PREQUALIFICATION APPLICATION FOR ELECTRICAL CONTRACTORS MECHANICAL CONTRACTORS PLUMBING CONTRACTORS AND ROOFING CONTRACTORS

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1 PREQUALIFICATION APPLICATION FOR ELECTRICAL CONTRACTORS MECHANICAL CONTRACTORS PLUMBING CONTRACTORS AND ROOFING CONTRACTORS Prequalification Packets Issued March 5, 2014 Deadline for Submissions: March 26, 2014

2 ANNOUNCEMENT OF PRE-QUALIFICATION OF ELECTRICAL, MECHANICAL, PLUMBING AND ROOFING CONTRACTORS/SUBCONTRACTORS On September 30, 2012, Governor Brown signed Assembly Bill (AB) 1565, adding Section to the Public Contract Code. AB 1565 requires a school district with ADA over 2,500 to prequalify Contractors to bid on the District's construction contracts awarded on or after January 1, 2014 in which the contract value is $1,000,000 or more, and the project is funded, in whole or in part, with State bond funds. In compliance with the above law, notice is hereby provided that General Contractors, as well as Specialty/Subcontractors holding any of the California licenses listed below, who desire to submit bids and proposals to Twin Rivers Unified School District ( District") on projects totaling one million dollars or more must be pre-qualified by the District prior to submission of bids and proposals. Specialty Contractors with any of the following CA State Licenses must be prequalified to bid on District projects above $1M: C-4 Boiler, Hot Water Heating and Steam Fitting Contractor C-7 Low Votage Systems Contractor C-10 Electrical Contractor C-16 Fire Protection Contractor C-20 Warm-Air Heating, Ventilating and Air-Conditioning Contractor C-34 Pipeline Contractor C-36 Plumbing Contractor C-38 Refrigeration Contractor C-39 Roofing Contractor (District requirement) C-42 Sanitation System Contractor C-43 Sheet Metal Contractor C-46 Solar Contractor General Contractor and Subcontractor prequalification packets are available on the District website at Please submit completed packets to the District by March 26, 2014 to be considered for upcoming projects. Include one signed original, plus five additional printed copies of your packet in a sealed envelope, addressed to: Submissions by or fax will not be accepted. TWIN RIVERS UNIFIED SCHOOL DISTRICT Attn: Debbie Gordon Manager of Contract and E-Rate Services 3222 Winona Way, Second Floor rth Highlands, CA Page 2

3 Your response must be received by March 26, 2014 in order to be prequalified for upcoming bids. Although no extensions are anticipated, the District reserves the right, at its sole discretion, to extend this deadline. Incomplete applications, or packets missing the required forms, will be deemed nonresponsive, and will not be evaluated. If two or more business entities intend to do business with the District as a Joint Venture, or expect to submit a bid as part of a Joint Venture, each individual entity within the Joint Venture must be prequalified by the District. The enclosed packet was compiled based on current best practices and legislative and regulatory mandate. It has been approved by the Board of Trustees of Twin Rivers Unified School District. twithstanding the full and complete nature of the packet contained herein, the District reserves the right to make corrections this packet. Corrections will be publicly posted on the District website at and you are advised to review the website to stay current. Any questions concerning this prequalification packet should be ed to EVALUATION OF SUBMISSIONS A panel of District stakeholders will review and score all submissions using the criteria identified in Section XI. Scores will be based on full and complete responses to the questionnaire, current bonding capacity on an aggregate and per project limit, notarized statement from the Contractor's surety, the Contractor's history of regulatory compliance, and the Contractor's latest reviewed or audited financial statements. The District intends to check Contractor references, paying close attention to the Contractor's timely completion of projects, work habits, work history and personnel. Prequalification status is valid for one year. The District reserves the right to suspend or rescind Contractor prequalification status if the District should discover that a Contractor failed to disclose essential or required information in its prequalification packet; or discovers that the Contractor has made misrepresentations, or submitted false or misleading information to the District. Prequalification may also be suspended if changes in Contractor's business (i.e., management, finances or workforce) may have an adverse impact on Contractor's qualifications to perform; or for Contractor's actual failure to perform. Prequalification applications are not considered public record, however, Contractor submissions may be disclosed to third parties on a need-to-know basis for the purpose of verification. 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. Applications must be signed by an authorized officer, owner or principal of the organization. Should errors or omissions be discovered after submission by either the District or the Contractor, the Contractor must provide updated and accurate information in writing, promptly upon request of the District. However, acceptance of the corrections, after the submission deadline, will be at the discretion of the District. The District reserves the right to waive minor irregularities and to make all final determinations. Page 3

4 APPEALS Contractors who receive a designation of t Prequalified" from the District may appeal the designation, provided the Contractor's original packet was received on time and complete. Appeal requests must be received in writing at the address above no later than ten business days after date of the District's notice to Contractor of its qualification status. Absent District receipt of a timely written request for an appeal, the Contractor waives any and all rights to challenge the decision of the District, whether by administrative process, judicial process or other legal process or proceeding. Appeal hearings will be conducted by a panel of stakeholders ("Appeals Panel") designated by the District. At or prior to the hearing, the District and/or the Appeals Panel will advise the Contractor of the basis for the District s determination of Unqualified status. The Contractor may then present substantive information with supportive rationale to the Appeals Panel, requesting reconsideration. Contractors are hereby advised that frivolous invocation of the Appeals process will subject the Contractor to permanent disqualification as a vendor on all District projects. The decision of the Appeals Panel will be final for the calendar year. Opening of project bids will not be delayed or postponed to allow for completion of the appeals process. Questions regarding this prequalification packet or forms may be submitted by only to: Thank you for your interest in serving the needs of Twin Rivers Unified School District. We welcome your submission. te 1: The designation of "t Prequalified" may apply to a specific District project, and/or all District projects unless or until the Contractor meets the District s requirements. te 2: A Contractor may be designed by the District as "t Prequalified" for omission of requested information. The Contractor will be permanently disqualified, at any time, for falsification of information. Page 4

5 GENERAL INFORMATION A. Contractor shall complete the enclosed Pre-qualification Application. Where indicated, please provide information on additional sheets, identifying the section and page to which the addition applies; and initial the sheets. B. You or Your as used herein refers to the Contractor s firm and any of its officers, directors, shareholders, parties, or principals. C. Any statement which is proven to be false shall be grounds for immediate and permanent disqualification. D. The District reserves the right to determine qualification or disqualification based on verifiable information secured from any source(s). E. Failure to complete all questions and provide all information requested within this prequalification questionnaire shall be basis for disqualification. F. All references are subject to verification. Additional copies of the prequalification questionnaire are available on the District s website at: Page 5

6 I. COMPANY INFORMATION Company Name: (as it appears on license) APPLICATION FOR PREQUALIFICATION Electrical, Mechanical, Plumbing and Roofing Contractors Form of business: Corporation Partnership/LLC Sole Proprietorship Year of formation of business or incorporation: State: Fed. Tax ID. or SSN: Address: Phone: Fax: President or Co. Owner: CA Contractor s License Number(s), type and year issued: How many years has your organization been in business as a contractor in California under your present business name and license number? Years. Please identify any other construction firms that the business owner(s), principal(s) or responsible manager(s) have been associated with as a principal or owner, or worked directly for in a management capacity during the past five years: Person s Name Construction Company Dates of association with Company For Firms That Intend to Do Business with the District as a Joint Venture: te : Each company that is party to a Joint Venture must submit its own prequalification packet. Date of commencement of joint venture: Provide the following information for each firm that is a member of the joint venture: Name of firm % Ownership of Joint Venture Page 6

7 Prequalification will include Contractor Bid Limits and Specific Experience. The District will determine these things based on past project amounts and experience provided in your answers below. 1. Bid Limit: The candidate s qualified limit will be the lesser of the following (stated in US currency): a) the largest public works contract the candidate has fully performed within the last five years (as defined by the original contract price, plus additive and deductive change orders), plus 10%; or b) the candidate s current bonding capacity, as determined by the surety with which the candidate currently has the highest bonding limit. Your accurate answers to A and B immediately below, once verified by the District, will determine your bid limit. A. The total contract price (as adjusted by change orders) of the largest public works contract your firm has completed in the capacity of General Contractor in the last five years: $ plus 10% = $. B. Your firm s current maximum bonding capacity: $. Name of Bonding Company: 2. Specific Experience Requirement: At least 2 of the projects listed in Sec. XI of this application must be K-12 projects subject to Division of the State Architect inspection and approval. This does not limit District from specifying in the Bid documents additional prequalification requirements as may be required for a specific project. Page 7

8 II. COMPANY OWNERSHIP/PERFORMANCE 1. Has there been any change in ownership of your company at any time during the last three years? If yes, explain on a separate signed page. This question does not apply to publicly traded firms. 2. Is your company a subsidiary, parent, holding company or affiliate of another construction firm? If yes, explain on a separate signed page. 3. Do any officers, owners or partners in your company also hold office in any other construction firms? If yes, explain on a separate signed page. 4. Please provide your firm s gross revenues for the last three years: 2013: 2012: 2011: 5. Is your firm currently the debtor in a bankruptcy case? If yes, please attach a copy of the bankruptcy petition, showing the case number, and the date on which the petition was filed. 6. Other than as indicated in.5 above, has your firm been in bankruptcy at any time during the last five years? 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. Page 8

9 III. GENERAL REQUIREMENTS Please check one box for each question. 1. Contractor possesses a valid and current California Contractor s license for the project or projects for which it intends to submit a bid. 2. Contractor has a liability insurance policy with a policy limit of at least: a) $3,000,000 per occurrence and $5,000,000 aggregate for projects of $1M or more. 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. Contractor is exempt from this requirement, because it has no employees 4. Has any contractor s license held by your company or any officer or manager been suspended or revoked at any time in the last five years? 5. 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? 6. Have you attached your latest copy of a reviewed or audited financial statement with accompanying notes and supplemental information? 1 NOTE: A financial statement that is not either reviewed or audited is not acceptable. A letter verifying availability of a line of credit may also be attached; however, it will be considered as supplemental information only, and is not a substitute for the required financial statement. 7. 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 whether your current available bonding capacity is sufficient for the project for which you seek pre-qualification and provides a your total bonding capacity limits? 2 NOTE: tarized statement must be from the surety company, not an agent or broker. 1 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 per cent of the qualifying amount provided in section 14837(d)(1). As of January 1, 2001, the qualifying amount is $10 million, and 25 per cent of that amount, therefore, is $2.5 million. 2 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 package is submitted more than 60 days prior to submission of the bid. Page 9

10 IV. LICENSES 1. Please list all CA Contractor s License Number(s), type and year issued: 2. If any of your firm s license(s) are held in the name of a corporation or partnership, please provide the names of the individuals who are listed on the CSLB records who meet(s) the experience and examination requirements for each license. 3. Has your firm changed names or license number in the past five years? If yes, explain on a separate signed page, including the reason for the change. 4. Has any owner, partner or (for corporations) officer of your firm operated a construction firm under any other name in the last five years? If yes, explain on a separate signed page, including the reason for the change. 5. Has any CSLB license held by any officer or responsible manager of your company been suspended within the last five years? If yes, please explain on a separate signed sheet. V. DISPUTES 1. 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? 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. 2. 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? If yes, explain on a separate signed page. State whether the firm involved was the firm applying for pre-qualification here or another firm. Identify by name of the company, the name of the person within your firm who was associated with that company, the year of the event, the owner of the project, the project and the basis for the action. Page 10

11 3. In the 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? 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. * * * * * 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. 4. In the past five years has any claim been filed against your firm in civil court, or submitted to arbitration, concerning your performance on a construction project? 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). 5. In the past five years has your company filed any claim in civil court or submitted a claim for binding arbitration against a project owner concerning work on a project or for payment? 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). 6. Has your firm had a contract for a public work of improvement in the last five years that was terminated for cause by a public entity, or terminated in whole or in part with your consent? te: you need not answer yes if the public entity terminated the contract for convenience. If the answer is, for each such contract attach a separate sheet identifying the owner, your bonding company, the original contract value, the value of the work terminated and a brief explanation of the circumstances leading to the termination. 7. Has your firm ever entered into a settlement agreement, or otherwise agreed with a public entity that your firm would not bid on future projects advertised by the public entity for a specified period of time? If the answer is, for each such agreement attach a separate sheet identifying the public entity and the period of time during which your firm agreed not to bid. Page 11

12 8. 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? 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. 9. In the last five years has any insurance carrier, for any form of insurance, refused to renew the insurance policy for your firm? If yes, explain on a separate signed page. Name the insurance carrier, the form of insurance and the year of the refusal. 10. In the last three years has your firm held a public works contract on which more than three (3) stop payment notices were served against your firm? If yes, explain on a separate signed page. 11. If answering to Question 10, did any Stop Payment tice result in a claim against your Payment Bond? If yes, explain on a separate signed page. VI. CRIMINAL/CIVIL ACTIONS 1. 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? 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. 2. 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? 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. Page 12

13 3. 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? VII. BONDING 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. 1. Bonding capacity: Provide documentation from your surety identifying the following: Name of bonding company/surety: Name of surety agent, address and telephone number: 2. 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. 3. 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: 4. 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? 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. VIII. OSHA/WORKERS COMPENSATION/EPA COMPLIANCE 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? 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 and a decision has been Page 13

14 issued, state the case number and the date of the decision. If OSHA has not yet ruled on a pending appeal, you need not include information about it. 2. How often do you require documented safety meetings to be held for construction employees and field supervisors during the course of a project? 3. 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. 4. Within the last five years has there ever been a period when your firm had employees but was without workers compensation insurance or state-approved self-insurance? If yes, please explain on a separate signed page. If, 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. 5. Has the federal Occupational Safety and Health Administration cited and assessed penalties against your firm in the past five years? If yes, attach a separate signed page 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. 6. 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? Page 14

15 If yes, attach a separate signed page 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. IX. PREVAILING WAGE/APPRENTICESHIP COMPLIANCE 1. 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. 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. 2. 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? If yes, attach a separate signed page or pages describing the nature of the violation, identifying the name of the project, the date of its completion, the public agency for which it was constructed; the number of employees who were initially underpaid, the amount of back wages you were required to pay along with the amount of any penalty paid. 3. Provide the name, address and telephone number of the apprenticeship program sponsor(s) (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 the District. 4. If your firm operates its own State-approved apprenticeship program: (a) (b) Identify the craft or crafts in which your firm provided apprenticeship training in the past year. 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). Page 15

16 (c) State the number of individuals who were employed by your firm as apprentices at any time during the past three years and the number of persons who, during the past three years, completed apprenticeships in each craft while employed by your firm. 5. 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? If yes, provide the date(s) of such findings, and attach copies of the Department s final decision(s). X. Provide the information requested below for the three largest public works projects and two largest private works of improvement on which you have completed your scope of work in the last five years (use additional sheets of paper). Largest means highest contract dollar value, including change orders. Names and references must be current and verifiable. Project Name: Location: Owner: Contact Name, Tele., Architect or Engineer: Architect or Engineer Tele/ Construction Manager: Construction Manager Tele./ Description of Project, Scope of Work Performed: Total Value of Construction (including change orders): Original Scheduled Completion Date: Actual Completion Date: Time Extensions Granted (# of Days): Page 16

17 XI. EVALUATION CRITERIA The following criteria will be used to evaluate the applications: 1) Similar projects that have been completed by the contractor within the last five years; 2) Quality of work 3) Client References, with attention paid to the following: a. Contractor's history of timely completion of projects within scope and budget; b. Contractor's record of meeting and/or exceeding expectations of the client; c. Contractor's record of reliability, consistency and integrity; d. Contractor's consistent delivery of superior work product; e. Contractor's availability and responsiveness to client's needs during all phases of the project and ongoing service and support of completed work. 4) Experience of principals and project managers 5) K-12 experience and knowledge 6) Financial strength 7) Type of license(s) the contractor holds; 8) Bondability; Insurability; 9) Disqualification on prior jobs; 10) Prior defaults or bankruptcy; liquidated damages on earlier projects 11) Caims against bonds 12) Prior terminations; 13) Workers compensation experience; 14) Regulatory compliance. * * * * * * * 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. Date: Authorized Signature Printed Name: CORPORATE SEAL Title: Company Name: Page 17

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