Department of Administrative Services | 4a-100-1 to 4a-100-3 - Prequalification and Evaluation of Contractors

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Regulations of Connecticut State Agencies TITLE 4a. Administrative Services

Agency Department of Administrative Services

Subject Prequalification and Evaluation of Contractors

Inclusive Sections §§ 4a-100-1—4a-100-3

CONTENTS

Sec. 4a-100-1. Definitions Sec. 4a-100-2. Procedure for prequalification Sec. 4a-100-3. Criteria for prequalification

Revised: 2015-3-6 R.C.S.A. §§ 4a-100-1—4a-100-3 - I -

Regulations of Connecticut State Agencies TITLE 4a. Administrative Services

Department of Administrative Services §4a-100-2

Prequalification and Evaluation of Contractors

Sec. 4a-100-1. Definitions As used in sections 4a-100-1 to 4a-100-3, inclusive, and section 4a-101-1 of the

Regulations of Connecticut State Agencies: (1) “Aggregate work capacity rating” means “aggregate work capacity rating,” as defined

in section 4a-100 of the Connecticut General Statutes; (2) “Applicant” means any person or entity applying for prequalification to the

department pursuant to section 4a-100 of the Connecticut General Statutes; (3) “Application” means the documents that an applicant submits to the department, in

such form and including such content as the Commissioner determines to be necessary or appropriate for the purpose of seeking prequalification;

(4) “Awarding authority” means a public agency that has entered into a contract with a prequalified contractor;

(5) “Commissioner” means the Commissioner of Administrative Services or the Commissioner’s authorized designee;

(6) “Contract” means “contract,” as defined in section 4a-101 of the Connecticut General Statutes;

(7) “Department” means the Department of Administrative Services; (8) “Experience modification rating” means the rating that is calculated using data

provided by the applicant’s insurance company by comparing the actual losses charged to the applicant during the experience period with the losses that would be expected for an average employer reporting the same exposures in each classification;

(9) “Prequalified contractor” means a contractor who has obtained prequalification from the department in accordance with section 4a-100 of the Connecticut General Statutes;

(10) “Prequalification” means “prequalification,” as defined in section 4a-100 of the Connecticut General Statutes;

(11) “Principals and key personnel” means “principals and key personnel,” as defined in section 4a-100 of the Connecticut General Statutes;

(12) “Project” shall include public or private work; (13) “Public agency” means “public agency,” as defined in section 4a-101 of the

Connecticut General Statutes; (14) “Single project limit” means “single project limit,” as defined in section 4a-100 of

the Connecticut General Statutes; (15) “Subcontractor” means “subcontractor,” as defined in section 4a-100 of the

Connecticut General Statutes; and (16) “Substantial subcontractor” means “substantial subcontractor,” as defined in 4a-

100 of the Connecticut General Statutes. (Adopted effective June 12, 2009)

Sec. 4a-100-2. Procedure for prequalification The procedure for prequalification shall consist of the following:

Revised: 2015-3-6 R.C.S.A. §§ 4a-100-1—4a-100-3 - 1 -

Regulations of Connecticut State Agencies TITLE 4a. Administrative Services

§4a-100-2 Department of Administrative Services

(a) The applicant shall establish a user name and password at a link designated for contractor prequalification on the Department of Administrative Services website.

(b) The applicant shall respond to the preliminary questions on the on-line application form, after which the department shall include the applicant’s name and contact information on the DAS Contractor Prequalification directory.

(c) The applicant shall pay a non-refundable application fee. The fee owed by each applicant shall be based on the aggregate work capacity rating requested by the applicant, as set forth in section 4a-100 of the Connecticut General Statutes.

(d) The department shall review only complete applications. An application shall be complete only after the applicant submits it on-line and pays the applicable fee, and the department subsequently receives all requested documentation, including completed contractor evaluations.

(e) If all the criteria for prequalification, as set forth in section 4a-100-3 of the Regulations of Connecticut State Agencies, are satisfied, the department shall issue a determination of prequalification in accordance with subsection (h) of section 4a-100 of the Connecticut General Statutes.

(f) The department shall issue an electronic certificate indicating the applicant’s name and contact information, the prequalification classification or classifications, the expiration of certification, the aggregate work capacity rating and the single project limit.

(g) The applicant may seek to be prequalified in one or more of the following prequalification classifications:

(1) Alarm Systems; (2) Asbestos Removal; (3) Carpentry/Millwork; (4) Concrete; (5) Concrete: Precast Structural and Architectural; (6) Construction Manager At Risk (Group A); (7) Construction Manager At Risk (Group B); (8) Construction Manager At Risk (Group C); (9) Demolition; (10) Doors and Windows; (11) Drywall and Acoustical; (12) Electrical; (13) Elevators; (14) Energy Management Systems; (15) Fire Protection Sprinkler Systems; (16) Floor Covering; (17) General Building Construction (Group A); (18) General Building Construction (Group B); (19) General Building Construction (Group C); (20) General Trades;

R.C.S.A. §§ 4a-100-1—4a-100-3 Revised: 2015-3-6 - 2 -

Regulations of Connecticut State Agencies TITLE 4a. Administrative Services

Department of Administrative Services §4a-100-2

(21) Historical Building Restoration (Masonry, Roofing); (22) HVAC; (23) Iron: Structural and Miscellaneous; (24) Lead Abatement; (25) Lockers; (26) Masonry; (27) Mechanical insulation; (28) Metal Siding; (29) Painting; (30) Plumbing; (31) Roofing; (32) Scaffolding; (33) Sewer and water lines; (34) Sheet metal; (35) Sitework; (36) Telecommunications Systems; (37) Toilet Partitions, Toilet Accessories; (38) Tunneling; (39) Waterproofing; (40) Water treatment plants; or (41) Any additional classification established by the department as the Commissioner

deems to be necessary in order to effectuate the requirements of section 4b-91 of the Connecticut General Statutes.

(h) The applicant’s aggregate work capacity rating for purposes of prequalification under sections 4a-100 and 4a-101 of the Connecticut General Statutes shall be determined by the bonding capacity supported by the applicant’s bonding company, documentation of which shall be produced by the applicant as set forth in section 4a-100-3(a)(6)(B) of the Regulations of Connecticut State Agencies. The aggregate work capacity rating requested by the applicant shall not exceed the amount for which the applicant is supported by its bonding company.

(i) The applicant’s single project limit level for purposes of prequalification under sections 4a-100 and 4a-101 of the Connecticut General Statutes shall be determined by the bonding capacity supported by the applicant’s bonding company, documentation of which shall be produced by the applicant as set forth in section 4a-100-3(a)(6)(B) of the Regulations of Connecticut State Agencies. The single project limit requested by the applicant shall not exceed the amount for which the applicant is supported by its bonding company. The single project limit requested by the applicant shall not exceed the aggregate work capacity rating requested by the applicant or the aggregate work capacity supported by the applicant’s bonding company. (Adopted effective June 12, 2009)

Revised: 2015-3-6 R.C.S.A. §§ 4a-100-1—4a-100-3 - 3 -

Regulations of Connecticut State Agencies TITLE 4a. Administrative Services

§4a-100-3 Department of Administrative Services

Sec. 4a-100-3. Criteria for prequalification (a) The Commissioner shall determine whether to prequalify an applicant on the basis

of the following criteria: (1) Record of performance. The applicant shall provide written or electronic evaluations

for completed projects for each classification for which it is seeking prequalification, as requested in the application. The applicant itself, and not through any subcontractors or other third parties, shall have performed all of the work for each classification for which the applicant seeks prequalification. The applicant shall submit the evaluations on the standard contractor evaluation form established by the Commissioner pursuant to section 4a-101-1 of the Regulations of Connecticut State Agencies.

(2) Experience. The applicant shall describe with specific details, as requested in the application, its most recently completed projects for each type of classification for which it is seeking prequalification. In detailing the projects, the applicant shall include projects that demonstrate that the applicant is experienced with the type and size of projects for which it is seeking prequalification.

(3) Skill, ability and integrity of applicant and subcontractors, including substantial subcontractors.

(A) The department shall evaluate the applicant’s skill, ability and integrity on the basis of the content of the completed application, any relevant completed contractor evaluations in the department’s possession and such other information the Commissioner receives that has a direct bearing on the applicant’s skill, ability or integrity. The applicant shall list, as requested in the application, its most recently completed projects that demonstrate its level of skill and ability to perform work in the classification or classifications for which it is seeking prequalification. Completed contractor evaluations for the projects listed by the applicant shall be included with the application.

(B) The department shall evaluate the performance of subcontractors, including substantial subcontractors, used by the applicant on the projects listed on the application on the basis of the information that the department receives from the contractor evaluations and such other information the Commissioner receives that has a direct bearing on the skill, ability, or integrity of the subcontractor or substantial subcontractor.

(4) Experience and qualifications of supervisory personnel. The applicant shall provide all of the information relating to supervisory personnel and principals and key personnel employed by the applicant requested in the application. The department shall evaluate the experience and qualifications of supervisory personnel on the basis of the completed application and such other information the Commissioner receives that has a direct bearing on the experience and qualifications of the supervisory personnel, principals and key personnel employed by the applicant.

(5) Maximum amount of work the applicant can undertake. The applicant shall demonstrate the amount of work that the applicant is capable of undertaking by providing the following information, as set forth in the application:

(A) The financial condition of the applicant. The applicant shall provide all of the

R.C.S.A. §§ 4a-100-1—4a-100-3 Revised: 2015-3-6 - 4 -

Regulations of Connecticut State Agencies TITLE 4a. Administrative Services

Department of Administrative Services §4a-100-3

information relating to the applicant’s financial condition requested in the application, including a statement of financial condition prepared by a certified public accountant for the applicant’s most recently completed fiscal year. In the application, the applicant shall indicate the aggregate work capacity and single project limit for which it is bonded, and for which it is requesting prequalification; and

(B) The size of its past projects and present and anticipated work commitments. The applicant shall indicate the nature and dollar amount of its past projects and present and anticipated work commitments.

(6) Other relevant criteria. The applicant shall also provide the following information: (A) Information about the applicant’s safety practices, specifically: (i) Its experience modification rating for the current year, as requested in the application; (ii) Information about citations for violations of the Occupational Safety and Health Act

of 1970, as amended; and (iii) Information about its safety meetings, safety inspections and safety manual. (B) A letter from the applicant’s bonding company, stating the applicant’s bonding

capacity, including the applicant’s aggregate work capacity and single project limit; (C) A status letter (commonly referred to as a “letter of good standing”) from the

Department of Revenue Services; (D) Confirmation that the applicant possesses all such current licenses or registrations

as are required under state and federal law for the classifications for which the applicant seeks prequalification;

(E) Confirmation that the applicant is currently registered with the office of the Connecticut Secretary of State and has filed its Annual Report in accordance with the Secretary of State’s requirements; and

(F) A fully executed signature sheet, as requested in the application. (b) Each of the criteria set forth in subsection (a) of this section shall have separate

designated numerical values and weights as determined by the department. The applicant shall be assigned an overall numerical rating on the basis of all criteria. (Adopted effective June 12, 2009)

Revised: 2015-3-6 R.C.S.A. §§ 4a-100-1—4a-100-3 - 5 -