HomeMy WebLinkAbout2004-04-27 - RESOLUTIONS - APPEALS PROCEDURE PUBLIC WORKS (2)RESOLUTION NO. 04-38
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA CLARTTA, CALIFORNIA, ESTABLISHING A
PRE -QUALIFICATION PROCEDURE AND AN
APPEALS PROCEDURE FOR PUBLIC WORKS PROJECTS
NOW, THEREFORE, the City Council of the City of Santa Clarita does hereby resolve
as follows:
SECTION 1. The City Council finds as follows:
A. Public Contracts Code ("PCC") §20101 permits cities to pre -qualify contractors
who wish to bid on public works contracts.
B. It is in the public interest for the City to adopt procedures that will help ensure
that public works projects built within the City are constructed by reputable and qualified
contractors at the best possible price.
C. Accordingly, it is in the public interest for the City to implement a program for
pre -qualifying contractors seeking to bid on certain public works projects.
D. Among other things, PCC §20101 requires a City to adopt an appeals procedure
that will allow contractors to appeal decisions regarding their qualifications to bid on a project
requiring pre -qualification.
E. The City Council intends for this Resolution to establish the method by which
decisions regarding contractors' qualifications may be appealed.
F. The procedures adopted by this Resolution are intended to facilitate construction
of individual public works projects. Nothing herein, however, is intended, or should be
interpreted, to compromise the City's firm commitment to selecting responsible bidders for its
public works projects.
SECTION 2. Pursuant to PCC §20101(d), the City adopts a pre -qualification procedure
for individual public works projects. These individual public works projects shall be selected by
the City Manager or designee on a project -by -project basis.
SECTION 3. The City hereby adopts the Pre -Qualification Questionnaire to be used by
the City in evaluating contractors for public works projects requiring pre -qualification. Attached
as "Exhibit A" is a copy of the adopted Pre -Qualification Questionnaire. Any modifications to
the Pre -Qualification Questionnaire must be made by the City Manager or designee. Whenever
the City requires a public works project to be pre -qualified, a contractor will not be eligible to
bid unless it submits the adopted Pre -Qualification Questionnaire and has been approved by the
City as pre -qualified.
Resolution No. 04-38
Page 2
SECTION 4. In accordance with PCC §20101(a), all documents submitted by a
prospective contractor will be submitted under penalty of perjury pursuant to California law.
SECTION 5. Pursuant to PCC §20101(a), the questionnaires and financial statements
submitted by prospective contractors pursuant to this Resolution will not be public records and
will not be subject to public inspection.
SECTION 6. Upon receiving the forms submitted by the prospective contractors, the
Director of Transportation and Engineering Services or designee will rate prospective contractors
in accordance with the rating system that is attached as Exhibit `B," and incorporated herein
("Uniform Rating System"). The Uniform Rating System will be applied uniformly and
objectively to all prospective contractors which have submitted properly completed documents in
accordance with this Resolution. Any modifications to the Uniform Rating System must be
made by the City Manager or designee.
SECTION 7. If the City pre -qualifies a contractor to bid on an individual public works
project, that contractor shall not be pre -qualified for any other public works project.
Notwithstanding the foregoing, a contractor's pre -qualified status will be immediately suspended
if any material information contained in its pre -qualification application changes. Failure of the
contractor to give the City written notice of changes in its status within ten (10) business days
before a bid opening will result in the contractor being ineligible to bid on the particular public
works project for which it submitted a pre -qualification application.
SECTION 8. A contractor's pre -qualification status will immediately terminate if (1)
the contractor's contracting license is suspended or terminated for any reason by the California
State Licensing Board; (2) the contractor is convicted of any crime of moral turpitude; (3) the
City determines, after the contractor is given the opportunity to respond, that the contractor's
application contains information that is materially false; or (4) the contractor's control over a
public works contract, whether within the City's jurisdiction or otherwise, is terminated for
cause.
SECTION 9. Nothing contained within this Resolution, or otherwise, will require the
City to rate or consider contractors who have submitted documents that are materially false,
substantially incomplete, or are untimely. Any contractor who submits such documents will be
deemed to have waived its right to be considered for bidding on the particular project for the
City.
SECTION 10. Contractors seeking to utilize the appeals procedures set forth in this
Resolution must submit a timely and completed application in accordance with the pre -
qualification policies adopted by the City. Failure to submit a proper and timely application
renders the contractor ineligible for the appeals procedures adopted herein. An application will
be deemed timely if the contractor submits the pre -qualification application by the deadline
indicated in the pre -qualification documents.
SECTION 11. The Director of Transportation and Engineering Services or designee
shall review a contractor's properly completed and timely submitted application, and he/she shall
make the determination of a contractor's qualification status. If the Director of Transportation
Resolution No. 04-38
Page 3
and Engineering Services or designee determines that a contractor is not qualified to bid on a
particular public works project or gives an unfavorable rating to a contractor, the Director shall
notify the contractor of the determination and inform the contractor regarding the basis for
his/her determination. The contractor may appeal the decision as follows:
A. The contractor must file a Notice of Appeal with the City Clerk no later than five
(5) business days from receipt of an unfavorable ruling. A Notice of Appeal that is not received
by the City Clerk within this time period will be deemed untimely. A Notice of Appeal mailed
by U.S. mail, or other similar means, will not be deemed timely unless received by the City
Clerk within the time period set forth above. Failure to timely file an appeal with the City Clerk
will result in the contractor waiving any and all rights to challenge the City's decision by
administrative, judicial, or any other legal procedure.
B. The Notice of Appeal will be in a form approved by the Director of
Transportation and Engineering Services or designee and, at a minimum, contain the following:
1. The name, address, and telephone number of the person making the
appeal; and
2. A description of the decision or determination which is the subject of the
appeal, and the date such decision or determination was made or issued;
and
3. A brief description of all grounds for making the appeal; and
4. Such other information as may be required by the Director of
Transportation and Engineering Services or designee.
C. If the contractor submits a timely and complete Notice of Appeal to the City
Clerk, the City Clerk will set a hearing at a time not later than five (5) business days after the
City receives the Notice of Appeal.
D. The appeal shall be heard and decided by the City Manager or designee at an
informal hearing. The contractor will be given an opportunity to present information and present
reasons in opposition to the Director's decision.
E. After considering the testimony and evidence presented during the hearing, the
City Manager or designee may affirm the Director of Transportation and Engineering Services'
decision, modify the decision, or reverse the decision and instruct the Director of Transportation
and Engineering Services to give the contractor a different rating. Any such decision will be in
writing; contain a summary of the facts that led to the decision; and must be rendered within two
(2) business day after the hearing concludes.
F. The decision by the City Manager or designee is a final decision. A contractor
will not have any right to appeal that decision to the City Council.
Resolution No. 04-38
Page 4
SECTION 12. Nothing contained in this Resolution is intended to delay or postpone the
date for submitting and opening bids. Accordingly, to the extent practicable and in accordance
with the Director of Transportation and Engineering Services, or designee, will expedite the
appeals process set forth herein.
SECTION 13. This Resolution will remain effective until repealed or is superseded by
subsequent resolutions or by an ordinance.
SECTION 14. This Resolution will take effect immediately upon adoption.
PASSED, APPROVED AND ADOPTED this 27`n day of April, 2004.
ATTEST:
CITY CLERK
STATE OF CALIFORNIA
)
COUNTY OF LOS ANGELES
) ss.
CITY OF SANTA CLARITA
)
I, Sharon L. Dawson, CMC, City Clerk of the City of Santa Clarita, do hereby certify that
the foregoing Resolution was duly adopted by the City Council of the City of Santa Clarita at a
regular meeting thereof, held on the 27` day of April, 2004, by the following vote:
AYES: COUNCILMEMBERS: Weste, Ferry, McLean, Smyth, Kellar
NOES: COUNCILMEMBERS: None
ABSENT: COUNCILMEMBERS: None
a
CITY CLERK
EXHIBIT "A"
all) _97 yj
CITY OF SANTA CLARITA PRE -QUALIFICATION
QUESTIONNAIRE
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):
LA #4831-1581-5424 v2
Check One
Fax:
❑ Corporation
❑ Partnership
❑ Sole Prop.
F
PART I. ESSENTIAL REQUIREMENTS FOR QUALIFICATION
Contractor will be immediately disqualified if 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."2 If the answer to question 8 is "yes," and if debarment would be the
sole reason for denial of pre -qualification, any pre -qualification issued will exclude
the debarment period.
1. Contractor possesses a valid and current 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 with a policy limit of at least $1,000,000 per
occurrence and $2,000,000 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 et. seq.
❑ Yes ❑ No❑ Contractor is exempt from this requirement, because it has no
employees
4. Have you attached your latest copy of a reviewed or audited financial statement with
accompanying notes and supplemental information.3
❑ Yes ❑ No
NOTE: A financial statement that is not either reviewed or audited is not
acceptable. A letter verifying availability of a line of credit may also be attached;
however, it will be considered as supplemental information only, and is not a
substitute for the required financial statement.
5. Have you attached a notarized statement from an admitted surety insurer (approved by
the California Department of Insurance) and authorized to issue bonds in the State of
California, which states: (a) that your current bonding capacity is sufficient for the project
for which you seek pre -qualification if you are seeking pre -qualification for a single
r A "no" answer to Question 4 will not be disqualifying if the contractor is exempt from complying with
Question 4, for reasons explained in footnote 7.
' 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.
' Public Contract Code section 20101(e) exempts from this requirement a contractor who has qualified as a
small business pursuant to Government Code section 14837(d)(1), if the bid is "no more than 25 per cent of the
qualifying amount provided in section 14837(d)(1)." As of January 1, 2001, the qualifying amount is $10 million,
and 25 per cent of that amount, therefore, is $2.5 million.
LA #4831-1581-5424 v2 3
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
4 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.
LA #4831-1581-5424 v2 4
PART II. ORGANIZATION, HISTORY, ORGANIZATIONAL PERFORMANCE,
COMPLIANCE WITH CIVIL AND CRIMINAL LAWS
A. Current Organization and Structure of the Business
For Firms That Are Corporations:
Ia. 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
Der cent of the corooration's stock.
Name Position Years with Co. % Ownership Social Security #
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
For Firms That Are Partnerships:
Ia. 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. %Ownershi Social Security #
LA #4831-1581-5424 Q 5
ld. 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 per cent
or more of the business, or ten per cent or more of its stock, if the business is a
•1/�Y9ill��l
Person's Name Construction Company
Dates of Person's Participation
with Company
For Firms That Are Sole Proprietorships:
Ia. 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 per cent
or more of the business, or ten per cent or more of its stock, if the business is a
Dates of Person's Participation
Person's Name Construction Company with Company
For Firms That Intend to Make a Bid as Part of a Joint Venture:
Ia. Date of commencement of joint venture.
lb. Provide all of the following information for each firm that is a member of the joint
venture that expects to bio on one or more projects.
Name of firm I % Ownership of Joint Venture
B. History of the Business and Organizational Performance
2. Has there been any change in ownership of the firm at any time during the last three
years?
NOTE: A corporation whose shares are publicly traded is not required to answer
this question.
LA *4831-1581-5424 Q 6
❑ Yes ❑ No
If "yes," explain on a separate signed page.
3. Is the firm a subsidiary, parent, holding company or affiliate of another construction
firm?
NOTE: Include information about other firms if one firm owns 50 per cent or more
of another, or if an owner, partner, or officer of your firm holds a similar position in
another firm.
❑ Yes ❑ No
If "yes," explain on a separate signed page.
4. Are any corporate officers, partners or owners connected to any other construction firms.
NOTE: Include information about other firms if an owner, partner, or officer of
your firm holds a similar position in another firm.
❑ Yes ❑ No
If "yes," explain on a separate signed page.
5. State your firm's gross revenues for each of the last three years:
6. How many years has your organization been in business in California as a contractor
under your present business name and license number? years
Is your firm currently the debtor in a bankruptcy case?
❑ Yes ❑ No
If "yes," please attach a copy of the bankruptcy petition, showing the case number, and
the date on which the petition was filed.
8. 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:
LA #4831-1581-5424 v2
10. If any of your firm's license(s) are held in the name of a corporation or partnership, list
below the names of the qualifying individual(s) listed on the CSLB records who meet(s)
the experience and examination requirements for each license.
11. Has your firm changed names or license number in the past five years?
❑ Yes ❑ No
If "yes," explain on a separate signed page, including the reason for the change.
12. Has any owner, partner or (for corporations:) officer of your firm operated a construction
firm under any other name in the last five years?
❑ Yes ❑ No
If "yes," explain on a separate signed page, including the reason for the change.
13. Has any CSLB license held by your firm or its Responsible Managing Employee (RME)
or Responsible Managing Officer (RMO) been suspended within the last five years?
❑ Yes ❑ No
If "yes," please explain on a separate signed sheet.
Disputes
14. At any time in the last five years has your firm been assessed and paid liquidated
damages after completion of a project under a construction contract with either a public
or private owner?
❑ Yes ❑ No
If yes, explain on a separate signed page, identifying all such projects by owner, owner's
address, the date of completion of the project, amount of liquidated damages assessed and
all other information necessary to fully explain the assessment of liquidated damages.
15. In the last five years has your firm, or any firm with which any of your company's
owners, officers or partners was associated, been debarred, disqualified, removed or
otherwise prevented from bidding on, or completing, any government agency or public
works project for any reason?
NOTE: "Associated with" refers to another construction firm in which an owner,
partner or officer of your firm held a similar position, and which is listed in
response to question lc or ld on this form.
❑ Yes ❑ No
If "yes," explain on a separate signed page. State whether the firm involved was the firm
applying for pre -qualification here or another firm. Identify by name of the company, the
name of the person within your firm who was associated with that company, the year of
the event, the owner of the project, the project and the basis for the action.
LA #4831-1581-5424 v2
--- 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.
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
LA #4831-1581-5424 v2 9
If "yes," explain on a separate signed page. Name the insurance carrier,
the form of insurance and the year of the refusal.
Criminal Matters and Related Civil Suits
21. Has your firm or any of its owners, officers or partners ever been found liable in a civil
suit or found guilty in a criminal action for making any false claim or material
misrepresentation to any public agency or entity?
❑ Yes ❑ No
If "yes," explain on a separate signed page, including identifying who was involved, the
name of the public agency, the date of the investigation and the grounds for the finding.
22. Has your firm or any of its owners, officers or partners ever been convicted of a crime
involving any federal, state, or local law related to construction?
❑ Yes ❑ No
If "yes," explain on a separate signed page, including identifying who was involved, the
name of the public agency, the date of the conviction and the grounds for the conviction.
23. Has your firm or any of its owners, officers or partners ever been convicted of a federal
or state crime of fraud, theft, or any other act of dishonesty?
❑ Yes ❑ No
If "yes," identify on a separate signed page the person or persons convicted, the court
(the county if a state court, the district or location of the federal court), the year and the
criminal conduct.
Bonding
24. Bonding capacity: Provide documentation from your surety identifying the following:
Name of bonding company/surety:
Name of surety agent, address and telephone number:
25. If your firm was required to pay a premium of more than one per cent for a performance
and payment bond on any project(s) on which your firm worked at any time during the
last three years, state the percentage that your firm was required to pay. You may
provide an explanation for a percentage rate higher than one per cent, if you wish to do
SO.
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:
LA #4831-1581-5424 v2 10
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 aublic construction project when one was required?
F-1Yestf No
If yes, provide details on a separate signed sheet indicating the date when your firm was
denied coverage and the name of the company or companies which denied coverage; and
the period during which you had no surety bond in place.
C. Compliance with Occupational Safety and Health Laws and with Other Labor
Legislation Safety
28. Has CAL OSHA cited and assessed penalties against your firm for any "serious,"
"willful" or "repeat' violations of its safety or health regulations in the past five years?
NOTE: If you have filed an appeal of a citation, and the Occupational Safety and
Health Appeals Board has not yet ruled on your appeal, you need not include
information about it.
❑ Yes ❑ No
If "yes," attached a separate signed page describing the citations, including information
about the dates of the citations, the nature of the violation, the project on which the
citation(s) was or were issued, the amount of penalty paid, if any. If the citation was
appealed to the Occupational Safety and Health Appeals Board and a decision has been
issued, state the case number and the date of the decision.
29. Has the federal Occupational Safety and Health Administration cited and assessed
penalties against your firm in the past five years?
NOTE: If you have filed an appeal of a citation and the Appeals Board has not yet
ruled on your appeal, or if there is a court appeal pending, you need not include
information about the citation.
❑ Yes ❑ No
If "yes," attach a separate signed page describing each citation.
30. Has the EPA or any Air Quality Management District or any Regional Water Quality
Control Board cited and assessed penalties against either your firm or the owner of a
project on which your firm was the contractor, in the past five years?
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
LA #4831-1581-5424 v2 11
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.)
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.
LA #4831-1581-5424 v2 12
35. During the last five years, has there been more than one occasion in which your own fine
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 [Public Entity].
37. If your fine 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.
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
LA #4831-1581-5424 v2 13
a project, had no knowledge of the subcontractor's violation at the time they
occurred.
❑ Yes ❑ No
If "yes," provide the date(s) of such findings, and attach copies of the Department's final
decision(s).
PART III. RECENT CONSTRUCTION PROJECTS COMPLETED
39. Contractor shall provide information about (i) four most recently completed public works
projects and (ii) one or more projects that involve the construction of a building used for
community or recreational activities of at least 5,000 square feet. 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:
LA #4831-1581-5424 v2 14
Total Value of Construction (including change orders):
Original Scheduled Completion Date:
Time Extensions Granted (number of days):
Actual Date of Completion:
LA #4831-1581-5424 v2 15
INTERVIEW QUESTIONS
The following questions will be used to interview randomly selected contacts from two
completed projects. The City will conduct the interviews. For interview questions, the City will
interview project managers for the owners of two completed projects. If the Project Manager is
not available or is unable to answer an interview question(s), then the City may interview other
knowledgeable owner employees/representatives of the two selected projects. No action on the
contractor's part is necessary. These questions are included on the package given to the
contractor for information only.
There are 5 questions each worth a maximum of 10 points for a total of 50 points for each
of the two interviews. The points for the two interviews will be combined to reach a score. A
score of 70 points or more is a passing score. A score of less than 70 points disqualifies the
contractor.
First, please give a brief description of the project.
1. On a scale of 1-10, with 10 being the best, did the contractor provide adequate
supervision? (Max. 10 points)
2. 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)
3. 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 10 being the best, to what extent was
the contractor responsible for the delay in completion?
4. 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)
5. On a scale of 1-10, with 10 being the best, how would you rate the quality of the work
overall? (Max. 10 points)
LA #4831-1581-5424 v2 16
EXHIBIT °B"
FORM 3
UNIFORM RATING SYSTEM
The scorable questions arise in three different areas:
(I) History of the business and organizational performance;
(]I) Compliance with occupational safety and health laws, workers' compensation and
other labor legislation; and
(III) Completion of recent projects and quality of performance.
Note: Not all questions in the questionnaire are scorable; some questions simply ask for
information about the contractor firm's structure, officers and history. This document
includes only those questions that are "scorable." The question numbers in this document
are the numbers used in the questionnaire. Thus, the questions included here begin with
question number 6, and there are a few breaks in the numerical sequence.
The Scores Needed for Pre -qualification
To pre -qualify, a contractor is required to have a passing grade for all three categories
referred to above.
For Section I, History of the business and organizational performance
The City requires a passing score of 57 on this portion of the questionnaire (of a
maximum score of 76 on this portion of the questionnaire).
For Section II, Compliance with occupational safety and health laws, workers'
compensation and other labor legislation
The City requires a passing score of 38 on this portion of the questionnaire (of a
maximum score of 53 points on this portion of the questionnaire).
Section III, Completion of recent projects and quality of performance,
For the interview questions, the City will interview project managers for the owners of
two completed projects. If the Project Manager is not available or is unable to answer an
interview question(s), then the City may interview other knowledgeable owner
employees/representatives of the two selected projects. There are 5 interview questions
each worth a maximum of 10 points for a total of 50 points for each of the two
interviews. The points for the two interviews will be combined to reach a score. A score
of 70 or more is a passing score. A score of less than 70 points disqualifies a contractor.
-1-
Questions about History of the Business and Organizational Performance
(16 questions)
How many years has your organization been in business in California as a
contractor under your present business name and license number? years
(See Part II. B., question 6 of the pre -qualification questionnaire)
3 years or more = 2 points
4 years = 3 points 5 years = 4 pts.
6 years or more = 5 points
2. Is your firm currently the debtor in a bankruptcy case?
❑ Yes ❑ No
(See Part II. B., question 7 of the pre -qualification questionnaire)
"No" = 3 points" "Yes" = 0 points
Was your firm in bankruptcy any time during the last five years? (This question
refers only to a bankruptcy action that was not described in answer to question 7,
above).
❑ Yes ❑ No
(See Part II. B., question 8 of the pre -qualification questionnaire)
"No" = 3 points" "Yes" = 0 points
4. Has any CSLB license held by your firm or its Responsible Managing Employee
(RME) or Responsible Managing Officer (RMO) been suspended within the last
five years?
❑ Yes ❑ No
(See Part II. B., question 13 of the pre -qualification questionnaire)
No = 5 points Yes = 0 points
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
(See Part II. B., question 14 of the pre -qualification questionnaire)
No projects with liquidated damages of more than $50,000, or one project with
liquidated damages = 5 points.
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Two projects with liquidated damages of more than $50,000 = 3 points
Any other answer: no points
6. In the last five years has your firm, or any firm with which any of your company's
owners, officers or partners was associated, been debarred, disqualified, removed
or otherwise prevented from bidding on, or completing, any government agency
or public works project for any reason?
NOTE: "Associated with" refers to another construction firm in which an
owner, partner or officer of your firm held a similar position, and which is
listed in response to question Ic or 1d on this form.
❑ Yes ❑ No
(See Part II. B., question 15 of the pre -qualification questionnaire)
No = 5 points Yes = 0 points
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
(See Part II. B., question 16 of the pre -qualification questionnaire)
No = 5 points Yes = 0 points
NOTE: The following two questions refer only to disputes between your firm
and the owner of a project. You need not include information about disputes
between your firm and a supplier, another contractor, or subcontractor.
You need not include information about "pass-through" disputes in which
the actual dispute is between a sub -contractor and a project owner. Also,
you may omit reference to all disputes about amounts of less than $50,000.
-3-
8. 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
(See Part II. B., question 17 of the pre -qualification questionnaire)
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 1 such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" if more than 2 such instances.
If your firm's average gross revenue for the last three years was more than $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 5 such instances.
9. In the past five years, has your firm made any claim against a project owner
concerning work on a project or payment for a contract, and filed that claim in
court or arbitration?
❑ Yes ❑ No
(See Part II. B., question 18 of the pre -qualification questionnaire)
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 1 such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" if more than 2 such instances.
If your firm's average gross revenues for the last three years was more than $50
million, scoring is as follows:
5 points for either "No" or "Yes" indicating], 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.
me
10. At any time during the past five years, has any surety company made any
payments on your firm's behalf as a result of a default, to satisfy any claims made
against a performance or payment bond issued on your firm's behalf in connection
with a construction project, either public or private?
❑ Yes ❑ No
(See Part II. B., question 19 of the pre -qualification questionnaire)
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
11. In the last five years, has any insurance carrier, for any form of insurance, refused
to renew the insurance policy for your firm?
❑ Yes ❑ No
(See Part II. B., question 20 of the pre -qualification questionnaire)
5 points for either "No" or "Yes" indicating 1 such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" or if more than 2 such instances.
12. Has your firm, or any of its owners, officers, or partners ever been found liable in
a civil suit, or found guilty in a criminal action, for making any false claim or
material misrepresentation to any public agency or entity?
❑ Yes ❑ No
(See Part II. B., question 21 of the pre -qualification questionnaire)
No = 5 points Yes= subtract 5 points
13. Has your firm, or any of its owners, officers or partners ever been convicted of a
crime involving any federal, state, or local law related to construction?
❑ Yes ❑ No
(See Part II. B., question 22 of the pre -qualification questionnaire)
No = 5 points Yes= subtract 5 points
14. Has your firm or any of its owners, officers or partners ever been convicted of a
federal or state crime of fraud, theft, or any other act of dishonesty?
❑ Yes ❑ No
(See PaatII. B., question 23 of the pre -qualification questionnaire)
-5-
No = 5 points Yes= subtract 5 points
15. 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.
91
(See Part II. B., question 25 of the pre -qualification questionnaire)
5 points if the rate is no more than one per cent
3 points if the rate was no higher than 1.10 percent.
0 points for any other answer.
16. During the last five years, has your firm ever been denied bond credit by a surety
company, or has there ever been a period of time when your firm had no surety
bond in place during a public construction project when one was required?
❑ Yes ❑ No
(See Part II. B., question 27 of the pre -qualification questionnaire)
No = 5 points Yes = 0 points
Questions about compliance with safety, workers compensation,
prevailing wage and apprenticeship laws.
(11 questions)
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
(See Part II. C., question 28 of the pre -qualification questionnaire)
If the 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 l such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" if more than 2 such instances.
IM
If the 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 5 such instances.
2. Has the federal Occupational Safety and Health Administration cited and assessed
penalties against your firm in the past five years?
Note: If you have filed an appeal of a citation and the appropriate appeals
Board has not yet ruled on your appeal, you need not include information
about it.
❑ Yes ❑ No
If yes, attach a separate signed page describing each citation.
(See Part II. C., question 29 of the pre -qualification questionnaire)
If the 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 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:
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 5 such instances.
3. Has the EPA or any Air Quality Management District or any Regional Water
Quality Control Board cited and assessed penalties against either your firm or the
owner of a project on which your firm was the contractor, in the past five years?
NOTE: If you have filed an appeal of a citation and the Appeals Board has
not yet ruled on your appeal, or if there is a court appeal pending, you need
not include information about the citation.
❑ Yes ❑ No
(See Part II. C., question 30 of the pre -qualification questionnaire)
If the firm's average gross revenues for the last three years was less than $50
million, scoring is as follows:
Qre
5 points for either "No" or "Yes" indicating 1 such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" or if more than 2 such instances.
If the 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 5 such instances.
4. How often do you require documented safety meetings to be held for construction
employees and field supervisors during the course of a project?
(See Part U. C., question 31 of the pre -qualification questionnaire)
3 points for an answer of once each week or more often.
0 points for any other answer
List your firm's Experience Modification Rate (EMR) (California workers'
compensation insurance) for each of the past three premium years:
NOTE: An Experience Modification Rate is issued to your firm annually by
your workers' compensation insurance carrier.
Current year:
Previous year:
Year prior to previous year:
If your EMR for any of these three years is or was 1.00 or higher, you may, if you
wish, attach a letter of explanation.
NOTE: An Experience Modification Rate is issued to your firm annually by
your workers' compensation insurance carrier.
(See Part II. C., question 32 of the pre -qualification questionnaire)
5 points for three-year average EMR of. 95 or less
3 points for three-year average of EMR of more than .95 but no more than 1.00
0 points for any other EMR
! M.
6. 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
(See Part II. C., question 33 of the pre -qualification questionnaire)
5 points for either "No" or "Yes" indicating 1 such instance.
0 points for any other answer.
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.
(See Part II. C., question 34 of the pre -qualification questionnaire)
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 1 or 2 such instance.
3 points for "Yes" indicating 3 such instances.
0 points for "Yes" and more than 3 such instances.
If your firm's average gross revenues for the last three years was more than $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.
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
(See Part II. C., question 35 of the pre -qualification questionnaire)
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.
Ma
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.
9. Provide the name, address and telephone number of the apprenticeship program
sponsor(s) (approved by the California Division of Apprenticeship Standards) that
will provide apprentices to your company for use on any public work project for
which you are awarded a contract by [Public Entity].
(See Part II. C., question 36 of the pre -qualification questionnaire)
5 points if at least one approved apprenticeship program is listed.
0 points for any other answer.
10. If your firm operates its own State -approved apprenticeship program:
(a) Identify the craft or crafts in which your firm provided apprenticeship
training in the past year.
(b) State the year in which each such apprenticeship program was approved,
and attach evidence of the most recent California Apprenticeship Council
approval(s) of your apprenticeship program(s).
(c) State the number of individuals who were employed by your firm as
apprentices at any time during the past three years in each apprenticeship
and the number of persons who, during the past three years, completed
apprenticeships in each craft while employed by your firm.
(See Part II. C., question 37 of the pre -qualification questionnaire)
5 points if one or more persons completed an approved apprenticeship while
employed by your firm.
0 points if no persons completed an approved apprenticeship while employer by
your firm.
-10-
11. At any time during the last five years, has your firm been found to have violated
any provision of California apprenticeship laws or regulations, or the laws
pertaining to use of apprentices on public works?
NOTE: You may omit reference to any incident that occurred prior to
January 1, 1998 if the violation was by a subcontractor and your firm, as
general contractor on a project, had no knowledge of the subcontractor's
violation at the time they occurred.
❑ Yes ❑ No.
If yes, provide the date(s) of such findings, and attach copies of the Department's
final decision(s).
(See Part II. C., question 38 of the pre -qualification questionnaire)
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 1 or 2 such instance.
3 points for "Yes" indicating 3 such instances.
0 points for "Yes" and more than 3 such instances.
If your firm's average gross revenues for the last three years was more than $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.
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STATE OF CALIFORNIA )
COUNTY OF LOS ANGELES ) ss.
CITY OF SANTA CLARITA )
CERTIFICATION OF
CITY COUNCIL RESOLUTION
I, Sharon L. Dawson, City Clerk of the City of Santa Clarita, do hereby certify that this is a true
and correct copy of the original Resolution No. 04-38, adopted by the City Council of the City of
Santa Clarita, California on April 27, 2004, which is now on file in my office.
Witness my hand and seal of the City of Santa Clarita, California, this _ day of
20_.
Sharon L. Dawson, CMC
City Clerk
Rv
Susan Coffman
Deputy City Clerk