Prequalification Procedures - cdn.mbta.com · Whenever the Committee is not satisfied with the sufficiency ofthe answers contained in any Statement, ... the Prequalification Committee,

Prequalification Procedures

MASSACHUSETTS BAY TRANSPORTATION AUTHORITY

PROCEDURES GOVERNING CLASSIFICATION AND RATING OF PROSPECTIVE BIDDERS

I. DEFINITIONS

A. "Contractor" or "Prospective Bidder"

The words "Contractor" or "Prospective Bidder" as used in these procedures shall included individuals, co-partnerships, associations, corporations, joint venturers, or joint stock companies and their representatives, trustees, or receivers, appointed by any court of competent jurisdiction. All corporations must show proof of registration with the Massachusetts Office of the Secretary of State to do business in Massachusetts.

B. "Authority"

The word "Authority" as used in these procedures shall mean the Massachusetts Bay Transportation Authority.

C. "Experience"

The word "Experience" as used in these procedures shall mean the number of years engaged in highway, transit, bridge and building construction or other public works contracts completed by the contractor for this Authority, other state highway and/or bridge departments, public building authorities, Federal bureaus or similar agencies.

D. "Pregualification Committee"

The term "Prequalification Committee" as used in these procedures shall mean a committee within the Authority consisting of the Assistant General Manager for Design and Construction or his/her designee as Chairperson, such members or their alternates as may be designated by the Chairperson of the Authority and a non-voting Recorder to be designated by the Chairperson of the Committee.

E. "Aggregate Bonding Capacity"

"Aggregate Bonding Capacity" shall be the highest total dollar amount of performance and payment bonds a surety will provide a construction contractor. The surety must be licensed and approved by the Massachusetts Division of Insurance and rated B+ or better by A.M. Best Company.

Support of a contractor's Aggregate Bonding Capacity must be presented as a total dollar amount in letter format on the provider's letterhead. The letter must be signed by an authorized representative of the surety. Signing authorization, such as Power of Attorney, or Attorney-in-Fact, must accompany this letter.

Revised May 2002 1 Massachusetts Bay Transportation Authority

F. "Current Capacity Rating"

"Current Capacity Rating" shaIl be the net difference between a Contractor's Aggregate Bonding Capacity and the doIlar value of hislher current uncompleted work, regardless of its location and with whom it may be contracted. Contractors wiIl not be el igible to bid on a contract, when the Authority's estimated project value of the job exceeds the contractor's "Current Capacity Rating".

G. "Project Value"

Each project shaIl be given a "Project Value" derived from the Authority's preliminary cost estimate stated in rolmd figures to the nearest hundred thousand.

II. APPLICATION FOR PREOUALIFICATION

A. General

Any Contractor proposing to bid on work under the direction of the Authority, aggregating one million doIlars ($1,000,000) or more, must furnish a notarized statement on fornls provided by the Authority, setting forth financial data (as noted in Part IV "Financial Data" section of the Contractor Prequalification Statement), adequacy of plant and equipment, organizational structure, experience and other pertinent facts. The statement should be accompanied by Prequalification Rating Certificates from each state prequalified, if any have been issued.

Audited financial statements accompanying the Contractor Prequalification Statement must be for the most recent fiscal- year-ended. A fuIl opinion audit must have been conducted in accordance with generaIly accepted auditing standards. At a minimunl, financial statements should include auditor's opinion, Balance Sheet, income statement and footnotes.

Any significant change in the financial condition or the status of equipment and/or any change in the name or structure of the firm, officers or ownership, which occurs between the date of the audited financial statement and the filing date, must be reported to the Authority at the time of filing. The Authority reserves the right to demand additional information at any time.

For work aggregating under one million dollars ($1,000,000) post-qualification may be required. The infonnation to be submitted after receipt of bids shall be similar to that required for prequalification. AIl bids submitted for work aggregating under one miIlion dollars ($1 ,000,000) in excess of fifty thousand dollars ($50,000) will be accompanied by a letter of commitment from a surety company. This letter of commitment shaIl be in addition to any bid deposit.

AIl information furnished in any statement by a prospective bidder shall be held in strict confidence by the Authority and its agents, except where such information is

Revised May 2002 2 Massachusetts Bay Transportation Authori ty

required by statute, and/or regulations promulgated by applicable Federal or State agencies, and such information shall be used only to determine the prospective bidder's Aggregate Bonding Capacity and the Class of Work entitled to be undertaken in accordance with the procedures herein contained, No information contained in any such statement shall be imparted to any other person without the written consent of the prospective bidder.

B , Contractors

Contractors shall submit a completed Contractor Prequalification Statement accompanied by a Certificate from each State in which the organization perfOlmed work, stating the Rating, if any, issued by that State, All corporations must show proof of registration with the Massachusetts Office of the Secretary of State to do business in Massachusetts.

C. Joint Ventures

If recurrent joint venture bidding is desired, a combined Prequalification Statement of experience, principal personnel, plant and equipment, organizational structure, previous record, financial data and other pertinent factors, including the number, size and completion dates of construction jobs in this or other States presently under contract, shall be submitted. The joint relationship shall be considered in effect until one ofthe Contractors notifies the Authority that the joint relationship is concluded.

D. Subsidiary Companies (When Parent Company Already Holds Prequalification Status)

In the event, that a prequalified parent company has fomled or intends to form a subsidiary company with intent to prequalify, Prequalification Rating may be established for the subsidiary company subject to the following rule of procedure:

The subsidiary company shall be considered as an independent entity and shall be rated on the basis of its own independent financial resources, equipment, personnel, experience and the number, size and completion dates of construction jobs in this or other States presently under contract.

E. Time Limitation in Submitting Request for Prequalification.

Requests for Prequalification shall be submitted at least ten (10) calendar days preceding the day set for opening of bids for work upon which a Contractor intends to bid. A request for prequalification will not be considered until a properly and correctly completed Contractor Prequalification Statement and financial data, including all necessary supporting data, has been submitted.


F. Class of Work Desired

Each prospective bidder shall indicate, in the place provided on page 3 in the Contractor Prequalification Statement, the particular class or classes of work upon which he/she desires to bid, but such indication shall not be binding upon the Authority in classifying a prospective bidder according to the facts disclosed in hislher Prequalification Statement. Classification will not be determined solely by the facts disclosed in his/her Prequalification Statement. For detailed description and identification numbers of all MBTA Class of Work, please refer to Appendix l.

Although a Contractor may possess and list many types of equipment in the Contractor Prequalification Statement for the purpose of establishing an Aggregate Bonding Capacity, only those types of equipment which will be useful in performing the contemplated work will be considered in determining the class or classes of work which the contractor shall be prequalified to undertake.

Contractors must show that they have appropriate and sufficient equipment available to satisfactorily perform the contemplated class or classes of work and that such equipment will not be leased or otherwise limited in use during the period of any contract, which he/she may be awarded. In lieu of actual equipment on hand, the Contractor may show current assets sufficient to provide the necessary equipment, and may show that he/she will have sole jurisdiction over the equipment for a period of not less than twelve (12) months from the date of application. In addition to a complete description, a statement as to the condition of each piece of equipment shall be required. The Authority shall have the right to inspect all equipment in order to determine its operating condition and value.

G. Action on Requests for Prequalification

Each Contractor's Prequalification Statement shall be reviewed by the Prequalification Committee. This Committee shall analyze each statement, verify as it deems necessary the information set forth therein, determine the class(es) of work and review and approve the aggregate amount of work the prospective bidder shall be entitled to undertake. Whenever the Committee is not satisfied with the sufficiency ofthe answers contained in any Statement, it may require the Contractor to submit additional information, and pending the filing of such additional information, the Authority may refuse to furnish such Contractor with an official proposal form for any duly advertised project. The Committee may require a personal interview with a prospective bidder when considering hislher qualifications for a Rating.

After review and analysis of a prospective bidder's Prequalification Statement by the Prequalification Committee, the Authority shall give the applicant written notice of its detemlination ofhislher Aggregate Bonding Capacity and the class of work he/she shall be entitled to undertake.


III. RATINGS

A. General

Ratings shall be basically determined upon the Contractor's ability to properly finance the work as evidenced by bonding capacity, financial statements and supplementing documents, and on hislher competency and responsibility as indicated by the amount and condition of equipment, experience of principal personnel and previous record with this and other awarding authorities. Letters of credit shall not be accepted. An unlimited Aggregate Bonding capacity shall not be allowed. The resultant Ratings shall include the following component parts:

(1) Class of work (2) Aggregate Bonding Capacity (3) Single Project Limit, if assigned

The Authority, acting through its Prequalification Committee, reserves the right to establish a single project limit in a lesser amount than the Aggregate Bonding Capacity in cases where said committee has substantial and valid reason to believe that a prospective bidder is unqualified, either because of lack of experience or unsatisfactory perfonnance on a previous contract, to satisfactorily perfOlm a contract in the full amount ofhis/her Aggregate Bonding Capacity.

B. Duration of Pre qualification Ratings

Prequalification Ratings shall remain in effect for not more than sixteen months following the date of the contractor's balance sheet used in the prequalification statement.

C. Revision of Prequalification Ratings

Whenever the Authority has substantial reason to believe that the condition of a contractor previously prequalified is less favorable than at the time of its last application, a new Prequalification Statement shall be requested in writing stating the reason therefor. If the requested statement is not filed within thirty (30) days from date of notice, the current Ratings shall be considered forfeited, and the Contractor concerned will not be permitted to bid until a new Contractor Prequalification Statement has been received and acted upon by the Authority.

Qualification Ratings shall be modified whenever it is determined that a Contractor does not have sufficient equipment, or sufficient assets to provide necessary equipment either through purchase or lease agreements, or hislher performance is unsatisfactory.

Requests by contractors for the revision of Pre qualification Ratings will be considered by the Authority at any time provided a new Prequalification Statement is submitted. Such statements must be submitted in proper form at least ten (10) calendar

Revised May 2002 5 Massachusetts Bay Transportati on Authority

days prior to a bid opening in order to receive consideration for that bid opening.

If at any time subsequent to filing, any significant change occurs in the financial condition or the status of equipment and! or any change in the name or structure of the firm, officers, principal employees or ownership, a written notice shall be given to the Authority, whereupon a new application for prequalification may be required.

If an individual or member of a partnership withdraws cash, securities, or any assets subsequent to the filing of a financial statement with the AuthOlity, he/she shall give written notice to the Authority of such withdrawals; the Authority will then adjust the financial Rating ofthe individual or partnership accordingly.

IV. PROPOSAL FORMS

A. Requests for Proposal Forms

All prospective bidders who wish to bid on work to be awarded by the Authority must submit a completed "Request for Proposal Forms" to the Authority, accompanied by cash, bank check, certified check or money order in the amount stated in the Notice to Bidders, made payable to the Massachusetts Bay Transportation Authority. Prospective bidders are required to submit a letter to the Manager of Contract Administration listing the names of all individuals authorized to sign the "Request for Proposal Forms". The letter is to be signed by a member or officer of the firm together with his/her title.

Unless a prospective bidder has "prequalified", he/she shall not be entitled to bid on work, the value of which when added to the value of his/her uncompleted work already under contract with the Authority aggregates $1,000,000 or more.

A Contractor may take out more than one proposal form at a time, to be opened either on the same date or on subsequent dates, providing that no one single project exceeds hislher current capacity rating. Any proposal, the project value of which places the bidder in a position of exceeding his/her current capacity rating, shall be refused him. He/She shall be entitled to receive all other proposals whether opened on the same date or on subsequent dates.

Two or more Contractors who have been prequalified may combine all or a portion of their assets for occasional bidding purposes, by filing with the Authority a completed joint "Request for Proposal Form," stating on an attached separate sheet the portion of each of their assets to be considered jointly. The sum of these will determine the Aggregate Bonding Capacity of the joint ventures. One of the joint ventures must be prequalified in the class of work for which they intend to submit bids. (See Section II, c.).

Revised May 2002 6 Massachusetts Bay Transp0l1ulion Authori ty

B. Action on Requests for Proposal Forms

The Authority shall act upon a "Request for Proposal Forms" within five (5) business days following receipt by the Deputy Director of Construction-Contracts, excluding a Saturday, Sunday or holidays.

Prior to the issuance of a proposal form, consideration will be given to the number ofprojects the prospective bidder has under contract, the state of progress thereon, and hislher "Current Capacity Rating" as determined by deducting the total dollar value of uncompleted work shown in the "Request for Proposal Forms" from his/her Aggregate Bonding Capacity.

Each proposal form shall have an identifying number and shall be non-transferable. A bid submitted on a proposal form issued to another Contractor shall be rejected.

C. Non-issuance of Proposal Forms

A proposal form shall not be issued to a prospective bidder:

(1) If the Authority's Project value (P.V.) for the particular project upon which he/she desires to bid exceeds his/her "Current Capacity Rating," or

(2) On non-Federally-aided projects, if the prospective bidder has been adjudged guilty of any irregularity in connection with public works before a court of competent jurisdiction. (A specific time period during which a proposal will not be issued shall be established following such court action. Should an appeal be taken, the period of disqualification shall continue until the judgment is reversed in which event the period of disqualification shall end).

(3) On Federally-aided projects, ifthe prospective bidder:

(a) has been established as being unacceptable for employment as provided by the applicable regulations issued by the Secretary of Labor, United States Department of Labor.

(b) appears on the U. S. Comptroller General's Consolidated List of Persons or Firms Currently Debarred for Violations of Various Public Contracts Incorporating Labor Standards Provisions.

The Authority may also refuse to issue a proposal form if the Prequalification Committee determines that:


(l) The prospective bidder is making unsatisfactory progress or performing work which is substantially unsatisfactory on projects already under contract.

(2) The prospective bidder has performed unsatisfactory work on prior contracts or his/her perfonnance record has been unsatisfactory on prior contracts.

A prospective bidder shall be notified in writing of the refusal by the Authority to issue a proposal form within five (5) business days, excluding a Saturday, Sunday or holidays, following receipt of request for proposal form by the Deputy Director of Construction-Contracts.

After receiving notification of refusal to issue a proposal form, the prospective bidder may make written request for a review by the Prequalification Committee. A request for a review shall set forth the prospective bidder's arguments for a revision of the decision. The Prequalification Committee shall give a written decision within seven (7) business days of receipt of the prospective bidder's request. In either case, the decision shall be final and binding, subject to any rights of the prospective bidder to ajudicial review.

V. MISCELLANEOUS

A. Order of Bid Openings

Proposals shall be opened and read in the order of decreasing dollar values, commencing with the highest "Project Value" as set forth in section I, g.

B. Bid openings

A Contractor may submit proposals for more than one project to be opened on the same or subsequent days. However, if he/she is found to be the low bidder on one project, all subsequent bids which place him in the position of exceeding his/her Current Capacity Rating shall be subject to review. The Authority reserves the right to accept or reject any such bids when such action is determined to be in the best interest of the Authority.

C. Right to Reject Bids

Nothing in these procedures shall be construed as depriving the Authority of the right to reject any bid when it is found that the bidder has exceeded his/her current capacity rating or when, in the opinion of the Authority, circumstances and developments have changed the qualification or responsibility of the bidder.

D. Rights of a contractor for Appeal

A Contractor or prospective bidder who is aggrieved by a decision or determination of the Authority may file a new application for prequalification at any time,


or within fifteen (15) calendar days after receiving notice of such decision or determination, may make written request for a review by the Prequalification Committee. A request for review shall set forth the argument for a revision of the decision. The Prequalification Committee shall render a decision within fifteen (\5) calendar days following receipt of the request. The previous Rating or decision shall remain in effect until the Prequalification Committee renders a decision in writing on the appeal. The decision of the Prequalification Committee shall be final and binding, subject to any rights of the contractor or prospective bidder to ajudicial review.


Appendix One


Massachusetts Bay Transportation Authority

Definitions of Classes of Work (Revision Date April 2002)

CLASS I - GENERAL TRANSIT CONSTRUCTION:

Heavy transit line construction projects including the following work: site preparation, cut & cover tunneling, excavation backfill , grading, stonn drainage, utilities, sewerage and water systems, gravel base courses, piles, underpinning, sheeting, slurry walls, bituminous & cement pavements, retaining walls, steel & reinforced concrete structures, landscaping, access roadways, fencing, signing & incidental site work. The contractor must exhibit, on previously completed projects, that the scope of work for the project required the contractor to work on or around active rapid transit, light rail, commuter rail and / or freight tracks without causing disruption to service. In addition, the contractor should demonstrate, by project scope, their ability to work in or around an active transit station or facility while perfonning new or alteration activities without disruption to station or facility operations. The type of projects that are also included in this Class of Work would be remodeling, alteration or new construction of bus, rapid transit, light rail and commuter rai l stations and multi-modal tel1l1inal facilities along with subway ventilation improvements.

CLASS lA - MARlNE GENERAL TRANSIT CONSTRUCTION:

Work associated with water transportation facilities consisting of, but not limited to, new pier and dock construction/rehabilitation, including precast concrete piles, prestressed deck beams, cast in place concrete, wood piles and wood decking, and cutting and removal of timber piles.

CLASS 2 - GRADING, DRAINAGE & SITE DEVELOPMENT:

Construction projects consisting essentially of earthwork and bituminous paving including; site preparation, excavation, grading, sewerage & stornl drainage systems, sub-drains, culverts, landscaping & utilities. Projects included in this Class of Work are parking lot and roadway construction for MBTA facilities and stations including connections to existing area roadways.

CLASS 3 - TRACKAGE:

Projects consisting of the rehabilitation of, or new construction of trackwork for rapid transit, commuter rail or light rail lines. Work includes placement of track support structure, ballast, wood or concrete ties, rail fastenings, switches & turnouts, rail welding placement, tamping, alignment and testing. Competency of Bidders Experience for specific projects is required for individual track contracts.


Page Two Definitions of Classes of Work (Rev. Date Apri l 2002)

CLASS 4 - BRIDGES:

4A - STEEL SUPERSTRUCTURES:

Fabrication and erection of new structural steel superstructure associated with transit/railroad bridge rehabilitation and new construction. Rehabilitation of existing steel bridge members in place either under operations or during nighttime shutdowns. Concrete placement for new deck wearing surface or rehabilitation of existing deck wearing surface. This class of work includes substructure construction including but not limited to cofferdams, shoring pile driving, dewatering, underpilming, caisson installation, slurrywall construction, steel and concrete piles, concrete foundations , concrete piers and abutments including wing wall and marine work.

4B - CONCRETE SUPERSTRUCTURES:

Fabrication and erection of new precast and/or prestressed concrete beams or cast-in-place concrete beams associated with transit/railroad bridge rehabilitation and new bridge construction. Rehabilitation of existing concrete bridge members in place either under operations or during nighttime shutdowns. This includes fabrication and erection of form work and placement of rebar for cast in place beams and concrete deck surfaces or for rehabilitation of existing beams and concrete deck wearing surface. This class of work includes substructure construction including but not limited to cofferdams, shoring pile driving, dewatering, underpinning, caisson installation, slurrywall construction, steel and concrete piles, concrete foundations, concrete piers and abutments including wing wall and marine work.

CLASS 5 - ELECTRICAL:

Projects including the installation and furnishing, testing and commissioning of switchgear equipment, traction power substation equipment, combustion turbine operations, duct and cable systems. Specialty Systems equipment and their installation for other than normal electrical systems are also included in this class of work.


Page Three Definitions of Classes of Work (Rev. Date April 2002)

CLASS 6-SIGNALING:

6A - TRANSIT/RAILROAD SIGNALING:

Projects consisting of the design, manufacturing, furnishing and installation of signal and communications systems, along with new supervisory control systems. Work includes labor, materials, engineering and equipment for new and existing systems, technical support material, switching systems and automatic highway crossing protection improvements.

6B - TRAFFIC SIGNALING:

Projects consisting of construction or reconstruction of a vehicular traffic control signal at either isolated or multiple locations for roadway intersections and pedestrian crossings. Work includes labor, materials and equipment for installation of vehicular traffic signal controllers, inductive loop detectors, electrical pull boxes, electrical conduit, conduit fittings and conduit supports, mast arm assemblies, posts and bases, signal post, controller bases, vehicle signal heads, pedestrian signal heads, louvered hoods and optically programmed adapters, pedestrian push buttons, temporary traffic signals and all incidental materials necessary for operating the vehicular traffic control signals.

CLASS 7 - BUILDINGS:

Projects including the remodeling, alteration or new construction of vertical type construction, parking garages, plant and equipment maintenance facilities . These projects may consist of several of the following trade categories of work: roofing and flashing, metal windows, waterproofing, damp-proofing and caulking, miscellaneous and ornamental iron, lathering and plastering, acoustical tile, marble, ceramic tile, terrazzo, resilient floors, painting, plumbing, heating, ventilation and air-conditioning, electrical work, elevators and masonry, excavation, sheeting, underpinning, piles foundation and site work.

CLASS 8 - DEMOLITION:

Construction projects for the demolition, removal and disposal of existing buildings, structures and appurtenances of significant size in their entirety, such as buildings, garages, facilities or stations. Incidentals to the work include structural review for safety of personnel, rodent control , traffic management, maintenance and protection of pedestrians, security fencing and street sweeping. This Class of Work does not include incidental demolition work associated with remodeling or reconstruction such as a bridge wingwall, abutments, bridge decks or C.M.V. wall, wood/metal studded walls or rooms.


Page Four Definitions of Classes of Work (Rev. Date April 2002)

CLASS SA - MARINE DEMOLITION:

Removal and disposal of marine related structures such as wharves, piers, piles, railroad trestles and track structures.

CLASS 9 - DEEP TUNNELING:

Work includes coring of new tunnels with specialized equipment along with excavation, lining, grout support systems, slurry walls, piles and caissons.

CLASS 10 - MECHANICAL:

Work including mechanical equipment installation, pipefitting, and fire protection systems, plumbing, HV AC, refrigeration, air distribution and energy conservation systems.

CLASS 11 - ASBESTOS ABATEMENT:

Work including the removal and disposal, enclosure or encapsulation of asbestos, included, but not limited to the activity in connection with the renovation, repair or demolition of a facility. Approval of pre qualification requires submission of current Massachusetts State license. Prequalification in this class of work requires submittal of additional prequalification forms .

CLASS 12 - PRECAST CONCRETE:

Projects consisting of designing, detailing, fabrication, delivery and installation/erection of prestressed precast concrete construction.

CLASS 13 - SLURRY WALL:

Projects utilizing slurrywall construction for temporary/permanent earth support systems and building/station foundation support. Work would include but not be limited to design and detailing of slurry plant systems, excavation sequences, reinforcing cage, construction concrete placement and disposal of slurry.


Page Five Definitions of Classes of Work (Rev. Date April 2002)

CLASS 14 - STRUCTURAL UNDERPINNING:

Projects consisting of designing, detailing, fabrication, delivery, installation/erection and load transfer from one structural system to another.

CLASS 15 - MINED/NATM TUNNELING:

Projects consisting of designing and implementation of mined tunneling or NATM tunneling under existing buildings or tunnels. Work would include but not limited to designing excavation sequences, reinforcing rings, shotcrete mixing and installation, alignment survey and dewatering of excavation required to complete the tunneling.

CLASS 16 - GROUND FREEZING:

Projects consisting of designing and implementation of a ground freezing system to stabilize existing soil conditions. Work would include but not be limited to designing refrigeration system, distribution of the chilled brine, monitoring of the ground temperature, thawing of soils and the disposal of the brine.


MASSACHUSETTS BAY TRANSPORTATION AUTHORITY

CONTRACT ADMINISTRATION TRANSPORTATION BUILDING TEN PARK PLAZA, ROOM 6720

BOSTON, MASSACHUSETTS 02116 TEL: (617) 222-3133 FAX: (617) 222-1513

*** CONTRACTOR PRE QUALIFICATION STATEMENT***

COMPANY NAME: ________________ _ Individual _Corporation

Joint Venture Other:

ADDRESS: _________________________ _

TELEPHONE: ________________________ ___

FAX#: ____________________________ _

PRINCIPAL OFFICE: _______________________ _

CONTACTPERSON: ___________ TELEPHONE#: _______ __

END OF FISCAL YEAR: _______ ~DATE PREPARED: ________ _

DATE RECEIVED

BY MBTA: _____ _

May 2002 Massachusetts Bay Transportation Authority

INSTRUCTIONS

Contractors proposing to bid on Massachusetts Bay Transportation Authority's work totaling $1,000,000 or more must complete a Prequalification Statement and submit it in proper form at least ten (10) calendar days prior to bid opening.

Forms should be typed or printed in black ink. All seven (7) parts of the form must be thoroughly completed. Failure to provide requested information may prohibit the Authority from prequalifying your firm on a timely basis. The seven parts are as follows:

I. EXPERIENCE II. EQUIPMENT SCHEDULE III. ORGANIZATIONAL STRUCTURE IV. FINANCIAL DATA V. REQUEST FOR ATTORNEY'S LEGAL LETTER OF LIABILITIES VI. MANAGEMENTS STATEMENT OF REPRESENTATION TO EVENTS

SUBSEQUENT TO THE BALANCE SHEET DATE VII. AFFIDAVIT TO PREVIOUS STATEMENTS

The signatory of this Prequalification Statement guarantees, as evidenced by the notarized statement herein required, the truth and accuracy of all statements and of all answers to the interrogatories hereinafter made.

Additional information can be obtained on the prequalification process by referring to: MBTA's Procedures Governing Classification and Rating of Prospective Bidders which may be obtained from the Contract Administration Office, 10 Park Plaza, Room 6720, Boston, MA 02116.

OUESTIONS

If you have questions, please call the Contract Administration Office at (617) 222-3133.

Submit completed forn1s to: Deputy Director of Construction-Contracts Massachusetts Bay Transportation Authority, Contract Administration, Transportation Building, Ten Park Plaza, Room 6720, Boston, MA 02116

CON F I DENT I A LITY o WNERSH I P OF I NFORMA TION

The completed prequalification statement shall be the exclusive property ofthe prospective bidder and as such shall not constitute a portion of the records of the Authority and shall not be open to public inspection.

All information furnished in any statement by a prospective bidder shall be held in strict confidence by the Authority and its agents, except where such information is required by statute and/or regulations promulgated by applicable Federal or State agencies, and such information shall be used only to determine the prospective bidder's Prequalification Certification in accordance with the procedures herein contained. No information contained in any such statement shall be imparted to any other person without the written consent of the prospective bidder.

C H E C K LIS T P RIO R TO SUB MIT TIN G

INCLUDE: Surety letter with Power-of-Attorney signing authorization Auditor's opinion, signed and dated, Balance Sheet, Income Statement and footnotes Massachusetts Corporate Annual Report signed by Officer and dated for current fiscal period Attorney legal Letter of Liabilities

On Affidavit: Have Officer sign, affix corporate seal and notarized.

Note: Contract Administration has a comparable checklist, which must be completed before Prequalification is granted.

May 2002 2 Massachusells Bay Transportation Authority

PART I EXPERIENCE

I. How many years has your organization been in business as a general contractor under your present business name? ___ _ _______ _

2. Indicate with an X below the class(es) of work for which prequalification is requested and record the number of years of the organization 's experience as a general and sub-contractor.

(1) _ General Transit Construction

(la) _ Marine General Transit Construction

(2) _ Grading, Drainage & Site Development

(3) Trackage

(4) Bridges:

_ (a) Steel Superstructures

_ (b) Concrete Superstructures

(5) _ Electrical

(6) Signaling:

Years Gen'!. Sub.

_ (a) Transit/Railroad Signaling __

_ (b) Traffic Signaling

(7)

(8)

(8a) _

(9)

(10) _

(11) _

(12) _

(13) _

(14) _

(15) _

(16) _

Buildings

Demolition

Marine Demolition

Deep Tunneling

Mechanical

Asbestos Abatement*

Precast Concrete

Slurry Wall

Structural Underpinning __

MinedfNATM Tunneling ___ _

Ground Freezing

* An additional Prequalification Form is required for asbestos abatement. This form is available from Contract Administration.

May 2002 3 Massachusetts Bay Transportation Authority

3. List below the major projects of the type of work you wish to bid on, that your organization has completed within the last ten years . For Class of Work descriptions and identification numbers, please refer to the listing in Appendix 1 of the Procedures Governing Classification and Rating of Prospective Bidders

% of 0/0 of each Dollar Class of

Contract Contract Project Title and

Owner/ Completion Class of Amount of Work completed Contact Name/ Detailed Description of Work Amount

by your Location Phone Number Date Work each Class performed

firm Work by your

firm $123,456.789. 65 Nor~; ~on Green MBTA October I $50,000,000. 50 Platform reconfiguration and extension to

Line mprovement l ~bertEgan /2~02 $20,000,0'£ )

I accommodate 6 car.:.trains. Project, Track & j l 7 .222.59 10 2 30 j Site grading, i,J si'iillation of drainage. StafionRehabilitation 3 _ $10,000,000. 100 :.:Installation of 400:feet of track.

7 $40,000,000. 75 Erected 2 headhouses.


PART! -EXPERIENCE - Cont'd

4. Has a bond ever been invoked against your firm?:---,._--:-__ --,. _____ _ If so, where and why? Include pertinent information; i.e ., date, project name, owner's name, and reason thereof

5. Have you ever failed to complete any work awarded to you? If so, where and why? Include date, project name, owner's name, and reason thereof

6. Has any officer or partner of your organization ever been an officer or partner of some other organization that failed to complete a con tract? -,-:_:---:-___ .,.---:-____ .,----::-If so , state name of individual, other organization, reason therefor and bonding company.

7. Has any officer or partner of your organization ever failed to complete a contract handled in hislher own name? -----::-:---:-;---,-

If so, state name of individual, reason therefore and bonding company.

8. In what other lines of business are you affiliated with (directly or indirectly)?

9. With what person (or persons) have you been associated as a business partner or otherwise during the past five years?

10. Did you complete your last three contracts on time as well as the major ones listed in Question 3? Ifnot, why?


PART i-EXPERIENCE

II. What is the construction experience of the principal officers of your organization? If the principal officers are lacking in construction experience, list the experience of the individuals who will be your field superintendents on the proposed work in Massachusetts.

YEARS OF

PRESENT CONSTRUCTION MAGNITUDE & TYPE

INDIVIDUAL'S NAME POSITION EXPERIENCE OF WORK IN WHAT CAPACITY

Part JI- EQUIPMENT SCHEDULE

Total Value (At cost less depreciation) $ ______________ _

PRESENT SIZE OR

DESCRIPTION CONDITION CAPACITY

* Show: Make, Model No., Serial No., How Equipped

(a separate schedule may be attached)

May 2002

YEAR

YEAR MFG. PURCHASED

6

DE PRE- COST

CIATION LESS

P URCHASE CHARGED DEPRE-

PRICE OFF ClATlON

Massachusetts Bay Transportation Authority

PART I/I- ORGANIZATIONAL STRUCTURE

CORPORATIONS INDIVIDUALS PARTNERSHIPS OTHERS

When Incorporated

In What State?

President's name:

Vice President's Name

Secretary's Name:

Treasurer's Name

PARTIV-FINANCULDATA

BONDING.

Type of Entity:

Date Organized:

Principal's Names And Address:

A contractor is required to submit annually a letter from its surety confuming its current bonding capacity. Confimmtion will not be accepted unless the insurance company is licensed and approved by the Massachusetts Division of Insurance and is rated B+ or better by A.M. Best Company. With the bonding company's letter, the bonding agent must enclose his/her Power of Attorney or AttomeyIn-Fact signing authorization document issued by the insurance company.

Indicate the firm's bonding limit per project and the firm's aggregate bonding capacity.

Single Project Limit ______________________________________ _

Aggregate Bonding Capacity ______ ___________________________ _

Attach letter from surety or bonding agent confmning above limits. (Include with letter attorney-in-fact signing authorization.)

Indicate name of present bonding agent, contact person, address, and telephone number.

Agent Narne: _________________________________________ _

Address: ________________________ ________________ _

ContactPerson: ________________________________________ _

Telephone Number: ____________________________________ _


PART IV - FINANCIAL DATA - Cont'd

Attach the latest fiscal-year-end audited financial statements and footnotes. A full opinion audit must have been conducted in accordance with generally accepted auditing standards. Financial statements should include auditor's opinion, balance sheet, income statement and notes.

MASSACHUSE7TS CORPORATION ANNUAL REPORTIA.K.A. CERTIFICATE OF CONDITION

Has the corporation filed its current Massachusetts Corporation Annual Report or the Massachusetts Foreign Corporation Annual Report, with the Office of the Secretary of State. (Due annually two and one-half months following the close of the fiscal year)? ___________________ _

If so, a copy of the report signed and dated by an officer of the corporation must accompany this Prequalification package. The date of the fiscal year appearing on this report should agree with the date of the Balance Sheet accompanying this report.

If the report has not been filed, explain why, and attach a copy of the most recent filing signed and dated by an officer of the corporation.

PART V- REOUEST FOR A TTORNEY'S LEGAL LETTER OF LIABILITIES

In connection with the examination of your financial statements accompanying the Prequalification Statement, will you please have your legal counsel list, if any, a description and evaluation of any litigation, impending litigation, claims and contingent liabilities of which you have knowledge that existed at the date of the balance sheet being reported on, plus any additional matters of such nature coming to his attention up to the date the information is furnished.

The above request should contain the fo llowing information (1) the nature of the litigation (2) the progress of the case to date (3) an evaluation of the likelihood of an unfavorable outcome and an estimate, if one can be made, of the amount or range of potential loss and (4) if particular cases have been filed in court, provide name of court and docket number. Please furnish to the Massachusetts Bay Transportation Authority such explanation, if any, that you consider necessary to supplement the foregoing information, including an explanation of those matters as to which your views may differ from those stated and an identification of the omission of any pending or threatened litigation, claims and assessments or a statement that the list of such matters is complete.


PART VI - MANAGEMENT'S STATEMENT OF REPRESENTATION TO EVENTS SUBSEOUENT TO THE BALANCE SHEET DATE

For the period subsequent to the balance sheet date of the statements accompanying this prequalification statement to date of signing the affidavit in Part VII.

We confIrm that 1. We are responsible for the fair presentation in the financial statements of fmancial position, results of operations, and changes

in fmancial position in confomling with generally accepted accounting principles.

2. There have been no. A. Irregularities involving management of employees who have significant roles in the system of internal accOlmting

controL B. Irregularities involving other employees that could have a material effect on the financial statements. C. Communications from regulatory agencies concerning noncompliance with, or deficiencies in, fmancial reporting

practices that could have a material effect on the financial statements.

3. No events have occurred or are planned having a material effect on the carrying value or classification of assets and liabilities.

4. There has been no significant change in: A. Capital stock repurchase options or agreements or capital stock reserved for options, warrants, conversions, or other

requirements. B. Arrangements with financial institutions involving compensating balances or other arrangements involving restrictions

on cash balances and line-of-credit or similar arrangements. C. Agreements to repurchase assets previously sold.

5. There has not arisen: A Violations or possible violations of laws or regulations whose effects should be considered for disclosure in the financial

Statements or as a basis for recording a loss contingency. B. Other material liabilities or gain or loss contingencies that are required to be accrued or disclosed by statement of

financial accounting standards No.5. C. Unasserted claims or assessments that our lawyer has advised us are probable of assertion and must be disclosed in

accordance with statement of financial accounting standards No.5. D. Any unusual adjustments to the books of account E. Significant change in working capital or long term debt.

6. The company has satisfactory title to all owned assets, and there are no liens or encumbrances on such assets nor has any asset been pledged except as disclosed in the accompanying footnotes to the financial statements.

7. There is no material loss to be sustained as a result of purchase commitments for inventory quantities in excess of normal requirements or at prices in excess of the prevailing market prices.

8. The company has complied with all aspects of contractual agreements that would have a material effect on the fInancial statements in the event of noncompliance.

9. No events have occurred subsequent to the balance sheet date that would require adjustment to, or disclosure in, the fmancial statements.

Please provide an explanation of those items that cannot be confirmed. Unless otherwise noted, confirmation of the above is attested to in the signing of the affIdavit in Part VII.

D Explanation Attached D Not applicable


PART VII - AFFIDAVIT TO PREVIOUS STATEMENTS

State. ____________ SS:

Country: ___________ _

The undersigned contractor( s) being duly sworn, depose and say that statements and answers to all questions herein contained and representations made subsequent to the balance sheet date contained in Part VI are true and correct That this statement is for the express purpose inducing the party to whom it is submitted to award the submitters a contract, and that any depository, vendor or other agency herein named is hereby authorized to supply such party with any information necessary to verify this statement

Firm Name

Firm Name

NOTARY:

Name of Chief Executive Officer Or Chief Financial Officer

Officer's Signature

SIGNA TURF FOR JOINT VENTURE

Name of Chief Executive Officer Or Chief Financial Officer

Officer's Signature

Title

Date

Title

Title

SWORN TO BEFORE ME THIS ___ .DAY OF ____ YEAR ___ _

NOTARY PUBLIC

MY COMMISSION EXPIRES: _________ _ IF CORPORATION, AFFIX CORPORATE SEAL(S)


Davis-Bacon Requirements

7. MINIMUM STATE WAGE RATES

A. The minimum wage rates to be used for this Contract are shown on the schedules on the following pages. The rates shown on these schedules are the minimum to be paid during the life of the Contract. It is, therefore, the responsibility of bidders to inform themselves as to the local labor conditions such as the length of the work day and work week, overtime compensation, health and welfare contributions, labor supply and prospective changes or adjustment of rates. In the event of conflict between the schedules for any classifications, the greater amount for the classification shall prevail as the minimum wage rate .

B. If the Contractor finds it necessary during the progress of the work to secure a minimum wage rate for some additional classification, he shall make a request for such additional classification to the Authority, who in tum will obtain the additional classification and corresponding minimum wage rate from the State Department of Labor and Industries and advise the Contractor of the same. These additional classifications and minimum wage rates are then to be considered a part of the Contract, and the Contractor shall have no claim for additional compensation because of the additional classification and minimum wage rates.

C. Where a question arises as to the classification in the schedule of the Department of Labor and Industries in which any employee is to be included, the decision is to be made by the State Department of Labor and Industries, through their duly authorized representative.

D. Within three days from the date of the first advertisement or call for bids, two or more employers of labor, or two or more members of a labor organization, or the awarding officer or official, or five or more residents of the town or towns where the public works are to be constructed, may appeal to the associate commissioners for a wage determination, or a classification of employment as made by the Commissioner, by serving on the Commissioner a written notice to that effect. Thereupon the Commissioner shall immediately cause the associate commissioners to hold a public hearing on the Commissioner's action appealed from. The associate commissioners shall render their decision not later than three (3) days after the closing of the hearing. The decision of a majority of the associate commissioners shall be final, and notice thereof shall be given forthwith to the awarding official or public body. (Section 27A, Chapter 149, General Laws, Commonwealth of Massachusetts).

E. Payments by employers to health and welfare plans under collective bargaining agreements or understandings between organized labor and employers shall be included for the purpose of establishing minimum wage rates as herein provided, (Section 26, Chapter 149, General Laws, Commonwealth of Massachusetts).

F. The aforesaid rates of wages in the schedule of wage rates shall include payments by employers to health and welfare plans as provided in the previous section, and such payments shall be considered as payments to persons under this section performing work as herein provided. Any employer engaged in the construction of such works who does not make payments to health and welfare plan where

such payments are included in said rates of wages shall pay the amount of said payments directly to each employee engaged in said construction. (Section 27, Chapter 149, General Laws, as amended).

G. The Contractor's attention is directed to further minimum wage provisions under Paragraph _ of the Supplementary Conditions. In cases of conflict, the higher rate shall apply.

U. LABOR PROVISIONS.

1. Labor Provisions - Construction

a. Minimum Wages

(1) All laborers and mechanics employed or working upon the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), will be paid unconditionally and not less often than once a week, and without subsequent deduction rebate on any account (except such payroll deductions as are pennitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at the time of payment computed at rates not less than those contained in the Wage Determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the Contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1 (b) (2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (a) (1) (iv) of 29 CFR Sec. 5.5; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR Sec. 5.5 (a) (4).

Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: provided, that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (a) (1) (ii) of29 CFR Sec. 5.5 and the Davis-Bacon Poster (WH-132) shall be posted at all times by the Contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers.

(2) The Contracting Office shall require that any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the Contract shall be classified in conformance with the wage detennination. The Contracting Office shall approve an additional classification and wage rate and fringe benefits therefor, only when the following criteria have been met:

(a) The work to be performed by the classification requested is not performed by a classification in the wage determination: and

(b) The classification is utilized in the area by the construction industry: and

(c) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

(3) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits, where appropriate), a report of the action taken shall be sent by the Contracting Officer to the Administration of the Wage and hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, D.C. 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the Contracting Officer or will notify the Contracting Officer within a 30 day period that additional time is necessary.

(4) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the Contracting Officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the Contracting Officer shall refer the questions including the views of all interested parties and the recommendation of the Contracting Officer, to the Administrator for determination. The administrator, or an authorized representative, will issue a determination within 3D days of receipt and so advise the Contracting Officer or will notify the Contracting Officer within the 3D-day period that additional time is necessary.

(5) The wage rate (including fringe benefits where appropriate) determined pursuant to subparagraph (a) (I) (B) or (C) of29 CFR Sec. 5.5 shall be paid to all workers performing work in the classification under this Contract from the first day on which work is performed in the classification.

(6) Whenever the minimum wage rate prescribed in the Contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the Contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof.

(7) If the Contractor does not make payments to a trustee or other third person the Contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided that the Secretary of Labor has found upon the written request of the Contractor that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the Contractor to set aside in a separate account assets for the meeting of obligations under the plan or program.

(8) (A) The contracting officer shall require that any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefor only when the following criteria have been met:

(a) The work to be performed by the classification requested is not performed by a classification in the wage determination; and

(b) The classification is utilized in the area by the construction industry; and

(c) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

(B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.

(C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination with 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.

(D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(I)(v) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification.

2. Withholding

DOT shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the Contractor under this Contract or any other Federal Contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments of advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees and helpers, employed by the Contractor

or any subcontractor the full amount of wages required by the Contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the Contract, the Department of Transportation may, after written notice to the Contractor, sponsor, applicant, or owner, take such any further payment, advance, or guarantee of funds until such violations have ceased.

3. Payrolls and Basic Records

a. Payrolls and basic records relating thereto shall be maintained by the Contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949 in the construction or development of the project). Such records shall contain the name, address, and social security number of each worker, his or her correct classification, hourly rates of wages paid including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof the types described in Section I (b) (2) (B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid.

Whenever the Secretary of Labor has found under 29 CFR Sec. 5.5 (a) (I) (iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section I (b) (2) (b) of the Davis-Bacon Act, the Contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program has been communicated in writing to the labors or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices and trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.

b. The Contractor shall submit weekly for each week in which any Contract work is performed a copy of all payrolls to the Department of Transportation if the Department of Transportation is a party to the Contract, but if the Department of Transportation is not such a party, the Contractor will submit the payrolls to the applicant, sponsor, or owner, as the case may be, for transmission to the Department of Transportation. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under Sec. 5.5 (a) (3) (I) of regulations, 29 CFR Part 5. This information may be submitted in any form desired. Optional form WH-347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal Stock Number 029-005-00014-1), U.S. Government Printing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors.

c. Each payroll submitted shall be accompanied by a "Statement of Compliance", signed by the Contractor or subcontractor or his or her agent who pays or

supervises the payment of the persons employed under the Contract and shall certify the following:

(I) That the payroll for the payroll period contains the information required to be maintained under Sec. 5.5 (a) (3) (I) of regulations, 29 CFR Part 5 and that such information is correct and complete.

(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the Contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in regulations, 29 CFR Part 3.

(3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the Contract.

d. The weekly submission of a properly executed certification set forth on the reverse side of Optional form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph (a) (3) (ii) (b) of29 CFR Sec. 5.5.

e. The falsification of any of the above certifications may subject the Contractor or subcontractor to civil or criminal prosecution under Section 100 I of Title 18 and Section 231 of Title 31 of the United States Code.

f. The Contractor or subcontractor shall make the records required under paragraph (a) (3) (I) of29 CFR Sec. 5.5 available for inspection, copying, or transcription by authorized representatives of the Department of Transportation or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the Contractor or subcontractor fails to submit the required records or to make them available, the Federal Agency may, after written notice to the Contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR Sec. 5.12.

4. Apprentices and Trainees - Apprentices

a. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State Apprenticeship Agency recognized by the Bureau, or if a person is employed in his or her first 90 days of probationary employment as an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training, or with a State Apprenticeship and Training or a

State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice.

The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the Contractor as to the entire work force under the registered program. Any worker listed on the payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above shall not be paid less than the applicable wage determination for the work actually performed. In addition, any apprentice performing work on the job site in excess of the ration permitted under the registered program shall not be paid less than the applicable wage rate on the wage determination for the work actually performed. Where a Contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the Contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate speci fied in the registered program for the apprentice level of progress, expressed as a percentage of the journeyman's hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits, in accordance with the provisions of the apprentice program. If the apprentice program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringe benefits shall be paid in accordance with that determination. In the event the Bureau of Apprenticeship and Training or a State Apprenticeship Agency recognized by the Bureau, withdraws approval of an Apprenticeship Program, the Contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

b. Trainees Except as provided in 29 CFR Sec. 5.1 6, Trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidence by formal certification by the u.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman's R hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provision of the trainees program. If the trainees program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman's wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the employment and training administration shall not be paid less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ration

permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the Contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

c. Equal Emplovment ODDortunity The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the Equal Employment Opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30.

5. Compliance with Copeland Act Requirements

The Contractor shall comply with the requirements of the 29 CFR Part 3, which are incorporated by reference.

6. Subcontracts

The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the Federal Transit Administration may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5.

7. Contract Termination: Debarment

A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR5.12.

8. Compliance with Davis-Bacon and Related Act Requirements

All rulings and interpretations of the Davis-Bacon and related acts contained in 29 CFR Parts 1,3 and 5 are herein incorporated by reference in this contract.

9. Disputes Concerning Labor Standards

Disputes arising out of the Labor Standards Provisions of this Contract shall not be subject to the general disputes clause of the Contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the Contractor (or any of its subcontractors) and the Contracting Agency, the U.S. Department of Labor, or the employees or their representatives.

10. Certification of Eligibilitv

By entering into this Contract, the Contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the Contractor's firm is a person or firm

ineligible to be awarded government contracts by virtue of section 3 (a) of the DavisBacon Act or 29 CFR Sec. 5.12 (a) (1).

a. No part of this Contract shall be subcontracted to any person or firm ineligible for award of a government contract by virtue of section 3 (a) of the Davis-Bacon Act or 29 CFR Sec. 5.12(a) (1).

b. The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S. C. Sec. 1001.

11 . Overtime Requirements

No Contractor or subcontractor contracting for any part of the Contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any work week in which he or she is employed on such work to work in excess of eight hours in any calendar day or in excess of forty hours in such work week unless such laborer or mechanic receives compensation at a rate of pay for all hours worked in excess of eight hours, in any calendar day or in excess of forty hours in such work week, whichever is greater.

12. Violation: Liabilitv for Unpaid Wages: Liquidated Damages

In the event of any violation of the clause set forth in subparagraph (b) (1) 29 CFR Sec. 5.5, the Contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such Contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such district or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in subparagraph (b) (1) of 29 CFR Sec. 5.5 in the sum of $10 for each calendar day or which such individual was required or permitted to work in excess of eight hours or in excess of the standard work week of forty hours without payment of the overtime wages required by the clause set forth in subparagraph (b) (1) or 29 CFR Sec. 5.

13. Withholding for Unpaid Wages and Liquidated Damages

The Department of Transportation or the recipient shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any monies payable on account of work performed by the Contractor or subcontractor under any such contract or any other federal contract with the same prime contractor, or any other federally assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfY any liabilities of such Contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in subparagraph (b) (2) of29 CFR Sec. 5.5.

14. Nonconstruction Contracts

In addition to the clauses contained in 29 CFR Sec. 5.5 (b) (10) through (14), in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in 29 CFR Sec. 5.1., the recipient shall insert a clause requiring that the Contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the Contract for all laborers and mechanics, including guards and watchmen, working on the Contract. Such records shall contain the names and address of each employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. Further, the recipient shall require the Contracting officer to insert in any such contract a clause providing that the records to be maintained under this paragraph shall be made available by the Contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the Department of Transportation and the Department of Labor, and the Contractor or subcontractor will permit such representatives to interview employees during work hours on the job.

15 . Subcontracts

The Contractor or subcontractor shall insert in any subcontracts the clauses set forth in subparagraph 1 through 12 of this paragraph and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in subparagraph 1 through 14 of this paragraph.

16. Certified Payron - Construction Projects (1117177)

The Authority shall obtain from each Contractor and subcontractor a certified copy of each weekly payroll within seven days after the regular payroll date. Following a review by the Authority for compliance with State and Federal Labor Laws, the payroll copy shall be retained at the project site for later review by the Federal Transportation Administration. A Contractor may use the Department of Labor Form WH-347, "Optional Payroll Form", which provides all the necessary payroll information and certifications. This Department of Labor Form may be purchased at nominal cost from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402. However, the Contractor may use his own payroll form provided it includes the same information and certifications as the Department of Labor Form WH-348, "Statement of Compliance".

17. Minoritv Bnsiness Enterprise Policv. It is the policy of the Department of Transportation that minority business enterprises, as defined in 49 CFR Part 23 , shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with federal funds under this agreement. Consequently, the MBE requirements of 49 CFR Part 23 apply to this agreement.

18. MBE Obligation. The Authority and its contractors agree to ensure that minority business enterprises as defined in 49 CFR Part 23 have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with federal funds provided under this Agreement. In this regard the Authority and its contractors shall take all necessary and reasonable steps in accordance with 49 CFR Part 23 to ensure that minority business enterprises have the maximum opportunity to compete for and perform contracts. The Authority and its contractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of DOT assisted contracts.

Cc. MINIMUM FEDERAL WAGE RATES

Minimum wages to be paid on this construction project have been established by Wage Predetermination Decisions of the U. S. Secretary of Labor. These wage rates must be prominently posted at the construction site.

1. Wage Determination Decision

Wage predetermination decisions of the U. S. Secretary of Labor are incorporated herein as follows:

Prebid Review Control Sheet (PRCS)

To be completed, signed and submitted to Contract Documents Coordinator with review copy of Specifications and Final Estimate. Review copy is to be bound in such a manner to facilitate removal and/or insertion of pages. Insert N/A (not applicable) where appropriate in items below.

1. a. MBTA Contract No.: ________ _

b. Contract Specifications Title: ___________________ _

2. a. FTA Project No.: _________ _

b. FTA Project Title: _ ___________________ _

3. a. Designer's Name: _________________________ _

b. Address: _____________________ _ _ _

c. Individual to Contact : ____________________ __ _

d. Professional Service Contract No. ________ _

e. Phone No. _ _ _____ _

f. FAX No.

4. a. Designee of the General Manager: _________________ _

AGM of Design and Construction b. Project Manager: _________ _

c. Phone No.

d. FAX No.

5. a. Estimated Construction Cost ' ________ _

b. Funds Ava ilable" ________ _

c. Proposed Const ruction Start ing Date: _____ _

d. Proposed Completion Date: ____ _

*Ifthe Construction Estimate is $1,000,000 or over, the Bidding Documents (B id Form) must include prequalification paragraphs,

project value, and Class of Work. Class of Work recommended must be approved by Contract Administration.

**Budget Department approval is required -- Project Office must attach concurrence in writing from Director of Budget.

Revised Nov 2010 Pre Bid Review Control Sheet

6. a. Source of Funds: (Insert Budget No.) --;::===:::;-_______ _ FTAL-I _---ll BONDLI _---ll MASSDOT IL-_--l OTHER

CBA 10. No. _____ _ CMS Work Order No. _______ _

b. Source of Funds for Printing and Advert isement of NTB:

Area No. ______ _ Account No.

Center No. ____________ __ Active Work Order No .. _____ _

c. Method of Procurement

Sealed Bid, ____ Two Step, ______ Sole Source ____ _

7. Desired advertising period (minimum - 30 days) ________________________ _

a. If less than 3~-days are desired, the Project Manager must obtain approval in writing

from Organizational Diversity through the Chief of Design and Construction. This

approval must be submitted to Contract Admin istration.

8. Location, time and number of days after advertising, Pre bid Conference wi ll be held:

9. Arrangements for on-site inspection:

a. I ndividua I to contact: ______________________________________ _

b. Phone No. _______ _ FAX No. ____ _

c. Specia I Inst ructions: ______________________________ _

10. If FTA is participating Project Manager must sign Item g. below.

a.

b.

Has the Buy America Provision been incorporated?

Has Cargo Preference U.S. Flag Vesse ls Provision

been incorporated in the Supplementary Conditions?

Revised Nov 2010 PreBid Review Control Sheet

YES N/A NO

DDD DDD

2

•

c.

d.

e.

f.

g.

Is Contract known to be of special interest to FlA, sensitive and subject to close scrutiny, or unique and require special evaluation?

Has FTA requested the opportunity to perform a pre-bid review of the bid form and specifications?

Has latest provisions of FTA Requirements been incorporated in the Supplementary Conditions?

Does contract require budgeting or funding action by FTA? (e.g. budget revision or amendments)?'

This project is FTA Funded and all applicable Federal Provisions are incorporated into the Contract Documents.

Concur:

Project Manager Preparation and processing of requests for Budget Revisions (for funding) to FTA are the responsib ility of the Project Manager and must be coordinated through the Budget Office.

11.

12.

Has latest provisions of Standard Federal EEO Specifications with Appendices Nos. 1,2 and 3 been incorporated in Supplementary Conditions? Project Managers must furnish data to the Office of Organizational Diversity for establishment of DBE goal. MMU and DBE goals MUST be available prior to advertising.

Has the Right-to-Know law Provisions been incorporated?

13. Real Estate (Real Estate Department approval is required-Project Office must attach concurrence in writing from

Director of Real Estate):

a.

b.

c.

Revised Nov 2010

Have all utility relocations been completed or arrangements made for their relocation prior to advertising?

Is right-of-way available for contractor's operation?

Have all residential and business relocations been completed?

PreBid Review Control Sheet

YES N/A NO

000

OOD

000

ODD

ODD

000

000

000

000 000

3

d.

e.

Have rights of entry on all real property or right-ofway required by the contractor for his operation been secured?

Have all land acquisitions required for this Contract been obtained?

YES N/A NO

000

000

(If answers 13a, 13b, Be, 13d, or 13e are negative, the Project Manager must coordinate with General Counsel and submit to Contract Administration a memorandum of explanation and/or his approval to proceed with advertising/bidding process.)

14. Is other Authority construction work under way in the vicinity of this contract or presently planned to be under way during the duration of this work?

If yes, please list by name or project number other Authority construction under way in the vicinity:

000

15. Has the Designer designated specialty items which may be per- 0 0 0 formed by subcontract? (Article 6.01- subletting or

16.

17.

18.

Assignment of Contract)

Has Value Engineering been performed on this Contract?

a. If not, The Project must submit to Contract Administration a signed copy of the Value Engineering Waiver.

Is Contract to be lump sum?

a. If not, has Schedule of Bid prices (ENG-I04) been attached citing quantities, Authority items numbers, descriptions and units?

Has detailed Engineering Estimate of Bid Prices been attached?

a. In addition, the Project must also submit to Contract Administration a lump sum breakdown of the Engineer's Estimate in excel format.

000

0 0 0

0 0 0

0 0 0

o o o 19. Are Allowances to be incorporated in the bidding documents? 0 00

a.

Revised Nov 2010

If yes, the Project Manager must submit to Contract Administration a letter of approval signed by the Director of Design and Construction.

PreBid Review Control Sheet 000

4

20.

2l.

22.

23.

24.

25.

26.

27.

28.

Has a Bid Escrow account been established? (For projects $1,000,000 or greater)

Is Railroad Protection Insurance required?

Is Pollution Liability Insurance required?

Are Asbestos, Lead or Hazardous Material Abatement included in this Contract?

If yes,

a. Have Asbestos Abatement specifications been incorporated in the Construction Specifications?

b. Has Lead Abatement specifications been incorporated?

c. Has Hazardous Material Abatement specifications been incorporated?

Has a copy of Contract specifications, Article 5.04 Insurance Requirements been forwarded to the Risk Manager?

Has Article 5.22 - Conflict of Interest been incorporated into the Contract Specifications?

Are display panels applicable to this Contract?

a. If yes, the Project must incorporate the provisions and detail sketches.

If station contract is in excess of $10 million have alternative contracting methods been considered?

If contract provides for revenue producing construction costs (concession shel ls), are separate items included?

a. If yes, the Project must submit to Contract Administration, a signed letter confirming that the concession plans and Specifications comply with Massachusetts Department of Health Standards.

Revised Nov 201 a PreBid Review Control Sheet

YES N/A NO

0 0 0 0 0 0 0 0 0 0 0 0

0 0 0

0 0 0 D 0 0

0 0 0

0 0 0

0 0 0

000

000

5

29.

30.

31.

32.

33.

34.

If authority-furnished materials are required, has sufficient, long-range procurement planning taken place?

Does each product listed in "Part 2" of the specifications provide for a minimum of three equal named brands or a description of material that can be met by a minimum of three manufacturers or producers? (see General Conditions, Article 4.01)

a. If not, the Project must justify, in writing, and obtain the AGM of Design and Construction's approval.

Do the Contract Specifications include paint systems?

a. If yes, the Project must submit to Contract -Administration a signed letter stating that the paint systems have been approved by Construction - Quality Control.

Assure that the Contract Documents do not contain restrictive provisions pertaining to the experience and responsibility of the bidders.

a.

b.

c.

Has the Architect/Engineer submitted an appropriate Certificate of Compliance for conformance with 521 CMR Rules and Regulations of the Architectural Access Board, Department of Transportation 49 CFR, Parts 27, 37 and 38 regulations, ADA, and UFAS as applicable?

If the project design does not meet regulations of the Architectural Access Board (AAB), has a variance application been submitted to and approved by the AAB?

Copies of the above must be submitted to Contract Administration.

Are equal facilities provided for male and female personnel as applicable?


YES N/A NO

D D D

D D D

DDD DDD

DDD

D D D

DDD

DDD

DDD

6

35. Has the liquidated Damages (LD) calculations been attached? 000 a. If no, contract cannot be advertised

b. (LD) must be calculated by Project/Designer.

36. Building Permit (When Necessary) Has the necessary review and coord ination been accomplished with agencies for the building permit as follows: a. Massachusetts Department of Public Safety, State

b. c.

d.

Bu ilding Inspectors? Local Fire Departments? Executive Secretary Board of Plumbers and Gas Filters (When Necessary)? Massachusetts Board of Elevators and Escalators (When Necessary)?

o o

00 00 000 000

Questions on these matters should be referred to the Force Account & Utility Coordinator, Design and Construction

37.

38.

39.

Have all safety items been addressed in the specification (refer to sections 5.15, Safety and First Aid, 01568, Construction Safety and 01569, Safety Certification)?

Has Force Account Committee Approval been obtained?

a. If yes, the Project must submit to Contract Administration a Signed letter stating that the force accou nt plan has been approved the Force Account Committee

Has structural peer review been completed?

a. If yes, have peer structural review comments been incorporated in the Construction Specifications?

Revised Nov 2010 Pre Bid Review Control Sheet

000 000 000

000 000

7

YES N/A NO

40. Have all Environmental permits and approvals been obtained and forwarded to the Director of Environmental Affairs?

a. Conservation Commission (S)

b. Corps of Engineers (S)

c. Chapter 91 License (waterways) (S)

d. DEP Soils Management (S)

e. Coast Guard (F)

f. Coastal Zone Management Consistency Statement (S)

g. MEPA Approvals (F)

h. NEPA Approvals (F)

i. Mass Historical Commissions approval (S)

j. 106 Approval (S/F)

k. 4F Statement (F)

I. Other

m. Has the Consultant identified in writing, the Environmental Permits, Licenses and their Status?

D D D D D D D D D D D D D D D D D D D D D D D D D D

Environmental requirements must be completed prior to advertisement. Submit a signed copy of Consultant's letter.

(S) State Permit (F) Federal Permit

Environmental Approva l:

Director of Environmental Affairs


D D D D D D D D D D D D D

8

YOUR SIGNATURE(S) SIGNIFIES THAT YOU HAVE REVIEWED THE CONTRACT

DOCUMENTS AND RECOMMEND PROCESSING:

Project Manager Deputy Director of Design and Construction

Date of Submission

Revised Nov 2010 Pre Bid Review Control Sheet 9