44 (2) Falsification of information
* * * * *
NOTICE: To contractors who are using subcontractors for this job, please be advised that Public Entity may require, as to subcontractors, one of the following:
The qualification of subcontractors in the following crafts or trades, following acceptance of your bid, but before the award is made:
________________________ ________________________
Pre-qualification of all subcontractors.
Pre-qualification of subcontractors in certain crafts.
Post-bid qualification review.
ATTACHMENT 7
EXHIBIT G
ANNOUNCEMENT OF
PRE-QUALIFICATION
PROCEDURES AND OPEN
DATES FOR ANNUAL
PRE-QUALIFICATION
45 45
EXHIBIT G
ANNOUNCEMENT OF
PRE-QUALIFICATION
PROCEDURES AND OPEN
DATES FOR ANNUAL
PRE-QUALIFICATION
ATTACHMENT 8
46 ANNOUNCEMENT OF PRE-QUALIFICATION PROCECURES AND OPEN DATES
FOR ANNUAL PRE-QUALIFICATION
Notice is hereby given that on ___________, 2000, the ______________[Public Entity] determined that all bidders on public works to be undertaken by the [Public Entity] must be pre-qualified prior to submitting bids for public works. It is mandatory that all Licensed Contractors who intend to submit bids fully complete the pre-qualification questionnaire, provide all materials requested herein, and be approved by [Public Entity] to be on the final 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 on a project as 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.
Pre-qualification applications may be submitted four times each year: (1) from January 1 through January 10; (2) from April 1 through April 10; (3) from July 1 through July 10; and (4) from October 1 through October 10. Contractors who submit a complete pre-qualification package will be notified by first class mail of their qualification status, such notice to be mailed no later than fifteen business days after submission of the information.
Answers to questions contained in the attached questionnaire, information about current bonding capacity on an aggregate and per project limit, notarized statement from surety, and the most recent reviewed or audited financial statements, with accompanying notes and supplemental information, are required. [Public Entity] will use these documents as the basis of rating Contractors in respect to the size and scope of contracts upon which each Contractor is qualified to bid. [Public Entity] reserves the right to check other sources available. [Public Entity’s] decision will be based on objective evaluation criteria.
Pre-qualification approval will remain valid for one (1) calendar year from the date of notice of qualification, except that [Public Entity] reserves the right during that calendar year to adjust, increase, limit, suspend or rescind the pre-qualification ratings based on subsequently learned information and after giving notice of the proposed action to the Contractor and an opportunity for a hearing consistent with the hearing procedures described below for appealing a pre-qualification determination.
While it is the intent of the pre-qualification questionnaire and documents required therewith to assist [Public Entity] in determining bidder responsibility prior to the submission of bids and to aid [Public Entity] in selecting the lowest responsible bidder, neither the fact of pre-qualification, nor any pre-qualification rating, will preclude [Public Entity] from a post-bid consideration and determination on a specific project of whether a bidder has the quality, fitness, capacity and experience to satisfactorily perform the proposed work, and has demonstrated the requisite trustworthiness. Contractors are encouraged to submit pre-qualification packages as soon as possible, so that they may be notified of pre-qualification status well in advance of upcoming projects.
The pre-qualification packages should be submitted under seal and marked “CONFIDENTIAL” to _______________________ [address].
ATTACHMENT 8
47 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, although the contents may be disclosed to third parties for the purpose of verification, investigation of substantial allegations, and in the process of an appeal hearing. State law requires that the names of contractors applying for prequalification status shall be public records subject to disclosure, and the first page of the questionnaire will be used for that purpose.
Each questionnaire must be signed under penalty of perjury in the manner designated at the end of the form, by an individual who has the legal authority to bind the Contractor on whose behalf that person is signing. If any information provided by a Contractor becomes inaccurate, the Contractor must immediately notify [Public Entity] and provide updated accurate information in writing, under penalty of perjury.
[Public Entity] reserves the right to waive minor irregularities and omissions in the information contained in the pre-qualification application submitted, to make all final determinations, and to determine at any time that the pre-qualification procedures will not be applied to a future public works project.
A contractor who has submitted a completed application form, and who receives a rating of “not qualified” from [Public Entity] may appeal that determination. There is no appeal from a finding that a contractor is not pre-qualified because of a failure to submit required information, but reapplication during one of the designated time periods is permitted. A contractor may appeal [Public Entity’s] decision with respect to its request for pre-qualification, and request a hearing, by giving notice to [Public Entity] no later than ten business days after receipt of notice of its qualification status. Unless a Contractor files a timely appeal, the Contractor waives any and all rights to challenge the qualification decision of [Public Entity], whether by administrative process, judicial process or any other legal process or proceeding.
If the Contractor gives the required notice of appeal and requests a hearing, the hearing shall be conducted so that it is concluded no later than ten business days after Public Entity’s receipt of its Notice of Appeal. The hearing so provided shall be an informal process conducted by a panel to whom the [governing body of Public Entity] has delegated responsibility to hear such appeals (the “Appeals Panel”). At or prior to the hearing, the Contractor will be advised of the basis for [Public Entity’s] pre-qualification determination. The Contractor will be given the opportunity to present information and present reasons in opposition to the pre-qualification determination. At the conclusion of the hearing or no later than one day after completion of the hearing, the Appeals Panel will render its decision. The date for submission and opening of bids for a specific project will not be delayed or postponed to allow for completion of an appeal process.
Note: A contractor may be found not pre-qualified for bidding on a specific public works contract to be let by Public Agency, or on all contracts to be let by Public Agency until the contractor meets Public Agency’s requirements. In addition, a contractor may be found not pre-qualified for either:
(1) Omission of requested information or
(2) Falsification of information
ATTACHMENT 8
48 * * * * *
NOTICE: To contractors who are using subcontractors for this job, please be advised that Public Entity may require, as to subcontractors, one of the following:
The qualification of subcontractors in the following crafts or trades, following acceptance of your bid, but before the award is made:
________________________ ________________________
Pre-qualification of all subcontractors.
Pre-qualification of subcontractors in certain crafts.
Post-bid qualification review.
ATTACHMENT 8
SOURCES FOR VERIFICATION
OF INFORMATION GIVEN
BY CONTRACTORS
49 49
SOURCES FOR VERIFICATION
OF INFORMATION GIVEN
BY CONTRACTORS
ATTACHMENT 8
50 SOURCES FOR VERIFICATION OF INFORMATION
GIVEN BY CONTRACTORS
A CAUTIONARY NOTE: The information that will be given to public agencies by contractors seeking pre-qualification is provided under oath, with the understanding that the intentional providing of false information is, in itself, grounds for disqualification. We expect that the information given should be and will be accepted at face value. The following information is provided for use in the few instances in which a public agency reviewing the answers given in a questionnaire has specific reason to believe that one or more answers should be verified by reference to publicly available information.
Information about a contractor’s license(s)
(Questionnaire Part I, question 6, and Part II, questions 6 and 9-13) Names and addresses of licensed contractors, information about the type of license(s) issued and the dates when licenses were issued (and certain other information), are available from the Contractors’ State Licensing Board (CSLB), 9821 Business Park Drive, Sacramento, CA 95827. Telephone number 800-321-2752. The CSLB web site for public information is: www.CSLB.ca.gov.
Information about workers’ compensation insurance
(Part I, question 3 and Part II, questions 32-33)
Every workers’ compensation insurance carrier issues to each of its insured businesses a Certificate of Insurance. The contractor should be willing to provide a copy upon request.
Each contractor’s Experience Modification Rate for the year should be stated in a letter to the contractor from the contractor’s workers’ compensation insurance carrier.
Some large companies are legally self-insured for workers’ compensation, with the consent and authorization of the Department of Industrial Relations. The names of companies that are legally self-insured are available from the Department’s Office of Self-Insurance Plans, Workers’ Compensation, 2265 Watt Avenue, Suite 1, Sacramento, CA 95825; (916) 483- 3392.
The names of each business’s current and recent workers’ compensation insurance carriers are available from the Workers’ Compensation Insurance Reporting Bureau (WCIRB), 575 Market Street, San Francisco, telephone (415) 777-0777. WCIRB is not a public agency but it provides information to the public. It will provide the names of the current and recent workers’ compensation insurance carriers of every employer in California, in response to a written request, for a fee of $8 for every year for which you seek information.
ATTACHMENT 8
51 Information about whether surety insurance carriers
are “admitted” to do business in California
(Part I, question 5)
The California Department of Insurance will verify whether an insurance carrier is “admitted” to issue insurance policies within the State. The Department has a “Hot-Line” number – 800-927-4357, and a web-site from which the information is available:
www.insurance.ca.gov
Information on disqualification from bidding on public contracts (Part I, question 8 and Part II, question 15)
Information on the identities of contractors that have been disqualified from bidding on public works contracts is available from the California Labor Commissioner, Division of Labor Standards Enforcement, 455 Golden Gate Avenue, San Francisco, telephone (415) 703-4810.
Information available from the Secretary of State about corporations (Part II, questions 1a-1d, 2-4)
The California Secretary of State has certain current and historical information about all corporations that operate in California: dates of incorporation, articles of incorporation, the name of the original incorporators, the names of the corporate officers (who are not necessarily the corporate stockholders) and an agent for service of process for the corporation. This information is available from the Secretary of State upon written request. (Secretary of State, Business Programs Division, 1500 Eleventh Street, Sacramento, CA 95814. Telephone (916) 653-2121 or 653-1239). The Secretary of State does not ordinarily have a listing of the names of initial stockholders or current stockholders, and that information is generally not available in any public record.
Information available from County Clerks about
partnerships and sole proprietorships
(Part I, questions 1a-1d,2-4)
Every business, including a partnership, that operates under a “fictitious name” (for example, “Ajax Sheet Metal Contractors” or “Smith Brothers Electrical Contractors”) is required to file with the County Clerk in the county in which its home office is located a “Fictitious Business Name” statement. This statement will indicate the owner of the business, if the business is a sole proprietorship, and the names of partners, if the business is a partnership. The information is available to the public from the County Clerk upon request. A written request may be necessary.
ATTACHMENT 8
52 Information about bankruptcy proceedings
(Part II, questions 7 and 8)
Bankruptcy petitions, which include the names of the person or business that is seeking protection from the Bankruptcy Court, are available for public inspection at the office of the Clerk of each Bankruptcy Court (which are federal courts). In California, Bankruptcy Courts are located in Sacramento, Modesto, Fresno, San Francisco, Oakland, San Jose, Los Angeles, Santa Ana, Riverside, and San Diego. Most documents filed in court in bankruptcy proceedings are available for public inspection, at the Bankruptcy Court clerk’s office. Some information on bankruptcy filings may also be available from commercial enterprises that collect and sell information from public records). In addition some information about bankruptcy cases filed August 1990 and later is available on-line through the “PACER” (Public Access to Court Electronic Records) system. To obtain information from PACER, you must register with the system, and pay a fee for the materials obtained. Call 1-800-676-6856 or you may register online at http://pacer.psc.uscourts.gov/.
Information about civil suits and arbitration cases
(Part II, questions 14, 17 and 18)
Each court keeps records of every civil suit filed in that court, and of the judgments that are issued after trials. However, the exact terms of pre-trial settlements are generally not recorded in court files. Documents related to disputes submitted to arbitration are generally not available for public inspection. Public agencies, however, are required to disclose the terms of such settlements, when documents are requested under the California Public Records Act.
Information about criminal convictions
(Part I, question 9, and Part II, questions 21, 22, and 23) Criminal convictions are a matter of public record. Each courthouse (in both the federal and state court systems) has an index of its own criminal records. In addition, a few data collection businesses have collected criminal conviction information from public records throughout the state, and the collected information about particular individuals or businesses is available for sale from these private businesses.
Information about Federal court civil and criminal cases (Part I, question 9)
Information about federal criminal cases (filed August 1991 and later) and civil cases (filed August 1990 and later) is available on-line through the “PACER” (Public Access to Court Electronic Records) system. To obtain information from PACER, you must register with the system, and pay a fee for the materials obtained. Call 1-800-676-6856) or you may register online at http://pacer.psc.uscourts.gov/.
ATTACHMENT 8
53 Information about citations issued for violation of
industrial safety and health laws
(Part II, questions 28 and 29)
Information about citations issued by both the federal Occupational Safety and Health Administration and the California Division of Occupational Safety and Health (Cal OSHA) are available on a web-site maintained by federal OSHA, http://www.osha.gov. At that web site, click on “Library.” On the Library page, click on “Statistics and Inspection Data.” Next, click on “Establishment Search.” When the next screen appears, enter the name of the contractor about whom you seek information in the “Establishment” window. In the “Process” window, enter the number 999999. Click on California in the “State” window. In the “Inspection Date” window, enter “1990.” Then click the submit button.
Information about prevailing wage law violations
(Part II, question 34)
Information about recent prevailing wage law violations is available from the Division of Labor Standards Enforcement, at 2424 Arden Way, Suite 360, Sacramento, CA 95825. A model letter asking for such information is enclosed.
Citations from either Air Quality or Water Quality Board for violations of regulations
(Part II, question 30)
Information about citations issued by the California Air Resources Board is available from that agency under the Public Records Act. Their address is 2020 L Street, Sacramento, CA 95814, or Post Office Box 2815, Sacramento, 95812. In addition, Regional Air Quality Management Districts and Regional Water Quality Control Boards throughout the state may issue citations for violation of air quality or water quality standards. Consult the appropriate board in your area for information about how to gather appropriate information.
Information about state-approved apprenticeship plans
and violations of state apprenticeship laws
(Part II, questions 36-38)
Information about violations of state apprenticeship laws can be obtained from the Division of Apprenticeship Standards, 455 Golden Gate Avenue, 8th Floor, Post Office Box 420603, San Francisco, CA 94142.
ATTACHMENT 8
EXHIBIT H
SOURCES FOR VERIFICATION
OF INFORMATION GIVEN
BY CONTRACTORS
49 49
SOURCES FOR VERIFICATION
OF INFORMATION GIVEN
BY CONTRACTORS
EXHIBIT H ATTACHMENT 9
50 SOURCES FOR VERIFICATION OF INFORMATION
GIVEN BY CONTRACTORS
A CAUTIONARY NOTE: The information that will be given to public agencies by contractors seeking pre-qualification is provided under oath, with the understanding that the intentional providing of false information is, in itself, grounds for disqualification. We expect that the information given should be and will be accepted at face value. The following information is provided for use in the few instances in which a public agency reviewing the answers given in a questionnaire has specific reason to believe that one or more answers should be verified by reference to publicly available information.
Information about a contractor’s license(s)
(Questionnaire Part I, question 6, and Part II, questions 6 and 9-13) Names and addresses of licensed contractors, information about the type of license(s) issued and the dates when licenses were issued (and certain other information), are available from the Contractors’ State Licensing Board (CSLB), 9821 Business Park Drive, Sacramento, CA 95827. Telephone number 800-321-2752. The CSLB web site for public information is: www.CSLB.ca.gov.
Information about workers’ compensation insurance
(Part I, question 3 and Part II, questions 32-33)
Every workers’ compensation insurance carrier issues to each of its insured businesses a Certificate of Insurance. The contractor should be willing to provide a copy upon request.
Each contractor’s Experience Modification Rate for the year should be stated in a letter to the contractor from the contractor’s workers’ compensation insurance carrier.
Some large companies are legally self-insured for workers’ compensation, with the consent and authorization of the Department of Industrial Relations. The names of companies that are legally self-insured are available from the Department’s Office of Self-Insurance Plans, Workers’ Compensation, 2265 Watt Avenue, Suite 1, Sacramento, CA 95825; (916) 483- 3392.
The names of each business’s current and recent workers’ compensation insurance carriers are available from the Workers’ Compensation Insurance Reporting Bureau (WCIRB), 575 Market Street, San Francisco, telephone (415) 777-0777. WCIRB is not a public agency but it provides information to the public. It will provide the names of the current and recent workers’ compensation insurance carriers of every employer in California, in response to a written request, for a fee of $8 for every year for which you seek information.
ATTACHMENT 9
51 Information about whether surety insurance carriers
are “admitted” to do business in California
(Part I, question 5)
The California Department of Insurance will verify whether an insurance carrier is “admitted” to issue insurance policies within the State. The Department has a “Hot-Line” number – 800-927-4357, and a web-site from which the information is available:
www.insurance.ca.gov
Information on disqualification from bidding on public contracts (Part I, question 8 and Part II, question 15)
Information on the identities of contractors that have been disqualified from bidding on public works contracts is available from the California Labor Commissioner, Division of Labor Standards Enforcement, 455 Golden Gate Avenue, San Francisco, telephone (415) 703-4810.
Information available from the Secretary of State about corporations (Part II, questions 1a-1d, 2-4)
The California Secretary of State has certain current and historical information about all corporations that operate in California: dates of incorporation, articles of incorporation, the name of the original incorporators, the names of the corporate officers (who are not necessarily the corporate stockholders) and an agent for service of process for the corporation. This information is available from the Secretary of State upon written request. (Secretary of State, Business Programs Division, 1500 Eleventh Street, Sacramento, CA 95814. Telephone (916) 653-2121 or 653-1239). The Secretary of State does not ordinarily have a listing of the names of initial stockholders or current stockholders, and that information is generally not available in any public record.
Information available from County Clerks about
partnerships and sole proprietorships
(Part I, questions 1a-1d,2-4)
Every business, including a partnership, that operates under a “fictitious name” (for example, “Ajax Sheet Metal Contractors” or “Smith Brothers Electrical Contractors”) is required to file with the County Clerk in the county in which its home office is located a “Fictitious Business Name” statement. This statement will indicate the owner of the business, if the business is a sole proprietorship, and the names of partners, if the business is a partnership. The information is available to the public from the County Clerk upon request. A written request may be necessary.
ATTACHMENT 9
52 Information about bankruptcy proceedings
(Part II, questions 7 and 8)
Bankruptcy petitions, which include the names of the person or business that is seeking protection from the Bankruptcy Court, are available for public inspection at the office of the Clerk of each Bankruptcy Court (which are federal courts). In California, Bankruptcy Courts are located in Sacramento, Modesto, Fresno, San Francisco, Oakland, San Jose, Los Angeles, Santa Ana, Riverside, and San Diego. Most documents filed in court in bankruptcy proceedings are available for public inspection, at the Bankruptcy Court clerk’s office. Some information on bankruptcy filings may also be available from commercial enterprises that collect and sell information from public records). In addition some information about bankruptcy cases filed August 1990 and later is available on-line through the “PACER” (Public Access to Court Electronic Records) system. To obtain information from PACER, you must register with the system, and pay a fee for the materials obtained. Call 1-800-676-6856 or you may register online at http://pacer.psc.uscourts.gov/.
Information about civil suits and arbitration cases
(Part II, questions 14, 17 and 18)
Each court keeps records of every civil suit filed in that court, and of the judgments that are issued after trials. However, the exact terms of pre-trial settlements are generally not recorded in court files. Documents related to disputes submitted to arbitration are generally not available for public inspection. Public agencies, however, are required to disclose the terms of such settlements, when documents are requested under the California Public Records Act.
Information about criminal convictions
(Part I, question 9, and Part II, questions 21, 22, and 23) Criminal convictions are a matter of public record. Each courthouse (in both the federal and state court systems) has an index of its own criminal records. In addition, a few data collection businesses have collected criminal conviction information from public records throughout the state, and the collected information about particular individuals or businesses is available for sale from these private businesses.
Information about Federal court civil and criminal cases (Part I, question 9)
Information about federal criminal cases (filed August 1991 and later) and civil cases (filed August 1990 and later) is available on-line through the “PACER” (Public Access to Court Electronic Records) system. To obtain information from PACER, you must register with the system, and pay a fee for the materials obtained. Call 1-800-676-6856) or you may register online at http://pacer.psc.uscourts.gov/.
ATTACHMENT 9
53 Information about citations issued for violation of
industrial safety and health laws
(Part II, questions 28 and 29)
Information about citations issued by both the federal Occupational Safety and Health Administration and the California Division of Occupational Safety and Health (Cal OSHA) are available on a web-site maintained by federal OSHA, http://www.osha.gov. At that web site, click on “Library.” On the Library page, click on “Statistics and Inspection Data.” Next, click on “Establishment Search.” When the next screen appears, enter the name of the contractor about whom you seek information in the “Establishment” window. In the “Process” window, enter the number 999999. Click on California in the “State” window. In the “Inspection Date” window, enter “1990.” Then click the submit button.
Information about prevailing wage law violations
(Part II, question 34)
Information about recent prevailing wage law violations is available from the Division of Labor Standards Enforcement, at 2424 Arden Way, Suite 360, Sacramento, CA 95825. A model letter asking for such information is enclosed.
Citations from either Air Quality or Water Quality Board for violations of regulations
(Part II, question 30)
Information about citations issued by the California Air Resources Board is available from that agency under the Public Records Act. Their address is 2020 L Street, Sacramento, CA 95814, or Post Office Box 2815, Sacramento, 95812. In addition, Regional Air Quality Management Districts and Regional Water Quality Control Boards throughout the state may issue citations for violation of air quality or water quality standards. Consult the appropriate board in your area for information about how to gather appropriate information.
Information about state-approved apprenticeship plans
and violations of state apprenticeship laws
(Part II, questions 36-38)
Information about violations of state apprenticeship laws can be obtained from the Division of Apprenticeship Standards, 455 Golden Gate Avenue, 8th Floor, Post Office Box 420603, San Francisco, CA 94142.
ATTACHMENT 9