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HomeMy WebLinkAboutAGENDA REPORT 2001 1205 CC REG ITEM 10CITEM�10' 6, CITY of AC P1RftJreQ._k711FF ?cD =TEYn ©Ac.X tat 15UF f0A.1T /Ko r0C.Ur "O rt "�"' ��1�� V1:1CW PICATICY�'ra. Moorpark City Counp,�I] �� Agenda Report To: The Honorable City Council From: Kenneth C. Gilbert, Director of Public Works �(c Date: November 15, 2001 (Council Meeting 12 -5 -01) Subject: Pre - Qualification of Bidders for Major Construction Projects BACKGROUND On September 19, 2001, the City Council considered a report pertaining to the pre - qualification of bidders, and directed staff to develop and present this new program to the City Council for approval. DISCUSSION A. History Consistent with the requirements of the State of California Public Contracts Code, municipalities have been required to award construction contracts to the lowest responsive (responded to the requirements of the bid package) and responsible (in possession of a contractor's license and possessing minimal experience) bidder. B. AB574 In 1999 the State Legislature enacted AB574 which enabled cities to refine their ability to better determine if a bidder is responsible, by "pre- qualifying" bidders. That legislation stipulated that any "pre- qualifications" program implemented by a city, must conform to certain guidelines and requirements which were to be developed by the State Department of Industrial Relations (DIR) . Bids4 Pre - Qualification of Bidders November 15, 2001 Page 2 C. DIR Program As required by AB574, the DIR developed a set of guidelines and procedures for cities to use in establishing and administering a "Bidder Pre - Qualification Program ". The attached draft City of Moorpark Program is modeled after those guidelines and requirements. D. Proiect Specific AB574 allows cities to administer either an annual pre - qualification process for all projects within a specified category or administer "project specific" pre - qualification processes. The draft program set forth here is structured to pre - qualify bidders on each project. E. Major Projects Only: As previously discussed by the City Council, only projects costing in excess of one million dollars will require the pre - qualification of bidders. F. Subcontractors The draft program states that it is the intent of the City to also require the pre - qualification of subcontractors providing work on the subject project in certain specified crafts or trades. This requirement can be omitted on any given project if it is deemed not necessary. G. Citv Council Poli Should the City Council wish to approve this program, it would be the intent of staff to present to the City Council at its next meeting, a Resolution amending the City Council Policies to formally establish the program. A new policy would be added directing the City Manager to develop and maintain the program, pursuant to certain guidelines set forth in that policy. H. Draft Pre - Qualification Program Attached is the final draft of the program. This draft is presented in order to allow the City Council to see the scope of the program and to provide input and comments on the draft program. The final document will be somewhat flexible and will be revised from time to time as needs arise. The document in use at any specific time being one which is approved by the City Manager, as required by the above mentioned policy. Bids4 Pre - Qualification of Bidders November 15, 2001 Page 3 The draft program attached hereto is in two parts as follows: • Exhibit 1 is a copy of the draft package to be provided to interested bidders. This document includes the required Questionnaire and instructions about the pre - qualification process. • Exhibit 2 is a copy of the draft instructions to the Evaluation Committee. This document includes Questionnaire scoring instructions, reference check interview instructions and other relevant instructions about the administration of the pre - qualification process. I. Evaluation Committee and Appeals Panel: The new section in the Engineering Policies and Standards pertaining to Bidder Pre - qualification, includes guidelines regarding the composition of the Evaluation Committee [herein "Committee "] and the Appeals Panel. Please refer to that report for details. J. Pre - Qualification Package The following is a summary of the contents of the draft Pre - qualification Package (Exhibit 1) to be provided to interested contractors: 1. Introduction: General description of the pre - qualification process; 2. Notice: A copy of the published Notice requesting pre - qualification; 3. Project Description: Reference is made here to Exhibits 2 and 3, which provide specific information about the project; 4. Submittal Requirements: Instructions regarding package submittal; 5. Cover Page: The cover page identifies the interested contractor and would become a public record; 6. Questionnaire: The questionnaire to be completed and submitted (along with supportive documents) to the City [The contents of the questionnaire are to remain confidential]; 7. Interview Question: An information copy of the questions the City will be asking the references provided by the contractor; B. Evaluation Process: A brief description of the evaluation process; 9. Appeals Procedure: A brief description of this process; 10. Exhibits: • Exhibit 1: Copy of AB574; • Exhibit 2: Project Description - attached here will be a description of the construction project for which pre - qualification is being requested; and • Exhibit 3: Supplemental Questionnaire - attached here will be a set of Supplemental Questions pertaining to specific elements of work required for the project. Bids4 Pre - Qualification of Bidders November 15, 2001 Page 4 K. Committee Instructions The following is a summary of the contents of the draft Instructions to the Committee (Exhibit 2): 1. Committee: A brief discussion about the Committee; 2. Evaluating the Questionnaires: Instructions and information about evaluating the Questionnaires; 3. Interviewing Contacts: Instructions and scoring information for interviewing the references provided by the Contractor; 4. Score Sheet: A summary sheet to note the various scores received by the Contractor; and 5. Appeals Panel: A brief discussion of the Appeals Panel and the appeals process. 6. Exhibits: • Exhibit 1: Scoring instructions for the Supplemental Questionnaire; • Exhibit 2: Sample Notice [Project Specific]; • Exhibit 3: Sample Notice [Annual Process]; and • Exhibit 4: Sample Notice Inviting Bids. L. General Information General information about the pre - qualification process, as defined by the attached draft documents, is summarized as follows: 1. Notice Re: Pre - Qualification: A Notice will be published advising of the City's intent to require contractors (and certain subcontractors) to be pre - qualified by the City in order to submit a bid on a specified project. 2. Notice Inviting Bids: The Notice Inviting Bids will state that only bids from contractors on the Approved Bidders List will be accepted. Said Notice will also state that subcontractors for certain crafts or trades will also have to be on the Approved Bidders List. 3. Questionnaire: Each interested contractor, and subcontractor for specified areas of work, must complete and submit a Questionnaire prior to the specified deadline. 4. Supportive Information: The Questionnaire must be accompanied by: • a reviewed or audited financial statement, and • a statement from a qualified surety stipulating to the bonding capacity of the contractor. Bids4 Pre - Qualification of Bidders November 15, 2001 Page 5 5. Supplemental Questionnaire: The submittal package must also include a completed supplemental questionnaire, which requests information relevant to the project and the contract's background in construction of similar projects. 6. Confidentiality: The information provided in and with the Questionnaire shall not be a public record and shall not be open to public inspection. 7. Evaluating and Scoring the Questionnaire: Set forth in Section II of Committee Instructions (Exhibit 2), are instructions on how to evaluate and score selected questions in the Questionnaire. Those instructions also specify the passing scores for each of the various components of the pre - qualifications package. 8. Verifying Information: Section II -C of the Committee Instructions provides information to assist the Committee in verifying the information provided by the Contractor. Section II -D is to be used to take notes during this verification process. 9. Interviewing References: Section III of the Committee Instructions provides instructions on how to interview the references [Public Agencies] cited by the contractor, and how to "score" the feedback obtained from those sources. This will be the most difficult, time consuming and costly part of the process. The Committee must interview at least two of the references provided. Each such interview could require contacting several people within that agency (project manager, inspector, finance, etc.). 10- Appeals: As required by law, an appeals process has been provided to allow contractors who have been disqualified to appeal such a decision. 11. Litigation: Contractors retain the right to seek judicial review (litigation) of a City's decision to disqualify them. It is the intent of the program to not allow such a dispute to delay the bidding or construction process. Any such litigation would proceed at its own pace. M. Screeninq Effect As has been previously stated, it is anticipated that the primary benefit of a pre - qualifications process is that this rather costly and complex process will very likely discourage poorly qualified contractors from participating in the process. The "down- side" is that smaller "qualified" firms may also be discouraged from participating and only larger, "more expensive" (higher overhead) firms will participate. Bids4 Pre - Qualification of Bidders November 15, 2001 Page 6 N. Schedule Attached as Exhibit 3 is a schedule for the administration of the pre - qualification process. This schedule anticipates the completion of the pre - qualifications process (including any appeals) and the establishment of the Approved Bidders List, prior to advertising for the receipt of bids. The estimated time required for this process would require initiation of the process approximately nineteen (19) weeks prior to advertising the project for receipt of bids. This process could, therefore, delay the implementation of some projects. O. Estimated Added Cost In addition to the "hidden" costs mentioned in the prior Section, the proposed bidder pre - qualification process will add cost to each project. Such costs will come in the form of a) considerable staff time diverted from other projects and /or b) consultant costs to assist in this process. With no history or experience in administering a Pre - Qualification effort, it is difficult to estimate the added cost of such a program. It is estimated, however, that such costs will range from $10,000 to $50,000 per project. P. City Attorney Review The attached documents have been reviewed by the City Attorney. Q. Pool Project It is anticipated that the first project to require the pre - qualification of bidders will be the Pool project. It is the intent of staff to develop, within the next few weeks, the Supplemental Questionnaire and scoring instructions for that project. STAFF RECOMMENDATIONS Review the proposed draft program and, if the City Council wishes to implement the program, direct staff to present a Resolution to the City Council amending the City Council Policies to formally establish the program. Attachments: Exhibit 1: Bidder Pre - Qualification Package Exhibit 2: Instruction for Evaluation Committee Exhibit 3: Typical Pre - Qualification Schedule Bids4 T�� � I CITY OF MOORPARK INSTRUCTIONS AND PROCEDURES FOR THE PRE- QUALIFICATION OF CONTRACTORS SEEKING TO BID ON PROJECT: December 2001 iW TABLE OF CONTENTS PAGE I. INTRODUCTION ........................................................................................ ............................... I II. NOTICE: REQUEST FOR THE PRE - QUALIFICATION OF BIDDERS ................. ..............................3 III. PROJECT DESCRIPTION .............................................................................. ..............................7 IV. SUBMITTAL REQUIREMENTS ..................................................................... ..............................5 V. SUBMITTAL COVER PAGE ......................................................................... ..............................1 O VI. QUESTIONNAIRE ........................................................................................ .............................12 VII. INTERVIEW QUESTIONS .............................................................................. .............................29 VIII. EVALUATION PROCESS .............................................................................. .............................31 IX. APPEAL PROCEDURE .................................................................................. .............................32 EXHIBITS: 1. AB 574 2. PROJECT DESCRIPTION 3. SUPPLEMENTAL QUESTIONNAIRE PROJECT SPECIFIC QUESTIONS) ll City of Moorpark Bidder Pre - Qualification I. Introduction A. Responsive Bidder: In selecting a contractor to perform a public works project, a public agency is not required to select the contractor that submitted the lowest bid. A bid can, and must, be rejected if the agency determines that it is not "responsive." The term "responsive" generally refers to whether the bid fully responds to the requirements of the bid documents. B. Responsible Bidder: In addition, the lowest bid can, and must, be rejected if the agency determines that the bidder is not "responsible." The California Public Contract Code ( "Code ") contains various provisions generally requiring the award of public work, over a certain dollar amount, to the "lowest responsible bidder." The Code does not simply require the award of a contract to the "lowest bidder" but, instead, provides that the bidder must also be "responsible." The term "responsible" has been interpreted to refer to "the quality, fitness and capacity of the bidder to satisfactorily perform the proposed work." Thus, a "responsible" bidder is one that, in the awarding body's judgment, is qualified, based on past experience, and current ability, to perform and complete the work in question in a timely manner. Poor performance in the past is a sufficient reason, by itself, to find that a bidder is not "responsible ". The term "responsible" has also been interpreted to include the attribute of "trustworthiness ", which is separate and distinct from the contractor's ability to perform the work in question. The Courts have found that a contractor's ability to comply with all relevant laws is certainly relevant to whether it is "responsible ". C. Determining if a Bidder is Responsible: In determining whether or not a bidder is "responsible ", an agency may evaluate the bidder on the basis of the particular work to be performed and may assess the bidder's qualifications to perform that work in terms of (1) its ability to perform and complete the work in a timely manner and (2) the likelihood that it will comply with all relevant laws in carrying out the contract. The bidding documents may, therefore, require certain information deemed necessary to make those determinations. D. AB574: In 1999, the State Legislature enacted AB574 which set forth certain standards and requirements to assist local agencies in determining whether or not bidders were qualified. Pursuant to that legislation, the City may require licensed contractors that wish to bid for public works jobs to "pre- qualify" for the right to do so. A copy of AB574 is attached hereto for reference as Exhibit 1. The purpose of this document is to set forth the procedures and requirements for the submittal of the forms and related documents necessary to "pre - qualify" for a specified City project or set of projects. City of Moorpark Bidder Pre - Qualification II. Notice: Request for the Pre - Qualification of Bidders The following Notice, advising of the City's intent to require the pre - qualification of bidders on the specified project(s), was published and posted in the same manner required for the advertisement for receipt of bids. 3 ";F4; City of Moorpark Bidder Pre - Qualification REQUEST FOR PRE - QUALIFICATION OF BIDDERS FOR THE PROJECT Notice is hereby given that the City of Moorpark has determined that all Contractors, and certain designated subcontractors bidding on the [Name ofspeci flc pro1ectl to be undertaken by the City, must be pre - qualified prior to submitting a bid on that project. It is mandatory that all Contractors who intend to submit a bid, and all such designated subcontractors who wish to work on the project, fully complete the pre - qualification questionnaire, provide all materials requested herein, and be approved by the City, in order to be on the final qualified Bidders List. No bid will be accepted from a Contractor that has failed to comply with these requirements. All bidders are advised that certain subcontractors must also be pre- qualified in order to work on the project. The crafts or trades requiring pre - qualification are listed as follow: • [list crafts and trades here] Subcontractors interested in providing such work on the project must also complete and submit a Pre - Qualification Package on or before the submittal deadline, and must be Prc- Qualified by the City in order to work on the project. Contractors intending to utilize subcontractors in any of the above listed crafts or trades are advised to include in their bid only subcontractors for such work who are on the final qualified Bidders List. Any bidder who submits a bid which lists one or more subcontractors for such work who is not on the final qualified Bidders List, will be required to substitute said subcontractor(s) as prescribed by Section 4107 of the Public Contracts Code. If two or more business entities submit a bid as part of a Joint Venture, or expect to submit a bid as part of a Joint Venture, each entity within the Joint Venture must be separately qualified to bid. The last date and time to submit a fully completed questionnaire is 3:00 p.m. on mm/dd /yy. Contractors are encouraged to submit pre - qualification packages as soon as possible, so that they may be notified of omissions of information to be remedied prior to the date of the submittal deadline. Failure to submit the completed Pre - Qualification package to the City prior to the above stated deadline will result in disqualification for this project. It is anticipated that the above project will be advertised for receipt of bids on mm/ddl (six (6) to ten (10) weeks after the Questionnaire submittal deadline). 4 City of Moorpark Bidder Pre - Qualification Answers to questions contained in the attached questionnaire, information about current bonding capacity, notarized statement from surety, and the most recent reviewed or audited financial statements, with accompanying notes and supplemental information, are required. The City will use these documents as the basis of rating Contractors in respect to the size and scope of contracts upon which each Contractor is qualified to bid. The City reserves the right to check other sources available. The City's decision will be based on objective evaluation criteria. The City reserves the right to adjust, increase, limit, suspend or rescind, at any time, the pre - qualification rating based on subsequently learned information. Contractors whose rating changes sufficient to disqualify them will be notified, and given an opportunity for a hearing consistent with the hearing procedures described below for appealing a pre - qualification rating. While it is the intent of the pre- qualification questionnaire and documents required therewith to assist the City in determining bidder responsibility prior to bid and to aid the City in selecting the lowest responsible bidder, neither the fact of pre - qualification, nor any pre - qualification rating, will preclude the City from a post -bid consideration and determination of whether a bidder has the quality, fitness, capacity and experience to satisfactorily perform the proposed work, and has demonstrated the requisite trustworthiness. The pre - qualification packages shall be submitted under seal and marked "CONFIDENTIAL: Bidder Pre - Qualification" to: City of Moorpark, Department of Public Works, 799 Moorpark Avenue, Moorpark, CA 93021. The pre - qualification packages (questionnaire, financial statements and related materials) submitted by Contractors are not public records and are not open to public inspection. All information provided will be kept confidential to the extent permitted by law. However, the contents may be disclosed to third parties for purpose of verification, or investigation of substantial allegations, or in the appeal hearing. State law requires that the names of contractors applying for pre - qualification status shall be public records subject to disclosure, and the first page of the questionnaire will be used for that purpose. Each questionnaire must be signed under penalty of perjury in the manner designated at the end of the form, by an individual who has the legal authority to bind the Contractor on whose behalf that person is signing. If any information provided by a Contractor becomes inaccurate, the Contractor must immediately notify City and provide updated accurate information in writing, under penalty of perjury. The City 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 the above cited project. City of Moorpark Bidder Pre - Qualification Contractors may submit pre - qualification packages during regular working hours on any day that the offices of the City are open. Contractors who submit a complete pre- qualification package will be notified of their qualification statics no later than fifteen (15) business days after submission of the information. The City may refuse to grant pre - qualification where the requested information and materials are not provided, or not provided by the date specified above. There is no appeal from a refusal for an incomplete or late application, but re- application for a later project is permitted. The closing time for the submission of pre - qualification packages will not be changed in order to accommodate supplementation of incomplete submissions, or late submissions. Where a timely and completed application results in a rating below that necessary to pre - qualify, an appeal can be made. An appeal is begun by the Contractor delivering to the City Clerk of the City, notice of its appeal of the decision with respect to its pre- qualification rating, no later than five (5) business days following the date the notice of the pre - qualification rating was received by the Contractor. Without a timely appeal, the Contractor waives any and all rights to challenge the decision of the City, 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 matter will be given a hearing. The hearing shall be an informal process conducted by a panel to whom the City Council of the City of Moorpark has delegated responsibility to hear such appeals (the "Appeals Panel "). The Appeals Panel shall endeavor to conduct such hearing within ten (10) business days of the date the appeal is received by the City Clerk. In any event the appeal hearing shall be held as expeditiously as is possible. At or prior to the hearing, the Contractor will be advised of the basis for the City's pre - qualification determination. The Contractor will be given the opportunity to present information and present reasons in opposition to the rating. Within one (1) day after the conclusion of the hearing, the Appeals Panel will render its decision. It is the intention of the City that the date for the submission and opening of bids will not be delayed or postponed to allow for completion of an appeal process. Note: A contractor may be found not pre - qualified for bidding on a specific public works contract to be let by the City, or on all contracts to be let by the City until the contractor meets City's requirements. In addition, a contractor may be found not pre - qualified for either: (1) omission of requested information, or (2) falsification of information. 6 City of Moorpark Bidder Pre - Qualification III. Project Description A. Overview: As stated above, the City may seek to pre - qualify bidders for a specific project, or administer an annual pre - qualifications process for the pre - qualification of bidders on a number of projects. This document is formatted for the pre- qualification of bidders for a specific project, as defined and described below. B. Project Title: The name of the construction project is: N C. Project Scope: A general description of the subject project is set forth in Exhibit 2. D. Supplemental Questions: In addition to the Questionnaire set forth in Section VI, a Supplemental Questionnaire has been prepared requiring certain additional information about the qualifications of interested contractors, relating to the requirements of the project. The Supplemental Questionnaire is attached as Exhibit 3. In order to be deemed complete, the Pre - Qualification submittal package must include a completed Supplemental Questionnaire. 7 �E�' City of Moorpark Bidder Pre - Qualification IV. Submittal Requirements NOTE: PRE - QUALIFICATION SUBMITTALS WILL BE CONSIDERED INCOMPLETE IF THEY DO NOT INCLUDE: • THE REQUIRED FINANCIAL STATEMENT, • THE SUPPLEMENTAL QUESTIONNAIRE, • STATEMENT FROM AN ADMITTED SURETY INSURER AND • PAGES 27 & 28 COMPLETED AND SIGNED A. Schedule: The anticipated schedule for the Bidder Pre - Qualification and project bidding processes is as follows: Description Date 1. Notice: Request for Pre - Qualification of Bidders X = {date 1 J 2. Pre - Qualification Package Submittal Deadline {date 2J (X +G weeks 3. Evaluations complete, anticipated final date interested X + 9weeks max. bidders will be notified of the evaluation results. 4. Date of Notice to Bidder -- Project Advertise Date X + 14 weeks max. 5. Anticipate Bid Opening Date X + 20 weeks max. B. Prime Contractors: Every contractor interested in bidding on the subject project must complete and submit a Pre - Qualification package prior to the submittal deadline. C. Subcontractors: Contractors intending to utilize subcontractors in the crafts or trades noted below, are advised that those subcontractors must also be "Pre- Qualified ". That is, those fines must also complete and submit a Pre - Qualification Package on or before the submittal deadline, and must be Pre - Qualified by the City. The Pre - Qualification of Subcontractors will be required for the following crafts or trades: 2. 3. 4. 5. City of Moorpark Bidder Pre - Qualification D. Waiver and Authorization: In order to facilitate candid responses from the references interviewed (see Section VII), all contractors and designated subcontractors are required to fill out and sign a Waiver and Authorization (page 27), authorizing those reference to provide the requested information to the City and waiving all rights to sue those parties for the information provided. E. Certification: All contractors and designated subcontractors are required to complete and sign a statement (page 28) certifying that the information provided in the Questionnaire is correct. F. Disqualification for Incomplete Submittal: The City may refuse to grant pre - qualification where the requested information and materials are not provided, or not provided by the date specified. There is no appeal for a disqualification resulting for an incomplete or late application. However, such disqualification would not prevent the contractor from applying for pre - qualification for a future project. G. Proposal Due Date: The closing time for the submission of pre - qualification packages will not be changed in order to accommodate supplementation of incomplete submissions, or late submissions. 9 City of Moorpark Bidder Pre - Qualification V. Submittal Cover Page The cover page for each Pre - Qualification Submittal shall be in the form of the following page. The information on the cover page shall be a public record subject to full disclosure. All other information provided in the Pre - Qualification Submittal package 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 substantial allegations, or in any appeal hearing. 10 City of Moorpark Bidder Pre - Qualification Project Name: CONTACT INFORMATION Firm Name: (as it appears on license) Contact Person: Address: Phone: If firm is a sole proprietor or partnership: Owner(s) of Company Contractor's License Number(s): Check Onc: ❑ Corporation ❑ Partnership ❑ Sole Prop. ❑ Other [Specify: (LLC, Joint Vcnture, etc Fax: City of Moorpark Name of Contractor: Bidder Pre- Qualification VI. Questionnaire PART I. ESSENTIAL REQUIREMENTS FOR QUALIFICATION Contractor will be immediately disqualified it' the answer to any of questions 1 through 5 is "no. "' Contractor will be immediately disqualified if the answer to any of questions 6, 7, 8 or 9 is "yes. "Z If the answer to question 8 is "yes," and if debarment would be the sole reason for denial of pre - qualification, any pre - qualification issued will exclude the debarment period. 1. Contractor possesses a valid and current California Contractor's license for the project or projects for which it intends to submit a bid. ❑ Yes ❑ No 2. Contractor has a liability insurance policy [occurrence basis] with a policy limit of at least S 1,000,000 per occurrence and 52,000,000 aggregate. ❑ Yes ❑ No 3. Contractor has current workers' compensation insurance policy as required by the Labor Code or is legally self - insured pursuant to Labor Code section 3700 ct. seq. ❑ Yes ❑ No ❑ Contractor is exempt from this requirement, because it has no employees 4. Have you attached your latest copy of a reviewed or audited financial statement with accompanying notes and supplemental information.3 ❑ Yes ❑ No NOTE: A financial statement that is not either reviewed or audited is not acceptable. A letter verifying availability of a line of credit may also be attached; however, it will be considered as supplemental information only, and is not a substitute for the required financial statement. 1 A "no" answer to Question 4 will not be disqualifying if the contractor is exempt from complying with Question 4, for reasons explained in footnote 3. 2 A contractor disqualified solely because of a "Yes" answer given to question 6, 7, or 9 may appeal the disqualification and provide an explanation of the relevant circumstances during the appeal procedure. 3 Public Contract Code section 20101(e) exempts from this requirement a contractor who has qualified as a small business pursuant to Government Code section 14837(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 S 10 million, and 25 per cent of that amount, therefore, is $2.5 million. 12 ��{ ' City of Moorpark Name of Contractor: Bidder Pre - Qualification 5. Have you attached a notarized statement from an admitted surety insurer (approved by the California Department of Insurance) and authorized to issue bonds in the State of California, which states: (a) that your current bonding capacity is sufficient for the project for which you seek pre - qualification if you are seeking pre - qualification for a single project; or (if you are seeking pre - qualification valid for a year) (b) your current available bonding capacity ?4 ❑ Yes ❑ No NOTE: Notarized statement must be from the surety company, not an agent or broker. 6. Has your contractor's license been revoked at any time in the last five years'? ❑ Yes ❑ No 7. Has a surety firm completed a contract on your behalf, or paid for completion because your firm was default terminated by the project owner within the last five (5) years'? ❑ Yes ❑ No 8. At the time of submitting this pre - qualification form, is your firm ineligible to bid on or be awarded a public works contract, or perform as a subcontractor on a public works contract, pursuant to either Labor Code section 1777.1 or Labor Code section 1777.7? ❑ Yes ❑ No If the answer is "Yes," state the beginning and ending dates of the period of debarment: 9. At any time during the last five years, has your firm, or any of its owners or officers been convicted of a crime involving the awarding of a contract of a government construction project, or the bidding or performance of a government contract? ❑ Yes ❑ No An additional notarized statement from the surety may be requested by 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. ,00 :71.c 13 City of Moorpark Bidder Pre - Qualification Name of Contractor: QUESTIONNAIRE PART H. ORGANIZATION, HISTORY, ORGANIZATIONAL PERFORMANCE, COMPLIANCE WITH CIVIL AND CRIMINAL LAWS A. Current Organization and Structure of the Business For Firms That Are Corporations: 1 a. Date incorporated : lb. Under the laws of what state: lc. 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 per cent of the corporation's stock. Name Position Years with Co. % Ownership Social Security # or Fed. Tax I. D. # Id. Identify every construction firm that any person listed above has been associated with (as owner, general partner, limited partner or officer) at any time during the last five years. NOTE: For this question, "owner" and "partner" refer to ownership of ten per cent or more of the business, or 10 per cent or more of its stock, if the business is a corporation. Dates of Person's Participation Person's Name Construction Firm with Firm 14 City of Moorpark Name of Contractor: Bidder Pre - Qualification For Firms That Are Partnerships: 1 a. Date of formation: lb. Under the laws of what state: lc. Provide all the following information for each partner who owns 10 per cent or more of the firm. Name Position Years with Co. % Ownership Social Security # Or Fed. Tax I D # Id. Identify every construction company that any partner has been associated with (as owner, general partner, limited partner or officer) at any time during the last five years. NOTE: For this question, "owner" and "partner" refer to ownership of ten percent or more of the business, or ten per cent or more of its stock, if the business is a corporation. Person's Name Construction Company Dates of Person's Participation with Company 15 City of Moorpark Name of Contractor: Bidder Pre - Qualification For Firms That Are Sole Proprietorships: la. Date of commencement of business. lb. Social security number of company owner. lc. 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 per cent or more of its stock, if the business is a corporation. Person's Name Construction Company Dates of Person's Participation with Company For Firms That Intend to Make a Bid as Part of a Joint Venture: 1 a. Date of commencement of joint venture. 1 b. Provide all of the following information for each firm that is a member of the joint venture that expects to bid on one or more projects: Name of firm I % Ownership of Joint Venture City of Moorpark Name of Contractor: Bidder Pre - Qualification B. History of the Business and Organizational Performance 2. Has there been any change in ownership of the firm at any time during the last three years? NOTE: A corporation whose shares are publicly traded is not required to answer this question. ❑ Yes ❑ No If "yes," explain on a separate signed page. 3. Is the firm a subsidiary, parent, holding company or affiliate of another construction firm? NOTE: Include information about other firms if one firm owns 50 per cent or more of another, or if an owner, partner, or officer of your firm holds a similar position in another firm. ❑ Yes ❑ No If "yes," explain on a separate signed page. 4. Are any corporate officers, partners or owners connected to any other construction firms. NOTE: Include information about other firms if an owner, partner, or officer of your firm holds a similar position in another firm. ❑ Yes ❑ No If "yes," explain on a separate signed page. 5. State your firm's gross revenues for each of the last three years: Year: Amount: Year: Amount: Year: Amount: 6. How many years has your organization been in business in California as a contractor under your present business name and license number? years 7. Is your firm currently the debtor in a bankruptcy case`? ❑ Yes ❑ No If "yes," please attach a copy of the bankruptcy petition, showing the case number, and the date on which the petition was filed. 17 City of Moorpark Name of Contractor: Bidder Pre - Qualification 8. Was your firm in bankruptcy at any time during the last five years? (This question refers only to a bankruptcy action that was not described in answer to question 7, above) ❑ Yes ❑ No If "yes," please attach a copy of the bankruptcy petition, showing the case number and the date on which the petition was filed, and a copy of the Bankruptcy Court's discharge order, or of any other document that ended the case, if no discharge order was issued. Licenses 9. List all California construction license numbers, classifications and expiration dates of the California contractor licenses held by your firm: 10. If any of your firm's license(s) are held in the name of a corporation or partnership, list below the names of the qualifying individual(s) listed on the California State Licensing Board (CSLB) records who meet(s) the experience and examination requirements for each license. 11. Has your firm changed names or license number in the past five years? ❑ Yes ❑ No If "yes," explain on a separate signed page, including the reason for the change. 12. Has any owner, partner or (for corporations:) officer of your firm operated a construction firm under any other name in the last five years? ❑ Yes ❑ No If "yes," explain on a separate signed page, including the reason for the change, 18 City of Moorpark Name of Contractor: Bidder Pre - Qualification 13. Has any CSLB license held by your firm or its Responsible Managing Employee (RME) or Responsible Managing Officer (RMO) been suspended within the last five years? ❑ Yes ❑ No If "yes," please explain on a separate signed sheet. Disputes 14. At any time in the last five years has your firm been assessed and paid liquidated damages after completion of a project under a construction contract with either a public or private owner? ❑ Yes ❑ No If yes, explain on a separate signed page, identifying all such projects by owner, owner's address, the date of completion of the project, amount of liquidated damages assessed and all other information necessary to fully explain the assessment of liquidated damages. 15. In the last five years has your firm, or any firm with which any of your company's owners, officers or partners was associated, been debarred, disqualified, removed or otherwise prevented from bidding on, or completing, any government agency or public works project for any reason? NOTE: "Associated with" refers to another construction firm in which an owner, partner or officer of your firm held a similar position, and which is listed in response to question lc or Id on this form. ❑ Yes ❑ No If "yes," explain on a separate signed page. State whether the firm involved was the firm applying for pre - qualification here or another firm. Identify by name of the company, the name of the person within your firm who was associated with that company, the year of the event, the owner of the project, the project and the basis for the action. 16. In the last five years has your firm been denied an award of a public works contract based on a finding by a public agency that your company was not a responsible bidder? ❑ Yes ❑ No If "yes," explain on a separate signed page. Identify the year of the event, the owner, the project and the basis for the finding by the public agency. NOTE: The following two questions refer only to disputes between your firm and the owner of a project. You need not include information about disputes between your firm and a supplier, another contractor, or subcontractor. You need not include information about "pass- through" disputes in which the actual dispute is between a sub - contractor and a project owner. Also, you may omit reference to all disputes about amounts of less than $50,000. `d ! 19 `;� City of Moorpark Name of Contractor: Bidder Pre - Qualification 17. In the past five years has any claim against your firm concerning your firm's work on a construction project been filed in court or arbitration? ❑ Yes ❑ No If "yes," on separate signed sheets of paper identify the claim(s) by providing the project name, date of the claim, name of the claimant, a brief description of the nature of the claim, the court in which the case was filed and a brief description of the status of the claim (pending or, if resolved, a brief description of the resolution). 18. In the past five years has your firm made any claim against a project owner concerning work on a project or payment for a contract and filed that claim in court or arbitration? ❑ Yes ❑ No If "yes," on separate signed sheets of paper identify the claim by providing the project name, date of the claim, name of the entity (or entities) against whom the claim was filed, a brief description of the nature of the claim, the court in which the case was filed and a brief description of the status of the claim (pending, or if resolved, a brief description of the resolution). 19. At any time during the past five years, has any surety company made any payments on your firm's behalf as a result of a default, to satisfy any claims made against a performance or payment bond issued on your firm's behalf, in connection with a construction project, either public or private? ❑ Yes ❑ No If "yes," explain on a separate signed page the amount of each such claim, the name and telephone number of the claimant, the date of the claim, the grounds for the claim, the present status of the claim, the date of resolution of such claim if resolved, the method by which such was resolved if resolved, the nature of the resolution and the amount, if any, at which the claim was resolved. 20. In the last five years has any insurance carrier, for any form of insurance, refused to renew the insurance policy for your firm? ❑ Yes ❑ No If "yes," explain on a separate signed page. Name the insurance carrier, the form of insurance and the year of the refusal. 20 ` City of Moorpark Name of Contractor: Bidder Pre - Qualification Criminal Matters and Related Civil Suits 21. Has your firm or any of its owners, officers or partners ever been found liable in a civil suit or found guilty in a criminal action for making any false claim or material misrepresentation to any public agency or entity? ❑ Yes ❑ No If "yes," explain on a separate signed page, including identifying who was involved, the name of the public agency, the date of the investigation and the grounds for the finding. 22. Has your firm or any of its owners, officers or partners ever been convicted of a crime involving any federal, state, or local law related to construction? ❑ Yes ❑ No If "yes," explain on a separate signed page, including identifying who was involved, the name of the public agency, the date of the conviction and the grounds for the conviction. 23. Has your firm or any of its owners, officers or partners ever been convicted of a federal or state crime of fraud, theft, or any other act of dishonesty? ❑ Yes ❑ No If "yes," identify on a separate signed page the person or persons convicted, the court (the county if a state court, the district or location of the federal court), the year and the criminal conduct. Bonding 24. Bonding capacity: Provide documentation from your surety identifying the following: Name of bonding company /surety: Name of surety agent, address and telephone number: 25. If your firm was required to pay a premium of more than one per cent for a performance and payment bond on any project(s) on which your firm worked at any time during the last three years, state the percentage that your firm was required to pay. You may provide an explanation for a percentage rate higher than one per cent, if you wish to do SO. 21 �'� City of Moorpark Name of Contractor: Bidder Pre - Qualification 26. List all other sureties (name and full address) that have written bonds for your firm during the last five years, including the dates during which each wrote the bonds: 27. During the last five years, has your firm ever been denied bond coverage by a surety company, or has there ever been a period of time when your firm had no surety bond in place during a public construction project when one was required? ❑ Yes ❑ No If yes, provide details on a separate signed sheet indicating the date when your firm was denied coverage and the name of the company or companies which denied coverage; and the period during which you had no surety bond in place. C. Compliance with Occupational Safety and Health Laws and with Other Labor Legislation Safety 28. Has CAL OSHA cited and assessed penalties against your firm for any "serious," "willful" or "repeat" violations of its safety or health regulations in the past five years? NOTE: If you have filed an appeal of a citation, and the Occupational Safety and Health Appeals Board has not yet ruled on your appeal, you need not include information about it. ❑ Yes ❑ No If "yes," attached a separate signed page describing the citations, including information about the dates of the citations, the nature of the violation, the project on which the citation(s) was or were issued, the amount of penalty paid, if any. If the citation was appealed to the Occupational Safety and Health Appeals Board and a decision has been issued, state the case number and the date of the decision. 29. Has the federal Occupational Safety and Health Administration cited and assessed penalties against your firm in the past five years? NOTE: If you have filed an appeal of a citation and the Appeals Board has not yet ruled on your appeal, or if there is a court appeal pending, you need not include information about the citation. ❑ Yes ❑ No If "yes," attach a separate signed page describing each citation. 22 �t .. City of Moorpark Name of Contractor: Bidder Pre - Qualification 30. Has the Environmental Protection Agency (EPA) or any Air Quality Management District or any Regional Water Quality Control Board cited and assessed penalties against either your firm or the owner of a project on which your firm was the contractor. in the past five years? NOTE: If you have filed an appeal of a citation and the Appeals Board has not yet ruled on your appeal, or if there is a court appeal pending, you need not include information about the citation. ❑ Yes ❑ No If "yes," attach a separate signed page describing each citation. 31. How often do you require documented safety meetings to be held for construction employees and field supervisors during the course of a project? 32. List your firm's Experience Modification Rate (EMR) (California workers' compensation insurance) for each of the past three premium years: NOTE: An Experience Modification Rate is issued to your firm annually by your workers' compensation insurance carrier. Current year: Previous year: Year prior to previous year: If your EMR for any of these three years is or was 1.00 or higher you may, if you wish, attach a letter of explanation. 33. Within the last five years has there ever been a period when your firm had employees but was without workers' compensation insurance or state - approved self - insurance? ❑ Yes ❑ No If "yes," please explain the reason for the absence of workers' compensation insurance on a separate signed page. If "No," please provide a statement by your current workers' compensation insurance carrier that verifies periods of workers' compensation insurance coverage for the last five years. (If your firm has been in the construction business for less than five years, provide a statement by your workers' compensation insurance carrier verifying continuous workers' compensation insurance coverage for the period that your firm has been in the construction business.) 23 City of Moorpark Name of Contractor: Bidder Pre - Qualification Prevailing Wage and Apprenticeship Compliance Record 34. Has there been more than one occasion during the last five years in which your firm was required to pay either back wages or penalties for your own firm's failure to comply with the state's prevailing wage laws? NOTE: This question refers only to your own firm's violation of prevailing wage laws, not to violations of the prevailing wage laws by a subcontractor. ❑ Yes ❑ No If "yes," attach a separate signed page or pages, describing the nature of each violation, identifying the name of the project, the date of its completion, the public agency for which it was constructed; the number of employees who were initially underpaid and the amount of back wages and penalties that you were required to pay. 35. During the last five years, has there been more than one occasion in which your own firm has been penalized or required to pay back wages for failure to comply with the federal Davis -Bacon prevailing wage requirements? ❑ Yes ❑ No If "yes," attach a separate signed page or pages describing the nature of the violation, identifying the name of the project, the date of its completion, the public agency for which it was constructed; the number of employees who were initially underpaid, the amount of back wages you were required to pay along with the amount of any penalty paid. 36. Provide the name, address and telephone number of the apprenticeship program (approved by the California Apprenticeship Council) from whom you intend to request the dispatch of apprentices to your company for use on any public work project for which you are awarded a contract by the City. 37. If your firm operates its own State- approved apprenticeship program: (a) Identify the craft or crafts in which your firm provided apprenticeship training in the past year. (b) State the year in which each such apprenticeship program was approved, and attach evidence of the most recent California Apprenticeship Council approval(s) of your apprenticeship program(s). 24 City of Moorpark Name of Contractor: Bidder Pre - Qualification (c) State the number of individuals who were employed by your firm as apprentices at any time during the past three years in each apprenticeship and the number of persons who, during the past three years, completed apprenticeships in each craft while employed by your firm. 38. At any time during the last five years, has your firm been found to have violated any provision of California apprenticeship laws or regulations, or the laws pertaining to use of apprentices on public works? NOTE: You may omit reference to any incident that occurred prior to January 1, 1998, if the violation was by a subcontractor and your firm, as general contractor on a project, had no knowledge of the subcontractor's violation at the time they occurred. ❑ Yes ❑ No If "yes," provide the date(s) of such findings, and attach copies of the Department's final decision(s). 25 City of Moorpark Bidder Pre - Qualification QUESTIONNAIRE PART III. Name of Contractor: RECENT CONSTRUCTION PROJECTS COMPLETED 39. Contractor shall provide information about its six most recently completed public works projects and its three largest completed private projects within the last three years.5 Names and references must be current and verifiable. Use separate sheets of paper that contain all of the following information: Project Name: Location: Owner: Owner Contact (name and current phone number): Architect or Engineer (Firm Name): Architect or Engineer Contact (name and current phone number): Construction Manager (name and current phone number): Description of Project, Scope of Work Performed: Total Amount of Contract Award (Bid Amount): Total Value of Construction (including change orders): Original Scheduled Completion Date: Time Extensions Granted (number of days): S If you wish, you may, using the same format, also provide information about other projects that you have completed that are similar to the project(s) for which you expect to bid. 26 E�. City of Moorpark Bidder Pre - Qualification QUESTIONNAIRE PART III. Name of Contractor: RECENT CONSTRUCTION PROJECTS COMPLETED 39. Contractor shall provide information about its six most recently completed public works projects and its three largest completed private projects within the last three years.5 Names and references must be current and verifiable. Use separate sheets of paper that contain all of the following information: Project :Name: Location: Owner: Owner Contact (name and current phone number): Architect or Engineer: Architect or Engineer Contact (name and current phone number): Construction Manager (name and current phone number): Description of Project, Scope of Work Performed: Total Value of Construction (including change orders): Original Scheduled Completion Date: Time Extensions Granted (number of days): Actual Date of Completion: 5 If you wish, you may, using the same format, also provide information about other projects that you have completed that are similar to the project(s) for which you expect to bid. 26 City of Moorpark Bidder Pre - Qualification QUESTIONNAIRE PART IV. A. Waiver and Authorization Name of Contractor: WAIVER AND AUTHORIZATION / CERTIFICATION 1, the undersigned, understand that pursuant to Public Contracts Code section 20101 and the City's standardized questionnaire (based on the model prepared by the State Department of Industrial Relations), the City of Moorpark, in processing this pre -bid qualification application, may contact staff (in -house and/or consultant contract) at all or any of the references cited in Part III of the Questionnaire, for purposes of interviewing such staff (hereinafter "Reference City Staff') respecting the question areas listed in Part VII of the application package. I also understand that Reference City Staff may be reluctant to provide the level of candor necessary for a full and complete assessment of this pre -bid qualification application by the City of Moorpark if Reference City Staff is concerned about the prospect of liability for statements made to the City of Moorpark in connection with this pre -bid qualification process. Accordingly, in consideration of the City of Moorpark's undertaking the processing of my pre - bid qualification application, I hereby authorize Reference City Staff to respond to the City of Moorpark's questions and further waive and release any and all rights, whether statutory or common law, to sue Reference City Staff, or the cities for which they work, for statements made by Reference City Staff to the City of Moorpark in connection with this pre -bid qualification process, including, but not limited to, suits or claims for defamation, libel, and interference with contract or prospective business advantage. I further waive and release any and all rights, whether statutory or common law, to sue the City of Moorpark, or its staff (in house and/or consultant contract) for the publication /republication or use of any statements or information provided by Reference City Staff. I further authorize the City of Moorpark at its sole discretion to transmit copies of this Waiver and Authorization to Reference City Staff. I understand that such transmission may have the incidental effect of making this Waiver and Authorization form a public record. Notwithstanding the foregoing, I understand that nothing in this Waiver and Authorization is intended in any way to limit my rights to appeal the decision of the City of Moorpark with respect to my pre -bid qualification application, pursuant to the appeal provisions and procedures set forth in the pre -bid qualification application materials. Dated: (print name of firm) (print name) (signature) 27 City of Moorpark Name of Contractor: Bidder Pre - Qualification B. Questionnaire Certification I, the undersigned, certify and declare that I have read all the foregoing answers to this prequalification questionnaire and know their contents. The matters stated in the questionnaire answers are true of my own knowledge and belief, except as to those matters stated on information and belief, and as to those matters I believe them to be true. I declare under penalty of perjury under the laws of the State of California, that the foregoing is correct. Dated: (print name of firm) (print name) (signature) 28 City of Moorpark Bidder Pre - Qualification VII. Interview Questions A. Overview: The following questions will be used to interview randomly selected contacts from at least two completed projects. The City will conduct the interviews. No action on the contractor's part is necessary. These questions are included in the package given to the contractor for information only. B. Scoring: • The highest possible score is 120 Points. • A score less than 55 points disqualifies a contractor from bidding on the subject project. • A score of between 56 and 72 indicates the City should conduct an interview of another contact, that is, a manager of another completed project. • A score of 72 or higher on each of two interviews shall constitute a passing score for this section of the pre - qualification process. C. Questions: The following questions will be asked of the references contacted: 1. First, please give a brief description of the project. (No Points) 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 each is deducted from overall score; maximum amount to be deducted is 5 points) 3. On a scale of 1 -10, with 10 being the best, did the contractor provide adequate personnel? (Max. 10 points) 4. On a scale of 1 -10, with 10 being the best, did the contractor provide adequate supervision? (Max. 10 points) 5. On a scale of 1 -10, with 10 being the best, was there adequate equipment provided on the job? (Max. 10 points) 6. On a scale of 1 -10, with 10 being the best, was the contractor timely in providing reports and other paperwork, including change order paperwork and scheduling updates? (Max. 10 points) 7. On a scale of 1 -10, with 10 being the best, did the contractor adhere to the project schedule that your [agency] [business] approved? (Max. 10 points) 8. Was the project completed on time? (10 points if the answer is "Yes "). Or, if the answer is "no," on a scale of 1 -10, with 0 being totally responsible, to what extent was the contractor responsible for the delay in completion? City of Moorpark Bidder Pre - Qualification 9. On a scale of 1 -10, with 10 being the best, rate the contractor on the timely submission of reasonable cost and time estimates to perform change order work. (Max. 10 points) 10. On a scale of 1 -10, with 10 being the best, rate the contractor on how well the contractor performed the work after a change order was issued, and how well the contractor integrated the change order work into the existing work. (Max. 10 points). 11. On a scale of 1 -10, with 10 being the best, rate how has the contractor been performing in the area of turning in Operation & Maintenance manuals, completing as -built drawings, providing required training and taking care of warranty items? (Max. 10 points) 12. On a scale of 1 -10, with 10 being the best, rate the contractor on whether there were an unusually high number of claims, given the nature of the project, or unusual difficulty in resolving them. (Max. 10 points) 13. On a scale of 1 -10, with 10 being the highest, rate the contractor with respect to timely payments by the contractor to either subcontractors or suppliers. (If the person being interviewed knows of no such difficulties, the score on this question should be "10. ") 14. On a scale of 1 -10, with 10 being the best, how would you rate the quality of the work overall? (Max. 10 points) 30 City of Moorpark Bidder Pre- Qualification VIII. Evaluation Process A. Questionnaire: Each Questionnaire will be read, evaluated and scored by a member of the Evaluation Committee. B. Scorable Questions: Scores will be given to the answers provided to certain questions. The scoring will be based on a set of pre - determined criteria for each question. C. Supplemental Questionnaire: The answers provided on the Supplemental Questionnaire will also be evaluated and scored. D. References: Part III of the Questionnaire requires references for past project constructed by the Contractor. Selected references will be called and interviewed. The interview questions are set forth in Section VII of this document. The answers provided by the references will be in the form of a score ( 1 to 10). E. Passing Score: To pre - qualify, a Contractor must have a passing grade within each of the following Categories as follows: Passing Category Max. Score Score Section II -13-1: 76 57 History of Business Performance Section II -13-2: 53 38 Compliance with Laws Section II -13-3 & Section III -13: 120 72 Recent Projects / Performance Quality Supplemental Questionnaire {insert} {insert} F. Notification: Each Contractor will be notified of the results of the evaluation process within three weeks of the date of the submittal deadline. 31 City of Moorpark Bidder Pre - Qualification VI. Appeals Procedure A. Requirement: AB574 (Sec. 20101[d]) stipulates that the City must provide "a process that will allow prospective bidders to dispute their proposed pre - qualification rating prior to the closing time for receipt of bids." B. Notice: Subsequent to the completion of the investigation and evaluation process, all contractors will be notified in writing [herein "Notice "]of the score they received and whether or not they have been pre - qualified. C. Disqualification: Should it be determined that a contractor is disqualified, the Notice will also advise the contractor of the basis for the disqualification, and will include "supporting evidence that has been received from others or adduced as a result of the investigation" ... (Sec. 20101 [d][ 11). In such case the Notice shall be mailed Certified Mail, Return Receipt Requested. D. Appeal: "The prospective bidder must be given an opportunity to rebut any evidence used as a basis for disqualification and to present evidence to the [City] as to why the prospective bidder should be found qualified." [(Sec. 20101[d][2]). E. Appeal Submittal Deadline: To be considered, any appeal of a decision to disqualify a contractor, must be submitted to the City, in writing, no later than five (5) business days from the date the Notice is received. if the appeal is not submitted prior to this deadline, the contractor waives any and all rights to challenge the decision of the City, whether by administrative process, judicial process or any other legal process or proceeding. F. Appeal Addressed to the City Clerk: No such appeal shall be valid for any purpose unless it is filed with the City Clerk prior to the aforesaid deadline. G. Fee: There shall be no fee required for the submittal of an appeal. H. Supportive Information: All appeals will be evaluated, in part, on the basis of the supportive information submitted with the appeal and the information included in the original application. Such supporting information should clearly set forth the reasons why the evaluations and conclusions which yielded a score lower than the minimum necessary to be deemed qualified, were, in the opinion of the contractor, incorrect. I. Hearing Date and Tirne: Upon the timely filing of such an appeal, the Appeals Panel will set a time and place for a hearing on the appeal. The Appeals Panel shall endeavor to conduct such hearing within ten (10) business days of the date the appeal is received by the City Clerk. In any event the appeal hearing shall be held as expeditiously as is possible. ..; . ,4� 32 City of Moorpark Bidder Pre - Qualification J. Evidence: At or prior to the date and time of such hearing, the Appeals Panel shall review the original application materials and the Supportive Information provided with the appeal. In addition, at the hearing, the contractor will be given the opportunity to discuss and explain the Supportive Information set forth in the appeal, or to present additional information and to present additional reasons in opposition to the rating. The Appeals Panel need not follow the strict provisions of the rules of evidence as utilized in a judicial proceeding, but shall follow the substance of such rule to the cnd that the decision rendered is based upon reliable relevant evidentiary material. K. Final Decision: Within five (5) days of the conclusion of the hearing, the Appeals Panel will render its decision in writing. The decision of the Appeals Panel shall be final and conclusive and subject only to judicial review. L. Judicial Review: The provisions of Sections 1094.5 and 1094.6 of the Code of Civil Procedure set forth the procedure for judicial review of any act taken pursuant to this chapter. Parties seeking judicial review of the decision of the Appeals Panel shall file such action within ninety (90) days of the date of such decision. 33 Exhibit 1: AB574 Page 1 of 4 Assembly Bill No. 574 CHAPTER 972 An act to amend Section 4107 of, and to add Sections 1103 and 20101 to, the Public Contract Code, relating to public contracts. [Approved by Governor October 10, 1999. Filed with Secretary of State October 10, 1999.] LEGISLATIVE COUNSEL'S DIGEST AB 574, Hertzberg. Public contracts: responsible bidder. Existing law defines the terms "public entity" and "public works contract" for the purposes of specified provisions of the Public Contract Code. This bill would define the term "responsible bidder" for these purposes, and would authorize a public entity to require each prospective bidder for a contract to complete and submit to the entity a standardized questionnaire and financial statement. This bill would require, with a specified exception, any public entity requiring standard questionnaires and financial statements to adopt and apply a uniform system of rating bidders on the basis of standard questionnaires and financial statements. This bill would require the Department of Industrial Relations, in collaboration with affected agencies and interested parties, to develop and draft a standardized questionnaire that public entities may use and to develop guidelines for rating bidders. The bill would also require the public entity requiring the prequalification to establish a process to permit prospective bidders to dispute their proposed prequalification rating. Under existing law, a prime contractor whose bid is accepted may not substitute a person as subcontractor in place of the subcontractor listed in the original bid, except that the awarding authority may, except as otherwise provided, consent to the substitution of another person as a subcontractor in specified situations. This bill would provide for the consent to the substitution in the situation when the awarding authority determines that a listed subcontractor is not a responsible contractor. The people of the State of California do enact as follows: SECTION 1. The Legislature hereby finds and declares that the establishment by public agencies of a uniform system to evaluate the ability, competency, and integrity of bidders on public works projects is in the public interest, will result in the construction of public works projects of the highest quality for the lowest costs, and is in furtherance of the objectives stated in Section 100 of the Public Contract Code. J }ear. tom. Exhibit 1: AB574 Page 2 of 4 SECTION 2. Section 1103 is added to the Public Contract Code, to read: 1103. "Responsible bidder," as used in this part, means a bidder who has demonstrated the attribute of trustworthiness, as well as quality, fitness, capacity, and experience to satisfactorily perform the public works contract. The Legislature finds and declares that this section is declaratory of existing law. SECTION. 3. Section 4107 of the Public Contract Code is amended to read: 4107. A prime contractor whose bid is accepted may not: (a) Substitute a person as subcontractor in place of the subcontractor listed in the original bid, except that the awarding authority, or its duly authorized officer, may, except as otherwise provided in Section 4107.5, consent to the substitution of another person as a subcontractor in any of the following situations: (1) When the subcontractor listed in the bid after having had a reasonable opportunity to do so fails or refuses to execute a written contract, when that written contract, based upon the general terms, conditions, plans and specifications for the project involved or the terms of that subcontractor's written bid, is presented to the subcontractor by the prime contractor. (2) When the listed subcontractor becomes bankrupt or insolvent. (3) When the listed subcontractor fails or refuses to perform his or her subcontract. (4) When the listed subcontractor, fails or refuses to meet the bond requirements of the prime contractor as set forth in Section 4108. (5) When the prime contractor demonstrates to the awarding authority, or its duly authorized officer, subject to the further provisions set forth in Section 4107.5, that the name of the subcontractor was listed as the result of an inadvertent clerical error. (6) When the listed subcontractor- is not licensed pursuant to the Contractors License Law. (7) When the awarding authority, or its duly authorized officer, determines that the work performed by the listed subcontractor is substantially unsatisfactory and not in substantial accordance with the plans and specifications, or that the subcontractor is substantially delaying or disrupting the progress of the work. (8) When the listed subcontractor is ineligible to work on a public works project pursuant to Section 1777.1 or 1777.7 of the Labor Code. (9) When the awarding authority determines that a listed subcontractor is not a responsible contractor. Prior to approval of the prime contractor's request for the substitution the awarding authority, or its duly authorized officer, shall give notice in writing to the listed subcontractor of the prime contractor's request to substitute and of the reasons for the request. The notice shall be served by certified or registered mail to the last known address of the subcontractor. The listed subcontractor who has been so notified shall have five working days within which to submit written objections to the substitution to the awarding authority. Failure to file these written objections shall constitute the listed subcontractor's consent to the substitution. If written objections are filed, the awarding authority shall give notice in writing of at least five working days to the listed subcontractor of a hearing by the awarding authority on the prime contractor's request for substitution. Exhibit 1: AB574 Page 3 of 4 (b) Permit a subcontract to be voluntarily assigned or transferred or allow it to be performed by anyone other than the original subcontractor listed in the original bid, without the consent of the awarding authority, or its duly authorized officer. (c) Other than in the performance of "change orders" causing changes or deviations from the original contract, sublet or subcontract any portion of the work in excess of one -half of 1 percent of the prime contractor's total bid as to which his or her original bid did not designate a subcontractor. SEC. 4. Section 20101 is added to the Public Contract Code, to read: SECTION 20101. (a) Except as provided in Section 201 1 1.5, a public entity subject to this part may require that each prospective bidder for a contract complete and submit to the entity a standardized questionnaire and financial statement in a form specified by the entity, including a complete statement of the prospective bidder's experience in performing public works. The standardized questionnaire may not require prospective bidders to disclose any violations of Chapter 1 (commencing with Section 1720) of Part 7 of, Division 2 of the Labor Code committed prior to January 1, 1998, if a violation was based on a subcontractor's failure to comply with these provisions and the bidder had no knowledge of the subcontractor's violations. The Department of Industrial Relations, in collaboration with affected agencies and interested parties, shall develop model guidelines for rating bidders, and draft the standardized questionnaire, that may be used by public entities for the purposes of this part. The Department of Industrial Relations, in developing the standardized questionnaire, shall consult with affected public agencies, cities and counties, the construction industry, the surety industry, and other interested parties. The questionnaire and financial statement shall be verified under oath by the bidder in the manner in which civil pleadings in civil actions are verified. The questionnaires and financial statements shall not be public records and shall not be open to public inspection; however, records of the names of contractors applying for prequalification status shall be public records subject to disclosure under Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1 of the Government Code. (b) Any public entity requiring prospective bidders to complete and submit questionnaires and financial statements, as described in subdivision (a), shall adopt and apply a uniform system of rating bidders on the basis of the completed questionnaires and financial statements, in order to determine both the minimum requirements pennitted for qualification to bid, and the type and size of the contracts upon which each bidder shall be deemed qualified to bid. The uniform system of rating prospective bidders shall be based on objective criteria. (c) A public entity may establish a process for prequalifying prospective bidders pursuant to this section on a quarterly basis and a prequalification pursuant to this process shall be valid for one calendar year following the date of initial prequalification. (d) Any public entity requiring prospective bidders on a public works project to prequalify pursuant to this section shall establish a process that will allow prospective bidders to dispute their proposed prequalification rating prior to the closing time for receipt of bids. al =�- .V Exhibit 1: AB574 Page 4 of 4 The appeal process shall include the following: (1) Upon request of the prospective bidder, the public entity shall provide notification to the prospective bidder in writing of the basis for the prospective bidder's disqualification and any supporting evidence that has been received from others or adduced as a result of an investigation by the public entity. (2) The prospective bidder shall be given the opportunity to rebut any evidence used as a basis for disqualification and to present evidence to the public entity as to why the prospective bidder should be found qualified. (3) If the prospective bidder chooses not to avail itself of this process, the proposed prequalification rating may be adopted without further proceedings. (e) For the purposes of subdivision (a), a financial statement shall not be required from a contractor who has qualified as a Small Business Administration entity pursuant to paragraph (1) of subdivision (d) of Section 14837 of the Government Code, when the bid is no more than 25 percent of the qualifying amount provided in paragraph (1) of subdivision (d) of Section 14837 of the Government Code. (f) Nothing in this section shall preclude an awarding agency from prequalifying or disqualifying a subcontractor. The disqualification of a subcontractor by an awarding agency does not disqualify an otherwise prequalified contractor. SECTION 5. Nothing contained in this act shall apply to services procured pursuant to Chapter 10 (commencing with Section 4525) of Division 5 of Title 1 of the Government Code. Exhibit 2: Project Description Page 1 of 4 Exhibit 3: Supplemental Questionnaire Pagel of 4 f fXI�.VA 2 MEMORANDUM TO: Evaluation Committee FROM: Ken Gilbert, Director of Public Works DATE: November 15, 2001 SUBJECT: Pre - Qualification of Bidders for Major Construction Projects Instructions for the Evaluation of "Pre- Qualification" Submittals Attached hereto are instructions for the evaluation and ranking of contractors seeking to bid on a major construction project for the City. These materials include the following: • instructions for the evaluation and scoring of the Questionnaires completed by interested contractors; • the questions to be asked selected references cited in the Questionnaire; and • scoring instructions for the answers provided by the references interviewed. These materials are designed to be used in concert with the Bidder Pre - Qualification packages to be made available to interested contractors. Bid6 TABLE OF CONTENTS PAGE I. EVALUATION COMMITTEE A. COMPOSITION .................................................................................... ............................... l B. EXPERIENCE ........................................................................................ ..............................1 II. EVALUATING QUESTIONNAIRES A. SCORING INSTRUCTIONS ..................................................................... ..............................2 B. SCORABLE QUESTIONS ........................................................................ ..............................3 C. SOURCES FOR VERIFICATION OF INFORMATION GIVEN BY CONTRACTORS .......................13 D. INFORMATION VERIFICATION NOTES ................................................... .............................18 III. INTERVIEWING CONTRACTOR'S REFERENCES A. INSTRUCTIONS FOR INTERVIEWING REFERENCES ................................. .............................21 B. INTERVIEW QUESTIONS AND SCORING CHART ..................................... .............................23 IV. SCORING SUMMARY SHEET ....................................................................... .............................27 V. APPEALS PANEL A. COMPOSITION ...................................................................................... .............................28 B. APPEALS PROCESS ............................................................................... .............................28 EXHIBITS: 1. SCORING INSTRUCTIONS FOR SUPPLEMENTAL QUESTIONNAIRE 2. SAMPLE NOTICE FOR PROJECT SPECIFIC PRE - QUALIFICATION 3. SAMPLE NOTICE FOR ANNUAL PRE- QUALIFICATION PROCESS 4. SAMPLE NOTICE INVITING SEALED BIDS Bid6 Bidder Evaluation Instructions December 15, 2001 Page 1 I. Evaluation Committee A. Composition: The composition of the Evaluation Committee shall be consistent with the requirements set forth in the City Council Engineering Policies and Standards. B. Experience: Committee members should be moderately well informed about public works construction. Bid6 u Bidder Evaluation Instructions December 15, 2001 Page 2 II. Evaluating the Questionnaires A. Scoring Instruction: 1. Scorable Questions: Not all questions in the questionnaire are scorable; some questions simply ask for information about the contractor firm's structure, officers and history. Section II -B lists only those questions that are "storable." The question numbers in this document are the numbers used in the questionnaire. Thus, the questions included here begin with question number 6. 2. Categories: The scorable questions fall into four categories generally described as follows: • Section B -1: History of the business and organizational performance: [Part II -A of the Questionnaire]; • Section B -2: Compliance with occupational safety and health laws, workers' compensation and other labor legislation [Part II-B of the Questionnaire]; and • Section B -3: Completion of Recent Projects [Part III of the Questionnaire]. • Exhibit 1: Project Specific Questions [Supplemental Questionnaire]. 3. Scoring_ Instruction rSec. B -1 & B -2]: The scoring instructions for each question in Sections B -1 and B -2 are included with each question. 4. Interview Questions: Instructions regarding the scoring of the Interview Questions are set forth in Section III -A. 5. Supplemental Questionnaire: The scoring instructions for the Supplemental Questionnaire are set forth in Exhibit 1. 6. The Scores Needed for Pre - qualification: To prequalify, a contractor would be required to have a passing grade within each of the following categories: Passing Category Max. Score Score Section II -B -I: 76 57 History of Business Performance Section II -B -2: 53 38 Compliance with Laws Section II -13-3 & Section III -B: 120 72 Recent Projects / Performance Quality Exhibit 1: See Ex. 1 See Ex. 1 Supplemental Questionnaire Bid6 "V4 ._ . Bidder Evaluation Instructions December 15, 2001 Page 3 B. Scorable Questions: 1. Questions about History of the Business and Organizational Performance [Part II B of the Ouestionnairel (16 questions) Question Notes , Score 6. How many years has your organization been in business in California as a contractor under your present business name and license number? Years 3 years or less = 2 points 4 years = 3 points S years = 4 pts 6 years or more = S points 7. Is your firm currently the debtor in a bankruptcy case? ❑ Yes ❑ No "No" = 3 points "Yes" = 0 points 8. Was your firm in bankruptcy any time during the last five years? I (This question refers only to a bankruptcy action that was not described in answer to question 7, above). ❑ Yes ❑ No "No" = 3 points "Yes" = 0 points 13. Has any CSLB license held by your firm or its Responsible Managing Employee (RME) or Responsible Managing Officer (RMO) been suspended within the last five years? ❑ Yes ❑ No "No" = 5 points "Yes" = 0 points 14. At any time in the last five years, has your firm been assessed and 1 paid liquidated damages after completion of a project, under a construction contract with either a public or private owner? ❑ Yes ❑ No • No projects with liquidated damages o more than $50 000 or one g f , project with liquidated damages = 5 points • Two projects with liquidated damages of more than $50, 000 = 3 points Any other answer = points Bid6 r' Bidder Evaluation Instructions December 15, 2001 Page 4 Question Notes Score 15. In the last five years has your firm, or any firm with which any of your company's owners, officers or partners was associated, been debarred, disqualified, removed or otherwise prevented from bidding on, or completing, any government agency or public works project for any reason? NOTE: "Associated with" refers to another construction firm in which an owner, partner or officer of your fcrnt held a similar position, and which is listed in response to question 1 c or Id on this form. ❑ Yes ❑ No No = 5 points Yes = 0 points - - - - - - - ---- - - - - -- 16. In the last five years, has your firm been denied an award of a public works contract based on a finding by a public agency that your company was not a responsible bidder? I ❑ Yes ❑ No No = 5 points Yes = 0 points NOTE: The following two questions refer only to disputes between your firm and the owner of a project. You need not include information about disputes between your firm and a supplier, another contractor, or subcontractor. You need not include information about "pass-through " disputes in which the actual dispute is between a sub- contractor and a project owner. Also, you may omit reference to all disputes about amounts of less than $0,000. 17. In the past five years, has any claim against your firm concerning your firm's work on a construction project, been filed in court or _ arbitration? ❑ Yes ❑ No • If the firm's average gross revenue for the last three years was less than $50 million, scoring is as follows: 5 points for either "No "or "Yes " indicating I such instance. 3 points for "Yes" indicating 2 such instances. 0 points for "Yes" if more than 2 such instances. • If your firm's average gross revenue for the last three years was more than $50 million, scoring is as follows: S points for either "No "or "Yes" indicating 1, 2, or 3 such instances. 3 points for "Yes" indicating either 4 or 5 such instances. _ 0 points for_ "Yes" if more than 5 such instances ' -W" . Bid6 Bidder Evaluation Instructions December 15, 2001 Page 5 Question, Notes Score 18. In the past five years, has your firm made any claim against a project owner concerning work on a project or payment for a contract, and filed that claim in court or arbitration? ❑ Yes ❑ No • If your firm's average gross revenues for the last three years was less than $50 million scoring is as follows: S points for either "No" or "Yes" indicating I such instance. 3 points for "Yes" indicating 2 such instances. 0 points for "Yes" if more than 2 such instances. • If your firm's average gross revenues for the last three years was more than $50 million, scoring is as follows: 5 points for either "No" or "Yes" indicating 1, 2, or 3 such instances. 3 points for "Yes" indicating either 4 or 5 such instances. 0 points for "Yes" if more than S such instances -- - - - - -- --- 19. At any time during the past five years, has any surety company made any payments on your firm's behalf as a result of a default, to satisfy any claims made against a performance or payment bond issued on your firm's behalf in connection with a construction project, either public or private? ❑ Yes ❑ No 5 points for either "No" or "Yes" indicating I such claim. 3 points for "Yes" indicating no more than 2 such claims Subtract five points for "Yes" if more than 2 such claims 20. In the last five y ears, has any insurance carrier, for any form of insurance, refused to renew the insurance policy for your firm? _ ❑ Yes ❑ No 5 points for either "No" or "Yes" indicating I such instance. 3 points for "Yes " indicating 2 such instances. 0 points for "Yes" or if more than 2 such instances. .... ............ ... _. _.. 21. Has your firm, or any of its owners, officers, or partners ever been found liable in a civil suit, or found guilty in a criminal action, for making any false claim or material misrepresentation to any public agency or entity? ❑ Yes ❑ No No = S points Yes = subtract 5 points M6 i� `' Bidder Evaluation Instructions December 15, 2001 Page 6 uestion Notes Score -- - - - - -- -- -- ------ -- - - -- - - - -- -. . 22. Has your firm, or any of its owners, officers or partners ever been convicted of a crime involving any federal, state, or local law related to construction? ❑ Yes ❑ No No = S points Yes= subtract S points 23. Has your firm or any of its owners, officers or partners ever been convicted of a federal or state crime of fraud, theft, or any other act of dishonesty? ❑ Yes ❑ No No = 5 points Yes= subtract S points 25. If your firm was required to pay a premium of more than one per cent for a performance and payment bond on any project(s) on which your firm worked at any time during the last three years, state the percentage that your firm was required to pay. You may provide an explanation for a percentage rate higher than one per cent, if you wish to do so. S points if the rate is no more than one per cent 3 points if the rate was no higher than 1.10 per cent. 0 points for any other answer. - - . - - - - -- - - -- 27. During the last five years, has your firm ever been denied bond credit by a surety company, or has there ever been a period of time when your firm had no surety bond in place during a public construction project when one was required? ❑ Yes ❑ No No = S points Yes = 0 points Total Section II -B -1: �s M6 Bidder Evaluation Instructions December 15, 2001 Page 7 2. Questions About Compliance with Safety, Workers Compensation, Prevailing Wages and Apprenticeship Laws [Part II C of Ouestionnairel (1 I questions) uestion 28. Has CAL OSHA cited and assessed penalties against your firm for any "serious," "willful" or "repeat" violations of its safety or health regulations in the past five years? Note: If you have filed an appeal of a citation and the Occupational Safety and Health Appeals Board has not yet railed on your appeal, you need not include information about it. ❑ Yes ❑ No • If the firm's average gross revenues for the last three years was less than $50 million, scoring is as follows: S points for either "No" or "Yes " indicating 1 such instance. 3 points for "Yes" indicating 2 such instances. 0 points for "Yes" if more than 2 such instances. • If the firm's average gross revenues for the last three years was more than $50 million, scoring is as follows: S points for either "No "or " Yes " indicating 1, 2, or 3 such instances. 3 points for "Yes" indicating either 4 or S such instances. 0 points for " Yes "if more than S such instances. ----- - - - - -- - _------- - - - - - - -- - - - - - -- 29. Has the federal Occupational Safety and Health Administration cited and assessed penalties against your firm in the past five years? Note: If you have filed an appeal of a citation and the appropriate appeals Board has not yet ruled on your appeal, you need not include information about it. ❑ Yes ❑ No If yes, attach a separate signed page describing each citation. • If the firm's average gross revenues for the last three years was less than $50 million, scoring is as follows: S points for either "No" or "Yes" indicating I such instance. 3 points for "Yes" indicating 2 such instances. 0 points for "Yes" or if more than 2 such instances. • If the firm's average gross revenues for the last three years was more than $50 million, scoring is as follows: S points for either "No "or "Yes" indicating 1, 2, or 3 such instances. 3 points for "Yes" indicating either 4 or S such instances. 0 points for "Yes "if more than S such instances. Notes Score Bid6 • ► Bidder Evaluation Instructions December 15, 2001 Page 8 30. Has the EPA or any Air Quality Management District or any Regional Water Quality Control Board cited and assessed penalties against either your firm or the owner of a project on which your firm was the contractor, in the past five years? NOTE. If you have filed an appeal of a citation and the Appeals Board has not yet ruled on your appeal, or if there is a court appeal pending, you need not include information about the citation. ❑ Yes ❑ No • If the firm's average gross revenues for the last three years was less than $50 million, scoring is as follows: S points for either "No" or "Yes" indicating I such instance- 3 points for "Yes" indicating 2 such instances. 0 points for "Yes" or if more than 2 such instances. • If the firm's average gross revenues for the last three years was more than $50 million, scoring is as follows: S points for either "No" or "Yes" indicating 1, 2, or 3 such instances. 3 points for "Yes" indicating either 4 or S such instances. 0 points for "Yes" if more than S such instances. 31. How often do you require documented safety meetings to be held for construction employees and field supervisors during the course of a project? 3 points for an answer of once each week or more often. 0 points for any other answer 32. List your firm's Experience Modification Rate (EMR) (California workers' compensation insurance) for each of the past three premium years: Current year: Previous year: Year prior to previous year: If your EMR for any of these three years is or was 1.00 or higher, you may, if you wish, attach a letter of explanation. NOTE: An Experience Modification Rate is issued to your firm annually by your workers' compensation insurance carrier. S points for three-year average EMR of. 95 or less 3 points for three-year average of EMR of more than. 95 but no more than 1.00 0 points for any other EMR Bid6 Bidder Evaluation Instructions December 15, 2001 Page 9 ----- - -- _. _ . uestion Notes Score 33. Within the last five years, has there ever been a period when your firm had employees but was without workers' compensation insurance or . state - approved self - insurance? ❑ Yes ❑ No S points for either "No" or "Yes" indicating I such instance. 0 points for any other answer 34. Has there been more than one occasion during the last five years on which your firm was required to pay either back wages or penalties for your own firm's failure to comply with the state's prevailing wage laws? ❑ Yes ❑ No NOTE: This question refers only to your own firm 's violation of prevailing wage laws, not to violations of *the prevailing wage laws by a subcontractor. • If your firm's average gross revenues for the last three years was less than $SO million, scoring is as follows: S points for either "No," or "Yes" indicating either I or 2 such instance. 3 points for "Yes" indicating 3 such instances. 0 points for "Yes "and more than 3 such instances. • If your firm's average gross revenues for the last three years was more than $50 million, scoring is as follows: S points for either "No" or " Yes " indicating no more than 4 such instances. 3 points for "Yes" indicating either 5 or 6 such instances. 0 points for "Yes" and more than 6 such instances. - - - -- -- - - - - -- -- --- -- - - - - -- ----- - - - - -- - - -- - - -- -- - - ...... 35. During the last five years, has there been more than one occasion on which your own firm has been penalized or required to pay back wages for failure to comply with the federal Davis -Bacon prevailing wage requirements? ❑ Yes ❑ No • If your firm's average gross revenues for the last three years was less than $SO million, scoring is as follows: S points for either "No, "or "Yes" indicating either I or 2 such instance. 3 points for "Yes" indicating 3 such instances. 0 points for "Yes" and more than 3 such instances. • If your firm's average gross revenues for the last three years was more than S50 million, scoring is as follows: S points for either "No" or "Yes" indicating no more than 4 such instances. 3 points for "Yes" indicating either S or 6 such instances. 0 points for " Yes "and more than 6 such instances. Bid6 Bidder Evaluation Instructions December 15, 2001 Page 10 36. Provide the name, address and telephone number of the apprenticeship program sponsor(s) (approved by the California Division of Apprenticeship Standards) that will provide apprentices to your company for use on any public works project for which you are awarded a contract by City. S points if at least one approved apprenticeship program is listed 0 points for any other answer 37. If your firm operates its own State - approved apprenticeship program: (a) Identify the craft or crafts in which your firm provided apprenticeship training in the past year. (b) State the year in which each such apprenticeship program was approved, and attach evidence of the most recent California Apprenticeship Council approval(s) of your apprenticeship program(s). (c) State the number of individuals who were employed by your firm as apprentices at any time during the past three years in each apprenticeship and the number of persons who, during the past three years, completed apprenticeships in each craft while employed by your firm. > S points if one or more persons completed an approved apprenticeship while employed by your form. > 0 points if no persons completed an approved apprenticeship while employer by your form. Bid6 ? Bidder Evaluation Instructions December 15, 2001 Page 11 Question Notes Score 38. At any time during the last five years, has your firm been found to have violated any provision of California apprenticeship laws or regulations, or the laws pertaining to use of apprentices on public works? NOTE: You may omit reference to any incident that occurred prior to January 1, 1998 if the violation was by a subcontractor and your firm, as general contractor on a project, had no knowledge of the subcontractor's violation at the time they occurred ❑ Yes ❑ No. If yes, provide the date(s) of such findings, and attach copies of the Department's final decision(s). • If your firm's average gross revenues for the last three years was less than $50 million, scoring is as follows: 5 points for either "No,"or "Yes" indicating either I or 2 such instance- 3 points for "Yes" indicating 3 such instances. 0 points for "Yes" and more than 3 such instances. • If your firm's average gross revenues for the last three years was more than $50 million, scoring is as follows: 5 points for either "No" or "Yes" indicating no more than 4 such instances. 3 points for "Yes" indicating either 5 or 6 such instances. 0 points for "Yes" and more than 6 such instances. i Total Section II -B-2: Bid6 Bidder Evaluation Instructions December 15, 2001 Page 12 3. Questions Reeardine Completion of Recent Projects and Ouality of Performance (1 question) a. Questionnaire Part III: The primary source for the information regarding the contractors past performance on specific projects will be set forth in Part III of the Questionnaire. b. Information Verification: See Section II -C. c. Interviews: The evaluation of the information provided by the contractor will require the interview of a number of the references provided by the Contractor. See Section III for interview instructions and scoring instructions. Bid6 Bidder Evaluation Instructions December 15, 2001 Page 13 C. 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. 1. 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. 2. 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. Bid6 ffl; Bidder Evaluation Instructions December 15, 2001 Page 14 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. 3. 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 4. Information on disqualification from bidding on public contracts (Part I, question 8 and Part 11, 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. 5. Information available from the Secretary of State about corporations (Part II, questions la - Id, 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. Bid6 Bidder Evaluation Instructions December 15, 2001 Page 15 6. Information available from County Clerks about oartnerships and sole proprietorships (Part 1L questions la- ld,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. 7. Information about bankruotcv 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 /. 8. 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. Bid6 Bidder Evaluation Instructions December 15, 2001 Page 16 9. 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. 10. 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/. 11. 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. 12. Information about urevailing 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. Bid6 Bidder Evaluation Instructions December 15, 2001 Page 17 13. 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. 14. 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. Bid6 Bidder Evaluation Instructions Contractor: December 15, 2001 Page 18 D. Information Verification Forms Use the spaces provided below to record information gained in the process of verifying information provided by the Contractor in the Questionnaire. - -- - - _Questions Type of Information Part I Part I Co I 1. ntractor's License 6 6 & 9 thru 13 2. Workers' Compensation Insurance 3 32 & 33 Remarks: 3. Admitted Sureties 5 - - -- 4. Disqualification 8 15 1 5. Corporation Status - - -- 1 -4 Bid6 Bidder Evaluation Instructions Contractor: December 15, 2001 Page 19 - - - - - - -- - - -- _Questions Type of Information Part I Part II -= ...... - --------- - 6. Partnerships, Etc. - - -- 1 - 4 i - - -- - - - - -- 7. Bankruptcy ___ - - -- 7 & 8 i i 8._ Suits and Arbitrations - - -- 14, 17, 18 �- 9. -- C- o- - nv--- -- iction--------------- - - - - -- - -- -- -- - 9 - s 21, 22, 23 • - - - - - - - - - — - -- - - - -- - - - IO.Federal Court: 9 - - -- Bid6 Bidder Evaluation Instructions Contractor: December 15, 2001 Page 20 --- - - - -- Questions Type of Information Part I Part I1 1 l.Industrial Health and Safety - - -- 28,29 - - - - -- -------- . - -- --- - - - - -- - - - -- - 12. Prevailing Wage Violations - - -- 34 - - - - -- - - - - -- -------- - - - - -- - - - - -- - - . 13. Air or Water Board Citations - - -- 30 14. Apprenticeship Laws __ ---- 36-38 Bid6 i 4 Bidder Evaluation Instructions December 15, 2001 Page 21 III. Interviewing Contractor's References A. Instructions 1. Overview: The following is meant to assist the Evaluation Committee in conducting interviews of the managers of projects previously completed by a Contractor wishing to be pre - qualified -- that is, the people who supervised the construction of the projects for the contracting agency. The interview questions allow qualitative review of work performance by said Contractors. The interview questions will be used to examine randomly selected contacts from at least two completed past projects. 2. Scoring: • In each question, the person being interviewed is asked to rate a certain aspect of the Contractor's performance, using a scale of 1 to 10. • The highest possible score is 120 points. • A score of less than 55 points disqualifies the contractor from bidding on the project. • A score of 72 points or more on each interview is sufficient for a contractor to qualify on this portion of the prequalification process. • If the scores resulting from an interview are between 55 and 72, the public agency should conduct another interview to collect additional information. 3. Substantiation of Scores: It is possible that the score given to any interview answer may be challenged in an appeal. For that reason, be sure to: a) ask the person being interviewed for specific information or details, to explain or substantiate the numerical answer given; and b) take written notes of the information provided. 4. Interviewer: The interviews should be conducted by members of the Evaluation Committee. 5. Interview Methods: The Interviewer should be unbiased while interviewing references, to ensure accurate implementation of the interview questions. The interviewer should not use examples or deviate from the questions unless the project manager is unclear and prompts further explanation. The interviewer should offer additional explanation of the questions only if he /she is sure of the intent of the question in the interview. Bid6 Bidder Evaluation Instructions December 15, 2001 Page 22 6. Locating the Respondent to Interview: a) The interviewer should attempt to contact a project manager of a past project for the interview. The interviewer should be aware that for one interview to be completed, there may be a need to interview multiple individuals. That is, the interviewer may have to contact multiple individuals, such as the project manager concerning the building process, and a financial manager for warranty items, assessed liens, and the like. b) Once reached, the interviewer should review the information contained in the questionnaire pertaining to the past project with the project manager. That is, review who is being interviewed and why (purposes of pre - qualifying for public works), the past project type, completion date, and other pertinent information to ensure that the project manager is sure of the project he /she is asked to review. 7. Interview Length: a) The interview should take eight to twelve (8 -12) minutes, under normal circumstances. b) The interviewer, when contacting the project manager, should convey the expected time which it takes to conduct the interview. This is to ensure the individual is not discouraged from taking part in the interview 8. Conducting the Interviews: a) The interview should examine at least two separate past projects listed in the questionnaire. b) After the interview is scored, the interviewer should compare the interview score with the contractor's score on the written questionnaire. If the ratings (overall scores) are far apart, the interviewer should conduct at least one /two more interviews to determine how past performance should be weighted. c) While conducting the interview, the interviewer should be consistent with the way the questions are presented. That is, if the interviewer changes the way questions are presented during the review, it could potentially change the way the respondent answers the questions and jeopardize the overall scoring. Bid6 Bidder Evaluation Instructions Contractor: December 15, 2001 Page 23 Reference: B. Interview Questions and Scoring Chart The following questions will be used to interview randomly selected contacts from at least two completed projects listed in the Questionnaire submitted by each Contractor. Each member of the Evaluation Committee will conduct the interviews. No action on the contractor's part is necessary. These questions have been included, for information purposes only, in the Pre - Qualification packages provided to the Contractors. The highest possible score is 120 Points. A score less than 55 points disqualifies a contractor from bidding on the project. A score of between 56 and 72 indicates the that the Evaluation Committee should conduct an interview of another contact, that is, a manager of another completed project. A score of 72 or higher on each of two interviews, is sufficient for pre - qualification. Question Score 1. First, please give a brief description of the project. N/A Notes: 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? [One (1) point for each incident shall be deducted from overall score (enter zero or a negative number). The maximum amount to be deducted is 5 points. ] _ Notes: — 3. On a scale of 1 -10, with 10 being the best, did the contractor provide adequate personnel? (Max. 10 points) Notes: j BW Bidder Evaluation Instructions Contractor: December 15, 2001 Page 24 Reference: Question Score 4. On a scale of 1 -10, with 10 being the best, did the contractor provide adequate supervision? (Max. 10 points) Notes: 5. On a scale of 1 -10, with 10 being the best, was there adequate equipment provided on the job? (Max. 10 points)_ Notes: 6. On a scale of 1 -10, with 10 being the best, was the contractor timely in providing reports and other paperwork, including change order paperwork and scheduling updates? (Max. 10 points Notes: 7. On a scale of 1 -10, with 10 being the best, did the contractor adhere to the project schedule that your [agency] [business] approved? (Max. 10 points Notes: 8. Was the project completed on time? (10 points if the answer is "Yes" Or, if the answer is "No," on a scale of 1 -10, with "0" being that the Contractor was totally responsible, to what extent was the contractor responsible for the delay in completion ?). _ Notes: i I Bid6 ' " Bidder Evaluation Instructions Contractor: December 15, 2001 Page 25 Reference: -- ----- - - - - -- - - - - - -- -- -- - - - - -- - Ouestion Score 9. On a scale of 1 -10, with 10 being the best, rate the contractor on the timely submission of reasonable cost and time estimates to perform change order work. (Max. 10 points) Notes: r 10. - On a scale of 1 -10, with 10 being the best, rate the contractor on how well the contractor performed the work after a change order was issued, and how well the contractor integrated the change order work into the existing work. (Max._ 10_ points). Notes: 11. On a scale of 1 -10, with 10 being the best, rate how has the contractor been performing in the area of turning in Operation & Maintenance manuals, completing as -built drawings, providing required training and taking care _ of warranty items? (Max_ 10 points) Notes: 12. On a scale of I -10, with 10 being the best, rate the contractor on whether there were an unusually high number of claims, given the nature of the project, or unusual difficulty in resolving them. (Max. 10 points) Notes: Bid6 .., j4+ Bidder Evaluation Instructions Contractor: December 15, 2001 Page 26 Reference: Ouestion Score 13. On a scale of 1 -10, with 10 being the highest, rate the contractor with respect to timely payments by the contractor to either subcontractors or suppliers. (If the person being interviewed knows of no such difficulties, the score on this question should be "10. ") Notes: 14. On a scale of I -10, with 10 being the best, how would you rate the quality of the work overall? (Max. _l0points) — -- - --- - - - - -- ------ - - - - - -- Notes: Total Section III: Bid6 .s ;4t, i Bidder Evaluation Instructions December 15, 2001 Page 27 M Scoring Summary Sheet Compile all of the scores on this sheet. - - - - - -- - -- - -- .. . Name of Contractor: ---- - - - - -- -- - -- - -- . -- --- - - - - -- Scoring Category _ Max. Score Passing Score Pass /Fail - - --------- Section II -B -1: Org. History 76 57 .------ - - - - -- - - - - - Section II -13-2: Law Compliance 53 38 III: Interview_ _s Contact # 1 120 72 -- - - - - -- _ :.- Contact #2 120 72 Contact #3 120 72 Contact #4 120 72 - - - ---- - - - - -- .---------- - ----- - Supplemental Questionnaire Pass Fail Evaluator: Signature: Date: Bid6 Print Name Bidder Evaluation Instructions December 15, 2001 Page 28 V. Appeals Panel A. Composition: The composition of the Appeals Panel shall be consistent with the requirements set forth in the City Council Engineering Policies and Standards. B. Appeals Process: The Appeals Process is described in the Pre - Qualification Package given to interested bidders. Bid6 Exhibit 1: Scoring Instructions for Supplemental Questionnaire Page 1 The scoring instructions for the Supplemental Questionnaire are on the following page(s). sid6 Exhibit 1: Scoring Instructions for Supplemental Questionnaire Page 2 [Insert scoring instructions here] Bid6 Exhibit 2: Sample Notice Request for Pre - Qualification — Project Specific Page 1 The following is a sample of the type of Notice to be published when the City wishes to "pre - qualify" bidders for a specific project. Bid6 Exhibit 2: Sample Notice Request for Pre - Qualification — Project Specific Page 2 REQUEST FOR PRE - QUALIFICATION OF BIDDERS FOR THE PROJECT Notice is hereby given that the City of Moorpark has determined that all bidders on the Name o speci flc proectl to be undertaken by the City must be pre - qualified prior to submitting a bid on that project. It is mandatory that all Contractors who intend to submit a bid, fully complete the pre - qualification questionnaire, provide all materials requested herein, and be approved by the City, in order to be on the final qualified Bidders List. No bid will be accepted from a Contractor that has failed to comply with these requirements. If two or more business entities submit a bid as part of a Joint Venture, or expect to submit a bid as part of a Joint Venture, each entity within the Joint Venture must be separately qualified to bid. The last date to submit a fully completed questionnaire is mm /dd /yy. It s anticipated that the above project will be advertised for receipt of bids on mm /dd /xy (six (6) to ten (10 weeks a(ier the Questionnaire submittal deadline). Contractors are encouraged to submit pre - qualification packages as soon as possible, so that they may be notified of omissions of information to be remedied or of their pre - qualification status well in advance of the bid advertisement for this project. Answers to questions contained in the attached questionnaire, information about current bonding capacity, notarized statement from surety, and the most recent reviewed or audited financial statements, with accompanying notes and supplemental information, are required. The City 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. The City reserves the right to check other sources available. The City's decision will be based on objective evaluation criteria. The City reserves the right to adjust, increase, limit, suspend or rescind the pre - qualification rating based on subsequently learned information. Contractors whose rating changes sufficient to disqualify them will be notified, and given an opportunity for a hearing consistent with the hearing procedures described below for appealing a pre - qualification rating. While it is the intent of the pre - qualification questionnaire and documents required therewith to assist the City in determining bidder responsibility prior to bid and to aid the City in selecting the lowest responsible bidder, neither the fact of pre - qualification, nor any pre - qualification rating, will preclude the City from a post -bid consideration and determination of whether a bidder has the quality, fitness, capacity and experience to satisfactorily perform the proposed work, and has demonstrated the requisite trustworthiness. The pre - qualification packages should be submitted under seal and marked "CONFIDENTIAL: Bidder Pre - Qualification" to: City of Moorpark, Department of Public Works, 799 Moorpark Avenue, Moorpark, CA 93021. The pre - qualification packages (questionnaire answers and financial statements) submitted by Contractors are not public records and are not open to public inspection. All information provided will be kept confidential to the extent permitted by law. However, the contents may be 'a Bid6 Exhibit 2: Sample Notice Request for Pre - Qualification — Project Specific Page 3 disclosed to third parties for purpose of verification, or investigation of substantial allegations, or in the appeal hearing. State law requires that the names of contractors applying for pre - qualification status shall be public records subject to disclosure, and the first page of the questionnaire will be used for that purpose. Each questionnaire must be signed under penalty of perjury in the manner designated at the end of the form, by an individual who has the legal authority to bind the Contractor on whose behalf that person is signing. If any information provided by a Contractor becomes inaccurate, the Contractor must immediately notify City and provide updated accurate information in writing, under penalty of perjury. The City reserves the right to waive minor irregularities and omissions in the information contained in the pre - qualification application submitted, to make all final determinations, and to determine at any time that the pre - qualification procedures will not be applied to a specific future public works project. Contractors may submit pre - qualification packages during regular working hours on any day that the offices of the City are open. Contractors who submit a complete pre - qualification package will be notified of their qualification status no later than fifteen (15) business days after submission of the information. The City may refuse to grant pre - qualification where the requested information and materials are not provided, or not provided by the date specified above. There is no appeal from a refusal for an incomplete or late application, but re- application for a later project is permitted. The closing time for the submission of pre - qualification packages will not be changed in order to accommodate supplementation of incomplete submissions, or late submissions. Where a timely and completed application results in a rating below that necessary to pre - qualify, an appeal can be made. An appeal is begun by the Contractor delivering notice to the City of its appeal of the decision with respect to its pre - qualification rating, no later than five (5) business days following the date the notice of the pre - qualification rating was received by the Contractor. Without a timely appeal, the Contractor waives any and all rights to challenge the decision of the City, whether by administrative process, judicial process or any other legal process or proceeding. If the Contractor gives the required notice of appeal and requests a hearing, the hearing shall be conducted so that it is concluded no later than five (5) business days after City's receipt of the notice of appeal, and no later than five (5) business days prior to the last date for the receipt of bids on the project. The hearing shall be an informal process conducted by a panel to whom the City Council of the City of Moorpark has delegated responsibility to hear such appeals (the "Appeals Panel "). At or prior to the hearing, the Contractor will be advised of the basis for the City's pre - qualification determination. The Contractor will be given the opportunity to present information and present reasons in opposition to the rating. Within one (1) day after the conclusion of the hearing, the Appeals Panel will render its decision. It is the intention of the Bid6 Exhibit 2: Sample Notice Request for Pre - Qualification — Project Specific Page 4 City that the date for the submission and opening of bids will not be delayed or postponed to allow for completion of an appeal process. Note: A contractor may be found not pre - qualified for bidding on a specific public works contract to be let by the City, or on all contracts to be let by the City until the contractor meets City's requirements. In addition, a contractor may be found not pre - qualified for either: (1) omission of requested information, or (2) falsification of information. NOTICE: To contractors who are using subcontractors for this job, please be advised that the City 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. Bid6 Exhibit 3: Sample Notice Request for Pre - Qualification — Annual Process Page I The following is a sample of the type on Notice to be published when the City wishes to conduct an annual pre - qualifications process for a number of projects. Bid6 Exhibit 3: Sample Notice Request for Pre - Qualification — Annual Process Page 2 ANNOUNCEMENT OF PRE - QUALIFICATION PROCEDURES AND OPEN DATES FOR ANNUAL PRE - QUALIFICATION Notice is hereby given that on , 20_, the City of Moorpark determined that all bidders on (cite type category or dollar values o�public works pro'ec� ts) to be undertaken by the City, must be pre - qualified prior to submitting bids for those public works projects. It is mandatory that all Licensed Contractors who intend to submit bids for the above specified projects fully complete the pre- qualification questionnaire, provide all materials requested herein, and be approved by the City in order 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 (15) 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. The City 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. The City reserves the right to check other sources available. The City'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 the City 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 the City in determining bidder responsibility prior to the submission of bids and to aid the City in selecting the lowest responsible bidder, neither the fact of pre - qualification, nor any pre - qualification rating, will preclude the City from a post -bid consideration and determination on a Bid6 ' Exhibit 3: Sample Notice Request for Pre - Qualification — Annual Process Page 3 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: Bidder Pre - Qualification" to: City of Moorpark, Department of Public Works, 799 Moorpark Avenue, Moorpark, CA 93021. 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 pre - qualification status shall be public records subject to disclosure, and the first page of the questionnaire will be used for that purpose. Each questionnaire must be signed under penalty of perjury in the manner designated at the end of the form, by an individual who has the legal authority to bind the Contractor on whose behalf that person is signing. If any information provided by a Contractor becomes inaccurate, the Contractor must immediately notify City and provide updated accurate information in writing, under penalty of perjury. The City 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 the City 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 re- application during one of the designated time periods is permitted. A contractor may appeal the City's decision with respect to its request for pre - qualification, and request a hearing, by giving notice to the City no later than five (5) 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 City, 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 (10) business days after City's receipt of its Notice of Appeal. The hearing so provided shall be an informal process conducted by a panel to whom the City Council of the City of Moorpark 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 City's pre - qualification determination. The Contractor will be given the opportunity to present Bid6 Exhibit 3: Sample Notice Request for Pre - Qualification - Annual Process Page 4 information and present reasons in opposition to the pre - qualification determination. At the conclusion of the hearing or no later than one (1) 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 the City, or on all contracts to be let by the City until the contractor meets City's requirements. In addition, a contractor may be found not pre - qualified for either: (1) omission of requested information, or (2) falsification of information. NOTICE: To contractors who are using subcontractors for this job, please be advised that the City 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. Bid6 Exhibit 4: Sample Notice to Bidders Page 1 The following is a sample Notice to Bidders which includes language advising that all bidders must be "Pre - Qualified." Bid6 Exhibit 4: Sample Notice to Bidders Page 2 NOTICE INVITING SEALED BIDS FOR THE [project name] PUBLIC NOTICE IS HEREBY GIVEN that the City of Moorpark as Agency, invites sealed bids for the above stated project and will receive such bids in the office of the City Clerk, 799 Moorpark Avenue, Moorpark, California, 93021 up to the hour of 3:00 P. M. on the . day of , 20xx, at which time they will be publicly opened and read. The Engineer's estimated construction cost is $ I,'; usuanfto PCC 20101 [AB574], the City recently completed .a process to pre- qualify the cc`'�if�°aleYors-bidding on this project. Only "pre- qualified" contractors may bid on this project. r C.bht�.actors. intending to use subcontractors in, the crafts and trades noted below, are at, Vised Jhat those - subcontractors_. must ..also 'bid pre- qualified. A list of approved b�ontractor�ih -.those trades and crafts,.is included in fhe Instructions to Bidders. li<eicf if ,and trades requiring pre - qualified subcontractors are listed as follows: k °fi�sert lift of crafts and* trades] Copies of the Plans, Specifications, and Contract Documents are available from the City of Moorpark, at 799 Moorpark Avenue, Moorpark, California, 93021, upon payment of a $ non - refundable fee if picked up, or payment of a $ non - refundable fee if mailed. Pursuant to California Labor Code Section 1770, et. seq., copies of the determination of the Director of the Department of Industrial Relations of the general prevailing rate of per diem wages for each craft, classification and type of worker needed to execute the work are on file in, and available to any interested person on request, at the office of the City Clerk at 799 Moorpark Avenue, Moorpark, California, and are hereby incorporated herein and made a part hereof as though set forth in full. °Kr(:1, Bid6 Exhibit 4: Sample Notice to Bidders Page 3 Pursuant to California Civil Code Section 3248, the successful bidder shall furnish to the Agency at the time of execution of the contract a payment bond approved by the Agency in an amount equal to one hundred percent (100 %) of the contract price. The successful bidder shall also furnish to the Agency at the time of execution of the contract a faithful performance bond approved by the Agency in an amount equal to one hundred percent (100 %) of the contract price. Pursuant to California Public Contracts Code Sections 22300 and 10263, substitution of eligible and equivalent securities for any moneys withheld to insure performance under the contract for the work to be performed, and /or the deposit of any such money withheld or securities deposited with an approved escrow agent, will be permitted at the request and expense of the successful bidder. The selected contractor must possess a Class " " Contractor's License. Bids must be prepared on the approved Proposal forms in conformance with the Instructions to Bidders and submitted in a sealed envelope plainly marked on the outside, "BID FOR — DO NOT OPEN WITH REGULAR MAIL ". The Plans, Contract Documents and Specifications will be available for public inspection at the following locations: City of Moorpark, 799 Moorpark Avenue, Moorpark, California, 93021; F. W. Dodge, 1333 S. Mayflower Avenue #300, Monrovia, California 91016; CMD Group, 2625 Manhattan Beach Blvd. 110, Redondo Beach, California, 90278; Ventura County Contractors, 1830 Lockwood #110, Oxnard, CA 93030, and The Plan Room, 1717 S. State College Boulevard, Suite 160, Anaheim, CA 92806. By order of the City Council of Moorpark, California. Bid6 Bid Pre - Qualification Schedule 10/23/2001 1 Prepare Pre -Q Package 2 Advertise for Receipt of Pre -Q Submittals 3 Mail Pre -Q Package to Interested Bidders 4 Pre -Q Submittal Date [Deadline] 5 Evaluate and Rank Pre -Q Submittal Pkgs. 6 Conduct Interviews / Hear Presentations 7 Determine Ranked List 8 Notify Disqualified Bidders 9 Hear Appeals 10 Appeals Process complete 11 Conduct Pre -Bid Meeting 12 Advertise for Receipt of Bids / Plans on Sale 13 Bid Preparation Period 14 Bid Opening 44 Week 1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 91 9d »» » »»» »» » »» » » » »» »» »»»» » »» »» » »» »» » »»» ED.] 1"T�