431 THE CITY DRIVE SOUTH, ORANGE, CA 92868 (714) 935-6661

Integrity without compromise • Service above self • Professionalism in the performance of duty • Vigilance in safeguarding our community

PRE-QUALIFICATION DOCUMENTS FOR:

JOB ORDER CONTRACTING

FOR

ROOFING SERVICES

RESEARCH AND DEVELOPMENT

FACILITIES PLANNING

Orange County Sheriff’s Department JOC Roofing Services Cover Page

INSTRUCTIONS:

1. SUBMIT ONE (1) ELECTRONIC COPY OF

YOUR PRE-QUALIFICATION DOCUMENTS VIA

THE COUNTY'S ONLINE BIDDING SYSTEM:

https://opengov.com/products/procurement/suppliers/

2. PRE-QUALIFICATION DOCUMENTS ARE

DUE BEFORE 2:00 PM (PACIFIC TIME) ON

April 13, 2026 AND MUST BE SUBMITTED

ELECTRONICALLY.

REQUEST FOR PRE-QUALIFICATION DOCUMENTS

Title: Job Order Contracting for Roofing Services

The Orange County Sheriff-Coroner Department, (hereinafter referred to as “OCSD” or “COUNTY”) invites Contractors to submit pre-qualification documents for Job Order Contracting (JOC) for Roofing Services. All Contractors for the 2026-2027 OCSD JOC projects must be prequalified according to this pre-qualification solicitation prior to submitting a bid. OCSD may use the list of pre-qualified Contractors for a period of one (1) year from the date of the establishment of the Qualified Bidders List.

This Request for Pre-Qualification Documents is set out in the following format:

SECTION I. Request for Pre-Qualification of Bidders Commencing With Forthcoming Public Works Bid SECTION II. Pre-Qualification Process SECTION III. Contractor Information Form SECTION IV. Pre-Qualification Documents SECTION V. List of the Scorable Questions and the Scoring Instructions [For Informational Purposes Only] SECTION VI. Model Interview Questions [For Informational Purposes Only] SECTION VII. Sources for Verification of Information Given by Contractors [For Informational Purposes Only]

STATEMENTS MUST BE RECEIVED AT OR PRIOR TO 2:00 P.M. PT ON APRIL 13, 2026

ALL QUESTIONS/REQUESTS FOR INTERPRETATION ARE DUE: MARCH 30 2026, 3:30 P.M. PACIFIC TIME

All questions and inquiries related to this Request for Pre-Qualification Documents must be directed to: the County’s online bidding system at https://opengov.com/products/procurement/suppliers/. For technical assistance with Opengov, please contact Opengov customer support via Opengov.com website chat or email at support@opengov.com

Respondents are not to contact other County personnel with any questions or clarifications concerning this Request for Pre-Qualification Documents. OCSD will provide all official communication concerning this Request for Pre-Qualification Documents. Any County response relevant to this Request for Pre-Qualification Documents other than through or approved by OCSD is unauthorized and will be considered invalid.

I HAVE READ, UNDERSTOOD AND AGREE TO ALL STATEMENTS IN THIS REQUEST FOR PRE-

QUALIFICATION DOCUMENTS, AND TO THE TERMS, CONDITIONS AND ATTACHMENTS

REFERENCED HEREIN.

Date:____________________________ Company Legal Name:_____________________________

*Authorized Signature Name Title

*Authorized Signature Name Title

* If the Respondent is a corporation, (2) two signatures are required: one (1) signature by the Chairman of the Board, the President or any Vice President; and one (1) signature by the Secretary, any Assistant Secretary, the Chief Financial Officer or any Assistant Treasurer. The signature of one person alone is sufficient to bind a corporation, as long as he or she holds corporate offices in each of the two categories described above. For county purposes, proof of such dual office holding will be satisfied by having the individual sign the instrument twice, each time indicating his or her office that qualifies under the above described provision. In the alternative, a single corporate signature is acceptable when accompanied by a corporate resolution demonstrating the legal authority of the signatory to bind the corporation.

RETURN THIS SHEET WITH YOUR RESPONSE

REQUEST FOR

PRE-QUALIFICATIONS OF

CONTRACTORS

PRE-QUALIFICATION DOCUMENTS

MUST BE RECEIVED

AT OR PRIOR TO 2:00 P.M. PT

ON

April 13, 2026

JOC Roofing Services Table of Contents

TABLE OF CONTENTS

COVER PAGE

TABLE OF CONTENTS

SECTION I: REQUEST FOR PRE-QUALIFICATION OF BIDDERS COMMENCING

WITH FORTHCOMING PUBLIC WORKS BID

SECTION II: PRE-QUALIFICATION PROCESS

SECTION III: CONTRACTOR INFORMATION FORM

SECTION IV: PRE-QUALIFICIATION DOCUMENTS

I. Essential requirements for qualification

II. Organization, history, organizational performance, compliance with civil and criminal laws

III. Contractor recent relevant construction project experience

IV. Certification

SECTION V: LIST OF THE SCORABLE QUESTIONS AND THE SCORING

INSTRUCTIONS [FOR INFORMATIONAL PURPOSES ONLY]

SECTION VI: MODEL INTERVIEW QUESTIONS [FOR INFORMATIONAL

PURPOSES ONLY]

SECTION VII: SOURCES FOR VERIFICATION OF INFORMATION GIVEN

BY CONTRACTORS [FOR INFORMATIONAL PURPOSES ONLY]

SECTION I

REQUEST FOR

PRE-QUALIFICATION OF BIDDERS

COMMENCING WITH FORTHCOMING

PUBLIC WORKS BID

JOC Roofing Services Request for Pre-Qualification of Bidders

SECTION I: REQUEST FOR PRE-QUALIFICATION OF BIDDERS COMMENCING

WITH FORTHCOMING PUBLIC WORKS BID

The Orange County Sheriff-Coroner Department, (hereinafter referred to as “OCSD” or “COUNTY”) invites Contractors to submit pre-qualification documents for Job Order Contracting (JOC) for Roofing Services. All Contractors for future OCSD JOC projects must be prequalified prior to submitting a bid.

Contractor shall provide all labor, materials, tools, equipment, utilities, vehicles and transportation services required to provide Roofing Services under the JOC Agreement. Services may be provided, but not be limited to, any facility or property which is owned, operated, or maintained by OCSD.

The total Contract amount per contract will not exceed a total work value of $3,000,000.

Once the contract is awarded, Contractor shall have their employees, subcontractors and/or suppliers to submit security clearance applications prior to commencing any work in the secured County facilities. Contractor’s employees, subcontractors and/or suppliers will be required to submit personal background checks as part of the security clearance process.

If two (2) or more business entities submit a bid as part of a Joint Venture, or expect to submit a bid as part of a Joint Venture, each entity within the Joint Venture must be separately qualified to bid. The last date to submit a fully completed questionnaire is April 13, 2026. Contractors are encouraged to submit pre-qualification packages as soon as possible, so that they may be notified of omissions of information to be remedied or of their pre-qualification status well in advance of the bid advertisement for this project.

Complete answers to the questions contained in the attached questionnaire, information about current bonding capacity, the notarized statement from a surety, and the most recent reviewed or audited financial statements, with accompanying notes and supplemental information, are all required components of the prequalification application. OCSD will use these documents as the basis for rating Contractors. OCSD also reserves the right to consider other available sources. A determination as to a prospective bidder’s pre-qualification will be based on objective evaluation criteria.

OCSD reserves the right to adjust, increase, limit, suspend, or rescind the pre-qualification rating based on subsequently learned information. Contractors whose rating changes sufficient to disqualify them will be notified, and given an opportunity for a hearing consistent with the hearing procedures described below for appealing a pre-qualification determination.

While it is the purpose of the pre-qualification questionnaire and accompanying documents to assist OCSD in determining bidder responsibility prior to bid, neither the fact of pre-qualification, nor any pre-qualification rating, will preclude OCSD from a post-bid consideration and determination of whether a bidder has demonstrated the attribute of trustworthiness, as well as quality, fitness, capacity, and experience to satisfactorily perform the proposed work.

The pre-qualification process will include Contractor’s submittal of completed pre-qualification documents, OCSD’s evaluation of these documents, and OCSD’s determination of the Contractor’s qualification or disqualification. Only pre-qualified Contractors will be eligible to participate in the bidding process.

Pre-qualification documents for the Job Order Contract (JOC) Roofing Services are available to interested Contractors at the following website:

https://opengov.com/products/procurement/suppliers/.

Current and active California Class C-39 – Roofing Contractor’s license is required of the Contractor at the time of bid.

Additions and/or modifications to the pre-qualification documents will be announced by OCSD via addenda posted on the above website. Contractors are solely responsible for obtaining pre-qualification documents addenda, if any, by referring to the above website on a regular and frequent basis after posting of this notice. Pre-qualification documents’ submittal due date(s) will not be extended solely as a result of prospective Contractors’ failure to obtain addenda, if any.

It is mandatory that all contractors who intend to submit a bid shall fully complete the pre-qualification questionnaire and provide all materials requested herein.

Questions regarding the pre-qualification documents may be submitted through the following website: https://opengov.com/products/procurement/suppliers/.

Contractors shall submit One (1) Copy of the completed pre-qualification documents electronically via Opengov at https://opengov.com/products/procurement/suppliers/ no later than 2:00 P.M. on April 13, 2026. Paper, faxed, or emailed proposals will not be accepted. For assistance on uploading proposals, please contact Opengov Vendor Support Team at via Opengov.com website chat or email at support@opengov.com. The County will not accept proposal(s) after the due date and time specified above.

In accordance with California Public Contract Code § 20101, “The questionnaires and financial statements shall not be public records and shall not be open to public inspection; however, records of the names of Contractors applying for pre-qualification status shall be public records subject to disclosure under Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1 of the Government Code.” The pre-qualification packages (questionnaire answers and financial statements) and all information provided will be kept confidential to the extent permitted by law.

However, the contents may be disclosed to third parties for purpose of verification, or investigation of substantial allegations, or in the appeal hearing. Public Contract Code § 20101 requires that the names of Contractors applying for pre-qualification status shall be public records subject to disclosure, and the first page of the questionnaire will be used for that purpose.

Each questionnaire must be signed under penalty of perjury, in the manner designated at the end of the form, by an individual who has the legal authority to bind the Contractor on whose behalf that person is signing. If any information provided by a Contractor becomes inaccurate, the Contractor must immediately notify OCSD and provide updated accurate information in writing, under penalty of perjury.

County reserves the right to waive minor irregularities and omissions in the information contained in the pre-qualification application submitted, to make all final determinations, and to determine at any time that the pre-qualification procedures will not be applied to a specific future public works project.

OCSD will issue either a “Notice of Pre-qualification” of “Notice of Non-qualification” (“Notice”) to inform Applicants whether they are prequalified or not to bid on the project.

OCSD shall refuse to grant pre-qualification where the requested information and materials are not provided in their entirety by April 13, 2026. There is no appeal from a refusal for an incomplete or late application, but re-application for a later project is permitted.

Where a timely and completed application results in a rating below that necessary to pre-qualify, an appeal can be made. For additional information on the Appeal Process, reference Pre-qualification Process section of this document package. Without a timely appeal, the Contractor waives any and all rights to challenge the decision of OCSD whether by administrative process, judicial process, or any other legal process or proceeding.

If the Contractor gives written notice of appeal to OCSD within seven (7) days of the date of the Notice and requests a hearing, the hearing shall be conducted no later than five (5) business days after OCSD’s receipt of the notice of appeal. The hearing shall be an informal process conducted by a panel (the “Hearing Panel”). The Hearing Panel shall be established and consist of three (3) panelists from various County departments, including one (1) from OCSD. Prior to the hearing, the Contractor will be advised of the basis for OCSD’s pre-qualification determination. The Contractor will be given the opportunity to present evidence and argument in opposition to the pre-qualification determination. Within three (3) days after the conclusion of the hearing, the Hearing Panel will render its decision. It is the intention of OCSD that the date for the submission and opening of bids will not be delayed or postponed to allow for completion of an appeal process.

A Contractor may be disqualified from bidding on a specific public works contract or on all contracts led by OCSD, until the Contractor meets OCSD’s pre-qualification requirements. In addition, a Contractor may be disqualified for either:

(1) Omission of requested information, or

(2) Falsification of information.

SECTION II

PRE-QUALIFICATION PROCESS

JOC Roofing Services Pre-Qualification Process

SECTION II: PRE-QUALIFICATION PROCESS

Pre-qualification documents are available to interested Contractors at the following website:

https://opengov.com/products/procurement/suppliers/.

Additions and/or modifications to the pre-qualification documents will be announced by OCSD via addenda posted on the above website. Contractors are solely responsible for obtaining pre-qualification documents addenda, if any, by referring to the above website on a regular and frequent basis after posting of this notice.

Complete answers to the questions contained in the attached questionnaire, information about current bonding capacity, the notarized statement from a surety, and the most recent reviewed or audited financial statements, with accompanying notes and supplemental information, are all required components of the pre-qualification application. OCSD will use these documents as the basis for rating Contractors. OCSD also reserves the right to consider other available sources. A determination as to a prospective bidder’s pre-qualification will be based on OCSD’s uniform rating system, which is based on objective evaluation criteria. In order to pre-qualify, a prospective bidder must meet the minimum requirements for Section IV’s Part I, Part II, and Part III herein (refer to the LIST OF THE SCORABLE QUESTIONS AND THE SCORING INSTRUCTIONS section for additional information related to the minimum requirements for each section).

Contractors shall use the pre-qualification documents herein as their submission package to be considered for pre-qualification. Contractors shall submit legible responses where indicated in the pre-qualification documents. Contractors shall provide their response on a 81/2 x 11 document with a 12pt font, single spaced, that properly and clearly identifies to which question the typed response relates. Contractors will be responsible for clearly identifying questions-to-responses in typed attachments. Mismarked responses may not be considered as a relevant response.

Questions regarding the pre-qualification documents may be submitted through the following website: https://opengov.com/products/procurement/suppliers/.

Contractors shall submit the completed pre-qualification documents electronically and reference “OCSD JOB ORDER CONTRACTING FOR ROOFING SERVICES” via Opengov at https://opengov.com/products/procurement/suppliers/ no later than 2:00 P.M. on April 13, 2026. Paper, faxed, or emailed proposals will not be accepted. For assistance on uploading proposals via Opengov, please contact Opengov Vendor Support Team at via Opengov.com website chat or email at support@opengov.com. The County will not accept proposal(s) after the due date and time specified above.

OCSD will use the pre-qualification documents as the basis for its determination of Contractor pre-qualification, but reserves the right to check other sources of information and/or waive minor irregularities and omissions in the information contained in the pre-qualification documents and to make all final determinations.

OCSD reserves the right to adjust, increase, limit, suspend or rescind the pre-qualification rating based on subsequently learned information.

Contractors will be notified by OCSD whether they are pre-qualified. Only Contractors that are pre-qualified will be allowed to submit bids for JOC.

While it is the intent of the pre-qualification documents to assist OCSD in determining bidder responsibility prior to bid and to aid in selecting the lowest responsible bidder, neither the pre-qualification nor any pre-qualification rating will preclude OCSD from conducting a post-bid evaluation of whether a bidder has (a) the quality, fitness, experience, competency, capability, capacity, and demonstrates the requisite trustworthiness to complete a project of this type; (b) key personnel with sufficient expertise and training to competently manage and complete the construction of the JOC PROJECTS; and (c) the financial capacity to perform and complete the

JOC PROJECTS.

All Contractors who wish to be pre-qualified must fully and completely respond to the pre-qualification questionnaire, provide all materials requested herein, and be approved by OCSD in order to be qualified to bid. No bid will be accepted from a Contractor that has not been qualified through this process.

If two (2) or more business entities submit a bid as part of a Joint Venture, or expect to submit a bid as part of a Joint Venture, each entity within the Joint Venture must be separately qualified to bid. Each entity within the Joint Venture or Partnership must pre-qualify separately.

APPEAL PROCESS:

Where the Contractor has made a timely and complete submittal of pre-qualification documents that result in a determination that the Contractor is not qualified for this PROJECT, the Contractor can contest the department’s decision via an administrative hearing.

To petition for a hearing, the Contractor must deliver written notice of its desire to contest the Department’s decision to OCSD within seven (7) calendar days of the date of OCSD’s notice of determination. Failure to file a timely notice shall result in the Contractor’s waiver of any and all rights to challenge the pre-qualification determination, whether by administrative process, judicial process, or any other legal process or proceeding.

The Contractor may request OCSD to advise it in writing of the basis for the pre-qualification determination and any supporting evidence that was received from others or adduced as a result of an investigation by OCSD.

A Hearing Panel shall be established and consist of three (3) panelists from various County departments, including one (1) from OCSD.

If a Contractor contests a negative determination, the Hearing Panel shall render its decision based on the entire administrative record, including the Contractor’s written notice and supporting documentation. The Contractor may submit on the record, or request to testify before the Hearing Panel to rebut the department’s determination of non-qualification. Such a hearing is conducted in an informal manner, and all relevant evidence is admissible. The Department rendering the initial determination may rebut any evidence proffered by the Contractor in writing or through its own testimony. Finally, the Hearing Panel may ask questions of either the Contractor or Department before making its decision.

If the Contractor requests to provide testimony, the hearing shall be conducted within five (5) business days after OCSD’s receipt of notice of appeal and no later than twenty (20) business days prior to the last date of receipt of bids on the project. Within three (3) business days after the conclusion of the hearing, the Hearing Panel will render its decision in writing. All decisions from the Hearing Panel are final.

Appeals shall be submitted to the following:

Orange County Sheriff-Coroner Research and Development Division

431 The City Drive South Orange, CA 92868

Attn: JOC Coordinator

BONDING REQUIREMENTS:

For pre-qualification, Contractors shall provide the surety statement indicated in Part I Question 6, indicating an individual project bonding capacity of not less than $3,000,000. This construction budget is subject to change as needed prior to the time for acceptance of bids.

INSURANCE PROVISIONS:

For pre-qualification, Contractor shall understand the insurance requirements for JOC Contracts. The following insurance information reflects current requirements for projects with OCSD and would be included in the JOC Contract for this project.

Prior to the provision of services under this Contract, the Contractor agrees to carry all required insurance at Contractor’s expense, including all endorsements required herein, necessary to satisfy the County that the insurance provisions of this Contract have been complied with. Contractor agrees to keep such insurance coverage, Certificates of Insurance, and endorsements on deposit with the County during the entire term of this Contract. The County reserves the right to request the declarations pages showing all endorsements and a complete certified copy of the policy.

Contractor shall ensure that all subcontractors performing work on behalf of Contractor pursuant to this Contract shall be covered under Contractor’s insurance as an Additional Insured or maintain insurance subject to the same terms and conditions as set forth herein for Contractor. Contractor shall not allow Subcontractors to work if Subcontractors have less than the level of coverage required by County under this Contract. It is the obligation of Contractor to provide notice of the insurance requirements to every subcontractor and to receive proof of insurance prior to allowing any subcontractor to begin work. Such proof of insurance must be maintained by Contractor through the entirety of this Contract for inspection by County representative(s) at any reasonable time.

All self-insured retentions (SIR)’s shall be clearly stated on the Certificate of Insurance. Any SIR in excess of Fifty Thousand Dollars ($50,000) shall specifically be approved by the County’s Risk Manager, or designee. The County reserves the right to require current audited financial reports from Contractor. If Contractor is self-insured, Contractor will indemnify the County for any and all claims resulting or arising from Contractor’s services in accordance with the indemnity provision stated in this Contract.

Upon notice of any actual or alleged claim or loss arising out of Subcontractor’s work hereunder, Subcontractor shall immediately satisfy in full the SIR provisions of the policy in order to trigger coverage for the Contractor and Additional Insureds.

If the Contractor fails to maintain insurance acceptable to the County for the full term of this Contract, the County may terminate this Contract.

Qualified Insurer

The policy or policies of insurance must be issued by an insurer with a minimum rating of A- (Secure A.M. Best's Rating) and VIII (Financial Size Category as determined by the most current edition of the Best's Key Rating Guide/Property-Casualty/United States or ambest.com).

If the insurance carrier does not have an A.M. Best Rating of A-/VIII, the CEO/Office of Risk Management retains the right to approve or reject a carrier after a review of the company's performance and financial ratings.

The policy or policies of insurance maintained by the Contractor shall provide the minimum limits and coverage as set forth below:

Coverage Minimum Limits

Commercial General Liability $3,000,000 per occurrence

Including Products – Completed Operations $3,000,000 aggregate

Automobile Liability including coverage for owned, scheduled, non-owned and hired vehicles

$1,000,000 combined single limit each accident

Workers’ Compensation Statutory

Employers’ Liability Insurance $1,000,000 per occurrence accident or disease

Increased insurance limits may be satisfied with Excess/Umbrella policies. Excess/Umbrella policies must provide Follow Form coverage.

Required Coverage Forms

The Commercial General Liability coverage shall be written on occurrence basis Insurance Services Office (ISO) form CG 00 01, or a substitute form providing liability coverage at least as broad. The Commercial General Liability policy shall not exclude coverage for Explosion, Collapse, or Underground Hazard (XCU).

The Business Auto Liability coverage shall be written on ISO form CA 00 01, CA 00 05, CA 00 12, CA 00 20, or a substitute form providing liability coverage as broad.

Required Endorsements

The Commercial General Liability policy shall contain the following endorsements, which shall accompany the Certificate of Insurance:

1) An Additional Insured endorsement using ISO form CG 2010 04 13 or CG 2033 04 13 or a form at least as broad naming the County of Orange, its elected and appointed officials, officers, employees and agents as Additional Insureds, or provided blanket coverage which shall state AS REQUIRED BY WRITTEN CONTRACT.

2) A primary non-contributing endorsement evidencing that the Contractor’s insurance is primary and any insurance or self-insurance maintained by the County of Orange shall be excess and non-contributing.

3) A Products and Completed Operations endorsement using ISO Form CG2037 04 13 or a form at least as broad.

The Workers’ Compensation policy shall contain a waiver of subrogation endorsement waiving all rights of subrogation against the County of Orange, its elected and appointed officials, officers, employees and agents or provide blanket coverage, which shall state AS REQUIRED BY WRITTEN CONTRACT when acting within the scope of their appointment or employment.

All insurance policies required by this Contract shall waive all rights of subrogation against the County of Orange, its elected and appointed officials, officers, employees and agents when acting within the scope of their appointment or employment.

Contractor shall notify County in writing within thirty (30) days of any policy cancellation and ten

(10) days for non-payment of premium and provide a copy of the cancellation notice to County.

Failure to provide written notice of cancellation may constitute a material breach of the Contract, upon which the County may suspend or terminate this Contract.

The Commercial General Liability policy shall contain a severability of interests clause (standard in the ISO CG 001 policy).

Insurance certificates should be forwarded to the agency/department address listed on the solicitation.

If the Contractor fails to provide the insurance certificates and endorsements within seven (7) days of notification by CEO/Purchasing or the agency/department purchasing division, award may be made to the next qualified Contractor.

County expressly retains the right to require Contractor to increase or decrease insurance of any of the above insurance types throughout the term of this Contract. Any increase or decrease in insurance will be as deemed by County of Orange Risk Manager as appropriate to adequately protect County.

County shall notify Contractor in writing of changes in the insurance requirements. If Contractor does not deposit copies of acceptable certificates of insurance and endorsements with County incorporating such changes within thirty days of receipt of such notice, this Contract may be in breach without further notice to Contractor, and County shall be entitled to all legal remedies.

The procuring of such required policy or policies of insurance shall not be construed to limit Contractor’s liability hereunder nor to fulfill the indemnification provisions and requirements of this Contract, nor in any way to reduce the policy coverage and limits available from the insurer.

BID SUMITTAL AND AWARD ANTICIPATED TIMELINE:

The anticipated bid submittal and award schedule is as follows:

Phase or Milestone Anticipated Dates Advertise for Bids July 2026 Bids Due August 2026 Award of Contract October 2026

The anticipated dates above are subject to change. The final dates will be published in the appropriate official documents.

All pre-qualification documents (except the Contractor Information Form) will be considered official information acquired in confidence. OCSD will maintain the confidentiality of the pre-qualification documents (except the Contractor Information Form) to the extent permitted by law.

However, the contents may be disclosed to third parties for purpose of verification or investigation of substantial allegations, or in any appeal of Contractor Information Form pre-qualification status.

Pre-qualification document submittals must be signed under penalty of perjury in the manner designated at the end of the form, by an individual who has the legal authority to bind the Contractor on whose behalf that person is signing. If any information provided by a Contractor becomes inaccurate, the Contractor must immediately notify OCSD and provide updated accurate information in writing, under penalty of perjury.

Please direct any questions on this pre-qualification process through the following website:

https://opengov.com/products/procurement/suppliers/.

Checklist of Required Submittals

This checklist is provided for the convenience of the contractor and is not to be included in the Contractor’s Pre-Qualification Documents. Items listed here are required for submittal.

1. Contractor Information Form (Section III)

2. Pre-Qualification Questionnaire:

All questions answered (Questions 1-52) with any supplemental pages attached (Section and Question numbers, and signature and date included on each additional page)

Signed and dated Certification (Section IV Part IV)

3. Notarized statement from an admitted surety insurer (approved by the

California Department of Insurance) and authorized to issue bonds per the specific project requirements (Section IV. Part I, Question 6).

4. Description of construction experience/expertise of key personnel who will be working on the specified project herein (construction foreman, project superintendent, construction project manager, and/or on-site inspector) and what qualifies them to work on this project (Section IV, Part III, Question 51-52).

SECTION III

CONTRACTOR

INFORMATION FORM

JOC Roofing Services Contractor Information Form

SECTION III: CONTRACTOR INFORMATION FORM

NOTE: The information on this page is not confidential and may be made available to the public.

Contractor:____________________________________

(name as it appears on license)

Organization Type (Select one):

Corporation

Partnership

Joint Venture

Limited Liability Company

Sole Proprietor

Contact Person:

Title:

Email Address:

Phone: Fax:

Mailing Address:

Federal Tax I.D. Number:

State Tax I.D. Number:

DIR Public Works Contractor Registration Number(s):

PWCR Number:__________________ Entity Name:__________________ Expiration Date:_______

PWCR Number:__________________ Entity Name:__________________ Expiration Date:_______

PWCR Number:__________________ Entity Name:__________________ Expiration Date:_______

PWCR Number:__________________ Entity Name:__________________ Expiration Date:_______

Contractor License Number(s) and Type(s):

Classification:____________________ No.:_________________________ Expiration Date:_______

Classification:____________________ No.:_________________________ Expiration Date:_______

Classification:____________________ No.:_________________________ Expiration Date:_______

Classification:____________________ No.:_________________________ Expiration Date:_______

SECTION IV

PRE-QUALIFICATION DOCUMENTS

JOC Roofing Services Pre-Qualification Documents

SECTION IV: PRE-QUALIFICATION DOCUMENTS

PART I: ESSENTIAL REQUIREMENTS FOR QUALIFICATION

The information in Part I will be used to evaluate whether the Contractor is adequately licensed, bonded, insured and financed.

Contractor will be immediately disqualified if the answer to any of questions 1 through 6 is a “no.”1

Contractor will be immediately disqualified if the answer to any questions 7 through 10 is a “yes”. If the answer to question 9 is “yes,” and if debarment would be the sole reason for denial of pre-qualification, any pre-qualification issued will exclude the debarment period.

1. Licensure and Self Performance

a. Contractor possesses a valid and current California Contractor's license for the project for which it intends to submit a bid.

Yes No

b. For JOC Contracts requiring “C” licenses, is the Contractor able to self-perform 60% of the Work, including without limitation, providing all labor, materials, apparatus, supplies, services, facilities, utilities, transportation, manuals, warranties, training, and the like, necessary for the Contractor to faithfully perform and complete all of its obligations?

Yes No N/A

(If the answer is “yes” to 1.b. above, verifiable information from Contractor on up to five (5) projects of at least $500,000 ($100,000 for C-7 licensees) within the past two years will be required; certified payroll records for said projects shall also be provided within seven (7) calendar days upon request.)

2. Contractor possesses current registration status with the Department of Industrial Relations, and has been issued a registration number.

Yes No

3. Contractor has a Commercial General Liability Insurance policy with a liability policy limit as indicated in the Pre-qualification Process section.

4. Contractor has current Workers' Compensation insurance policy as required by the Labor Code or is legally self-insured pursuant to Labor Code section 3700 et. Seq.

1 A “no” answer to Question 5 will not be disqualifying if the Contractor is exempt from complying with Question 5, for reasons explained in footnote 4.

Yes No Contractor is exempt from this requirement, because it has no employees

5. Contractor has attached latest copy of a reviewed2 or audited 3 financial statement (including Balance Sheet, Operating (P&L) Statements, and Cash Flow Statements) with accompanying notes and supplemental information4 for each of the two (2) most recent fiscal years.

Yes No

NOTE: Financial statements that are neither reviewed nor audited are not acceptable. A letter verifying availability of a line of credit may also be attached; however, it will be considered as supplemental information only, and is not a substitute for the required financial statement.

6. Contractor has attached a notarized statement from an admitted surety insurer (approved by the California Department of Insurance) who is authorized to issue bonds in the State of California, which states that your current available bonding capacity for the JOC Contract is at least the amount as required in the Pre-qualification Process section.5

Yes No

NOTE: Notarized statement must be from the surety company, not an agent or broker.

Bonding Company Name:

Address:

Telephone Number:

7. Has Contractor’s license been revoked at any time in the last five (5) years?

8. Has a surety firm completed a contract on behalf of the Contractor, or paid for the completion because the Contractor was default terminated by the project owner within the last five (5) years?

2 Under AICPA standards with respect to reviewed financial statements, a certified public accountant may express limited assurance on financial statements that have not been audited. The review provides limited assurance that there are no material modifications that should be made to the financial statements in order for them to be in conformity with generally accepted accounting principles. It is based on inquiry and analytical procedures performed by the certified public accountant. The accountant is not required to obtain an understanding of internal control or assess control risk.

3 The audited report shall contain either an expression of opinion by a certified public accountant regarding the financial statements taken as a whole or an assertion to the effect that an opinion cannot be expressed.

4 Public Contract Code section 20101(e) exempts from this requirement a Contractor who has qualified as a small business pursuant to Government Code section 14837(d)(1), if the bid is “no more than 25 percent (25%) of the qualifying amount provided in section 14837 (d)(1).” As of January 1, 2001, the qualifying amount is $10 million, and 25 percent (25%) of that amount, therefore, is $2.5 million. If you intend to rely on this exemption, you must attach documentation establishing that you are qualified as a Small Business Administration entity.

5 An additional notarized statement from the surety may be requested by OCSD at the time of submission of a bid, if this pre-qualification package is submitted more than sixty (60) days prior to submission of the bid. If the sole basis for the Contractor not pre-qualifying is insufficient bonding capacity at the time of submitting Pre-qualification Documents, Contractor may request a re-evaluation of its bonding capacity no later than thirty

(30) days before the date on which the list of pre-qualified Contractors is submitted to the Board of Supervisors for approval.

9. At the time of submitting the Pre-qualification Documents, is Contractor ineligible to bid on or be awarded a public works contract, or perform as a subcontractor on a public works contract, pursuant to either Labor Code section 1777.1 or Labor Code section 1777.7?

Yes No

If the answer is "yes," please state the beginning and ending dates of the period of debarment and attach a written explanation. Beginning: _________ Ending: ___________

10. Convictions and Litigation

a. At any time during the last five (5) years, has Contractor or any of its owners or officers been convicted of a crime involving the awarding of a contract of a government construction project, or the bidding or performance of a government contract?

b. At any time during the past five (5) years, has your firm, or any of its owners or officers been a named party to an active case in a court of law with the County of Orange, any County of Orange Department or special district, any County of Orange Elected official, or any current or former member(s) of the Board of Supervisors?

PART II: ORGANIZATION, HISTORY, ORGANIZATIONAL PERFORMANCE,

COMPLIANCE WITH CIVIL AND CRIMINAL LAWS

The information in Part II will be evaluated to determine whether the Contractor has the experience, competency, capability, and capacity to complete projects of similar size, scope, and complexity through organizational structure, performance and business, and complies with civil and criminal law to complete the JOC Contract.

11. Current Organization and Structure of the Contractor.

For Contractor Firms That Are Corporations: 11a. - 11d. N/A

a) Date incorporated: ______________________________

b) Under the laws of what state(s): ____________________________________________

c) Provide all the following information for each person who is either (a) the President, CEO, Secretary, or Treasurer, or (b) the Owner of at least ten percent (10%) of the Corporation's stock.

Name Position Years with Co. % Ownership

d) Identify every construction firm that any person listed above has been associated with (as owner, general partner, limited partner or officer) at any time during the last five (5) years.

NOTE: For this question, "owner" and "partner" refer to ownership of ten percent (10%) or more of the business, or ten percent (10%) or more of its stock, if the business is a corporation.

Person's Name Construction Firm Dates of Person's Participation with Firm

For Contractor Firms That Are Partnerships: 11e. - 11i. N/A

e) Date of formation:

f) Under the laws of what state(s):

g) Provide all the following information for each partner who owns ten percent (10%) or more of the firm.

Name Position Years with Co. % Ownership

h) Identify every construction company that any partner has been associated with (as owner, general partner, limited partner or officer) at any time during the last five (5) years.

NOTE: For this question, "owner" and "partner" refer to ownership of ten percent (10%)

i) A copy of the partnership agreement is attached.

NOTE: If Contractor is a partnership, the partnership agreement must state that all partners are fully liable for Contractor’s performance of the contract that is subject of this Pre-qualification Questionnaire.

For Contractor Firms That Are Sole Proprietorships: 11j. – 11l. N/A

j) Date of commencement of business: ____________________________________

k) Social security number of company owner:

l) Identify every construction firm that the business owner has been associated with (as owner, general partner, limited partner or officer) at any time during the last five (5) years.

NOTE: For this question, "owner" and "partner" refer to ownership of ten percent (10%)

For Contractor Firms That Are Joint Ventures: 11m. – 11o. N/A

m) Date of commencement of Joint Venture: ______________________________

n) Provide all of the following information for each firm that is a member of the Joint Venture that expects to bid on this JOC Contract:

Name of Firm % Ownership of Joint Venture

o) A copy of the Joint Venture agreement is attached.

History of the Business and Organizational Performance

12. Has there been a change in ownership of the firm at any time during the last three (3) years?

NOTE: A corporation whose shares are publicly traded is not required to answer this question.

13. Is the Contractor a subsidiary, parent, holding company or affiliate of another construction, architecture, or engineering firm?

Yes No

If the answer is "yes," please attach a written explanation.

NOTE: Include information about the other firm(s) if either the firm seeking pre-qualification or the other firm owns 50 percent (50%) or more of the other, or if an owner, partner, or officer of the firm seeking pre-qualification holds a similar position in another firm.

14. Are any corporate officers, partners or owners connected to any other construction firms?

If the answer is "yes," please attach a written explanation.

NOTE: Include information about the other firm(s) if an owner, partner, or officer of your firm holds a similar position in another firm.

15. State Contractor gross revenues for each of its last three (3) fiscal years:

Fiscal Year Gross Revenue

16. How many years has Contractor been in business in California as a Contractor under its present business name and license number? Years

17. Is Contractor currently the debtor in a receivership or bankruptcy case?

If the answer is "yes," please attach a copy of the bankruptcy petition, showing the case number, and the date on which the petition was filed.

18. Was Contractor in bankruptcy at any time during the last five (5) years? (This question refers only to a bankruptcy action that was not described in the answer to question 17, above)

Yes No

If the answer is "yes," please attach a copy of the bankruptcy petition, showing the case number and the date on which the petition was filed, and a copy of the Bankruptcy Court's discharge order, or of any other document that ended the case, if no discharge order was issued.

Licenses

19. List all California construction license numbers, classifications and expirations dates of the California contract licenses held by your firm:

License # Classification Expiration Date

20. If any of Contractor’s license(s) are held in the name of a corporation or partnership, list below the names of the qualifying individual(s) listed on the Contractor’s State Licensing Board records who meet(s) the experience and examination requirements for each license.

License # Name of Individual

21. At any time during the past five (5) years, has Contractor changed names or license numbers?

Yes No

If the answer is "yes," please attach a written explanation, including the reason for the change.

22. At any time during the past five (5) years, has any owner, partner or (for corporations) officer of Contractor operated a construction firm under any other name?

Yes No

If the answer is "yes," please attach a written explanation, including the reason for the change.

23. At any time during the past five (5) years, has any Contractor’s State License Board license held by Contractor, Responsible Managing Employee (RME), or its Responsible Managing Officer (RMO) expired, been suspended, revoked or voluntarily withdrawn?

If the answer is "yes," please attach a written explanation.

24. At any time during the past five (5) years, has Contractor, its Responsible Managing Employee(s) (RME) or its Responsible Managing Officer(s) (RMO) ever been found in violation of the Contractors State License Law?

Yes No

If the answer is "yes," please attach a written explanation.

Disputes

25. At any time during the past five (5) years, has Contractor been assessed and paid liquidated damages after completion of a project under a construction contract with either a public or private owner?

Yes No

If the answer is “yes,” explain on a separate signed page, identifying all such projects by owner, owner's address, the date of completion of the project, amount of liquidated damages assessed and all other information necessary to fully explain the assessment of liquidated damages.

26. At any time during the past five (5) years, has Contractor or any of its owners, officers, or managing employees, or any firm with which any of their owners, officers or partners were associated, been debarred, disqualified, removed or otherwise prevented from bidding on, or completing, any government agency or public works project for any reason?

Yes No

If answer is "yes," explain on a separate signed page. State whether the firm involved was the firm applying for pre-qualification here or another firm. Identify by name of the company, the name of the person within your firm who was associated with that company, the year of the event, the owner of the project, the project and the basis for the action.

NOTE: "Associated" refers to another construction firm in which an owner, partner or officer of your firm held a similar position, and which is listed in response to question 11c, 11d, 11g or 11h on this form.

27. At any time during the past five (5) years, has Contractor or any of its owners, officers, or managing employees been denied an award of a public works contract based on a finding by a public agency that your company was not a responsible bidder?

Yes No

If answer is "yes," explain on a separate signed page. Identify the year of the event, the owner, the project and the basis for the finding by the public agency.

Note: The following two (2) questions refer only to disputes between your firm and the owner of a project. You need not include information about disputes between your firm and a supplier, another contractor, or subcontractor. You need not include information about "pass-through" disputes in which the actual dispute is between a subcontractor and a project owner. Also, you may omit reference to all disputes involving amounts less than $50,000.

28. At any time during the past five (5) years, has any claim(s) against Contractor concerning your firm's work on a construction project been filed in court or arbitration or been settled?

Yes No

If answer is "yes," explain on a separate signed page. Identify the claim(s) by providing the project name, date of the claim, name of the claimant, a brief description of the nature of the claim, the court or forum in which the case was filed and a brief description of the status of the claim (pending or, if resolved, a brief description of the resolution).

29. At any time during the past five (5) years, has Contractor made any claim(s) against a project owner concerning work on a project or payment for a contract and filed that claim in court or arbitration?

Yes No

If answer is "yes," explain on a separate signed page. Identify the claim(s) by providing the project name, date of the claim, name of the entity (or entities) against whom the claim was filed, a brief description of the nature of the claim, the court in which the case was filed and a brief description of the status of the claim (pending, or if resolved, a brief description of the resolution).

30. At any time during the past five (5) years, has any surety company made any payments on behalf of Contractor as a result of a default, to satisfy any claims made against a performance or payment bond issued on your firm's behalf, in connection with a construction project, either public or private?

Yes No

If answer is "yes," explain on a separate signed page the amount of each such claim, the name and telephone number of the claimant, the date of the claim, the grounds for the claim, the present status of the claim, the date of resolution of such claim if resolved, the method by which such was resolved if resolved, the nature of the resolution and the amount, if any, at which the claim was resolved.

31. At any time during the past five (5) years, has any insurance carrier, for any form of insurance, refused to renew the insurance policy for Contractor?

Yes No

If answer is "yes," explain on a separate signed page. Name the insurance carrier, the form of insurance and the year of the refusal(s).

32. At any time during the past five (5) years, has Contractor defaulted on a construction contract?

Yes No

If answer is "yes," please attach a written explanation with the name of the other contracting party, the name of the project, the date of the default, and the circumstances…