HomeMy WebLinkAbout12 PRE-QUAL PKG FOR LIBRARY 04-17-07Agenda Item ~_
,~_._:.~ ~ Reviewed:
City Manager .
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~~~ ~~ Finance Director _~~
MEETING DATE: APRIL 17, 2007
T0: WILLIAM A. HUSTON, CITY MANAGER
FROM: PUBLIC WORKS DEPARTMENT/ENGINEERING DIVISION
SUBJECT: APPROVAL OF PRE-QUALIFICATION PACKAGE FOR CONSTRUCTION
OF THE TUSTIN LIBRARY
SUMMARY
Staff has prepared aPre-qualification Package for construction of the Tustin Library. The
package includes a standard questionnaire and financial statement, a ,uniform system of
rating bidders based upon objective criteria, and anappeal procedure which will allow a
contractor to appeal decisions. that they are not qualified to bid.
RECOMMENDATION
It is recommended that the City Council, by minute order, approve the Pre-qualification
Package for construction of the Tustin Library.
FISCAL IMPACT
There is no fiscal impact associated with this procedure.
BACKGROUND
Pursuant to Public Contract Code 20101, local 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.
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.
Approval of Pre-Qualification Package for Construction of the Tustin Library
April 17, 2007
Page 2
The Department of Industrial Relations (DIR} has prepared model guidelines for pre-
qualifyingbidders of public works projects.
DISCUSSION
City staff has prepared the attached Pre-qualification Package for the construction of the
Tustin Library, and has closely followed the DIR model guidelines and templates. The pre-
qualification procedure has been selected for use with the construction of the Tustin Library
due to the very specialized nature of construction, and the complexity of scheduling required
for construction of a new facility while maintaining operations of the existing facility on the
same site. 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.
___,~
Tim D. Serlet
Director of Public works/City Engineer
Doug nderson
Transportation & Development
Services Manager
Attachment: Pre-Qualification Package for Construction of the Tustin Library
Approval of pre-qual package for construction of Tustin Library.doc
REQUEST FOR PRE-QUALIFICATION OF BIDDERS COMMENCING
WITH FORTHCOMING PUBLIC WORK BID
Notice is hereby given that the City of Tustin has determined that all bidders on the TUSTIN
LIBRARY to be undertaken by the City of Tustin must bepre-qualified prior to submitting a bid on
the TUSTIN LIBRARY 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 of Tustin 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 T_ Contractors are encouraged to submit pre-qualification
packages as soon as possible, so that they may be notified of omissions of information to be
remedied or of their pre-qualification status well in advance of the bid advertisement for this project.
Answers to questions contained in the attached questionnaire, information about current bonding
capacity, notarized statement from surety, and the most recent reviewed or audited financial
statements, with accompanying notes and supplemental information, are required. City of Tustin
will use these documents as the basis of rating Contractors in respect to the size and scope of
contracts upon which each Contractor is qualified to bid. CitX of Tustin reserves the right to check
other sources available. City of Tustin's decision will be based on objective evaluation criteria.
City of Tustin 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 of Tustin in determining bidder responsibility prior to bid and to aid the City of
Tustin selecting the lowest responsible bidder, neither the fact of pre-qualification, nor any pre-
qualificationrating, will preclude the City ofTustinfrom apost-bid consideration and determination
of whether a bidder has the quality, fitness, capacity and experience to satisfactorily perform the
proposed work, and has demonstrated the requisite trustworthiness.
The pre-qualification packages should be submitted under seal and marked "CONFIDENTIAL" to
the Cit Clerk at City of Tustin, 300 Centennial Way, Tustin, CA, 92780.
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 maybe 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 of Tustin and provide updated accurate information in writing,
under penalty of perjury.
The City of Tustin 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 proj ect.
Contractors may submit pre-qualification packages during regular working hours on any day that
the offices of the City of Tustin are open. Contractors who submit a complete pre-qualification
package will be notified of their qualification status no later than ten business days after submission
of the information.
The City of Tustin may refuse to grant pre-qualification where the requested information and
materials are not provided, or not provided by TBD. 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.
Note: A contractor may be found not pre-qualified for bidding on a specific public
works contract to be let by the City of Tustin, or on all contracts to be let by the C
of Tustin until the contractor meets the City of Tustin's requirements. In addition, a
contractor may be found not pre-qualified for either:
(1) Omission of requested information or
(2) Falsification of information
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PRE-QUALIFICATION
QUESTIONNAIRE
CONTACT INFORMATION
Firm Name: Check One: ^ Corporation
(as it appears on license) ^ Partnership
^ Sole Prop.
Contact Person:
Address:
Phone: Fax:
If firm is a sole proprietor or partnership:
Owner(s) of Company
Contractor's License Number(s):
PART I. ESSENTIAL REQUIREMENTS FOR QUALIFICATION
Contractor will be immediately disqualified if the answer to any of questions 1 through
5 is "no."1
Contractor will be immediately disqualified if the answer to any of questions 6, 7, 8 or
9 is "yes." 2 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 "B" California Contractor's license for the
proj ect or proj ects 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 and $2,000,000 aggregate, commercial automobile insurance
with a limit of at least $1,000,000, and California worker's compensation insurance with a
limit of at least $1,000,000. Confirm insurers are authorized to do business in the State 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). Worker's 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 ^ Contractor is exempt from this requirement, because it has no
employees
4. Have you attached your latest copy of a reviewed or audited financial statement with
accompanying notes and supplemental information.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
' 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 7.
2 A contractor disqualified solely because of a "Yes" answer given to question 6, 7, or 9 may appeal the
disqualification and provide an explanation of the relevant circumstances during the appeal procedure.
3 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(4)(1), if the bid is "no more than 25 per cent of the
qualifying amount provided in section 14837(4)(1)." As of January 1, 2001, the qualifying amount is $10 million,
and 25 per cent of that amount, therefore, is $2.5 million.
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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
California 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 if you are seeking pre-qualification for a single project; or (if you
are seeking pre-qualification valid for a year) (b) your current available bonding capacity?4
^ 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 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
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
" An additional notarized statement from the surety may be requested by the Cit o Tustin 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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PART II. ORGANIZATION, HISTORY, ORGANIZATIONAL PERFORMANCE,
COMPLIANCE WITH CIVIL AND CRIMINAL LAWS
A. Current Organization and Structure of the Business
For Firms That Are Coraorations:
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
r,~ ,• ~ t
per cent ul ine curp~ran~n s s~ucx.
Name Position Years with Co. % Ownership Social Security #
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 per cent or
more of the business, or 10 per cent or more of its stock, if the business is a
cur urauon.
Dates of Person's Participation
Person's Name Construction Firm with Firm
For Firms That Are Partnershius:
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 o per cent or more of the
firm.
~ Name ~ Position ~ Years with Co. ~ % Ownership Social Security #
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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 "partner" refer to ownership often per cent or
more of the business, or ten per cent or more of its stock, if the business is a
curpurd~lun.
Dates of Person's Participation
Person's Name Construction Company with Company
For Firms That Are Sole Proprietorships:
1 a. Date of commencement of business.
lb. Social security number of company owner.
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 per cent or
more of the business, or .ten per cent or more of its stock; if the business is a
curpurd[lun.
Dates of Person's Participation
Person's Name Construction Company with Company
For Firms That Intend to Make a Bid as Part of a Joint Venture:
la. Date of commencement of joint venture.
1b. Provide all of the following information for each firm that is a member of the joint venture
that expects to b1C1 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 per cent 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. VVas your firm in bankruptcy at any time during the last five years? (This question refers
only to a bankruptcy action that was not described in answer to question 7, above)
^ Yes ^ No
If "yes," please attach a copy of the 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:
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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.
Disputes
14. 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
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 lc or ld on this form.
^ 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 proj ect 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?
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^ 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.
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
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If "yes," explain on a separate signed page. Name the insurance carrier,
the form of insurance and the year of the refusal.
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 per cent 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.
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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.
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?
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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 orstate-approved self insurance?
^ 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
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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
pal .
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 of Tustin.
3 7. 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.
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3 8. 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).
PART III. RECENT CONSTRUCTION PROJECTS COMPLETED
~39. Contractor shall provide information about its six most recently completed public works
projects and its three largest completed private projects within the last three years.s 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):
5 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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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:
~*~~~~~
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:
(Name)
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A LIST OF THE SCORABLE
QUESTIONS AND THE SCORING
INSTRUCTIONS
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A LIST OF THE SCORABLE QUESTIONS AND THE SCORING INSTRUCTIONS
The scorable questions arise in three different areas:
(I) HistorYof the business and organizational performance;
(II) Compliance with occupational safety and health laws, workers' compensation and
other labor legislation; and
(III) Completion of recent projects and quality of performance.
The interview questions (interviews by the public agency of project managers on projects
completed recently by the contractor) are included in group III. In apre-qualification
procedure for a stele project, this last category would also include 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." The question numbers in this document
are the numbers used in the questionnaire. Thus, the questions included here begin with
question number 6, and there are a few breaks in the numerical sequence.
The Scores Needed for Prequalification
To prequalify, a contractor would be required to have a passing grade within each of the
three large categories referred to above.
For Section I, "History of the business and organizational performance,"
DIR recommends use of a passing score of 57 on this portion of the questionnaire (of a
maximum score of 76 on this portion of the questionnaire).
For Section II, Compliance with occupational safety and health laws, workers'
compensation and other labor legislation DIR recommends use of a passing score of 38
on this portion of the questionnaire (of a maximum score of 53 points on this portion of
the questionnaire).
Section III, Completion of recent projects and quality of performance, includes a series of
interview questions, and may also include questions about recently completed (public or
private) construction projects. For the interview questions, DIR recommends that a
public agency interview project managers for the owners of two completed projects.
DIR recommends a scoring system that would allow a maximum score of 120 points for
each interview. For these questions, DIR recommends qualification for a contractor
whose score on each of two interviews is 72 points ormore; adenial ofpre-qualification
for a contractor whose score on either interview is less than 55 points; and an additional
19
interview with another reference if the score resulting from one interview is between 55
points and 72 points.
DIR makes no recommendation about how to score a contractor's answers about
recently completed past projects. Because of the wide range of projects that a public
agency may be planning, and the similarly wide range in the skills, abilities, and
experience that a public agency will consider most important for a pending project, it is
impossible to propose a useful model scoring system to apply to the answers given about
a contractor's completed proj ects.
Questions about History of the Business and Organizational Performance
(16 questions)
1. How many years has your organization been in business in California as a contractor under
your present business name and license number? years
3 years ormore = 2 points
4 years = 3 points S years = 4 pt,~
6 years ormore = 5 points
2. Is your firm currently the debtor in a bankruptcy case?
^ Yes ^ No
"No" = 3 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" = 3 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 = S points Yes = 0 points
20
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 X50,000, or one project with liquidated
damages = S point
Two projects with liquidated damages of more than $50,000 = 3 points
Any other answer: no points
6. In the last five years has your firm, or 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 lc or ld on this form.
^ Yes ^ No
No = S 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.
21
8. In the past five years, has any claim a~au~st your firm concerning your firm's work on a
construction prof ect, been filed in court or arbitration?
^ Yes ^ No
If the firm's average gross revenue for the last three years was less than
$50 million, scoring is as follows:
S points for either "No" or "Yes" indicating 1 such instance.
3 points for "Yes" 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 $SO
million, scoring is as follows:
S points for either "No" or "Yes" indicating 1, 2, or 3 such instances.
3 points for "Yes" indicating either 4 or S such instances.
D points for "Yes" if more than S 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 was less than $50 million
scoring is as follows:
S points for either "No" or "Yes" indicating 1 such instance.
3 points for "Yes" indicating 2 such instances.
D points for "Yes" if more than 2 such instances.
If your firm's average gross revenues for the last three years was more than $50
million, scoring is as follows:
S points for either "No" or "Yes" indicating 1, 2, or 3 such instances.
3 points for "Yes" indicating either 4 or 5 such instances.
D points for "Yes" if more than 5 such instances.
22
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" indicat~'ng 1 such claim.
3 points for "Yes" indicating no more than 2 such claims
Subtract five points for "Yes" if more than Z 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
S points for either "No" or "Yes" indicat~'ng 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 = S 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 S 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?
^ Yes ^ No
No = S points Yes = su- 5 points
23
1 S. If your firm was required to pay a premium of more than one per cent 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.
S points if the rate is no more than one per cent
3 points if the rate was no higher than 1.10 per cent
D 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
Questions about compliance with safety, workers compensation,
prevailing wage and apprenticeship laws.
(11 questions)
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 was less than $SO 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 the firm's average gross revenues for the last three years was more than $SO million,
scoring is as follows:
S points for either "No" or "Yes" indicating 1, 2, or 3 such instances.
3 points for "Yes" indicating either 4 or S such instances.
0 points for "Yes" if more than 5 such instances.
24
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 was less than $50 million,
scoring is as follows:
S points for either "No" or "Yes" indicat~'ng 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 was more than $SD
million, scoring is as follows:
S points for either "No" or "Yes" indicating 1, 2, or 3 such instances.
3 points for "Yes" indicating either 4 or S such instances.
0 points for "Yes" if more than S such instances.
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 was less than DSO 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~rm's average gross revenues for the last three years was more than $50 million,
scoring is as follows:
S points for either "No" or "Yes" indicating 1, 2, or 3 such instances.
3 points for "Yes" indicating either 4 or S such instances.
0 points for "Yes" if more than S such instances.
25
4. How often do you require documented safety meetings to be held for construction
employees and field supervisors during the course of a project?
3 points for an answer of once each week or more often.
0 points for any other answer
5. List your firm's Experience Modification Rate (EMR) (California workers' compensation
insurance} for each of 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.
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 .95 or less
3 points for three-year average of EMR of more than .95 but no more than x.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 orstate-approved self insurance?
^ Yes ^ No
5 points for either "No" or "Yes" indicating 1 such instance.
0 points for any other answer.
26
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 was less than $SO million,
scoring is as follows:
S 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.
If your firm's average gross revenues for the last three years was more than $SO
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 was less than $SO 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.
If your firm's average gross revenues for the last three years was more than $SO
million, scoring is as follows:
S points for either "No" or "Yes" indicating no more than 4 such instances.
3 points for "Yes" indicating either 5 or 6 such instances.
0 points for "Yes" and more than 6 such instances.
27
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 of Tustin,
S points if at least one approved apprenticeship program is listed.
0 points for any other answer.
10. If your firm operates its own State-approved apprenticeship program:
(a) Identify the craft or crafts in which your firm provided apprenticeship training in
the past year.
(b) State the year in which each such apprenticeship program was approved, and
attach evidence of the most recent California Apprenticeship Council approval(s)
of your apprenticeship program(s).
(c) State the number of individuals who were employed by your firm as apprentices
at any time during the past three years in each apprenticeship and the number of
persons who, during the past three years, completed 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.
D points if no persons completed an approved apprentl'ceship while employer by your
firm.
28
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 was less than DSO 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.
If your firm's average gross revenues for the last three years was more than $SO
million, scoring is as follows:
S points for either "No" or "Yes" indicat~'ng no more than 4 such instances.
3 points for "Yes" indicating either S or 6 such instances.
0 points for "Yes" and more than 6 such instances.
29
Questions concerning recent construction projects completed:
(one question, plus 13 interview questions}
The following question to be scored only where a public agency isundertaking apre-
qualificationprocedure valid for a single project only
1. Contractor shall provide information about its six most recently completed public works
projects and its three largest completed private projects within the last three years.6 Names
and references must be current and verifiable. Use separate sheets of paper that contain all
of the following information:
Proj ect 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:
~~~~~
~ 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.
30
MODEL
INTERVIEW
QUESTIONS
31
MODEL INTERVIEW QUESTIONS
The following questions will be used to interview randomly selected contacts from at least two
completed projects. City of Tustin will conduct the interviews. No action on the contractor's
part is necessary. These questions are included on the package given to the contractor for
information only.
The highest possible score is 120 Points. A score less than 55 points disqualifies a contractor
from bidding on projects that are proposed by the City of Tustin. A score of between 56 and 72
indicates the City of Tustin should conduct an interview of another contact, that is, a manager of
another completed project. A score of 72 or higher on each of two interviews is sufficient for
pre-qua 1 ication.
First, please give a brief description of the project.
1. Are there any outstanding stop notices, liens, or claims by the contractor that are currently
unresolved on contracts for which notices of completion were recorded more than 120 days
ago? (1 point for each is deducted from overall score; maximum amount to be deducted is 5
points)
2. On a scale of 1-10, with 10 being the best, did the contractor provide adequate personnel?
(Max.10 points)
3. On a scale of 1-10, with 10 being the best, did the contractor provide adequate supervision?
(Max.10 points)
4. On a scale of 1-10, with 10 being the best, was there adequate equipment provided on the
job? (Max.10 points)
5. On a scale of 1-10, with 10 being the best, was the contractor timely in providing reports
and other paperwork, including change order paperwork and scheduling updates? (Max. 10
points)
6. On a scale of 1-10, with 10 being the best, did the contractor adhere to the project schedule
that your [agency] [business] approved? (M~. 10 points)
7. Was the project completed on time? (10 points if the answer is "Yes"}.
0r, 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?
8. 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. (Max.10 points)
32
9. 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. (Max. 10 points).
10. On a scale of 1-10, with 10 being the best, rate how has the contractor been performing in
the area of turning in Operation & Maintenance manuals, completing as-built drawings,
providing required training and taking care of warranty items? (Max.10 points)
11. On a scale of 1-10, with 10 being the best, rate the contractor on whether there were an
unusually high number of claims, given the nature of the project, or unusual difficulty in
resolving them. (Max.10 points)
12. On a scale of 1-10, with 10 being the highest, rate the contractor with respect to timely
payments by the contractor to either subcontractors or suppliers. (If the person being
interviewed knows of no such difficulties, the score on this question should be "10.")
13. On a scale of 1-10, with 10 being the best, how would you rate the quality of the work
overall? (Max.10 points)
33
APPEALS PROCEDURE
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 Tustin of
its appeal of the decision with respect to its pre-qualification rating, no later than ten business days
prior to the closing time for the receipt 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 of Tustin,
whether by administrative process, judicial process or any other legal process or proceeding.
If the Contractor gives the required notice of appeal and requests a hearing, the hearing shall be
conducted so that it is concluded no later than five business days after the City of Tustin's receipt of
the notice of appeal, and no later than five business days prior to the last date for the receipt of bids
on the project. The hearing shall be an informal process conducted by a panel to whom the City of
Tustin 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 of Tustin's pre-qualification
determination. The Contractor will be given the opportunity to present information and present
reasons in opposition to the rating. Within one day after the conclusion of the hearing, the Appeals
Panel will render its decision. It is the intention of the City of Tustin that the date for the submission
and opening of bids will not be delayed or postponed to allow for completion of an appeal process.
34