HomeMy WebLinkAbout19 APPROVAL OF PRE-QUALIFICATION PACKAGE-TUSTIN RANCH RD, VALENCIA AVE, PARK AVE EXT & LEGACY RDt Agenda Item 19
- - ~ AGENDA REPORT Reviewed: /
City Manager
Finance Director N/A
MEETING DATE: JULY 19, 2011
TO: WILLIAM A. HUSTON, INTERIM CITY MANAGER AND EXECUTIVE DIRECTOR
FROM: REDEVELOPMENT AGENCY & PUBLIC WORKS DEPARTMENT
SUBJECT: APPROVAL OF PRE-QUALIFICATION PACKAGE FOR TUSTIN RANCH ROAD,
VALENCIA AVENUE, AND PARK AVENUE EXTENSION AND LEGACY ROAD,
PHASE 2 ROADWAY IMPROVEMENTS CONSTRUCTION PROJECT, PROJECT
CIP NOS. 70100, 70206, 70204, 70214 & 70215
SUMMARY
Staff has prepared aPre-qualification Package for the Tustin Ranch Road, Valencia Avenue, and Park
Avenue Extension and Legacy Road, Phase 2 Roadway Improvements Construction Project, Project
CIP Nos. 70100, 70206, 70204, 70214 & 70215. The package includes a standard questionnaire and
financial statement, a uniform system of rating bidders based upon objective criteria, and an appeal
procedure which will allow a contractor to appeal decisions that they are not qualified to bid.
RECOMMENDATION
It is recommended that the City Council and Tustin Community Redevelopment Agency, by minute
order, approve the Pre-qualification Package for the Tustin Ranch Road, Valencia Avenue, and Park
Avenue Extension and Legacy Road, Phase 2 Roadway Improvements Construction Project, Project
CIP Nos. 70100, 70206, 70204, 70214 & 70215.
FISCAL IMPACT
There is no fiscal impact associated with this procedure.
BACKGROUND
Pursuant to Public Contract Code 20101, focal public agencies are authorized to require licensed
contractors to pre-qualify before bidding for public works projects. A few of the key points of the
statute are:
1. Contractors must meet trustworthiness, quality, fitness, capacity, and experience standards in
order to pre-qualify to bid.
2. Local public agencies may require contractors and subcontractors to submit completed
standardized questionnaires which identify information necessary to determine whether the
contractors have met these standards.
3. Uniform, objective rating systems must be used to determine both the minimum requirements
for qualification to bid, and the type and size of the contracts upon which each bidder shall be
deemed qualified to bid.
Tustin Ranch Road, Valencia Avenue, and Park Avenue Extension and Legacy Road,
Pre-Qualification Package
July 19, 2011
Page 2
4. Agencies must have procedures in place which allow contractors to appeal decisions that they
are not qualified to bid, which will result in review and conclusion prior to the submission of
bids.
The Department of Industrial Relations (DIR) has prepared model guidelines for pre-qualifying bidders
of public works projects.
DISCUSSION
City staff has prepared the attached Pre-qualification Package for the Tustin Ranch Road, Valencia
Avenue, and Park Avenue Extension and Legacy Road, Phase 2 Roadway Improvements
Construction Project, and has closely followed the DIR model guidelines and templates. The pre-
qualification procedure has been selected for use with the Tustin Ranch Road, Valencia Avenue, and
Park Avenue Extension and Legacy Road, Phase 2 Roadway Improvements Construction Project due
to the very specialized nature of construction, and the complexity of scheduling required for
construction of a this new roadway including a bridge over Edinger Avenue, SCRRA railroad tracks,
and the Santa Ana/Santa Fe Channel. Construction scheduling may prove difficult and will require
significantly more expertise in coordination and facilitation of project progress.
The pre-qualification process will assist staff in determining bidder responsibility prior to submission of
bids and selecting the lowest responsible bidder.
Christine A. Shingleton ou I s .Stack, P.E.
Assistant City Manage Pir tqr Public Works/City Engineer
Attachment: Pre-Qualification Package for the Tustin Ranch Road Phase 2 Construction
S:\City Council Items\2011 Council Items\Approval of Pre-qualification Package for Tustin Ranch Road Phase 2 Construction.docx
REQUEST FOR PRE-QUALIFICATION OF BIDDERS
COMMENCING WITH FORTHCOMING PUBLIC WORK BID
Notice is hereby given that the City of Tustin and the Tustin Community Redevelopment
Agency (collectively the "City") has determined that all bidders on "Tustin Ranch Road,
Valencia Avenue, and Park Avenue Extension and Legacy Road, Phase 2 Roadway
Improvements Construction Project, Project CIP Nos. 70100, 70206, 70204, 70214 &
70215" consisting of a vehicular bridge overpass, roadway improvements, traffic signals,
sound walls, landscape, dry utility, waterline, reclaimed waterline, and sewer line
construction (hereinafter, the "Project") to be undertaken by the City must be pre-qualified
prior to submitting a bid on that project.
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 the
City to be on the final qualified Bidders list.
No bid will be accepted from a Contractor 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 Joint Venture, each entity within the Joint Venture must be separately
qualified to bid.
The last date to submit a fully completed questionnaire is 5:00 P.M., August 25, 2011.
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. The City will use these documents as the basis determining whether a
Contractor will be pre-qualified to bid on the project. The City reserves the right to check
other sources available. The City's decision will be based on objective evaluation criteria.
The City 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 hearing procedures described below for appealing apre-qualification
rating.
While it is the intent of the pre-qualification questionnaire and documents required
therewith to assist the City in determining bidder responsibility prior to bid and to aid the
City in selecting the lowest responsible bidder, neither the fact of pre-qualification, nor any
pre-qualification rating, will preclude the City from a post-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 to the City Clerk at the City of Tustin,
300 Centennial Way, Tustin, CA 92780 under seal and marked:
"CONFIDENTIAL"
"Tustin Ranch Road, Valencia Avenue, and Park Avenue Extension and Legacy
Road, Phase 2 Roadway Improvements Construction Project, Project CIP Nos.
70100, 70206, 70204, 70214 ~ 70215 Pre-Qualification Packages"
The pre-qualification packages (questionnaire answers and financial statements)
submitted by Contractors are not public records 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 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 the City and provide updated accurate
information in writing, under penalty of perjury.
The City 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 the City are open. Contractors who submit a complete pre-
qualification package will be notified of their qualification status no later than five (5)
business days after submission of the information.
The City may refuse to grant pre-qualification where the requested information and
materials are not provided, or not provided by 5:00 P.M., August 25, 2011. There is no
appeal from a refusal for an incomplete or late application, but re-application for a later
project 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
the City of its appeal of the decision with respect to its pre-qualification. rating, no later than
ten (10) business days prior to the closing time for the receipt of bids for this public works
project. Without a timely appeal, the Contractor waives any and all rights to challenge the
decision of the City, whether by administrative process, judicial process or any other legal
process or proceeding.
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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 five (5) business days after the
City's receipt of the notice of appeal, and no later than five (5) business days prior to the
last date for the receipt of bids on the project.
The hearing will be an informal process conducted by a panel to be selected by the City
Manager's office to which the City 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
the City's pre-qualification determination. The Contractor will be given the opportunity to
present information and present reasons in opposition to the rating. Within one (1)
business day after the conclusion of the hearing, the Appeals Panel will render its
decision.
It is the intention of the City 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 the City.
In addition, a contractor may be found not pre-qualified for either:
(1) Omission of requested information or
(2) Falsification of information.
Reviewed and Approved by:
Christine A. Shingleton Date
Assistant City Manager
Douglas S. Stack
Director of Public Works /City Engineer
Date
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PRE-QUALIFICATION QUESTIONNAIRE
CONTACT INFORMATION
Firm Name:
(As it appears on license)
Check One: ^ Corporation
^ Partnership
^ Sole Proprietor
Contact Person:
Address:
Phone:
E-Mail:
Fax:
If firm is a sole proprietor or partnership:
Owner(s) of Company
Contractor's License Number(s):
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PART I
ESSENTIAL REQUIREMENTS FOR QUALIFICATION
Contractor will be immediately disqualified if the answer to any of questions 1, 2, 3,
4, and 5 is "NO". ~
Contractor will be immediately disqualified if the answer to any of questions 6, 7, 8,
9, and 10 is "YES". z
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 Class "A" Califomia Contractor's license
for the projector projects for which it intends to submit a bid.
^ Yes ^ No
2. Contractor has a commercial liability insurance policy with a policy limit of at least
$2,000,000 per occurrence, commercial automobile insurance with a limit of at least
$2,000,000 per occurrence, and Califomia workers' compensation insurance with a
limit of at least $1,000,000. Contractor's insurers are authorized to do business in
the State of Califomia by the Department of Insurance and meet the following
qualifications:
A.M. Best's Key Rating of Grade A and Class VII (seven) (if an Admitted
Insurer), and Grade A- or better and Class X (ten) or better (if offered by a
Surplus Line Broker). Workers' compensation insurance rated Grade B- or
better and Class VII (seven) or better, or offered by the State Compensation
Fund.
^ Yes ^ No
3. Contractor has current workers' compensation insurance policy as required by the
Labor Code or is legally self-insured pursuant to Labor Code section 3700 et. seq.
^ Yes ^ No
A "NO" answer to Question 4 will not be disqualifying if the contractor is exempt from complying
with Question 4, for reasons explained in footnote 3.
z A contractor disqualified solely because of a "YES" answer given to question 6, 7, 9, or 10 may
appeal the disqualification and provide an explanation of the relevant circumstances during the appeal
procedure.
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4. Have you attached your latest copy of a reviewed or audited financial statement
with accompanying notes and supplemental information? 3
^ Yes ^ No
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.
5. Have you attached a notarized statement from an admitted surety insurer
(approved by the Califomia Department of Insurance) and authorized to issue
bonds in the State of California, which states: (a) that your current bonding capacity
is sufficient for the project for which you seek pre-qualification; and (b) your current
available bonding capacity? a
^ Yes ^ No
Note: Notarized statement must be from the surety company, not an agent or
broker.
6. Has your contractor's license been revoked at any time in the last five (5) years?
^ Yes ^ No
7. Has a surety firm completed a contract on your behalf, or paid for completion
because your firm was default terminated 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
a Public Contract Code Section 20101 (e) exempts from this requirement a contractor who has
qualified as a small business pursuant to Government Code section 14837(d)(1), if the bid is "no more
than 25 percent of the qualifying amount provided in section 14837(d)(1)." As of January 1, 2001, the
qualifying amount is $10 million, and 25 percent of that amount, therefore, is $2.5 million.
a An additional notarized statement from the surety may be requested by City at the time of
submission of a bid, if this pre-qualification package is submitted more than 60 days prior to submission
of the bid.
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If the answer is "Yes," state the beginning and ending dates of the period of
debarment:
9. At any time during the last five years, has 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
10. At the time of submission of this pre-qualification package, is your firm, or any
subsidiary, parent, holding company or affiliate, or any of their respective owners,
partners, or officers a plaintiff in an active lawsuit against the City or any of its
agencies?
^ Yes ^ No
Note: For this question, "owner" and "partner" refer to ownership of ten percent or
more of the business, or ten percent or more of its stock, if the business is a
corporation.
PART II
ORGANIZATION, HISTORY, ORGANIZATIONAL PERFORMANCE, AND
COMPLIANCE WITH CIVIL AND CRIMINAL LAWS
A. Current Organization and Structure of the Business
For Firms that are Corporations:
1 a. Date incorporated:
1 b. Under the laws of what State:
1 c. 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 percent of the corporation's stock.
Name Position Years with Co. % Ownership Social Security #
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1 d. Identify every construction firm 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 "partner" refer to ownership of ten percent or
more of the business, or 10 percent or more of its stock, if the business is a
corporation.
Person's Name I Construction Firm Dates of Person's
Participation with Firm
For Firms that are Partnerships:
1 a. Date of formation:
1 b. Under the laws of what State:
1 c. Provide all the following information for each partner who owns 10 percent or more
of the firm.
Name Position Years with Co. % Ownership Social Security #
1 d. Identify every construction company that any partner 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 "partne-" refer to ownership of ten percent or
more of the business, or ten percent or more of its stock, if the business is a
corporation.
-- ----
Person's Name Construction Company Dates of Person's
Particioation with Comoanv
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For Firms that are Sole Proprietorships:
1 a. Date of commencement of business:
1 b. Social security number of company owner:
1 c. Identify every construction firm that the business owner 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 "partner" refer to ownership of ten percent or
more of the business, or ten percent or more of its stock, if the business is a
corporation.
Person's Name I Construction Company Dates of Person's
Participation with Comaanv
For Firms that Intend to Make a Bid as Part of a Joint Venture:
1 a. Date of commencement of joint venture:
1 b. Provide all of the following information for each firm that is a member of the joint
venture that expects to bid on one or more projects:
Name of firm
Ownership of Joint Venture
B. History of the Business and Organizational Performance
2. Has there been any change in ownership of the firm at any time during the last
three years?
Note: A corporation whose shares are publicly traded is not required to answer this
question.
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^ Yes ^ No
If "yes," explain on a separate signed page.
3. Is the firm a subsidiary, parent, holding company or affiliate of another construction
firm?
Note: Include information 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 ^ No
If "yes," explain on a separate signed page.
4. Are any corporate officers, partners or owners connected to any other construction
firms?
Note: Include information about other firms 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.
5. State your firm's gross revenues for each of the last three years:
6. How many years has your organization 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.
8. 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)
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^ 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, and a copy of the
Bankruptcy Court's discharge order, or of any other document that ended the
case, if no discharge order was issued.
Licenses
9. List all California construction license numbers, classifications and expiration dates
of the California contractor licenses held by your firm:
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 your firm changed names or license number in the past 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 name in the last five years?
^ Yes ^ No
If "yes," explain on a separate signed page, including the reason for the change.
13. Has any CSLB license held by your firm or its Responsible Managing Employee
(RME) or Responsible Managing Officer (RMO) been suspended within the last
five years?
^ Yes ^ No
If "yes," please explain on a separate signed sheet.
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Disputes
14. At any time in the last five years has your firm been assessed liquidated
damages after completion of a project under a construction contract with either a
public or private owner?
^ Yes ^ No
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 from bidding on, or completing, any government agency or
public works project for any 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 1 c or 1 d above.
^ Yes ^ No
If "yes," explain on a separate signed page. 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 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.
16. 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 responsible
bidder?
^ 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 by the public agency.
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 "pass-through" 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 $50,000.
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17. In the past five years has any claim against your firm concerning your firm's 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
of the status of the claim (pending or, if resolved, a brief description of the
resolution).
18. In the past five years has your firm made any claim against a project owner
concerning work on a project or payment for a contract and filed that claim in court
or arbitration?
^ Yes ^ No
If "yes," on separate signed sheets of paper identify the claim by providing 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 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 behalf, in
connection with a construction project, 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.
20. 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
If "Yes", explain on a separate signed page. Name the insurance carrier, the form
of insurance and the year of the refusal.
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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.
22. Has your firm or any of its owners, officers or partners ever been convicted of a
crime involving any federal, state, or local law related to 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 percent for a
performance and payment bond on any 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 percent, if you wish to do so.
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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 in place during a public construction project when one was required?
^ Yes ^ No
If "Yes", provide details on a separate signed sheet indicating the date when your
firm was denied 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 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 yet ruled on your appeal, you need not
include information about it.
^ Yes ^ No
If "Yes", attached a separate 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.
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29. Has the Federal Occupational Safety and Health Administration cited and
assessed penalties against your firm in the past five years?
Note: If you have filed an appeal of a citation and the Appeals Board has not yet
ruled on your appeal, or if there is a court appeal pending, you need not
include information about the citation.
^ Yes ^ No
If "Yes", attach a separate signed page describing each citation.
30. Has the EPA or any Air Quality Management District 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?
Note: If you have filed an appeal of a citation and the Appeals Board has not yet
ruled on your appeal, or if there is a 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 your 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 your firm had
employees but was without workers' compensation insurance or state-approved
self-insurance?
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^ Yes ^ No
If "Yes", please explain the reason for the absence of workers' compensation
insurance on a separate signed page. If "No," 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 firm 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.
^ Yes ^ No
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 firm has been penalized or required to pay back wages for failure to comply
with the Federal Davis-Bacon prevailing wage requirements?
^ Yes ^ No
If "Yes", attach a separate signed page or pages describing the nature of the
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, 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 the City.
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37. 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
apprenticeships in each craft while employed by your firm.
38. 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 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).
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PART III
RECENT CONSTRUCTION PROJECTS COMPLETED
39. Contractor shall provide information about its six public works projects and its three
most comparable private projects within the last three years.5 At least six of the
projects submitted must be in California comparable in scope and quality with the
project and have a contract value at least $10,000,000. 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 Construction (including change orders):
Original Scheduled Completion Date:
Time Extensions Granted (number of days):
Actual Date of Completion:
e If you wish, you may, using the same format, also provide information about other projects that
you have completed that are similar to the project(s) for which you expect to bid.
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*~*****
I, the undersigned, certify and declare that I have read all the foregoing
answers to this prequalification questionnaire and know their contents. The matters
stated in the questionnaire answers are true of my own knowledge and belief,
except as to those matters stated on information and belief, and as to those matters
I believe them to be true. I declare under penalty of perjury under the laws of the
State of California, that the foregoing is correct.
Dated:
(Signature)
(Print Name)
(Title)
(Firm Name)
21
LIST OF SCORABLE QUESTIONS
AND
SCORING INSTRUCTIONS
22
LIST OF SCORABLE QUESTIONS AND SCORING INSTRUCTIONS
The scorable questions arise in three different categories:
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 City or the City's authorized representative of
project managers on projects completed recently by the contractor) are included in Part III.
This last category also includes a scoring of the number of recently completed projects
that are similar to the project on which pre-qualification is at issue.
Note: Not all questions in the questionnaire are scorable. Some questions simply ask for
information about the contractor firm's structure, officers and history. This document
includes only those questions that are "scorable."
Scores Needed for Prequalification
To prequalify, a contractor would be required to have a passing grade within each of the
three categories referred to above.
Part I. History of the business and organizational performance
The passing score is 64 on this portion of the questionnaire of a maximum score of 80 on
this portion of the questionnaire.
Part II. Compliance with occupational safety and health laws, workers'
compensation and other labor legislation
The passing score is 44 on this portion of the questionnaire of a maximum score of 55
points on this portion of the questionnaire.
Part 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, the City or
the City's authorized representative will interview. project managers for the owners of two
completed projects.
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The City will utilize a scoring system that will allow a maximum score of 100 points for
each interview. For these questions, the passing score for each of two interviews is 80
points or more.
Part I
Questions about History of the Business and Organizational
Performance
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 less = 2 points
4 years = 3 points
5 years = 4 points
6 years or more = 5 points
2. Is your firm currently the debtor in a bankruptcy case?
^ Yes ^ No
No = 5 points Yes = 0 points
3. Was your firm in bankruptcy 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
No = 5 points Yes = 0 points
4. Has any CSLB license held by your firm or its Responsible Managing Employee
(RME) or Responsible Managing Officer (RMO) been suspended within the last five
years?
^ Yes ^ No
No = 5 points Yes = 0 points
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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
liquidated damages = 5 points
Two projects with liquidated damages of more than $50, 000 = 3 points
Any other answer = 0 points
6. 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 from bidding on, or completing, any government agency or
public works project for any reason?
Note: "Associated with" refers to another construction firm in which an owner,
partner or officer of your firm held a similar position.
^ 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 responsible
bidder?
^ 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 "pass-through" 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 $50,000.
8. In the past five years, has any claim against your firm concerning your firm's work
on a construction project been filed in court or arbitration?
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^ Yes ^ No
If the firm's average gross revenue 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
0 points for "Yes" if more than 2 such instances.
If your firm's average gross 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 instances
9. In the past five years, has your firm made any claim against a project 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 were 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 average gross revenues for the last three years were 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 instances
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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 behalf in connection
with a construction project, either public or private?
^ Yes ^ No
5 points for either "No" or "Yes" indicating 1 such claim
3 points for "Yes" indicating no more than 2 such claims
Subtract 5 points for "Yes" if more than 2 such claims
11. 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
5 points for either "No" or "Yes" indicating 1 such instance
3 points for "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 found guilty in a criminal action, for making any false claim or material
misrepresentation 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
crime involving any federal, state, or local law related to construction?
^ Yes ^ No
No = 5 points Yes =subtract 5 points
14. 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?
27
^ Yes ^ No
No = 5 points Yes =subtract 5 points
15. If your firm was required to pay a premium of more than one percent (1%) for a
performance and payment bond on any 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 you wish to do so.
5 points if the rate is no more than 1
3 points if the rate was no higher than 1.10
0 points for any other answer
16. 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 = 5 points Yes = 0 points
Part II
Questions about Compliance with Safety, Workers Compensation,
Prevailing Wage, and Apprenticeship Laws
1. Has CAL OSHA cited and assessed penalties 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 yet ruled on your appeal, you need not
include information about it.
^ Yes ^ No
If the firm's average gross revenues for the last three years were less than $50
million, scoring is as follows:
28
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 the firm's average gross revenues for the last three years were 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 instances
2. Has the Federal Occupational Safety and Health Administration cited and assessed
penalties against your firm in the past five years?
Note: If you have filed an appeal of a citation and the appropriate appeals Board
has not yet ruled on your appeal, you need not include information about it.
^ Yes ^ No
If yes, attach a separate signed page describing each citation.
If the firm's average gross revenues for the last three years were 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" or if more than 2 such instances
If the firm's average gross revenues for the last three years were 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 instances
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3. Has the EPA or any Air Quality Management District 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?
Note: If you have filed an appeal of a citation and the Appeals Board has not yet
ruled on your appeal, or if there is a court appeal pending, you need not
include information about the citation.
^ Yes ^ No
If the firm's average gross revenues for the last three years were 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" or if more than 2 such instances
If the firm's average gross revenues for the last three years were 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 instances
4. How often do you require documented safety meetings to be held for construction
employees and field supervisors during the course of a project?
5 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 the past three premium years:
Note: An Experience Modification Rate is issued to your firm annually by your
workers' compensation insurance carrier.
Current year:
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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 attach a
letter of explanation.
Note: An Experience Modification Rate is issued to your firm annually by your
workers' compensation insurance carrier.
5 points for three-year average EMR of 0.95 or less
3 points for three-year average of EMR of more than 0.95 but no more than 1.00
0 points for any other EMR
6. Within the last five years, has there ever been a period when your firm had
employees but was without workers' compensation insurance or state-approved
self-insurance?
^ Yes ^ No
5 points for either "No" or "Yes" indicating 1 such instance
0 points for any other answer
7. Has there been more than one occasion during the 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?
^ Yes ^ 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 were less than $50
million, scoring is as follows:
5 points for either "No, " or "Yes" indicating either 1 or 2 such instance
3 points for "Yes" indicating 3 such instances
0 points for "Yes" and more than 3 such instances
31
If your firm's average gross revenues for the last three years were 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
8. During the last five years, has there been more than one occasion on which your
own firm has been penalized or required to pay back wages for 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 were less than $50
million, scoring is as follows:
5 points for either "No, " or "Yes" indicating either 7 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 were 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
9. Provide the name, address and telephone number of the apprenticeship program
sponsor(s) (approved 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 the City.
5 points if at least one approved apprenticeship program is listed
0 points for any other answer
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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
apprenticeships 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
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 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).
If your firm's average gross revenues for the last three years were less than $50
million, scoring is as follows:
5 points for either "No,"or "Yes" indicating either 7 or 2 such instance
3 points for "Yes" indicating 3 such instances
0 points for "Yes" and more than 3 such instances
33
If your firm's average gross revenues for the last three years were 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
Part III
Reference Interview Questions
The following questions will be used to interview selected contacts from at least two
projects that have been completed by the contractor. The City may conduct the interviews
at the City's own discretionary. No action on the contractor's part will be necessary. These
questions are included in the package given to the contractor for information purposes
only.
The highest possible score for each interview is 100 points. A score of less than 80 points
on either interview will automatically disqualify the contractor from further consideration.
1. Provide a brief description of the project.
2. Are there any outstanding stop notices, liens, or claims by the contractor that
are currently unresolved on contracts for which a notice of completion was
recorded more than 120 days ago? (1 point for each is deducted from the
overall score; maximum amount to be deducted is 5 points).
3. On a scale of 1-10, with 10 being the best, did the contractor provide adequate
personnel, supervision, and equipment to successfully prosecute the work?
(Maximum 10 points).
4. 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, scheduling
updates, and close-out documents? (Maximum 10 points).
5. On a scale of 1-10, with 10 being the best, did the contractor adhere to the
project schedule that your agency approved? (Maximum 10 points).
6. Was the project completed on time? (10 points is the answer is "Yes"). If the
answer is "No," on a scale of 1-10, with 10 being the best, to what extent was
the contractor responsible for the delay in completion? (Award appropriate
points).
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7. On a scale of 1-10, with 10 being the best, rate the contractor on the timely
submission of reasonable cost and time estimates to perform change order
work. (Maximum 10 points).
8. On a scale of 1-10, with 10 being the best, rate the contractor on how well the
contractor performed the work after a change order was issued, and how well
the contractor integrated the change order work into the existing work.
(Maximum 10 points).
9. On a scale of 1-10 with 10 meaning little or none, 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. (Maximum 10 points).
10. On a scale of 1-10, 10 being the best, rate the contractor with respect to the
timely payments by the contractor to either subcontractors or suppliers.
(Maximum 10 pints).
11. On a scale of 1-10, with 10 being the best, how would you rate the quality of the
work overall? (Maximum 10 points).
35