CITY OF LAGUNA NIGUEL
CITY COUNCIL AGENDA ITEM
1989
To: Honorable Mayor and Council Members
FROM: Jacki Scott, Public Works Director/City Engineer
DATE: February 21, 2023
SUBJECT: Adoption of Resolution No. 2023-1417, Approving and Adopting a Bidder Pre-Qualification Policy and Documents for Public Works Projects
RECOMMENDATION
Staff recommends that the City Council adopt Resolution No. 2023-1417, approving and adopting a bidder pre-qualification policy and documents for Public Works projects.
BACKGROUND
In 1999, the California legislature enacted Assembly Bill 574 that allows public agencies to require licensed contractors that wish to bid for public works jobs to pre-qualify for the right to bid on a specific public works project or, on a public works project undertaken by a public agency during a specified period. Public Contract Code Section 20101 includes the relevant provisions which was enacted as part of Assembly Bill 574.
Adopting a Bidder Pre-Qualification procedure supports City Council Goal 2 (Fiscal Sustainability) and Goal 4 (Infrastructure and Technology) of the City's adopted Strategic Plan.
ANALYSIS
The California Public Contract Code establishes procedures for local agencies wishing to pre-qualify bidders on public works projects. The Department of Industrial Relations (DIR) has developed guidelines for rating bidders pursuant to Public Contract Code Section 20101.
Adopting pre-qualification procedures in accordance with the above-mentioned code and guidelines will benefit the City by providing the opportunity for the City to review prospective bidders' track record in detail and to create a more competitive pool of bidders. Pre-qualification of bidders will streamline the review of the bids received and reduce the probability that a contractor without the requisite experience will submit a bid.
Establishment of a pre-qualification procedure for a public agency begins with the City Council adoption of Resolution 2023-1417 (Attachment "A"). Pre-qualification procedures include adopting a uniform system of rating bidders and a process for appeals.
If adopted, staff will use the pre-qualification procedure for future projects, when it is determined that a particular project will benefit from a pre-qualification process.
Specifically, this would be used to pre-qualify bidders for the Residential Annual Resurfacing Program Zones III & IV - Phase 2. A Request for Pre-Qualification will be advertised to notify prospective bidders that the City will only consider bids from pre- quate biters sat milord are of the pre
qualified bidders. Staff will provide notice of the pre-qualification process to potential bidders by using the normal public works project bid notification process, which includes using the City's PlanetBids website.
The City has adopted this process in the past, most recently via Resolution 2018-1240 for the Construction of the Community Center at Crown Valley Park. Statt had intended to utilize the prior adopted Resolution; however, after legal review it was determined that a new Resolution needed to be adopted by the City Council.
ALTERNATIVES CONSIDERED
The City Council may decide not to approve Resolution No. 2023-1417. This alternative is not recommended because without the in-depth and extensive questionnaire, the City will not be able to carefully review a bidder's qualifications and determine if the bidder possesses the ability to perform the work prior to contract award. The City risks having to accept a responsive bid from the apparent low bidder only to experience issues once under contract.
Additionally, as it relates to the Residential Annual Resurfacing Program Zones III & IV - Phase 2 project, the timeline to begin work will likely need to be modified and may no longer mirror the local school summer schedule, which delays the project in designated school zones.
FISCAL REVIEW
There is no fiscal impact as a result of this action.
LEGAL REVIEW
The City Attorney's Office has reviewed Resolution No. 2023-1417 and has approved it as to form.
CONCLUSION
Staff recommends that the City Council adopt Resolution No. 2023-1417, approving and adopting a bidder pre-qualification policy and documents for Public Works projects.
Tamara S. Letourneau
City Manager Pubtic Works Director/City Engineer
Kathy Nguyen Russell Narahara
Engineering Services Manager Senior Management Analyst
Attachment:
A. Resolution No. 2023-1417
ATTACHMENT A
Resolution No. 2023-1417
RESOLUTION NO. 2023-1417
RESOLUTION OF THE CITY COUNCIL
OF THE CITY OF LAGUNA NIGUEL, CALIFORNIA,
ADOPTING BIDDER PRE-QUALIFICATION POLICY AND
DOCUMENTS FOR PUBLIC WORKS PROJECTS
WHEREAS, the City of Laguna Niguel ("City") advertises for bids for the construction of Public Works Projects ("Projects"); and Public Contract Code Section 20101 ("Section 20101") authorizes the City to establish policy and documents to pre- qualify bidders for the construction of specific Projects; and WHEREAS, Section 20101 requires that the City develop a standardized questionnaire and adopt and apply a uniform rating of bidders on the basis of completed questionnaires and financial statements in order to determine the minimum requirements for qualification to bid on specific Projects; and
WHEREAS, in conformance with the requirements of Section 20101, City staff and have prepared the Pre-Qualification Policy and Documents for pre-qualification of Contractors seeking to bid on the construction of specific Projects; and WHEREAS, the City Council ("Council") determines that adopting the Bidder Pre- Qualification Policy and Documents will be advantageous to the City in the formal bidding process to further the City Council's goal of constructing specific Projects on time and within budget.
NOW, THEREFORE, BE IT RESOLVED, by the City Council of the City of Laguna Niguel as follows:
1. The City Council hereby adopts the City of Laguna Niguel Pre- Qualification Policy and Documents attached hereto as Exhibit "A" and incorporated herein by reference ("Pre-Qualification Policy").
City staff is hereby authorized to pre-qualify bidders for the construction of specific Projects, pursuant to the Pre-Qualification Policy.
The City Council hereby establishes the Bidder Pre-Qualification Appeals Panel ("Appeals Panel") as described in the Pre-Qualification Policy. The City Council hereby delegates authority to the Appeals Panel to resolve all appeals under the Pre-Qualification Policy. The Appeals Panel shall only consider the scoring of a prospective bidder and whether that bidder is pre- qualified or not pre-qualified to bid on the Project. The decision of the Appeals Panel shall be the City's final administrative decision and any judicial review thereof shall be instituted no later than the time period referred to in Section 1094.6 of the Code of Civil Procedure.
The City Council hereby authorizes City staff to take all actions necessary to implement the Pre-Qualification Policy, including making no substantive changes to the Pre-Qualification Policy and Documents, including the Pre- Qualification Questionnaire, to provide any necessary clarifications or corrections.
This Resolution shall become effective immediately upon its adoption.
PASSED, APPROVED AND ADOPTED this 21s* day of February, 2023.
Sandy Rains, Mayor
ATTEST:
Marissa Asistin
City Clerk
Exhibit A: Pre-Qualification Policy and Questionnaire, Scoring Worksheet and Interview Questions
Exhibit A to Resolution No. 2023-1417,
Pre-Qualification Policy
1 PRE-QUALIFICATION POLICY FOR
PUBLIC WORKS PROJECTS
I. Introduction
Public Contract Code Section 20101 ("Section 20101") authorizes the City of Laguna Niguel ("City") to establish procedures to pre-quality bidders tor the construction of public works projects. Contractors who want to bid on the construction of specific projects are required to become pre-qualified to bid in accordance with this Pre- Qualification Policy. In order to become pre-qualified, Contractors are required to provide sufficient proof of public works experience in constructing public works and financial ability by completing and submitting standard prequalification documents and providing specified supporting documentation verified under penalty of perjury by the Contractor as set forth in this Policy. Only Contractors that are determined pre-qualified will be allowed to bid on the construction of specific public works projects.
Contractors seeking pre-qualification are required to submit to the City completed pre- qualification documents, which include the Pre-Qualification Questionnaire and all the documents required by the Questionnaire (Section "A"). The completed Pre- Qualification Questionnaire and the required documents will be the basis for determining whether a Contractor is qualified to bid on the Project.
The completed Pre-Qualification Questionnaire and supporting documents submitted by Contractors are not public records and are not open to public inspection per Section 20101. All information provided will be kept confidential to the extent permitted by law.
However, the contents may be disclosed to third parties for purpose of verification or investigation of the statements contained therein or in an appeal hearing. State law requires that the names of Contractors applying for pre-qualification status shall be a public record subject to disclosure, and the first page of the Pre-Qualification Questionnaire shall be used for this purpose.
Each Contractor will be determined as either pre-qualified to bid on a specific public works project for which it requested pre-qualification or not pre-qualified based on the negative pre-qualification determination shall be established by this process. The City's Public Works Department will evaluate the completed Pre-Qualification Questionnaire and supporting documents to determine whether the Contractor is pre-qualified or not pre-qualified to bid on the project.
It is mandatory that Contractors who intend to submit a bid for a project provide a completed Pre-Qualification Questionnaire and supporting documents and are evaluated as being qualified to construct the work required by the project. No bid will be accepted from any Contractor that does not become pre-qualified as set forth herein.
A positive pre-qualification determination shall only be good for the Project for which pre-qualification is required.
2 While it is the intent of this Pre-Qualification Policy to assist the City in determining blader responsibility prior to bid and to aid the City in selecting the lowest responsible bidder, the pre-qualification of a Contractor will not preclude the City from post-bid consideration in 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 City reserves the right to waive minor irregularities and omissions in the information contained in the Pre-Qualification Questionnaire and supporting documents and to make all final determinations.
The City reserves the right to adjust, increase, limit, suspend or rescind the prequalification rating assigned to a Contractor based on subsequently learned information. Contractors whose rating changes sufficient to disqualify them will be notified and given an opportunity for appeal and hearing consistent with the procedures set forth herein.
II. Pre-Qualification Standards and Notification
When the City determines that a public works Project will require the bidders to be pre- qualified City staff will advertise a Request for Pre-qualification (RFP). The RFP will contain the necessary documentation to be submitted and the date and time of which the documentation must be submitted.
For a prospective bidder to be determined to be pre-qualified to bid on the Project, the bidder must meet each of the following.
a. The Pre-Qualification Questionnaire must be completely filled out and verified under penalty of periury and all the required supporting document:
nust be submitted as required by the Pre-Qualification Questionnaire. The completed Questionnaire and supporting documents must be submitted to the City as provided for herein and by the deadline established herein. b. There must not be any answers to the questions in the Pre-Qualification Questionnaire that result in an automatic disqualification. c. The Contractor has not provided any false or misleading information in the Pre-Qualification Questionnaire and/or supporting documents.
All supplemental documents are to be submitted as directed and must be organized and identified in accordance with the requirements of the Pre-Qualification Questionnaire.
Pre-Qualification Questionnaires must be signed under penalty of perjury in the manner desianated at the end of the Questionnaire, by an individual who has the legal authority to bind the Contractor on whose behalf the person is signing. 3 If any information provided by a Contractor becomes inaccurate, the Contractor must immediately notify the City and provide updated accurate information in writing under penalty of perjury.
The completed Pre-Qualification Questionnaire and supporting documents must be submitted no later than the time and date specified in the Request for Pre-Qualification (RFP) documentation. Late submittals will not be considered by the City.
Contractors are encouraged to submit the Pre-Qualification Questionnaire and supporting documents as soon as possible so that they may be notified of omissions of information which can be remedied or of their pre-qualification determination well in advance of bid advertisement for the Project.
The City will inform Contractors, in writing, of the pre-qualification determination within ten (10) business days following the submission of the pre-qualification questionnaire and supporting documentation. If a Contractor receives a negative pre-qualification decision, the City will, when informing the Contractor of that determination, advise of the reasons for that determination.
Upon the request of a Contractor that receives a negative pre-qualification decision, the City will provide notification to the Contractor in writing of the basis for the Contractor's disqualification and any supporting evidence that has been received from others or adduced as a result of an investigation by the City.
III. Appeals Procedures
The City hereby establishes the Bidder Pre-Qualification Appeals Panel ("Appeals Panel") consisting of the following, or their designees: the City Manager, City Public Works Director, and City Finance Director.
The decision of the Appeals Panel shall be the City's final administrative decision and any judicial review thereof shall be instituted no later than the time period referred to in Section 1094.6 of the Code of Civil Procedure.
If a Contractor submits a complete and timely application for pre-qualification and the Contractor receives a negative determination, the Contractor may appeal that negative determination to the Appeals Panel. An appeal is initiated by the Contractor delivering a written notice of appeal to the City no later than five (5) business days after receiving the City's negative Pre-Qualification Determination letter. The appeal must contain the reasons for the appeal and any supporting documentation.
If no timely appeal is filed, the Contractor waives any and all rights to challenge the decision of the City regarding pre-qualification, whether by administrative process, judicial process or any other legal process or proceeding.
If a Contractor appeals a negative determination, the Appeals Panel shall decide the appeal based on the written notice of appeal and supporting documentation. However, the Contractor may, if it desires a hearing before the Appeals Panel, request in the written appeal that the Appeals Panel hold a hearing on the appeal.
If a hearing is requested, it shall be conducted so that it is concluded within ten (10) business days after the City's receipt of the notice of appeal and no later than ten (10) business days prior to the last date of the receipt of bids on the Project.
The Appeals Panel shall hold a hearing on appeals when the notice of appeal requests that a hearing be held
a. Hearings shall be informal.
b. Prior to the hearing, the Contractor will be advised of the basis for the City's negative pre-qualification determination.
c. The Contractor will be given an opportunity to present reasons and evidence in opposition to the negative determination.
d. The Gis for cited ail ae given to presenter ere othere a core an Contractor should be found qualified.
e. Within one (1) day after the conclusion of the hearing, the Appeals Panel will render its decision in writing to the Contractor.
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.
Section "A" is comprised of the following divisions:
1. Pre-Qualification Questionnaire
2. Scoring Worksheet
3. Interview Questions
Section A (to Pre-Qualification Policy)
Division 1
Pre-Qualification
Questionnaire
CONTRACTOR PRE-QUALIFICATION QUESTIONNAIRE
A. CONTRACTOR INFORMATION
(All Questions Must Be Answered)
Firm Name (as it appears on CSLB license):
Firm Type (Select one): • Corporation • LLC • Partnership • Sole Proprietorship • Joint Venture
Contact Person/Title:
(List Owner(s) if Firm is a Sole Proprietorship or Partnership) Local Address (P.O. Box is not acceptable):
Address 1:
Address 2:
City.
Zip:
Office Telephone:
Contact Mobile:
Fax Number:
E-mail Address:
List all California construction or other professional license numbers, classifications and expiration dates held by your firm:
License Number Classification Expiration Date
List your firm's DIR Public Works Contractor (PWCR) Registration Number(s):
PWCR Number Entity Name Expiration Date
If any of your firm's license(s) are held in the name of a corporation, limited liability company, or partnership, list below the names of the qualifying individual(s) listed on the CSLB records who meets) the experience and examination requirements for each license.
License Number Qualifying Individual Expiration Date
B. CURRENT ORGANIZATION AND STRUCTURE
Complete the section below for the appropriate type of firm:
For Firms That Are Corporations:
la. Date incorporated:
1b. Under the laws of what state:
1c. Provide all the following information for each person who is either (a) an officer of the corporation (president, vice president, secretary, treasurer), or (b) the owner of at least ten percent of the corporation's stock:
Name Position Years %
with Firm Ownership
1d. Identify every construction firm that any person listed above has been associated with (as owner, general partner, limited partner or officer at any time during the last five years.
NOTE: For this question, "owner" and "partner" refer to ownership of ten percent or more of the business, or ten percent or more of its stock, if the business is a corporation.
Person's Name Construction Firm Date of Person's
Participation
with Firm
For Firms That Are Limited Liability Companies (LLC):
la. Date Article of Organization filed:
1b. Under the laws of what state:
1c. Provide all the following information for all members of the LLC:
Name Position Years %
with Firm Ownership
3 1d. Identify every construction firm that any person listed above has been associated with (as owner, general partner, limited partner or officer at any time during the last five years.
NOTE: For this question, "owner" and "partner" refer to ownership of ten percent or more of the business, or ten percent or more of its stock, if the business is a corporation.
Person's Name Construction Firm Date of Person's
Participation with Firm
For Firms That Are Partnerships:
la. Date incorporated:
1b. Under the laws ofwhat state:
1c. Provide all the following information for each partner who owns ten percent or more of the firm.
Name Position Years %
with Firm Ownership
1d. Identify every construction firm that any person listed above has been associated with (as owner, general partner, limited partner or officer) at any time during the last five years.
NOTE: For this question, owner" and "partner" refer to ownership of ten percent or more of the business, or ten percent or more of its stock, if the business is a corporation.
Person's Name Construction Firm Date of Person's
Participation with
4 For Firms That Are Sole Proprietorships:
la. Date of commencement of business
1b. Identify every construction firm that the business owner has been associated with (as owner, general partner, limited partner or officer at any time during the last five years.
NOTE: For this question, "owner" and "partner" refer to ownership of ten percent or more of the business, or ten percent or more of its stock, if the business is a corporation.
Person's Name Construction Firm Date of Person's
Participation with
Firm
For Firms That Intend to Make a Bid as Part of a Joint Venture:
la. Date of commencement of joint venture:
1b. Provide all the following information for each firm that is a member of the joint venture that expects to bid on one or moreprojects
Name of Construction Firm % Ownership
Note: Explain on a separate sheet. Provide all other pertinent information required in the sections above, for each Corporation, LLC, Partnership, or Sole-Proprietorship that is a part of the Joint Venture.
FOR ALL FIRMS:
2 At any time during the past five years, has your firm shared office space, warehouse space, yard, plant or shop facilities, staff, equipment, telecommunications or other assets with any other construction firm? (If yes, identify and explain below.) Construction Firm Description of Sharing Location of
Agreement Facilities
5 State your firm's gross revenues for each of the last three fiscal years:
Current year ($):
Previous year ($):
Year prior to previous year ($):
How many years has your firm been in business in California as a contractor under your present business name and license number?
5. Bonding Capacity - Provide documentation from your surety identifying the following:
Name of Bonding Company/Surety:
Name of Surety Agent:
Address:
Telephone number:
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 doso.
7. List all other sureties (name and full address) that have written bonds for your firm during the last five years, including the dates on which they were issued:
Name Address Date
8. How often do you require documented safety meetings to be held for construction employees and field supervisors during the course of a project? List your firm's Experience Modification Rate (EMR) (California workers' compensation insurance) for each of the past three premium years:
Current year rate:
Previous year rate:
Year prior to previous year rate:
10. Does your firm regularly utilize a third party consultant to review labor compliance documents of subcontractors on a public works project? • Yes • No 6 11. 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 employ on any public works project awarded by the City.
Name Address Phone
12 Provide the name, address and telephone number of the apprenticeship program (approved by the California Apprenticeship Council) from whom you have requested and/or employed apprentices in the past three years.
Name Address Phone
13. 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 State the year in which each such apprenticeship program was approved and attach evidence of the most recent California Apprenticeship Council approvals); (c) For each craft, list the number apprentices employed by your firm and the number of individuals that completed apprenticeships while employed by your firm during the last three years.
Craft Year No. Apprentices No. Completed
14. Has your firm changed names or license number in the past five years? • Yes •No (If yes, explain on a separate sheet, including the reason for thechange.)
15. Has there been any change in ownership of your firm at any time during the last five years? • Yes • No
(If yes, explain on a separate sheet.)
NOTE: A corporation whose shares are publicly traded is NOT required to answer this question. 7 16. Is your firm a subsidiary, parent, holding company or affiliate ofanother construction firm? • Yes • No
(If yes, explain on a separate sheet.)
NOTE: Include information about other firms if one firm owns 50 percent or more of another, or if an owner, partner, or officer of your firm holds a similar position in another firm.
17. Has any owner, partner and/or officer of your firm operated or been connected to a construction firm under any other name in the last five years not listed in Section A or Section B above at any time in the past five years? • Yes • No (If yes, provide the person's name, construction firm name, and dates ofparticipation.) Name Construction Firm Dates of
Participation
C. ESSENTIAL CRITERIA QUESTIONS
Circle Answer
Does your firm possess a valid and current California Contractor's or other professional license as required by law for the projector Yes No projects for which it intends to submit a bid?
2. Is your firm registered with DIR as a Public Works Contractor for Yes No
the current fiscal year?
3. Does your firm have a liability insurance policy with a policy limit Yes No of at least $1,000,000 per occurrence and $2,000,000 aggregate?
4. Does your firm have current workers' compensation insurance Yes No policy as required by the Labor Code or is your firm legally self- insured pursuant to Labor Code section 3700 et. seq.?
Have you attached your firm's latest copy of reviewed or audited Yes No
financial statements with accompanying notes and supplemental information? *
NOTE: Financial statements that are not either reviewed or audited are not acceptable. A letter verifying availability of a line of credit may also be attached; however, it will be considered as supplemental information only. and is not a substitute for the required financial statements.
6. Have you attached a notarized statement from an admitted surety insurer (approved by the California Department of Insurance) authorized to issue bonds in the State of California, which states Yes No that: (a) 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 valid for a year if you are seeking pre-qualification valid for a year; and (b) your current available bonding capacity? **
NOTE: Notarized statement must be from the surety company, not an agent or broker.
Has your contractor's or other professional license been revoked at any time in the last five years? Yes No
Has a surety firm completed a contract on your behalf, or paid for completion because your firm was in default and/or terminated by Yes No the project owner within the last five years?
Circle Answer
Is your firm, any of its officers, supervisors, managers, or any firm or individual identified above in Section A and/or Section B, ineligible to bid on or be awarded a public works contract, or Yes No perform as a subcontractor on a public works contract, pursuant to Labor Code section 1777.1, Labor Code section 1777.7, or any other federal, state, county, municipal or other local law providing for the debarment of contractors from public works?
10. Has your firm, any of its officers, supervisors, managers, or any firm or individual identified above in Section A and/or Section B been convicted of a crime involving the awarding of a contract of a government construction project, the bidding or performance of a Yes No government contract, antitrust statutes, racketeering statutes, safety and health regulations, environmental laws, laws banning workplace discrimination, laws governing wages, hours or labor standards, or laws involving fraud, theft, or any other act of dishonesty?
11. Is your firm currently the debtor in a bankruptcy case? Yes No
(If yes, attach a copy of the bankruptcy petition showing the case number and date on which the petition was filed.)
12. Has your firm, any of its officers, supervisors, managers, or any firm or individual identified above in Section A and/or Section B ever been terminated from a public works contract, including but Yes No not limited to termination based on any misconduct, such as failure to comply with contractual, statutory, or other legal obligations from any public construction project?
13. Does your firm, any of its officers, supervisors, managers, or any firm or individual identified above in Section A and/or Section B currently have any delinquent liability to an employee, the state, or any awarding body for any assessment of back wages or related Yes No damages, interest, fines or penalties pursuant to any final judgment, order, or determination by any court or any federal, state, or local administrative agency, including a confirmed arbitration award? * Public Contract Code section 20101(e) exempts from this requirement a contractor who has qualified as a small business pursuant to Government Code section 14837(d)(1), if the bid is "no more than 25 percent of the qualifying amount provided in section 14837(d)(1)." As of January 1, 2001, the qualifying amount is $10 million, and 25 percent of that amount, therefore, is $2.5 million.
** An additional notarized statement from the surety may be requested by [Public Entity] at the time of submission of a bid, if this pre-qualification questionnaire is submitted more than 60 days prior to submission of the bid. 10 D. PRE-QUALIFICATION CRITERIA QUESTIONS
Prior History Circle Answer
1. How many times has your firm, or any of its officers, supervisors, or managers, declared bankruptcy at any time during the last five years? 012345+ This senion in rection to a yekutcy action that wa bank described ion shoanswer › Question 11 in Section C. It
case number and the date on which the petition was filed, a copy of the Bankruptcy Court's discharge order or any other document that concluded the case if no discharge order was issued.)
2. How many times has your firm, or any of its officers, supervisors, or managers, had an injunction, judgment, order, or lien entered against it 01 2 3 4 5+ for outstanding taxes assessed or fines, penalties and/or unpaid employee wages at any time in the last five years?
explain on a separate she. Procide deal, and ding the on. Be st thigavenmen gency, caption, dat
judgments or liens that have not been fully satisfied.) How many times in the past five years, has your firm, or any of its officers, supervisors, or managers, been a party in any civil litigation or administrative proceeding alleging violation of any of the following: 012345+ contract antitrust statutes, racketeering statutes, safety and health regulations, environmental laws, laws banning workplace discrimination, laws governing wages, hours or labor standards, or laws involving fraud, theft, or any other act of dishonesty? (Explain on a separate sheet. Provide details including the nature of the claims and defenses, caption, date, case or docket number, name of the court or agency before which the case is pending or which it was heard, and current status.) How many times in the past five years, has your firm, or any of its officers, supervisors, or managers, been a party in any civil litigation or administrative proceeding alleging a violation by a subcontractor hired 012345+ by your firm of any of the following: contract antitrust statutes, racketeering statutes, safety and health regulations, environmental laws, laws banning workplace discrimination, laws governing wages, hours or labor standards, or laws involving fraud, theft, or any other act of dishonesty?
(Explain on a separate sheet. Provide details including the nature of the claims and efenses, caption, date, case or docket number, name of the court or agency befor vhich the case is pending or which it was heard, and current status. 11 Circle Answer
How many times in the past five years, has your firm, or any of its officers, supervisors, or managers, paid any amount, fine or otherwise, 012345+ regardless of characterization, to settle any of the allegations listed in Questions 3 and 4 above, whether with or without an admission of responsibility or liability?
(Explain on a separate sheet. Provide details, including the caption, date, case or docket number, and name of the court or agency before which the case was brought.) How many times has your firm, or any of its officers, supervisors, or managers, been debarred, suspended, disqualified, denied a classification 01 2 3 4 5+ rating or pre-qualification or otherwise been declared not responsible to or prevented from bidding or performing work on any public works contract or subcontract in the last five years?
22222
How many times in the last five years has your firm been assessed and paid liquidated damages after completion of a project under a 012345+ construction contract with either a public or private owner? (Explain on a separate sheet. Identify all such projects by owner, owner's address, date of completion of the project, amount of liquidated damages assessed and all other information necessary to fully explain the assessment of liquidated damages.) How many times during the past five years, has any surety company made any payments on your firm's behalf as a result of a default, to 012345+ 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?
(Explain on a separate sheet. Identify the amount of each such claim, name and telephone number of the claimant, date of claim, grounds for claim, present status of -laim, date of resolution of such claim if resolved, method by which claim was resolved if resolved, nature of resolution and amount, if any, at which claim wasresolved.) How many times in the last five years has any insurance carrier, for any form of insurance, refused to renew an insurance policy for your firm? 01 2 3 4 5+ (Explain on a separate sheet. Name the insurance carrier, form of insurance, and year of refusal.)
10. How many times during the last five years, has your firm been denied bond coverage by a surety company, or has there been a period of time 012345+ when your firm had no surety bond in place during a public works construction project when one was required?
(Explain on a separate sheet. Indicate the date when your firm was denied coverage, name of the company or companies which denied coverage, and the time period during which you had no surety bond in place.)
Criminal Matters and Civil Suits Circle Answer
11. How many times has your firm, or any of its officers, supervisors, or managers, ever been convicted of a crime involving any federal, state, or 01 2 3 4 5+ local law related to construction?
(Explain on a separate sheet. Identify who was involved, name of the public agency, date of conviction, and grounds for conviction.)
12. How many times has your firm, or any of its officers, supervisors, or managers, ever been found liable in a civil suit or convicted of a federal 01 2 3 4 5+ or state crime of fraud, theft, or involving any other act of dishonesty, such as making any false claim or material misrepresentations? conduct involved.)
NOTE: The following two questions refer only to disputes between your firm and all disputes involving amounts of less than $50,000.
13. How many times in the last five years has any claim against your firm concerning your firm's work on a construction project been filed in court 01 2 3 4 5+ or arbitration?
(Explain on a separate sheet. 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 [e.g. "pending" or, if resolved, a brief description of the resolution].)
14. How many times in the last five years has your firm made any claim against a project owner concerning work on a project or payment for a 0123 4 5+ contract and filed that claim in court or arbitration?
(Explain on a separate sheet. Identify the claims) 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 [eg. "pending" or if resolved, a brief description of the resolution].)
Occupational Health and Safety Compliance Circle Answer
15. How many times in the last five years has CalOSHA cited and assessed penalties against your firm for any "serious," "willful" or "repeat" 012345+ violations) or the federal Occupational Safety and Health Administration cited and assessed penalties against your firm for violation(s) of safety or health regulations?
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.
16. How many times in the last five years has the EPA or any Air Quality Management District or any Regional Water Quality Control Board 012345+ cited and assessed penalties against either your firm or the owner of a project on which your firm was the contractor?
(Explain on a separate sheet describing each citation.) 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.
17. How many times within the last five years has there ever been aperiod when your firm had employees but was without workers' compensation 012345+ insurance or state-approved self-insurance?
(Explain the reason for each absence of workers' compensation insurance on a separate sheet. If "None," 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 ha been in the construction business.)
Prevailing Wage and Apprenticeship Compliance
18. How many times during the last five years, has your firm been required to pay back wages and/or penalties related to state or federal prevailing 01 2 3 45+ wage laws for work performed by your firm?
(Explain on a separate sheet. Describe the nature of each violation and identify the name of the project, date of its completion, public agency for which it was constructed. number of employees underpaid, and amounts) of back wages and penalties your firm was required to pay.)
NOTE: Question 18 refers only to the violation of prevailing wage laws by your firm, not to violations by a subcontractor.
14 Circle Answer
19. How many times during the last five years, has your firm or any subcontractors hired by your firm been required to pay back wages 012 3 4 5+ and/or penalties related to state or federal prevailing wage laws for work performed by a subcontractor?
(Explain on a separate sheet. Identify the subcontractor's business name and CSLB license number, describe the nature of each violation, and identify the name of the project, date of its completion, public agency for which it was constructed, number of employees underpaid, and amounts) of back wages and penalties your firm was required to pay.)
NOTE: This question refers only to the violation of prevailing wage laws by subcontractors, not to violations by your firm.
20. How many times during the last five years, has your firm paid any penalties related to any provision of California apprenticeship laws or 012345+ regulations, or the laws pertaining to use of apprentices on public works projects, including Labor Code sections 1777.5 and 1777.7? (Explain on a separate sheet. Provide the date(s) of such findings, case number(s), and attach copies of the Department's final decision(s).)
21. How many times during the last five years, has any subcontractor hired by your firm paid any penalties related to any provision of California 0123 4 5+ apprenticeship laws or regulations, or the laws pertaining to use of apprentices on public works projects, including Labor Code sections 1777.5 and 1777.7?
(Explain on a separate sheet. Provide the date(s) of such findings, case number(s), and attach copies of the Department's final decision(s).)
NOTE: Omissions, misrepresentations and any failure
to disclose associations with other firms or any prior
history of alleged violations may lead to loss of your
eligibility to register as a Public Works Contractor,
disqualification of bids, and/or grounds for termination of a contract.
15 E. PROJECT REFERENCES
Provide information about the firm's six most recently completed public works projects and its three largest completed public works projects within the last three years. The public works projects must be of similar scope and contract amount as the 'Project'. Names and references must be current and verifiable. Use separate sheets of paper that contain all of the following information:
Only list projects your firm performed as the general contractor.
Project Name:
Location:
Owner:
Owner Contact (name and current phone number):
Inspector of Record (name and current phone number):
Description of Project, Scope of Work Performed:
Total Value of Contract
(including change orders):
Date Construction Commenced:
Original Contractual Completion Deadline:
Adjusted Completion Deadline Based on
Time Extensions Granted by Owner:
Actual Date of Completion:
16 F. CERTIFICATION
Questionnaires submitted by corporations must be signed with the legal name of the corporation, followed by the name of the state of incorporation and by the signature and designation of the chairman of the board, president or any vice president, and then followed by a second signature by the secretary, assistant secretary, the chief financial officer or assistant treasurer. All persons signing must be authorized to bind the corporation in the matter. The name of each person signing shall also be typed or printed below the signature.
Satisfactory evidence of the authority of each officer signing on behalf of a corporation shall be furnished.
Questionnaires submitted by partnerships must furnish the full name of all partners and must be signed in the partnership name by a general partner with authority to bind the partnership in such matters, followed by the signature and designation of the person signing. The name of the person signing shall also be typed or printed below the signature.
Each person signing below makes the following representations under penalty ofperjury:
The submitter of the foregoing answers to the questionnaire has read the same and the matters stated therein are true to the best of his or her own personal knowledge. This information is provided for the purpose of qualifying to bid on the Project, and any individual, company or other agency named herein is hereby authorized to supply the awarding body with any information necessary to verify the prospective bidder's statements. By signing below, the submitter and the named contractor hereby grant permission to the [Public Entity] to contact any or all of the above listed persons or entities to confirm facts or otherwise investigate the above facts and issues.
The submitter understands that any statement which is proven to be false shall be grounds for immediate disqualification from bidding on the Project. The submitter whose signature appears below represents and warrants that he or she has authority to bind the named contractor.
I, _(Name), the undersigned, am the
_ (Title), with the authority to act for and on behalf
of (Contractor Entity Name), declare under penalty of perjury under the laws of the State of California that the foregoing information provided in this Pre- qualification Questionnaire is true, full, and correct.
I understand that making a false statement may result in disqualification from bidding on any public works project, registering as a Public Works Contractor with the Department of Industrial Relations, and may be grounds for termination of a public works contract.
Executed on this: _day of _at_
(Date) (Month / Year) (City / State)
Name of Contractor Representative:
Signature of Contractor Representative:
Division 2
Scoring Worksheet
18 SCORING WORKSHEET
I. SECTION C - ESSENTIAL CRITERIA QUESTIONS
A. For Questions 1-6 the Contractor must answer 'Yes' to be pre-qualified.
B. For Questions 7-13 the Contractor must answer 'No' to be pre-qualified.
II. SECTION D PRE-QUALIFICATION CRITERIA QUESTIONS
Question Factor #1 - Factor #2- Multiplying Total
Number Points Points Factor Points
1 x2
2 Factor #1: Whether the
x2 incident was a good faith
3 mistake and, if so, the
4 x1 error was promptly and
5 x2 voluntarily corrected
6 when brought to the
attention of the
Contractor or
x2
Subcontractor.
x1
10 x2
x2 Factor #2: Whether the
11 Contractor or
12 x2 Subcontractor has a prior
13 x1 history or several
14 x1 incidents are reported.
15 x2
16 x2
17 x2
18 x2
19 x1
20 x2
21 Total =
Questions Type:
Red Flag Questions (Multiplying Factor x2) - quantity 14 Non-Red Flag Questions (Multiplying Factor x1) - quantity 7 Notes: Review additional documents provided by the Contractor in response to the questions in Section D to calculate a final score using the two factors listed above. A score on a scale of 1 to 5 is assigned to each factor.
Factor #1: A score of 1 is assigned where the incident is clearly the result of a good-faith mistake, and a score of 5 is assigned where the incident is clearly an overtly willful action for which the Contractor is culpable.
Factor #2: A score of 1 is assigned where only a single incident exists, and a score of 5 is assigned where five or more incidents of that kind are reported.
A contractor is 'Pre-qualified' if the total score above is: 35 points or less. 19 Division 3
Interview Questions
20 SECTION E - INTERVIEW QUESTIONS
The below questions are used by Staff to collect information about a Contractor's recent public works projects that are similar in scope and contract amount to the Project. The questions are not scored.
(However, the DIR allows the City the flexibility to implement a uniform rating system for the Project References interview questions. If the interview questions are scored, the following scoring system will be used:
A. Staff will attempt to interview three of the references given.
B. Given that not all questions will be answered, or three references cannot be contacted, the Contractor must reach 80% of the 'Possible Points' to be Pre-qualified.
C. Depending on the question a scored is given a "l' or a 'O' points.
D. A 'Possible Point' will be given if a question is answered with either a 'Yes' or 'No'.
E. A 'N/A' (not answered) is given if the question is not answered.) Question Ref Ref Ref Total
#1 #2 #3
1. Give a brief description of the project. (Not scored) N/S N/S N/S
2. 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 a 'No' response; 0 points for 'Yes' response)
3. Did the contractor provide adequate personnel? (1 point for a 'Yes' response; 0 points for No' response)
4. Did the contractor provide adequate supervision? (1 point for a 'Yes' response; 0 points for 'No' response)
5. Was there adequate equipment provided on the job? (1 point for a 'Yes' response; 0 points for 'No' response)
6. Was the contractor timely in providing reports and other paperwork, including change order paperwork and scheduling updates? (1 point for a 'Yes' response; 0 points for 'No' response)
7. Did the contractor adhere to the approved project schedule? (1 point for a 'Yes' response; 0 points for 'No' response)
8. Was the project completed on time? (1 point for a 'Yes' response; 0 points for 'No' response)
9. Did the contractor timely submit reasonable cost and time estimates to perform change order work? (1 point for a 'Yes' response; 0 points for 'No' response)
10. Given the nature of the project, were there an unusually high number of claims or unusual difficulty in resolving them? (1 point for a 'No' response; 0 points for 'Yes' response)
21 11. Did the contractor make timely payments to either subcontractors or suppliers? (1 point for a 'Yes' response; 0 points for 'No' response)
12. How would you rate the quality of the work overall? (Not scored) N/S N/S N/S Total Points Scored
Total Points Possible
Percentage of points scored
22