request for qualifications … . request for qualifications . construction manager at risk . for ....

7802154v3 .

REQUEST FOR QUALIFICATIONS CONSTRUCTION MANAGER AT RISK

for

LICK RUN VALLEY CONVEYANCE SYSTEM

August 21, 2014

City of Cincinnati RFQ 2014-001 Lick Run Valley Conveyance System

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REQUEST FOR QUALIFICATIONS Lick Run Valley Conveyance System

Table of Contents

Section Page

1 INTRODUCTION......................................................................................................................... 4 1.1 GENERAL ...............................................................................................................4 1.2 GLOSSARY ............................................................................................................4

1.2.1 ABBREVIATIONS .....................................................................................4 1.2.2 DEFINITION OF TERMS ..........................................................................5

2 PROJECT SPECIFIC INFORMATION .................................................................................... 6 2.1 BACKGROUND AND PROJECT NEED ..............................................................6 2.2 THE ENGINEER FOR THE PROJECT .................................................................8 2.3 OVERVIEW OF THE PROJECT ...........................................................................8 2.4 OVERALL RISK POSTURE ..................................................................................9 2.5 SITE, ENVIRONMENTAL REVIEW, AND PERMITTING ................................9 2.6 PROJECT FINANCING ..........................................................................................9

3 PROCUREMENT PROCESS ................................................................................................... 10 3.1 RFQ AND QUALIFICATIONS SUBMITTAL ....................................................10 3.2 COMMUNICATIONS PROCESS ........................................................................10 3.3 PRE-SOQ SUBMISSION CONFERENCE ..........................................................10 3.4 BUDGET ...............................................................................................................11 3.5 PROCUREMENT SCHEDULE ............................................................................11 3.6 EXPENSES OF THE RESPONDENTS ................................................................12 3.7 WORK FOR HIRE ................................................................................................12 3.8 INFORMATION DISCLOSURE TO THIRD PARTIES .....................................12 3.9 RIGHTS OF THE CITY ........................................................................................12 3.10 PROPOSAL SECURITY.......................................................................................13 3.11 PROPOSAL EVALUATION ................................................................................13

4 SUBMITTAL OF QUALIFICATIONS................................................................................... 14 4.1 GENERAL INSTRUCTIONS ...............................................................................14 4.2 EVALUATION AND RANKING OF SUBMISSIONS .......................................15 4.3 INFORMATION REQUIREMENTS OF QUALIFICATIONS

SUBMITTAL .........................................................................................................15 4.3.1 RESPONSIVENESS OF THE STATEMENT OF

QUALIFICATIONS ..................................................................................16 4.3.2 GENERAL CONSTRUCTION MANAGER AT RISK

INFORMATION........................................................................................17


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4.3.3 TECHNICAL QUALIFICATIONS...........................................................18 4.3.4 PROJECT SPECIFIC MANAGEMENT PLAN .......................................23 4.3.5 FINANCIAL RESPONSIBILTY ..............................................................23 4.3.6 SECURITY FOR PERFORMANCE .........................................................24 4.3.7 INCLUSION REQUIREMENTS ..............................................................24 4.3.8 OTHER QUALIFICATIONS ....................................................................24


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REQUEST FOR QUALIFICATIONS Lick Run Valley Conveyance System

Table of Contents (continued)

List of Attachments Attachment A — Forms Attachment B — Reference Documents


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1 INTRODUCTION 1.1 GENERAL

The City of Cincinnati (the “City”) as sole management agency for the operation and maintenance of the Metropolitan Sewer District of Greater Cincinnati on behalf of the County Commissioners of Hamilton County, Ohio ("MSDGC") is soliciting Statements of Qualifications (“SOQs”) from qualified Construction Management firms to provide Construction Manager at Risk (“CMAR”) services for the Lick Run Valley Conveyance System project (the “Project”) in accordance with the requirements described herein. This Request for Qualifications (“RFQ”) invites Respondents to submit SOQs describing in detail their technical, management, and financial qualifications to perform the CMAR services for the Project as described in Section 4.

The issuance of this RFQ is the first step in a two-step Best Value procurement process being conducted pursuant to the Ohio Revised Code and the Ohio Administrative Code. In the second step of the procurement process, a Request for Proposals (“RFP”) will be issued. A response to this RFQ is mandatory for the receipt of an RFP. Based on its evaluation of SOQs, the City's Evaluation Committee will recommend for the City’s approval a short-list of the most qualified, responsive Respondents to receive the RFP. Although the City expects to short-list three Respondents to receive the RFP, the City reserves the right to short-list any number of Respondents in the best interest of the City. The short-list approved by the City will be distributed to each Respondent. Only Short-listed Respondents will be invited to submit a Proposal in response to the RFP. The City will select a CMAR on a Best Value basis, considering both pricing and other criteria as described herein and in the RFP. Contract award is currently planned for November 2014, with Project completion required by December 31, 2018. Project completion time and Project performance goals are of the essence. By utilizing a CMAR approach, the City expects to secure substantial benefits for its ratepayers. These benefits include development of a Project schedule to efficiently and timely construct the Project and reduce risk to the City, compliance with the Project schedule, guaranteed maximum construction cost, a single point of responsibility for construction, and cost savings. The technical components included in this RFQ are for general understanding only, and are not necessarily indicative of RFP requirements.

1.2 GLOSSARY Words and terms that are used herein shall have the meanings as set forth in this glossary unless otherwise defined.

1.2.1 ABBREVIATIONS The following abbreviations are used in this document: MBE Minority Business Enterprise OEPA Ohio Environmental Protection Agency


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RFP Request for Proposals RFQ Request for Qualifications SBE Small Business Enterprise SOQ Statement of Qualifications WBE Women’s Business Enterprise

1.2.2 DEFINITION OF TERMS The following terms are used in this document: Best Value A selection process in which proposals contain both pricing and performance components, and award is based upon a combination of pricing and performance considerations to determine the offer deemed most advantageous and of the greatest value to the public authority. City The City of Cincinnati as sole management agency

for the operation and maintenance of the Metropolitan Sewer District of Greater Cincinnati on behalf of the County Commissioners of Hamilton County, Ohio.

Contract The CMAR contract awarded to the Selected

Proposer to have submitted the proposal which offered the Best Value for the Work.

Construction Manager at Risk (CMAR) The Selected Proposer with which the City enters

into the Contract for the Project. The term Construction Manager at Risk is used to refer to the Selected Proposer after approval by the City and execution of the Contract.

Highest-Ranked Proposer The Proposer that receives the highest ranking under

the RFP evaluation criteria and that is selected by the Evaluation Committee for final negotiations. If negotiations with the Highest-Ranked Proposer are successful, the Highest-Ranked Proposer will become the Selected Proposer.

Project The Lick Run Valley Conveyance System. Proposal The documents submitted by a Proposer in response

to the RFP.


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Proposer A Respondent that is short-listed by the Evaluation Committee and issued an RFP by the City.

Respondent The entity submitting an SOQ for the Project in

response to this RFQ. Selected Proposer The Proposer that receives the highest ranking under

the RFP evaluation criteria and that successfully completes final negotiations with the Evaluation Committee.

Evaluation Committee The City has established an Evaluation Committee

responsible for evaluating the SOQs and recommending the short-list of Respondents and subsequently evaluating Proposals and recommending the Selected Proposer. The Evaluation Committee consists of individuals selected by the City in its sole discretion.

Short-listed Respondents Those Respondents that are deemed to be the most

qualified to perform the Work based on the Evaluation Committee's evaluations of their SOQs submitted in response to this RFQ and that are issued an RFP by the City. Short-listed Respondents are also defined as the Proposers.

Work The services provided by the CMAR on the Project,

which include, but is not limited to, obtaining permits, management, preconstruction services, construction, testing, and startup of the Project.

2 PROJECT SPECIFIC INFORMATION

2.1 BACKGROUND AND PROJECT NEED MSDGC provides wastewater collection and treatment for various municipal and

unincorporated populations of Hamilton County, which has over 800,000 residents, as well as services to portions of Butler, Clermont, and Warren Counties. MSDGC's service area covers more than 400 square miles. Over 200,000 separate sewer connections tie into MSDGC's 3,000+ miles of sanitary and combined sewers.

The Board of County Commissioners of Hamilton County, Ohio (the “Board”) created MSDGC in 1968. MSDGC is operated under a 50-year contractual agreement with the City. The agreement consolidated the City sewerage services (its own and contractual services provided to 20+ other Hamilton County political subdivisions) with those of Hamilton County's Sewer District No. 1. Under the agreement, the City provides exclusive management of the


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sewer district’s services, per the requirements as outlined in Chapter 6117 of the Revised Code of Ohio, while the Board funds its operating and capital budgets, sets rate structures, and determines its rules and regulations.

In 1996, MSDGC completed a Combined Sewer Overflow (“CSO”) Long Term Control

Plan (“LTCP”) to comply with federal and state requirements. Subsequently, MSDGC entered into negotiations with the government aimed at developing a comprehensive agreement addressing key wet weather issues within its service area. The intent was to produce a fully integrated master Wet Weather Improvement Program (“WWIP”) that included an update of the 1996 CSO LTCP, a Capacity Assurance Program Plan (“CAPP”) focused on sanitary sewer overflow (“SSO”) control and sanitary system capacity, and a Sewerage-prevention Backup (“SBU”) Program.

Since 2002, the Board and the City, as co-defendants, have entered into two consent

decrees with the respective U.S. and Ohio Environmental Protection Agency and (in 2004) The Ohio River Valley Water Sanitation Commission for sanitary sewers, combined sewers, and treatment plants. These two agreements, known as the Interim Partial Consent Decree on Sanitary Sewer Overflows, and the Consent Decree on Combined Sewer Overflows, Treatment Plants, and Implementation of a Capacity Assurance Program for Sanitary Sewer Overflows (“Global Decree”), along with their implementation plan, the WWIP (also known as Project Groundwork) provide capital project work to improve the MSDGC sewer system in two phases. Phase 1 is underway. Phase 2 will commence after 2018. The U.S. District Court for the Southern District of Ohio, Western Division, approved the WWIP in August 2010 to address the requirements of the Interim Partial and Global consent decrees.

WWIP document included a list of projects, cost estimates and an implementation

schedule that contains milestone dates that MSDGC is required to meet. Under the Consent Decree to reduce the volume of combined sewer overflow (CSO) that

annually discharges from combined sewers, MSDGC developed a two-phase Wet Weather Improvement Program (WWIP). Phase 1, contains the Lower Mill Creek Partial Remedy (LMCPR), which includes a variety of projects and strategies, must meet the regulatory requirements for annual CSO volume reduction by the end of 2018. As one of MSDGC’s largest basins, CSO 005 is a major focus of Phase 1 of the WWIP.

In developing wet weather control strategies in the Lick Run Watershed (tributary to

CSO 005) MSD proposed, and the Consent Decree now contains, an alternate approach to installing traditional sewers infrastructure that would store, pump, and treat combined sewer flows. This effort focused on sustainable solutions through an integrated wet weather strategy in the Lick Run Basin and consisted of two primary elements: strategic sewer separation and the Lick Run Valley Conveyance System.

The strategic sewer separation element comprises numerous individual Lick Run sewers

separation projects. The Lick Run Valley Conveyance System (VCS) was developed to achieve


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anticipated hydraulic performance requirements while taking into account existing physical constraints within the conveyance corridor. The VCS consists of a closed stormwater conduit and open channel conveyance system with a forebay and an online pond. The VCS will receive the stormwater runoff captured and conveyed from the strategic sewer separation areas, as well as overland flow that is expected to occur during large storm events, and will ultimately discharge these flows to Mill Creek.

Details for the Project are located in the May 2012 Lick Run Watershed Master Plan,

August 2013 Lick Run Watershed Master Plan Supplement, and a 60% Design Corridor Map of the Lick Run Valley Conveyance System. These documents are provided in Attachment B.

2.2 THE ENGINEER FOR THE PROJECT The engineer for the Project is:

Strand Associates, Inc. 615 Elsinore Place, Suite 320 Cincinnati, OH 45202 513-861-5600 513-861-5601

2.3 OVERVIEW OF THE PROJECT The major design elements associated with the VCS Project consist of: a flood channel; urban waterway and box conduit; forebay; utility relocations; vehicular bridges at Harrison Avenue, Grand Avenue, Kebler Street, Van Hart Street, and Quebec Road; one pedestrian bridge; retaining walls; street level lighting and pedestrian scale lighting; traffic signals at nine intersections; roadway restoration/re-alignment/reconstruction; and restored urban public space elements. The current design consists of approximately 5,600 LF of urban waterway and 8,000 LF of box conduit located within a narrow mile and half long stretch of urban corridor between Queen City and Westwood Avenue from the Mill Creek to the Queen City Bypass. The urban waterway will include an aboveground engineered channel that will mimic a natural channel and will be interspersed with water quality features such as rain gardens and a retention pond. The VCS Project has a tight construction timeline with minimal flexibility on the completion date in order to remain in compliance with the finished construction Consent Decree Milestone. A very detailed construction sequencing effort has been conducted by the VCS design team, determining an approach to construct the Project in a fashion that provides the least disruption to the community, maintains traffic in an acceptable industry standard through a highly traveled corridor, minimizes Project costs, and maintains the substantial completion date dictated by the Consent Decree of December 31, 2018.

CMAR services will begin immediately upon selection. The CMAR will be expected to participate in the remaining design phases by providing staff to perform estimating, scheduling,


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value engineering and review of documents for constructability. CMAR services will extend through the construction and post-construction phases and shall include construction trades work, pre-qualification of subcontractors, preparation of the bid documents, bidding or pricing for the Work using an open book pricing method, evaluation of bids, coordination and review of subcontractor's work, administration and management of the Project during construction, and close-out of the Project. Prior to beginning any construction Work, a guaranteed maximum price, as defined in Ohio Revised Code Section 9.334, will be negotiated with the selected CMAR. All such services shall be provided according to a contract with the City.

Through all stages of the Work, the CMAR must strictly manage the schedules for Project delivery to avoid delays to the Project. The City reserves the right to add to or delete items from the scope of Work for the Project as planning proceeds, as the program is defined and as it is determined what services the CMAR will provide.

2.4 OVERALL RISK POSTURE The Selected Proposer will enter into a Contract with the City for the CMAR services for the Lick Run Valley Conveyance System Project. A draft of the Contract will be issued at the time the City issues the RFP.

2.5 SITE, ENVIRONMENTAL REVIEW, AND PERMITTING The City will have the primary responsibility for obtaining the majority of the following

permits on the Project. The RFP will describe the extent to which the CMAR may provide assistance in obtaining these permits and the status of any permitting activities to be implemented by the CMAR. • Ohio EPA Permits: Permit to Install (PTI), General Construction Permits (NOI), and

Environmental Remediation Permits • Local Permits: Building, Street Opening, Retaining Wall and Earthwork Permits • Army Corps of Engineers Permits: Nationwide and Section 10 Permits • Railroad Permitting: CSX Right-of-Entry and Construction Permits

2.6 PROJECT FINANCING The City plans to obtain financing for this Project. Additional information regarding the

Project financing will be provided in the RFP..


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3 PROCUREMENT PROCESS 3.1 RFQ AND QUALIFICATIONS SUBMITTAL

In order to be eligible to submit a response to the forthcoming RFP, a response must be received to this RFQ and the Respondent must be short-listed by the Evaluation Committee. Only those firms that are short-listed under the RFQ process will be invited to submit a Proposal in response to the RFP. Submission of a response to this RFQ will be presumed to signify a firm's willingness to participate in the RFP and Proposal process. Respondents to this RFQ must respond in accordance with Section 4 of this RFQ. During the evaluation of SOQs, the City may seek additional clarification and information from Respondents. The City reserves the right to request such clarification and information from Respondents.

3.2 COMMUNICATIONS PROCESS The City is committed to a fair, open process for interested parties to receive information about the Project and the competitive solicitation process that the City is proposing to utilize for selection of a CMAR and award of a Contract. Therefore, interested parties are required to submit all requests and questions in writing by email to:

[email protected]

Responses to requests for information will be provided to all recipients of the RFQ who register for the Project in accordance with this RFQ, including Paragraph 4.1. Any and all interpretations and supplemental instructions will be made in the form of written addenda that will be sent to all recipients of the RFQ, and will become part of the RFQ.

3.3 PRE-SOQ SUBMISSION CONFERENCE The City will hold a pre-SOQ Submission Conference at 9:30 AM on September 10, 2014. Attendance at the conference is not mandatory, but may be considered in ranking. Any hard-copy materials distributed at the conference or site tour will be provided to RFQ recipients, who register for the Project in accordance with this RFQ, upon written request to the City.

The conference/WebEx meeting will be held at:

Metropolitan Sewer District of Greater Cincinnati Mill Creek WWTP Campus – Administration and Conference Center 1081 Woodrow St. Cincinnati, OH 45204

Written questions related to this RFQ are encouraged and can be submitted in advance, in writing, for clarification during the conference. Submit questions in accordance with Section 3.2.


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Questions may also be submitted in writing at the conference. These may be answered at the conference; however, the answers will be provided in writing following the conference. Respondents must only consider written answers to questions during the selection process. Verbal responses to questions, at any time, are not official and cannot be relied upon. In order to facilitate the City's preparation of responses to questions, questions must be received no later than September 11, 2014 at 1:30 PM, Cincinnati, Ohio time. As it deems necessary, the City will respond to questions through either an addendum to the RFQ or in a separate letter. Any addenda or separate letter will be issued to all RFQ recipients.

3.4 BUDGET The City has established a budget of $107 million for the Work.

3.5 PROCUREMENT SCHEDULE A summary of the estimated schedule of the major activities associated with the CMAR solicitation process is presented below, through receipt and evaluation of Proposals.

Date Activity

August 21, 2014 Issue RFQ

September 10, 2014 Non-mandatory Pre-SOQ Submission Meeting

September 19, 2014 SOQ Submission Date

September 26, 2014 Designation of Short-listed Respondents to the RFQ

September 26, 2014 Issuance of RFP

TBD Pre-Proposal Submission Meetings

October 10, 2014 Proposal Submission Date

TBD Proposers Interviews

October 17, 2014 Selection of Highest-Ranked Proposer

November 3, 2014 Award Contract

TBD Notice-to-Proceed

Any and all of the above activities and dates are subject to modification by the City.


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3.6 EXPENSES OF THE RESPONDENTS The City shall have no liability for the costs and expenses incurred by the Respondents in responding to this RFQ, the forthcoming RFP, responses to clarification requests and resubmittals, potential interviews, and subsequent negotiations. Each Respondent that enters into the procurement process shall prepare the required materials and submittals, and attend meetings and interviews at its own expense and with the express understanding that they cannot make any claim whatsoever for reimbursement from the City for the costs and expenses associated with the process.

3.7 WORK FOR HIRE The Proposals submitted pursuant to the RFP, including the data, information, concepts and ideas contained therein, shall be "works made for hire" and the City shall have the right to use and license the Proposals for the purposes of the City, in any manner or combination it so elects, without notice to or the consent of the Proposer(s). Notwithstanding the foregoing, the City agrees that any use of such Proposal(s) without the Proposer's verification or adaptation for the specific purpose intended shall be at the sole risk of the City. Except as otherwise provided in this RFQ, or subsequent RFP, the Proposer may establish claim to copyright any data first produced in the preparation of the Proposal. When such claim to a copyright is made, the Proposer shall affix the applicable copyright notice to the data when the data are delivered to the City. For data other than computer software, the Proposer grants to the City, and others acting on its behalf, at no cost, a nonexclusive, irrevocable license to use such data solely for the purposes of the City. For computer software, the Proposer grants, at no cost, a nonexclusive, irrevocable license for all such computer software to the City, and others acting on its behalf, to use, reproduce, and prepare derivative works, by or on behalf of the City.

3.8 INFORMATION DISCLOSURE TO THIRD PARTIES All SOQs and subsequent Proposals received in response to the procurement documents will become the property of the City and will not be returned. Respondents recognize and agree that the City will not be responsible or liable in any way for any losses that the Respondent may suffer from the disclosure of information or materials to third parties. All information submitted to the City will become public records after the City announces the name of the firm determined to be the best value through the selection process.

3.9 RIGHTS OF THE CITY The issuance of this RFQ constitutes only an invitation to present qualifications. The rights reserved by the City, which shall be exercised in the City’s sole and absolute discretion, include, without limitation, the right to:

1. Require additional information from one or more Respondents to supplement or clarify the SOQs submitted.


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2. Conduct investigations with respect to the qualifications and experience of each Respondent.

3. Visit and examine any of the facilities referenced in the SOQs and to observe and inspect the operations at such facilities.

4. Waive any defect in any SOQ received or any technicality in the RFQ process.

5. Determine which Respondents are qualified to be short-listed to receive the RFP and submit Proposals in response to the RFP.

6. Eliminate any Respondent that submits an incomplete or inadequate SOQ or is not responsive to the requirements of this RFQ.

7. Supplement, amend, or otherwise modify this RFQ, prior to or after the date of submission of the SOQs.

8. Issue amendments as necessary to this RFQ, including amendments which extend the due date for the SOQs.

9. Receive questions concerning this RFQ from Respondents and to provide such questions, and the City's responses, to all Respondents who have registered for the Project by providing the City with a current name, address, telephone number, e-mail address and fax number, and who have obtained an official copy of this RFQ from the City.

10. Cancel this RFQ in whole or in part, with or without substitution of another RFQ, if determined to be in the best interest of the City.

11. Take any action affecting the RFQ process, the RFP process, or the Project that would be in the best interests of the City.

12. Make public any and all documents associated with the Project, including documents submitted to the City by Respondents in response to the RFQ and RFP.

3.10 PROPOSAL SECURITY

In the RFP, each Proposer will be required to provide Proposal security in the form of either a Proposal bond issued by a Surety company or corporation licensed in the State of Ohio, a certified check, cashier's check, or letter of credit for $50,000. The Proposal security shall be conditioned to provide that if a Proposal is accepted, the Proposer will enter into a proper contract in accordance with the RFP. If for any reason the Proposer fails to enter into the contract and the City awards the contract to another Proposer, the Proposer is liable to the City for the difference between the Proposer’s Proposal and that of the next Proposer, or for a sum not to exceed $50,000, whichever is less. Except as provided herein, the City will return the Proposal security to each Proposer after the CMAR Contract is executed.

3.11 PROPOSAL EVALUATION Proposals received in response to the RFP will be evaluated using pricing and performance criteria that will be detailed in the RFP. The pricing criteria will likely include, but may not be limited to:

• preconstruction fee;


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• construction fee;

• at-risk fee;

• general conditions; and

• contingency.

The performance and pricing criteria may include, but not be limited to:

• schedule;

• approach to the Work, including any anticipated self-performed Work;

• Work sequencing;

• performance history;

• approaches to performance specifications when used;

• plan for anticipated procurement difficulties;

• plan for meeting any goals set as part of any diversity and inclusion program required by the public authority or by applicable law; and

• plan for additional considerations which may include technical design, technical approach, quality of proposed personnel and management plan.

Proposals will be used as the basis to conduct evaluations. The Evaluation Committee will hold interviews with Proposers and, at its sole discretion, may direct written questions to Proposers, seek written clarifications, perform due diligence investigations, conduct discussions on Proposals, and solicit updated Proposals during the evaluation and selection process. The Evaluation Committee will conduct negotiations with the Highest-Ranked Proposer. At the conclusion of successful negotiations, the Evaluation Committee will recommend the Selected Proposer to the City for award of the Contract. The City reserves the right to terminate any or all negotiations and receive additional Proposals from other interested firms or terminate the CMAR selection process and use a different Project delivery method. The City may also decide to allow the CMAR to provide the management services that a construction manager is authorized under Ohio law to provide.

4 SUBMITTAL OF QUALIFICATIONS 4.1 GENERAL INSTRUCTIONS

SOQs must be submitted on or before 4:00 PM, Cincinnati, Ohio time, September 19, 2014. SOQs received after this deadline will not be considered.


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The SOQs must be addressed and submitted to:

Metropolitan Sewer District of Greater Cincinnati Procurement Services c/o Sewers Procurement Supervisor 1035 Woodrow St. Cincinnati, OH 45204 Re: Statement of Qualifications – Lick Run Valley Conveyance System

Write on the outside of the sealed envelope or box: "Statement of Qualifications for Construction Manager at Risk Services for City of Cincinnati Lick Run Valley Conveyance System Project." Ten (10) copies of the SOQ are required. SOQs will not be opened publicly. Interested Respondents MUST register for the Project by providing the City with a current name, address, telephone number, e-mail address and fax number. Interested Respondents must keep this information current. Interested Respondents shall register an e-mail address and frequently monitor the MSDGC website (www.MSDGC.org) for project updates and addenda. Project addenda or other written communications shall only be sent via e-mail to interested Respondents recorded in the registry for the Project. The City shall not be responsible or liable for Project addenda or other written communications that are not received by Interested Respondents due to incorrect or outdated contact information. Only those persons or firms who have obtained an official copy of this RFQ from the City will receive any official addenda to this RFQ. Receipt of all addenda shall be acknowledged by Respondents in a Transmittal Letter with the SOQ.

4.2 EVALUATION AND RANKING OF SUBMISSIONS For the purposes of developing the short-list, the City will evaluate and score each SOQ

using the criteria provided in response to Paragraph 4.3 herein. The Evaluation Committee, at its sole discretion, shall have the right to seek clarifications from each of the Respondents in order to fully understand the nature of the submissions and evaluate and rank the Respondents. The evaluation of the technical and financial qualifications will be based on the submissions received as required by Section 4 of this RFQ, correspondence with the Project team and references, and an analysis of any other publicly available information.

4.3 INFORMATION REQUIREMENTS OF QUALIFICATIONS SUBMITTAL Each Respondent must submit a SOQ that is separated into the following sections. The following Paragraphs of this RFQ contain a detailed explanation of the information that should be provided in each Section of the SOQ.


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1) Responsiveness to the Request for Qualifications 2) General Construction Manager at Risk Information 3) Technical Qualifications, including the following Subsections

a) Competence of the Respondent to perform the required management services

b) Ability of the Respondent in terms of workload and availability of qualified personnel, equipment, and facilities to perform the required management services

c) Past performance with respect to such factors as control of costs, quality of work, dispute resolution, administration of subcontractors and meeting deadlines

4) Project specific management plan 5) Financial Responsibility 6) Security for Performance 7) Inclusion Requirements 8) Other Qualifications

The format of the SOQ must be as outlined above. Narrative pages are to be 8-1/2 inches by 11 inches. All information provided shall be bound into a single volume. A clear and concise presentation of information is encouraged with a maximum page limit of 50 single-sided pages (or 25 double-sided pages), not including resumes of key staff, standard brochures, and financial information and supporting data. Audiovisual materials will not be accepted. Sales brochures are not desired unless directly related to the response and referenced in the text.

4.3.1 RESPONSIVENESS OF THE STATEMENT OF QUALIFICATIONS Each SOQ must include one fully executed and notarized Transmittal Letter in the form provided in SOQ Submittal Form 1 without exception. The Transmittal Letter should be typed on Respondent’s letterhead. By submitting an SOQ and executing the Transmittal Letter, the Respondent agrees to submit a Proposal if short-listed by the Evaluation Committee. The Transmittal Letter must be signed by a representative of the Respondent who is empowered to sign such material and to commit the Respondent to the obligations contained in the SOQ (the "Designated Signatory"). The Certificate of Authorization (Attachment 1 to the Transmittal Letter) attesting to such authorization must also be submitted with the Transmittal Letter. If the Respondent is a partnership, the SOQ shall be signed by one or more of the general partners. If the Respondent is a corporation, an authorized officer shall sign his or her name and indicate his or her title beneath the full corporate name. If the Respondent is a joint venture, each firm in the joint venture shall sign the Transmittal Letter. Anyone signing the SOQ as agent must file with it legal evidence of his or her authority to execute such SOQ. All forms which require the signature of the Respondent shall be signed by the Designated Signatory. Each Respondent shall provide as Attachment 2 to its Transmittal Letter a copy of appropriate Ohio licenses and certificates of registration required for the Work.


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Each SOQ shall include all other documents requested in this RFQ, including SOQ Forms 2, 3 and 4. Each Respondent’s SOQ shall also comply with all requirements of this Request for Qualifications, including the General Instructions in Article 4.1 of this RFQ.

4.3.2 GENERAL CONSTRUCTION MANAGER AT RISK INFORMATION The SOQ shall include a description of the Respondent, i.e., the form of business structure (corporation, partnership, joint venture, consortia, etc.), that is responding and will serve as the contracting party.. If the Respondent is a partnership, joint venture, or consortium, all members of the Respondent shall be listed. The Respondent shall also identify any other entity, including without limitation, any corporation, partnership, firm, joint venture, consortium or individual to which the Respondent plans to assign material responsibilities under the Contract. The history, ownership, organization, and background of the Respondent shall be provided. If the Respondent is a partnership, a joint venture or a consortium, the required information shall be submitted for each member, thereof. The following information shall be provided for Respondent and any member of the joint venture, partnership or consortium that makes up the Respondent:

• Name and business address of each member, partner, officer, and stockholder (where applicable) who holds an ownership stake of five percent or more in Respondent or any entity that makes up the Respondent.

• If the Respondent is a subsidiary of a parent company, state when the subsidiary was formed and its place in the corporate structure of the parent company. If a subsidiary is newly created for the purposes of responding to the RFQ, the reasons for this action must be fully disclosed.

All business entities submitting an SOQ must be legally formed at the time the SOQ is submitted for the Project. SOQs submitted by business entities that will be formed after submission of the SOQ will be considered non-responsive.

Respondents must recognize that its key assigned employees included in the SOQ will be one of the major bases for short-listing Respondents. Therefore, changes to the Respondent's proposed team and key employees will not be allowed in the Proposal stage except for extenuating circumstances (such as corporate takeovers, buyouts, and other unforeseen changes), or to enhance Proposal teams. Short-listed Respondents may enhance their teams prior to submission of Proposals by adding additional personnel and subcontractor members.


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4.3.3 TECHNICAL QUALIFICATIONS Respondents shall demonstrate their ability to perform the Work by providing the technical qualifications of the Respondent and individual team members. The Evaluation Committee will give most consideration to experience related to the construction and management of roadway, bridge, stormwater, sustainable, and green infrastructure or any other similar project. Respondents shall provide qualifications and evidence of experience for projects of similar size and complexity to the Project. The Evaluation Committee reserves the right to conduct an independent investigation of the Respondent's technical qualifications by contacting Project references, accessing public information, and contacting other third parties. Additional information may be requested during the evaluation of technical qualifications.

In response to the RFQ, the Respondent shall provide the following information to demonstrate their technical qualifications.

4.3.3.a Competence of the Respondent to perform the required management services

Under this section, the City will evaluate the Respondent’s competence to perform the required management services as indicated by the technical training, education, and experience of the Respondent’s personnel, especially the technical training, education, and experience of the employees who would be assigned to perform the services. In the SOQ, the Respondent shall provide the following:

1. Construction Manager and General Contracting Experience — Describe the experience of the Respondent and the experience of the Respondent’s employees who would be assigned to the Project in acting as a construction manager and general contractor. Describe in greater detail the experience with projects most similar to the City’s Project.

2. Preconstruction Services Experience — Describe the experience of the

Respondent and the experience of the Respondent’s employees who would be assigned to the Project in performing preconstruction services, including but not limited to, working with designers and engineers, preparing estimates, value engineering, scheduling and review of construction documents for constructability. If the Respondent intends to use any third party entities to assist with the preconstruction services on the Project, the Respondent must also describe the experience of the third party entity in this section.

3. Permitting Experience — Describe the experience of the Respondent and the

experience of the Respondent’s employees who may be assigned to the Project in obtaining permits from the State of Ohio and from any other public entity. Respondents shall also describe their experience in obtaining the following permits:


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a. Ohio EPA Permits: Permit to Install (PTI), General Construction Permits (NOI), and Environmental Remediation Permits;

b. Local Permits: Building, Street Opening, Retaining Wall and Earthwork Permits;

c. Army Corps of Engineers Permits: Nationwide and Section 10 Permits; and,

d. Railroad Permitting: CSX Right-of-Entry and Construction Permits.

If experience obtaining these permits is not local (i.e., not issued by the same agency as would issue the permit for the Project), Respondents shall describe in detail how they would approach obtaining and complying with these permits.

4. Traffic Control — Describe the experience of the Respondent and the experience

of the Respondent’s employees who would be assigned to the Project for management of traffic at the site.

5. Claim History — The Respondent shall disclose (1) all claims that have been

made against it on construction projects in the past five years and the reason for each, including but not limited to claims for liquidated damages, and (2) all claims made by the Respondent on construction projects in the past five years and the reason for each. As used in this paragraph, the phrase “claims” should not be construed to be limited to formal litigation. The phrase “claims” should be construed to include any demand by Respondent for additional compensation under a construction project and any request by an owner of a construction project that Respondent replace or repair work installed on a construction project. The Respondent shall provide the names of the Respondent’s employee who was responsible for monitoring and resolving any claims and the names of the owner of the project which had a claim arise.

6. Owner Coordination — Describe the experience of the Respondent and the

experience of the Respondent’s employees who would be assigned to the Project in working with and coordinating with an owner during construction. Respondent should describe how meetings with owners and subcontractors are facilitated during a construction project. The Respondent shall provide the names of owners who have worked with the Respondent’s employee who would be assigned to the Project.

7. Cost Estimating – Describe the experience of the Respondent and the experience

of the Respondent’s employees who would be assigned to the Project in performing cost estimating, including estimating on projects of this size, type and complexity and experience developing workaround plans or strategies to adapt to budget variances. The Respondent shall provide the names of owners who have worked with the Respondent’s employees who would be assigned to the Project.


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8. Scheduling – Describe the experience of the Respondent and the experience of the Respondent’s employees who would be assigned to the Project for scheduling before and during construction. The Respondent shall provide the names of owners who have worked with the Respondent’s employees who would be assigned to the Project.

9. Bridge Construction – Describe the experience of the Respondent and the

experience of the Respondent’s employees who would be assigned to the Project for constructing the bridges. The Respondent shall provide the names of owners who have worked with the Respondent’s employees who would be assigned to the Project.

10. Sewer Construction – Describe the experience of the Respondent and the

experience of the Respondent’s employees who would be assigned to the Project for constructing the stormwater and combined sewers. The Respondent shall provide the names of owners who have worked with the Respondent’s employees who would be assigned to the Project.

11. Green and Sustainable Infrastructure Construction – Describe the experience

of the Respondent and the experience of the Respondent’s employees who would be assigned to the Project for constructing the green and sustainable infrastructure. The Respondent shall provide the names of owners who have worked with the Respondent’s employees who would be assigned to the Project.

12. Environmental Site Remediation – Describe the experience of the Respondent

and the experience of the Respondent’s employees who would be assigned to the Project for permitting, testing, handling, and disposal of contaminated materials. The Respondent shall provide the names of owners who have worked with the Respondent’s employees who would be assigned to the Project.

13. Cultural Resource Mitigation and Recovery – Describe the experience of the

Respondent and the experience of the Respondent’s employees who would be assigned to the Project for excavation, evaluation, handling, and recovery of unknown cultural resource discoveries during construction. The Respondent shall provide the names of owners who have worked with the Respondent’s employees who would be assigned to the Project.

4.3.3.b Ability of the Respondent in terms of workload and availability of qualified personnel, equipment, and facilities to perform the required management services

Under this section, the City will evaluate the Respondent’s ability in terms of workload and availability of qualified personnel, equipment, and facilities to perform the required management services competently and expeditiously, and experience working on similar types of projects. In the SOQ, the Respondent shall provide the following:


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1. Key Project Staff — Describe the qualifications of all key staff that Respondent

will assign to the Project. This submission shall include the key staff of the contracting firm, its parent (if applicable), and partner firms. Information shall include length of time practicing in the profession, familiarity with construction of roadway, bridge, stormwater, sustainable, and green infrastructure and proposed project leadership roles. Full resumes of key personnel should be provided and shall include the information requested on SOQ Submittal Form 2.

a. Identify the project principal/officer in charge; project manager; discipline/key

task leads; and other key staff and sub-respondents to be utilized in completing the Project.

b. Demonstrate the proposed project manager’s individual experience within the

past 15 years managing similar projects.

c. Identify the experience of other key personnel including the project engineer, construction manager, field superintendents, safety manager and other key staff Respondent intends to commit to the Project in order to meet contract requirements.

d. Provide a listing of other key individuals proposed by Respondent on the

project team that would support the completion of this Project. Summarize each team member's area of responsibility, expertise, directly related experience and qualifications for this Work.

e. Document the ability of the key personnel to satisfy clients with challenges and

key issues similar to the City’s Project with letters of reference from satisfied clients similar to the City.

f. List current assignments and provide percentage (%) of time available of all

key staff to be committed to the Project.

• Note geographic distribution of key staff and the suitability of this distribution for projects of this size and complexity; and

• Document length of time practicing in profession.

2. Equipment and Facilities — Describe, in detail, the equipment and facilities that the Respondent intends to devote to the Project to complete the CMAR responsibilities, including the preconstruction services.


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4.3.3.c Past performance with respect to such factors as control of costs, quality of work, dispute resolution, administration of subcontractors and meeting deadlines

Under this section, the City will evaluate the Respondent’s past performance as reflected by the evaluation of previous clients with respect to such factors as control of costs, quality of work, dispute resolution, administration of subcontractors, and meeting deadlines. In the SOQ, the Respondent shall provide the following:

1. Relevant Project Experience — Describe up to five directly relevant projects

completed within the past five years that the Respondent has been involved with as a construction manager or general contractor. A brief description of these selected projects shall be provided, including the history of operation, current status, and a description of the Respondent's specific involvement in these projects. The Respondent shall provide information in a table formatted similar to that shown on SOQ Submittal Form 3.

2. Control of Costs — Describe the procedures used by the Respondent to monitor and control costs on projects. The Respondent shall provide the name of every owner that these same procedures were used for over the past five years. If the Respondent’s costs have exceeded the Respondent’s budgeted costs by more than four percent on any project completed within the past five years, provide a description of why the project costs exceeded the budgeted project costs and the name of the project’s owner.

3. Quality of Work — Describe the procedures used by the Respondent to monitor the quality of the work being installed on a project. The Respondent shall provide the name of every owner that these same procedures were used for over the past five years.

4. Dispute Resolution — Describe the procedures used by the Respondent to resolve claims and dispute on a project. The Respondent shall provide the name of every owner that these same procedures were used for over the past five years.

5. Administration of Subcontractors — Describe the procedures used by the Respondent to administer subcontracts. The Respondent shall provide the name of every owner that these same procedures were used for over the past five years.

6. Meeting Deadlines — Describe the procedures used by the Respondent in meeting deadlines on a construction project. Provide the name of the employee of the Respondent who will be responsible for and able to address issues related to the timeliness of the completion of the tasks required in the CMAR Contract. The Respondent shall provide the name of every owner who has worked with the employee named by the Respondent over the past five years.


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4.3.4 PROJECT SPECIFIC MANAGEMENT PLAN The Respondent shall provide an organization chart for the Project that is well developed

and appropriate to undertake the Project scope. Reporting relationships shall be clearly shown in the organization chart. The organization chart shall identify which employees of the Respondent will be responsible for the above referenced tasks and how they will be performed.

4.3.5 FINANCIAL RESPONSIBILTY The Respondent shall furnish the financial information requested below. If the SOQ is being submitted by a consortium, a joint venture, or a partnership, the SOQ shall identify the parties and relationships. Each member of such consortium, joint venture, or partnership shall provide full disclosure information regarding their financial strength as specified in this section for individual Respondents. Any financial information submitted will be subject to potential public review. Financial Statements and Data

1. Annual audited financial reports for the Respondent (the most recent year), prepared in accordance with Generally Accepted Accounting Principles (“GAAP”), and all relevant notes.

2. The most recent Form 10-K and Form 10-0 filed with the Securities and

Exchange Commission (the “SEC”) by the Respondent; or, if one or more of the parties are not regulated by the SEC, then the most recent quarterly financial report for each such party. This quarterly financial report may be prepared internally, but must be approved and signed by an officer of the company.

3. Completed copies of the "Financial Resources Data" forms (SOQ Submittal

Form 4) by the Respondent. Other Financial Information The Respondent shall provide responses to each of the following requests for information concerning the Respondent (except where otherwise noted):

1. Describe any material historical, existing or anticipated changes in financial position of the Respondent, including any material changes in the mode of conducting business, mergers, acquisitions, takeovers, joint ventures, and/or divestitures.

2. Has the Respondent ever filed for bankruptcy? If so, when, and describe the

impact it would have on the ability to honor contractual commitments?


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3. List and briefly describe any threatened, pending or past legal proceeding and judgment, or any contingent liabilities, in which the Respondent, or any parents, affiliates and subsidiaries of the Respondent was or is a party that would adversely affect the Respondent's financial position or ability to honor its contractual commitments to the City.

4. Has the Respondent failed to complete any contract, or has any contract been

terminated due to alleged poor performance or default, or has the Respondent been found to be in violation of any provision of international, federal, state, or local regulations? If so, provide explanation.

5. Has the Respondent been convicted of any criminal conduct or been found in

violation of any federal, state, or local statute, regulation, or court order concerning antitrust, public contracting, employment discrimination, or prevailing wages? If so, describe the circumstances.

6. Has the Respondent been barred from bidding on public contracts by the

federal government or by any governmental entity in Ohio or any other state? If so, describe the circumstances. Is the decision under review or was it upheld by formal legal and/or grievance process?

4.3.6 SECURITY FOR PERFORMANCE

In response to the RFQ, each Respondent shall submit a letter from its surety’s agent expressing its intent to issue the required bonds if the Respondent is selected on the Project. The Selected Proposer, at its own expense, will be required to provide and maintain performance and payment bonds in the forms provided under the Ohio Revised Code. The bonding company shall have an A.M. Best rating of “A” or above. Additionally, based on its review of the SOQs, the City reserves the right to require the provision of a letter of credit within the Contract if the City determines that additional security is required. Such requirements will be defined in the RFP.

4.3.7 INCLUSION REQUIREMENTS The Respondent shall describe its existing hiring and employment policies and programs

regarding equal employment opportunity and affirmative action. The Respondent shall also describe any experience it has during the previous five years complying with MBE, WBE, SBE, and similar requirements on other projects. In describing such experience, include the specific contract requirements and the Respondent's performance relative to the requirements.

4.3.8 OTHER QUALIFICATIONS Under this section, the City will evaluate other qualifications that are consistent with the scope and needs of the Project including, but not limited to, knowledge of the local area and working relationships with local subcontractors and suppliers. In the SOQ, the Respondent should submit any additional information related to its qualifications not provided above which


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are consistent with the scope and needs of the Project, including Respondent’s knowledge of the local area and working relationship with local subcontractors and suppliers.


7802154v3 A-1

ATTACHMENT A Forms


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SOQ Submittal Form 1

CITY OF CINCINNATI

Lick Run Valley Conveyance System Project

TRANSMITTAL LETTER

(To be typed on Respondent's Letterhead)

[Date] Metropolitan Sewer District of Greater Cincinnati’s Millcreek Campus 1035 Woodrow St. Cincinnati, OH 45204 Re: Statement of Qualifications for Lick Run Valley Conveyance System Project _____________________ (the "Respondent") hereby submits its Statement of Qualifications (“SOQ”) in response to the Request for Qualifications (“RFQ”) for the Lick Run Valley Conveyance System Project issued by the City of Cincinnati as agent for the County Commissioners of Hamilton County, Ohio for the operation of the Metropolitan Sewer District of Greater Cincinnati (the "City"). As a duly authorized representative of the Respondent, I hereby certify, represent and warrant as follows in connection with the SOQ: 1. The Respondent acknowledges receipt of the RFQ and the following addenda: No. Date 2. The submittal of the SOQ has been duly authorized by, and in all respects is binding upon, the Respondent. The Certificate of Authorization submitted as Attachment 1 to this Transmittal Letter evidences my authority to submit the SOQ and bind the Respondent.


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3. The Respondent has completely reviewed and understands and agrees to be bound by the requirements of the RFQ. 4. The Respondent has read the rights of the City in Section 3.9 of the RFQ. 5. The firms that will be members of the Respondent's Project team, include as follows (describe role for each member): 7. Attachment 2 to this Transmittal Letter provides copies of any construction licenses and certificates of registration. 8. The Respondent has submitted certain information required by the RFQ by completing SOQ Submittal Forms 2 through 4, when applicable. To the best knowledge of the Respondent all such information is correct and complete. 9. All information and statements contained in the SOQ are current, correct and complete, and are made with full knowledge that the City will rely on such information and statements in short-listing the Respondents. 10. The SOQ has been prepared and is submitted without collusion, fraud or any other action taken in restraint of free and open competition for the services contemplated by the RFQ. 11. The Respondent will comply with any applicable state and federal equal opportunity and affirmative action requirements associated with the funding of this Project. 12. The Respondent is not currently suspended or debarred from doing business with any governmental entity. 13. No person or selling agency has been employed or retained to solicit the award of the Contract under an arrangement for a commission, percentage, brokerage or contingency fee or on any other success fee basis, except bona fide employees of the Respondent.


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14. The Respondent's contact person who will serve as the interface between the City and the Respondent is:

Name: Title: Address: Phone: Fax: Email:

Name of Respondent Name of Designated Signatory Signature Title


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(Notary Public) State of ______________ County of____________ On this ___________ day of ________________, 2014, before me appeared _____________________ personally known to me to be the person described in and who executed this ____________________ and acknowledged that (she/he) signed the same freely and voluntarily for the uses and purposes therein described. In witness thereof, I have hereunto set my hand and affixed my official seal the day and year last written above. Notary Public in and for the state of __________ (SEAL) (Name printed) Residing at My commission expires


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Attachment 1

CERTIFICATE OF AUTHORIZATION*

I, ______________________, a resident of _______________________ in the State of _________________ DO HEREBY CERTIFY that I am the Clerk/Secretary of ________________________________ a corporation duly organized and existing under and by virtue of the laws of the State of ________________________; that I have custody of the records of the corporation; and that as of the date of this certification, _____________________ holds the title of _____________________ of the corporation, and is authorized to execute and deliver in the name and on behalf of the corporation the Statement of Qualifications submitted by the corporation in response to the Request for Qualifications for the Lick Run Valley Conveyance System Project issued by the City of Cincinnati as agent for the County Commissioners of Hamilton County, Ohio for the operation of the Metropolitan Sewer District of Greater Cincinnati (the "City") on August __, 2014; and all documents, letters, certificates and other instruments which have been executed by such officer on behalf of the corporation in connection therewith. IN WITNESS WHEREOF, I have hereunto set my hand and affixed the corporate seal of the corporation this _____________________ day of __________ 2014. (Affix Seal Here) Clerk/Secretary * Note: Separate certifications shall be submitted if more than one corporate officer has executed documents as part of the Statement of Qualifications. Modify this certificate for use by other than a corporation or corporations.


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Attachment 2

LICENSES AND CERTIFICATES Provide copies of the appropriate Ohio licenses and certificates of registration, required for the Work.


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SOQ SUBMITTAL FORM 2

LICK RUN VALLEY CONVEYANCE SYSTEM

KEY PROJECT STAFF

(Provide the information requested on this form for key project staff members; attach additional pages if necessary) General Information Name: Firm: Title: Year employed by firm: years Total Professional Experience: years Professional Registration and Licenses (type/state/year): Similar Project Information Title/Assignment: Description of Role/Responsibilities: Commitment: (1) Preconstruction:___________% Permitting:________% Construction:_______%


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Relevant Project Experience(2) Project: Location: Current Status: Date of Involvement: from through Description of Specific Roles and Responsibilities: Client Contact Person

Name Title: Address: Phone: Fax:

Notes relative to Form 2: 1. Commitment indicates the amount of time (in percent) that the staff person would be

available to work on the Project during the preconstruction, permitting, and construction phases of the Work. Indicate by “N/A” where the individual is not proposed to be involved in a particular phase of the Work. For example, if a person would be available 20 hours per week out of a 40-hour work week, reply 50%.

2. Provide this information for as many projects as are applicable.


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LICK RUN VALLEY CONVEYANCE SYSTEM PROJECT

Relevant Project Experience Individual sections of the form may be resized to accommodate project information. Supplemental sheets may also be attached to this form with reference project number and category identified. Project Name: Reference Project No.:

Type of Project: Design/Build Construction

Management Other:__________________

Construction

Respondent's % of Work1

______% Preconstruction

______% Construction ____% Other:__________ ____% Other:__________

_______% Construction Management

Specific Role of Each Respondent Team Member2

A. Applicability and relevance of referenced project to the Lick Run Valley Conveyance System Project: B. SOQ submittal team participants (personnel and/or firms): C. Other key participants (firms): D. Team structure, management description:

1 Indicate total percentage of work performed within each project component. For example, if Respondent performed 50% of the construction work, indicate 50%. 2 Indicate clearly the role of the Respondent team member on the project. If another entity shared in this role, please describe the division of work performed. Be specific if Respondent team member's role was applicable to the entire project or simply a portion. If a portion, describe that portion. If a subcontractor or other entity not the Respondent's team member actually performed the work for which the Respondent was responsible, please indicate so.


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E. Customer and owner: F. Location of project: G. Current status of project (design, construction, or operations phase) and number of years of operation: H. Description of systems and processes, including size and capacity: I. Original construction contract amount: J. Final construction contract amount and explanation for change: K. Description of responsible parties and procedure for obtaining permits on project: L. Description of any ingenuity and innovation employed on project: M. Key project contact of Customer (Name, title, affiliation, address, telephone, fax, e-mail): N. Key project contact of Respondent (Name, title, affiliation, address, telephone, fax, e-mail):


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Financial Resources Data Provide information requested for the Respondent.

This form may be duplicated if necessary. Name of company

----------- Financial Data Summary -----------

FY 2010 FY 2011 FY 2012 FY 2013 Average A. Operating Revenues B. Operating Expense (not incl.

Depr. & Amort.)

C. Depreciation and Amortization D. Operating Income (A-B-C) E. Net Income F. Total Assets G. Current Assets H. Total Liabilities I. Current Liabilities J. Net Worth (Equity) (F-H) Financial Ratios FY 2011 FY 2012 FY 2013 Average Solvency Liquidity Ratio (G/I) Current Liabilities to Net Worth (I/J) Leverage (H/J) Total Net Worth (J) Current Liability Coverage ((D+C)/I)


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----------- Bond and Credit Rating Summary -----------

Bond Ratings (please list all bond issues within the last five years with issue date and ratings)

Issue/ Rating Date

Dun & Bradstreet

Other _______

Other _______

1 2 3 4 5 6 7 8 Credit and Other Ratings (please list all credit/or other ratings within the last two years along with the date of rating)

1 2 3 4 5 6 7 8


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ATTACHMENT B Reference Documents