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Staff Report 5.D 02/23/2004
5' 1� _r CITY OF P.ETALUMA, CALIFORNIA AGENDA BILL Agenda Title ;Discussion Regarding Pre of Bidders' Meeting Date: February 23, 2004 for Public Works Projects. Meeting Time X 3:00 PM 7:00 PM Category (check one) Consent Calendar Public Bearing X New Business ❑ Unfinished Business ❑ Presentation Department City Director Contact Person Phone-Number Manager's Office Michael Bierman Michael Ban, P.E. 778 -4304 Cost of Proposal N/A AccountNumber N/A Amounf Budgeted- N/A Name of Fund: N/A Attachments to Agenda Packet Item Agenda Report Attachment A — Pre - qualification of Contractors Seeking to Bid On Public Works Projects (California Department of Industrial Relations) Attachment B — IBEW Prequalification Package Attachment C —.City of Petaluma Bid Proposal Summary Statement Several years ag; after a difficult experience -with a public works project, the City significantly revised and strengthened its public works contract documents. In addition to having sound contract documents,, another potential. method for eliminating financially unsound contractors is through prequalification. Prequalifying bidder&is the process by which the owner of a public works project screens potential contractors according" to a given set of criteria prior to any competitive bidding. The objective is to identify a pool of bidders that have .been determined to be responsible and qualified. In 1999, the California Legislature „enacted a law that allows many public agencies to require licensed contractors that wish to bid for.public works projects to, "pre- qualify" for the right to bid on a specific public works project. Recommended City Council Action /Suggested Motion City Management recommends the City further evaluate whether contractor prequalification is appropriate for Petaluma, including discussions with agencies that conduct p'ublic,works rojects similar to Petaluma and also re uali contractors. Reviewed by Finance Director: Reviewed bV City Attorney Date: Approvi0baity Manager: Date: Date: Today's Date February 16, 2004 Revision.# and Date Revised: File Code S: \water resources & # consecvadon\contractor prequalification \city council\agenda cover. 2- 23- 04..doc 4 0 1 CITY OF P ETALUIVYA, CALIFORNIA February 23, 2004 AGENDA RE PORT FOR DISCUSSION REGARDING PRE- QUALIFICATION OF 'BIDDERS FOR PUBLIC WORKS PROJECTS 1. EXECUTIVE SUMMARY Several. years ago, after a difficult experience with a public works project, the City significantly revised and strengthened its public works contract documents. In addition to having sound contract documents, another; potential method for eliminating financially unsound contractors is through prequalification: Prequalifying bidders is the process bywhi'ch the owner of a public works project screens potential contractors according to a given set of criteria prior to any competitive bidding. The objective is to identify a pool.of bidders that:have been determined to be responsible and qualified. In 1999, the California Legislature enacted a law that allows many public agencies to require licensed. contractors that wish to bid for public works projects to "pre - qualify" for the right to bid on a specific public works project. City Management recommends:the City further evaluate whether contractor prequalification is • appropriate for Petaluma, including, discussions with,�agenci'es that conduct public works projects similar to Petaluma and also prequalify contractors. 2. BACKGROUND Inntroduction Prequalifying bidders is the process by which the.-owner of a public works project screens potential contractors according to a.:given set of criteria prior -to any competitive bidding. The objective is to identify a pool of bidders that have been, determined to be responsible and qualified. Generally, if an Agency not prequalify bidders, the responsibility determination is done after the lowest responsive bidder. is- identified. What does the law say? In 1999, the California Legislature enacted a law that allows many public agencies to require licensed contractorsitlat wish to, bid for public works projects to "pre - qualify" for the right-to bid on a specific public works project. The legislation'is codified in Public Contract Code Section 20101. The law applies to all, cities; counties and special districts, outdoes not apply to K -12 school districts. ,The law does not require, any public agency to adopt a pre- qualification system. Instead, it'authonzes.every public agency to adopt a pre - qualification system, and describes ® certain requirements that must be met, if a public agency chooses to adopt such a system. The 5:`, water resources ; &.conseriationlcontracior prequaiiticanon\city council \agenda report.2- _2_-+)A..uoc ., 1999 law allows a public agencyto establish two different kinds of pre -. .qualification procedures for public works projects: • 1. The law allows a public agency to establish a pre - qualification procedure linked to a single project, 'or; 2. The public agency may adopt a procedure by which a contractor .may qualify'to `bid' on projects which are put out for bid bythat agency for a period of one year' after the date of initial pre- qualification. The 1999 law requires every.publk agency that creates either kind of pre - qualification procedure to: 1. Use a "standardized questionnaire, and financial statement in a form specified by the public entity", 2. Adopt and apply a uniform system df rating,bidders on objective, criienia;'on the basis of the completed questionnaires and.financial statements; 3. Create: an appeal procedure, by which a contractor that is denied pre- qualification may seek a reversal of that determination.- Aow does it work? .If a public agency is, interested in pursuing prequalification of contractors, it must adopt a. formal prequalificationproced'ure that includes a staridardized questionnaire form, identifies the system forratiii' bidders, and.includes an appeals procedure. Once .a. formal pre- qualification procedure is established the steps for pre -qualifying contractors are generally as follows: 1. Potential contractors are contacted by the agency and requested,to complete and submit the agencies' pre - qualification forms. y . p q g to adopted 2. Aaenc, reviews re ualification forms and rates contractors accordin rating procedure: 3. Agency, notifies :prospective bidder within a specified amount if the prospective bidder;.i_s qualified or not, the nature and type of contracts the prospective bidder is qualified to bid on and the time period for wli'ch -the prequalification.is valid. If the public contracting: agency disqualifies the prospective bidder, ;the agency specifies which "subsections of the prequalifi'cation form the prospectivebidder failed to, comply with. The agency can also opt to include an interview in the pre qualification process. 4. If a prospective biddervishes to appeal disqualification, the bidder notifies the agency Within,a specified period of time that the bidder 'wishes to appeal the disqualification. The agency'ihen notifies " the person appealing of a. time: and p lace to conduct a.review'of the disqualification (in accordance with the agencies' :prequalification procedures). 5: Agency,issues bid proposal requests - to "prequalified" contractors: only: S: \water resources & conservation\contractor prequalitication \city council\agenda report.2- 23- .04::doc - - -; 6. Agency reviews bids from,prequalified contractors and awards bid to lowest • responsive and responsible contractor.,, . Are there standard. forms for prequalification? Department of Industrial Relations In response to the 1999 California Law, the California Department of Industrial Relations developed model prequalification questionnaire and rating system. A copy of this model is provided as Attachment A. The model is divided into. three sections. The first section, entitled Part I. Essential Requirements for Qualification", alfication ", contains categorical questions, some of which, if not answered correctly, will. automatically result in disqualification of the contractor. For example, the first question asks: "Contractor possesses a valid and current California Contractor's license for the project or projects for which it intends to 'submit a bid." If the answer is no, the contractor -'is automatically disqualified. This is similar to the City's current contract documents, which require possession of a Valid and current California Contractor's license. If th&coritractor_ does not carry;such,a license, the contractor would not be considered a responsive bidder and. would not be awarded a construction contract. • The second section is "Part H :' Organization, History ",, Organizational Performance, Compliance with Civil and Criminal Laws." Some of the questions in this, section are merely informational in nature. Other questions in this section, require a score to -be assigned depending upon how the question is answered. The, scores are totaled and if the total is below the;minimum, the prospective bidder is disqualified. For questions related to "History the business and organizational performance, the DIR recommends a passing score of 57. The last section is "Part III. Recent Construction, Projects Completed,'-' requests information about the prospective bidder', s six most recently completed public works projects and it's three largest completed'private projects within the last three years. This'section is informational, and is not scored. International Brotherhood of Electrical Workers As part of a ational campaign to promote contractor, prequalification, the, International Brotherhood: of Electrical Workers (IBEW) approached the City with a suggested format. The IBEW's prequalification package is provided in Attachment B. The IBEW's package is divided into four sections. The first section "Organization, History, Organizational Performance; Compliance with Civil and Criminal Laws" requests'information on the prospective bidders structure and compliance with the law. This section also has questions about prevailing wage and apprenticeship programs. S: \water resources & conservadon\contractor preouaiificadon \city council\agenda report. =- 2.- 04..doc V The second section "-Statement of Qualifcations ",requests information on the,prospective bidders experience. The'third section "Finances, Bonding and Insurance'" requests information • on the rprospective bidders finances. The fourth and final section. "Workers Compensation, Safety and OSHA" addresses safety issues. Contrary to DIR,package, the I$EW,package.does.not include a rating system or assign, scores depending on a prospective bidders response.:Instedd; the IBEW package recommefid "s disqualifying'contraetors for failure to meet aiy one of`a .series of criteria. For example, under the IBEW package, a contractor would be automatically disqualified for responding "no" to any of the following questions: Contractor's license has norhad two or more citations in the.past seven (7) years: Contractor has: never failed to complete a contract. Contractor has never declared bankruptcy., Contractor has never been.foreed to pay liquidated damages. Contractor has neither willful nor more than two (2) serious OSHA'violations;in the, past five (5) years. Since the IBEW package'does not include an.objective scoring system, it does not comply with the 1999 California Law, Also, the criteria: for° automatic disqualification are very broad, and' . may not necessan ybe appropriate. For example, a-basis for automatic disqualification is payment of liquidated damages on another project. - A non- performing subcontractor result in the general contractor having to pay liquidated damages. Does that automatically,mean; the general contractor is� not: qualified? 'The;1BEW; package also, requests the contractor to explain the reasoning for . payment of any liquidated damages, .`Itis unclear why this, is required, when _ • liquidated damages are ,automatic grounds .for,;disqualifi"cation. How does the City evaluate contractors? Even though the City does not, "pre- qualify" contractors for its public works projects; the City's contract documents include many requi ements that, 'a .contractor must comply with; in order to be considered a responsive bidder: Through the CityAttotney' "s office and a comrhittee of employees involved in public - works projects, the City as made a number of substantial changes and improvements to its' contract documents. Items considered by the City in reviewing the responsiveness of a b idder, include: contractor's license, complants.,against the , company, experience (project references are. contacted, and interviewed), bonding, and insurance. Contractors are, also required'to pay, prevailing wages' and,carry workers compeiisatioh insurance. Many of the questions :recommdrided by the DIR and .IBEW are addressed in the contract documents. Table 1 provides a,summary comparison of the ;City's contract documents and the IBEW's recommended. package. A copy of the City "s bid proposal is provided, in- Attachment C. 4 S: \water resources & conservation \contractor prequaiif ication \cirycounciPa_enda reporr?- 23-04..doc Comparison of Petaluma Contract • Doument BEW Suggested Prequalification Program Included in :rp Petaluma Contract IBEW's Prequalification Information Request Documents Notes 1. Current Organization & Structure of the Business Yes Unclear how this information is to be used. This information does 2. History of the Business & Organizational Performance No not impact contractor's prequalification status. 3. Licenses A. License number, Class & Expiration Date Yes _ B. License held in the name of a, corporation or partnership Yes Unclear how,this information is to'be used. This information does not impact contractor's prequalification status. Recommend adding C. Has the firm changed name or license number No to contract documents if acceptable to CA. D. Has any owner; partner, or officer of the firm No Recommend adding this information to City's contract documents. operated a; construction firm under any other name IBEW suggests disqualifying any contractor who has had a license suspended in past seven (7) years. Unclear if this unilateral action E. Has any license held by the firm been suspended No is appropriate or would withstand legal scrutiny. within the last 5years - F. Any complaints against the firm within 5 years Yes IBEW checks for past 5 years. City documents go back 10 years. 4. Compliance With Laws Yes 5. Prevailing Wages & Apprenticeship A. Requirements for paying prevailing wages Yes B. Whether the firm failed to comply with State's Unclear how this information is to be used. This information does prevailing wages during the last 5 years No not impact contractor's prequalification status. - T Comparison of Petaluma Contract DoumentsEW Suggested Prequalification Program Included In Petaluma Contract IBEW's Prequalification Information Request Documents Notes C: Whether the firm failed to comply with Federal's The applicability of this provision is questionable since the City rarely prevailing wages during the last 5 years No funds projects using Federal dollars. Unclear.how this information is to be used. This information doe_ s not impact contractors, prequalification status. How does,the presence of an apprenticeship program reflect on the contractor's ability to complete the work? If apprenticeship program is included, it should be;part of 'contract documents, `not prequalification, and D. Provide name, address, and phone number of should only require'contractorto comply with Labor.Code related_ to the apprenticeship program No apprenticeship program. - Unclear how this information is to be used. This information does not impact contractor's prequalification status. How does the presence of an apprenticeship program reflect on the contractor's E. Whether the firm operates apprenticeship program No ability to complete the work? Unclear how this information is to be used. This information does notimpact contractor's prequalification status. How does the presence of an apprenticeship program reflecfon the contractor's F. Any violations of apprenticeship program No ability to complete the work? Statement of Qualifications Section City documents request information on projects completed in last three years. Suggest revising City documents to pertain to projects 1. List of three largest contracts during last 5 years No with relevant experience. 2. List three largest; public works project last 5 years Yes City requires 3 years. 3. List of projects in progress Yes 4. Experience Yes Unclear how this information is to be used. This information does not impact contractor's prequalification status. This information is not material to contractor's ability to complete the work. A. How many years in business in California No Recommend requesting information in City contract documents. Y,Mf V-J _ TABLE 1 Comparison of Petaluma Contract Douments and Suggested Prequalification Program Included in Petaluma Contract IBEW's Pregualification Information Request Documents Notes B. Scope of work performed as sub - contractor No Staff does not think the proposed section is applicable. C. How many years of experience Yes Finances, Bonding & Insurance 1. Financial Requirements B. Provide audited financial statement City requires bidders to provide bank references and surety C. Provide list of fiscal year volume for past s years companies assuming financial responsibility for bidder. IBEW suggests disqualifying anycontractor'who has declared bankruptcy, D: Provide certificate of license_ d_ accountant been m receivership, or been`faced,to pay liquidated damages. Unclear if these unilateral actions areviarranted or would withstand E. Provide General, Letter of Credit No legal scrutiny. City's documents require contractor to properly and adequately bond 2.. Bonding Yes project. 3. Insurance Yes Worker Compensation,,Safety & OSHA 1. Worker Comp Yes Recommend evaluating whether safety section, in City documents could be.expanded; Do not. recommend making safety part of 2. Safety Yes contract&p'requalification. Do not,recommend adding this to contractor prequalification. IBEW suggests disqualifying'any contractor with'2 safety violations in last 5 3. OSHA No years: Unclear if this applicable or would withstand legal scrutiny. V-J _ 3. ALTERNATIVES An alternative to prequalification is to provide for a more systematic determination of responsibility after bidding. For example, the agency could require interested bidders to submit a responsibility questionnaire in a separate envelope with their bid. After the bids are opened and the lowest'responsive bidder is determined, the agency examines and scores the responsibility questionnaire., If the�bidder scores above the minimum allowable score, the bidder is deemed responsible and awarded the bid. The end result of "post - qualification" .bidding is the same for prequalification — the contract is, awarded to the lowest responsive. and responsible bidder. 4. FINANCIAL I MPACTS : It is estimated that development of a prequalification package would require the following personnel: City Attorney's Office City Manager PublicTacilities Director Water Resources Director Redevelopment Director EngineeringManagers (3) ® City Engineer . Associate Civil Engineers (2) Proj'ectManagers (2) 24 hours 4 hours 8 hours 8 hours 8 hours 36 hours 8 hours 1,6 hours 16 hours Once a prequalification program is: in place it could require -up to one (1) full time equivalent (FTE) per year to manage the program (depending on the program). 5. CONCLUSION The most effective way for a public agency to ensure the, successful completion of a public works project is to: 1) Prepare sound contract documents, 2) Carefully plan and conduct detailed design of the project using a talented and knowledgeable team., 3) Proactively manage construction of the project and involve the contractor as an integral part of the team, 4) Hire a cornpetent; qualified and cost - effective contractor. The benefit of usingpr_equalification is the potential elimination 6f unqualified or financially unsound contractors from the bidding pool. The primary disadvantage to that it adds time to the bid process, requires additional staff time to manage the program and address potential issues associated with_disqualificatioh. and may, not be appropriate for all projects. Prequalification is generally more °appropriate for projects ,that are large, complex, or'require a specific type of expertise or 'specialization. LI S:\waterrescurces conservationacontracror preaualiticariomcity council\asenda reaort.3- 23- 04..doc 6. OUTCOMES OR PERFORIVIANCE.MEASUREIVIENTS TH AT W ILL IDENTIFY SUCCESS OR COMPLETION NAA 7. RECOMMENDATION City Management recommendsthe City further evaluate whether contractor prequalification is appropriate for Petaluma, 'including discussions with agencies that conduct public wgrks similar to Petalumaand also prequalifycontractors. gAorms /20Uj gendabill L 0 6 S: \water. resources conservation \contractor preaualificanon\city council\agenda report.?- 213�74,.doc 0 is Attachment A of P�'e -quahf canon �. C ontractors Seeking to Bid. On Public Works Ptojects (California Department of.Indnstr al Relations) 5 Iq N 0 is Attachment A of P�'e -quahf canon �. C ontractors Seeking to Bid. On Public Works Ptojects (California Department of.Indnstr al Relations) �l r PRE - QUALIFICATION-OF SEEKI TO,,BiD OIL PUBLIC WORKS P ROJEC T "" ' T h e -St Lqhl ati on an d the a o ;f el F :'r' r o f P /' s' f�, by th e Department of IndushidlRelaltions • • 1 r. 'FABLE OF CONTENTS P A GE INTRODUCTION,AND OVERVIEW OF THE 1999 LAW AND ITS APPLICATION . :...........................1 I. Important Provisions Of The , 1999 Law .....'.,.,o, .:......................... .....2 II. Role of the Department of. Industrial.Aelat ons ..... ............................... . .................2 III. An Overview rOf The Documents In. This 'Package ...................... ..................3' „ I IV. Appeal. Procedure ................ ......................... V. Application Of The Public Records Act ;5` -VI. What Are The Law's Provisions Regarding Of ' Subcontractors .. ....................................... ................. .......... ......................5 MO DEL P,RE- QUALIFICATION QUESTIONNAIRE ........... :.............................. ................ ......... 6 I Contact Information' .......................................:...................................... ............................. Part I: Essential Requirements for Qualification ............................. ... . ..Si Part II: Organization, History; 01-ganizational Performance, Compliance with Civil and Criminal Laws ... .. .. .. .10 A. Current °Organization And Structure Of The Business .. .......................10 C. HCompliance of The WBh Occu �onal Safe ty ati�d health Eawse ..... ............................111 I :P, y . And With fOther Labor Legislation Safety ..16 Part III. Recent Construction Projects Completed . . .. .... ........... .............1'9 A LIST OF THE S:CORABLE'QUESTIONS AND THE SCORING:: INSTRUCTIONS ............................21 MODEL INTERVIEW' QUESTIONS _ ..............3�5 i INSTRUCTIONS FOR'PUBLIC AGENCIES RE INTERVIEW QUESTIONS ........................ REQUEST FOR PRE- QUALIFICATION ©F BIDDERS COMMENC WITH FORTHCOMING PUBLIC WORK BID ANNOUNCEMENT •OF - PRE - QUALIFICATION PROCEDURES A 4D OPEN BATES FOR ANNU PRE- QUALIFICATION ........... ................................ ...........................4- I SOURCES FOR VERIFICATION OF INFORMATION GI By CoNTRAC'I o R. S .............................i9 im • 11 I. IMPORTANT 'PROVISIONS OF THE .1999 LAW , • In 1999, the Legislature enacted a law that ;allows many public agencies to require licensed contractors that wish to bid for public works jo bs to "pre - qualify" for the to bid on a specific public works project, or on public works project undertaken by a public a durihg a specified period ,of time: Public Contract: Code. section 20101 has the relevant provisions; it was enacted as part of Assembly Bill 574. The law: Applies all cities, counties, and special:districts but does not apply to K-12 sch6ol districts (which -_ha e similar authority to t'reate pre - qualification procedures, described 'iri Public Contract Code section 20111.5. Which was enacted in'l 07),. The "law does,A'ot. ' require any agency to adopt a pre -qualification system. Insteadi, it authorizes every public agency to adopt d. pre - qualification system, and I describes certain requirements that must be met (descfibed'below),, if 'a public agency chooses to,adopt such a systepi. In fact, the .1999 law allows a publicc agency to -establish two; different kinds, of pre- qualification procedures - for , public works projects. The law allows , a public agency to establish a pre= qualificafiofi procedure :.linked-to a single - project (Section 201 [d]). Or, theip b c agencymay adopt a procedure by which a after uofyinitia.1 a prcput out f6t .,bid iby that agency forA.period of one year thedate re-qualification,. (Secfion"201 01 The law requires every public agency that creates either kind of pre-qualification procedureto: (1) use a, "standardized questionnaire andfinancial, statement in a form specified by the public entity"(Section 2 0101[A]); (2) adopt.�and app a uniform system of rating bidders on objective-tritetia, on the basis of "the completed questionnaires and -financial statements (Section 20161 [b]); (3) create an appeal procedure by which, a contractor that is denied pre-qualification may seek a `reversal of that determination. (Section 20 [d']). IL ROLE OF THE DEPARTMENT Of INDUSTRIAL RELATIONS AB, 5 74. required the Department of Industrial Relations.(DIR) to "develop model guidelines I for rating bidders and draft, the standardized questionnaire.." I It required. DIR to "consult w ith affected public, agencies, cities and counties, the construction industry, the surety-industry; and Other interested parties." Cqr=pnity'Cb11 my iibhc, ege Districts also have �specific authoriry to:carry out Dreq�ia incanon p r=Uni 74 Contract Codd section 20654- enacted in 1998. Cb it allege Districts may aiso be covered AB Z , 5 y Colle, since they are not soeciikallv oxeirmted. From ary ou � October other DIR held a series of meetings in Sacramento with representatives of pub hr 1 ic agencies � interested parties. Each meeting was attended by more than 25 representatives of interested parties-. All told more than 50 people participated in at least one such meeting, and. most representatives participated in more than one. Contractors, public a both large ;and small and associations of each were well represented throughout the series of meetings. DIR's initial draft of a questionnaire revised after each meeting, and each revised draft was °discussed at the next meeting, leading to additional revisions. Eventually, there was widespread consensus that the model questionnaire provided in this package offers a system of rating bidders based on objective criteria, and a useful and appropriate series of questions. In addition, DIR,'in compliance with the 1'999 legislation. created model guidelines for rating bidders. The model rating system also is included: in this package. 111. ANOVERVIiEW'OF THE DOCUMENTS IN 'THIS PACKAGE Included in this package aTe 1. A model questionnaire to `be sent to contractors. - The questionnaire includes spaces p y the forms to be returned to'the public agency. for answers to be provided ed b � e contractors As required by the le . slato the uiformatio provided to the public agency by the contractors, other than the names addresses and contractor license numbers of the contractors applying — is to be kept confidential 2. A model scoring, system, for rating the answers given by the contractors and by' the references. Note: the documents provided hereby DM are designed to collect the information that a public agency will need to carry out 'a pre- qualification procedure, and the DIR. has proposed a rating system. Each public agency; however, is free to devise its; own "uniform system of rating prospective bidders'... based on objective "criteria." That -is'. each public agency may determine its own scoring system and its own passing scores for different portions - of the questionnaire and for the interviews. 3. A ,model series of questions to be used by representatives of the public agency when interviewing persons who are identified by contractors as their "references" — owners of projects that have been completed by each contractor` in the recefit past. 4. DIR's suggestions for procedures. to be'used for conducting the reference interviews. 5. Two -altemative forms: model announcements of pre-qualification procedures. Each is a summary and explanation of the pre - qualification procedure, prepared primarily for licensed contractors; although available for the general . public as well. There are two slightly different versions of this document: one ,explains the pre-qualification procedure linked to a single project ; 3 ' The documents includedilin this'package can be found at the Department. of Industrial Relations web site, ww1,v:dir.ca.4ov Clidk on `Data,bases." 3 The ,explanation included in this document assumes that the prequalification procedure is taking place after the RFP or project announcemenfis pubiished. A public agency may choose, instead. to have the preaualification while the other explains the procedure of pre - qualification valid fora year land for more than one project. 6. A list of sources of information that may be used, by a public-acency to verify the accuracy of many, of the answers given byth contractors to` questions on the questionnaire:4 IV. APPEAL PROCEDURE Section 20101(d) requires every- public agency that requires prospective 'bidders to prequalify pursuant-to this law to establish "a process that will allow prospective bidders to dispute their. proposed prequalification rating; prior to the closing time for receipt of bids: The appeal rocess must include written notification by flip , public agency of the basis for the prospective bidder's disqualification . "and any ;supporting evidence that has been received from others or adduced as a result of an. investigati'on'by'the public entity." (seciion20101[d][1]).'The prospective bidder ,must be given an. opportunity_ to rebut any evidence used a§ * a `basis for disquali'fi'cation ,and to- present evidence to the public entity as to why the prospective `bidder should be found qualified.." (section 20101[d][2]). The :law, does not describe the appeal procedure in any.additional detail; each public agency is free,to adopt'its own procedures; as long as the statutory requirements are, met. As an example, while Part I of the model questionnaire includes nine. "Essential Requirements for Quali'fi'cation," a public agency -may choose to allow contractors to appeal a disqualification based solely on an. answer to a question in Part I. DIR .has devised two different, schedules for appeal procedures. ;Oneschedule�would be used in a system for prequalification for a ,sin e project. The sequence of steps in this appeal g procedure are scheduled to allow for. an appeal decision at least four business; days prior to 'the submission for bids for the single project. The other :schedule for an appeal is applicable to a. system in which prospective .bidders 'seek ,prequalification,valid for one year without a link to the bidding on a; specific, project. These two appeal sequences are described in the explanation to contractors (the two documents referred to in °paragraph S, above). Each public agency - should be certain that. it distributes to licensed contractors only the description that °is appropriate for the prequalification procedures that "are in.use. There are a number of laws and, court decisions that affect the nature of an _appeal. hearing provided by a public agency: Each public agency should consult its own..attorneys for ad dvice in area. procedure start and end prior to the;solicitation of bids for 'the specific, If that is the' case, the public agency would have to modify the document offered hereto explain the sequence, of events. A CAUTIONARY NOTE: The information that will be, gi en;to public agencies�by contractois seeking Pie qualification,is provided,under oath, with the understanding: that, the intentional providing of false, information 'is, in itself, grounds for disqualification. We .e;enect.,that'the information given should be and'will be accepted' at face value in most instances. O& Est of sources of;iiiformation available to the-public is providedfor'use.in the°few instances in which a public agency reviewing the answers given in a questionnaire has specific reason'to'believe that on'e' or more answers should:be verified in this manner.. • 7 V. APPLICATION OF THE PUBLIC RECORDS' ACS' AB 574 ;provides that "The questionnaires and financial statements shall not be public records and shall not be open to public inspection; however, records of the names of contractors applying for prequalifi'cation status shall be public records subject to disclosure" under the Public Records Act. (Section 20101 [a]). The model questionnaire forms provided by DIP, indicate that the cover page of each questionnaire is a public record, and that all other pages of the questionnaire are „not public records. VI. WHAT' ARE THE LAW'S PROVISIONS REGARDING PREQUALIFICATION OF SUBCONTRACTORZS? Public agencies are not, required to pre - qualify sub - contractors, nor are'public agencies prohibited from doing so. Section-,2010,1(f) says: Nothing in this section ,;shall; preclude the awarding agency from prequalifying or disqualifying a subcontractor. The disqualification by an awarding agency does not disqualify an otherwise prequalified [general] contractor. 40 J 0 • r� 7 CONTACT INFORVgATION Firm Name: Check One: ❑ Corporation (as it appears on license) ❑ Partnership ❑ Sole Prop. Contact Person :. Address: Phone: Fax: If firm is a sole proprietor or partnership: Owner(s) of Company Contractor's License Number(s): • r� 7 PART I: ESSENTIAL :REQUIRENMNTS FOR QUALInCATION Contractor will- be immediately disqualified if the answer to any of questions l through 5 is: 66110. "5 Contractor will' be immediately disqualified if the answer to any of questions 6, 7 or 9 is "yes. 116 If the .answer to question 8 is "yes," and :if debarment would be the sole reason .for- denial of pre- qualification, any pre- qualification issued will exclude the debarment period. 1. Contractor possesses a valid and current California Contractor's license for the project or projects for which it intends to submit a bid. Yes 0 No 2. Contractor has 'a liability insurance policy with . policy limit of at least' $1;000,000 per occurrence and $2,000,000 aggregate. 0 Yes . ❑ No 3. Contractor has current workers' compensation insurance policy as .required by the Labor Code. or is legallyself -insured pursuant to Labor Code section 3700 et.. seq. ❑ Yes ❑ No ❑ Contractor is exempt from this requirement, because it has no employees 4. Have you attached your latest copy of a reviewed or audited :financial statement with accompanying notes and supplemental information. ❑ Yes ❑ No NOTE: ,A financial statement that is not either reviewed or audited. is iiot 'acceptable. A'letter verifying availability of a line of credit may also be 'attached; however, it will be considered. as supplemental information only; and is not a substitute for the required financial :statement. ' S'. Have you attached a notarized statement from an admitted surety �insurer, (approved by'the California Department of Insurance) acid authorized'to issue bonds in the State. of California, which states: (a) that your current bonding capacity is sufficient for the project- for which s A "no" answerto Question 4 will not`be. disqualifyiig if-the : contractor is exempt from with Question 4, for:reasons explained in- footnote 7. e A contractor disqualified solely of'a "Yes" answer given to question b, 7, or 9 appeal the disqualification and`provide an explanation of, the, relevant circumstances ,during the appeal procedure; 7 Punhc C ontract Code section,20101(e) exempts from' this, requirement ;a contractor .wfio has qualified as a small business,pursuant to GoverumentCode section` 14837(4)( ); if the bid )is "no more than.25 - od cent Of .. qualifying amount provided,in section 14837(d)(1')." As -of January 1, 2001, the qualifying amount is 31,0 million. and 25 per cenvof,thaT amount, therefore;, is 32.5 million. 8 i are s ekuz re re a uali ationi you are see, g : re- ualification for. a singe project or (if you Y P q. .. Y � P -q � ): your current available bonding capacity ? Yes ❑ No valid fora ear g;P_ q , Y ) NOTE: Notarized statement must 'be from the''surety company, not an. agent or broker. 6. Has your contractor's license been revoked at anytime in the' last five years? ❑ Yes ❑ No 7. Has a surety firm completed at contract on your behalf, or, paid for completion because your firm was defaultIerminated by the project owner within the''last five (5) years? ❑ Yes ❑ No 8. At the time of submitting this pre - qualification form, is your firm ineligible to bid on or be awarded a public works contract,.or perform as a subcontractor on, a public works contract, pursuant to either Labor Code section 1777.1 or Labor Code section 1777.7? ❑ Yes ❑ No If the answer is "Yes ;" state the beginning and ending dates of the.period of debarment: 9. At any time during the 1.,-st five years, ha&.;your firm, or. any of its owners or officers been convicted of a crime - involving the awarding of a contract of .a government. construction project, or the bidding or performance of a government contract? ❑ Yes No 0 en • s An additional ,notarized statement from the surety may be requested,by Public Eniity at the time of submission of a bid, if this pre-qualification package is submitted more than 60 days prior to submission of the hid. 9 ., PART Il. ORGANIZATION,;HISTORY, ORGANIZATIONAL PERFORMANCE, C WITH .CIVIL AND C'MM NAL LAWS . A. Current Organization and Structure 'of the Business For Firms That Are -Cornorations •la.. Date incorporated: lb. Under.the laws of what state lc. Provide all 'the following information.;for each person who is . either (a) an , officer of the corporation (president, vice president, secretary, treasurer), or (b) the owner of at least ten ericen`t ofthe.co, :oration';s stock. Name Position Years with Co. % Ownershi Social Security #. Id. Identifq every construction fare that any person listed above has been associated with (as owner; general partner, limited partner or officer) at,any time during the last five years. NOTE: For this question, "owner" and ,11 partner" refer'to ownership often per cent.or more of the business, 'or IO per cent 'or more, of its stock, if: the business is a corporation. Dates of Person's Person's Name Copstiuction Firm with Firm, For Firms That Are Partners hips Ia. Date, of formation: b. Under the laws of what state: l c. Provide. all the following information for each partner who owns .10 per, cent. or more of the firm. Name Position, Years with Co. _ % Ownership Social Security I � � Id. Identify every construction company that an y partner has been associated with (as owner, ia eneral partner, limited partner or officer) rat any time during the last five years. NOTE. For this question_ , "owner" and- "partner" refer to ownership of ten per cent or more of the - business, or ten per centvr'more of its stock, if the business is a • corporation. Dates of Person's Participation Person's Name Construction Company with Company For Firms That Are Sole. Proprietorships 1 a. Date of commencement of business: lb. Social security number 'of company owner. lc. Identify every construction firm that the business owner has been associated with (as owner eneral , limited partner or officer at an t g d� ) y ' e during 'the last five years. NOTE: For this question,, "owner" and "partner" refer to ownership of ten per cent or .more of the business or ten per cent or more of its stock, if the business is a Person's Name, Construction Dates of Person's Participation ForFirms That.Intend to Make�a Bid' as Part of a Joint Venture la. Date of commencement of joint venture. lb. Provide all of the followine information for ;each firm that' is a member of the ioint venture that, expects to bid on one or more projects : Maine of film Ownershi' of Joint Venture B. History of the;Pusiness and Organizational Performance ?. Has there beenany change,.M ownership of the firm at anytime, during the last three years:' NOTE; A corporation whose shares are publicly traded is not required to answer this question. i l ❑ Yes ❑ No If "yes;" explain oil a separate signed page. • 3. Is the firm a;subsidiary parent holdin company`or affiliate of ariothenconstruction firm? NOTE: Include Information. about other fiims if one fir ri owns SO per ceni or -more of another,, or if an' owner, partner, or officer of your firm holds a similar position in another firm., ❑ Yes ❑ No If "yes," explain on,a separate signed page. 4. Are any corporate officers, partners or owners connected to any other construction. firms. NO'T'E': Include,information,about other firms if 2n owner, partner: or.officer of your firm holds a similar position in, another -firm. 'Yes ❑ No If "yes "explain on a separate signed page:. 5. State your firm',s gross revenues for each of the last three years: 6. How many years has your:organizafion been. in business in California. as a contractor under your present 'business.name and license number ?' years 7. Is your firm currently the debtor in a bankruptcy case? • ❑ Yes ❑ No If "yes," please attach a copy of the bankruptcy petition, showing the case number, and the date on which the petition was.filed. S. Was your firm in bankruptcy at any time during the last.,five' years? (This; question refers only to a bankruptcy action that :was, not described in answer to question 7; above) ❑ Yes ❑ No If "yes, "please attach a copy of the,banlamptcypetition, showing the case number and the date on which the petition was filed, ;and a copy of the Bankruptcy Court's .discharge order or of any other document that ended the case, if no discharge order was ssued. Licenses 9. List all .California construction license nuhibers, classifications and ;expiration dates of the California contractor licenses held by your, firm:: i^ 10! . If any of your firm's license(s) are held_ in the name of a corporation or partnership, list below the names, of the qualifying -individual("s) listed on the CSLB records who meet(s) the experience and examination requirements for each license 11. Has yourfirm changed names or license number in thevpast five years? Yes No If "yes,." explain on a separate signed page, including the reason for the change. 12. Has any owner, partner or (for corporations:) officer of.your firm operated a construction firm under 'any other'narnein the last five years? ❑ Yes ❑ No If "yes," explain on a separate signed page, including the reas on for the change_ 13. Has any CSLB license held by your firm or its Responsible Managing Employee (RUE) or Responsible Managing Officer (RMO) been suspended within the last five years? ❑ Yes ❑ No If "yes," please explain on a separate signed sheet. Disputes 14. At any, time in the last° five years has 'your firm been assessed and paid liquidated damages after of a project under a construction contract with either a public or private owner? ❑ Yes ❑ , .1Vo If yes, explain on a,separate signed page, identifying all such projects by owner, owner's address, the date of completion of the project, amount of liquidated damages assessed and all other information necessary to fully explain the assessment of liquidated damages. 15. In the last five, years has your firm, or any firm with which any of your company's owners, officers or partners was associated, been debarred, 'disqualified, removed or- otherwise prevented u from bidding on or completing, any government agency or public works project for' . y reason? NOTE:, "Associated with" refers to another construction firm .in which an owner, partner or officer' of your firm:held a similar position, and which is listed in response to question I or J d on this form. ❑ Yes ❑. ,No If "yes,'-' explain on a separate signed page. State whether the firm involved was the furn applying for pre- qualification here or another firm. Identify by name of the company, the name ofahe person within your firm who was associated with that company, the year of the event, the owner, of the project, the project and the basis for the action. • y y P 16. In the last. five ears has your firm been denied an award of a public works contract based on a findinzb' a public agency that your company was not a responsible bidder? 13 ❑ Yes ❑ No If "yes," explain on ;a separate signed ;page: Identify the year :of the event, the owner, the • project and the basis for the finding bythe public agency. NOTE: The following two question& refer- only to disputes between ;your firm and the owner of a project You need, not include information about disputes ;between your firm and a ;supplier, another contractor, or subcontractor. You ;need not !include information about llpass4hrbuehll disputes in 'which the actual, dispute :is between a sub - contractor and a project ;owner-. Also, you, may omit reference -to all disputes about- amounts of less than $50 17. In the past five years'has'any. .claim against your firm concerning your firm' work ,on a construction project been filed in court or?arbitration? Yes ❑ No If "yes," "on separate: signed sheets of 'paper identify the claim(s) by providing the ,project name, .date of, the claim, name of the. claimant, ,a brief description of the nature of the claim, the court in which the case'was filed and a brief description of1he status of the claim (pending or, i.f resolved,, a brief description of the resolution): 18. In the past five years has: your firm made ; any claim against a proj owner concerning Work on:.a project or °payment fora contract and; that claim in,court or.arbitratioO Yes � No « • If yes;" on, separate signed sheets of paper. identify the claim ,by providmg 'the project name, date of the'claim, name of`the entity (,or entities): against whom the claim was'filed a brief description of the nature, of the claim,. the court in which the) case was filed and. a brief description of the status of the claim (pending, or if resolved, a brief 'description of the- resolution). * * * * * 19. At any time during the past five.years,,,has any surety company made _any payments On your firrn''s. 'behalf as a result of a default,. to satisfy any claims made :against a performance. or 'payment bond .issued on your firm's behalf, in .connection with a con_ struction proj ect, either public or private ?' ❑ Yes ❑ No . If ` "yes, ' explain on •a separate signed_ page the amount of each such claim, the name and telephone number of the claimant, the date of the claim, the grounds for the: claim, the present .status of the claim, the date of resolution of such claim if resolved, the method by which such was resolved if' resolved, . the nature of the resolution and the amount, if any, at which the claim was resolved'. in, the last five years has.any insurance carrier, for any form of insurance, refused to renew the insurance policy,for your firm? Yes ❑ No y If" y es .e#laMr on a separate si d aQe Nam _ p gne p b _ " e the,;insurance carrier, the formpf , - insurance and the year of the refusal;. N' Criminal Matters and Related Civil Suits 21. Has your firm or any of its owners, officers or partners ever been found liable in a civil suit or found guilty in 'a criminal action for making any false claim or material misrepresentation to any public agency or entity? ❑ Yes ❑ No If "yes," explain on-'a- separate ,signed page, including identifying who was involved, the name of the public 'agency,, the date of the investigation and the grounds for the finding. g Y ' 22. Has your firm 'or any of its owners, officers or partners ever been convicted of a crime involving an federal state'"' or local law related construction? Yes ❑ No If "yes," explain on a separate signed page; 'including identifying who was involved, the name of the public agency, the date of the conviction.and the grounds for the conviction. 23. Has your firm or any of its owners, officers or partners ever been convicted of a federal or state crime of fraud, theft; or any other act of dishonesty? ❑ Yes ❑ No If "yes," identify on a separate signed page the person or, persons convicted, the "court (the county if a state court, the district or location of the federal court), the year and the criminal conduct. ' /Bonding 24. Bonding capacity: Provide documentation from your surety identifying the following: Name of bonding company /surety:. Name of surety agent, address and telephone number: 25. If•your•firm was required to pay a premium of more than one per cent for a performance and payment `bond kon any I project(s) .on which your firm worked at any time during the last three., years, state the percentage that your firm. was required to pay. You may provide an explanation'for a percentage rate higher than one 'per cent, if yoii` wish to do so. • 15 26. List all other sureties (name and full .address) that have written bonds for your firm during the last five years,, including the dates "during which each wrote the ,bonds: 27. During the last :.five years, has your firm ever been denied bond .coverage by a surety company, or has there ever been a period of time `when your firm had no surety bond yin. place during a, public construction proj Oct when one was required? ❑ Yes ❑ No If yes provide details on a separate signed sheet_ indicating the' date when your firm was deni& coverage and the name of the company or companies which denied coverage;; and the period during which you had no surety bond in,place. C. Compliance with Occupational Safety and Health Laws and with Other Labor Legislation'Safety 28. Has CAL OSHA cited and assessed, --penalties against your firm for any "serious,' "willful or repeat violations of;its safetyor health regulations it the past five years? N O T E' , , Ifyou have Board has not of a citation, and the Occupational 'Safety and Health _ yet ruled on your appeal,. you need not include_. information albout,it. ❑ Yes ❑ No If "'yes," attached a . signed page describing the citations, including information about- the dates, of the citations, the nature of the violation, the project on which the citation(s) was or were issued, the amount of penalty paid, if ,any. If the citation was appealed to the Occupational Safety and Health Appeals Board. and a decision has been issued, state the case number and. the date of the =decision. 29. Has the federal' Occupational Safety and Health Administration cited and - assessed penalties against your firm in the past five years? NOTES If you have filed an - appeal -of a citation and the Appeals. Board has not yet ruled" on your appeal, nor iif there is a court appeal pending, you need :not include information about the citation: 7 ❑ No if "yes, attach a separate signed page describing each citation. 0. Has the .EPA or any Air Quality Management District or any Red onal WAter :Quality Control Board eited;and assessed.penalties� against either your firm or the owner of a project on which your firm was the contractor, in the past five years`' M NOTE If have filed. an appeal:,of a citation and the Appeals Board, has notyet ruled on'your appeal or if there is court appeal pending; you need not include information about -`the citation. Yes ❑ No If "yes," attach a separate signed page describing each citation. 31. How often do you require documented safety meetings to be held for construction employees and field supervisors during the course of a project? 32. List p Y our firm's Experience Modification Rate (EMR) (California workers' compensation , insurance) for each of 'the past three premium years: NOTE: An Experience Modification Rate. is issued to ,your firm annually by your workers' compensation insurance carrier. Current year: Previous year: Year prior to previous year:. ® If your EMR for any of these three years is or was 1.00 or higher you may, if you wish, attach a letter of explanation. 33. Within the last five years has there ever been a period when. yo' - fm, n had employees but was without workers' compensation insurance or state- approved:self insurance? ❑ Yes ❑ No If "yes," please explain the reason for the absence of workers'' compensation insurance on a separate signed page. If "Noi" please provide a statement `by your current workers' compensation insurance carrier that verifies periods . of workers' compensation insurance coverage for the last. five,years. (If your firrn has been. in the. construction business for less than five years, provide a statement by your workers' compensation insurance carrier verifying 'continuous workers' compensation 'insurance coverage for the period that your firm "has been in the construction business.) Prevailing Wage and Apprenticeship Compliance Record 34. Has there= been more. than one occasion during the last five years in which your firm was required to pay either back wages or penalties for your own -firm's failure to comply with the state's prevailing wage laws? NOTE: This question refers only to your own firm's violation of prevailing wage laws. ® not to violations of the prevailing wage laws by a subcontractor. 17 Yes No N If "yes," attach a separate signed page or pages; describing the nature of each violation, identifying the:name of the project, the date of its ,completion, the public: agency for which it was constructed; the number of employees who- were initially underpaid and the amount of back wages and'penalties that you`were required to pay. 35. During the last five years, has there been more than one: occasion, in which your own'fitm has been penalized or requited to pay back wages for failure to comply with the federal. Davis -Bacon prevailing wage requirements? 0, Yes [] No If `-`yes," attach a separate `signed page or pages describing therzature. of the violation, identifying, the name of the project, the date of its 1completion, the public ,agency for which it'�was constructed; the, number of employees who were initially underpaid, the amount of back wages you were required to pay along with the amount of any penalty paid. 36. Provide the name, address and, telephone. number of the ,apprenticeship program (approved by the California Apprenticeship. Council) from whom you, intend. "to request the �dispatch of apprentices to your company for use on.any public work project for which you are awarded 'a contract by [Public! Entity]. 37: If your fum operates its own, State- approved apprenticeship program: (a) Identify the .craft. or crafts in which your firm provided apprenticeship training in the past year. .(b) State the year in .which each such apprenticeship program was approved, and attach: evidence of the most recent California. Apprenticeship Council approval(s) of your apprenticeship program(s). . (c) State :the'number of individuals who were employed by your fmn as apprentices at any time during the past three years in each apprenticeship -and the number of persons who, during the past three; years, completed apprenticeships in each craft while employed by your firm. • �s 38 A ov s on of California a t ceshiazlaws or re ul� been found to have violated any y. p pp p g _ tions or, the laws pertaining to use of apprentices on public works? NOTE: -You 'may omit reference to any incidentthat .occurred prior to January 1, 1998, if the violation was by a subcontractor and your firm, as general contractor on a project, had no knowledge of the subcontractor's violation at the time they occurred. ❑ Yes. ❑ No If "yes," provide the date(s) of such findings, and attach copies of the Department's final decision(s). PART M. RECENT CONSTRUCTION PROJECTS'COMPLETED 39. Contractor shall provide information about its six most 'recently completed public works projects and its three largest completed private,projects within the last three years.9 Names and references must be current and verifiable. 'Use separate sheets of paper that contain all of the following- information: Project Name: Location: Owner: Owner Contact (name and current phone number): Architect or Engineer: Architect or Engineer Coritact (name and current phone number): Construction.Mah Crer (name and current phoneenumber): • completed that are.h, you may using the same format, also provide information about other projects that yo If 'you wt, u have imilarlto the proje�t(s) for which you expect, to bid. 19 I t Descriptionecf Project Scope iof Work Performed: Total Value of Construction (including:change orders): Original Scheduled Completion Date: Time Extensions Granted•(number of days): Actual Date of Completion: I the undersigned, certify and declare that I have read all the foregoing ,answers to this We ,questionnaire and .know `their contents. The matters stated in the questionnaire answers are ttrue of,my own knowledge: and belief, except as to-those matters stated on;information and belief, and as to those matters I believe thew to `be true. .I declare under penalty of° perjury under "the laws of the State of California, that the foregoing is correct: Dated': \ (Name) •I 0 A LIST OF THE'' SCORABLE•QUE8TIONS AND THE SCORING INSTRUCTIONS • The. scorable questions arise in three different areas' . (I) History `of the business and organizational performance (II) Compliance with occupational safety and health laws workers' compensation and other labor legislation and (III) Completion of recent,projects and quality of performance The interview :questions (interviews by'the,public.agency of project managers ' on- proj ects coinpleted the contractor)`are included in group.III. In a:pre- qualification procedure for a sin 'le proj ect, 'w this last categoryould also include a scoring of the numberof recentlycompleted projects that are similar to the project on which`pre- qualification is at issue. However, scoring linked to the similarity of past projects would ,probably not;be possible or useful, if the public agency as part of a procedure to pre- qualify contractors for'an extended period. Note.: Not all questions in the questionnaire are scorable; some questions simply ask for information about the contractor firni?s structure„ officers and history. This document includes. only those questions that .are "scorable " The question numbers in, this document are the. numbers used in the questionnaire. Thus; the questions included here begin with question number 6, and there are a few breaks: in thenumerical aequence. • The Scores Needed for Prequalif ration To prequalify,, a contractor would be:required to have a passing grade within each of the three large categories referred: to above. For Section I, "History of the business and organizational performance," DIR recommends use of a passing, score; of 57 on this portion of the questionnaire (of a maximum score of 76 on this portion of the questionnaire). For.Section E. Cornpliance with occupational safety and health laws, workers' compensation and other `labor legislation DM recommends use of a passing score of 38 on this portion'of the questionnaire (of a maximum score of 53 points on this portion of the questionnaire). Section III, Completion of recent projects and quality of performance includes a series of interview questions, and may also include questions about recently.completed= (public or private) construction projects. For the interview questions, DIR recommends "that: a public agency;interview project managers for the owners of two .completed projects. DM recommends a,scoring system that would allow a meburnum score of 120 points : or each. interview. For these questions, DIR recommends qualification .,for a contractor whose score on each of two interviews is 7_ points or more; a denial of pre- qualification 'f erview wl r whose score on either interview is 'less than 55 points; and an additional . another reference if the score resulting, from: one .interview is between 55 points and 72 points. DIR makes no recommendation about how to score a contractor's answers about recently completed past projects. Because of the wide range of projects :that a public agency may planning, and the similarly wide range -in :the skills, abilities, and experience that a public agency will consider most important fora pending project, it is impossible to propose a useful model scoringsystem to apply to the, answers given about a contractor's completed,projects. Questions about History of the.Business and Organizational Performance (16 questions) 1. How many years has .your organization been in business in California as a contractor under your present business name and. license number? . years 3 years or more := 2 points . 4 years = 3 points S'years = 4 pts. 6 years or more = 5 points 2. Is your firm currently the debtor in a bankruptcy case? ❑ Yes ❑ No "NO" = 3 points" " YeS " = 0 points Y bankruptcy Y �. Was our firm in bankru tc an time durinQ'the last five years? (This question refers only to a bankruptcy action that was not described in answer to question 7, above). ❑ Yes ❑ No "No" = 3 points" - "Yes" = 0 points 4. Has any CSLB license held byyour firm or its Responsible Managing Employee ;(RME) or'Responsible. Managing Officer (RMO) been suspended within the last five years? Yes El No No = 5 points Yes = O'points 0 23 5. At any time in the last five years, has, your firm been, assessed.and paid liquidated damages after completion of a project, under a construction contract with either a public or private owner? ❑ Yes ❑, No No projects with liquidated damages of more_ than $50 000,.:or:one project�with� damages = 5ponts. Two projects with liquidated damages of more than $50, 000 = 3 points , _ Any other answer: no points 6. In the last five years has.your firm, or anyfirm with which any of your company-'s owners, officers or partner was associated, been* debar -red, disqualified, removed or otherwise prevented from bidding on, or completing, any government agency or public; works project for aiiy reason ?' NOTE':. "Associated with refers to another construction firm in which_ an. owner; partner or officer of your firm held ,a,similar position, and which'is ,listed, in- response to, question le orld on `this form., Yes: ❑ No No = 5 points . Yes = 0 points 7. In the. last five years, has your firm been denied an award of a public works.contract'based on a finding ;by a public agency that your company_ was not a.resporisible,bidder? . EJ Yes ❑ No No = 5 points , .Yes .= 0 points NOTE: The following two questions refer <only to disputes between your firm and the owner .of a.-Project You need not include information about disputes -between your firm: and a. supplier', another contractor, or subcontractor. You need not include information;.: about "pass4hrough" disputes in. which the actual dispute is between a subcontractor and a project owner. Also, you may omit reference to all disputes about amounts of less than $50,000. • .24 8. In the ast five yqgs, has y any claim your a ainst firm concemina b our firm's work on a construction prod ect been file d in court or arbitration ❑ Yes ❑ - No If the firm's average,,gross revenue for the last !three was less than $50 million, scoring is as follows 5 points for either "No" or "Yes" indicating 1 such instance. 3 points for "Yes" indicating 2 such instances. 0 points for "Yes" if more than 2 such instances. If your firm's averagegross revenue for the last three years was more than $50 million, scoring is as follows: 5 points for either "No" or "Yes" indicating 1, 2, or,3 such instances. 3 points for "Yes" indicating either 4 or 5 such. instances. 0 points for "Yes" if more than 5 such instance's: 9. In the past five years, has your •firm made any claim against a prof ect owner concerning work on a project or , payment for a contract, and filed that claim in court or arbitration ® ❑ Yes ❑ No If your firm's average gross revenues for the last three. years was -less than $50 million scoring is ds follows , 5 points for either "No:" or "Yes" indicating 1 such instance. 3 points for "Yes" indicating 2 such instances. 0 points for "Yes" if more than 2 such instances. If your firm's average gross revenues for the last three years was more than $50 million, scoring is as follows: 5 points for either "No" or "Yes" indicating 1, 2, or 3 such instances. 3 points for "Yes" indicatinkeither.4 or 5 suekinstances. 0 points for "Yes" if more than 5 such instances. • 2-5 10. At any time during the past five years, has any surety company made: any payments on • your firm's behalf as a result of A default, to satisfy any claims made against a performance or payment bond issued on your firm's behalfin connection with a construction project, either public or private? ❑ Yes 0 .No 5.points for either "No" or "Yes" indicating I such claim. 3 points for "Yes " -indicating n&more'than 2 such claims Subtract five points for "Yes" if more.than 2 such. claims 11.. hi the last five years, has: any insurance carrier, for any form of insurance; refused :to renew the insurance policy for your firm? Yes ❑ No 5 points for either "No" or .. "Yes" indicating ; l such instance. , Ipointsfor "Yes" indicating 2; such instances. 0 points for "Yes" or if more than, 2 such instances. 12. Has your firm, or any of its owners,, officers, or partners :ever been found liable in a civil suit, 'or kiind, guilty in a, criminal action, for making any false claim for material ' srepresentation to any public agency or entity? Yes ❑ No • No 5 points Yes subtract 5 points 13. Has your firm, or any -of its owners, officers ,or partners ever been convicted of a,crirrie ❑ involving any- federal, state , or local law related to construction? Yes ❑ No` = 5 points Yes subtract 5 points 1.4. Has, your firm or any'of its owners, officers or partners ever been. convicted of a federal or state e c f rime of. a d, theft, or�any other act of dishonesty? No = 'S points Yes'= subtract S points° • 26 16. 16. • 1. If your °firm was required fo pay a premium. of more than rone per cent for a performance and a ent bond on an. ro'ect s on your firm worked at any during the g P ym y l? J ) last three years;, state the percentage that your film was required to pay. You may provide, an explanaiion,fot a percentage rate higher than one per cent; if you wish to do SO. S points if the rate is no more.than one per cent 3 points if the rate was no higher than 1.10 per cent 0 points for any other answer. During the last five years, has your firm ever been denied bond credit by a surety company, or has there ever been a period of time when your firm had no surety bond in place during a public construction, project when one was required? ❑ Yes ❑ No No = S points Yes = 0 points - Has CAL OSHA cited and assessed;penaltes against°your firm for any "serious," "willful' or "repeat" violations of its safety or health regulations in the past; five years? Note: If you have filed an appeal of a citation and the Occupational Safety and Health Appeals Board has not ruled on your appeal, you need not include information about it ❑ Yes ❑ No If the frm''s average gross revenues for the last three years was °less than $50 . million, scoring is as follows: S points for either "No" or " Yes" indicating 1 such instance. 3-points.for "Yes" instances. O'points for 'T&" if more than ,2 such instances. If the firm's'average gross revenues for the last three years was more than $50 million, scoring is as follows: J points for either "No" or "Yes" indicating 1, ;, or 3' such instances. ® 3 points for "Yes" indicating either 4 or 5 such instances. 0 points for "Yes" if more than 5 such instances. 2; 2. Has the federal Occupational ,Safety and HealthAdministration cited and assessed • penalties against your firm in the past (five years? Note: ,If you have Med appear of a eitation and the appropriate appeals' Board has not yet ruled on,your appeal, you need not include information about, it. F] Yes ❑ No If yes, attach a separate signed page describing each citation. If the frm.'s averagegross revenues for the last`three years was less than $50 million, scoring is as follows: 5 points for either "No" or "Yes" indicating .I such instance. 3 points, for "Yes" indicating 2 such 'instances. 0 points for "Yes" or if more than 2 such instances. If the firm's, average gross revenues for`the last,three years was more`than '$50 .million, scoring as follows S points for either "No" or "Yes `indicating 1, 2, or 3 such instances. 3.poinfsfor "Yes" indicating either 4 or S such instances. 0 points for "Yes" if more than 5 such instances. 3. Has the EPA or any Air Quality.lVlanagement,Distrct or. any Regional Water Quality Control Board cited and assessed penalties, against either your firm or-the owner of a project;on which your firm:was the contractor; in the past'five years? NOSE; If vou. have filed an appeal of a 6tation..and the Appeals Board has not "yet ruled on your appeal, or if there a court appeal pending, you need not.include information about,`the eitation. ❑ Yes ❑. No. If the firm's .averoge-gross revenues for the last three years was less than $50 'million, . scoring is as follows 5 points for either "No or . "Yes" indicating 1 "'such instance. 3 points for "Yes" indicating 2 such .instances. O points for "Yes" orif more than 2 such instances. If the f rm's average gross revenues for the last three years was more than $5:0 million,. scoring is' follows: 5 P oints for- either "No " a 'or "Yes" indicating 1 or 3 such instances.. �� 3 points for "Yes "indicating either 4 or 5.such instances. 0 points for "Yes" i, f'more than 5 such instances. • ?8 a 4. How -often do you require documented. safety meetin to beheld for construction employeesi and field supervisors during the course of a project? 3 points for an answer of once each week or more often. 0 points for any other answer 5. List your firm's Experience.Modification Rate (EMR) (California workers' compensation insurance) for each of th6 past three premium years: NOTE: An Experience Modification Rate" is issued to your firm annually by your workers' compensation insurance carrier. Current year: Previous year: Year prior to- previous .year: If your EMR for any of these three years is or was 1.00 or . you may, ifyou wish, attach a letter of'e: planation. NOTE: An Experience Modification. hate is issued to your firm annually by your workers' compensation insurance carrier. ® 3 oints or three- ear avera a EMR o . 95° or less p f y _ g. f 3 points for three year , average of EMR of more than .95 but no more than 1.00 0 points for any other ENIR 6. Within the last five years, has! there ever been a penod`when - yobd firin had employees but was without workers' compensation insurance or state- approved self - insurance? ❑ Yes ❑ No S points for either "No" or "Yes" indicating 1 such -instance. 0 points for any other answer. • '19 7. Has there- been more than one, occasion during Ithe.last five years on which your firm was required to pay either - back wages or penalties for your'own firm's failure to comply with the state's'prevailing wage laws?. ❑ Y s, ❑ . No NOTE This- question refers only to your own firm's =violation of.prevailing wage laws, not to violations of `the prevailing`wage laws by a subcontractor. If your firm's average gross revenues for the last, three years was less than $50 million, scoring is as follows: Spointsfor. either "No, or "Yes" indicatinge'ither'l or - 2 such instance. 3 points for "Yes ",indicating 3 such instances. 0 points for "Yes" and more than 3 such instances. If your firm's�average gross revenues for the last three years was more than. $50 million, scoring is as follows: 5 points for either `No" or "Yes" indicating no more 'than 4 such instances. . 3 points for "Yes" indicating either S or 6-such instances. 0 points for "Yes" and more than , 6 such instances. 8. D uring, the last,:five years, has there than one occasion on which your own firm has been penalized or required to pay back wages far ,failure to comply with the federal. Davis -Bacon prevailing wage requirements? ❑ Yes ❑ 'No If your firm's average gross revenues, for the'last three years was less; than $50 million, scoring,is as'follows: 5 poiintsfor'either. "No," or "Yes" indicating either 1 or 2 such instance. 3 points for "Yes" indicating 3 such instances. O points for "Yes" and more,than such . instances. If your firm's average gross revenues for the last three years was more than $50 million scoring i s as as S points for either "No" or "Yes" indicating no more than 4 such, instances. 3 points for "Yes "`indicating either 5 or 6 such instances.. 0 points for "Yes" and,more than 6 such instances. i s • • 30 9. Provide the.hame,, address =and :telephon'e number. of the apprenticeship program sponsor(s)" (ap'proved by the' California Division of Apprenticeship Standards) that will provide' apprentices to your company for use on any public work project for which you are awarded a contract by [Public Entity]. cf` S points if at least one approved apprenticeship program is listed. 0 points for any other answer. 10. If your firm operates its own State - approved apprenticeship program: (a) Identify the craft or crafts in which your firm provided apprenticeship training in the past year. (b) State the year in which each such apprenticeship program was approved, and attach evidence of the, most-,recent California Apprenticeship Council approval(s) of your apprenticeship program(s). (c) State the number of individuals who were employed by your firm as apprentices at any time during the past three years `in each apprenticeship and the number of persons who,' during the past three years, completed appreniieeships in each craft while employed by your firm. 5 points if one or more persons completed an approved apprenticeship while employed by your firm.. 0 points if no persons completed an approved apprenticeship while employer by your firm. • 31 11. At any time during the last five years, has your firm been found to :have violated any provision of 'California apprenticeship laws, or regulations, or the laws, pertaining to use of apprentices on ,public works? NOTE'; You may omit reference to,-any incident that occurred prior A& January 1; 1998 if the violation was by �a subcontractor and.,your firm, as general contractor on a project, had no knowledge of the subcontractor's violation at` 'the time 'th occurred. ❑ Yes 0 No. If yes, provide the date(s)of such findings, and attach copies of the Department's : final decision(s). If your frm's average gross revenues for ih'e.last three years was'less than, $SO' :million, scoring is as. follows: 5 points for either "No, "or "Yes" indicating either I or 2 such instance: 3 points for "Yes" indicating 3 such instances. 0 points for "Yes" and more than:3 such instances. If your firm's average gross revenues for`the'last three'years was, more than $50 million, scoring is as follows: 5 points for. either "No" or "'Yes" indicating no more than.4 such instances. 3 points for "Yes " indicating, either 5 or 6 such.instances. 0 points for- "Yes'" and more than. 6 such instances. • • • 32 �•F Questions concerning recent construction projects completed: (one question, plus 11 interview�questions) The following question to be scored only where a public agency is undertaking a pre- qualification °procedure valid fora single project only. 1. Contractor shall provide'. information about its six most recently completed public works projects and its three largest completed private ,projects within the last three years. Names and references must be current and verifiable. Use separate sheets of paper that contain all of the following information: Project Name: Location: Owner: Owner Contact (name and current phone,number): Architect or Engineer: Architect or Engineer Contact (name,, and current phone number): Construction Manager (name;and current phone number): Description of Project; Scope of Work Performed: Total. Value of Construciion,(including change orders)! Original Scheduled Completion Date: Time Extensions Granted (number of days): Ac tual Date; of Completion: 10 "If you wish,, you may, using the. same format, also provide information about other projects that you have completed that are similar to Lhe project(s) for which you expect to bid. „I a Scoring of previous projects `completed: • For pre - qualification for a single project that may require specific :skills and capabilities, public agencies may choose'�to score contractors for the number of similar projects completed and the:degree of sixxularity between past projects and the planned project. DIR,has not suggested any.scoring.for this aspect of the pre - qualification °;process; because of the numerous possible variations in both the type of project to': be:built and the points of similarity between the pending project and past projects thatmay be significant tor.the ,public agency. r1 34 . • MODEL INTERVIEW QUESTIONS' • The following questions will. be used to =interview - randomly selected contacts from at' least two completed projects. [Public EntityJ will conduct the interviews. No action on the contractor's part is necessary. These questions are included on the package given to the 'contractor for information. only. The highest possible score is 120 Points: A score less than 55 points disqualifies a contractor from bidding (in project&that are proposed by [ PuNic Entity]. A score of between 56 and 72 indicates the Public Entity.should conduct an,interview of another contact, that is a;manager,of anotherr completed project. A score of 72 or higher on each of two .interviews is sufficient for pre - qualification. First, please give a brief description of the proj ect. Are 'there- any outstanding stop,;notices liens, or claims by the contractor that are currently unresolved on contracts for which notices of.completion were recorded more than 121 days ago? (1 pointfor each is deducted from overall score; maximum I amount to be deducted. is 5 points) 2. On a `scale of 1 -10, with 10 being the best, did the contractor provide adequate ,personnel? (Max. 10 points) • 3. On a scale of 1 -1.0, with 10 being the. best, did the contractor provide adequate supervision? Max., 10 points) - 4. On a scale of 1 -1.0; with 10 being the best, was there adequate equipment provided on the job? : ( Max. 10 points) 5. On ,a scale of 1-10, with 10 being the best, was the contractor - timely in providing reports and other paperwork, including change order paperwork and scheduling updates? (Max. 10 points) 6. On a scale of 1 -10, with 10 being the best; did the contractor adhere to the project schedule that your [agency] [business] approved ? (1VIax. 10 points) 7. Was the project completed on time? (l0 points if the answer is "Yes "). Or, if the answer is, "no," on a scale of 1 -10. with 10 being the best. to what extent was the, contractor responsible forthe: delay in completion? S. On a.scale of 1-10, with 1,0 being the best rate the" contractor on the tirnely'submission of reasonable cost and time estimates to perform change orderwork. (IMax °10 points) 3 0' I 9 Qn,,aI mele.of 1 -10, with 10'beingthe best, rate the contractor pnhow well the contractor performed the work after a change order was issued, and how well the contractor r integrated tli'e change>order work into the existing work. (Max. 10 points). 10. On a scale of 1-10, with l'0'being the best, .rate how has the contractor been performing in the area of turning in.Operation & Maintenance manuals compleiing,as- built'drawings, providing required tra p b q g and taking care of warranty items. (Max. 10 points) 11. On a scale of 1 -10,' with 10 being the best, rate the contractor on whether there were an unusually high number of claims, given the nature of the project, or unusual difficulty in resolving them. (Max;.. ,l'0 points) 12. On a scale of 1 -10, with 10 being the :highest, rate the contractor with respect to timely payments by the contractor to either subcontractors :or suppliers. (If the person being interviewed knows of no such difficulties; the score. on this .question should be. "10.'� 13. On a scale of 1 -10, with .10 being the best, how would you rate the quality of the work overall? (Max. 10 points) u 0 ^ ° ` . ` 0 3D INSTRUCTIONS FOR PUBLIC AGENCIES Re: Interview Questions The following, is meant to , assist the public agency to conduct the interviews of the managers of projects previously completed. (that is, the people who -,supervised the projects for the project owners by the contractor wishing to pre- qualify. The interview questions allow qualitative review of work performance for contractors who choose to bid and pre= qualify for public works contracts. The interview ; questions will be used to examine randomly selected contacts from at least two completed past projects. In each question, the person being interviewed is asked to rate a certain aspect of contractor's performance, using a scale of 1. to 1,0,., . The "highest -possible score is 120 points. A score of less than 55. points disqualifies the contractor from bidding on projects that are proposed by the public agency. A score of 72 points or more on each interview is sufficient for a contractor to qualify on this portion of the 'pre qualification. process. If the scores resulting from an interview are between 55 and 72, the public agency should conduct another interview to collect additional information. It is possible that the score given to any interview answer may be challenged in an appeal. For that reason, be sure to: (a) ask the person being interviewed for specific information or details, to explain or substantiate the numerical answer given; and (b) take written notes of the information provided. 9 Selection of the Interviewer:. (a) The .public agency should. select an individual who is at least moderately well informed about public works construction. (b) The individual should be unbiased during the .interview; this is to ensure accurate implementation of the ( interview questions. (c) The individual should not ' use examples or deviate from the questions unless the project manager is unclear and,prompts further explanation. The interviewer should offer additional explanation of the questions only if he /she is sure of the intent of the question in the interview. Locating the respondent to interview: (a) The interviewer should attempt to contact a 'project manager of a past• project for the interview. The interviewer, should be aware that for one interview to be completed, there may be a need to interview multiple individuals. That. is, the interviewer may have to contact multiple;, individuals, such as the project manager concerning. the building process, and a financial manager for warranty items, assessed liens, and the: like. (b) ace reached, the 'interviewer should review the information contained in the questionnaire of the past project with the project manager. That is, review who is being interviewed and why (purposes of pre- qualifying for public works), the past project type, completion date, and other pertinent ,information to ensure that the project manager is sure of the project ® he /she is asked to review. IM Interview Length: (a) The interview should take 5 -.12 minutes,`under normal circumstances. (b) The interviewer, -when contacting the project manager, should convey-the expected time which it takes to conduct the interview. This is to ensure the individual "is not discouraged from taking partin the interview Conductingthe interviews: (a) Thednterview should examine at least two separate past projects listed in the questionnaire. (b) After the interview is scored, the interviewer should compare the interview "score with the° same ;contractor',s score on the' written questionnaire. If the ratings (overall scores) are far apart, the interviewer should conduct at least one /two=more intemews`to determine how past perfotinance should be weighted. . (c) While conducting the interview, the interviewer should be consistent' with, the way the questions. are presented. That is, if the interviewer- changes the way, questions are presented during the review, it could potentially change the way the respondent answers the questions and jeopardize the overall scoring. IE C7 0 n° -: I REQUEST FOR PRE- QUAILIFICATION OF BIDDERS COMIVYENCING • WITH FORTHCOMING PUBLIC WORD BID [Pre - qualification procedure begun at the same titre as ,RFP] Notice is ,hereby given that [Public Entity] has determined that all bidders on [Name of specific project] to be undertaken by the [Public Entity] must be ,pre - qualified prior to submitting a bid on that ' roject. It- is mandatory that, all Contractors who intend to submit a.bid, fully complete the!pre- qualification questionnaire, provide all materials requested herein,;, and be approved,. by [Public Entity] to . be`,on the final'.qualified "Bidders list;, No bid' will be accepted' fromna ,Coniractor'that has failed to comply with these requirements.' If two or more business entities submit a bid as part of a Joint Venture, or expect to submit a bid as part of a hint Venture, each entity within the Joint Venturemust;be separately qualified to. bid. The last date to submit a fully completed questionnaire is mm /d .,. f35 days prior to the bid closing'date]. 'Contractors are encouraged to, submit pre qualification packages , as soon as, possible, so that they may be, notified of omissions of information to be remedied or of their pre - qualification status well in advance of thei bid advertisement for this project. Answers to questions contained in the attached. questionnaire, information about current; - bonding capacity, notarized statement: from •surety, and the most recent reviewed or audited financial statements, with accompanying notes and supplemental information, are required, [Public Entity] will use these documents as; , the , basis of rating Contractors in respect to the size and scope of contracts upon which each Contractor is qualified to bid. Public EntY reserves then other sources available. [Public Ent ty.'s] decision will be based on obj ective evaluation criteria. rit t check , • [Public Entity] reserves the right to adjust,. increase, limit, suspend .or rescind the pre - qualification rating based on subsequently learned information. Contractors whose ;rating ,changes sufficient to disqualify them will be" notified, ;and given an, opportunity for a hearing consistent with the shearing procedures adescribed.below for appealing a pre- qualification rating. While it is the intent, of the pre- qualification questionnaire and documents required therewith to assist [Public Entity] in det erminin g bidder responsibility prior to bid and toi aid [Public Entity] in selecting the lowest responsible bidder, neither the fact of pre qualification, nor any pre- qualification, rating, will preclude -[Public Entity] from apost -bid consideration, and determination of whether a bidder has the quality, fitness; capacity ;and experience to satisfactorily perform the proposed work, and.has demonstrated the requisite trustworthiness. The pre - qualification packages should be submitted under seal and marked "CONFIDENTIAL" to [address]. -The. pre - qualification g (q onnaire answers and financ statements) nanci` submitted by packs es uesti Contractors are norpubli'c and are not open.to public inspection. All information provided will be, kept confidential to - the extent permitted by law. However; the contents may ;be: disclosed to third, parties, for purpose of verification, or investigation of substantial allegations, or in the appeal -nearing. State law requires 'that the names. of contractors applying for pre- qualification, status shall be public records subject to disclosure,. and the first page of 'the questionnaire will be used for that purpose. 42 Each questionnaire' must 'be signed under penalty of perjury in the manner designated at the end of the, form, by an individual. who has the�legal authority to bind-the Contractor on whose behalf that person is- signing. If any information provided by a Contractor becomes inaccurate, the Contractor must immediately notify [Public Entity] and provide updated accurate information in writing, under penalty of Petury- [Public Entity] reserves the right to waive minor irregularities and omissions in the information contained in the pre - qualification application submitted, -to make all final determinations, and to determine at any time that the pre- qualification procedures will not be applied to a specific future public works project. Contractors may submit pre- qualification. packages .during regular working hours on any day that the offices of Public Entity are open. Contractors who submit a complete pre- qualification package will be notified of their qualification status no' later than" 'ten business days after submission of the information. [Public Entity] may refuse to grant pre- qualification where the requested information and materials are not provided, or not provided by, rrui/dd/yy [date specked in first paragraph — 35 days before bid closing] There is no appeal from .a refusal for an incomplete or late application, but re- application for a later pr J ect,.:is permitted. The closing time for bids will not be changed in order to accommodate supplementation of incomplete submissions, or late submissions. Where a timely and completed application results in a.rating below that necessary to pre- qualify, an appeal can be made. An appeal is begun by the Contractor delivering notice to [Public Entity] of its appeal of the decision with respect to ,its pre - qualification rating, no later than ten business days prior to the closing time for the receipt iof bids for this public works pro[ ect. Without a timely appeal, the Contractor waives any and all rights to chalienge.the decision of [Public Entity], whether by administrative process, judicial process or any other legal process or proceeding. If the Contractor gives the required notice of appeal and requests a hearing, the hearing shall be conducted so that it is concluded aater,than five business days after Public Entity's receipt of the notice of appeal, and, no later than five business days prior to the last date for the receipt of bids on the project. The hearing shall bean informal process conducted by'a panel' to whom the [governing body of Public Entity] has delegated responsibility to,, hear such appeals (the "Appeals Panel "). At or prior° to the hearing, the Contractor will be advised of the basis for [Public Entity's] pre - qualification determination. The Contractor will be ,given the opportunity to present information and present reasons' in opposition to the rating. Within one day after the conclusion of the hearing, the Appeals Panel W ll'render its decision. It is the `intention of [Public Entity] that the date for the submission and opening of'bids will not be delayed or postponed to allow for completion of an appeal process. ; Note: A, contractor may be found not pre - qualified for bidding on a specific public works contract to be let by Public Entity, or on. all contracts to be let by Public Entity until 1 the. coniractor.meets Public Entity' requirements. in addition, a contractor may ® be found not pre - qualified for either: (1) emission of requested information or 43 (2) Falsification of information NOTICE: To contractors who are using subcontractors. for this job, please be advised that Public Entity may-require, as to subcontractors, one of the following: -The qualification -of subcontractors' in , the following crafts or: trades,, following acceptance of your bid, but-before :the award,is made:. Pre -qualification of all subcontractors. ❑ Pre - qualification of subcontractors in certain, craf s .. ; ❑ Post -bid qualification review. 44 , ANNOUNCEMENT OF PRE- QUALIFICATION PROCECURES AND OPEN DATES FOR.ANNUAL PRE - QUALIFICATION Notice is hereby given that on - , 2000, the [Public - ntity] 'detemuned that all bidders on public works to be undertaken by the' [Public Entity] must be pre - qualified prior to submittinb bids for' public works'. It is mandatory -that all Licensed Contractors' who intend to submit bidsl fully complete the pre - qualification questionnaire, provide all materials requested . herein, arid. be approved by [Public Entity] to be; on the final - Bidders list. No bid will bel accepted, from a Contractor that has failed to comply with these requirements. If two ,or more business entities submit a bid on .a_ project as a Joint Venture, or expect to submit a bid as ,part of a .Joint Venture, each entity within .the JointVenture must•be separately qualified to bid. Pre- qualification applications. may be submitted ;four times each year: (1) from January -I through January 10 (2) from . April 1 through .April 10; (3) from. July 1 1 : ' ;. through July ` 10; and (4) from October 1 through October .10. Contractors' who submit a "complete pre - qualification package`w 11 be, notified by first class mail of their qualification status, such notice to be mailed:no later fifteen' business, days .after, submission of the information. Answers to tquestions contained in the attached questionnaire,- information about current 'bonding cap acity'on an aggregate :and per project limit; notarized statement from surety,.'and the -most recent reviewed or audited financial statements,, with accompanying notes and supplemental information; are required., [Public Entity]` will use these documents as, the'basis of rating Contractors in.respect to the size and scope of contracts upon which each Contractor is qualified to bid. [Public. Entity] reserves :the right to check other sources available. [Public Entity's] decision will be based on objective. evaluation criteria Pre-qualification approval will remain valid for one (1) calendar year from the date of notice of qualification, except that [Public Entity] reserves the right during that ,calendar year to adjust, increase, limit, ; suspend or rescind the pre - qualification ratings based on subsequently learned information and. after ,giving notice of the proposed action to the Contractor and an opportunity for a. hearing consistent with the hearing procedures described below for appealing a pre - qualification determination. While it is the intent of the pre- qualification •questionnaire and documents required therewith to. assist [Public Entity]: • in determining bidder responsibility prior to the submission of bids and to aid [Public Entity.] in selecting the lowest responsible bidder; neither the, fact of pre= qualificati on, :nor any pre: qualification rating; will preclude [Public Entity] from a post -bid. consideration and determination on a specific project of whether a bidder has the quality, fitness, capacity and experience, to .satisfactorily perform the proposed work, and has demonstrated the requisite trustworthiness. 2Qontrktors are encouraged to submit pre - qualification packages as soon as possible, so that they may be notified of pre - qualification status well in advance of upcoming projects. ` The pre - qualification packages should be submitted under seal and marked "`CONFEDEN'TIAL" to [address]: S `?V Contractors are noton b - packages (questionnaire answers and financial statements) submitted by p_ l lic records and are not open to, public inspection. All information provided will be kept confidential to the extent permitted by law, although the contents may be : disclosed to third parties for "'the .purpose of "verification investigation of 'substaintial allegations, and in the process of an appeal hearing. State law requires that the names of contractors applying for pre - qualification status shall be 'public records subject to disclosure, and the first page of the questionnaire will be used for that purpose. Each questionnaire must be signed under penalty of perjury in the manner designated at the end of the form, by an individual who has the legal authority to bind the Contractor on whose behalf that person is signing. If any information. provided by a Contractor becomes inaccurate, the Contractor must immediately notify [Public Entity] and provide updated accurate information in writing, under penalty of perjury. [Public Entity] reserves the right to waive minor irregularities and omissions in the information contained in the pre - qualification application submitted, to make all' final determinations, and to determine at any time that the pre- qualification procedures will not be applied to a future public works project. A contractor who has submitted a completed application form,' and who receives a rating of "not qualified" from [Public Entity] may appeal that determination.. There is no appeal from a finding that a contractor is not pre - qualified because of a failure to submit required :information, but re- application during one of the designated time periods is permitted. A contractor may appeal [Public Entity's) decision with respect to 'its request for pre - qualification, and request a hearing, by giving notice to [Public Entity] no later than ten business days after receipt of notice of its qualification status. Unless -a Contractor files a timely appeal, the Contractor waives any and all rights to challenge the qualification decision of [Public Entity], whether by administrative process, judicial process or any other legal process or proceeding. If the Contractor gives the required notice of appeal and requests a hearing, the hearing shall be conducted so that it is concluded no later than ten_business days after Public Entity's receipt of its Notice of Appeal. The hearing ,so ,provided shall be informal process conducted by a panel to whom the [governing body.,of Public Entity] has delegated responsibility to hear such appeals (the "Appeals. P.anel'�. At or prior to the hearing, the'Contractor will be advised of the basis for [Public Entity's] prie-qualification li determination. The Contractor -will, ber given the opportunity to present information and present resons in opposition to the pre- qualification .determination. At the conclusion,6f the will render is de s ri or no later than one da after completion of the g the Appeals Panel g' y P . The date for submission and opening of bids for a specific profeci will not be delayed or postponed °to_allow for completion of an appeal process: Note: A coiiifacto= - ay be :found not pre - qualified for bidding on a specific public works contract to be let by Public Agency, or on all contracts to be let by Public Agency until the contractor meets Public Agene .`s• requirements. In addition, a contractor may:be'found not pre - qualified for either: • (l) Omission of requested information or (2) Falsification of information J7 NOTICE!:, To , contractors who are :using subcontractors, for this job please be advised ;that Public: Entity may, require, asAo subcontractors,, one of the following; ❑ The qualification of subcontractors in the following crafts !or trades, following acceptance of your bid, but before the award is made: ❑ Pre - qualification of all subcontractors. Pre - qualification of subcontractors in- certain crafts. ❑ ;Post -bid qualification review. . =�s • • 49 SOURCES FOR VERIFICATION OF INFORMATION., • GIVEN BY CONTRACTORS A CAUTIONARY NOTE: The information that will be given to public agencies by contractors seeking pre - qualification is provided under oath, with the understanding that the intentional providing of false information is, in itself, grounds for disqualification. We expect that the information given should be and will be accepted :at face value.. The following information is provided for use in the few instances in which a public agency reviewing.the answers given in a questionnaire has specific reason to'believethat one or more answers should be verified by reference to publicly available information. Information about a contractor.'s'license(s) (Questionnaire Part. I, question 6, and Part II, questions 6 and 9 613) Names and addresses of licensed contractors; information about - the -type of Ecense(s) issued and the dates when licenses were issued (and certain other information), are available from the Contractors' State Licensing Board (CSLB), 9821 Business Park Drive, Sacramento, CA 95827. Telephone number 800 -321- 2752,. The CSLB web site for public information is: www.CSLB.ca.gov. Information about workers' compensation insurance (Part I, question 3 and Part: II, questions 32 -33) Every workers'- compensation insurance carrier issues to each of its insured businesses a• Certificate of Insurance. The :contractor should be willing to provi& a copy upon request. Each contractor's Experience. Modification Rate for. the year should bet stated in a letter to the contractor from the contractor's workers" compensation insurance carrier. Some large companies are legally self- insured for workers' compensation, with the consent and authorization of the Department of Industrial Relations. The names of companies that are legally self-insured are available from. the Department's Office of Self Insurance. Plans, Workers' Compensation, 2265 Watt Avenue, Suite 1, Sacramento, CA 95.825; (91.6) 483- 3392. The names of each ,business's current and recent workers' compensation insurance carriers are available 'from the .Workers' Compensation Insurance Reporting'Bureau (WCIRB), 575 Market Street, San Francisco, telephone (415) 777 - 0,777. WCIRB is not a public agency but it provides .information to the public. It will provide the names-of the current and recent workers' compensation insurance carriers of every employer in California, in response to a writ_ ten request, for a fee of $8 for every year for which you seek information. 30 Information about'whether surety insurance carriers •' are "admitted "to do business4h California (Part I, question 5) The California Department of Insurance will verify whether an insurance carrier is. "admitted" to issue insurance policies within the State. The Department has a "Hot- Line" number — 800 - 927 - 4357, and a web -site from which the information is available: www. insurance. ca gov Inf Information on the identities of contractors that have been disqualified from bidding on public works contracts is available from the .California Labor Commissioner, Division of Labor Standards Enforcement, 455 Golden Gate 'Avenue; Sail Francisco, telephone (415) 703 -4810. Information available from the Secretary of State about.corporations (Part 11, questions la= d,°2 ="4) The California Secretary.of State has certain current and historical information about all corporations that operate ' California: dates of incorporation, articles of incorporation, the name of the original incorporators, the names of the corporate officers (who are not necessarily the corporate, stockholders) and an agent for service *of process for the corporation. This information is available from the Secretary of State upon written request. (Secretary of State, Business Programs Division, 1500 Eleventh Street, Sacramento, CA 95814. Telephone (916) .653 -2121 or 653 - 1239). The Secretary of State does not ordinarily have a. listing of the ^'names of initial stockholders or current stockholders, and that information is generally not available in any public record. Information Available from County Clerks about p e artnerships and -sole propr rs tohips (P , q -1 d;2=4) art "I questions la Every business, including.,a partnership,. that operates under a "fictitious name" (for exam p le, "A'a.Y! Sheet Metal Contractors or "Smith Brothers Electrical Contractors' is required to file with the County Clerk in the county in which its home office is located a ` `Fictitious Business Name statement. This statement will indicate the owner of the business "'if the"business is a sole proprietorship; and the names of partners, if the business is a artnership. The uif p ormation is available to the public - the County Clerk upon request: A written,request maybe necessary. C J 51 Information about bankruptcy,proceedings (Part II; questions 7 and 8) 0 Bankruptcy petitions, which include the- names of the person or business, that is seeking protection from_ the Court, are available for public inspection af'the office of the Clerk of each,Bankruptcy Court (which are federal courts). 'In California; Ban k rupipy Courts are located in Sacramento, Modesto, Fresno, San Francisco; ,Oakland, San Jose; Los Angeles, Santa Ana, Riverside, and San Diego. Most documents filed in court in bankruptcy proceedings are available. for public inspection, at the Bankruptcy Court clerk's office. Some information .on bankruptcy filings may also be available- from commercial enterprises that collect and sell information from public records) In addition some information about badIcruptcy cases filed August 1990 and dater is available on -line through the. "PACER" (Public .Access to Court Electronic 'Records) system. To 'obtain information. from PACER, ;you must register with the system and pay a fee for _the materials obtained., Call 1- 800 -676- 6856` or you may register online at http! / /pacer:psc.uscourts. gov /. Information;about civil suits and arbitration cases (Part questions 14,17 and 1$) Each court keeps records of. every civil- suft.filed in that court, .aiid ,of the judgments that are issued after trials. However, the exact terms of pre =trial. settlements are generally ,not recorded in court,files. Documents related-to disputes submitted to arbitration'are generally • not available for public inspection. Public agencies, however, are required to disclose the terms of such, settlements, when documents are requested under the California Public Records Act. Information_ about criminal.conyictions (Part I, question 9,, and Part II, questions 21, 22,. and ..23) Criminal convictions are a matter of public record., Each courthouse (in both the federal and state court systems) -has 'an index '.of its own criminal records. In ;addition, a few data . collection businesses: have collected criminal conviction° inforrriatori from public records, throughout the state, and the collected information,about particular individuals or businesses is available fovsale from thesepriyate businesses. Information about FederaI_muit,ciyiland criminal °cases (Part.I, question 9), 'Information about federal criminal cases (filed August 1991 and later) and civil. cases (filed August 1990 and later) is available on -line `through the "PACER" ' (Public Access to .Court Electronic Records)' system. To. , obtain information from PACER, you must register with the system and pay fee for the materials obtained. Call, 1- 800 676- 68 ofyou may register online at http : / /pacer. psc.uscourts.gov /. •\ Information about citations issued, for violation of industrial, safety and.heaith laws Part'Il uestions 28 an , Information about citations 'issued by both the federal Occupational Safety and Health Administration and the California Division of Occupational.Safety, and Health (Cal OSHA) are available on a web -site' maintained by federal OSHA, http: / /www.osha.gov At that web site, click on "Library." On, the Library page, click on "Statistics and Inspection Data." Next, click on "Establishment Search." When the fie xt s appears, enter the name of the contractor about whom.you seek information. in the' "Establishment" window. In the "Process" window, enter, the number, 999999. Click on California in the "State" window. In the "Inspection Date" window, enter "1990." Then click the submit button. Information about prevailing w:au lave. violations (Part II, question 34) Information about recent prevailing wage law violations is available from the Division of Labor Standards Enforcement, at, 2424 Arden Way, Suite 360, Sacramento, CA 95825. A model letter, asking for such information is enclosed. Citations from.either Air. Quafity or Water Quality Board for violations of regulations • (Part H, question 30) Information abourcitations issued by the California Air Resources Board is available from that agency under the Public Records Act: Their address is 2020 L Street_, Sacramento, CA 9581 ,or Post Office Box 281 -5; Sacramento, 95812. In addition, Regional Air Quality Management Districts and Regional Water Quality Control Boards throughout the statemay 'issue citations for violation of air quality or water quality standards. Consult the appropriate board in your area for'information about how to gather appropriate information. Information. about state - approved, apprenticeship plans and V.iolat ons of state apprenticesh'!p'Iaws (Part II, questions 36-38) Information about violations of state apprenticeship laws can be obtained from the Division.of Apprenticeship Standards, 455 Golden Gate Avenue, 8 Floor, Post Office Box 420603,'S Francisco, CA 94142. ®. 53 ti • Attachment B IBEW Prequalificati ®n Package • It 0 • INTRODUCTION .--..-_.--.---``_--.--._---.-^----.'�--.-_-=.'-.—.-.'------..� T' REQUEST FOR OF BIDDERS _--_`,__-_--_-_'`=',,.__.---_.---} 2. DaFimi zuNS AND ...................... -mw .......... = .................................. ............................ � 3 . ........ .............. ................. ......... .------.................................... 3 4` A " . 7. BoNDABu=. � 8. PREQ - CAT io N lo km uLA ----'------_---............... 10. NoT-MqAiTON-OF'PRE-!�QUALIE�CAT.10N.PESULtS'..... PRE-QUALITICATION PACKAGE (PROJECT) 7 faV 44t; FE LIST 2�Lf � ` 0 ` BONDING AND ....... --,'___'_-.-...-.-_ ................................ 20 ' � , ][ ..................... .......................................................................... ............. 70 . 2 . ........ ^................................. .............. .............................. --'. ^ . T2\isup--�-NCE .................................................................... ............ ..................... ................... ._._,__�7 � WORKERS C .__` ...................................................... __^'_`.�� , l . WORKERS ' E���]�O��.,.^'-..--__'-`-__-. ~`,`'�.,_—.^.` Z . ...................................................................... --'--''----'-------'-'-^-^.� �� �C�Tl -°-._ ................. ..................................... -'~`='-^ .................... �� CONFIIDEN L' L I,R - QUALIFICATION OF BIDDERS. • .R d, INTROb TIDN A. R£OITEST FOR PRE- OUALMCATTON OF "RTMERS The (Awarding :Body) requires from., all prospective bidders answers to questions contained in this Standard Form Questionnaire and Financial Statement including- a complete statement of prospective bidder's financial ability and experience in performing public ,works. These' documents will be the basis for rating bidders in'respect to the size and scope,, 6ontracts upon which . each bidder is qualified to bid. The (Awarding Body) reserves. the right to check information from any other sources available. The (Awarding_ Body)'s deiNsa will be based on objective evaluation criteria. The questionnaire and financial. statements are not public r,eai inspection.' Ratings of individual firms will only be disclosed upon wn�ten reques 2. DEFINITIONS AND INSTRUCTIONS In the interest of brevity and clarity; all rfe r w4�,�N Qualifications shall mean a 'contractor sub., partnership, or as a joint venture . "Contractor" be considered qualified to d�'Ehe Project "Contrac in this Request for Pre h� corporion; - as an individual, as a ean_ 'ke' neral contractor who wishes to The (Awarding Bu�dr s or the Camstruction M '(. .representative shall -be entitled to 4 , contact each acid every reference 1LSted in response „to this; .questionnaire, and each entity referenced in any' r d ques ois this questionnaire. The Contractor; by completing the Pre Qualcatxon Pacle� eYpressiacees that any information concerning the Contractor in possession of said entities and references shall be made available to the (Awarding Body) without 4 4. ty. The Contractor shah provide only complete and accurate information. The Contractor hereby warrants that,.to the best of its knowledge, and belief, the responses contained herein are true, _. t p the (Awarding is relying on the truth and am TjT1 y of the tre onses� contained herema If it is later discovered ,,that' the . Contractor I owingly provided false material information in response to a question, said action shall constitute grounds for- immediate termination or rescission by the (.Awarding Body) of any subsequent .agreement with the Contractor: The contractor will be reviewed .and evaluated for the specinc categories of work and cost ranges (based on the Desi2;ner's estimates) and the Contr actor's sibmitt-_d project experience record provided. - 0 The Pie-' wall caden Pac:{a its co=let"ion 3Ild subMissior� b the C-ontractor, and its use by � � 1 1�?e ;;S rval , a °_ �v{iy`i s nor _?'ice l - ,Se to an La-b"iry o file :,a. _ - 1e _Uardin Bcd ) `o .ale CONTFIDETNTIAL PRE-QUALIFICATION OF BIDDERS Contractor or any ihird party or person. This is not a solicitation for bid. No guarantee's are made • or implied that the project will be contracted, either in part or whole. The Contractor /Applicant -P accepts all risk and cost associated with the completiona the Pre-Qualilication Package without financial guarantee. Note. A contractor may be - found not; re-qualifi6d on a speci for bidding fic,publ k works contract p qu =1 to be let by the (Awarding Body), or on all contracts to be let by the, (Awarding Body) until the contractor meets the '(Awarding Body) requirements. In addition to bein g d is q ual ifi e d f6r failbre . - meet this (Awarding., Body)'s critetia,, a contractor may be disqualified :for and one of the following: 1 Omission of Requested Information 2. Falsificatioii of Information 0 'U, o r 'F ' f more Excessive- Stop Notices (n generated the Aw din 'B or the"A. pt) o than 15% of project 'cost Over the�..life coiistructiffif` Ore than 101P retention P.m A amount :after Notice of Completion l as been filed-:: 3. LIFE'. OF PRE-QUALMCAEON A Contractor's Pre-Qualification. statement is valid miancial information shown in the statement ., .,onfiliz is more. than one yearrldx ...8iatementst will ":b,,t',e',*r*:'�Q*.:I on - file until the financial information is- fifteen. months :old at whib"'i t -it will be a 40. The (Awarding 7 7r reserves the right to reject. statements in eh e ial in2iffiation. is more than six, , (6) months old. A new and current,sabi3if sfiall be required, Bach year. -,.Additionally,, the Awarding,Body, may, at any time[ specify ifl' alk .4equest'a& statement; case, statem- which the Contractor mu st resubmit if "at C....!,_Y tion oF ': Aw ardi ng ),,- the is considered 6xpi the discretion d. A;Contractor � -, Body TM may ;alsofile new,statements At more_- - auen - -- - lhtervals , if there is substantial change in the latest WoHdnz capital, and net' Worth are important tactors in determiming bidding carac, I ry of a Contractor therefore the dccotmtant 'IN perform a valuable service Lor L-JnLe accouan-tanCS client and also assist (_-Xwarding, Body) iftile, ac=mimit vvill1 5am, Ish by su sch'-dules, lor as a svec ca fled.for 1:.v - die siattment - wl 'ch. tit - fte-accountant's o,c'nion. might Drov b, :al{:T? •. into cons-1-de'ration. -: In the: - event° that the Co actor s job income and expenditures are accounted 'on a completed ntr contract basis, and the ba lanc e sheet includes an item reflecting the excess 'of costs to date over billing to date, or vice versa, the elements of ` "Accumulated Cost" and Billing to Date" must be shown in support of`the balance sheet item. 6. PUBLIC WORKS RE°OU1RElVIENTS For General Contractors: projects estimated at $300;000 to S9;999 completion of at least ,two „public works projects,. completed an the S1 seven (7) years with an actual ;cost of construction averaging 75 0 /0 1 1 on of at least =tto' public R - These proj extfis must have As a general rule, the bonding surety is requrec u lip an �adnuttecl surety in the State.of California which has an A.1v Best of "A” or better rats ig, anti r v Iii listed in `the curreni Federal Treasury w 3e =°`.F t Register. The surety wiIl be cCttac$ed to co .te e 'willinas to bond this particular project. It is ga p - the surety indicating their support su Qested that the coractor urclude a letter o ondab from levels. for the rode. 1.m question s _ The payment and P. R ice b6n€ s rued will neither be accepted nor approved by the (Awarding Body) unless the bonds air .underwritten by an.admitted surety and the requirements of California Cade of Civil Procedure Section 995.630 (a). and (b) are met and the bonds are adompanied �?Y tie Cougty C"lera's certificate as provided for in California Code of Civil rruwui.uc �cLUt.utz�+.v-rw.,�u�= S. PRE -4DUAI1 iCAT1AaN FORIYIUI A As a general e; prospective b "idders will be pre - qualified to bid on projects up to a maximum dollar amount based on, =the lesser of ten times working capital (current assets less current liabilities) or four times net worth (assets less liabilities) subject to adjustment upon consideration of experience and performance factors. Some factors may result in the disqualification of the Contractor. Working capital may be augmented by .sub' isslon of a Letter of Bank Credit. Particular attention is called to ,the ,fact that the certificate of the certified public accountant or licensed public` accountant must express an unquaHed opinion which does not negate an opinion on the ':statement as 3: w ble in order to receive a "financial capacity" qualification. Note: Statements With ,a "negative quick asset" amount ma nct be au=ented. • respzc;tl ✓e bldders ar_ 'also required to show an average i lort casi Bala c_ clr the l?zt -vve ?pie MMiths of not less rhan ' O °'b of the clans — action cost. CONFIDENTIAL PRE-QUALfFICATION OF BIDDERS The (Awarding, Body) will evaluate the Contractor's Pr-e-Qualification. Package e mcluding required submittals, financial data - 0 Contractor's references; C6ntfacfOr7.s t- erience and other data telafino, to the Contractor"s responsibi lity and qualifications to . perform the Project satisfactori Contractors may be required to submit additional or. supplemental . (-Awarding Body), if necessary,, for the (Awarding Body) t 0 de whether the Contractpr:meets' all of the pre-qualification, standards outlined. Responses to the. Request for Pre-Qualification,Package will be evaluated on,-.a ail.;b Pass/F i; asis. The (Awarding Body) will determine -which Contractors are . responsive to th:&�' Itaterial tertas, and- conditions , of 'the Invitation to Interested Contractors and the Request &V ii''QuWA , The A cations. {Awarding- Body,) will then who is technically, financially m responsible 'to, 'i '70 .requirement of e perform the Prqj[ect satisfactorily and, who has the capacity 16� baed"'alb ," er req ir proposed Project. A'response may be rejected if it, is detenn'i.n"'" to be )' waive Aliy.. � MVe any non-responsive, however the (Awardina Body) reserves , ft'"'rightt irreges or technicalities which it deternuines,- within its sole m nature and '_T; e best ` interest of the public. Furthermore, a response: may b&�'reste 1 W L is dete by 'the (Awarding Body), in it& sole discretion, that the Contractor - ca?ahle of performing; the its .andlechnical and financial coabiliti: P jecy based upon Ar#d .. aps thefkilure of such, to provide, R&Mation request 4,- g-, such. determination; Additionally, the (Awarding; Body) reserves di squalifyca$ tractors, before and af ter the opening of Pre-Qualification Pack age, -Upon M"i f collusion with 0 With intent to defraud , other il1e'gW#Actices: upon the part of a Contrae The (Awarding; Body) intends to.. pre -qualify Contractors toi bids for ng • _r 01e Project from. am f the re ive&Ab-the R Pre - Qualifications ai, the earlies - Drac - iic�abft' e. 'Only §ponses rece, R or P-r e st, cation Package and who are thereafter e: r equir ed those; Contractors"`Wfio�.�dbrnit tie submit 'a bid or VW t or Project shall be allow.ed to: :submit bids for the Pr pt Vq� (Awarddl - o that meets 6 s all, of ihe�pre� qualification Ifth s� t qu a standards and criteria, the `(A 7 Body) sh, �#"din �ill. pre-qualify such Contractor as qiiaHed to t tOL meet the e Mn c ors su b mi t .. k '-,.,a bid r? the ct G who are � disqualified and determined not Le J standards. and criteria: established :i in the -Qualification&,shaft'be provided a written Request, re dete on - from the A wardin g Body) seating forth the basis, for ;such finding Howev er, the %7 ( Awardin Body) rese the -right to rejecj, any and all - responses to 'the Request,, for Pre- Qualificdflpfis it dei6iminces, in its sole discretion., that the publ ic interest will be'best,served by doinc so. 9. LN AND' ADbEiND All inquirie&bv Contractor, as to the interpretations of the - Request for Pre n Q�ul a Pack ge must be, submitted in writing to and must be received I . c d at . d "submittal of the pre- Qualification 11 �ickage. least five (5) days before the date an time set for the - sub, L No resuonsa will be made to inquiries received later than five (5' calendar' days oefore ffie scheduled submittal of PackLage. • CONFV NNTIAL P . RE' QUA OF BIDDERS inq d form of an addendum to the Everyd re nterp Re t.i ii"�ita&b ,to, a uiryvifll I be on file in the office of the ,.quest for Pre and when issued, w.fl (Awarding Body). 0 .All addenda will be distributed to each - person holding 1he Request for Pre- Qualification Package, but it shall be Contractor' responsibility to make inquiry as to the addenda issued. All such addenda shall become, part 'of the Request for Pre- Qualification Package. Statement and all Contractors shall be bound'by such addenda, whether- or not received by the Conlin 8-tors. 10. NOTIFICATION OF PR - QUALIFICATION RESULTS -. Contractors will'be notified of their .PRE-QUALIFICATION: M by telephone/ ..followed by : mail. Notification will . be made as soon as possible but not i2gglfld three ( coeove weeks following the closing of the Pre-Qualification process.. Where a timely and completed, application results in a rata _J necessary to pre- qualify, low --h an appy be made. An appeal is begun by the Contra�&'Ibr Mve n oticeto the (Awarding Body) eal ma of its appeal of the decision with res pect to its pre7 ratin no later than ten Wo - " - 1. 0: R: the closing f eipt of bids business days prior to. ih time for P., c works project Without c hallenge . . ecision of the - Con&actor al n .- a.timely appeal, the w aives (Awarding Body), whether by administrative par eeas q.. judicial or any other legal process or proceeding.- J If the Contractor gives th e d notice of 4 p 1- � pe and r equests a.hearing, the hearing shall be er than t conducted so that it i$ q:eoncl EUR!M� I a an.fye busindss days, after the (Awarding Body) receipt of the notice. cif appeal, dJ20 laler. thaifive,. (5) business days prior to the last date for the R receipt of bids Ott. A ! ttt_ aring shall" 0 inf6rrnWprocdss conducted by a panel to � ( iii;g - responsibility to hear such appeals. At or prior to th hearin the Co'ntr wchtheAw d*'I the basis',for the (Awarding Body) pre - qualification �� UaW e gi , the - don and present j , ' a' 0 dete h.- The . b opportunity to:� present information i H ... I- I pr reasons in oPpositi9xi o eat' t , thx" g h ---.W one (1) day after the conclusion of the hearing, the pp_ als Panel v211 It is the intention of the (Awarding Body) that the date for the _.5 submission and opening ofibids will not be delayed or postponed to allow for completion of an 11. Completed PTT-.QuaEficaton forms for (Project), must be submitted to the (Awarding Body) no later than. :(Date, Time). Only one copy'-of the P is required to be submitted. All applicable of the form should be completed with schedules attached if the space provided does not suffice. Failure to providd"the inrfoimafion called for may result *In a reduced rating and up to disqualification'. • NLL-ULTO: (Address of (A Body)) is L done' nuitber for the oi L17, any proje ior to (na:7 n e The teiil-o'i phoue - E ) Please , cr r��.Iated quest' ol person or departmn-nz) rr,,. information submitted for evaluation will, be considered, official information acquired in confidence-and the (A-warding Badvj wiff maintain its confidentiality to the extent ; permitted by law. This :includes the Contractof s .Statement 4ot E =! rience and'Financiial , ,Condition, iii. be submi led w th this questionnaire. C,ONFME �PIR-E-QUALIFICATION OF BIDDERS • DISQUALIFICATION Failure to meet the following criteria will result in disqualification of a Contractor. Place *a check in each box where the -followina criteria are met: ❑ Contractor's license is valid. Contractor's license has not had two or more in. s6ih ❑ i ..' 1 Contractor has not been suspended, dismissed, or ,.4'eclared n Ikfa fi the past seven (7). years. (7) years. A, a project during ❑ Contractor has not defaulted forcing a surety to safer alop. ❑ RMI Contractor has never failed to 'Complete a cd • CONFDDEINTLAL PRE- QUALIFICATION OF BIDDERS PROTECT ENFORNLATION • 1. INTRODUCTION alifi 1p ,em The {Awarding Body) = invites interested contractors. to submit a Pre - Qualification P ackage order to be qu bids for'construction ofthe. (Project); Pre - Qualification Packages; executed -in accordance with this Request for Pre- Qualification Package,, shall beeciyed by the (Awarding Bod• no laterlhan time on delivered to and received AllPre'-QuaHcation Packages must.be". ived, by thef ")W " Body), (Department), - Street. Address, City, CA Zip 2. PR0JEC-T'DESCRlPTL0_N: !A-e 3. PROJECTSCHEDULE The anticipate is summarized as f6llows: Release'of Request for'Pre-Qualification pa ffi,, (Date Subinittai of Pre-Qdalificafion. Packages. (Date) Establishment; of Bidders, Lisf�;;; (Date) Advertise for Bids (Date) Open, Bids (Date) Award CohstrConstruction C. 011 - rMil (Date) oisaru oh. Contrac Completion * 1: al- - ZI C .0", (Date) CONFIDENTIAL PRE QUALIFICATION OF BIDDERS .' C:RGANIZATIQN. STORE'•'ORGANIZATIOi�T PERFORINLkNI C . COMMANCE NVI'TT' CPRL iA CRI EN LAWS 1. CURRENT ORGANIZATION ND STRICTURE OF THE BUSINESS For Firms. That Are Corporations A. Date incorporated B. Under the laws of whatcstate: C. Is the Corporation currently registered and in good standing with the, Sitate of Cal&rnia D. Provide !all the following irdformatiod for each ;person ` who is either (a an pacer of the corporation (president, vice president; secretary, treasurer), .or (b) the ovmer- ofd leant ten percent of the corporation's stock. Name Position Years with Co °ffl Own ership Socialeea�r m E: Identify every construction firm that ,any .person 1 Od aUoue has .been associated with (as owner, general partner limited partner or officer) ;A11ahy ume d g a lastrtive years. j .e NOTE: For this question, �'owrter'� end "partner" refer fo' ownership of ten (10) percent or 5 � more of 'the business, often (1'0) - per ;ent or more o Its stock, if the business is a corporation. Person s Name .orisnactian Firm . Dates 'of °Person's Participation with F A. Date of formation B. Under the laws 'of what state: C. Provide all the following information for each partner who owns 10 percent or more of the firm. CONFIDENTIAL PRE-QUALIFICATION OF BIDDERS For Firms That Are Sole: Prox)rietofshlps A. Date of commencement of business. B. Social security numberof company owner. C. Identify every construction Bum that the ibusiness owner has been associated with (as:, owner, general partnerli=ted partner or officer) at any time during the last five years. NOTE: For this question, "owner" and " rifir to ownership''of t 'enp er . de t or more g of the business, or ten percent or more of its'stack, if the busm Person's Name =C 0 nstruction Company D ates :of 'Pe 'Pa a gmkion tend that is - a me" M116' of the :joint venture that hiffl ex ecute the "Joint VchbiTe jP 3 ex 4:07 , b 4111 e5 �-L member of the Joint Venture -shall iM ial,o6riganization that comptises the Joint I % Ownets Joint Venture 2. 141STORY OF THE BUSMSS AND ORGANIZATIONAL ?FRFOR.N1Lk�jC71Fi - A. Has there been anv change in ownership of the firm at anv time durina the last three ,' y ears? NOTE: 'tporation whose shares, lare public ttad'ed is not reqnired to answer thi A co questoh. El Yes. No If `ves." ex a s- ant- simea Daze. r . CONFID i PRE QUAI,IFIC "HL ON OF BIDDERS B. Is the firma subsidiary, parent, holdin r g company oaffiliate.'of another construction firm? NOTE- Includes dormation about other firms if one firm owns 50 percent or more of another, or if an owner, partner, or officer, of your firm holds a similar position in another firm. ❑Yes El No If "yes," explain on a separate signed pale. y corporate officers, partners or owners connected to any other construction f3 iins C. Are an co orate o ce, , -_.. . NOTE;: Include inform_ _ation labout other firms, if an owner, partner, or officer of paWi" firm holds'a similar position in another firma B. If any of your fan's license(s) are held in the name of a corporation or partnership, list below the names of the' qualifying Individuals. listed on the CSLB records who meet(s) the experience and examination requirements for each license. is CONTEDENTLAI PRE - QUALIFICATION OFBE,DDERS C. Has your firm changed,names or license number dn the past five years? ❑ Yes ❑ No If "yes, explain on a separate -signed page, "including the reason forthe change. D. Has any firm e ,y owner, partner:or (for corporations) officer of your operat da under any other-name-in the last five years?, ❑ Yes r No If "yes," e,�Tlain on a separate signed page, including the reason fort] If "yes, , please explain on a separate, signed sheet. 4. complaint d9 mge . years?' film y our Erm _with: the, int and attach copies of all documents the complaint. �hich any of your company's owners, officers A. In, the last five.yeaiilas your .fly....*,.ortany firm with R. a 4 , . rtners was associated, b-- ' disqualified, pr evente d from or p o m big on, or conipld g, any agency �:iovernment agency or public'works project fbrany'reason? NOTEV"Associated with" refers to another construction 'firm in which an owner, partner or officer ,qf. i your , firm a similar positi6n, And which 'is listed response to questionIC or - 1D on. this"fOrm''. D Yes ❑ No 'If "yes," on separate signed sheets of pape , r state Whether the 'firm involved was the firm applying for pre,-qualification here or another firm. Identify by name of the company, the.name of the . persoii-Withih your firm who was associated with that company, the year of the event., the owner of the project, the, proj ectand the 'oasis for the action. • CONFMENITL-kL PRE" QUALIFICATION OF BIDDERS �; �., Within the Jasfive .(5) us,,bas Pu r ,firm, or any fum with - which any of your -finn's owners, ye ofl kers directors or mana emioyees was associaied been found guilty of violating any federal, state or local law, rule or regulation? 11 Yes . F No If "yes", on separate signed I isheets of paper the name .o f name . of the person fi � 0 nrm, the n ff -e associated with that,,firm (if�'applicable),, the year, of the incident, and provide all details_ , about the incident 'including, but, not limited to, the law, rule or regulation; -- ju h the firm was C accused of violating, 4hetherle investi is on-aping or completed %i%h, the accusation pid e S, was sustained, and the outlier i ome of any proceeding including any -fine; ,:penaf.,,�� sentences that were imposed. C. Within the - last five (5 ),years, has your firm or a3iy officers, directors, or , , iernployees; was assi project which was found to be non-responsive, or bt responsible bidder? ❑ Yes ❑ No if "yes", -on separate signed sffieqts of paper associated with that Rind (if 'applicable), - and incident, the 'name of tbe,A` *�' Body, Attach all correspondence: oroftm ocumed any of your wymers, U 1, ,a ' bid d fo r a RE J 18 v wor 0wardin2 Body =t of to be a �4 of 66�,Z =.., the name of the person g b� the year of the by that body for its actions. Tbefollowi.:tWo, queglloifts'refer only, to, your firm and the owner NOTE Y a disputes .between r firm an a of a Projec oul,--K&al!� meffide 'inf6rmAtj0W oul. een you supplier, another e B. i" ffi su ble You 'need no' elude information about p or! toq trar r. in aim" I idi -co 'wfix 14 , ei-:q#IUa dis pute is between a sub - contractor and a "pass- through disputes .7[ � -!p e -about amounts of less than Pro . �A 1so .ject ` -- ' you „j04y` om '' 9r ence to all disputes concerning your firm's work on a If yes, on'saparae h sued sheets of paper identify the"claim(s): by providing the project name, � date of the,, >claiiu n ame of,the claimant, a brief description of the nature of the claim;. the court in which the case se was, filed and abiief description of the status of the claim (pending or, if 'resolved, a 'b'ef description of the resolution). n E. I n the past five (5 ) y6qis�has your firm made any claim. azainst -aDrciett owner concerning work on a -610J` for. a contract and filed that claim in court or. arbitration? [I. Yes ❑ No aratesi.gned - of - oaaer id pr If "yes,” on S�- she entiif�; - dl-,- claim by pro the Pr ct name, d ' on ate of me claim, name of the entity (br entities) against whoun'the claim - was E. a brief descn' - pn r Of the Lim the-cl` the courtin which the cas vas as filed' filed' and ab brief description of th e e sta or- f dpsc -he 0 of the (pending, :)7 " rzsolved, a I 'e of t CONFIDENTLY, PRE- QUALIFICATION OF BIDDERS 5. PREVAILING WAGE ND APPRENTICES_ A. This project requires the payment to all :employees of prevailing Wa as determined by the ' California Department of Industrial Relations; and that they contractor liss familiar with the provisions contained in California Labor,Code Sections 1720 1861, and Title 8� Q fornia Code of Regulations, Sections 16000 - 16403, and with the requirements and obligations' (including record keeping and employnient''of -apprentices) 'imposed by those sections on all contractors and, subcontractors: who perform, work on public works projects. 0 Yes" -❑ No If "yes," on separate signed sheets of paper id.en date of the violation; name of the .entity (ok. e violation',, ;a brief description. of the status c description `of the resolutrg C. ,During the last;fh-eb dears was fur firm, requ own firm's failure to `cQm with- , decal Davis ? to violation *:providing the. °project name, 1, a lanef :description of the nature of the A: � Hi � �4�' ¢l' 6 (pending, or if resolved,, a brief pay either back wages or penalties for your'• prevailing wage requirements? our g own firm's'vwlation of prevailing,wage laws; not to , bra subcontractor. r . a Yes o if "yes," on separate signed sheets ofpaper identify the violation byp'roviding the ,project name, date of ttie vtblation� 'name , of the, entity (or entities), a brief description of the .nature' of the violation, and `a brief description of the status of the violation (pending, or if resolved a brief descripti on of;Ie , resolution). D. Provide the name, address and telephone Aunibe of`the apprenticeship program (anproved,by the California Apprenticeship Council) from whom you intend to request: the. dispatch 'of apprentices to your conmpany ;for use on any Public; Works Project for which you are awarded a contract. by ,(Awarding'B-ody): OONTFIIDENTIrkL P - QLTALIFIQATIONI OF 'BIDDERS ��� E. If your firm operates it �own.Siate-dpproved apptienticeship program: a. Identify the craft in which your firm provided apprenticeship - training , in the.:: b. State the year in which each'such apprenticeship program was ap d of app roved the most recent California Apprenticeship Council ap proval(g) c f : you program(s). c. State the number of 'mdividuals who were employed finj� as apprenti ye your l during the past three (3) years in each appren tice e . er of pers( the past three; (3) years, ,,completed apprentices e emplo • of the 'dViA40"R. Ain D. al j attach evidence ,...apprenticeship r ,DY your has Yo firm bq'&foundto have violated any provision ations' the laws pertaining to use of apprentices on ' provide the date(s) of such findings, and attach copies C0MFD}i'.O&1 1 LJ1 [)PlMU[EBS �. --- --_ � __ STATEME NT OF QUALIFICATIONS Jt�IU I "(A(_, 1'I:F3 -lit: ICA`I'ION OIL BIDDERS :�. g_AS II ALL 1 -1 110J CTS IN PRO'GRFSS• (MAKE ADDITTUNAL COPIES IF NFCF,SSAR'Y1 h a,. 17 CONFIDENTIAL PRE-QUALTICATION OF BIDDERS 4. EXPERIENCE • A. How many years has your organization been in business in California as a Contractor under your present business name and license number? years B. Scope of work to be performed by your firm if subcontractor: C. How many years :experience in construction work has your organization had? (a) as, a General Contractor? (b) as. a:Subcontractor? 7 • I ' CONFII)ENTIAL PRE - QUALIFICATION OF BIDDERS FINANCES. BOND3N� N �PS�J3 Atti_CE 1. FINATNCIAL RE:QUIREEtMENTS B. Attach your latest copy.of.a. or audited financial statement with accompanying notes and supplemental information. NOTE: A financial statement that 'is. not either reviewed, or audited .is not acceptable. A letter verifying availability of a line of credit may also be attached; however, it will be considered as supplemental information only, and 'is not a substitute for the. required financial statement. C. Attach a list of your fiscal year volume for the past five (5) years and g� volume for the current fiscal year. D. Attach the CERTIFICATE OF A LICENSED ACCOUNTANT E. A Letter of Credit.maybesubmitted to augment your. W LETTER OF CREDIT that follows. 2. BONDING .vide a_statement listing names of all surety compar in the last five (5) years. State whether the surety or s requested to complete any part of bidder's work during Attach a notarized statement insurance) and authorized to (a) that your current be if you are seeking,. valid for a. y. ,, (b) your cu�ent availal Note: No arzae.. An additional time of submissi to submission of of the W6 prospective bidder have been required or by the California Department of states: 'projectfor which"you seek pre- qualification ect or {if you are seeking pre - qualification from the surety company, not:an- .agent or broker. from the surety may, be requested by (AyYarding Body) at the pre- qualification package is submitted more than 60 days prior Suret Company and C ontact Person Address and Phone dumber I Largest Bon ears Used I I I CONFIDENTIAL PRE-QUALIFICATION OF BIDDERS A. Has your company ever been unable to obtain a bond or been denied a bond for a contract? D., Has y our company ever failed to complete an Aw4Tdi4g Yes No If "yes," explain on a. separate signed page., ..... .......... E. Has your company been assessed liquidated d4pa":, ED Yes El No if yes, ' explain, on °a serra 4 e 44' age. F. Has this L on contract? signed page. ever declared bankrupicy,or receivership? • H. Are there your co mp any MP liens /stop notices for labor andJor material filed aizainst c s on any c been done or are being by your , company? ❑ yes ❑ No U. explain a separate signed pag L Have there been any suits, 'Hens, or surer cl aim s r s aain st ;our company on any contracts, 71 have been done or are. being done by your company ? y e s, "',ax lLn , on a s �3 i gnQed - .0 - a sz-- • I A. Do you curre�nfil� have suf ete *insurance as required by the specifications? (Please refer to specificatrons' c a plete insurarYCe requirements) Please provide a Certificate of Insurance as veriEEation. The carer must have a st Co. rating of A =:6 or .better. Phone Numbe: �- w Iona nave .you oeerl With this insurance company. T, r i-v -years. -jiease Mist crcr s —_nce +.on=anies s a.e space be'.ow. �...nde.. , o , - - CONFIDET PRE-QUALIFICATION OF BIDDERS B. In the last,flye years has any insurance any form .of insurance, .refuse to renew the insurance policy for your Erm? 0 ❑ Yes ❑ No If "'Yes," explain on ase insur par-ate signed�pa e-Namethe insurance carrier, the of, and the year of the refusal. With regard to the insurance listed above, please note that* A. All policies ,shall contain an endorsement, Droviding that written notfe'lle' shall bo g i ven: to the awarding body (or construction manager,* if ap ' plicab a le),,at least ffirty p rior to termination, cancellation or reduction of cov'eraae it the o licy..`4,111 B. The Bodily: injury and Property Damage Liability poli'Cle, d e a. Endorsement ebt hahaing the (Awarding Body) the construction O -- 1 as additional m*sureds with respect to liabilities kism'g ou A performqnce of work in connection with lthe contract This th-1 coverage is primary, and mim by the d i n :insig�ance momft W `� Ma with the applicable). and architect is e)(cessandmo C b.- Owned, non-ow c "Cross Liability d. Coverage r . eg - a of building 01' insurers as the. e. "Prod or coverage to I k following: age ;tqnd the design engineer !e contractor s/siibcontract(ir's emen I. must state that �such 4s - Pe.." truc tion manager (if 41K Ed dii! PA= reqifirdd hereunder- above. Of ilif esiciaiiie • caused by, txplosion, or fro colla ,pert�, a -9 ap.e o uhd . e ground property �(commonly referred to by afions, coverage 1obe,maintained,for , a minimum of three mtracio'r/subcontractor shall continue -to provide evidence duritga the fforenidtitioned project. cb only required). & C (no participation)jincli-iding contractual coverage. ent stating that such insurance applies to the liability assumed by under this contract,(meaninar written contractual liability). 1. In the event that the 0,wnef Bui lder's Risk does not cover certain risks, i-.e., material in � transit mater storage; etc. the contractor /subcontractor shall, provide insurance covera(ye :of such risks. Coverage shall be written on an "All, Risk" Installation Floater and/or B uilder Bortin for limits equal to replacement cbst. a1r. C. AaarLzate lii=ts not -be imn zd except by:occurrenc'es on this project. D. A indicatO that a "Der o=- enc e"� fb=:rather Tian, a- Ploer Claims made l' ffttn. CONFIDENTIAL PRE - QUALIFICATION OF BIDDERS E.. The contractor /subcontractor shall, at its own expense maintain 'in effect at all times during the life a of this project;vpoEcies with the above coverages and limita,of insurance and issued by carriers and under forms of policies satisfactory to the awarding body (or construction manager, if applicable). F. G. 0 r� CONFIDENTLA.L PRE-QUALIFICATION OF BIDDERS WORKERS - COWENISATION, SAFETY & OSTIA • L NVORKERS COMPENSATION, A. Contractor has current worker pets�ationihs required by the Labor Code or I co mpensation is legally self-insured . to Labor Code Section 3700 et. seq. ❑ Yes ❑ No B. Within'fhe last five (5):years, has there. been aperiod when your without workers' compensation insurance o 11 r.state-approved self-insur ❑ yes ❑ No ' work e rs' - If yes, please explain the! reason for the Absence o f ker PRper signed page—If fib, please provide a statement by yold"t carrier that verifies periods of workers' compensation misurm" S.!: - M � -` � years. (If your firm has been in`the construction business f oi ME` statement by your workers' compensa tamer vt compensation insurance coverage for the a lz. ...:,,that Your firm. biisiness.),, ,for Ahe last five l_ (5) years, provide a,. continuous workers' in the, construction A# NOTE' q nence, 1 - d" tAtion Rate:::8 issued'to- firm annually by your workers' : f ce er':: On C urre Pr'eviols,ywar: y ear prior to previous year: �py o t h ese years is of was I If your EIMR. f f th .00 or higher please attach a signed letter of explanation. B. How often do you require. documented safety meetings to be held for construction employees and field supervisors 1during the course of a project? or an owners, k— Vithin the past 34 months, has your 13 with which any of your firm' officers. directors. or managna -,=Ioyq-.s was ass associated. been cited f6r violations of CAI -OSHA standards or requir-cments? but was ao insurance, on L Y--S ❑ No �, 'd- - aE - 2iev=n d,��-,a' s. nclu and the name al" th-- -,erscn assoclatza with that ! (ilfarrdcable'). CONFIDENTLA.L PRE- QUALIFICATION BIDDERS . D. Attach a copy of your firm's OSHA injury log for the past 24 months. ' Py y jury p E: Submit a � co of our. firm s written m and illness re ,T �enhon program, currently in place, which;meets the requirements of CAL -OSHA. F. Describe in detail (or attach any relevant documents such as standards, instructional materials etc.) which describe the training and supervision received by "apprentices" who will _be employed by your firm on this project, Include in the description detailed information regarding: the classroom and/or on-the-Job training received by'' "apprentices" the trainin d ities available to q of the teachers and = instructors who provide thug; the nature of them and the qualifications �, , the supervision "apprentices" receive while on the job; and the m,x�lm quahfeatzons of the persons who provide the supervision. 3. OSHA __ A. Has Federal and/or CAL OSHA cited and assessed penalties a;amst. your .firm for any "serious," "willful" or "repeat" violations of'its.safety or health regulation:_ NOTE: If you have filed an .appeal of a' itat#% and the Oceup tional Safety and Health Appeals Board has not:yet ruled on your appe4 not,include information about i #. ❑ Yes D If "yes," attached a seD,arate s � page descroing the citations, including information about the dates of the citatidnsi tae nature M the violatioi% tlse project on which the citations) was or were issued, the amount 05iarezialtyaa am If the citation was appealed to the Occupational Safety and Health Appeals Baal and ,a: decisan has been issued, state the case number and the date of the decisisxi B Has the EPA of... anti Air Quali.l�vlanagement District or any Regional Water Quality Control ward cited and assessed penalties against either your firm or the owner.of a project on which your fi the contratdf in rm wale the?'past five years? NOTE IfXou have filed an appeal of a citation and the Appeals Board.has not yet ruled on your appeal, or. if ' #Here is -a court appeal pending, you need' not include information about the citations:..:' ❑' Yes ❑ No If "Yes," attach a separate signed page describing each citation. 0 CONFIDENTIAL PRE-QUALIFICATION OF BIDDERS THE CERTIFICATT OF IviCESSED ACC OUNTATkqT WILL BE REQUIRED IN ALL CASES FOR AN AUDIT OF FINANCIALSTATEMENT, COMPLETE THIS CERTIFICATE STATE OF: Under penalty of perjury, we have 7examined the Financial Statement of of Our examination, was made dAaccordance with unerally', standards, and accordingly included such tests of the accounting records and,.such other au4 considered in the circum J In our opinion, the accompanying financial statement'included:on- to::.:- 111M . the fmanciaLcondition of aslof in cc generally accepted accounting principles. '(Type of Firm) (Telephone No) FOR A REVIE OF A FINANCIAL I (we) have reviewed the management-of fhexabove (Accountant must it;: iceme,No. . . .. .... .. TTII; r CERTIFICATE: statement. of.i;!F_ 0!7' included le financiff'statement is the r • as as we as of Basedton my (6ur)revie the I''. ceptiO' th 5' 'ep, �sciibe Av I I d in the following p�uagraph,,( am (we are) not aware ofany jmaterial mo c ati ons • MWfi1 V m ade to the• accompanying financial statements in order for them to be Ift lqs-� ' with r; y;:,accepted — al6counting principles. , .wi NOTE T PY NIA' : M�" REVIEW C Q 8 TS PR 112i V W%Jd;7b! ECLY OF INQUIRIESOF NAGENIENT AND APPROPRIATE AL FINANCIAL ��D�Ax ,AX PROCEDUW APPLIED.-T 0. THIS FENANC : A. IT is ;SUBS TANTIALLY LESS IN :AX EXAMINANUMON CE WITH GENERALLY A SCOPE IN"ACCORDAN EPTE D AUDITING _9' 7 ON AN OPINION STANDARDS i OF REGARDING THE FLNAiNCIAL.ST�AT MNTS'T4AKEiN AS A WHOLE. ACCORDINGLY, WE HAVENOTEJURESSED SUCH, ANT OPINIONT (Type Name of Firm) (Accountant must sip liere) (Telep'lione No) (License No.) Special note to Accountant: 711e above Cel-Mif of shall not be made by any individuatl who is in the rezuiar of the partaelshir or corp Oration subriMitinz the sTateml-M: nor bv amv who is, a memoer of me an ore :,"Iar. a perrerlj -fir ,ar 1 C T CON7IDENTLAI PRE- QUktiFICATION OF BIDDERS TO:' AWARDIi TG BODY Street Address City, State Zip ATTENTION: SUBJECT: GENERAL LETTER OF CREDIT Reference is made to the Pre - Qualification of- Name of Contractor . Under Board Rules of the Awarding. Body pertaining to the ,cn Awarding Body Facilities, we certify that the above Contractor h'as credit not to exceed S and that such credit will not E 30 days written notice to the Awarding Body. It is understood that this letter of credit is to be used by the Awar financial resources of the said Contractor during the rtm wf : their Body. (Name of B IM (Please ryTe, or print naive and title) Ltion and mamtehance of ed an unquAlfied line of or reduced without thirty Mely for determining the ation with the Awarding : Code No. KEASE NOTE The above form may be co by'�i bank to ang IMent , your'tior�in- Capital. If it piefers; the yank may issue a Letter of Credit on its b*n lerterhead, provided the Letter of Credit ® contains suastantiaiiy the sauce provisions. and is adds °sled to the _-�� Body and bears an origlnai signatuy Z. Attachment , C City of Petaluma Bid Proposal • 40 State of California County of NON = COLLUSION AFFIDAVIT TO BE EXECUTED BY BIDDER_AND SUBMITTED WITH BID ss. being first duly sworn, deposes and ,says that he or she is of , -the party making the, foregoing bid that the bid is not made in the interest of; or on behalf of, any undiselosed.person, partnership, company, association, organization, or corporation; that the bid is genuine -and not` collusive or sham; that .the bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and has not. directly or conspired, agreed Y collude � co nsp re d, _ ,d, or gT; with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the bidder has not in any manner, directly, , sought , by agreement; communication, or conference with anyone to fix the bid price of the bidder or any other bidder, gr:to fix any overhead, profit, or cost element of the bid price, or that of any other bidder, or to secure any advantage against the public ,body awarding the' contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that , the bidder' has not, directly or indirectly, submitted his or, her bid price or any breakdown thereof, or the, contents thereof, or divulged information. or data relative thereto, or' paid, .and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member..or agent thereof to effectuate a collusive or sham bid. BID PROPOSAL CERTIFICATE (if Corporation) • STATE OF' CALIFORNIA ss: COUNTY OF I • HEREBY CERTIFY "that 'a meeting`of the Board of Directors of-the a corporation existing under the laws of the State of _ , held on 20_, the, following resolution was duly pasied -and adopted: " RESOLVED6 .that _ , :as President of the Corporation, be and is hereby authorized to execute the Bid Proposal' dated. ; 20_, for the proj ect; in the City of Petaluma, and.that his/her execution thereof, attested b- the Secretary of'the Corporation arid. with the Corporate E . eal affixed, shall be the official act .and "deed.of this Corporation: I furth certify that said resolution is now in full .force, and effect. IN' WITNESS "WHEREOF,.'I have hereunto set my hand and' affixed" the official ,seal of the corporation this ,day of 20_. Secretary (SEAL) BID PROPOSAL CERTIFICATE (if Partnership ). STATE OF CALIFORNIA ) ) ss: COUNTY OF } I HEREBY CERTIFY that a meeting of the Partners of'ihe • a partnership existing under the laws of the State of , held on , 20 the following' resolution was duly passed and adopted: "RESOLVED, that , as the General Partner of the Partnership, be and'is hereby authorized to execute the Bid Proposal dated 20 _,. for the project in the City of Petaluma and that his/her execution thereof, attested. by 'the' shall be the official act and deed of this Partnership." I further certify that said.resolution is now in full force and effect. IN WITNESS WHEREOF, I have hereunto set my hand this day of ,20 1 Partner (SEAL) BID PROPOSAL CERTIFICATE (if'Joiiit Venture,) • STATE OF' CALIFORNIA ss: COUNTY OF I HEREBY CERTIFY that a meeting of the Principals of the a joint venture existing, under the laws of the State 'of held 'on; 20 — , the f6lidwijig resolution was duly passed and,adopib& "RESOLVED, that as of the jbihVventure, be and is hereby authorized to execute the.; Bid Proposal dated 20—, for project, in the City of Petaluma, and that his/her , exe onthereof, attested by the execution shall be the official act and deed of this Joffit,V6itur6." J further, �certify that said resolution is now in full f6rce and effect. IN WITN WHEREOF, I have hereunto set my hand - this day of 20—.- Manag Pattier (SEAL) U PROPOSAL i I •' To the City Council of the City of Petaluma: The undersigned declares that he /she has carefully examined the location of the proposed work, that he /she has examined the plans and specifications,, and read the accompanying instructions to bidders, and hereby proposes to furnish all.materials and do all the work required to complete the said work in accordance with said, plans, specifications, ;and special. provisions for the unit or lump sum prices set forth in the attached Bid. Schedule: It is understood and agreed. that the undersigned shall complete the work of the contract within the time provided for in the Contract Documents and Specifications governing said work. If awarded the contract, the undersigned hereby agrees to sign said contract and to furnish the necessary bonds, insurance certificates and agreements within five (5) working days after receipt of Notice of Award of said contract from the City. The undersigned has examined_ the location of the. proposed work and is familiar with the plans, specifications and other contract documents and the local conditions at the place where the work is to be done. . The undersigned has. checked carefully all: the ; figures on ; the attached Bid Schedule and understands that the City will not be responsible for any errors or omissions on the party of the undersigned in making,up the bid. Enclosed find bidder's bond, certified check, . or cashi_er'& check. no. of the (Company) (Bank) for Dollars This proj ect - requires a Class "8" .California State Contractor's License. Contractor's License No. License Class Expiration Date of Contractor's 'License A bid submitted to a publ c�; g y y licensed shall be considered non- a enc b a contractor who is, not lee responsive' and'shall be rejected by'the public agency. The undersigned contractor 'declares that the contractor's li cense .number „and expiration date stated herein are made under penalty of perjury under the laws of the State of California. Contractor: Signed by: Address: C: Dated this day of , 20_ END OF PROPOSAL PROPOSAL (City) Mal 2002 BID SCHEDULE Schedule of prices for construction of ':the "WATER FIELD OFFICE SITE IIVIPROVEIVIENTS PROJECT" in. accordance with the Contract Documents, ,Specifications and Drawings. ITEM EST. UNIT . TOTAL: =< NO: DESCRIPTION UNIT QTY. PRICE PRICE 1: CONSTRUCTION OF THE WATER FIELD OFFICE PROJECT AND OTHER WORK AS SPECIFIED IN THESE CONTRACT DOCUMENTS, SPECIFICATIONS AND DRAWINGS COMPLETE IN PLACE LLTNIP SUM 1 N/A S /CIP/Water /9797 Ph -2 • QUESTIONNAIRE AND FINANCIAL, ASSURANCE STATEMENT FORM The following statements as to experience and financial qualifications of the Bidder are submitted in conjunction with the proposal as a part thereof, and the truthfulness and accuracy of the information is guaranteed by the Bidder: The Bidder has been engaged in the contracting business under .the' present business for years. Experience in work of a nature similar to that covered in the proposal extends over a period of years. The Bidder, as 'a contractor, has never failed to satisfactorily complete a contract awarded to contractor, except as follows: List all claims and lawsuits presented or filed in the last five (5) years, .regardless of the form, regarding any public works project: The following contracts foi: work have been completed in -the last three (3) years for the persons, firm or authority indicated and to whom reference is made: Type of Work- Size,•Length Location and For Year and Contract Amount ' Whom Performed The following complaints have been made against the Bidder's contractor's license within the past ten (10) years: ® Date: Nature of Complaint t QUESTIONNAIRE AND FNANCIAL ASSUR NCE STATEMENT FORM May 2002 Reference is hereby made to the following bank or banks as to the financial responsibility of the bidder: NAME :OF BANK ADDRESS_ Reference is hereby ymade ;to the following surety companies as to the - . financial responsibility and general reliability of the bidder: NAME OF SURETY COMPANY: I, the undersigned, declare under penalty of perjury under the laws of the State of California,. that the foregoing is .true and correct. SIGNATURE ,OF BIDDER NAME oF'BIDDER END OF QUES'I'IONN_A IRE AND FINAiI C?AL ST -ATEN IENT FORM 0 QUESTIONNAIRE AND FINANCIAL-ASS IT RANCB S ATIEVIENT FORM May 2002 LIST OF'SUBCONTRACT'ORS' In accordance with the provisions of Section 4102 and 4108; inclusive, of the Government Code of the State of California, each bidder ,shall list below, the name and location of place of business of each subcontractor who will perform a portion of the contract work in an amount in excess of one -half of one percent of the total contract price. In each such instance, the nature and extent of the work to be performed shall be described. If a prime contractor fails to ,,specify a subcontractor or if a prime contractor specifies more than one subcontractor for the same portion of work. , to be performed under the„ contract. in excess of one -half of one percent of the prime contractor's total bid, the prime contractor agrees that he or she is fully qualified to perform that 'pordon .himself or herself, and that the prime contractor shall perform that portion himself or herself. The subcoritracting .of work for which no ,subcontractor was designated in the original bid and which is, in excess of ;one -half of one percent of the total contract price, will be allowed only with the written consent of the City. Description',ofWork to be Performed Name of Subcontractor Address of`Office Mill or "Shop (Also "Show Bid Schedule Item Number) END OF LIST OF SUBCONTRACTORS LIST OF SUBCONTRACTORS (City) June 2003 w LIST OF"MATER SUPPLIERS AND 'MATERIAL GUARANTEE The bidder is required to name the mdkei and supplier of the material 'items listed below to be furnished under -these specifications.. The bidder shaU name a manufacturer for each item and the supplier of the item if the supplier is not' the manufacturer. The naming; of more than one supplier for. a single item• or naming ,a supplier followed by the words "or equal". will.: not be acceptable. Substitution of any listed supplier following submission of this ,form with the Bid, shall, only be permitted as authorized. by the Engineer pursuant to Section' 6:3 of'the' General Conditions. Failure to complete this -form and submit it With the, bid p roposal •may cause the proposal' 'to be rejected as being incomplete and. not responsive to'the solicitation-. Item -Supplieri & Manufacturer Address N /A_ _ MATERIAL GUARANTEE In addition to: completion of the list of material suppliers on the Material Suppliers :form, the bidder xriay be required to furnish prior to award, of contract, a complete statement of the origin, composition, and manufacturer of any or all materials -to be used .in the. construction of the work, together with 'samples which samples may be subjected to test provided for in 'these specifications or in the Special Provisions to deternurie their quality and ftness for the work. ' END OF LIST OF I/LATERIAZ SUPPLIERS AND TIV1ATERLkL GUAk'AINTEF LIST OF MATERLALS SUPPLIERS 3. XLinRL L GUAPAI ITEE June 2002 We, as Principal, and as Surety, jointly and severally, bind ourselves, our heirs, representatives, successors and assigns, as: set forth herein, to the City of Petaluma (herein called "the Owner ") for the payment of ,the , penal sum ,of Dollars ($ ), lawful money of the United States, which is ten (1.0) percent. - of the total amount bid by bidder to the Owner. Principal has submitted the accompanying bid for the construction of the' project. If the Principal is awarded theL contract and enters into a written contract, in the form prescribed by the Owner, at the price. designated by his bid, and files the bonds required by the Agreement with the Owner, and carries "all insurance in type and amount- which conforms to the contract documents and furnishes required certificates and endorsements thereof, then this obligation shall be null and void; otherwise it shall remain in full force and effect. Forfeiture of this bond, or any deposit made in lieu thereof,. shall not preclude the Owner from . seeking all other remedies provided by law. to cover losses sustained as a result of the Principal's failure to do any of the foregoing. Principal and Surety agree.that if 'the -Owner is required to engage the services. of an attorney in connection with the enforcement of this bond, each .shall pay the Owner's reasonable attorney's fees, witness fees and other •costs incurred with or without suit. Executed on , PRINCIPAL • By Signature Title 1 BID BOND (City) May ?002 Any claims under' this bond maybe -- addressed to: (Name: and address of Surety's agent for service of process in California, if different from above) (Telephone'number of Surety's agent in California) ( .Attach Acknowledgment) SURETY By (Attorney -in -Fact) NOTICE . No substitution, or revision to this .bond form; will be accepted., Be sure- tha "t all -b-onds submitted have a certified; copy of the bonding•agent's power-of`;attorney attached. Also yglifythat Surety` is an, "Admitted Surety." (Le'., qualified to' do business in California), and attach proof of verification (website printout from.. the California Department of Insurance website (http:% /www ihsur: nce:ca.gov /does /inde or certa from County"Clerk). 0 2 HIL?';30ND (C. IVay''2002