Attachment 1b - ArchitectEngineerQualifications (SF330-FAA 4400-37).docx

ARCHITECT-ENGINEER QUALIFICATIONS

OMB No.: 2120-0595

Page of 19

FAA 4400-37 (01/23)

PAPERWORK REDUCTION ACT STATEMENT. A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information collection is 2120-0595. Public reporting for this collection of information is estimated to be approximately 29 hours per response (25 hours for Part 1 and 4 hours for Part 2), including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to: Information Collection Clearance Officer, Federal Aviation Administration, 10101 Hillwood Parkway, Fort Worth, TX 76177-1524.

Federal agencies use this form to obtain information from architect-engineer (A-E) firms about their professional qualifications

The information used to evaluate firms is from this form and other sources, including performance evaluations, any additional data requested by the agency, and interviews with the most highly qualified firms and their references.

GENERAL INSTRUCTIONS

Part I presents the qualifications for a specific contract.

Part II presents the general qualifications of a firm or a specific branch office of a firm. Part II has two uses:

1. An A-E firm may submit Part II to the appropriate central, regional or local office of each Federal agency to be kept on file. A public announcement is not required for certain contracts, and agencies may use Part II as a basis for selecting at least three of the most highly qualified firms for discussions prior to requesting submission of Part I. Firms are encouraged to update Part II on file with agency offices, as appropriate. If a firm has branch offices, submit a separate Part II for each branch office seeking work.

2. Prepare a separate Part II for each firm that will be part of the team proposed for a specific contract and submitted with Part I. If a firm has branch offices, submit a separate Part II for each branch office that has a key role on the team.

INDIVIDUAL AGENCY INSTRUCTIONS

Individual agencies may supplement these instructions. For example, they may limit the number of projects or number of pages submitted in Part I in response to a public announcement for a particular project. Carefully comply with any agency instructions when preparing and submitting this form. Be as concise as possible and provide only the information requested by the agency.

DEFINITIONS

Architect-Engineer Services: Defined in AMS Appendix C.

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

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

Firm: Defined in AMS Appendix C.

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

SPECIFIC INSTRUCTIONS

Part I - Contract-Specific Qualifications

Section A. Contract Information.

1. Title and Location. Enter the title and location of the contract for which this form is being submitted, exactly as shown in the public announcement or agency request.

2. Public Notice Date. Enter the posted date of the agency's notice on the Federal Business Opportunity website (FedBizOpps), other form of public announcement or agency request for this contract.

3. Solicitation or Project Number. Enter the agency's solicitation number and/or project number, if applicable, exactly as shown in the public announcement or agency request for this contract.

Section B. Architect-Engineer Point of Contact

4-8. Name, Title, Name of Firm, Telephone Number, Fax (Facsimile) Number and E-mail (Electronic Mail) Address. Provide information for a representative of the prime contractor or joint venture that the agency can contact for additional information.

Section C. Proposed Team.

9-11. Firm Name, Address, and Role in This Contract. Provide the contractual relationship, name, full mailing address, and a brief description of the role of each firm that will be involved in performance of this contract. List the prime contractor 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. The named subcontractors and outside associates or consultants must be used, and any change must be approved by the contracting officer Attach an additional sheet in the same format as Section C if needed.

Section D. Organizational Chart of Proposed Team.

As an attachment after Section C, present an organizational chart of the proposed team showing the names and roles of all key personnel listed in Section E and the firm they are associated with as listed in Section C.

Section E. Resumes of Key Personnel Proposed for This Contract.

Complete this section for each key person who will participate in this contract. Group by firm, with personnel of the prime contractor or joint venture partner firms first. The following blocks must be completed for each resume:

12. Name. Self-explanatory.

13. Role in This Contract. Self-explanatory.

14. Years Experience. Total years of relevant experience (block 14a), and years of relevant experience with current firm, but not necessarily the same branch office (block 14b).

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

OMB No.: 2120-0595

16. Education. Provide information on the highest relevant academic degree(s) received. Indicate the area(s) of specialization for each degree.

17. Current 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.

18. Other Professional Qualifications. 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.

19. Relevant Projects. Provide information on up to five 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. Use the check box provided to indicate if the project was performed with any office of the current firm. If any of the professional services or construction projects are not complete, leave Year Completed blank and indicate the status in Brief Description and Specific Role (block (3)).

Section F. Example Projects Which Best Illustrate Proposed Team's Qualifications for This Contract.

Select 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. Complete one Section F for each project. Present ten projects, unless otherwise specified by the agency. Complete the following blocks for each project:

20. Example Project Key Number. Start with "1" for the first project and number consecutively.

21. Title and Location. Title and location of project or contract. For an indefinite delivery contract, the location is the geographic scope of the contract.

22. Year Completed. 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, leave Year Completed blank and indicate the status in Brief Description of Project and Relevance to This Contract (block 24).

23a. Project Owner. Project owner or user, such as a government agency or installation, an institution, a corporation or private individual.

23b. 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.

23c. Point of Contract Telephone Number. Self-explanatory.

24. Brief Description of Project and Relevance to This Contract. Indicate scope, size, cost, principal elements and special features of the project. Discuss the relevance of the example project to this contract. Enter any other information requested by the agency for each example project.

25. Firms from Section C Involved with This Project. Indicate which firms (or branch offices, if appropriate) on the project team were involved in the example project, and their roles. List in the same order as Section C.

Section G. Key Personnel Participation in Example Projects.

This matrix is intended to graphically depict which key personnel identified in Section E worked on the example projects listed in Section F. Complete the following blocks (see example below).

26. and 27. Names of Key Personnel and Role in This Contract. List the names of the key personnel and their proposed roles in this contract in the same order as they appear in Section E.

28. Example Projects Listed in Section F. In the column under each project key number (see block 29) and for each key person, place an "X" under the project key number for participation in the same or similar role.

29. Example Projects Key. List the key numbers and titles of the example projects in the same order as they appear in Section F.

Section H. Additional Information.

30. Use this section to provide additional information specifically requested by the agency or to address selection criteria that are not covered by the information provided in Sections A-G.

Section I. Authorized Representative

31. and 32. Signature of Authorized Representative and Date. An authorized representative of a joint venture or the prime contractor must sign and date the completed form. Signing attests that the information provided is current and factual, and that all firms on the proposed team agree to work on the project. Joint ventures selected for negotiations must make available a statement of participation by a principal of each member of the joint venture.

33. Name and Title. Self-explanatory.

SAMPLE ENTRIES FOR SECTION G (MATRIX)

X

X

29. EXAMPLE PROJECTS KEY

(FROM SECTION F)

(FROM SECTION F)

Part II - General Qualifications

See the "General Instructions" on page 1 for firms with branch offices. Prepare Part II for the specific branch office seeking work if the firm has branch offices.

1. Solicitation Number. If Part II is submitted for a specific contract, insert the agency's solicitation number and/or project number, if applicable, exactly as shown in the public announcement or agency request.

2a-2e. Firm (or Branch Office) Name and Address. Self-explanatory.

3. Year Established. Enter the year the firm (or branch office, if appropriate) was established under the current name.

4. DUNS Number. Insert the Data Universal Numbering System number issued by Dun and Bradstreet Information Services. Firms must have a DUNS number. See AMS Procurement Guidance T3.3.1.8.

5. Ownership.

a. Type. Enter the type of ownership or legal structure of the firm (sole proprietor, partnership, corporation, joint venture, etc.).

b. Small Business Status. Refer to the North American Industry Classification System (NAICS) code in the public announcement, and indicate if the firm is a small business according to the current size standard for that NAICS code (for example, Engineering Services (part of NAICS 541330), Architectural Services (NAICS 541310), Surveying and Mapping Services (NAICS 541370)). The small business categories and the internet website for the NAICS codes are available on-line. Contact the requesting agency for any questions. Contact your local U.S. Small Business Administration office for any questions regarding Business Status.

6a-6c. Point of Contact. Provide this information for a representative of the firm that the agency can contact for additional information. The representative must be empowered to speak on contractual and policy matters.

7. Name of Firm. Enter the name of the firm if Part II is prepared for a branch office.

8a-8c. Former Firm Names. Indicate any other previous names for the firm (or branch office) during the last six years. Insert the year that this corporate name change was effective and the associated DUNS Number. This information is used to review past performance on Federal contracts.

9. Employees by Discipline. Use the relevant disciplines and associated function codes shown at the end of these instructions and list in the same numerical order. After the listed disciplines, write in any additional disciplines and leave the function code blank. List no more than 20 disciplines. Group remaining employees under "Other Employees" in column b. Each person can be counted only once according to his/her primary function. If Part II is prepared for a firm (including all branch offices), enter the number of employees by disciplines in column c(1). If Part II is prepared for a branch office, enter the number of employees by discipline in column c(2) and for the firm in column c(1).

10. Profile of Firm's Experience and Annual Average Revenue for Last 5 Years. Complete this block for the firm or branch office for which this Part II is prepared. Enter the experience categories which most accurately reflect the firm's technical capabilities and project experience. Use the relevant experience categories and associated profile codes shown at the end of these instructions, and list in the same numerical order. After the listed experience categories, write in any unlisted relevant project experience categories and leave the profile codes blank. For each type of experience, enter the appropriate revenue index number to reflect the professional services revenues received annually (averaged over the last 5 years) by the firm or branch office for performing that type of work. A particular project may be identified with one experience category or it may be broken into components, as best reflects the capabilities and types of work performed by the firm. However, do not double count the revenues received on a particular project.

11. Annual Average Professional Services Revenues of Firm for Last 3 Years. Complete this block for the firm or branch office for which this Part II is prepared. Enter the appropriate revenue index numbers to reflect the professional services revenues received annually (averaged over the last 3 years) by the firm or branch office. Indicate Federal work (performed directly for the Federal Government, either as the prime contractor or subcontractor), non-Federal work (all other domestic and foreign work, including Federally-assisted projects), and the total. If the firm has been in existence for less than 3 complete fiscal years, annual receipts means its total receipts for the period it has been in business, divided by the number of weeks including fractions of a week that it has been in business, and multiplied by 52.

12. Authorized Representative. An authorized representative of the firm or branch office must sign and date the completed form. Signing attests that the information provided is current and factual. Provide the name and title of the authorized representative who signed the form.

List of Disciplines (Function Codes)

FFAA 4400-37 (01/23)

List of Experience Categories (Profile Codes)

A02 A03 A04 Aerial Photography; Airborne Data and Imagery Collection and Analysis Agricultural Development; Grain Storage; Farm Mechanization Air Pollution Control D02 D03 D04

D05 Dams (Earth; Rock); Dikes; Levees Desalinization (Process and Facilities) Design-Build - Preparation of Requests for Proposals Digital Elevation and Terrain Model Develop-

Aircraft Fueling

D06 ment Digital Orthophotography

A06

A07 Airports; Terminals and Hangars; Freight Handling Arctic Facilities

A08 A09 A10 A11 A12 Animal Facilities Anti-Terrorism/Force Protection Asbestos Abatement Auditoriums and Theaters Automation; Controls; Instrumentation E01 E02 E04 Ecological and Archeological Investigations Educational Facilities; Classrooms E03 Electrical Studies and Design Electronics

B01

Barracks; Dormitories E05 E06 Elevators; Escalators; People-Movers Embassies and Chanceries

Assessments or Statements

Mapping

F05 Forensic Engineering

Parking Decks

Electrolysis borne

Analysis; Parametric Costing;

Services: Development, Forecasting

Analysis, and Data Collection

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FAA 4400-37 (01/23)

Code Description

G05 Geospatial Data Conversion: Scanning, Digitizing, Compilation, Attributing, Scribing, Drafting G06 Graphic Design

H01 Harbors; Jetties; Piers, Ship Terminal Facilities

Apartments; Condominiums) H12 Hydraulics and Pneumatics H13 Hydrographic Surveying

I01 Industrial Buildings; Manufacturing Plants I02 Industrial Processes; Quality Control

Facilities

Etc.)

L06 Lighting (Exteriors; Streets;

Memorials; Athletic Fields, Etc.)

M01 Mapping Location/Addressing Systems M02 Materials Handling Systems;

Conveyors; Sorters

Engineering

Transport)

Code Description

M08 Modular systems Design;

Pre-Fabricated Structures or Components

O01 Office Buildings; Industrial Parks O02 Oceanographic Engineering O03 Ordnance; Munitions; Special Weapons

P01 Petroleum Exploration; Refining P02 Petroleum and Fuel (Storage and Distribution)

Gas)

Buildings

R01 Radar; Sonar; Radio and Radar Telescopes R02 Radio Frequency Systems and Shieldings R03 Railroad; Rapid Transit R04 Recreation Facilities (Parks, Marinas, Etc.)

Facilities

Control R12 Roofing

Detection S03 Seismic Designs and Studies

Code Description

Etc.

S09 Structural Design; Special Structures

T01 Telephone Systems (Rural; Mobile;

Intercom, Etc.)

Systems) T06 Tunnels and Subways

Ground Water W03 Water Supply; Treatment and Distribution

ARCHITECT - ENGINEER QUALIFICATIONS

PART I - CONTRACT-SPECIFIC QUALIFICATIONS

A. CONTRACT INFORMATION

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FAA 4400-37 (01/23)

1. TITLE AND LOCATION (City and State):

2. PUBLIC NOTICE DATE:

3. SOLICITATION OR PROJECT NUMBER:

B. ARCHITECT-ENGINEER POINT OF CONTACT

4. NAME AND TITLE:

5. NAME OF FIRM:

6. TLEPHONE NUMBER:

7. FAX NUMBER:

8. E-MAIL ADDRESS:

C. PROPOSED TEAM

(Complete this section for the prime contractor and all key subcontractors.)

9a.

PRIME

(CHECK

HERE):

9a. JOINT-VENTURE PARTNER (CHECK HERE):

9a. SUBCONTRACTOR (CHECK HERE):

9a. FIRM NAME:

9a. IF BRANCH OFFICE CHECK HERE:

10a. ADDRESS

11a. ROLE IN THIS CONTRACT 9b.

PRIME

(CHECK

HERE):

9b.

JOINT-VENTURE

PARTNER

(CHECK

HERE):

9b. SUBCONTRACTOR (CHECK HERE):

9b. FIRM NAME:

9b. IF BRANCH OFFICE CHECK HERE:

10b. ADDRESS

11b. ROLE IN THIS CONTRACT

9c. PRIME (CHECK HERE):

9c. JOINT-VENTURE PARTNER (CHECK HERE):

9c. SUBCONTRACTOR (CHECK HERE):

9c. FIRM NAME:

9c. IF BRANCH OFFICE CHECK HERE:

10c. ADDRESS

11c. ROLE IN THIS CONTRACT

9d. PRIME (CHECK HERE):

9d. JOINT-VENTURE PARTNER (CHECK HERE):

9d. SUBCONTRACTOR (CHECK HERE):

9d. FIRM NAME:

9d. IF BRANCH OFFICE CHECK HERE:

10d. ADDRESS

11d. ROLE IN THIS CONTRACT 9e.

PRIME

(CHECK

HERE):

9e.

JOINT-VENTURE

PARTNER

(CHECK

HERE):

9e.

SUBCONTRACTOR

(CHECK

HERE):

9e. FIRM NAME:

9e. IF BRANCH OFFICE CHECK HERE:

10e. ADDRESS

11e. ROLE IN THIS CONTRACT 9f.

PRIME

(CHECK

HERE):

9f.

JOINT-VENTURE

PARTNER

(CHECK

HERE):

9f.

SUBCONTRACTOR

(CHECK

HERE):

9f. FIRM NAME:

9f. IF BRANCH OFFICE CHECK HERE:

10f. ADDRESS

11f. ROLE IN THIS CONTRACT

D. ORGANIZATIONAL CHART OF PROPOSED TEAM (Attached; check here)

E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT

(Complete one Section E for each key person.)

12. NAME:

15. FIRM NAME AND LOCATION (City and State):

16. EDUCATION (DEGREE AND SPECIALIZATION):

17. CURRENT PROFESSIONAL REGISTRATION (STATE AND DISCIPLINE):

19a(2) RELEVANT PROJECT - YEAR COMPLETED - CONSTRUCTION (If applicable):

19a(3) RELEVANT PROJECT - BRIEF DESCRIPTION (Brief scope, size, cost etc.) AND SPECIFIC ROLE:

19b(2) RELEVANT PROJECT - YEAR COMPLETED - CONSTRUCTION (If applicable):

19b(3) RELEVANT PROJECT - BRIEF DESCRIPTION (Brief scope, size, cost etc.) AND SPECIFIC ROLE:

19c(2) RELEVANT PROJECT - YEAR COMPLETED - CONSTRUCTION (If applicable):

19c(3) RELEVANT PROJECT - BRIEF DESCRIPTION (Brief scope, size, cost etc.) AND SPECIFIC ROLE:

19d(2) RELEVANT PROJECT - YEAR COMPLETED - CONSTRUCTION (If applicable):

19d(3) RELEVANT PROJECT - BRIEF DESCRIPTION (Brief scope, size, cost etc.) AND SPECIFIC ROLE:

19e(2) RELEVANT PROJECT - YEAR COMPLETED - CONSTRUCTION (If applicable):

19e(3) RELEVANT PROJECT - BRIEF DESCRIPTION (Brief scope, size, cost etc.) AND SPECIFIC ROLE:

19e(3) RELEVANT PROJECT - BRIEF DESCRIPTION - Check here if project performed with current firm:

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FAA 4400-37 (01/23)

F. EXAMPLE PROJECTS WHICH BEST ILLUSTRATE PROPOSED TEAM'S QUALIFICATIONS FOR THIS CONTRACT (Present as many projects as requested by the agency, or 10 projects, if not specified.

Complete one Section F for each project.)

D. EXAMPLE PROJECT KEY NUMBER:

E. TITLE AND LOCATION (City and State):

F. YEAR COMPLETED - PROFESSIONAL SERVICES:

G. YEAR COMPLETED - CONSTRUCTION (If applicable):

23a. PROJECT OWNER'S INFORMATION - PROJECT OWNER:

23b. PROJECT OWNER'S INFORMATION - POINT OF CONTACT NAME:

23c. PROJECT OWNER'S INFORMATION - POINT OF CONTACT TELEPHONE NUMBER:

24. BRIEF DESCRIPTION OF PROJECT AND RELEVANCE TO THIS CONTRACT (Include scope, size, and cost):

25. FIRMS FROM SECTION INVOLVED WITH THIS PROJECT

G. KEY PERSONNEL PARTICIPATION IN EXAMPLE PROJECTS

26. NAMES OF KEY PERSONNEL

(From Section E, Block 12)

27. ROLE IN THIS CONTRACT (From Section E, Block 13)

28. EXAMPLE PROJECTS LISTED IN SECTION F

(Fill in “Example Projects Key” section below before completing table. Place “X” under project key number for participation in same or similar role.)

29. EXAMPLE PROJECTS KEY

H. ADDITIONAL INFORMATION

29. PROVIDE ANY ADDITIONAL INFORMATION REQUESTED BY THE AGENCY. ATTACH ADDITIONAL SHEETS AS NEEDED:

9. AUTHORIZED REPRESENTATIVE The foregoing is a statement of facts.

30. SIGNATURE OF AUTHORIZED REPRESENTATIVE:

31. DATE SIGNED:

32. NAME AND TITLE OF SIGNER:

ARCHITECT-ENGINEER QUALIFICATIONS

PART II - GENERAL QUALIFICATIONS

(If a firm has branch offices, complete for each specific branch office seeking work.)

1. SOLICITATION NUMBER (If any):

2a. FIRM (OR BRANCH OFFICE) NAME:

2b. FIRM (OR BRANCH OFFICE) STREET:

2c. FIRM (OR BRANCH OFFICE) CITY:

2d. FIRM (OR BRANCH OFFICE) STATE:

2e. FIRM (OR BRANCH OFFICE) ZIP CODE:

3. YEAR ESTABLISHED:

4. DUNS NUMBER:

5a. OWNERSHIP - TYPE:

5b. OWNERSHIP - SMALL BUSINESS STATUS:

6a. POINT OF CONTACT NAME AND TITLE:

6b. POINT OF CONTACT TELEPHONE NUMBER:

6c. POINT OF CONTACT E-MAIL ADDRESS:

7. NAME OF FIRM (If block 2a is a branch office):

9. EMPLOYEES BY DISCIPLINE

- Firm c(2). No. of Employees - Branch

Other Employee

10. PROFILE OF FIRM'S EXPERIENCE AND ANNUAL AVERAGE REVENUE FOR LAST 5 YEARS

below)

PROFESSIONAL SERVICES REVENUE INDEX NUMBER

11. ANNUAL AVERAGE PROFESSIONAL SERVICES REVENUES OF FIRM FOR LAST 3 YEARS

(Insert revenue index number shown above)

11a. Federal Work:

11b. Non-Federal Work: 11c. Total Work:

12. AUTHORIZED REPRESENTATIVE. The foregoing is a statement of facts.

12a. SIGNATURE:

12b. DATE SIGNED: