Regional_Drought_Resiliency_Project-Intertie_RFQ.pdf

WATER DEPARTMENT

REQUEST FOR QUALIFICATIONS (RFQ)

FOR

Project Title: Regional Drought Resiliency Project - Intertie

CWO #2023-003

SANTA CRUZ CITY COUNCIL

Fred Keeley, Mayor

Renee Golder, Vice Mayor Sandy Brown Sonja Brunner

Shebreh Kalantari-Johnson Scott Newsome Martine Watkins

Matt Huffaker, City Manager

Bonnie Bush, City Clerk Administrator

Anthony P. Condotti, City Attorney

Rosemary Menard, Water Department Director

Statement of Qualifications (SOQ) Due: 11/10/2023 at 2:00pm

Submit SOQ to: https://procurement.opengov.com/portal/santacruzca

The City of Santa Cruz Water Department is prequalifying Prime Contractors (prospective bidders) for the REGIONAL DROUGHT RESILIENCY PROJECT - INTERTIE that will be bid in 2023, Construction will start in 2024.

ONLY CONTRACTORS THAT ARE PREQUALIFIED WILL BE ALLOWED TO BID THIS PROJECT.

https://procurement.opengov.com/portal/santacruzca

City of Santa Cruz Regional Drought Resiliency Project - Intertie

September 2023 Page 2

Solicitation Contact: Katy Fitzgerald, kfitzgerald@santacruzca.gov

Solicitation Number: RFQ No. WT-23001

1. INTRODUCTION

1.1 Summary

You are invited to submit a Statement of Qualifications (SOQ) for the Regional Drought Resiliency Project - Intertie to present your special expertise and to substantiate your capabilities to act as a Prime Contractor with a General-A license to install approximately 8,000 LF of 12” diameter PVC pipeline and construct a pump station for water conveyance.

The City is using a two-step procurement process for selecting a Prime Contractor. In Step 1, the City will evaluate all responsive SOQs and shortlist three (3) to four (4) Prime Contractors in accordance with the rules, guidelines, and procedures set forth in this RFQ. In Step 2, the short-listed Prime Contractors will receive an Invitation For Bids to award the contract to the responsive and responsible Prime Contractor offering the lowest price.

Request For Qualifications Contents Section 1 – Important Information and General Instructions Section 2 – Project Description Section 3 – RFQ Process and SOQ Evaluation Section 4 – SOQ Questionnaires Exhibit I – Insurance Requirements

In order to be placed on the City’s eligible bidders list for this Project as a Prime Contractor, a prospective bidder must complete and submit a standard Statement of Qualifications (SOQ) Questionnaire. The SOQ Questionnaire is included in this Request for Qualifications (RFQ) and must be obtained from the City’s eProcurement portal: https://procurement.opengov.com/portal/santacruzca.

1.2 Background and Project Description

The project consists of approximately 8,000 LF of new 12-inch-diameter bi-directional intertie pipeline and pump station between the City and Scotts Valley Water District (SVWD) distribution systems to facilitate transfers of water supply during wet seasons, and from SVWD to the City during dry seasons or drought years. The pipeline will run from the City’s Pasatiempo tanks in the south along Firehouse Lane to Sims Road, and then along La Madrona Drive to the north to the City of Scotts Valley where a new pump station would be constructed. This pump station will be a single-story building with an outdoor paved area surrounded by security fencing.

The Proposed Project will also include installation of appurtenances that are required for pipeline operation, monitoring, and maintenance, including the line valves, air release valves, isolation valves, sample stations, and hydrants.

Range of Design Consultant's Opinion of Probable Construction Cost Low: $4,600,00 – High: $5,900,000

1.3 Timeline

Release Request For Qualification: 9/22/2023 Questions and Clarification Submission Deadline: 11/3/2023 at 5:00PM Question and Clarification Response From City: 11/7/2023 at 5:00PM Statement of Qualifications Due: 11/10/2023 at 2:00PM

September 2023 Page 3

Evaluation and Release of Shortlist of Pre-qualified Contractors: 11/13/2023 – 12/1/2023 Release of Invitation To Bid Spring 2024

2. PROJECT DETAILS

2.1 Important Instructions for Electronic Submittal

The Santa Cruz Water Department is accepting electronic submittals of SOQ. Contractors must create a FREE account with the City’s eProcurement portal, OpenGov Procurement, by signing up at https://procurement.opengov.com/portal/santacruzca.

All questions regarding this solicitation are to be submitted in writing via the OpenGov Question and Answers tab. Questions received less than seven (7) days business days prior to the SOQ submittal date may not be answered. Only questions answered in writing through OpenGov will be binding. Oral and other interpretations or clarifications will be without legal effect.

Revisions to this RFQ will be issued by Addenda and answers to questions will be posted to OpenGov.

Each Respondent is solely responsible for obtaining all Addenda and reading all Questions and Answers prior to submitting its SOQ.

SOQs may be submitted up to but not later than the SOQ due date and time via OpenGov. OpenGov’s clock is the official clock for the determination of all deadline dates and times. Without exception, responses will not be accepted after the submission deadline regardless of any technical difficulties such as poor internet connections. The City of Santa Cruz strongly recommends submitting SOQs well ahead of the deadline. Consultants take full responsibility for City’s receipt of its SOQ.

In no event will the City be liable for any costs incurred by any Respondent or any other party in developing or submitting a SOQ.

2.2 Description of Project

The City of Santa Cruz Water Department (City) is a public agency that has the responsibility to transmit and treat untreated water, while providing safe drinking and irrigation water to their customers. Background information for the project is provided in the Project Description on page four.

2.3 Scope of Work

The Prime Contractor’s Scope of Work for the Project includes, but is not limited, to the following:

Installation of 12” diameter PVC pipeline and associated appurtenances from Kite Hill Tank at 23 Kite Hill Rd. Santa Cruz, 95060 to a pump station to be constructed at 6000 La Madrona Dr. Scotts Valley, 95060. Principal features of the project include:

a. Installation of approximately 8,000 LF of 12” diameter of conventional, trenched PVC pipeline along or near Firehouse Ln. to Sims Rd. to La Madrona Dr.

b. Construction of a pump station.

c. Removal and trimming of trees along the pipeline alignment.

d. Restoration of constructed areas including paving, seeding, and erosion control.

e. Some areas will remain unpaved in the area between Kite Hill Tanks and Sims Rd.

The Preliminary Contract Schedule duration is approximately 379 calendar days.

2.4 Project Challenges

The scheduling constraints for the Project include the following:

September 2023 Page 4

a. Sims Road and La Madrona Drive are two-lane, north-south arterial roads. There is significant traffic on these roads and active construction will require safe and effective traffic control.

b. County Encroachment Permit conditions may limit work hours.

c. The Contractor will coordinate with the City to perform shutdowns of the existing pipeline, and testing of the installed pipeline.

d. Potential presence of special status species in or near the work area that can restrict work hours and require species protection buffers.

e. Construction activities near trees requiring protection and implementation of specialty construction methods (e.g., trenching) and/or root protections (e.g., mulching or plating) under the supervision of a Qualified Arborist.

a. Excavation and grading activities on or near steep slopes shall occur outside of the winter rainy season (October 1 through April 30) at the discretion of the City, based on weather conditions and forecasts. Other environmental requirements may be added in the final contract documents at the time of bidding.

2.5 Prime Contractor-Self Performance of Work

Due to the complex nature of the work, it will be a Contract requirement that Prime Contractor shall perform at least fifty percent (50%) of the Project. The Contractor’s costs eligible for inclusion in the [fifty percent (50%)] shall include its labor, material, and construction equipment used to perform the work.

2.6 Prevailing Wage Requirements

To the extent that the work or services to be performed under this Agreement may be considered a “public work” pursuant and subject to Labor Code section 1720 et seq., Consultant (and any subconsultant performing the work or services) shall conform to any and all prevailing wage requirements applicable to such work/and or services under this Agreement. Consultant (and any subconsultant) shall adhere to the prevailing wage determinations made by the Director of Industrial Relations (DIR) pursuant to California Labor Code Part 7, Chapter 1, Article 2, applicable to the work, if any. All workers employed in the execution of a public works contract (as such term is defined California Labor Code section 1720 et seq. and section 1782(d)(1)) must be paid not less than the specified prevailing wage rates for the type of work performed.

Reference: California Labor Code sections 1720, 1774 and 1782. Consultant agrees to be bound by the prevailing wage requirements to the extent applicable to the scope of work and services under this Agreement, including, but not limited to, the following:

a. If a worker is paid less than the applicable prevailing wage rate owed for a calendar day (or any portion thereof), Consultant shall pay the worker the difference between the prevailing wage rate and the amount actually paid for each calendar day (or portion thereof) for which the worker(s) was paid less than the prevailing wage rate, as specified in Labor Code section 1775;

b. Consultant shall maintain and make available payroll and worker records in accordance with Labor Code sections 1776 and 1812;

c. If Consultant employs (and/or is legally required to employ) apprentices in performing the work and/or services under this Agreement, Consultant shall ensure compliance with Labor Code section 1777.5;

d. Consultant is aware of the limitations imposed on overtime work by Labor Code sections 1810 et seq. and shall be responsible for any penalties levied in accordance with Labor Code section 1813 for failing to pay required overtime wages;

e. Consultant shall post a copy of the applicable wage rates at each jobsite at a location readily available to its workers.

Any failure of Consultant and/or its subconsultant to comply with the above requirements relating to a public work project shall constitute a breach of this Agreement that excuses the City’s performance of this Agreement at the City’s sole and absolute option, and shall be at the sole risk of Consultant.

Consultant on behalf of itself, any subconsultant, agree to indemnify, defend and hold harmless the City

September 2023 Page 5 and its officials, officers, employees, and agents from and against any and all claims, liabilities, losses, costs, expenses, attorney’s fees, damages, expenses, fines, financial consequences, interest, and penalties, of any kind or nature, arising from or relating to any failure (or alleged failure) of the Consultant and any subconsultant to pay prevailing wages or to otherwise comply with the requirements of prevailing wage law relating to a public work.

Consultant acknowledges that it and/ any subconsultant shall not be qualified to bid on, be listed in a bid proposal, subject to the requirements of section 4104 of the Public Contract Code, or engage in the performance of any contract for public work, unless currently registered with the DIR and qualified to perform public work pursuant to Labor Code section 1725.5 [with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)]. A bid shall not be accepted nor any contract or subcontract entered into without proof of the Consultant or subconsultant’s current registration to perform public work. Labor Code section 1771.1(b).

2.7 Project Funding

The City may use California Department of Water Resources’ (DWR) Urban and Multibenefit Drought Relief Grant Program and/or the City’s capital improvement budget to provide the capital funding needed for the Project. The City’s use of DWR funds will require compliance with specific terms and conditions associated with the respective funding sources. Refer to Exhibit III for additional information on DWR compliance requirements. Note that the City may also receive other grants and funding to construct the project, which may have additional compliance requirements.

2.8 Local Hire Requirement

Contractor and Subcontractors shall comply with Santa Cruz Municipal Code (SCMC) Chapter 3.10, which will be incorporated into the Contract by reference. SCMC Chapter 3.10 specifically requires the City’s contractors and their subcontractors to make good faith efforts to hire qualified individuals who are local residents, as workers on City public works projects valued greater than the limit for formal bidding (as set forth in Laws and Regulations) unless prohibited by Laws or Regulations.

3. RFQ PROCESS AND SOQ EVALUATION

3.1 Prequalification and Project Bidding Timeline

The tentative timeline for the prequalification and bidding process is as follows:

9/22/2023: Release RFQ

11/3/2023: Questions and Clarifications Due 11/7/2023: Question and Clarification Responses from City

11/10/2023: SOQs Due 11/13/2023 – 12/1/2023: Evaluation of SOQs and publication of list of Pre-qualified Contractors*

Spring of 2024 – Project Bidding

3.2 Responsive SOQs

The SOQ must (i) be responsive to the requirements of this RFQ and shall (ii) be signed by a duly authorized official with authority to commit the Contractor and (iii) shall be submitted to the City of Santa Cruz Water Department in the time and manner described. Each questionnaire must be signed under penalty of perjury in the manner designated, by an individual who has the legal authority to bind the firm submitting the SOQ. If any information provided by a Respondent is or becomes inaccurate, the Respondent shall immediately notify the City and provide updated accurate information in writing, under penalty of perjury.

September 2023 Page 6

3.3 Responsible Contractor

The Contractor submitting an SOQ shall not be considered responsible if the Contractor submits a SOQ that is not fully complete or contains false information.

3.4 Obligation to Keep Project Team Intact

Respondents are advised that all Key Personnel identified in the SOQ shall remain on the Project Team for the duration of the procurement process and, if selected, through the execution of the Project. If extraordinary circumstances require a change, it must be submitted in writing to the City, who will respond whether or not a change is authorized by the City, recognizing that certain circumstances (such as termination of employment) may occur that are beyond the Respondent’s control. Unauthorized changes to the Project Team at any time during the procurement process may result in elimination of the Respondent from further consideration.

3.5 Evaluation of Statement of Qualifications and Determination of Eligibility to Bid The City will evaluate the information submitted in the SOQ’s and use a combination of a pass/fail and scoring/ranking evaluation process as noted below and within the individual Sections of the Questionnaire to determine a Contractor’s eligibility to bid on the referenced Project. Determination of a Contractor’s eligibility to bid will be based on the following criteria:

1. Statement of Qualifications questionnaire received on time and completed per instructions (Pass/Fail);

2. Possession of industry standard licensing and/or certifications (Pass/Fail);

3. Sufficient bonding and insurance capabilities (Pass/Fail);

4. Satisfactory past performance as detailed in Part II of the questionnaire (Pass/Fail);

5. Possession of mandatory prior project experience as detailed in Part III (Pass/Fail); and

6. Demonstrated ability to comply with contract requirements (Scored).

3.6 Evaluation and Selection

Contractors will be deemed qualified or disqualified as explained in this Request For Qualifications (RFQ). Only Contractors determined to be qualified will be allowed to bid on the Project.

Contractors who receive a “Fail” rating in any of the “Pass/Fail” categories will be disqualified and their SOQ rejected.

The SOQs will be evaluated as follows:

Cover Page – Informational (not scored) and is the only page subject to CA Public Records Act Part I: Business Organization and History – Informational (not scored) Part II: Past Performance – Pass/Fail Part III: Project Experience – Pass/Fail Part IV: Ability to Perform – Scored, must achieve at least 75 points to qualify Part V: Verification and Signature – Pass/Fail, response must be signed

Contractors may include in the SOQ any additional information, explanations, or exhibits that may assist the City in favorably evaluating the Contractor.

3.7 Protest Procedure

Contractors are encouraged to resolve concerns regarding the RFQ requirements or process through written correspondence and discussions at least 7 business days prior to the SOQ due date. This will allow the City time to research the validity of the concern and either issue an addendum to the RFQ, cancel the RFQ, or determine the concern to be unfounded and proceed with the RFQ process. In the event the City proceeds with the RFQ and the Contractor wishes to continue in the protest process, the protesting Contractor must still submit a SOQ in accordance with the instruction provided in this RFQ.

Questions or concerns prior to the SOQ due date will be directed to the contact stated in section [1.2] of this RFQ.

September 2023 Page 7

Contractors or trade associations representing workers who may be potentially employed by such contract may formally protest the City’s determination of a Contractor’s eligibility to bid. Protest letters will be directed to:

City of Santa Cruz City Clerk Administrator

809 Center Street, Room 9 Santa Cruz, California 95060

Protests will be filed with the City Clerk’s office no later than 5 calendar days after the written notice of the release of the eligible contractor list has been distributed. Protest letters will include:

• The name, address, and telephone number of the protester;

• The RFQ title and due date;

• Name of City employee and Department designated as the contact in the original RFQ;

• A detailed statement of the legal and/or factual grounds for the protest; and

• The form of relief requested.

The City Council will hear a protest prior to finalizing the list of eligible bidders. The protesting party may protest the basis of the City’s or an eligible Contractors' failure to comply with the requirements of California Public Contract Code or the solicitation documents. The protest must clearly set forth the basis for the protest; grounds not set forth in the written protest will not be considered by the City Council at the protest hearing. The City Council will sustain a protest if the protesting party demonstrates by clear and convincing evidence that, as specified above, the City would act improperly in finalizing the eligible contractor list. The decision of the City Council will be final.

3.8 Public Records Act

The SOQ response (questionnaire answers and financial statements) submitted by Contractors are not public records and are not open to public inspection. All information provided will be kept confidential to the extent permitted by law. State law requires that the names of contractors applying for pre-qualification status shall be public records subject to disclosure, and the cover page of the questionnaire will be used for that purpose.

3.9 Disclosure

By submitting a SOQ, the Respondent consents to the disclosure of its questionnaire answers: (i) to third parties for the purposes of verification or investigation, and; (ii) in connection with any protest, challenge or appeal of any action taken by the City; and (iii) as required by law or regulation.

3.10 City Rights and Options

The City, at its sole discretion, reserves the following rights:

a) To reject any or all SOQs or information received pursuant to this RFQ;

b) To supplement, amend, substitute or otherwise modify this RFQ at any time by means of written addendum;

c) To cancel this RFQ with or without the substitution of another RFQ or prequalification process;

d) To request additional information;

e) To verify the qualifications and experience of each respondent;

f) To require one or more respondents to supplement, clarify or provide additional information in order for the City to evaluate SOQs submitted;

g) To hire multiple contractors to perform the necessary duties and range of services if it is determined to be in the best interests of the City; and

h) To waive any minor defect or technicality in any SOQ received.

3.11 Potential Conflict Between RFQ/SOQ and Bid Documents

The purpose of the RFQ/SOQ process is to ensure only qualified Contractors are allowed to submit a bid for the Project. The City’s efforts in developing the RFQ/SOQ coincides with developing draft Bid Documents (Plans and Specifications); however, there may be changes to the Draft Bid Documents in

September 2023 Page 8 the development of the Final Bid Documents. Prime Contractors allowed to bid the Project will be cited in the Final Bid Documents. All approved Contractors allowed to submit a bid for the Project will do so per the requirements of the Construction Contract Bid Documents only.

STATEMENT OF QUALIFICATIONS (SOQ) QUESTIONNAIRE

COVER PAGE

Project Title: REGIONAL DROUGHT RESILIENCY PROJECT - INTERTIE CWO #2023-003

All of the following questions regarding “your firm” refer to the firm (corporation, partnership or sole proprietor) submitting this questionnaire, as well as any firm(s) which any of your firm’s owners, officers, or partners are or have been associated with as an owner, officer, partner or similar position within the last five years.

CONTACT INFORMATION

Firm Name (as it appears on California State Licensing Board (CSLB) license(s)): ______________

Check One: Corporation, LLC, Partnership, Sole Proprietorship, Joint Venture

Contact Person and Title: __________________________________________________________

Contact Email: __________________________________________________________________

Firm Address: ___________________________________________________________________

Phone: Fax:

List all California construction or other professional license numbers, classifications and expiration dates held by your firm:

License Number Classification Expiration Date

List your firm’s DIR Public Works Contractor (PWCR) Registration Number(s):

PWCR Number Entity Name Expiration Date

If any of your firm’s license(s) are held in the name of a corporation, limited liability company, or partnership, list below the names of the qualifying individual(s) listed on the CSLB records who meet(s) the experience and examination requirements for each license.

License Number Qualifying Individual Expiration Date

SOQ PART I: BUSINESS ORGANIZATION AND HISTORY

Provide information regarding your business’ organization and history. Part I is informational only and will not impact the SOQ evaluation.

Section A: Current Organization and Structure of the Business

For Firms That are Corporations:

1a. Date incorporated:

1b. Under the laws of what state:

1c. Provide all the following information for each person who is either (a) an officer of the corporation (president, vice president, secretary, treasurer), or (b) the owner of at least ten per cent of the corporation’s stock.

Name Position Years with Firm % Ownership

1d. 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 years.

NOTE: For this question, “owner” and “partner” refer to ownership of ten per cent or more of the business, or 10 per cent or more of its stock, if the business is a corporation.

Person’s Name

Construction Firm

Dates of Person’s Participation with Firm

For Firms That Are Partnerships:

1a. Date of formation:

1b. Under the laws of what state:

1c. Provide all the following information for each partner who owns 10 per cent or more of the firm.

Name Position Years with Co. % Ownership Federal Tax ID #

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1d. 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 years.

NOTE: For this question, “owner” and “partner” refer to ownership of ten per cent or more of the business, or ten per cent or more of its stock, if the business is a corporation.

Construction Company with Company

For Firms That Are Sole Proprietorships:

1a. Date of commencement of business.

1b. Federal Tax ID # of company owner.

1b. 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 years.

NOTE: For this question, “owner” and “partner” refer to ownership of ten percent or more of the business, or ten percent or more of its stock, if the business is a corporation.

Construction Company with Company

For Firms That are Part of a Joint Venture:

1a. Date of commencement of joint venture.

1b. Provide the following information for each firm that is a member of the joint venture that expects to bid on one or more projects:

Name of firm % Ownership of Joint Venture

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Section B: History of the Business and Organizational Performance

1. Has there been any change in ownership of the firm at any time during the last three years?

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

Yes. An explanation is required on a separate signed page.

No.

2. Is the firm a subsidiary, parent, holding company or affiliate of another construction firm?

NOTE: Include information about other firms if one firm owns 50 percent or more of another, or if an owner, partner, or officer of your firm holds a similar position in another firm.

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

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

4. How many years has your organization been in business in California as a contractor under your present business name and license number? _______ years

5. Has your firm changed names or license number in the past five years?

6. Has any owner, partner or corporate officer of your firm operated a construction firm under any other name in the last five years?

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PART II: PAST PERFORMANCE

Part II responses will be evaluated as Pass/Fail. Firms with a failing response will be disqualified and their SOQ will be rejected.

1. Does your firm possess a valid and current California General Engineering Contractor’s license (Class A)?

Yes. (Pass) No. (Fail)

2. Contractor has a liability insurance policy with a policy limit of at least $10,000,000 per occurrence and $15,000,000 aggregate.

3. 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.

4. Have you attached a copy of your latest reviewed or audited financial statement with accompanying notes and supplemental information?

NOTE: A financial statement that is not either reviewed or audited is 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.

5. Have you attached a notarized statement from an admitted surety insurer (approved by the California Department of Insurance) and authorized to issue bonds in the State of California, which states that your current bonding capacity is sufficient for the project for which you seek pre-qualification?

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

Provide documentation from Bidder’s surety identifying the following:

Name of Bonding Company/Surety:

Name of Surety Agent:

Surety Agent Address:

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Surety Agent Telephone No.:

Is surety a California-admitted surety? Yes ____ No ____

Is surety listed in the current edition of the California Department of the Treasury’s Listing of approved sureties? Yes ____ No ____

List surety’s A.M. Best Rating:

What is the firm’s total bonding capacity? $

What percentage rate does firm pay for bonds?

6. Has your firm’s contractor’s license(s) been revoked at any time in the last five years?

Yes. (Fail)

No. (Pass)

7. Within the last five years, has a surety firm completed a contract on your firm’s behalf, or paid for the completion of a contract to which your firm was a party, because your firm was considered to be in default or was terminated with cause by the project owner?

8. Is your firm ineligible to bid on or be awarded a public works contract, or perform as a subcontractor on a public works contract, pursuant to either California Labor Code section

1777.1 or Labor Code section 1777.7?

9. At any time in the last five years, has your firm, or any of its owners, officers, or partners been convicted of a crime involving the awarding of a contract for a government construction project, or the bidding or performance of a government contract?

10. Has your firm or any of its owners, officers or partners ever been found liable in a civil suit for making any false claim or material misrepresentation to any public agency or entity?

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11. In the last five years has your firm 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?

12. In the last five years has your firm been debarred from bidding on, or completing, any government agency or public works construction contract for any reason?

NOTE: If there is a pending administrative or court action challenging a debarment, you need not include that debarment in responding to this question.

13. In the last five years as a result of your firm’s actions or inactions, has the federal EPA, Region IX, or California Air Quality Management or Air Pollution Control District, or Regional Water Quality Control Board, or State Water Resources Control Board successfully and finally assessed a single penalty either against your firm, or against a firm owner for a violation occurring on a project on which your firm was the contractor, for a penalty amount over $100,000?

NOTE: If there is a pending administrative or court action appealing a penalty assessment, you need not include that penalty assessment in responding to this question.

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PART III: MANDATORY PROJECT EXPERIENCE

Part III responses will be evaluated on a points scale (100 points possible).

The firm must have completed at least three (3) projects in the past 10 years that must have been a minimum of $4 M in value each. For these projects, the principal function of the completed facility must have been conveyance of potable water through pipe larger than 6 in below grade.

The firm can include project(s) currently under construction, but only the total amount paid by the Owner(s) as of the date of submission of the SOQ, on uncompleted project(s) can be included in this summation of construction value.

Firms must have self-performed at least fifty percent (50%) of the work on each of the projects listed.

Contact names and their phone numbers must be current and verifiable. References will be contacted and interviewed as necessary to verify the accuracy of the information provided below.

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Project # 1 Name and location (City/State):

Owner: ____________________________________________________________

Construction Cost: $ _________________ % of Self Performed Work: ________

Construction Start and Finish Dates: _____ Calendar Days: _________________

Owner’s Representative: ______________________________________________

Owner’s Representative Telephone No.: __________________________________

Owner’s Representative email address.: __________________________________

Architect/Engineer: ___________________________________________________

Architect/Engineer’s Telephone No.: _____________________________________

Architect/Engineer’s email address.: _____________________________________

On-Site Construction Manager: _________________________________________

On-Site Construction Manager’s Telephone No.: ____________________________

On-Site Construction Manager’s email address.: ____________________________

Description of Project, Scope of Work Performed: ___________________________

Original Scheduled Date of Substantial Completion: _________________________

Time Extensions Granted (number of days): _______________________________

Actual Date of Completion: ____________________________________________

Project # 2 Name and location (City/State):

Construction Cost: $ _________________ % of Self Performed Work: ________

Construction Start and Finish Dates: _____ Calendar Days: _________________

Owner’s Representative: ______________________________________________

Owner’s Representative Telephone No.: __________________________________

Owner’s Representative email address.: __________________________________

Architect/Engineer: ___________________________________________________

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Time Extensions Granted (number of days): _______________________________

Project # 3 Name and location (City/State):

Construction Cost: $ _________________ % of Self Performed Work: ________

Construction Start and Finish Dates: _____ Calendar Days: _________________

Owner’s Representative: ______________________________________________

Owner’s Representative Telephone No.: __________________________________

Owner’s Representative email address.: __________________________________

Architect/Engineer: ___________________________________________________

Time Extensions Granted (number of days): _______________________________

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Total Construction Value of listed Projects 1-3 above: $ _____________________________

List Key Personnel that will be assigned to Regional Drought Resiliency - Intertie Project:

Project Manager: ____________________________________________________

Project Superintendent: _______________________________________________

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PART IV: ABILITY TO PERFORM

Part IV responses will be evaluated on a points scale (100 points possible).

The City will evaluate the SOQ and determine all scores and will determine which Contractors will be pre-qualified. The Contractor needs to pass all questions in Parts I-II. Contractors who achieve top scores in Parts III and IV will advance to the short-list of Contractors.

Each response will be scored as shown.

Section A: Financial Stability

1. During the last five years, has your firm ever been denied bond credit by a surety company, or has there ever been a period of time when your firm had no surety bond in place during a public construction project when one was required?

Yes. (0 points) No. (5 points)

2. Is your firm currently the debtor in a bankruptcy case?

3. Was your firm in bankruptcy any time during the last five years?

Section B: Compliance with Environmental, Civil, and Criminal Laws

1. As a result of your firm’s actions or inactions, has the federal EPA, Region IX, or United States Fish and Wildlife Service, or National Marine Fisheries Service, or Army Corps of Engineers, or California Air Quality Management or Air Pollution Control District, or Regional Water Quality Control Board, or State Water Resources Control Board, or California Department of Fish and Wildlife, or a local County or municipality successfully and finally assessed penalties either against your firm, or against an owner for violations occurring on a project on which your firm was the contractor, in the past five years?

NOTE: If you have filed an appeal of a citation and the Appeals Board has not yet ruled on your appeal, or if there is a court appeal pending, you need not include information about the citation.

None (15 points)

1 or 2 instances. (5 points) 3 or 4 instances. (0 points)

5 or more instances. (subtract 5 points)

September 2023 Page 21

2. At any time in the last three years, has your firm requested an extension of a work window, as defined by an environmental regulatory agency and/or project permit, for a project under a construction contract?

None (10 points) 1 or 2 instances. (5 points)

3 or 4 instances. (0 points)

5 or more instances. (subtract 5 points)

1. Has any CSLB license held by your firm or its Responsible Managing Employee (RME) or Responsible Managing Officer (RMO) been suspended within the last five years?

2. At any time in the last five years has your firm been assessed and paid liquidated damages after completion of a project under a construction contract with either a public or private owner? Please provide projects in which liquidated damages were assessed and describe the nature of the liquidated damages. The City may award up to 10 points.

NOTE: The following two 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 sub-contractor and a project owner.

3. In the past five years has any claim against your firm concerning your firm’s work on a construction project been filed in court or arbitration?

Less than 2 instances. (5 points)

3 or 4 instances. (3 points) 5 or more instances. (0 points)

4. In the past five years has your firm made any claim against a project owner concerning work on a project or payment for a contract and filed that claim in court or arbitration?

Less than 2 instances. (5 points) 3 or 4 instances. (3 points)

5 or more instances. (0 points)

September 2023 Page 22

5. At any time during the past five years, has any surety company made any payments on your firm’s behalf 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?

None or 1 instance. (5 points)

2 instances. (3 points)

More than 2 instances. (subtract 5 points)

6. In the last five years has any insurance carrier, for any form of insurance, refused to renew the insurance policy for your firm?

None or 1 instance. (5 points)

More than 2 instances. (0 points)

7. Has your firm or any of its owners, officers or partners ever been found liable in a civil suit or found guilty in a criminal action for making any false claim or material misrepresentation to any public agency or entity?

Yes. (subtract 5 points)

8. Has your firm or any of its owners, officers or partners ever been convicted of a crime involving any federal, state, or local law related to construction?

Yes. (subtract 5 points)

Section C: Safety Performance

1. Has Cal OSHA or Federal OSHA successfully and finally assessed penalties against your firm for any “serious”, “repeat” or “willful” violations at any time within the last three years?

NOTE: If you have filed an appeal of a citation, and the Occupational Safety and Health Appeals Board has not yet ruled on your appeal, you need not include information about it

None or 1 instance. (5 points)

More than 2 instances. (0 points)

2. List your firm’s Experience Modification Rate (EMR) (issued annually by your California workers’ compensation insurance carrier) for each of the past three premium years:

Current Year:

Previous Year:

Year Prior To Previous Year:

September 2023 Page 23

3-Year Average:

3-Year Average EMR of .95 or less. (10 points) 3-Year Average EMR between .95 and 1.10. (5 points)

3-Year Average EMR over 1.10. (0 points)

September 2023 Page 24

3. Within the last five years has there ever been a period when your firm had employees but was without workers’ compensation insurance or state-approved self-insurance?

None or 1 instance. (5 points)

2 or more instances. (0 points)

Section D: Prevailing Wage Compliance Record

1. In the last five years, has your firm been required to pay either back wages or penalties for your own firm’s failure to comply with Department of Industrial Relations prevailing wage laws?

NOTE: This question refers only to your own firm’s violation of prevailing wage laws, not to violations of the prevailing wage laws by a subcontractor.

None or 1 instance. (5 points)

2 or 3 instances. (3 points)

More than 3 instances. (0 points)

2. During the last five years, has your firm been penalized or required to pay back wages for failure to comply with the federal Davis-Bacon prevailing wage requirements?

None or 1 instance. (5 points)

2 or 3 instances. (3 points) More than 3 instances. (0 points)

September 2023 Page 25

PART V: VERIFICATION AND SIGNATURE

I, the undersigned, certify and declare that I have read all the foregoing answers to this

Statement of Qualifications Questionnaire, and know their contents. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.

Signed at ____________________________________, on _____________________.

(Location) (Date)

Signature: _____________________________

Print name: ____________________________

Title: _________________________________

Note: If two or more entities submit a SOQ as a Joint Venture, each entity with the Joint Venture must submit a separate Questionnaire.

Exhibit I – Insurance Requirements Page 26

EXHIBIT I

INSURANCE REQUIREMENTS

1.01 CERTIFICATE REQUIREMENTS

A. The City will be issued a Certificate of Insurance (a Memorandum of Understanding will not be accepted) with the following minimum requirements:

• Certificate(s) will show current policy number(s) and effective dates,

• Coverage and policy limits will meet, or exceed, requirements below,

• The Certificate Holder will be City of Santa Cruz, Risk Management, 1200 Pacific Ave Ste 290, Santa Cruz, CA 95060,

• Certificate will be signed by an authorized representative,

• An endorsement, if required below, will be provided to show the City, its officers, officials, employees, and volunteers as additional insureds, and

• Coverages must be maintained during the term of the Agreement with the City, unless a longer duration is required.

B. MINIMUM SCOPE AND LIMITS OF INSURANCE

Contractor acknowledges that the insurance coverage and policy limits set forth in this section constitute the minimum amount of coverage required. If Contractor maintains broader insurance coverage and/or higher limits than the minimums shown below, the City of Santa Cruz requires and shall be entitled to the broader insurance coverage and/or higher limits maintained by Contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City of Santa Cruz.

Coverage will be at least as broad as:

· COMMERCIAL GENERAL LIABILITY (CGL): $10,000,000 PER OCCURRENCE;

$15,000,000 AGGREGATE

Proof of coverage for $10 Million per occurrence including products and completed operations, property damage, bodily injury, personal and advertising injury will be provided on Insurance Services Office (ISO) Form CG 00 01 covering CGL. If a general aggregate limit applies, either the general aggregate limit will apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit will be at least twice the required occurrence limit.

· PROFESSIONAL LIABILITY (ERRORS AND OMISSIONS): $2,000,000 PER

OCCURRENCE OR CLAIM, $2,000,000 AGGREGATE.

Contractor will maintain insurance appropriate to Contractor’s profession; with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. Insurance must be maintained, and evidence of insurance must be provided for at least five (5) years after date of completion of the services under this Agreement. If coverage is canceled or non-renewed and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date or start of work date, Contractor must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work.

Exhibit I – Insurance Requirements Page 27

· AUTOMOBILE LIABILITY:

Proof of coverage for $2,000,000 provided on ISO Form Number CA 00 01 covering any auto (Code 1), or if Contractor has no owned autos, hired, (Code 8) and non-owned autos (Code 9), per accident for bodily injury and property damage.

· WORKERS’ COMPENSATION AS REQUIRED BY THE STATE OF CALIFORNIA, WITH

STATUTORY LIMITS, AND EMPLOYER’S LIABILITY INSURANCE: $1,000,000

per accident for bodily injury or disease.

The Worker’s Compensation policy must be endorsed with a waiver of subrogation in favor of the City for all work performed by the Contractor and its employees.

(Not required if Contractor provides written verification it has no employees) - If Contractor has no employees, Contractor shall complete and sign a Workers’ Compensation Exemption Declaration and Release of Liability.

· CONTRACTORS’ POLLUTION LIABILITY and/or ASBESTOS POLLUTION LIABILITY (CPL) (if project involves environmental hazards) with limits no less than $2,000,000 per occurrence or claim, and $4,000,000 policy aggregate.

1. If the services involve lead-based paint or asbestos identification / remediation, the Pollution Liability shall not contain lead-based paint or asbestos exclusions. If the services involve mold identification / remediation, the Pollution Liability shall not contain a mold exclusion and the definition of “Pollution” shall include microbial matter including mold.

2. The Automobile Liability policy shall be endorsed to include Transportation Pollution Liability insurance, covering hazardous materials to be transported by Contractor pursuant to the Agreement. This coverage may also be provided on the Contractors Pollution Liability policy.

· BUILDER’S RISK: (Course of Construction) insurance utilizing an “All Risk” (Special Perils) coverage form, with limits equal to the completed value of the project and no coinsurance penalty provisions.

· SURETY BONDS as described below.

C. OTHER INSURANCE PROVISIONS

The insurance policies are to comply with the following provisions:

· ADDITIONAL INSURED STATUS

The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL, CPL, and automobile insurance (if transporting hazardous materials) policies with respect to liability arising out of work or operations performed by or on behalf of Contractor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage will be provided in the form of an endorsement to Contractor’s insurance at least as broad as ISO Form CG 20 10 11 85, or if not available, through the addition of both CG 20 10 CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 (if a later edition is used).

· PRIMARY COVERAGE

For any claims related to this Agreement, Contractor’s insurance coverage will be primary insurance as respects the City, its officers, officials, employees, agents, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, Exhibit I – Insurance Requirements Page 28 employees, agents, or volunteers will be excess of Contractor’s insurance and will not contribute with it.

· NOTICE OF CANCELLATION

Each insurance policy required above shall state that the coverage shall not be canceled, except with notice to the City.

· WAIVER OF SUBROGATION

Contractor hereby grants to the City a waiver of any right to subrogation, except as otherwise not applicable, which any insurer of said Contractor may acquire against the City by virtue of the payment of any loss, including attorney’s fees under such insurance.

Contractor agrees to obtain any endorsement that may be necessary to effectuate this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer.

· EXCESS LIABILITY/UMBRELLA INSURANCE POLICIES

The excess/liability policies will provide similar coverage as the primary CGL policy with no new exclusions - Excess liability insurance must follow form the terms, conditions, definitions, and exclusions of the underlying CGL insurance. The excess/umbrella policy must also be written on a primary and noncontributory basis for an additional insured, and that it will apply before any other insurance that is available to such additional insured which covers that person or organization as a named insured, and we will not share with that other insurance.

The policy regarding Limits of Insurance regarding Aggregates must provide that the aggregate limits if applicable shall apply in the same manner as the aggregate limits shown in the Schedule of the Underlying Insurance.

· SELF-INSURED RETENTIONS

Self-insured retentions must be declared to and approved by the City. City may require Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related expenses. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City.

· ACCEPTABILITY OF INSURERS

Insurance is to be placed with insurers with a current A.M. Best’s rating of no less than A: VII, unless otherwise acceptable to the City.

· BUILDER’S RISK (COURSE OF CONSTRUCTION) INSURANCE

Contractor may submit evidence of Builder’s Risk insurance in the form of Course of Construction coverage. Such coverage shall name the City as a loss payee as their interest may appear.

If the project does not involve new or major reconstruction, at the option of the City, an Installation Floater may be acceptable. For such projects, a Property Installation Floater shall be obtained that provides for the improvement, remodel, modification, alteration, conversion or adjustment to existing buildings, structures,…