a six percent preference in the amount bid on state procurement to certified small businesses that are majority-owned and operated by: (1) recently separated veterans who have served in active military service, at any time on or after September 11, 2001, and who have been discharged under honorable conditions from active service, as indicated by the person's United States Department of Defense form DD-214 or by the commissioner of veterans affairs; (2) veterans with service-connected disabilities, as determined at any time by the United States Department of Veterans Affairs; or (3) any other veteran-owned small businesses certified under section 16C.19, paragraph (d). In accordance with Minn. Stat. 16C.19 (d), a veteran-owned small business, the principal place of business of which is in Minnesota, is certified if it has been verified by the United States Department of Veterans Affairs as being either a veteran-owned small business or a service disabled veteran-owned small business, in accordance with Public Law 109-461 and Code of Federal Regulations, title 38, part 74. ___________________________________________________________________________________________________________ To receive a preference the veteran-owned small business must meet the statutory requirements above by the solicitation opening date and time. When responding to a Request for Bid (RFB), the preference is applied only to the first $500,000 of the response. When responding to a Request for Proposal (RFP), the preference is applied as detailed in the RFP. If you are claiming the veteran-owned preference, attach documentation, sign and return this form with your response to the solicitation. Only eligible veteran-owned small businesses that meet the statutory requirements and provide adequate documentation will be given the preference. ___________________________________________________________________________________________________________ I HEREBY CERTIFY THAT THE FIRM LISTED BELOW: My firm is a certified small business and it is majority-owned and operated by an eligible person as defined by Minn. Stat. 16C.16, subd. 6a. ___Yes ___No (must check yes or no) State the type of documentation attached:_______________________________________ DOCUMENTATION MUST BE PROVIDED FOR ONE OF THE FOLLOWING REQUIREMENTS: ___ (1) recently separated veterans who have served in active military service, at any time on or after September 11, 2001, and who have been discharged under honorable conditions from active service, as indicated by the person's United States Department of Defense form DD-214 or by the commissioner of veterans affairs; State the type of documentation attached: ___ (2) veterans with service-connected disabilities, as determined at any time by the United States Department of Veterans Affairs; State the type of documentation attached: ___ (3) any other veteran-owned small businesses certified under Minnesota Statute Section 16C.19, paragraph (d). State the type of documentation attached: Name of Company: Authorized Signature: Printed Name: ________________________________ ________________________________ ________________________________ Date: _____________________________ Telephone: _____________________________ Title: _____________________________

IF YOU ARE CLAIMING THE VETERAN-OWNED PREFERENCE, ATTACH DOCUMENTATION, SIGN AND RETURN THIS FORM WITH YOUR RESPONSE TO THE SOLICITATION.
Rev. 9/10

Attachment 5A
Issuer: New Issue: Refunding Bonds: Tax Status: Maturity Date: Scale Date: Year 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 2027 2028 2029 2030 2031 2032 2033 2034 2035 2036 2037 2038 2039 2040 2041 2042 2043 Coupon Yield State of Minnesota Appropriation Bonds Series 2013A Tax-Exempt June 1 Scale as of Tuesday, October 1, 2013 MMD AAA (as of 10/01/13) Spread to MMD Takedown by Maturity

Attachment 5B
Issuer: New Issue: Refunding Bonds: Tax Status: Maturity Date: Scale Date: Year 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 2027 2028 2029 2030 2031 2032 2033 2034 2035 2036 2037 2038 2039 2040 2041 2042 2043 Coupon Yield State of Minnesota Appropriation Bonds Series 2013A Taxable June 1 Scale as of Tuesday, October 1, 2013 Treasury (as of 10/01/13) Spread to Treasury Takedown by Maturity