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DESIGN-BUILDERPREQUALIFICATION QUESTIONNAIRE

NUEVO EAST STUDENT HOUSINGPROJECT NO. 5150/A4L-433/966480

DESIGN-BUILD DELIVERY

PREQUALIFICATION DOCUMENTS AVAILABLE:Wednesday, January 4, 2017

MANDATORY PREQUALIFICATION CONFERENCE:Tuesday, January 10, 2017 @ 10:00 A.M.

SUBMITTAL DUE DATE:Thursday, January 19, 2017 @ 4:00 P.M.

University of California, San DiegoFacilities Design & Construction10280 N. Torrey Pines Rd. Ste. 465La Jolla, CA 92037

Rhonda MitchellUCSD FD&C Contracts Manager(858) [email protected]

Issue Date: 1-4-2017Revised: 6-28-2016

mailto:[email protected]

Design BuilderPrequalification Questionnaire

Nuevo East Student HousingProject No.: 5150

(Where a time period is given, such as the last ten [10] years, the period is to be measured backwards from the date this prequalification questionnaire is required to be submitted to the University of California at San Diego.)

Note: Submission of an incomplete and/or unclear Prequalification Questionnaire may result in the determination of the prospective Contractor as NON-PREQUALIFIED.

SUBMITTED BY: (Name and Title) Printed or Typed

(Signature)

(Firm Name. If a Joint Venture, state name if JV Entity)

(Contact Name for all notices and correspondence)

(Address)

(City, State, Zip Code)

(Telephone Number) (Facsimile Number)

(E-mail Address)

Each prospective Proposer must have the following California Contractor’s License, License Code: General Building Contractor, B , current, active and in good standing with the California Contractor’s State License Board on the date and time of the Prequalification Questionnaire submittal is due and must submit this Prequalification Questionnaire with all portions completed, including required attachments.

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Each prospective Proposer must answer all of the following questions and provide all requested information, where applicable. Any prospective Proposer failing to do so may be deemed to be not responsive and not responsible with respect to this prequalification at the sole discretion of the University of California. All information submitted for prequalification evaluation will be considered official information acquired in confidence, and the University of California will maintain its confidentiality to the extent permitted by law. Any prospective Proposer found to be not prequalified as a result of the Proposer's answers to this Prequalification Questionnaire will receive written response from the University Facility explaining the Facility's decision. If the Proposer can refute some of the facts upon which the decision was based, the Proposer can request a hearing at the Facility to appeal the decision. The appeal shall state the basis of the appeal and must be submitted in writing within three (3) working days of receipt of notification and must request a hearing or a written response from University. The decision of the Facility is final and not appealable within the University of California.

The Design Build contract will require the successful Proposer to provide both design and construction services. The entity that provides these services is the Proposer, but the actual structure of the entity is up to each Proposer. The Proposer may, as an example, be a construction company with a design firm as a subcontractor or it may be a joint venture between a construction company and a design firm. In such cases, each member of the Proposer shall submit project experience as required below and such design firms shall comply with the laws of the State of California, applicable to such firms. However, all information required herein shall be submitted within the following parameters:

1. The Proposer shall hold all required licenses.

2. The Proposer shall be the financially responsible entity for bonding and insurance.

3. The University strongly discourages Proposers from establishing “exclusive” arrangements with subcontractors or with subconsultants at this time. Only the names of the Architect(s) and Contractor(s) are to be provided in response to this Request for Prequalification.

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TABLE OF CONTENTS Page

I. GENERAL............................................................................................................................................5

A. Objective.........................................................................................................................................5

B. Project Description..........................................................................................................................5

C. Project Timing.................................................................................................................................5

D. Prequalification Process.................................................................................................................61. Questionnaire......................................................................................................................62. Mandatory Prequalification Conference..............................................................................63. Submittal Procedures and Deadline...................................................................................74. Rating and Evaluation Procedures.....................................................................................95. Scoring of Components....................................................................................................116. Interview............................................................................................................................147. Tentative Proposal Schedule (RFP).................................................................................14

E. Joint Ventures...............................................................................................................................15

II. PREQUALIFICATION QUESTIONNAIRE (PART 1).........................................................................16

A. Company Name and Address.......................................................................................................16

B. Contact Information.......................................................................................................................16

C. Entity Submitting this Prequalification Questionnaire...................................................................16

D. Type of Business Organization.....................................................................................................16

E. Year Company was Established...................................................................................................17

F. Parent Company Information (if applicable).................................................................................17

G. List All Former Company Names..................................................................................................17

H. License..........................................................................................................................................18

I. Design Firm (Architect).................................................................................................................19

J. Labor Code Violations...................................................................................................................19

K. Unsettled Warranties or Claims....................................................................................................20

III. PREQUALIFICATION QUESTIONNAIRE (PART 2).........................................................................21

A. Surety............................................................................................................................................21

B. Financial Capability.......................................................................................................................22

C. Financial Data...............................................................................................................................22

D. Insurance......................................................................................................................................24

E. Experience Modification Rate.......................................................................................................25

IV. DESIGN-BUILD TEAM EXPERIENCE..............................................................................................26

A. Completed Construction Project Experience................................................................................27

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1. Contractor's Comparable Projects....................................................................................272. Design Firm's Comparable Projects.................................................................................293. Comparable Projects Matrix (sample)..............................................................................31

B. Supplemental Company Information (Contractor Only)................................................................321. Safety Program.................................................................................................................322. Quality Control Processes................................................................................................32

V. KEY PERSONNEL............................................................................................................................33

VI. CLAIMS HISTORY............................................................................................................................39

VII. REQUIRED COMPLETED ATTACHMENTS....................................................................................41

VIII.DECLARATION.................................................................................................................................41

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I. GENERAL

A. OBJECTIVE

The University's primary objective is to utilize the Design-Build approach and bring the best available integrated design and construction experience to this project. The Design-Build delivery process requires the prequalification of a responsible contractor possessing a Class “B” California General Building Contractor’s License and a responsible architectural firm working together as a “Design-Build (DB) team.”

B. PROJECT DESCRIPTION

The Nuevo East Student Housing project will be located within the University of California, San Diego’s North Mesa Neighborhood at the corner of Regents Road and Miramar Street in La Jolla, California. The project will redevelop approximately 14 acres of existing low-density housing sited between the new Mesa Nueva Housing project (currently under construction) and Regents Road. This project will transform the entrance and provide a Gateway into the North Mesa Neighborhood providing connective pathways for pedestrians and bicyclists encouraging the use of public transportation systems and the future station of the Mid-Coast Light Rail to be located on Genesee Avenue.

The project will provide a minimum of 1,100 new beds for the campus arranged in 1 and 2 bedroom apartments in low and high rise buildings complete with support spaces, laundry facilities and community gathering spaces. A combination of the beds may be provided in townhome configurations as part of the project. A surface parking lot will provide a minimum of 550 spaces which will include ADA spaces, electrical vehicle charging spaces, and Clean Air Vehicle spaces.

The Exchange will become the new gateway and welcoming center into the community and will house a variety of functions. This building will provide a centralized location for all of Housing, Dining & Hospitality administrative functions for the North Mesa Neighborhood. The Exchange will include office and support functions, conference and multi-purpose rooms, mail facilities, fitness space, music room, and rooftop and outdoor gathering spaces.

Site improvements will include providing connective pathways and open space and offsite improvements may include the widening of Miramar Street, improvements to the intersection at the corner of Regents Road and Miramar Street, and utility infrastructure improvements.

The low density apartments and all other structures and utilities currently on site shall be demolished as part of this project.

C. PROJECT TIMING The Project will proceed in phases:

Phase 1: DESIGN DEVELOPMENT DOCUMENTSPhase 2: CONSTRUCTION DOCUMENTS

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Phase 3: CONSTRUCTION

The Project will commence with a Notice to Proceed (NTP) for Phase 1 upon selection and award of the Contract. The anticipated Contract Time is twenty-six (26) months from the NTP of Phase 1 to project completion. The Contract Time will include completion of the (Phase 1) Design Development Documents, (Phase 2) Construction Documents, and (Phase 3) Construction of the project.

D. PREQUALIFICATION PROCESS The Design-Build delivery process requires the prequalification of a responsible contractor and design firm working together as a “Design-Build team.” The University will review the Design-Build teams’ Prequalification Questionnaires and up to five (5) of the top Design-Build teams will be invited to participate in an oral interview.

The three (3) Design-Build teams who receive the highest amount of points after the interviews, based on the established rating system, will be considered the “best qualified” teams and designated as the only teams eligible to participate in the Request for Proposal (RFP) process. These Design-Build teams will be issued RFP documents and will be invited to submit a proposal to design and construct the Project. Additional information and details regarding proposal preparation, submittal and the University’s evaluation and award process will be provided to the prequalified Design-Build teams in the RFP and at a mandatory pre-proposal conference. The three (3) prequalified proposers will submit proposals that will be evaluated based on a scoring system to be published in the RFP.

The successful Design-Build team will be responsible for completing schematic design, design development, construction documents, and related work required to construct the project. Each member of the Design-Build team shall comply with the applicable laws and codes of the State of California. The Design-Builder shall hold all required licenses and be the financially responsible entity for bonding and insurance as a mandatory prerequisite for qualification.

The purpose of the Prequalification Questionnaire is to provide the University with sufficient information to determine if a Design-Build team is both experienced and responsible.

1. QuestionnaireProvide all requested information, as applicable, on the questionnaire. Any prospective Design-Build team failing to do so may be deemed non-responsive with respect to the prequalification process for this project. All information submitted for prequalification evaluation will be considered official information acquired in confidence, and the University will maintain its confidentiality to the extent permitted by law.

Availability of Prequalification Questionnaires: Wednesday, January 4, 2017Prequalification Questionnaires will be available for interested Design-Build teams at: www.fdc.ucsd.edu. Click on CONTRACTING OPPORTUNITIES, WORK AVAILABLE FOR BID, and the PROJECT NAME. Scroll to the bottom of the page to Prequalification Documents and click to open each file.

2. Mandatory Prequalification ConferenceDesign-Build teams interested in prequalifying to propose on this project are required to attend the Mandatory Prequalification Conference on Tuesday, January 10, 2017, beginning promptly at 10:00 A.M. at Sanford Consortium (Duane J. Roth Auditorium), 2880 Torrey Pines Scenic Drive, La Jolla, CA 92037. Sanford Consortium is the building just south of Torrey Pines Center South.

ANY DESIGN-BUILD TEAM FAILING TO HAVE A REPRESENTATIVE SIGN IN ON THE OFFICIAL ATTENDANCE SHEET AT THE PREQUALIFICATION CONFERENCE WILL NOT BE

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http://www.fdc.ucsd.edu/



ELIGIBLE TO PARTICIPATE IN THE PREQUALIFICATION PROCESS. LATE ARRIVALS MAY BE DISQUALIFIED FROM PARTICIPATING.

Prospective Design-Build team representatives must participate in the prequalification conference in its entirety. Attendees are urged to arrive approximately 20 minutes prior to the meeting to allow time to secure parking. There is parking and a parking pay station at Sanford Consortium. Also, metered parking spaces are available (for up to 2 hours) in the service yard/shuttle stop parking lot and underground parking area of Torrey Pines Center South. Please allow ample time to secure parking. Proposers must be present for the entire conference.

Participants shall meet at:Sanford Consortium

(Duane J. Roth Auditorium)2880 Torrey Pines Scenic Drive

La Jolla, CA 92037

3. Submittal Procedures and DeadlineDesign-Build teams interested in prequalifying to propose on this project must submit a completed Prequalification Questionnaire. The University is not responsible for any costs that Design-Build teams may incur to complete the prequalification process. All applicable portions of the attached forms or requested (separate) narratives shall be completed with attachments if the space provided on the questionnaire is not sufficient. QUESTIONNAIRES FAILING TO CLEARLY PRESENT ALL OF THE REQUESTED INFORMATION, OR THAT ARE NOT IN THE FORMAT REQUESTED MAY BE CONSIDERED NON-RESPONSIVE AND REJECTED ON THAT BASIS. Each copy of the submittal must be complete and fully responsive to the requirements of the Prequalification Questionnaire.

Last day to ask questions to clarify submittal requirements: Thursday, January 12, 2017.Address all questions to: Rhonda Mitchell, Contracts Manager

Tel.: (858) 822-3126; Email: [email protected]

Prequalification Questionnaires must be received at:

Hand Delivery or Overnight Express Carrier: US Mail:

Rhonda Mitchell, Contracts ManagerUniversity of California, San DiegoFacilities Design & Construction10280 North Torrey Pines Road, Suite 465La Jolla, CA 92037

Rhonda Mitchell, Contracts ManagerUniversity of California, San DiegoFacilities Design & Construction9500 Gilman Drive 0916La Jolla, CA 92093-0916

Provide one (1) original, six (6) copies, and one (1) flash drive of completed Prequalification Questionnaire. Submittals must be received at the above address no later than 4:00 P.M., Thursday, January 19, 2017.

Prequalification Questionnaires must be submitted in 3-ring binders with tabs indicating all appropriate sections. Attachments/narratives/statements must be placed behind the appropriate tabs. The front of the binders must indicate the Design-Build team’s name and address using the following format:PREQUALIFICATION QUESTIONNAIRE

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mailto:[email protected]



Company Name and Address:Project No.: Project Name: Due Date and Time: Design-Build teams shall assume full responsibility for timely delivery at the location designated for receipt of Prequalification Questionnaires. ORAL, TELEPHONIC, FACSIMILE, TELEGRAPHIC, OR E-MAILED PREQUALIFICATION QUESTIONNAIRES ARE INVALID AND WILL NOT BE ACCEPTED. NO PREQUALIFICATION DOCUMENTS WILL BE ACCEPTED AFTER THE DUE DATE AND TIME. SUPPLEMENTAL DATA OR ADDITIONAL PROJECT INFORMATION WILL NOT BE ACCEPTED AFTER THE DUE DATE AND TIME UNLESS SPECIFICALLY REQUESTED BY THE UNIVERSITY.

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4. Rating and Evaluation ProceduresA. To be considered for prequalification, a prospective Design-Build team must meet the

following requirements:

1. CALIFORNIA CONTRACTORS LICENSE: Hold the proper license(s) in good standing, current, and active.

2. SURETY AND BONDING CAPACITY: Submit a notarized statement from the proposed surety(ies) that states:a.Contractor’s current available bonding capacity meets or exceeds the minimum capacity

described in the Questionnaire. (Must meet or exceed $156,000,000.)b.Contractor’s total bonding capacity.c.Surety(ies) proposed to be used on the project is an admitted surety insurer as defined in

the California Code of Civil Procedure Section 995.120.d.Surety (ies) acknowledges its intent to provide bonding of the Project in the event

Contractor is awarded the Project.3. FINANCIAL DATA:

a. Have an average annual revenue for the past five (5) years equal to or greater than $160,000,000.

b. Contractor should have a financial ratio of at least 1.0 for assets to liabilities (cash, accounts receivable net of allowance for uncollectible receivables) / (accounts payable, current portion of long term debt)

c. Contractor should have a debt to net worth ratio (long term debt) / (net worth) of less than 35%.

d. THE UNIVERSITY WILL DEEM CONTRACTORS WITH POOR FINANCIAL STANDING NOT QUALIFIED.

4. INSURANCE: Submit a written declaration from its insurance agent/broker/carrier stating that the Contractor is able to obtain insurance that meets or exceeds the limits and ratings required for this project. Submit a copy of Contractor’s insurance certificate.

5. DESIGN-BUILD TEAM EXPERIENCE: Have sufficient project experience for the Design-Build team as referenced in the Questionnaire. The projects submitted will receive points based on the extent to which they meet the listed criteria.

6. KEY PERSONNEL: Demonstrate adequate experience for Design-Build team Key Personnel as referenced in Item V (information submitted will receive points based on experience).

7. DECLARATION: Certify that all requested information is current, accurate, and complete.

B. To be considered for prequalification, a prospective Design-Build team, including any proposed joint venture partners, must not have:

1. EXPERIENCE MODIFIER RATE: An Experience Modifier Rate (EMR: Workers’ Comp) injury rating above 1.15 for the past five (5) years.

2. SURETY: A surety required to complete work on any contract within the past ten (10) years.3. CONTRACTOR LICENSE BOARD DISCIPLINARY PROCEEDINGS: A Contractors State

License Board disciplinary action in the past ten (10) years. 4. LABOR CODE VIOLATIONS: Willful Labor Code violations including, but not limited to,

repeated or willful violations of applicable laws and/or regulations pertaining to the payment of prevailing wages or employment of apprentices during the past ten (10) years.

5. CLAIMS HISTORY: Unfavorable claims history or claims for projects of the University of California system.

6. UNSETTLED WARRANTIES OR CLAIMS: Pending or unsettled warranties.

After review of the Prequalification Questionnaire, the University may request clarifying information. The Questionnaire must be complete and address all the stated requirements. Responses such as

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“N/A” are not acceptable. If not applicable, state “Not Applicable” and explain why. If none, state “NONE.” Do not leave any spaces blank.

Design-Build teams selected for interviews will be notified in writing, and will specify the date, time, and location of their interviews and outline the interview process. The University reserves the right to reopen the Design-Build team Prequalification process if the University determines that there are insufficient prequalified Design-Build teams to support the Proposal process.

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5. Scoring of ComponentsScoring of Design-Build teams will be determined by the application of an established rating system based on the following information:

A. Licenses and Certifications – prerequisite (Pass/Fail)

1. All firms shall be licensed and registered to perform design and construction services in the State of California. Copies of appropriate documents are to be included with the RFQ submittal.

B. Surety/Financial/Insurance – prerequisite (Pass/Fail)

1. All firms shall indicate their form of business, (e.g., corporation, partnership, joint venture, or sole proprietor). The Design-Build team member firms shall provide a copy of their last financial statements and quarterly updates if requested by the University.

2. All teams shall provide the evidence of their bonding capacity for the amount of $156,000,000. This evidence shall be in the form of a letter from a licensed bonding company or from an agent normally representing the firm.

3. All firms will prove ability to provide Professional Liability Insurance in the amount of $5,000,000 each occurrence and $10,000,000 aggregate. All firms will prove ability to provide certificates of general liability insurance on the Owner’s form in the minimum amounts of $5,000,000 per occurrence and $10,000,000 in the Aggregate, and $1,000,000 business automobile liability.

4. All firms shall disclose their arbitration and litigation claims history. Claims that are unresolved but still pending are not required to be submitted.

If the Design-Builder is not a public company, all financial information shall be held in confidence and shall be examined only by the officials responsible for its evaluation.

C. Design-Build Team Project Experience (50 points possible)

1. The Architect and Contractor of the proposed Design-Build team shall each have ideally completed a minimum of three (3) and a maximum of five (5) of the following in the last ten (10) years which have the following qualifications:

• 1,100 beds of student housing • 200 beds of townhome style student housing• 500 space surface parking lot that incorporates pedestrian & bicycle connectivity as well

as landscape solutions that create buffers and a sense of place for the community. • 20,000 ASF of Administrative office space similar to the Exchange program noted in the

project description

2. Provide a matrix that demonstrates which proposed key personnel, identified in section 5 below, participated in each of these projects and include their role. This matrix shall also identify shared project experience completed by the Design Build team. Identify project delivery method for each comparable project.

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LEED/Sustainability Experience (Points included in Design Build Experience)

Provide comparable project examples that meet Gold and Platinum LEED certifications. The Design-Build team is required to achieve GOLD certification for energy and environmental performance under the United States Green Building Council’s (USGBC) Leadership in Energy and Environmental Design (LEED) program. Formal submission to USGBC for certification will be required. Design-Build team is required to exceed T-24 energy conservation standards by 20 percent. Documentation to support each point will be required and submitted to the University directly at the completion of the project. The Nuevo East project may pursue Platinum certification or Carbon Neutrality certification as a Value Added Option.

D. Qualifications of Key Personnel (50 points possible)

1. Key personnel members and their role for this project shall be identified in the RFQ. A one-page résumé describing relevant education, project experience, and professional certifications of each team member shall be attached.

2. Provide a description of key personnel’s role in the Nuevo East Student Housing project.

3. After the RFQ phase, the selected Design-Build teams may not make any significant changes in the composition of the team member firms, personnel assignments, and individuals’ roles and responsibilities without the University’s written approval.

E. Knowledge of Design–Build Process (30 points possible)

1. The Design-Build teams shall demonstrate their experience with the Design-Build delivery method including familiarity with the process, risks, responsibilities, and types of participants on both the owner’s and Design-Build teams.

2. The evidence shall include a portfolio of the Design-Build teams’ projects that utilized the Design-Build delivery method. These projects can be of a different building type. Design-Build team shall each submit a minimum of three (3) and a maximum of five (5) projects indicating design team members, building type, size, cost, date complete, and contact references.

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F. Organization and Management Plan (20 points possible)

1. The Design-Build teams shall demonstrate the team’s organizational and management capacity to deliver the project within schedule, quality level and budget specified in this RFQ.

2. Each team shall provide an organizational chart to describe how the Design-Builder intends to manage this project, including internal, subconsultants (design team members and consultants - note: a waterproofing consultant is required to review all exterior envelope details, roofing details and mockups), and owner lines of communication and responsibilities.

G. Familiarity with the Local Construction Market and Small, Underutilized Business Development Plan (15 points possible)

1. The Design-Build teams shall demonstrate their level of familiarity with the San Diego, California construction market based on their past project experience in this area.

2. Describe how small, local business participation will be maximized on this project, including outreach to SBE, DBE, WBE, and/or DVBE firms.

H. Building Information Modeling (BIM) Experience (10 points possible)

The Design-Build team shall demonstrate the team’s organizational and management capacity to generate 3D construction component modeling images, integrate all disciplines and provide clash detection and resolution during the design phase of the project. Identify teams member(s) responsible for the BIM modeling effort. BIM modeling will be required for all site components, housing components and the administrative building components.

I. Quality Control Design and Construction (15 points possible)

The Design-Build team shall demonstrate the team’s process for providing internal quality control and coordination of the “design document evolution” and “construction administration” to insure coordination between disciplines and subcontractors. Show how the University review comments are tracked and incorporated into the construction documents. Show how the design team will adhere to the project guideline specifications. Illustrate how the processing of submittals and deferred approvals (shop drawings and material data) will flow. Demonstrate how installation QA/QC is managed by the superintendents and how required inspections, testing and closeout will occur.

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6. InterviewUp to five (5) of the top Design-Build teams meeting the prequalification requirements and awarded the highest number of points by the evaluation committee, based on the established rating system, will be invited to attend an oral interview. Proposers who receive fewer points will be excluded from further consideration in the prequalification process and from participating in the interview. During the interview, the Design-Build team will have a specified amount of time to address specific categories and answer questions from the panel. Interview criteria will be provided to the invited firms in advance. Note that the attendance of the Design-Build team key personnel is required in the interview process.

Design-Build teams will be notified of their prequalification status after evaluation of the Prequalification Questionnaires and interviews.

Prospective Design-Build teams that do not prequalify as a result of their response to the Questionnaire and/or the interview process will receive written notice from the University and may request an informal debriefing.

The University reserves the right to reject any or all responses to Prequalification Questionnaires and any or all proposals and to waive any non-material irregularities in any response or proposal received.

Based on the interview scores, combined with the questionnaire scores, the top three (3) highest scoring teams will be considered the “best qualified” teams and designated as the only teams eligible to participate in the Request for Proposal process.

Design-Build teams that successfully prequalify will be invited to submit a proposal to design and construct the project. Additional information and details regarding proposal preparation, submittal and the University’s evaluation and award process will be provided to the prequalified Design-Build teams in the RFP and mandatory pre-proposal conference.

In an effort to help defray the cost of the development of this Proposal submittal, the University will compensate each unsuccessful responsive Proposer the sum of two hundred fifty thousand ($250,000) for the preparation and submission of a responsive proposal. A Proposer will not be eligible for the stipend if it should withdraw from the solicitation process prior to the due date.

PROPOSERS SHALL AVOID A CONFLICT OF INTEREST.

Any consultant hired with the primary role of developing the program plan or project proposal documents on behalf of the University shall be precluded from participating as a member of the Design-Build team.

7. Tentative Proposal Schedule – (RFP)Following is the anticipated proposal schedule:

1. Proposal Documents available to the prequalified proposers – February 17, 2017

2. Proposals received – April 25, 2017

3. Proposals evaluated and the lowest cost per point determined – May 5, 2017

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The exact dates, times and location will be set forth in an “Announcement to Prequalified Proposers.”

E. Joint Ventures If two (2) entities intend to form a Joint Venture for the purpose of executing the work on the Project, they must state their intentions on the Prequalification Questionnaire Form. Each entity of the proposed Joint Venture must submit a separate and independent set of the Prequalification Questionnaire forms. To be considered, each entity must meet all the requirements in Paragraph 4, Rating and Evaluation Procedures. Item 4.A.2, Surety, shall be submitted on one of the two applicants’ forms completely documenting the stated requirements by a qualified Surety. Requests of Design-Builder Joint Ventures to prequalify for this project will not be considered after close of acceptance of prequalification questionnaires unless the University decides that it is in its best interest to reopen the prequalification process in a manner stated in the prequalification questionnaire.

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II. CONTRACTOR PREQUALIFICATION QUESTIONNAIRE – PART 1 (Pass/Fail – No Points Awarded)

All information requested must be furnished on the forms provided below and must be completed in order to prequalify.

A. COMPANY NAME AND ADDRESS

Company Name:

Telephone Facsimile

Street Address: , , Street Address City & State Zip Code

B. CONTACT INFORMATION

Contact Person #1: Name, Title Telephone Email

Contact Person #2: Name, Title Telephone Email

C. ENTITY SUBMITTING THIS PREQUALIFICATION QUESTIONNAIRE

Parent Company: Subsidiary: Other: (Please list)

Branch Office: Division:

D. TYPE OF BUSINESS ORGANIZATION

Corporation: State of Incorporation:

Partnership: Joint Venture:

Sole Proprietorship: Other: (Please list)

Total number of employees on payroll in the corporation:

Total number of employees on payroll in the local office submitting this prequalification:

Principal Office (if different from above): Street Address

City, State & Zip Code

President’s Name: Vice President’s Name: Secretary’s Name:

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Treasurer’s Name:

If a partnership, provide the following information:

Date of Organization: General: Association

Name and complete legal address of each general partner:

(Partner’s Name) (Legal Address)

(Partner’s Name) (Legal Address)

If a Joint Venture, provide the above information for the financially responsible party.

(If more space is needed, provide the information on your company’s letterheadwith reference to the project name and number, and attach it to this Questionnaire.)

E. YEAR COMPANY WAS ESTABLISHED

Year established:

F. PARENT COMPANY INFORMATION (if applicable)

Company Name:

Telephone Facsimile


Contact Person: Name, Title Telephone

G. LIST ALL FORMER COMPANY NAMES

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H. LICENSE (ALL LICENSES LISTED MUST BE CURRENT, ACTIVE, AND IN GOOD STANDING.)

Contractor must have a current and active California State Contractors license in good standing with a “B” General Building Contractor Classification for this Project.

For Joint Venture applications by two or more licensees, the Joint Venture entities must submit a written commitment to obtain the proper California joint venture license by the Prequalification Questionnaire submittal deadline, and at least one entity of the joint venture must have a proper license in good standing that is current and active upon submission of the Contractor/Design-Builder Prequalification Questionnaire. The letter of commitment must include:

1. Name, address, and phone number of the Joint Venture as it will appear on the records of the Contractors State License Board

2. Name, address, and telephone number of each entity comprising the Joint Venture as it appears on the records of the Contractors State License Board

3. Name of the Responsible Managing Officer of the Joint Venture4. Organizational chart of the Joint Venture5. Signatures of the Responsible Managing Officers for each entity comprising the Joint Venture

NOTE: The entity submitting this Prequalification Questionnaire must be the holder of the requisite license.

ALL LICENSES MUST BE MAINTAINED IN GOOD STANDING, CURRENT AND ACTIVE THROUGHOUT THE PROJECT.

Does your firm have the required California State Contractors license? Yes No

(Name of Licensee as it appears on record with the California Contractors State License Board)

License No. Issue Date: Expiration Date:

License Class/Classes:

Description of Classification(s):

For Joint Venture: List Joint Venture entity’s license information above as the Design-Builder and the license information for the proposed Joint Venture license in the space below:

(Name of Licensee as it appears on record with the California Contractors State License Board)

License No. Issue Date: Expiration Date:

License Class/Classes:

Description of Classification(s):

Has the above contractor license(s) been suspended or revoked by the California Contractors State License Board within the past ten years?

Yes No

If yes, please explain:

I. DESIGN FIRM (EXECUTIVE ARCHITECT) TO BE USED ON THIS PROJECT

Firm Name:

Telephone Facsimile


Contact Person: Name, Title Telephone

Provide the name of the Architect of Record to be used on the Project:

Name, Title Current License Number

J. LABOR CODE VIOLATIONS

Has your company, during the past ten years, received a determination by a court or an administrative agency of any Labor Code violations including, but not limited to laws and/or regulations pertaining to the payment of prevailing wages or employment of apprentices on publicworks projects? Yes No

Determinations by a court or an administrative agency of a violation of laws and/or regulations pertaining to the payment of prevailing wages or employment of apprentices on public works projects due to the mistake, inadvertence or neglect of your organization may be grounds for disqualification if there are three or more such determinations during the past ten years.

If yes, give details including dates:



K. UNSETTLED WARRANTIES OR CLAIMS

Provide the following information if Contractor has unsettled/pending claims, demands or notices of default issued by any project Owner:

Owner Name: Facility’s Contact Person:

Project Name: Project Number:

Recorded Date of Claim/Notice: Type of Warranty:

Basis of Claim:

Status of Unsettled Warranty:

(If more space is needed, provide the information on your company’s letterhead with reference to the project name and number and attach it to this Questionnaire. If additional projects need to be included, copy the table above to include the appropriate infor-mation.)

If the Contractor or Joint Venture partner does not have any unsettled/pending claims, demands or notices of default, please indicate “None” in the space provided:

[THIS SPACE LEFT INTENTIONALLY BLANK]

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III. PREQUALIFICATION QUESTIONNAIRE – PART 2: CONTRACTOR’S SURETY / FINANCIAL / INSURANCE (Pass/Fail – No Points Awarded)

A. SURETY

List below all Surety companies used by your company within the past ten years and state whether the Surety had to complete any part of your work including, but not limited to warranty-related repairs or other defective workmanship on any contract within the past ten years:

Surety Company #1: Surety’s Name Telephone


Has listed Surety Company #1 completed work for your Company within the past ten years? Yes No Period Covered










(If more space is needed, provide the information on your company’s letterhead with reference to the project name and number and attach it to this Questionnaire.)

B. FINANCIAL CAPABILITY

Attach a notarized statement from the surety(ies) that states: (i) evidence of bonding capacity for the amount of $156,000,000; (ii) total bonding capacity; (iii) Surety(ies) proposed to be used on the project is an admitted surety insurer as defined in the California Code of Civil Procedure Section 995.120; and (iv) Surety(ies) acknowledges its intent to provide bonding of the Project in the event Contractor is awarded the Project.

C. FINANCIAL DATA

For the purposes of this prequalification questionnaire, “business construction revenue” shall be defined as payments to prospective Contractor for construction services as a General Contractor.

1. Can you truthfully state that your firm has had an average annual business construction revenue of at least $160,000,000? (excluding any and all legal awards) over the last five (5) consecutive years?

YES NO

2. If the entity submitting this prequalification questionnaire is a Joint Venture, can the Joint Venture entity truthfully state that each member of the Joint Venture has had an average annual business construction revenue of at least $160,000,000? (excluding any and all legal awards) over the last five (5) consecutive years?

YES NO N/A

3. What is your total available bonding capacity? $

4. Is your company’s financial ratio at least 1.0 for assets to liabilities (cash, accounts receivable net of allowance for uncollectible receivables) / (accounts payable, current portion of long term debt)?

YES NO

If answer is NO, what is your company’s current financial ratio for assets to liabilities?

5. Does your company have a debt to net worth ratio (long term debt) / (net worth) of less than 35%?

YES NO

If answer is NO, what is your company’s current debt to net worth ratio?



6. Can you provide audited financial statements for the last ten (10) years?

YES NO

If answer is NO, what type of statements will you provide?_____________________________

DO NOT INCLUDE FINANCIAL STATEMENTS WITH THIS PREQUALIFICATION QUESTIONNAIRE. THE UNIVERSITY RESERVES THE RIGHT TO REQUEST AUDITED FINANCIAL STATEMENTS AT A LATER DATE.

7. List average yearly volume of work for each of the past five (5) years. Revenue and amount of reinvestment income.

YEAR REVENUE/VOLUME REINVESTED INCOME

______________ __________________________ ________________________

______________ __________________________ ________________________

______________ __________________________ ________________________

______________ __________________________ ________________________

______________ __________________________ ________________________

THE FOLLOWING DECLARATION MUST BE SIGNED BY CHIEF FINANCIAL OFFICER OR EQUIVALENT:

I, , hereby declare that I am the (Printed Name)

of (Title) (Name of Company)

and that all of the information submitted under “Financial Data” above is true, accurate, and complete as of its submission date.

(Date)

(Signature)

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D. INSURANCE The Contractor wishing to prequalify hereunder is required to submit a copy of Contractor’s certificate of insurance evidencing that it shall furnish and maintain Commercial Form of General Liability, Excess Liability (if applicable), Contractor’s Professional Liability, Business Automobile Liability, and Workers’ Compensation insurance in the amounts below.

The insurance required for Commercial Form General Liability, Excess Liability, Contractor’s Professional Liability, and Business Automobile Liability insurance shall be issued by companies with a Best rating of A- or better, and a financial classification of VIII or better (or an equivalent rating by Standard & Poor or Moody’s) written for not less than the following:

COMMERCIAL FORM GENERAL LIABILITY INSURANCE – Limits of Liability Minimum

Requirements

Each Occurrence - Combined Single Limit for Bodily Injury and Property Damage: $5,000,000

Products-Completed Operations Aggregate: $10,000,000

Personal and Advertising Injury: $5,000,000

General Aggregate: $10,000,000

PROFESSIONAL (ERRORS AND OMISSIONS) LIABILITY – Limits of Liability Minimum

RequirementContractor’s Professional Liability (Each Occurrence) $5,000,000Contractor’s Professional Liability (Each Aggregate) $10,000,000

BUSINESS AUTOMOBILE LIABILITY INSURANCE – Limits of Liability Minimum

RequirementEach Accident - Combined Single Limit for Bodily Injury and Property Damage: $1,000,000

WORKERS’ COMPENSATION – As required by Federal and State of California law

EMPLOYER’S LIABILITY – Limits of Liability Minimum

RequirementEach Employee: $5,000,000

Each Accident: $5,000,000

Policy Limit: $5,000,000

EXCESS/UMBRELLA – Limits of Liability Minimum

RequirementEach Occurrence: N/A

Aggregate: N/A

Insurance required for Workers’ Compensation and Employer’s Liability Insurance shall be issued by companies that have a (i) Best rating of B+ or better, and a financial classification of VIII or better (or an equivalent rating by Standard & Poor or Moody's) or (ii) that are acceptable to the University. Such insurance shall be written to be not less than the amount required by Federal and State of California law. The University intends to utilize University’s owner-controlled insurance program (UCIP) for this project and e-Builder capital program and project management.

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1.

Is your firm able to obtain the insurance in the required limits and ratings from companies that meet the criteria stated above? Yes No

2.

If “yes,” provide declaration(s) from your insurance agent/broker/carrier stating that your firm is able to obtain insurance coverage in the limits and ratings stated above from the insurance companies required for this Project.

3. Provide a copy of your company’s insurance certificate.

E. EXPERIENCE MODIFICATION RATE

List your company’s Workers’ Compensation Experience Modifier Rate for the past five (5) years:2012

: 2013

: 2014

: 2015

: 2016

:

Submit a letter from your Workers’ Compensation carrier showing your Experience Modification rate for the past five years.

If the Modification Rate has been above 1.15 for five or more of the past ten years, provide an explanation, including dates:

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IV. DESIGN-BUILD TEAM EXPERIENCE

A. The Architect/design firm and Contractor/construction firm of the proposed Design-Build team shall submit a matrix demonstrating comparable experience on a minimum of three (3) and a maximum of five (5) comparable projects with similar programmatic elements. Complete a “Comparable Projects” data sheet for each project.

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CONTRACTOR’S COMPARABLE PROJECTS

Verify all contacts prior to submittal.Do not leave any spaces blank. Responses such as “N/A” are not acceptable.

If not applicable, state “Not Applicable” and explain why. If none, state “NONE.”

Contractor Name:

Project Name:

Project or Contract Number:

Project Location: , , Street Address City & State Zip Code

Owner Information: Contact Person: Owner’s Name Name & Title

Address: , , Street Address City & State Zip Code

Telephone: Email:

Address of Contractor’s Office that Performed the Work:

, , Street Address City & State Zip Code

Contact Person: Telephone:

Name & Title

Email:

Name of Contractor’s Project Manager for project:

Name of Contractor’s Superintendent for project:

Design Firm: Contact Person: Name & Title


Telephone: Email:

Name of Design Firm’s Project Manager for project:

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CONTRACTOR’S COMPARABLE PROJECTS (CONTINUED)

Contract Time:

Original Start Date: Actual Start Date: Month/Day/Year Month/Day/Year

Original Completion Date: Actual Completion Date:

Explain difference of original and actual dates:Contract Amount:

$ $ $ Base Amount Adjustment Due to Change Orders Final Contract Amount

Project Information:

Did this project include Student Housing? Yes No

How many beds did this project include?

Did this project have at least 500,000 GSF of building construction? Yes No

Was a Design-Build contract delivery used for this project? Yes No

Was this project constructed as a Design-Build project with the Contractor proposed? Yes No

Did this project include underground utilities and offsite improvements? Yes No

Is this project LEED certified? Yes No

Which level of LEED certification did this project achieve?

Did this project include surface parking? Yes No

How many parking spaces did this project include?

Project Description: (Provide a brief description and insert representative photograph)Describe the key features of this project that are comparable to the Nuevo East project:

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DESIGN FIRM’S COMPARABLE PROJECTS

Verify all contacts prior to submittal.Do not leave any spaces blank. Responses such as “N/A” are not acceptable.

If not applicable, state “Not Applicable” and explain why. If none, state “NONE.”

Name of Company:Name of Executive Design Professional:

Project Name:

Project or Contract Number:

Project Location: , , Street Address City & State Zip Code

Owner Information: Contact Person: Owner’s Name Name & Title


Telephone:

Address of Design Firm’s Office that Performed the Work:

, , Street Address City & State Zip Code

Contact Person: Telephone: Name & Title

Name of Principal in Charge/Architect of Record:

Name of Design Manager for project:

Name of Architect’s Project Manager for project:

Contractor: Contact Person: Name & Title


Telephone:

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DESIGN FIRM’S COMPARABLE PROJECTS (CONTINUED)

Contract Time:

Original Start Date: Actual Start Date: Month/Day/Year Month/Day/Year

Original Completion Date: Actual Completion Date:

Explain difference of original and actual dates:Contract Amount:

$ $ $ Base Amount Adjustment Due to Change Orders Final Contract Amount

Project Information:

Did this project include Student Housing? Yes No

How many beds did this project include?

Did this project have at least 500,000 GSF of building construction? Yes No

Was a Design-Build contract delivery used for this project? Yes No

Was this project constructed as a Design-Build project with the Contractor proposed? Yes No

Did this project include underground utilities and offsite improvements? Yes No

Is this project LEED certified? Yes No

Which level of LEED certification did this project achieve?

Did this project include surface parking? Yes No

How many parking spaces did this project include?

Project Description: (Provide a brief description and insert representative photograph)Describe the key features of this project that are comparable to the Nuevo East project:

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SAMPLECOMPARABLE PROJECTS MATRIX

PROJECT PROJECT TYPE(include % of

overall construction

amount)

CONTRACT AMOUNT

CONSTRUCTION COST

DELIVERY METHOD

KEY PERSONNEL PROPOSED

(include role)

COMBINED TEAM

EXPERIENCE

Acme Campus Academic 70%Parking Structure 15%

Retail 15%

$250,000,000 $230,000,000 Design/Build Cassius Clay – PX(PX)

Rocky Balboa(Supt.)(Sr. Supt.)

Apollo Creed(Principal Architect)

Champion Contracting,

Adrienne Architects

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B. SUPPLEMENTAL COMPANY INFORMATION (CONTRACTOR ONLY)

1. Safety Program

a. Does your company have a written Injury and Illness Prevention Program (IIPP) that complies with California Code of Regulations, Title 8 Sections 1509 and 3203? Yes No

b. Does your company have personnel permanently assigned to safety? Yes No

If yes, state the names of all personnel who are assigned and list their specific duties:

Name: Title:

Specific Duties:

Name: Title:

Specific Duties:

2. Quality Control Processes

a. Does your company have a written QA/QC program? Yes No

b. Does your firm have personnel permanently assigned to QA/QC? Yes No

If yes, state the names of all personnel who will be permanently assigned and list their specific duties:

Name: Title:

Specific Duties:

Name: Title:

Specific Duties:

(If more space is needed, provide the information your company’s letterheadwith reference to the project name and number and attach it to this Questionnaire.)

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V. KEY PERSONNEL

A. DESIGN-BUILD TEAM KEY PERSONNEL – The following personnel have been committed to the Project by the Design-Build team. Résumés shall be submitted in addition to this form. Résumés shall NOT be submitted in lieu of this form. If more space is needed, provide the information using the format below and attach it to this Questionnaire.

NAME OF PROPOSEDCONSTRUCTION PROJECT EXECUTIVE :

Construction Project Executive to be committed to this project on a part-time basis and continuously retained throughout this project.Project Experience:

Total years of experience: Years at this position:

Years with this firm:

The Construction Project Executive named above was assigned to the following comparable Projects for which “Comparable Project” data sheets are included in this questionnaire:

Project Name & Location: Contract Amount: $

Role Responsibilities:





The Construction Project Executive named above worked on other similar Projects that are described in the attached résumé:


Owner: Completion Date:








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NAME OF PROPOSEDCONSTRUCTION SENIOR PROJECT MANAGER :

Construction Senior Project Manager to be committed to this project on a full-time basis and continuously retained throughout this project.Project Experience:



The Construction Senior Project Manager named above was assigned to the following comparable Projects for which “Comparable Project” data sheets are included in this questionnaire:







The Construction Senior Project Manager named above worked on other similar Projects that are described in the attached résumé:










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NAME OF PROPOSEDGENERAL SUPERINTENDENT :

General Superintendent to be committed to this project on a full-time basis on site and continuously retained throughout this project.Project Experience:



The General Superintendent named above was assigned to the following comparable Projects for which “Comparable Project” data sheets are included in this questionnaire:







The General Superintendent named above worked on other similar Projects that are described in the attached résumé:










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NAME OF PROPOSEDEXECUTIVE ARCHITECT / PRINCIPAL-IN-CHARGE :

Executive Architect / Principal-in-Charge to be committed to this project on a part-time basis through the Design Phase. This individual shall be continuously available for consultation throughout this project.Project Experience:



The Executive Architect / Principal-in-Charge named above was assigned to the following comparable Projects for which “Comparable Project” data sheets are included in this questionnaire:







The Executive Architect / Principal-in-Charge named above worked on other similar Projects that are described in the attached résumé:










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NAME OF PROPOSEDARCHITECTURAL SENIOR PROJECT MANAGER :

Architectural Senior Project Manager to be committed to this project on a full-time basis through the Design Phase and part-time through the Construction Phase. This individual shall be continuously available for consultation throughout this project.Project Experience:



The Architectural Senior Project Manager named above was assigned to the following comparable Projects for which “Comparable Project” data sheets are included in this questionnaire:







The Architectural Senior Project Manager named above worked on other similar Projects that are described in the attached résumé:










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NAME OF PROPOSEDPROJECT DESIGNER :

Project Designer to be committed to this project on a full-time basis through the Design Phase and part-time through the Construction Phase. This individual shall be continuously available for consultation throughout this project.Project Experience:



The Project Designer named above was assigned to the following comparable Projects for which “Comparable Project” data sheets are included in this questionnaire:







The Project Designer named above worked on other similar Projects that are described in the attached résumé:










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VI. CLAIMS HISTORY

MEDIATION, ARBITRATION, AND LITIGATION HISTORY(all Owners)

Use one Form per Mediation, Arbitration, or Litigation(Make Copies as Needed)

A. Separately list all CURRENT AND/OR PENDING disputes using the form below. pursued via mediation, arbitration, or litigation, initiated within the last fifteen (15) years, in which additional compensation is sought, and/or breach of contract is alleged, and/or indemnity is sought, between your firm (or any principal of your firm) and any Owner (other than

The Regents of the University of California)

Project Name:

Project Location:

Owner/Client Name:

Contact Person: Telephone: Name and Title

Nature of Claim:

Dollar Amount of Initial Claim: $

Current Status:

B. If your company does not have any incidences or occurrences, please note below.

If “None,” indicate “None,” (DO NOT LEAVE BLANK).

C. Separately list all RESOLVED (SETTLED, ARBITRATED, LITIGATED) disputes: pursued via mediation, arbitration, or litigation, resolved within the last fifteen (15) years, in which additional compensation was sought, and/or breach of contract was alleged, and/or indemnity was sought,

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between your firm (or any principal of your firm) and any Owner (other than The Regents of the University of California)

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Project Name:

Project Location:

Owner/Client Name:

Contact Person: Telephone: Name and Title

Nature of Claim:

Dollar Amount of Initial Claim: $

Dollar Amount ofFinal Settlement: $

Year Resolved (if settled):

Final Status:

D. If your company does not have any incidences or occurrences, please note below.

If “None,” indicate “None,” (DO NOT LEAVE BLANK).

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VII. REQUIRED COMPLETED ATTACHMENTS

1. Notarized Statement from Surety stating (reference Section III.B – Financial Capability):a. Evidence of bonding capacity for the amount of $156,000,000;b. Total bonding capacity;c. Surety(ies) proposed to be used on the project is an admitted surety insurer as defined in the

California Code of Civil Procedure Section 995.120;d. Surety(ies) acknowledge its intent to provide bonding of the Project in the event Contractor is

awarded the Project.2. Written declaration from your insurance agent/broker/carrier stating that your firm can obtain

insurance coverage in the required limits and ratings for the project (reference Section III.D – Insurance).

3. Insurance Certificate (reference Section III.D – Insurance).4. Letter from Workers’ Compensation carrier evidencing your EMR for the past five (5) years

(reference Section III.E – Experience Modification Rate).5. Data sheets containing three Contractor’s Comparable Projects per the “Design-Build Team

Experience” criteria and “Project Information” questions.6. Data sheets containing three Design-Firm’s Comparable Projects per the “Design-Build Team

Experience” criteria and “Project Information” questions.7. Comparable Projects Matrix8. Résumés of all proposed Key Personnel (reference Section IV. Key Personnel).

VIII. DECLARATIONDECLARATION

I, hereby declare that I am the Printed Name Title

of submitting this Prequalification Questionnaire; that I Company Name

am duly authorized to execute this Questionnaire on behalf of Contractor; and that all information set forth in this Questionnaire and all attachments hereto are, to the best of my knowledge, current, accurate, and complete as of its submission date.

I declare, under penalty of perjury, that the foregoing is true and correct and that this declaration was executed

at County of Location and City County

State of on .State Date

Signature

Printed Name

If signed by other than the sole proprietor, a general partner, or corporate officer, attach original notarized power of attorney or corporate resolution.

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