1212 QBS Submittal Booklet Instructions.pdf

CT DAS 0450 (Rev. 07.05.2024) 0000 Project Manuals and Guidelines

STATE OF CONNECTICUT

DEPARTMENT OF ADMINISTRATIVE SERVICES

REAL ESTATE AND CONSTRUCTION SERVICES

Building Design and Construction 450 Columbus Boulevard

Hartford, Connecticut 06103

1212 QBS Submittal Booklet Instructions

Connecticut Department of

Administrative Services

QBS Submittal Booklet Instructions

CT DAS 1212 (Rev. 07.05.2024) 1200 Consultant Selection Forms

QBS Submittal Booklet Instructions:

Please read all of the instructions in this manual carefully and completely. Recent updates will be shown in yellow highlighted text. (Note: the only updates for the 07/05/2024 edition are the cover page and header.)

Table of Contents Page No.

Online Submission Requirements 2

Notices of Certifications and Representations 5

Professional Documents, Business Credentials, and Insurance Verification Requirements

(to be submitted within 14 days of being Conditionally Selected)

Division 0 Instructions: Cover Page and Table of Contents 8

Division 1 Instructions: Letter of Interest and Narrative 8

Division 2 Instructions: Additional Criteria Considerations 9

Division 3 Instructions: SBE / MBE Certification 10

Division 4 Instructions: CT 330 Part I (not applicable to CMR Selections) 10

Division 5 Instructions: CT 330 Part II (not applicable to CMR Selections) 18

Division 6 Instructions: Acknowledgements and Duly Authorized Signature 20

Online Submission Requirements:

1. State Contracting Portal: “CTsource” is the “State Contracting Portal” for all DAS Construction Services Solicitations and Contracts. CTsource is a secure, web-based statewide e-Procurement system implemented by the State of Connecticut with its partner, Perfect Commerce LLC (a PROACTIS Company), using their WebProcure application to streamline how companies do business with the State.

2. Register on CTsource: Although anyone can view Solicitations and Contracts on CTsource, only registered Suppliers* are able to respond to a Solicitation. To register your business, go to the Supplier Registration Portal on CTsource at:

https://portal.ct.gov/DAS/CTSource/Registration. Detailed registration instructions can be found in the “Supplier Registration and Portal User Guide”, available for download from the CTsource website.

*Examples of Suppliers include vendors, contractors, architects, engineers, consultants, service providers, manufacturers, distributors, and any others who are interested in doing business with the State of Connecticut.

3. Respond to a Solicitation on CTsource: Detailed instructions for responding to a DAS Construction Services Solicitation can be found in 6001 Construction Online Bidding Instructions, available for download from the online DAS/CS Library (https://portal.ct.gov/DASCSLibrary) > 6000 Series.

4. QBS Submittal Booklet: Each QBS Submittal Booklet must contain all of the required information, IN THE SPECIFIED FORMAT, and be uploaded to CTsource by the QBS Submittal Deadline, or the firm may be deemed Non-Responsive for the Contract. IMPORTANT NOTE: the final QBS Submittal Booklet must be created with bookmarks and the final file size for the QBS Submittal Booklet must not exceed 10mb.

5. Addendums: DAS may post addendums to a solicitation in CTsource. Firms should monitor their email alerts from WebProcure for Addendums.

6. Due Date and Time: The Consultant Response Due Date and Time are stated in CTsource and in the “QBS Submittal Deadline” section of the RFQ Web Advertisement for the specific Contract.

Administrative Services

Online Submission Requirements (continued):

7. Download the QBS Submittal Booklet Documents:

Go to the online DAS/CS Library (https://portal.ct.gov/DASCSLibrary).

Click on “1000 Series - Project Initiation and Consultant Selection” > “1200 Series – Consultant Selection Forms”.

Scroll down and save the following documents your computer:

1212.0 Division 0 - Cover Page and Table of Contents

1212.1 Division 1 - Letter of Interest and Narrative of Firms Approach to the Work for this Project

1212.2 Division 2 - Additional Criteria Considerations

1212.3 Division 3 - SBE-MBE Certification

1212.4 Division 4 - CT330 Part I (Division 4 is not applicable to CMR Selections)

1212.4 Division 4 - CT330 Part I - Extra Section E

1212.4 Division 4 - CT330 Part I - Extra Section H

1212.5 Division 5 - CT330 Part II (Division 5 is not applicable to CMR Selections)

1212.6 Division 6 - Acknowledgments and Duly Authorized Signature

CLOSE each document prior to beginning to edit.

8. Edit the QBS Submittal Booklet Documents:

OPEN each document from your computer.

Complete the fillable fields of each document as required. If any required information is not submitted, you must insert a brief statement in its place explaining why it was not used in the submittal. Remember to keep saving to your computer.

Note: Unused fields can be removed by pressing the space bar once.

Once a document is complete, convert to PDF by using the “Print to PDF” option. Do not “Save as Adobe PDF” or “Export as Adobe PDF”. The PDF must be created in the native software application and not a scan from a paper document.

9. Create the Final QBS Submittal Booklet:

The final submission booklet must be assembled into a single pdf file following the published format, optimized for printing at 8.5” x 11”. The booklet must be in PDF/A format and presented in PDF 1.7 (or greater) file format, per ISO 32000-1 standard. Image resolution should be no more than 300 pixels per inch, assuming the maximum image size would be 7” x 4.5”. Any single image should not be any larger than 2100 x 1350 pixels. If too many large images are embedded within the file it will slow down navigation which is to be avoided if possible.

Save the PDF QBS Submittal Booklet to your computer using the following file name format (italics indicate insertion of contract-specific information): “Contract Number – Submitting Firm’s Name – QBS Submittal Booklet”.

Insert consecutive page numbers on the bottom center footer of each page of the booklet, beginning on page 2 (the Table of Contents). Do not overwrite or replace existing footers and headers.

NOTE: Insert correct page numbers in the Table of Contents. Ensure the booklet page numbers correspond exactly to the Table of Contents.

Ensure the booklet is searchable and insert bookmarks as described below.

Final file size for the booklet must not exceed 10mb.

Administrative Services

Online Submission Requirements (continued):

10. Insert Bookmarks, named exactly as follows and in the following hierarchy (italics indicate insertion of firm name). Save bookmarks with full page view (they should not be zoomed into a portion of the page when selected).

Division 0 - Cover Page and Table of Contents Division 1 - Letter of Interest and Narrative Division 2 - Additional Criteria Considerations Division 3 - SBE / MBE Certification Division 4 - CT 330 Part I (Division 4 is not applicable to CMR Selections) Division 4 - Section A: Contract Information Division 4 - Section B: Consultant Point of Contact Division 4 - Section C: Proposed Team Division 4 - Section D: Proposed Team’s Organizational Chart Division 4 - Section E: Resumes for Key Personnel Division 4 - Section E: Resumes: Prime Consultant Division 4 - Section E: Resumes: Sub-Consultant Etc.

Division 4 - Section F: Example Projects Division 4 - Section G: Key Personnel / Project Matrix Division 4 - Section H: Total Volume of Work Division 4 - Section I: Probity Questions Division 4 - Section J: Past Record of Performance Division 5 - CT 330 Part II (Division 5 is not applicable to CMR Selections) Division 5 - Prime Consultant Division 5 - Sub-Consultant Etc.

Division 6 - Acknowledgements and Duly Authorized Signature

11. Upload the Final QBS Submittal Booklet to CTsource:

Detailed instructions can be found in the 6001 Construction Online Bidding Instructions, available for download from the online DAS/CS Library (https://portal.ct.gov/DASCSLibrary) > 6000 Series

Administrative Services

Notices of Certifications and Representations

Important Notes: In accordance with the Connecticut General Statutes (CGS) §§ 1-101qq, 4-250, 4-252, 4-252a, 4a-60, 4a-60a, 4a-81(a), 4a-81(b), and 9-612, as amended by Public Act 21-76, as of July 1, 2021, Firms are required to complete Attachments

2.1 and 2.2 in Division 2 of the QBS Submittal Booklet, as described below, and must agree to Certifications and Representations provided in the updated Contract (as described below). The State may waive minor irregularities that otherwise may cause rejection of a proposal only when waiving such minor irregularities is in the best interests of the State and the minor irregularities have been corrected by the Firm within seven (7) Calendar Days after the proposal Due Date. Violations of certain Certifications and Representations (including, but not limited to, CGS §9-612(f)(2)(A)), may result in disqualification from entering into a State of Connecticut contract.

1. Notice of Campaign Contribution Certification (QBS Submittal Booklet, Division 2, Attachment 2.1):

All Firms: Pursuant to C.G.S. §9-612, as amended, the chief executive officer or authorized signatory submitting a bid or proposal for all State Contracts with a value of $50,000 or more, or a combination or series of such agreements or contracts having a value of $100,000 or more, shall be required to:

.1 Download the State Elections Enforcement Commission (SEEC) Notice (Notice To Executive Branch State Contractors And Prospective State Contractors Of Campaign Contribution And Solicitation Limitations) from the SEEC Website (https://portal.ct.gov/seec) (scroll down to “Resources”, click on the “Publications” link, then scroll down and click on “Notice To Executive Branch State Contractors And Prospective State Contractors (incorporated in contracting and bidding documents) Notice Only”) and inform the Proposer’s principals of the contents of the notice.

NOTE: DAS shall not execute a State Contract unless such Contract contains a representation that the chief executive officer or authorized signatory of the Proposer has received the State Elections Enforcement Commission’s notice advising state contractors of state campaign contribution and solicitation prohibitions, and will inform its principals of the contents of the notice, as set forth in “Notice to Executive Branch State Contractors and Prospective State Contractors of Campaign Contribution and Solicitation Limitations”.

.2 In Attachment 2.1 of Division 2 in the QBS Submittal Booklet: Read the Instructions and complete the form as indicated, swearing as true to the best knowledge and belief of the person signing the certification, subject to the penalties of false statement:

.1 That neither the Proposer, nor any of its principals, have made any contributions to, or solicited any contributions on behalf of, any party committee, exploratory committee, candidate for state-wide office or for the General Assembly, or political committee authorized to make contributions to or expenditures to or for, the benefit of such candidates, in the previous four years, that were determined by the State Elections Enforcement Commission to be in violation of C.G.S. §§ 9-612(f)(2)(A) or 9-612(f)(2)(B), as amended, without mitigating circumstances having been found to exist concerning such violation.

.2 That all contributions made by any of the Proposer’s principals to any party committee, exploratory committee, candidate for state-wide office or for the General Assembly, or political committee authorized to make contributions to or expenditures to or for the benefit of such candidates for a period of four years prior to the signing of the contract or date of the response to the bid or proposal, whichever is longer have been disclosed in the “Campaign Contributions Disclosure Table”.

.3 Submit an updated certification not later than thirty days after the effective date of any change in the information contained in the most recently filed certification or upon the submittal of any new bid or proposal for a state contract, whichever is earlier.

2. Notice of Nondiscrimination Certification (QBS Submittal Booklet, Division 2, Attachment 2.2):

All Firms: Pursuant to C.G.S. §§ 4a-60 and 4a-60a, as amended, the authorized signatory submitting a bid or proposal for a State contract, regardless of type, term, cost or value, shall be required to:

.1 In Attachment 2.2 of Division 2 in the QBS Submittal Booklet: Provide an affirmative response and certify that the Proposer understands the nondiscrimination obligations of C.G.S. §§ 4a-60 and 4a-60a, as amended, and will maintain a policy for the duration of the Contract to assure that the Contract will be performed in compliance with the nondiscrimination requirements of such sections. The Proposer will also be required to affirm in the Contract its understanding of the obligations of subsection (c) of section 4a-60 and subsection (b) of section 4a-60 and that it will maintain a policy for the duration of the Contract to assure that the Contract will be performed in compliance with the nondiscrimination requirements of such sections.

Administrative Services

Notices of Certifications and Representations (continued):

3. Notice of Gift Representation Requirements for Large State Contracts:

All Firms: Pursuant to C.G.S. §§ 4-250 and 4-252, as amended, any principal or key personnel of the person, firm or corporation submitting a bid or proposal for a large State Contract with a value of $500,000 or more, shall be required to represent in the Contract:

.1 That no gifts were made by (A) such person, firm, corporation, (B) any principals and key personnel of the person, firm or corporation, who participate substantially in preparing bids, proposals or negotiating state contracts, or (C) any agent of such person, firm, substantially in preparing bids, proposals or negotiating state contracts, to (i) any public official or state employee of the state agency or quasi-public agency soliciting bids or proposals for state contracts, who participates substantially in the preparation of bid solicitations or requests for proposals for state contracts or the negotiation or award of state contracts, or (ii) any public official or state employee of any other state agency, who has supervisory or appointing authority over such state agency or quasi-public agency.

.2 That no such principals and key personnel of the person, firm or corporation, or agent of such person, firm or corporation or principals and key personnel, knows of any action by the person, firm or corporation to circumvent such prohibition on gifts by providing for any other principals and key personnel, official, employee or agent of the person, firm or corporation to provide a gift to any such public official or state employee.

.3 That the person, firm or corporation is submitting bids or proposals without fraud or collusion with any person.

.4 That if a Proposer refuses to agree to the representations required under C.G.S. § 4-252, as amended and described above, such Proposer shall be rejected, and DAS shall award the Contract to the next lowest responsible qualified Proposer.

4. Notice of Consulting Agreement Representation Requirements:

All Firms: Pursuant to C.G.S. §§ 4a -81(a) and 4a -81(b), as amended, the chief executive officer or authorized signatory submitting a bid or proposal for a contract that has a value of $50,000 or more, shall be required to represent in the Contract:

.1 That any consulting agreement, as defined by C.G.S.§ 4a-81(b)(1), entered into in connection with this Contract shall be listed in the Contract. Such representation of consulting agreements shall be required if any duties of the consultant included communications concerning business of a state or quasi-public agency, whether or not direct contact with a state agency, state or public official or state employee was expected or made.

.2 That if a Proposer refuses to agree to the representations required under C.G.S. §§ 4a-81(a) and 4a-81(b), as amended, such Proposer shall be rejected and DAS shall award the Contract to the next lowest responsible qualified Proposer or seek new bids or proposals.

.3 That such representation shall be sworn as true to the best knowledge and belief of the person signing the Contract, subject to the penalties of false statement.

5. Notice of State Ethics Law Representation Requirements:

All Firms: Pursuant to C.G.S. §§ 1-101mm and 1-101qq, as amended, the chief executive officer or authorized signatory submitting a bid or proposal for a large State Construction Contract with a value of $500,000 or more, shall be required to represent in the Contract:

.1 That the chief executive officer or authorized signatory of the contract and all key employees of such officer or signatory have downloaded, read, and understood the summary of State ethics laws (the “Guide to the Code of Ethics For Current or Potential State Contractors”) from the Office of State Ethics (OSE) website (https://portal.ct.gov/Ethics) (scroll down to “Resources” and click on the “Publications” link).

.2 That the chief executive officer or authorized signatory of the contract and all key employees of such officer or signatory agree to comply with the provisions of State ethics law.

.3 That, prior to entering into a contract with any Subcontractors or Subconsultants, the Proposer shall provide the summary of State ethics laws described in C.G.S. § 1-101qq (a) to all Subcontractors and Subconsultants. Each contract entered into with a Subcontractor or Subconsultant on or after July 1, 2021, shall incorporate such summary by reference as a part of the contract terms and shall include a representation that each Subcontractor or Subconsultant and the key employees of such Subcontractor or Subconsultant have read and understood the summary and agree to comply with the provisions of State ethics law. Failure to include such representations in such contracts with Subcontractors or Subconsultants shall be cause for termination of the large State Construction Contract.

Administrative Services

Notices of Certifications and Representations (continued):

6. Notice of Iran Investments Certification Requirements:

All Firms: Pursuant to C.G.S. § 4-252a, the chief executive officer or authorized signatory of an “entity” (see NOTE 1 below) submitting a bid or proposal for a large State Contract with a value of $500,000 or more, shall be required to certify:

NOTE 1: “Entity” means any corporation, general partnership, limited partnership, limited liability partnership, joint venture, nonprofit organization or other business organization whose principal place of business is located outside of the United States, but excludes any United States subsidiary of a foreign corporation.

.1 That such entity has not made a direct investment of twenty million dollars or more in the energy sector of Iran on or after October 1, 2013, as described in Section 202 of the Comprehensive Iran Sanctions, Accountability and Divestment Act of 2010, and has not increased or renewed such investment on or after said date.

.2 That if the entity makes a good faith effort to determine whether it has made an investment as described above, it shall not be subject to the penalties of false statement pursuant to C.G.S. § 4-252a. A "good faith effort" for purposes of this subsection includes a determination that the entity is not on the list of persons who engage in certain investment activities in Iran created by the Department of General Services of the State of California pursuant to Division 2, Chapter 2.7 of the California Public Contract Code. Nothing in this subsection shall be construed to impair the ability of DAS to pursue a breach of contract action for any violation of the provisions of the Contract.

.3 That such representation shall be sworn as true to the best knowledge and belief of the person signing the Contract, subject to the penalties of false statement.

Professional Documents, Business Credentials, and Insurance Verification Requirements (to be submitted within 14 days of being Conditionally Selected)

1. In accordance with the requirements of State of Connecticut Department of Administrative Services (DAS) and the DAS Construction Services (DAS/CS) Office of Legal Affairs, Policy, & Procurement (OLAPP), the selection of a firm is conditional upon completing and emailing to OLAPP, within fourteen (14) calendar days of being notified by email of their conditional selection, copies of certain Professional Documents, Business Credentials, and Insurance Verification.

2. All documents must be current (i.e., less than 90 days old). Documents requiring signatures must use exact legal names.

3. The Department reserves the right to terminate the selection and negotiation after it receives and reviews the five-year errors and omissions claims history.

4. Failure of a conditionally selected firm to submit all of the required Professional Documents, Business Credentials, and Insurance Verification to OLAPP within the fourteen (14) calendar day deadline may result in the firm’s submittal being deemed deficient and DAS/CS may then initiate negotiations with next highest rated firm.

5. For a summary of all required Professional Documents, Business Credentials, and Insurance Verification documents, go to the online DAS/CS Library (https://portal.ct.gov/DASCSLibrary) > 1000 Series and download the following forms:

1150 Credentials and Insurance Requirements 1269.1 DAS-CS Contract Submittal Requirements

Administrative Services

Division 0 Instructions:

Cover Page and Table of Contents

1. Cover Page: In the spaces provided:

Insert an image of your firm’s Logo.

Insert your firm’s precise Legal Name, Street Address, City/Town, State, and Zip Code.

Insert your firm’s legal entity (e.g., Limited Liability Corporation, Limited Partnership, Sole Proprietor, etc.).

Insert your firm’s first and second Contact Names, Phone Numbers, and Email Addresses.

All responses and addendum to the QBS process for a specific contract shall be sent by the DAS Policy & Procurement Unit to the first Contact’s email address. The Contact’s email address should be continuously monitored by the Contact to ensure timely receipt of all communications from the DAS Policy & Procurement Unit.

Insert the Selection Type, Type of Consultant Services, Contract No., Project Title and Location, and QBS Submittal Deadline Due Date and Time (see the RFQ Web Advertisement for this information).

2. Print to PDF:

Print the Division 0 page to PDF and save as “Division 0”.

Division 1 Instructions:

Letter of Interest and Narrative of Firm’s Approach to the Work for this Project

1. As the Prime Professional Services Consultant Firm, write a Letter of Interest and Narrative of Firm’s Approach to the Work for this Project that includes the following:

a synopsis of the services that your firm routinely provides;

your firm’s approach to the specific work required for this Project;

a description of why your firm and proposed team are well qualified to provide the scope of services as described in the RFQ Web Advertisement for this Project; and a description of why your firm and proposed team have the past experience that is relative to this Project.

2. Ensure that the letter is capable of being substantiated by the detailed back-up information your firm provides in “Division 4 - CT330 Part I” and “Division 5 - CT330 Part II”.

3. Address the letter to: Department of Administrative Services, Construction Services Policy & Procurement Unit 450 Columbus Boulevard, Suite 1302 Hartford, CT 06103 RE: Contract No.: Insert Contract Number Project Title: Insert Project Title

4. Print the Letter from the native software to PDF once complete. Do not scan to PDF from a paper print.

5. Print the “Division 1” title page to PDF.

6. Attach the PDF Letter of Interest and Narrative behind the PDF Division 1 page and save as “Division 1”.

Administrative Services

Division 2 Instructions:

Additional Criteria Considerations

1. In accordance with CGS §§ 4a-59(c), 4b-57(b), and 4b-57(c), Public Acts 21-76 and 21-198, and the Regulations of the Connecticut State Agencies 4-134e-8(d), DAS/CS requires “additional criteria to be considered” by the QBS Selection Panels in the evaluation of the most qualified Consultant for the advertised Contract.

2. Firms may receive additional rating points or consideration for Additional Criteria Considerations.

3. In the Table of Contents for Division 2, check the correct box for the Selection Type.

4. Prepare the following documents and attach behind the Division 2 page; please note: Division 2 has been significantly updated to reflect the new requirements of Public Acts 21-76 and 21-198; read the attachments carefully.

.1 Architectural & Engineering (A/E) Consultant Selections, Design-Build Criteria Architect (DBCA) Selections, and Construction Administrator (CA) Selections:

Attachment 2.1 Campaign Contribution Certification: All Firms.

Attachment 2.2 Nondiscrimination Certification: All Firms.

.2 On-Call Consultant Selections:

Attachment 2.3 Micro-Business Information: If you wish to be considered a Micro-Business and receive an additional ten (10) “Micro-Business” points that shall be applied toward your firm’s “Total Selection Grade Points”, attach one copy of your firm’s Federal Internal Revenue Service Tax Return behind the Division 2 page for the most recent fiscal year to establish the firm as a “Micro-Business”. (Important Note: Prospective Consultants may redact information on the Federal Tax Return such as PIN numbers, Social Security Numbers, EIN Numbers, etc., as well as deduction details.)

A “Micro-Business” is defined as a “business with gross revenues not exceeding three million dollars in the most recently completed fiscal year”.

For firms who have not yet filed their tax return for the most recent fiscal year, in lieu of a tax return, a letter from a Certified Public Accountant attesting to the firm’s gross revenues for the most recently completed fiscal year will be accepted.

Attachment 2.4 Knowledge of Connecticut Building and Fire Codes: Architectural or Engineering Firms shall attach a brief narrative that explains your firm’s knowledge of the Connecticut building and fire codes.

NOTE: Firms can either have an employee who has knowledge of the Connecticut building codes or may team up with a subconsultant firm who has knowledge of the Connecticut building and fire codes.

Attachment 2.5 Labor Rate Table: All Firms: Complete the appropriate On-Call Contract - Labor Rate Table by indicating a single Per Hour rate for each of the specified Labor Categories.

.3 Design-Build Team Selections:

Attachment 2.6 DAS Contractor Prequalification Certificate and DAS Update Statement: All Firms

For more information about the DAS Prequalification Certificate and Update Statement, click https://portal.ct.gov/DAS/Procurement/PreQual/DAS-Construction-Contractor-Prequalification-Program.

.4 Construction Manager at Risk (CMR) Selections:

Attachments 2.7 through 2.16: All Firms: Read and follow the instructions for required attachments, questions, additional information, and completing the CMR Signature and Notary Statement.

5. Print the Division 2 page(s) to PDF and delete unnecessary pages.

6. Save as “Division 2”.

Administrative Services

Division 3 Instructions: SBE and/or MBE Certification:

1. If your firm is a Small Business Enterprise (SBE) and/or Minority Business Enterprise (MBE) registered with the State of Connecticut DAS Supplier Diversity Program, follow the instructions below.

2. On-Call Consultant Selections Only: DAS/CS intends to select at least one (1) MBE Consultant out of the total number of On-Call Consultants designated for the specific On-Call Consultant Contract. DAS/CS will follow the selection procedures referenced in the RFQ Web Advertisement to evaluate the QBS Submittals. If no MBE firms are within the initial list of firms recommended for selection, DAS/CS will select the highest scoring MBE firm as long as such firm is qualified to perform the required services and can meet all required contract terms and conditions.

3. For information regarding SBE and/or MBE Certification, or to download a copy of your firm’s SBE and/or MBE Certification, click on the following link and follow the instructions: https://portal.ct.gov/DAS/Procurement/Supplier- Diversity/SBE-MBE-Program-Certification-Application-Small-or-Minority-Business-Enterprise

4. If necessary, print your firm’s SBE/MBE Certification to PDF. Do not scan to PDF from a paper print.

5. Check the correct box on the Division 3 page.

6. Print the Division 3 page to PDF.

7. If applicable, attach the PDF SBE/MBE Certification behind the PDF Division 3 page and save as “Division 3”.

Division 4 Instructions: CT 330 – Consultant Qualifications Part I – Contract-Specific Qualifications

IMPORTANT NOTE REGARDING PROPOSED TEAM MEMBERS AND SELECTION INTERVIEWS: Any addition, substitution and/or subtraction of ANY team member from the “Original” submission booklet MUST be submitted NO later than 24 hours before the scheduled Selection Interview date. (Any sub-consultants and outside associates or consultants required by the Prime Firm and covered by the contract will be limited to individuals or firms with the services that were specifically identified in the original submission booklet).

1. Read the instructions on the following pages and complete Division 4. NOTE: DIVISION 4 IS NOT APPLICABLE TO

CMR SELECTIONS!

2. Division 4 - CT 330 Part I contains the contract-specific qualification requirements of the proposed team for this specific Contract. Respondents are required to insert the completed Division 4 in the QBS Submittal Booklet.

3. DO NOT utilize a third party software such as GSA SF 330 Part I. No other CT 330 format type shall be acceptable.

4. Once Division 4 is complete, print the Division to PDF. Do not scan to PDF from a paper print. Save as “Division 4”.

5. Additional Section E, Section H, and/or Attachment A pages should be printed to PDF and inserted in Division 4 at the appropriate location(s).

6. Definitions (applicable to Division 4 and Division 5):

.1 Architecture / Engineer Services: As defined in the DAS/CS Selection and Bidding Manual, means:

Professional services of an architectural or engineering nature, as defined by State law, if applicable, that are required to be performed or approved by a person licensed, registered, or certified to provide those services;

Professional services of an architectural or engineering nature performed by contract that are associated with research, planning, development, design, construction, alteration, or repair of real property; and

Those other professional services of an architectural or engineering nature, or incidental services, that members of the architectural and engineering professions (and individuals in their employ) may logically or justifiably perform, including studies, investigations, surveying and mapping, tests, evaluations, consultations, comprehensive planning, program management, conceptual designs, plans and specifications, value engineering, construction phase services, soils engineering, drawing reviews, preparation of operating and maintenance manuals, and other related services.

.2 Branch Office: Means a geographically distinct place of business or subsidiary office of a firm that has a key role on the team.

.3 Discipline: Means primary technical capabilities of key personnel, as evidenced by academic degree, professional registration, certification, and/or extensive experience.

.4 Firm: As defined in the DAS/CS Selection and Bidding Manual: In conjunction with architect/engineer services, means any individual, partnership, corporation, association, or other legal entity permitted by Title 20 of the C.G.S.

and the State of Connecticut Department of Consumer Protection to practice the professions of architecture or engineering.

.5 Key Personnel: Means individuals who will have major contract responsibilities and/or provide unusual or unique expertise.

Administrative Services

Division 4 Instructions (continued)

CT 330 – Consultant Qualifications Part I – Contract-Specific Qualifications

Section A: Contract Information

Provide the following information as described in the Request for Qualifications Web Advertisement.

1.1 Web Advertisement Date: Insert RFQ Web Advertisement Date.

1.2 Web Advertisement Number: Insert RFQ Web Advertisement Number.

1.3 Contract Number: Insert Contract Number from RFQ Web Advertisement.

1.4 Project Title: Insert Project Title from RFQ Web Advertisement.

1.5 Project Location: Insert Project Location from RFQ Web Advertisement.

Section B: Consultant Point of Contact

Provide the following information for a representative of the prime firm or joint venture that the Department can contact for additional information.

2.1 Name of Prime Firm: Insert name of prime firm.

2.2 Point of Contact Name: Insert name of prime firm’s representative.

2.3 Point of Contact Title: Insert title of prime firm’s representative.

2.4 Phone Number: Insert phone number of prime firm’s representative.

2.5 Email Address: Insert email address of prime firm’s representative.

2.6 Fax Number: Insert fax (facsimile) number of prime firm’s representative.

Section C: Proposed Team

Provide the name, full mailing address, contractual relationship (check ONE box), and a brief description of the role of each firm that will be involved in performance of this contract. List the prime firm or joint venture partners first. If a firm has branch offices, indicate each individual branch office that will have a key role on the team. Identify all sub-consultants and outside associates that shall provide services to the prime firm for this contract. Attach additional Section C sheets as necessary.

Important Note: Any addition, substitution and or subtraction of ANY team member from the “Original” submission booklet MUST be submitted NO later than 24 hours before the scheduled Selection date. (Any sub-consultants and outside associates or consultants required by the prime firm and covered by the contract will be limited to individuals or firms with the services that were specifically identified in the original submission booklet).

Definitions: PF = Prime Firm; JV = Joint Venture Partner; SC = Subconsultant; B/O = Branch Office of Named Firm

3.1 Firm Name: Insert name of applicable firm.

3.2 Firm Address: Insert the address of applicable firm.

3.3 Contractual Relationship: Check ONE box: ☐ PF ☐ JV ☐ SC ☐ B/O

Check only one box for each firm Name. See the definitions above.

3.4 Role in this Contract: Name the services provided for this contract.

Administrative Services

Section D: Proposed Team’s Organizational Chart

4.1 At this location in Division 4, insert an organizational chart of the proposed team showing the names and roles of all key personnel listed in Section E - Resumes for Key Personnel Proposed for the Contract and the firm(s) they are associated with as listed in Section C - Proposed Team.

Section E: Resumes for Key Personnel Proposed for the Contract

Complete this section for each key person who will participate in this contract. Make as many copies of Section E as applicable. Group by firm, with personnel of the prime firm or joint venture partner firms first. The firms must correspond with those listed in Section C. The following sections must be completed for each resume.

5.1 Key Person Name: Self-Explanatory.

5.2 Role In This Contract: Briefly describe this person’s role in this Contract.

5.3 Years Of Relevant Experience:

Total:

Total years of relevant experience.

With Current Firm:

Total years employed by current firm.

5.4 Firm Name and Location (City, State): Name, city and state of the firm where the person currently works, which must correspond with one of the firm’s (or branch office of a firm, if appropriate) listed in Section C.

5.5 Education: Provide information on the highest relevant academic degree(s) received.

Indicate the area(s) of specialization for each degree.

5.6 Professional Registration: Provide information on current relevant professional registration(s) in a State or possession of the United States, Puerto Rico or the District of Columbia according to applicable licensing laws.

5.7 Other Professional Qualification): Provide information on any other professional qualifications, relating to this contract, such as education, professional registration, publications, organizational memberships certifications, training, awards, and foreign language capabilities.

5.8 Five (5) Relevant Projects:

Provide information on up to five (5) Relevant Projects [do not submit more than 5 projects] in which the person had a significant role that demonstrates the person's capability relevant to her/his proposed role in this contract. These projects do not necessarily have to be any of the projects presented in Section F for the project team if the person was not involved in any of those projects or the person worked on other projects that were more relevant than the team projects in Section F. If any of the Professional Services or Construction projects are not complete, insert “N/A” in “Year Completed” and indicate the status in Section 5.8.4 “Brief Description”.

.1 Project Title & Location: Insert Relevant Project title and location (city and state).

.2 Year Completed: Professional Services: Construction (If Applicable):

Enter the year completed of the professional services, (such as planning, engineering study, design, or surveying), and/or the year completed of construction, if applicable.

If any of the professional services or the construction projects are not complete, insert “N/A” in “Year Completed” and indicate the status in Section 5.8.4 “Brief Description”.

.3 Project with Current Firm: YES: ☐ NO: ☐

Check only one box, indicating if the project was performed with the current firm.

.4 Brief Description (Brief Scope, Size, Cost, and Specific Role):

Insert brief description of Relevant Project, including Scope, Size, Cost, and Specific Role.

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Section F: Example Projects

Which Best Illustrate Proposed Team's Qualifications For This “Project”

Select five (5) “Example” Projects [do not submit more than 5 Example Projects] where multiple team members worked together, if possible, that demonstrate the team's capability to perform work similar to that required for this contract.

If any of the Professional Services or Construction projects are not complete, insert “N/A” in “Year Completed” and indicate the status in “Brief Description & Relevance to this Contract”.

Complete one (1) copy of Section F for each of the five (5) Example Projects.

Limit one (1) Example Project per page.

6.1 Example Project Key Number: 1

6.2 Example Project Title & Location : Insert Example Project title and location (city and state).

6.3 Year Completed: Professional Services: Construction (If Applicable):

Enter the year completed of the professional services (such as planning, engineering study, design, or surveying), and/or the year completed of construction, if applicable.

If any of the professional services or the construction projects are not complete, insert “N/A” in “Year Completed” and indicate the status in Section 6.7 “Brief Project Description”.

6.4 Project Owner: Project owner or user, such as a government agency or installation, an institution, a corporation or private individual.

6.5 Point of Contact Name: Provide name of a person associated with the project owner or the organization which contracted for the professional services, who is very familiar with the project and the firm's (or firms') performance.

6.6 Point of Contact Phone Number: Self-Explanatory.

6.7 Brief Project Description (Scope, Size, Cost, and Relevance to this Contract):

Insert a brief description of the project including scope, size, cost, relevance to this contract, and special features of the project. Be certain to discuss the relevance of the example project to this contract.

6.8 Project Image:

Copy and paste an image of the project.

6.9 Firms From Section C (Proposed Team) Involved With This Project:

.1 Firm Name: Insert firm name (or branch office, if appropriate) on the project team that was involved in the relevant project.

.2 Firm Location (City, State): Insert city and state of firm.

.3 Role: Briefly describe the role of firm on this project.

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Section G: Key Personnel / Project Matrix

The following tables and matrix are intended to graphically depict which Key Personnel identified in Section E worked on the Example Projects listed in Section F.

7.1 Example Project Titles From Section F:

List the Example Project Titles next to the Example Project Key Numbers, in the same order as they appear in Section F.

See the examples provided below.

1 S. King Mental Health Center, Bangor, ME

2 H. Clinton Federal Building, NY, NY

3 R. Baron Museum, Newport, RI

4 R. Sox World Headquarters, Boston, MA

5 Oregon State Hospital, Salem, OR

7.2 Names Of Key Personnel: 7.3 Role In This Contract:

7.4 Example Projects From

Section F

List the names of the key personnel proposed in this contract in the same order as they appear in Section E.

See the examples provided below.

List the proposed roles of the key personnel in this contract in the same order as they appear in Section E.

See the examples provided below.

In the column under each Example Project Key number (see Section 7.1) and for each key person, place an "X" under the Example Project Key number for participation in the same or similar role.

1 2 3 4 5

F. L. Wright Chief Architect ☒ ☐ ☒ ☐ ☐

Gus Eiffel Structural Engineer ☒ ☒ ☒ ☒ ☐

Sandy Terra Civil Engineer ☐ ☐ ☒ ☐ ☒

Randle P. (Mac) McMurphy Electrical Engineer ☐ ☐ ☐ ☐ ☒

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UPDATED 2022: Section H: Total Volume of Work Awarded to the Firm by DAS/CS

Read the following questions carefully. In accordance with RSCA Section 4-134e-4 & Section 4-134e-8, Section H must be completed in its entirety for all DAS/CS contracts that your firm has been awarded or conditionally selected (including those awarded under any name other that the one appearing in the response) within the last five years only. Begin with the most recent contract. Then, moving chronologically backwards, enter the next most recent contract. If your Firm has not received a contract (either signed or conditionally selected) from DAS/CS within the last five years, enter “None Within Five Years”.

8.1 Most Recent Contract Signing Date:

Enter the date (month / day / year) from Section 8.5.4 “Contract Signing Date of Most Recently Signed Contract” below.

NOTE: If your Firm has never received a signed contract from DAS/CS, enter “NONE” and go to Section I, Probity Questions.

8.2 Total Number of Contracts:

Enter the total number of “Contracts” that are listed below.

8.3 Total Volume of Work ($):

Enter the total “Volume of Work ($)” from all Contracts listed below. Note:

For On-Call Contracts, the “Total Volume of Work” represents the Total Fees earned by your Firm for all Task Assignments within the past five (5) years; not the total value of the On-Call Contract.

For A/E, CA, and DBCA Contracts, the “Total Volume of Work” represents the Contract Fee Amounts earned by your Firm within the past five (5) years; not the total Project Costs.

DO NOT include “PSX” contracts (managed by DAS Procurement Services; not DAS Construction Services).

8.4 Has Your Firm Performed Services Under Any Other Name?

Provide a clarification statement if your Firm has performed services under any name other than the one appearing in this response.

8.5 CONTRACT #1 - MOST RECENTLY SIGNED CONTRACT:

Enter the required information for your Firm’s most recent contract with DAS/CS.

.1 DAS/CS Contract Number: For On-Call Contracts, enter the On-Call Contract Number (for example, “OC-DCS-CA-0001”); do NOT enter individual Task assignments.

For A/E, CA, & DBCA Contracts, enter the original RFQ Web Advertisement Contract Number (for example, CF-RC-403-ARC).

DO NOT include “PSX” contracts.

.2 DAS/CS Contract Title: For On-Call Contracts, enter the On-Call Contract Title (for example, “On- Call Construction Administration Consultant Services”); do NOT enter individual Task assignments.

For A/E, CA, & DBCA Contracts, enter the original RFQ Web Advertisement Project Title (for example, “Memorial Hall Renovations at CCSU”).

.3 Contract Type: Select your Contract Type (On-Call Contract; Architectural or Engineering

(A/E) Contract; Construction Administration (CA) Contract; or Design-Build Criteria Architect (DBCA) Contract).

.4 Contract Signing Date of Most

Recently Signed Contract:

Enter the date (month / day / year) of the contract signing (or conditional selection, if not yet signed) for your Firm’s most recent contract with DAS/CS.

.5 Contract Status: Select your current Contract Status (Conditionally Selected; Active;

Complete*; On Hold; or Cancelled). *NOTE: “Complete” is determined by:

On-Call Contracts: Expired;

A/E, CA, & DBCA Contracts: Work is Substantially Complete.

.6 Contract Completion Date**: Enter the date (month / day / year) of the expected contract completion.

**NOTE: “Contract Completion Date” is defined as follows:

On-Call Contracts: Expiration Date of On-Call Contract;

A/E, CA, & DBCA Contracts: Date of Substantial Completion for the Work.

.7 Volume of Work ($): For On-Call Contracts, enter Total Fees Earned for all Task Assignments;

do NOT enter the value of the On-Call Contract.

For A/E, CA, & DBCA Contracts, enter the Contract Fee Amounts Earned by the Firm; do NOT enter the total Project Cost.

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Section H (continued)

8.6 CONTRACT #2, #3, #4, etc. (next contracts within the last five years AND in chronological order):

Enter the required information for contracts signed or conditionally selected with DAS/CS within the last five years (beginning with most recently signed and keeping in chronological order).

NOTE: If your Firm has not received a signed Contract from DAS/CS within the last five years, enter “None”.

.1 DAS/CS Contract Number: For On-Call Contracts, enter the On-Call Contract Number (for example, “OC-DCS-CA-0001”); do NOT enter individual Task assignments.

For A/E, CA, & DBCA Contracts, enter the original RFQ Web Advertisement Contract Number (for example, CF-RC-403-ARC).

DO NOT include “PSX” contracts.

.2 DAS/CS Contract Title: For On-Call Contracts, enter the On-Call Contract Title (for example, “On- Call Construction Administration Consultant Services”); do NOT enter individual Task assignments.

For A/E, CA, & DBCA Contracts, enter the original RFQ Web Advertisement Project Title (for example, “Memorial Hall Renovations at CCSU”).

.3 Contract Type: Select your Contract Type (On-Call Contract; Architectural or Engineering (A/E)

Contract; Construction Administration (CA) Contract; or Design-Build Criteria Architect (DBCA) Contract).

.4 Contract Signing Date: For contracts signed with DAS/CS within the last five years, enter the date

(month / day / year) of the contract signing (or conditional selection, if not yet signed).

.5 Contract Status: Select your current Contract Status (Conditionally Selected; Active;

Complete*; On Hold; or Cancelled).

*NOTE: “Complete” is determined as follows:

On-Call Contracts: Expired;

A/E, CA, & DBCA Contracts: Work is Substantially Complete.

.6 Contract Completion Date**: Enter the date (month / day / year) of the expected contract completion.

**NOTE: “Contract Completion Date” is defined as follows:

On-Call Contracts: Expiration Date of On-Call Contract;

A/E, CA, & DBCA Contracts: Date of Substantial Completion for the Work.

.7 Volume of Work ($): For On-Call Contracts, enter Total Fees Earned for all Task Assignments;

do NOT enter the value of the On-Call Contract.

For A/E, CA, & DBCA Contracts, enter the Contract Fee Amounts Earned by the Firm; do NOT enter the total Project Cost.

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Section I: Probity Questions

9.1 Has the firm’s contract ever been terminated for any project in the previous ten (10) years?

If yes, identify the project, the party with whom your firm contracted for the work and reasons why the project was not completed in “Section 9.6 Probity Questions Remarks” below.

9.2 Has the firm had any projects involved in any litigation in the previous ten (10) years?

If yes, explain the nature and current status of each action in “Section 9.6 Probity Questions Remarks” below.

9.3 Has the firm been assessed damages or penalties for any project in the previous ten (10) years?

If yes, identify the project, the amount and type of damages and reasons for the assessment in “Section 9.6 Probity Questions Remarks” below.

9.4 Has the firm or any officers, principals or partners been indicted or convicted in any jurisdiction for a felony?

If yes, explain in “Section 9.6 Probity Questions Remarks” below.

9.5 Has the firm had any applications for minority certification rejected or revoked in the previous ten (10) years?

If yes, explain in “Section 9.6 Probity Questions Remarks” below.

9.6 Probity Questions Remarks and/or Additional Attachment(s): Use this section if further explanation is required.

Self-Explanatory.

Section J: Past Record of Performance on Contracts with the State & Other Clients

Provide a chronological list (descending order) of the ten (10) most recent contracts completed by your organization, including both public sector and private sector work, and all DAS/CS and/or DPW Work including On-Call Task Letter Assignments with the following Information:

10.1 Project 1:

.1 Name(s) of Firm: Self-Explanatory. Note: Provide clarification if the firm performed these services under any name other than the one appearing in this RFQ Response.

.2 Brief Project Description:

Include scope, building use group classification, gross sq. ft., no. of stories above grade, etc.

.3 Project Name/Location (City, State): Self-Explanatory.

.4 Pre-Bid Cost Budget: Self-Explanatory.

.5 Public Bid Cost: Self-Explanatory.

.6 Final Construction Cost: Provide the final construction cost including all change orders.

.7 Date Completed: Date of Substantial Completion for the Work..

.8 Percentage of Owner Change Orders: Provide percentage of Owner change orders as represented by the cost of owner change orders divided by the final construction cost minus…