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HomeMy WebLinkAbout06 PRE-QUALIFIED CONTRACTORS TUSTIN RANCH ROAD~ R ~ p Agenda Item 6 ~' ~~ ~ 1 tl D~ ~ ~ 1 ~ RT Reviewed: ~ f " ~-- City Manager ~ Finance Director N/A MEETING DATE: OCTOBER 4, 2011 TO: WILLIAM A. HUSTON, INTERIM CITY MANAGER AND EXECUTIVE DIRECTOR FROM: REDEVELOPMENT AGENCY & PUBLIC WORKS DEPARTMENT SUBJECT: APPROVAL OF PRE-QUALIFIED GENERAL CONTRACTORS FOR CONSTRUCTION OF THE TUSTIN RANCH ROAD, VALENCIA AVENUE, PARK AVENUE, AND LEGACY ROAD PH. 2 ROADWAY IMPROVEMENTS CONSTRUCTION PROJECT CIP NOS. 70100, 70204, 70206, 70214, & 70215 SUMMARY The general contractors for construction of Tustin Ranch Road, Valencia Avenue, Park Avenue, and Legacy Road Ph. 2 Roadway Improvements Construction Project (CIP No.'s 70100, 70204, 70206, 70214, & 70215} have been pre-qualified and are ready to be approved as eligible to bid the project. RECOMMENDATION It is recommended that the City Council and the Tustin Community Redevelopment Agency (Agency) approve the eligible pre-qualified general contractors as identified to bid the construction of the Tustin Ranch Road, Valencia Avenue, Park Avenue, and Legacy Road Ph. 2 Roadway Improvements Construction Project (CIP No.'s 70100, 70204, 70206, 70214, & 70215). FISCAL IMPACT There is no fiscal impact associated with this action. DISCUSSION Pursuant to Public Contract Code 20101, on July 19, 2011 the City Council and Agency approved a pre-qualification package for general contractors, utilizing apre-qualification process modeled after the California Department of Industrial Relations guidelines, for construction of the Tustin Ranch Road, Valencia Avenue, Park Avenue, and Legacy Road Ph. 2 Roadway Improvements Construction Project. The pre-qualification procedure was selected for the construction of the Tustin Ranch Road, Valencia Avenue, Park Avenue, and Legacy Road Ph. 2 Roadway Improvements Construction Project due to the specialized nature of construction and the complexity of scheduling required for construction of these new roadways including deep IRWD underground utility improvements in the vicinity of ongoing Navy groundwater clean-up operations and 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 City Council approved pre-qualification questionnaire is attached for reference. The pre-qualification questionnaire consisted of three (3} parts: Part I -Essential Requirements for Qualification, Part II -Organization, History, Organizational Performance, Compliance with Civil and Criminal Laws and, and Part III -Recent Construction Projects Completed. Each of the above Pre-qualified Contractors far TRR, Valencia, Park, and Legacy Ph. 2 Roadway Project October 4, 2011 Page 2 Parts included numerical, scorable questions as well as a series of "yes" and "no" questions. The majority of contractors successfully completed the scorable questions in the pre-qualification package. Whether a respondent was determined pre-qualified was based upon scores achieved by assigning point values to completed responses in Parts 1, 11, and III described above. A passing score in Part I was 64 out of 80 possible points, Part II was 44 out of 55 possible points, and Part III was 80 out of a possible 100 points. On August 25, 2011, the City received submittals under the pre-qualification process from twelve (12) general contractors for this project. As a result of review of the stipulated essential requirements for qualification and analysis completed by City staff, it has been determined that ten (10) of the twelve (12) general contractors have successfully met the minimum requirements of pre-qualification for this project, and will be eligible to bid when this project is advertised for bid. The list of the eligible pre-qualified general contractors is as follows: • All American Asphalt • C.C. Myers, Inc. • Flatiron West, Inc. • FTR International, Inc. • Griffith Company • Los Angeles Engineering, Inc. • R.J. Noble Company • Sequel Contractors, Inc. • Shawnan • Skanska As identified in the original Request for Pre-Qualification, the pre-qualification packages (respondent questionnaire answers and financial statements} submitted by prospective contractors are not public records and are not open to public inspection. All information provided is 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 an appeal hearing. State law requires that names of contractors applying for pre-qualification status shall be public record subject to disclosure, and the first page of the questionnaire is used for that purpose. A list of those general contractors that were not determined qualified based on the adopted Request for Pre-Qualification are also attached. ,f ~ ~, Christine Shingleton Assistant City Manager pow~ls S. Stack C~ir~ct~r of Public WorkslCity Engineer x Attachment A: City Council Approved Pre-Qualification Questionnaire Attachment i3: List of Contractors Not Determined Qualified S:1City Council Items~2011 Council Items\Approval Of Pre-Qualified General Contractors For TRR, Valencia, Park, & Legacy Ph. 2 Roadway Project.docx Attachment A 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 8 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 teamed 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 ire-quaiificatior~ packages ahouki be submitted to the City Clerk at the City of Tustin, 3dfl Centennial V1tay, Tustin, CA 92784 under seal and marked: "CONi=1®EN`nAis" 2 decision of the City, whether by administrative process, judicial process or any ether legal pr s or pro ding. !f the Contractor gives the required notice of appeal and requests a hearing, the hearing she!! be conducted so that it is concluded na later than five (5} business days after the City`s receipt of the notice of appeal, and no later than fare {5) business days prior to the last date for the receipt of bids an the project. The hearing will be an informal process conducted by a panel to be selected by the City Managers tsffice 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 far 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 an a specific public works contract to be let by the City. In addition, a contractor may be found net pre-qualified for either: (1} C?m%ssion of requested information or {~) Falsification of information. Reviewed and Approved by: Christine A. Shingleton Assistant City Manager fi }~ //~~!! (f~y~ /. ffJ , r i ` ~ I r 1r F Il /y :~. , 1 . ~4 a~~ a~' ~, s .. cif Public Works 1 City Engineer '~'-,/,' Date ' n ~ r r 3 ~'RE-~IALIFAT~O-l~ t~UET0~1 #RE CONTACT iiNFORNIATION Firm Name: (As it appears on license) Check One: ^ Corporation ® Partnership ,^ Sole Proprietor Contact Person: Address: Phone: E-Mail: Fax: it firm is a Sole proprietor or partnership: Owner(s) of Company Contractor's t~icense Number(s): 5 PART I ESSENTIAL REQUIREMENTS FOR QUALIFICATION Contractor will be immediately dlsquallfied `rf the answer to any of questians 1, 2, 3, 4, and 5 is "NO" ' Contractor will be immediately disqualJfied if the answer to any of questions 6, 7, 13, 9, and 10 is `°YES", s If the answer to question 8 Is "YES", and if debarment would be the sole reason far denial of pre-qualification, any pre-qualification issued wlJl exclude the debarment period. Contractor possesses a valid and current Class "A" California Contractor's license for the pro}ect ar projects far which it intends to submit a bid. [] Yes [~ No 2. Contractor has a commercial liability insurance policy with a policy 4imit of at least $2,QOO,OOC} per occurrence, commercial automobile insurance with a limit of at least $2,OC~0,000 per occurrence, and California workers' compensation insurance with a limit of at least $1,000,~(~4. Contractor's insurers are authorized to do business in the State of California by the Department of Insurance and meet the fallowing qualifications: A,M. Best"s Key Rating of Grade A and Class !/II seven} (if an Admitted Jnsurer}, 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) ar 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 X700 et. seq. Yes [~ No ' A u~QM answer tb Question 4 will not be disqualifying if the contractor is exempt from complying with Question 4, for reasons explained in footr-ote 3. z A contractor disqualified safely because of a "Y>rS' answer given to question 6, 7, 9, or 1CY may appea{ the disqualfication and provide an explanation of the relevant circumstances during the appeal procedure. 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 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 fnancial statement. 5. Have you attached a notarized statement from an admitted surety insurer (approved by the Califamia Department of Insurance] and authorized to issue bonds in the State of California, which states; (aj that your current bonding capacity is sufficient for the project for which you seek pre-qualification; and (bj 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 (5j 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 (5j 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 Cole section 1777.1 or labor Code section 1777.7? ^ Yes ^ No a Public Contract Code section 2t}1i31(e) exempts from this requirement a contractor who has qualified as a smaA business pursuant to Government Code section 14837(4}(1), if the bid is '"no more than 25 percent of the qualifying amount provided in section 14837{4}t1j."' As of January 1, 2Ctoi, the qualifying amount is $10 million, and 29 percent of that amount, therefore, is $2.S million. ' An additional nobrize4 statement from the surety may be requeste4 by City at the time of submission of a bid, if this pre-qualification package is submitted more than S{7 days prior to submission of the bid. 7 If the answer is "Yes," state the beginning and ending dates of the period of debarment: g. At any time during the last five years, has your firm or any of its owners ar officers been convicted of a crime involving the awarding of a contract of a government construGt)on project, or the bidding or performance of a government contract? Yes ^ Iva 1 Q. At the time of submission of this pre-qualification package, is your firm, or any subsidiary, parent, ho)ding Company ar affiliate, or any of their respective owners, partners, ar officers a plaintiff in an active lawsuit aga)nst the City or any of Its agencies? [~ Yes ^ No Note: For th)s question, "owner" and "partner" refer to awnersh)p of ten percent or more of the business, or ten percent or more of its stock, if the business is a corporation. PART 11 C?RGANIZATION, HISTORY, ORGANIZATIONAL PERFORMANCE, AND COMPLIANCE WITH CIVIL AND CRIMINAL LAWS A. Current Organization and Structure of the Business For F~ms that are Coroorat)ons: 1 a. Date incorporated: f b. Under the laws of what State: __ __. 1 G. Provide all the fallowing )nfarmation for each person who is either {a} an officer of the Gorpora6on {president, vice president, secretary, treasurer}, ar {b} the owner of at least ten percent of the corporation's stack, Name j Pos)tion ;Years with Co. °lo Ownership !Social Security # 8 1 d. Identify every canstruction 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 Construction Firm ?Dates of Person's ! Participation with Firm I For Firrns 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 1 U percent or more of the firm. Name Position Years with Co. ' °to Ownership Social Security # 1 d. Identify every construction company that any partner has been associated with ijas 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 ar mare of the business, or ten percent or more of its stock, if the business is a corporation. ` Person's Name TConstruction Company Dates of Person`s Participation with Campanv 9 Far Firms that are Sale Praprietarships: 1a. Date of commencement of business: 1 b. Social security number of company owner: j c. Identify every construcfiion firm that the business awner has been associated with (as owner, general partner, limitet~ partner ar officer} at any time during the last five years. Nate: Far this question, "awner" and "partner'' refer fia ownership of ten percent ar mare of the business, or ten percent ar mare of its stack, if the business is a corporation, Person's Name Construction Company ~ Dates of Person's ~ Participation with Campanv For Firms that Intend to Make a Bid as Part of a Joint Ven~„ure: 1 a. Date of commencement of joint venture: 1 b. Provide all of the fallowing information far each firm that is a member of the joint venture that expects to bid on one or mare projects: B. History of the Business and Organizational Performance ~. Has there been any change in ownership of the firm at any time during the last three years? Note: A corporation whale shares are publicly traded is not required to answer this question. 10 ^ Yes o Na If "yes," explain on a separate signed page. 3. is the firm a subsidiary, parent, holding company ar affiliate of another construction firm? Note: Inciude information about ether firms if one firm awns 50 percent or more of another, ar if an owner, partner, ar affcer 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 ar owners connected to any other construction firms? Nate. include snfiarmation about other firms ifi an owner, partner, or officer afi your firm holds a similar position in another firm. ^ Yes ^ No If "yes," explain an a separate signed page, 5. State year firm's grass revenues for each of the iast three years. 6. i~aw many years has your organization been in business in California as a contractor under your present business name and ]"rcense number? Years 7. is your firm currently the debtor in a bankruptcy case? QYes ^Na If "yes," please attach a copy of the bankruptcy petition, showing the case number, and the date an 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, shave} 11 [~ Yes Q Na if "yes," please aftach a capy of the bankruptcy petition, showing the case number and the date on which the petition was filed, and a capy 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 Califomia construction license numbers, ciassifications and expiration dates of the California contractar 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 an the C5t_B records who meet{s}the experience and examination requirements for each license. a 11. Flas your firm changed names or license number in the past five years? ^ Yes ^ No Jf "yes,'° explain on a separate signed page, including the reason for the change, ?~. Has any owner, partner ar {for corporations .) officer of your firm operated a construction firm under any other name in the last five years? ^ Yes ^ No If "yes,°' explain an a separate signed page, including the reason for the change. 13. Nas 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 Q lva If °yes," please explain an a separate signed sheet. 12 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, ~5. In the last five years has your firm, or any firm with which any of your company's owners, officers or partners was associated, bean 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 far the action. 16, In the last five years has your firm been dented 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 far 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,~OQ. 13 ~ 7. In the past five years has any claim against year firm concerning year firm's wark an a construction praject been filed in court ar arbitration? ^ Yes ^ Na if "Yes", on separate signed sheets ofi paper identify the claims} 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 praject owner concerning work on a praject or payment far a contract and filed that claim in court ar arbitration? ^ Yes ^ Na If "yes," on separate signed sheets of paper identify the claim by providing the project name, date of the claim, name of the entity {ar entities} against wham the claim was fled, a brief description of the nature of the claim, the court in which the case was filed and a brief description of the status ofi the claim (pending, ar if resalved, a brief description of the resolution). 19. At any time during the past five years, has any surety company made any payments an your firm`s behalf as a result of a default, to satisfy any claims made against a performance or payment band issued on your firm's behalf, in connection with a construction praject, either public ar private? ^ Yes ^ No if "yes," explain on a separate signed page the amaunt of each such claim, the Warne and telephone number of the claimant, the date ofi the claim, the grounds far the claim, the present status of the claim, the date of resolution of such claim if resolved, the method by which such was resalved if resalved, the nature of the resolution and the amaunt, if any, at which the claim was resalved. 2{~. !n the last five years has any insurance carrier, far any farm of insurance, refused to renew the insurance policy far year firm? ^ Yes ^ No If "Yes", explain an a separate signed page. Name the insurance carrier, the farm of insurance and the year of the refusal. 14 Criminal Matters and Related Civ%! 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 'rf 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 companylsurety: Name of surety agent, address and telephone number: ~5. If your firm was required to pay a premium of more than one percent for a performance and payment bond on any projects} 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. 15 26. List all ether sureties iname and full address) that have written bands for yaur 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 Labar Legislation Safety 28. Has CAL OSHA cited and assessed penalties against your term for any "serious,,` "willful" or °repeat" violations of its safety or health regulations in the past five years? Note: If you have flied 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. 16 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 awner of a project on which your firm was the contractor, in the past five years? Note: If you have fled 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 ret~uire documented safety meetings to be held for construction employees and field supervisors during the course of a project? 32. List your firm's Experience Modifrcation Rate (E~11R} (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 EN1R 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 year firm had employees but was without workers' compensation insurance of state-approved self-insurance? 17 ~ Yes [~ Na If "Yes", please explain the reason for the absence of wavers' compensation insurance on a separate signed page. If "No "please provide a statement by your cun'enf workers' compensatian insurance carrier that verifies periods of workers' compensation insurance coverage for the last five years, (If year firm has been in the construction business far less than t7ve years, provide a statement by year workers' compensation insurance carrier verifying continuous workers' compensation insurance coverage far the period that year firm has been in the construction business). Prevailing Wage and Apprenticeship Compliance Record 34. Nas there been mare than one occasion during the {ast five years in which your firm was required to pay either back wages or penalties far your own firm's failure to comply with the State's prevailing wage laws? Nate: This question refers only to year own firm's vialatian of prevailing wage laws, hat to violations of the prevailing wage laws by a subcantrac#or. ^ 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 amaunt 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 awn firm has been penalized ar required to pay back wages far failure to comply with the Federal Davis-Bacon prevailing wage requirements? Yes ^ No if "Yes", aftach a separate signed page ar 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 slang with the amaunt of any penalty paid. 36. Provide the name, address and telephone number of the apprenticeship program (approved by the California Apprenticeship Council) from wham you intend to request the dispatch of apprentices to your company for use an any public work project far which you are awarded a contract by the City, 18 37. If your firm operates its own State-approved apprenticeship program: (a} Identify the craft or crafts in which your firm previded apprenticeship training in the past year. (b} State the year in which each such apprenticeship program was appraved, and attach evidence of the most recent California Apprenticeship Council approvals} of your apprenticeship programs}, (c} State the number of individuals wha were employed by year frrm as apprentices at any time during the past three years in each apprenticeship and the number of persons wha, dur'sng the past three years, ctympleted 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 prevision 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 en a project, had na knowledge of the subcontractor's violation at the time they occurred. ^ Yes ~ No If "Yes"', provide the dates} of such findings, and attach copies of the Department`s final decisions}- 19 PART III RECENT CONSTRUCTION PR®JECTS CC}MPLETED 39. Contractor shall provide information about its six public works projects and its three mast comparable private projects within the last three years.s At least six of the projects submitted must e in California comparable in seeps and quality with the project and have a contract value at least $10,400,000. 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: tf you wish, you ray, using the same fam~sat, also provide information about other projects that you have composted that are similar to the project{s}for which you expect to bid. 20 ~ # # t t !, 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) (Ttle) {Firm Name) 21 LIST t~F CCU LE STION AND IN I ®r DTI NS ~~ LIST CIF SCt~RABLE QUESTlaNS AND SC(JRlG INSTRt1CTIt~NS The storable 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 legislations and III. Completion of recent projects and quality of perforrnante. The interview questions (interviews by the City or the City's authorized representative of prajett 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 "storable." Scores Needed for Prequalificatian To prequalify, a contractor would be required to have a passing grade within each of the three categories referred to above. Part f. History of the business and organi2ational performance The passing store is 64 on this portion of the questionnaire of a maximum score of $0 on this portion of the questionnaire, Part Il. 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 ill. 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. 23 The City will utilize a scoring system that will allow a maximum score of 1©0 points for each interview. For these questions, the passing score for each of two interviews is 80 points or more. Part 1 Questions about History of the business and Organizations[ performance 1. Now many years has your organization been in business in California as a contractor under yaur 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 ~. Is your firm currently the debtor in a bankruptcy case? ^ Yes ^ No No = 5 points Yes = 0 pt~ints 3, tNas 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 paints 4. Nas any CSIrB 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 N®= 5 points Yes = 0 paints 24 5. At any time in the last five years, has year firm been assessed and paid liquidated damages after campEetion of a project, under a construction contract with either a public ar private awner? ^ Yes ^ No No projects with liquidated damages of m©ra than $50,000 or one project with Liquidated damages = 5 paints Two projects with liquidated damages of more than $50,000 = 3 points Any other answer = 0 points 6. In the East five years has your flm~, or any firm with which any of year company's owners, officers ar partners was associated, been debarred, disqualified, removed ar otherwise prevented from bidding on, or completing, any government agency ar public wanks project for any reason? Nate: "Associated with" refers to another construction firm in which an awner, partner or afFicer of your f rm held a similar position, ^ Yes ^ No No = 5 points Yes = 0 points 7. In the last five years, has year firm been denied an award of a public works contract based an a finding by a public agency that your company was net a responsible bidder? ^ Yes ^ No Nv = 5 points Yes = 0 points Nate: The fallowing two questions refer only to disputes between year firm and the awner of a project. You need net include information about disputes between your firm and a supplier, another contractor, or subcontractor. You need net include information about "pass-through" disputes in which the actual dispute is between e sub-contractor and a project awner. Also, you may emit reference to all disputes about amounts of less than $50,000. $. In the past eve years, has any claim against yaur firm concerning yaur firm`s wank an a construction project been filed in court ar arbitration? 25 C~ Yes C] Na If the firm"s average grass revenue for the last three years was less than $50 million, scoring is as fallaws: 5 paints far either "iVa" ar "Yes° indicating ?such instance 3 paints far "Yss"indicating 2 such insfances 0 paints far "Yes" if mare than 2 such instances. If year firm's average grass revenue for the last three years was more than $5~ millian, scaring is as fallaws: J paints far etcher "Na" ar +`Y@S" iC}dlCc'~tlt7g ~, .~, ar ~ ,iUC~°? %t? st~nCE'S 3 paints for "Yes" indicating either 4 or 5 such insfances 0 paints far "Yes" if mare than 5 such instances 9. In the past five years, has your firm made any claim against a praject awner cancerning wark on a project or payment far a cantract, and filed that claim in caurt ar arbitratian? [] Yes ^ R!a Ifi year firm's average grass revenues far the last three years were less than $50 millian scaring is as fal(aws~ 5 paints far either "Na" ar "Yes" indicating 7 such instance 3 paints far "Yes" indicating 2 such instances 0 paints far "Yeses if mare than 2 such instances if your firm's average grass revenues far the last three years were mare than $50 millian, scaring is as fallaws: 5 points far either "Na" ar "Yes" indicating 7, 2, ar 3 such instances 3 paints far "Yes" indicating either 4 ar 5 such instances D paints far "Yes" it mare than such instances ~6 0. 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 bflnd issued on your farm's behalf in connection with a construction project, either public car private? ^ Yes ^ No 5 points for either "No" or `Yes" indicating 1 such claim 3 points for "Yes" indicating no rrrare 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 farm of insurance, refused to renew the insurance policy for your firm? ^ Yes ^ No 5 points for either "Na" 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 paints Yes =subtract 5 points 13. Nas your frm 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. Nas 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 = paints Yes = sg~tr~ct ~ points 15. If your firm was required to pay a premium of mare than one percent (1%) for a performance and payment bond on any project(s) on which your firm worsted at any time during the Last three years, state the percentage that your firm was required to pay. You may provide an explanation far a percentage rate higher than one per cent, if you wish to do so, °/a 5 points if the rafe is na more than 1 °!o 3 paints if the rate was na higher than 1.10 0 points for sny 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 paints Yes = 0 paints Fart 11 Questians about Compliance with Safety, Workers Compensation, Prevailing Wage, and Apprenticeship Laws 1. Nas 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 Q No if the firm's average grass revenges far the last three years ware less than $50 millian, scaring is as fallaws: 2$ 5 points for either "!Vo" or "Yes" indicating 1 such instance 3 points for "Yes" indicating ~ such instances D points for "Yes" if more than 2 such instances if the firm's average gross revenges for the last three years were more than $5t3 minion, 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 Q points for "Yes" if more than 5 such instances 2. Has the Federal Occupataanai Safety and Health Administration cited and assessed penalties against your firm in the past five years'? Nate if you have filed an appeal of a citation and the appropriate appeals Board has not yet ruled an year appeal, you need not include information about it, Yes ^ Na If yes, attach a separate signed page describing each citation. !f fhe arm's average gross revenues for the last three years were fens than $50 million, scaring is as follows; 5 points for either "No"' or "Yes" indicating 1 such instance 3 points for "Yes" indicating 2 such instances 0 paints for "Yes" or if more than 2 such instances if the firm's average grass revenues for the loaf three years were more than $50 million, scoring is as follows: 5 points for either "No" ar "Yes" indicating 7, ~, or 3 such instances 3 points for ayes" indicating either 4 or 5 such instances 0 points for "Yes" if more than 5 such instances 29 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 awner of a project an which year firm was the contractar, in the past five years? Note: if you have filed an appeal of a citation and the Appeals Board has not yet ruled on year appeal, or if there is a court appeal pending, you need not include informatian about the citation. ^ Yes ^ No if the firm's average gross revenges for The last three years were less than $50 million, scoring is as follows: 5 paints for either "No" or "Yes" indicating 1 such instance 3 paints 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 fellows: 5 points far either "No" or "Yes" indicating ~, 2, or 3 such instances 3 points far "Yes" indicating either 4 ar 5 such instances 17 paints for "Yes"' if more than 5 sgch instances 4. Haw often do you require documented safety meetings to be held for canstructian employees and Feld supervisors during the course of a praject? 5 points far an answer of ante each week or more often 0 points for any other answer 5. List year fim~°s Experience Modification Rate {EMR) {California workers' compensation insurances for each of the past three premium years: Nate: An Experience ModiFcatian Rate is issued to your firm annually by your warkers' compensation insurance carrier. Current year: 30 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 paints for three-year average EMR of (? .95 or less 3 points far three-year average of EMR of more than 0.95 but na mare than 9.04 0 paints for any ether 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 paints for either "IVa" ar "Yes" indicating ?such instance 4 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? Q Yes ^ No Nate: 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 year frrrra's average grass revenues far the fast three years were less than $50 million, scoring is as follows: 5 paints for either "No, " ar "Yes" indicating either 9 or 2 such instance 3 paints for °Yes"indicating 3 such instances 0 points far "Yes" and more than 3 such instances 31 If year firm's average grass revenges far the last three years were mare than $5g million, scaring is as fallaws; 5 paints far either "1Va" ar `Yes" sndicating na mare than 4 sgch instances 3 points far `Yes° indicating either 5 or 6 such instances 0 points for "Yes" and mare then &sgch instances ~. 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 f=ederal Davis-Bacon prevailing wage requirements? ^ Yes ~ N o If year firm's average gross revenges for the last three years were less than $5Q million, scoring is as fal/o ws: 5 points for either °No, " or °Yes"indicating either 9 or 2 such instance 3 points for "Yes" indicating 3 such instances 0 points for "Yes" and more than 3 such instances If yogr firm's average gross revenues for the last three years were more than $54 million, scoring is as fellows: 5 points for either "IVo" or "Yes" indicating no more than 4 sgch instances 3 points for "Yes" indicating either 5 or S sgch instances C? points for `Yes" and mote than 6 sgch instances 9. Provide the name, address and telephone number of the apprenticeship program sponsors} (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 paints if of lsast one approved apprenticeship program is listed 0 points for any other answer 32 10. if year firm operates its own State-approved apprenticeship program: a. identify the craft ar crafts in which year 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 appraval(s} of your apprenticeship programs}. c. State the number of individuais 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, compieted apprenticeships in each craft while employed by your firm. 5 points if one ar mare persons completed an approved apprenticeship white employed by your firm 0 points if no persons completed an approved apprenticeship while employer by yor~r i;rm 11. At any time during the last five years, has your firm been found to have violated any prevision 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 ~ Na If yes, provide the dates} of such findings, and attach copies of the Department's final decisions}. if your firm's average gross revenues for the last three years were less than $5D million, scoring is as follows: 5 points for either "1Vo,"or "Yes" indicating either 1 or 2 such instance 3 points for "Yes°indicating 3 sr~ch instances 0 points for "Yes" and more than 3 such instances 33 !f your firm's average gross revenues for the last three years were more than $54 million, scoring is as follows: 5 points for either "No" ar "Yes" indicating no more than 4 such instances 3 points for Wes'" indicating either 5 or 6 such instances 0 points for Wes" and more than & such instances Part III Reference Interview Questions The fallawing questions will e used to interview selected contacts from at least twp projects that have been completed by the contractor. The City may conduct the interviews at the City's own discretianary. Na actian an the contractor's part will be necessary. These questions are included in the package given to the cantractor for information purposes only. The highest possible score for each interview is 100 paints. A score of less than $0 points an either interview will automatically disqualify the contractor fram further consideration, 1, Provide a brief description of the project. 2. Are there any outstanding step 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 age? {1 point far each is deducted fram the overall scare; maximum amount to e deducted is 5 paints}. 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 wank? {Maximum 10 paints}. 4. C}n 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 claw-out documents? {Maximum 10 paints}. 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 i0 paints). 6. Was the project completed answer is "No "` an a scale the contractor responsible paints}~ on time? {10 paints is the answer is "Yes"}. If the of 1-10, with 10 being the best, to what extent was far the delay in completion? {Award appropriate 34 7. Qn a scale of 1-10, with 10 being the best, rate the contractor an the timely submission of reasanab(e cast and time estimates to perfarm change arder work. (Maximum 10 points). 8. bn a scale of 1-10, with 10 being the best, rate the contractor on haw 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 wark. (Maximum 10 points). 9. Can a scale of 1-~0 with 10 meaning little or none, rate the contractor an whether there were an unusua!(y high number of c!a(ms, given the nature of the project, ar unusual difecu(ty in resolving them, Maximum 10 points). 10, Qn a scale of 1-10, 10 being the best, rate the contractor with respect to the timely payments by the contractor to either subcontractors ar supp((ers. (Maxirnurn 10 pints), 11. On a scale of 1-10, with 10 being the best, how would you race the quality of the work overall? (Maximum 90 points). 35 Attachment B NON QUALIFIED GENERAL CONTRACTORS FOR CONSTRUCTION OF THE TUSTIN RANCH ROAD, VALENCIA AVENUE, PARK AVENUE ,AND LEGACY ROAD PH. 2 ROADWAY IMPROVEMENTS CONSTRUCTION PROJECT (CIP NOS. 70100, 70204, 70206, 70214, & 70215) Sully-Miller Contracting Company Steiny and Company, Inc.