prequalification procedures

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requalification rocedures


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MASSACHUSETTS BAY TRANSPORTATION AUTHORITY

PROCEDURES GOVERNING CLASSIFICATION ANDRATING OF PROSPECTIVE BIDDERSI. DEFINITIONS

A. Contractor or Prospective BidderThe words Contractor or Prospective Bidder as used in these procedures shallincluded individuals, co-partnerships, associations, corporations, joint venturers, or jointstock companies and their representatives, trustees, or receivers, appointed by any court ofcompetent jurisdiction. All corporations must show proof of registration with theMassachusetts Office of the Secretary of State to do business in Massachusetts.

B. Authority

The word Authority as used in these procedures shall mean the MassachusettsBay Transportation Authority.C Experience

The word Experience as used in these procedures shall mean the number of yearsengaged in highway, transit, bridge and building construction or other public workscontracts completed y the contractor for this Authority, other state highway and/or bridgedepartments, public building authorities, Federal bureaus or similar agencies.D. Pregualification Committee

The term Prequalification Committee as used in these procedures shall mean acommittee within the Authority consisting of the Assistant General Manager for Designand Construction or his/her designee as Chairperson, such members or their alternates asmay be designated y the Chairperson of the Authority and a non-voting Recorder to bedesignated y the Chairperson of the Committee.E. Aggregate Bonding Capacity

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

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

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F. Current Capacity RatingCurrent Capacity Rating sha Il 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 beel igible to bid on a contract, when the Authority's estimated project value of the jobexceeds the contractor's Current Capacity Rating .

G. Project ValueEach project shaIl be given a Project Value derived from the Authority'spreliminary cost estimate stated in rolmd figures to the nearest hundred thousand .

II APPLICATION FOR PREOUALIFICATIONA 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 statementon fornls provided by the Authority, setting forth financial data (as noted in Part IVFinancial Data section of the Contractor Prequalification Statement), adequacy of plantand equipment, organizational structure experience and other pertinent facts. Thestatement should be accompanied by Prequalification Rating Certificates from each stateprequalified, if any have been issued.

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

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

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

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

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required by statute, and/or regulations promulgated by applicable Federal or Stateagencies, and such information shall be used only to determine the prospective bidder sAggregate Bonding Capacity and the Class of Work entitled to be undertaken inaccordance with the procedures herein contained, No information contained in any suchstatement shall be imparted to any other person without the written consent of theprospective bidder.

B, ContractorsContractors shall submit a completed Contractor Prequalification Statementaccompanied 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 proofof

registration with the Massachusetts Office of the Secretary of State to do business inMassachusetts.C. Joint Ventures

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

D. Subsidiary Companies (When Parent Company Already Holds Prequalification Status)n the event, that a prequalified parent company has fomled or intends to form asubsidiary 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 n 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 otherStates presently under contract.E. Time Limitation in Submitting Request for Prequalification.

Requests for Prequalification shall be submitted at least ten (10) calendar dayspreceding 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 correctlycompleted Contractor Prequalification Statement and financial data, including allnecessary supporting data, has been submitted.

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F. Class ofWork DesiredEach prospective bidder shall indicate, in the place provided on page 3 in the

Contractor Prequalification Statement, the particular class or classes ofwork upon whichhe/she desires to bid, but such indication shall not be binding upon the Authority inclassifying a prospective bidder according to the facts disclosed in hislher PrequalificationStatement. Classification will not be determined solely by the facts disclosed in his/herPrequalification Statement. For detailed description and identification numbers of allMBT Class of Work, please refer to Appendix l

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

Contractors must show that they have appropriate and sufficient equipmentavailable to satisfactorily perform the contemplated class or classes ofwork and that suchequipment 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 mayshow current assets sufficient t provide the necessary equipment, and may show thathe/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 t a complete description, a statementas to the condition of each piece of equipment shall be required. The Authority shall havethe right to inspect all equipment in order to determine its operating condition and value.

G. Action on Requests for PrequalificationEach Contractor s Prequalification Statement shall be reviewed by the

Prequalification Committee. This Committee shall analyze each statement, verify as itdeems necessary the information set forth therein, determine the class(es) ofwork andreview and approve the aggregate amount ofwork the prospective bidder shall be entitledto undertake. Whenever the Committee is not satisfied with the sufficiency ofthe answerscontained 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 furnishsuch Contractor with an official proposal form for any duly advertised project. TheCommittee may require a personal interview with a prospective bidder when consideringhislher qualifications for a Rating.

After review and analysis of a prospective bidder s Prequalification Statement bythe Prequalification Committee, the Authority shall give the applicant written notice of itsdetemlination ofhislher Aggregate Bonding Capacity and the class ofwork he/she shall beentitled to undertake.



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III RATINGSA. General

Ratings shall be basically determined upon the Contractor s ability to properlyfinance the work as evidenced by bonding capacity, financial statements andsupplementing documents, and on hislher competency and responsibility as indicated bythe amount and condition of equipment, experience of principal personnel and previousrecord with this and other awarding authorities. Letters of credit shall not be accepted. nunlimited Aggregate Bonding capacity shall not be allowed. The resultant Ratings shallinclude the following component parts:

(1) Class ofwork(2) Aggregate Bonding Capacity(3) Single Project Limit, if assignedThe Authority, acting through its Prequalification Committee, reserves the right to

establish a single project limit in a lesser amount than the Aggregate Bonding Capacity incases where said committee has substantial and valid reason to believe that a prospectivebidder is unqualified, either because of lack of experience or unsatisfactory perfonnanceon a previous contract, to satisfactorily perfOlm a contract in the full amount ofhis/herAggregate Bonding Capacity.

B. Duration of Prequalification RatingsPrequalification Ratings sha remain in effect for not more than sixteen monthsfollowing the date of the contractor s balance sheet used in the prequalification statement.

C. Revision of Prequalification RatingsWhenever 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, anew Prequalification Statement shall be requested in writing stating the reason therefor. fthe requested statement is not filed within thirty (30) days from date of notice, the currentRatings shall be considered forfeited, and the Contractor concerned will not be permittedto bid until a new Contractor Prequalification Statement has been received and acted uponby the Authority.

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

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

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days prior to a bid opening n order to receive consideration for that bid opening.f at any time subsequent to filing, any significant change occurs n the financialcondition or the status of equipment and or any change in the name or structure of thefirm, officers, principal employees or ownership, a written notice shall be given to theAuthority, whereupon a new application for prequalification may be required.f an individual or member of a partnership withdraws cash, securities, or anyassets subsequent to the filing of a financial statement with the AuthOlity, he/she shall givewritten notice to the Authority of such withdrawals; the Authority will then adjust thefinancial Rating ofthe individual or partnership accordingly.

IV PROPOSAL FORMSA. Requests for Proposal Forms

All prospective bidders who wish to bid on work to be awarded by the Authoritymust submit a completed "Request for Proposal Forms" to the Authority, accompanied bycash, bank check, certified check or money order in the amount stated n the Notice toBidders, made payable to the Massachusetts Bay Transportation Authority. Prospectivebidders are required to submit a letter to the Manager of Contract Administration listingthe names of all individuals authorized to sign the "Request for Proposal Forms". Theletter 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 bidon work, the value of which when added to the value of his/her uncompleted work alreadyunder 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 openedeither on the same date or on subsequent dates, providing that no one single projectexceeds hislher current capacity rating. Any proposal, the project value of which placesthe 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 oron 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 completedjoint "Request for Proposal Form," stating on an attached separate sheet the portion ofeach of their assets to be considered jointly. The sum of these will determine theAggregate Bonding Capacity of the joint ventures. One of the joint ventures must beprequalified in the class ofwork for which they intend to submit bids. (See Section c.).

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B. Action on Requests for Proposal FormsThe Authority shall act upon a Request for Proposal Forms within five (5)business days following receipt by the Deputy Director ofConstruction-Contracts,excluding a Saturday, Sunday or holidays.Prior to the issuance of a proposal form, consideration will be given to the numberofprojects the prospective bidder has under contract, the state of progress thereon, and

hislher Current Capacity Rating as determined by deducting the total dollar value ofuncompleted work shown in the Request for Proposal Forms from his/her AggregateBonding 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 ofProposal FormsA proposal form shall not be issued to a prospective bidder:

(1) f the Authority's Project value (P.V.) for the particular project uponwhich he/she desires to bid exceeds his/her Current CapacityRating, or(2) On non-Federally-aided projects, if the prospective bidder has been

adjudged guilty of any irregularity in connection with public worksbefore a court of competent jurisdiction. (A specific time periodduring which a proposal will not be issued shall be establishedfollowing such court action. Should an appeal be taken, the periodof disqualification shall continue until the judgment is reversed inwhich 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 theSecretary of Labor, United States Department ofLabor.(b) appears on the U S Comptroller General's Consolidated

List ofPersons or Firms Currently Debarred for ViolationsofVarious Public Contracts Incorporating Labor StandardsProvisions.The Authority may also refuse to issue a proposal form if the PrequalificationCommittee determines that:

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l) The prospective bidder is making unsatisfactory progress orperforming work which is substantially unsatisfactory on projectsalready under contract.

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

A prospective bidder shall be notified in writing of the refusal by the Authority to issue aproposal form within five (5) business days, excluding a Saturday, Sunday or holidays, followingreceipt 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 maymake written request for a review by the Prequalification Committee. A request for a review shallset forth the prospective bidder's arguments for a revision of the decision. The PrequalificationCommittee shall give a written decision within seven (7) business days of receipt of theprospective 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. MISCELL NEOUS

A. Order ofBid OpeningsProposals 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 thesame 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 CapacityRating shall be subject to review. The Authority reserves the right to accept or reject anysuch bids when such action is determined to be in the best interest of the Authority.

C Right to Reject BidsNothing in these procedures shall be construed as depriving the Authority of theright 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 developmentshave 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 ordetermination of the Authority may file a new application for prequalification at any time,



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or within fifteen 15) calendar days after receiving notice of such decision ordetermination, 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. ThePrequalification Committee shall render a decision within fifteen \5) calendar daysfollowing receipt of the request. The previous Rating or decision shall remain in effectuntil the Prequalification Committee renders a decision in writing on the appeal. Thedecision of the Prequalification Committee shall be final and binding, subject to any rightsof the contractor or prospective bidder to ajudicial review.



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ppendix One

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Massachusetts Bay Transportation AuthorityDefinitions of Classes of Work

Revision Date April 2002)

CLASS I - GENERAL TRANSIT CONSTRUCTION:Heavy transit line construction projects including the following work: site preparation, cutcover tunneling, excavation backfill , grading, stonn drainage, utilities, sewerage and watersystems, gravel base courses, piles, underpinning, sheeting, slurry walls, bituminous cementpavements, retaining walls, steel reinforced concrete structures, landscaping, access roadways,fencing, signing incidental site work. The contractor must exhibit, on previously completedprojects, that the scope ofwork for the project required the contractor to work on or around activerapid transit, light rail, commuter rail and / or freight tracks without causing disruption to service.n addition, the contractor should demonstrate, by project scope, their ability to work in or aroundn 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 Workwould be remodeling, alteration or new construction of bus, rapid transit, light rail and commuterrai l stations and multi-modal tel l ina l facilities along with subway ventilat ion improvements.

CLASS l - MARlNE GENERAL TRANSIT CONSTRUCTION:Work associated with water transportation facilities consisting of, but not limited to , new pier anddock construction/rehabilitation, including precast concrete piles, prestressed deck beams, cast inplace 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; sitepreparation, excavation, grading, sewerage stornl drainage systems, sub-drains, culverts,landscaping utilities. Projects included in this Class ofWork are parking lot and roadwayconstruction 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, woodor concrete ties, rail fastenings, switches turnouts, rail welding placement, tamping, alignmentnd testing. Competency of Bidders Experience for specific projects is required for individualtrack contracts.

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ageTwoDefinitions ofClasses of WorkRev. Date Apri l 2002)

CLASS 4 BRIDGES:

A STEEL SUPERSTRUCTURES:Fabrication and erection of new structural steel superstructure associated with transit/railroadbridge rehabilitation and new construction. Rehabilitation of existing steel bridge members inplace either under operations or during nighttime shutdowns. Concrete placement for new deckwearing surface or rehabilitation of existing deck wearing surface. This class ofwork includessubstructure 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.

B CONCRETE SUPERSTRUCTURES:Fabrication and erection of new precast and/or prestressed concrete beams or cast-in-placeconcrete beams associated with transit/railroad bridge rehabilitation and new bridge construction.Rehabilitation of existing concrete bridge members in place either under operations or duringnighttime shutdowns. This includes fabrication and erection of formwork and placement of rebarfor cast in place beams and concrete deck surfaces or for rehabilitation of existing beams andconcrete deck wearing surface. This class of work includes substructure construction including butnot limited to cofferdams, shoring pile driving, dewatering, underpinning, caisson installation,slurrywall construction, steel and concrete piles, concrete foundations, concrete piers andabutments including wing wall and marine work.

CLASS 5 ELECTRICAL:Projects including the installation and furnishing, testing and commissioning of switchgearequipment, traction power substation equipment, combustion turbine operations, duct and cablesystems. Specialty Systems equipment and their installation for other than normal electricalsystems are also included in this class ofwork.



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Page ThreeDefinitions of Classes of WorkRev. Date April 2002)

CLASS 6 SIGNALING:A TRANSIT/RAILROAD SIGNALING:

Projects consisting of the design, manufacturing, furnishing and installation of signal andcommunications 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 eitherisolated or multiple locations for roadway intersections and pedestrian crossings. Work includeslabor, materials and equipment for installation of vehicular traffic signal controllers, inductiveloop detectors, electrical pull boxes, electrical conduit, conduit fittings and conduit supports, mastarm assemblies, posts and bases, signal post, controller bases, vehicle signal heads, pedestriansignal heads, louvered hoods and optically programmed adapters, pedestrian push buttons,temporary traffic signals and all incidental materials necessary for operating the vehicular trafficcontrol 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 ofseveral of the following trade categories of work: roofing and flashing, metal windows,waterproofing, damp-proofing and caulking, miscellaneous and ornamental iron, lathering andplastering, 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.

CL SS 8 - DEMOLITION:

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



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ageFourDefinitions ofClasses of WorkRev. Date April 2002)

CLASS SA MARINE DEMOLITION:Removal and disposal ofmarine related structures such s wharves, piers, piles, railroad trestlesand 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 ASBESTOS ABATEMENT:Work including the removal and disposal, enclosure or encapsulation of asbestos, included, butnot 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 ofwork requires submittal of additional prequalification forms .

CLASS 2 PRECAST CONCRETE:Projects consisting of designing, detailing, fabrication, delivery and installation/erection ofprestressed precast concrete construction.

CLASS 3 SLURRY WALL:Projects utilizing slurrywall construction for temporary/permanent earth support systems andbuilding/station foundation support. Work would include but not be limited to design anddetailing of slurry plant systems, excavation sequences, reinforcing cage, construction concreteplacement and disposal of slurry.

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Page FiveDefinitions o Classes o WorkRev. Date April 2002)

CLASS 14 STRUCTURAL UNDERPINNING:Projects consisting o designing, detailing, fabrication, delivery, installation/erection and loadtransfer from one structural system to another.

CLASS 15 MINED/NATM TUNNELING:Projects consisting o designing and implementation o mined tunneling or NATM tunnelingunder existing buildings or tunnels. Work would include but not limited to designing excavationsequences, reinforcing rings, shotcrete mixing and installation, alignment survey and dewateringo excavation required to complete the tunneling.

CLASS 16 GROUND FREEZING:Projects consisting o designing and implementation of a ground freezing system to stabilizeexisting soil conditions. Work would include but not be limited to designing refrigeration system,distribution o the chilled brine, monitoring o the ground temperature, thawing o soils and thedisposal o the brine.

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MASSACHUSETTS BAY TRANSPORTATION AUTHORITYCONTRACT ADMINISTRATIONTRANSPORTATION BUILDINGTEN PARK PLAZA, ROOM 6720BOSTON, MASSACHUSETTS 02116

TEL: 617) 222-3133FAX: 617) 222-1513

*** CONTRACTOR PREQUALIFICATION STATEMENT***

COMPANY NAME: Individual_Corporation

Joint VentureOther:

ADDRESS:

TELEPHONE: __FAX :

PRINCIPAL OFFICE:

CONTACTPERSON: TELEPHONE :END OF FISCAL YEAR: D T E PREPARED: __

DATE RECEIVEDBY MBTA:

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I N S TR U TI O N S

Contractors proposing to bid on Massachusetts Bay Transportation Authority's work totaling 1,000,000 or more mustcomplete 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 toprovide requested information may prohibit the Authority from prequalifying your firm on a timely basis. The seven partare as follows:

I EXPERIENCEII. EQUIPMENT SCHEDULEIII ORGANIZATIONAL STRUCTUREIV FINANCIAL DATAV REQUEST FOR ATTORNEY'S LEGAL LETTER OF LIABILITIESVI. MANAGEMENTS STATEMENT OF REPRESENTATION TO EVENTSSUBSEQUENT TO THE BALANCE SHEET DATEVII. AFFIDAVIT TO PREVIOUS STATEMENTS

The signatory of this Prequalification Statement guarantees, as evidenced by the notarized statement herein required, thetruth 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 GoverningClassification and Rating of Prospective Bidders which may be obtained from the Contract Administration Office, 10 ParPlaza, Room 6720, Boston, MA 02116.

O U E S T I O N S

If you have questions, please call the Contract Administration Office at (617) 222-3133.Submit completed forn1s to: Deputy Director of Construction-ContractsMassachusetts Bay Transportation Authority, Contract Administration, TransportationBuilding, Ten Park Plaza, Room 6720, Boston, MA 02116

CON F I D E N T I L I T YoWNERSH I P OF I NFORM TIONThe completed prequalification statement shall be the exclusive property ofthe prospective bidder and as such shall notconstitute 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 andits agents, except where such information is required by statute and/or regulations promulgated by applicable Federal orState agencies, and such information shall be used only to determine the prospective bidder's Prequalification Certificatioin accordance with the procedures herein contained. No information contained in any such statement shall be imparted toany other person without the written consent of the prospective bidder.

C H E C K L S T P R O T SU M T T N GINCLUDE:Surety letter with Power-of-Attorney signing authorizationAuditor's opinion, signed and dated, Balance Sheet, Income Statement and footnotesMassachusetts Corporate Annual Report signed by Officer and dated for current fiscal periodAttorney legal Letter of LiabilitiesOn 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 uthority


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P RT EXPERIEN EI. How many years has your organization been in business as a general contractor under your present businessname? _ _ 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 TransitConstruction

2) _ Grading, Drainage SiteDevelopment

(3) Trackage

4) Bridges:

_ (a) Steel Superstructures

_ (b) Concrete Superstructures5) _ Electrical

6) Signaling:

YearsGen' . 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 ConcreteSlurry Wall

Structural Underpinning

MinedfNATM Tunneling

Ground Freezing

* n additional Prequalification Form is required for asbestos abatement. This form is available from ContractAdministration.

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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 C lof Work descriptions and identification numbers please refer to the listing in Appendix 1 of the Procedures Governing Classification and Rof Prospect ive Bidders

o 0 of eachDollar Class ofContract ont ract Project Title and Owner/ Completion Class of Amount of Workcompleted Contact Name/ Detailed Description of WorAmount by your Location Phone Number Date Work each Class performedfirm Work by yourfirm

123,456.789. 65 Green MBTA October I 50,000,000. 50 Platform reconfiguration and extens ioLine mprove ment l b e r t g a n 20,000,0 I accommodate 6 car : train sProject, Track j l7 222.5910 2 30 j Site grading, i,Jsi iillation of drainage.StafionRehabilitation 3 _ 10,000,000. 100 : :Installation of 400:feet of track.7 40,000,000. 75 Erected 2 headhouses.

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PART XPERIENCE - Cont'd4. 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 faileto complete a contract? - -:_:---:- ,.---:- ,----::-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 owname : : : : ;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?

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PART i EXPERIENCEII. What is the construction experience of the principal officers of your organization? If the principal officers are lackingin 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 TYPEINDIVIDUAL S NAME POSITION EXPERIENCE OF WORK IN WHAT CAPACITY

Part J EQUIPMENT S HEDULETotal Value (At cost less depreciation)

PRESENT SIZE ORDESCRIPTION CONDITION CAPACITY

* Show: Make, Model No., Serial No., How Equippeda separate sched ule may be attached)

May 2002

YEARYEAR MFG. PURCHASED

6

DE PRE- COSTCIATION LESS

P URCHASE CHARGED DEPREPRICE OFF ClATlO

assachusetts Bay Transportation uthority


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PART I/I ORGANIZATIONAL STRUCTURE

CORPORATIONS INDIVIDUALS PARTNERSHIPS OTHERS

When Incorporated

In What State?

President s name:

Vice Pres ident s Name

Secretary s Name:

Treasurer s Name

PARTIV FINANCULDATA

BONDING.

Type of Entity:

Date Organized:

Principal s NamesAnd Address:

A co ntractor is required to submit annually a letter from its surety confuming its current bonding capac ity. Confimmtion will not beaccepted unless the insurance company is licensed and approved by the Massachusetts Division of Insurance and is rated B+ or betterby A.M. Best Company. With the bonding company s letter, the bonding agent must enclose his/her Power of Attorney or AttomeyIn-Fact sign ing 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.gent Narne:

Address: _ ContactPerson: _ _Telephone Number:



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P RT IV - FINANCIAL DATA - Cont d

Attach the latest fiscal-year-end audited financial statements and footnotes. A full opinion audit must have been conductedin accordance with generally accepted auditing standards. Financial statements should include auditor s opinion, balancesheet, 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 CorporationAnnual Report, with the Office of the Secretary of State. (Due annually two and one half months following the close ofthe fiscal year)?If so, a copy of the report signed and dated by an officer of the corporation must accompany this Prequalification packageThe date of the fiscal year appearing on this report should agree with the date of the Balance Sheet accompanying thisreport.If the report has not been filed, explain why, and attach a copy of the most recent filing signed and dated by an officer ofthe corporation.

P RT REOUESTFOR A TTORNEY S LEGAL LETTER OF LIABILITIES

In connection with the examination of your financial statements accompanying the Prequali fication Statement, will youplease have your legal counsel list, if any, a description and evaluation of any litigation, impending litigation, claims andcontingent liabilities of which you have knowledge that existed at the date of the balance sheet being reported on, plus anyadditional matters of such nature coming to his attention up to the date the information is furnished.The above request should contain the o llowing information (1) the nature of the litigation (2) the progress of the case todate (3) an evaluation of the likelihood of an unfavorable outcome and an estimate, if one can be made, of the amount orrange 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 tosupplement the foregoing information, including an explanation of those matters as to which your views may differ fromthose stated and an identification of the omission of any pending or threatened litigation, claims and assessments or astatement that the list of such matters is complete.

May 2 2 8 Massacusetts Bay ransportation utho ty


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P RT VI - MANAGEMENT S STATEMENT OF REPRESENTATION TO EVENTS SUBSEOUENT TO THEBALANCE SHEET DATE

For the period subsequent to the balance sheet date of the statements accompanying this prequalification statement to date of signingthe 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 changein 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

controLB 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 reportingpractices 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 andliabilities.

4. There has been no significant change in:A Capita l 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 accountE 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 anyasset 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 normalrequirements 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 fInancialstatements 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 fmancialstatements.

Please provide an explanation of those items that cannot be confirmed. Unless otherwise noted confirmation of the above is attested tin the signing of the affIdavit in Part VII.D Explanation Attached D Not applicable

May 2002 9 Massachusetts Bay Transportation Authority


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P RT VII - FFID VITT PREVIOUS ST TEMENTSState S:Country:

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

Firm Name

Firm Name

NOTARY:

Name of Chief Executive OfficerOr Chie f Financial Officer

Officer s Signature

SIGN TURF FOR JOINT VENTURE

Name of Chief Executive OfficerOr 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)



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Davis Bacon Requirements7. MINIMUM STATE WAGE RATESA The minimum wage rates to be used for this Contract are shown on the scheduleson the following pages. The rates shown on these schedules are the minimum tobe paid during the life of the Contract. t is, therefore, the responsibility of

bidders to inform themselves as to the local labor conditions such as the length ofthe work day and work week, overtime compensation, health and welfarecontributions, labor supply and prospective changes or adjustment of rate s. In theevent of conflict between the schedules for any class ifications the greater amountfo r the classification shall preva il as the minimum wage rate .

B. f the Contractor finds it necessary during the progress of the work to secure aminimum wage rate for some additional classification, he shall make a request forsuch additional classification to the Authority, who in tum wi ll obtain theadditional classification and corresponding minimum wage rate from the StateDepartment of Labor and Industries and advise the Contractor of the same. Theseadditional class ifications and minimum wage rates are then to be considered a partof the Contract, and the Contractor shall have no claim for additionalcompensation because of the additional classification and minimum wage rates.

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

D. Within three days from the date of the first advertisement or call for bids, two ormore employers of labor, or two or more members of a labor organization, or theaward ing officer or official, or five or more residents of the town or towns wherethe public works are to be constructed, may appeal to the associate commissionersfor a wage determination, or a classification of employment as made by theCommi ssioner, by serving on the Commissioner a written notice to that effect.Thereupon the Commissioner shall immediately cause the associatecommissioners to hold a public hearing on the Commissioner s action appealedfrom. 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 theassociate commissioners shall be final, and notice thereof shall be given forthwithto the awarding official or public body. (Section 27A, Chapter 149, GeneralLaws, Commonwealth of Massachusetts).

E. Payments by employers to health and welfare plans under collective bargainingagreements or understandings between organized labor and employers shall beincluded 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 paymentsby employers to health and welfare plans as provided in the previous section, andsuch payments shall be considered as payments to persons under this sectionperforming work as herein provided. Any employer engaged in the constructionof such works who does not make payments to health and welfare plan where


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such payments are included in said rates of wages shall pay the amount of saidpayments 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 underParagraph _ of the Supplementary Conditions. n cases of conflict, the higher rate

shall apply.U. LABOR PROVISIONS.

1 Labor Provisions Constructiona Minimum Wages

(1) All laborers and mechanics employed or working upon the site of the work (orunder the United States Housing Act of 1937 or under the Housing Act of 1949in the construction or development of the project), will be paid unconditionallyand not less often than once a week, and without subsequent deduction rebate onany account (except such payroll deductions as are pennitted by regulationsissued by the Secretary of Labor under the Copeland Act (29 CFR Part 3), thefull amount of wages and bona fide fringe benefits (or cash equiva lents thereof)due at the time of payment computed at rates not less than those contained in theWage Determination of the Secretary of Labor which is attached hereto and madea part hereof, regardless of any contractual relationship which may be alleged toexist between the Contractor and such laborers and mechanics. Contributionsmade 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 consideredwages 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 incurredfor more than a weekly period (but not less often than quarterly) under plans,funds, or programs which cover the particular weekly period. Such laborers andmechanics shall be paid the appropriate wage rate and fringe benefits on thewage determination for the classification of work actually performed, withoutregard to skill, except as provided in 29 CFR Sec. 5 5 (a) (4).Laborers or mechanics performing work in more than one classification may becompensated at the rate specified for each classification for the time actuallyworked therein: provided, that the employer s payroll records accurately set forththe time spent in each classification n which work is performed. The wagedetermination (including any additional classification and wage rates conformedunder paragraph (a) (1) (ii) of 9 CFR Sec. 5.5 and the Davis-Bacon Poster (WH-132) shall be posted at all times by the Contractor and its subcontractors at thesite of the work in a prominent and accessible place where it can be easily seenby the workers.

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


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a) The work to be performed by the classification requested is not performed bya classification in the wage determination: andb) The classification is utilized in the area by the construction industry: andc) The proposed wage rate, including any bona fide fringe benefits, bears areasonable relationship to the wage rates contained in the wagedetermination.

3) If the contractor and the laborers and mechanics to be employed in theclassification if known), or their representatives, and the contracting officeragree on the classification and wage rate including the amount designated forfringe benefits, where appropriate) , a report of the action taken shall be sent bythe 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 ofreceipt and so advise the Contracting Officer or will notify the ContractingOfficer within a 30 day period that additional time is necessary.4) In the event the contractor, the laborers or mechanics to be employed in theclassification or their representatives, and the Contracting Officer do not agree onthe proposed classification and wage rate including the amount designated forfringe benefits, where appropriate), the Contracting Officer shall refer thequestions including the views of all interested parties and the recommendation ofthe Contracting Officer, to the Administrator for determination. Theadministrator, or an authorized representative, will issue a determination within

3D days of receipt and so advise the Contracting Officer or will notify theContracting Officer within the 3D-day period that additional time is necessary.5) The wage rate including fringe benefits where appropriate) determined pursuantto subparagraph a) I) B) or C) of29 CFR Sec. 5 5 shall be paid to all workersperforming work in the classification under this Contract from the first day onwhich work is performed in the classification.6) Whenever the minimum wage rate prescribed in the Contract for a class oflaborers or mechanics includes a fringe benefit which is not expressed as anhourly rate, the Contractor shall either pay the benefit as stated in the wagedetermination or shall pay another bona fide fringe benefit or an hourly cashequivalent thereof.7) If the Contractor does not make payments to a trustee or other third person theContractor may consider as part of the wages of any laborer or mechanic theamount of any costs reasonably anticipated in providing bona fide fringe benefitsunder a plan or program, provided that the Secretary of Labor has found upon thewritten request of the Contractor that the applicable standards of the Davis-BaconAct have been met. The Secretary of Labor may require the Contractor to setaside in a separate account assets for the meeting of obligations under the plan orprogram.


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8) A) The contracting officer shall require that any class of laborers or mechanicswhich is not listed in the wage determination and which is to be employed underthe contract shall be classified in conformance with the wage determination. Thecontracting officer shall approve an additional classification and wage rate andfringe benefits therefor only when the fo llowing criteria have been met:a) The work to be performed by the classification requested is not

performed by a classification in the wage determination andb) The classification is utilized in the area by the construction industry; andc) The proposed wage rate, including any bona fide fringe benefits, bears areasonable relationship to the wage rates contained in the wagedetermination.B) f the contractor and the laborers and mechanics to be employed in theclassification if known), or their representatives, and the contracting officeragree on the classification and wage rate including the amount designated forfringe 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. TheAdministrator , or an authorized representative, will approve, modify, ordisapprove every additional classification action within 30 days of receipt and soadvise 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 theclassification or their representatives, and the contracting officer do not agree onthe proposed classification and wage rate including the amount designated forfringe benefits, where appropriate), the contracting officer shall refer thequestions, including the views of all interested parties and the recommendation of

the contracting officer, to the Administrator for determination. TheAdministrator, or an authorized representative , will issue a determination with 30days of receipt and so advise the contracting officer or will notify the contractingofficer within the 30-day period that additional time is necessary.D) The wage rate including fringe benefits where appropriate) determinedpursuant to paragraphs a) I) v) B) or C) of this section, shall be paid to allworkers performing work in the classification under this contract from the firstday on which work is performed in the classification.

2 ithholdingDOT shall upon its own action or upon written request of an authorizedrepresentative of the Department of Labor withhold or cause to be withheld from theContractor under this Contract or any other Federal Contract with the same primecontractor, or any other federally-assisted contract subject to Davis-Bacon prevailingwage requirements, which is held by the same prime contractor, so much of theaccrued payments of advances as may be considered necessary to pay laborers andmechanics, including apprentices, trainees and helpers, employed by the Contractor


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or any subcontractor the full amount of wages required by the Contract. n the eventof 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 Actof 1937 or under the Housing Act of 1949 in the construction or development of theproject), all or part of the wages required by the Contract, the Department ofTransportation may, after written notice to the Contractor, sponsor, applicant, orowner, take such any further payment, advance, or guarantee of funds until suchviolations have ceased.

3 Payrolls and asic Recordsa. Payrolls and basic records relating thereto shall be maintained by the Contractorduring the course of the work and preserved for a period of three years thereafterfor all laborers and mechanics working at the site of the work (or under theUnited States Housing Act of 1937, or under the Housing Act of 1949 in theconstruction or development of the project). Such records shall contain thename, address, and social security number of each worker, his or her correctclassification, hourly rates of wages paid including rates of contributions or costs

anticipated for bona fide fringe benefits or cash equivalents thereof the typesdescribed in Section I (b) (2) (B) of the Davis-Bacon Act), daily and weeklynumber 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 costsreasonably anticipated in providing benefits under a plan or program described inSection I (b) 2) (b) of the Davis-Bacon Act, the Contractor shall maintainrecords which show that the commitment to provide such benefits is enforceable,that the plan or program has been communicated in writing to the labors ormechanics affected, and records which show the costs anticipated or the actualcost incurred in providing such benefits. Contractors employing apprentices andtrainees under approved programs shall maintain written evidence of theregistration of apprenticeship programs and certification of trainee programs, theregistration of the apprentices and trainees, and the ratios and wage ratesprescribed in the applicable programs.

b. The Contractor shall submit weekly for each week in which any Contract work isperformed a copy of all payrolls to the Department of Transportation if theDepartment of Transportation is a party to the Contract, but if the Department ofTransportation is not such a party, the Contractor will submit the payrolls to theapplicant, sponsor, or owner, as the case may be, for transmi ss ion to theDepartment of Transportation. The payrolls submitted shall set out accuratelyand 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 inany form desired. Optional form WH-347 is available for this purpose and maybe purchased from the Superintendent of Documents (Federal Stock Number029-005-00014-1), U.S. Government Printing Office, Washington, D.C. 20402.The prime contractor is responsible for the submission of copies of payrolls byall subcontractors.c. Each payroll submitted shall be accompanied by a Statement of Compliance ,signed by the Contractor or subcontractor or hi s or her agent who pays or


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supervises the payment of the persons employed under the Contract and shallcertify the following:I) That the payroll for the payroll period contains the information required to bemaintained under Sec. 5 5 (a) (3) I) of regulations, 29 CFR Part 5 and thatsuch information is correct and complete.

(2) That each laborer or mechanic (including each helper, apprentice, andtrainee) employed on the Contract during the payroll period has been paid thefull weekly wages earned, without rebate, either directly or indirectly, andthat no deductions have been made either directly or indirectly from the fullwages 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 applicablewage rates and fringe benefits or cash equivalents for the classification ofwork performed, as specified in the applicable wage determinationincorporated into the Contract.d The weekly submission of a properly executed certification set forth on thereverse side of Optional form WH-347 shall satisfy the requirement forsubmission 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 orsubcontractor to civil or criminal prosecution under Section 100 I of Title 18 andSection 231 ofTitle 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 transcriptionby authorized representatives of the Department of Transportation or theDepartment of Labor, and shall permit such representatives to interviewemployees during working hours on the job. If the Contractor or subcontractorfails to submit the required records or to make them available, the FederalAgency may, after written notice to the Contractor, sponsor, applicant, or owner,take such action as may be necessary to cause the suspension of any furtherpayment, advance, or guarantee of funds. Furthermore, failure to submit therequired records upon request or to make such records available may be groundsfor debarment action pursuant to 29 CFR Sec . 5.12.

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


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State Apprenticeship Agency (where appropriate) to be eligible for probationaryemployment as an apprentice.The allowable ratio of apprentices to journeymen on the job site in any craftclassification shall not be greater than the ratio permitted to the Contractor as tothe entire work force under the registered program. Any worker listed on thepayroll at an apprentice wage rate, who is not registered or otherwise employedas stated above shall not be paid less than the applicable wage determination forthe work actually performed. n addition, any apprentice performing work on thejob site in excess of the ration permitted under the registered program shall not bepaid less than the applicable wage rate on the wage determination for the workactually performed. Where a Contractor is performing construction on a projectin a locality other than that in which its program is registered, the ratios and wagerates (expressed in percentages of the journeyman s hourly rate) specified in theContractor s or subcontractor s registered program shall be observed. Everyapprentice must be paid at not less than the rate speci fied in the registeredprogram for the apprentice leve l of progress, expressed as a percentage of thejourneyman s hourly rate specified in the applicable wage determination.Apprentices shall be paid fringe benefits, in accordance with the provisions of theapprentice program. f the apprentice program does not specify fringe benefits,apprentices must be paid the full amount of fringe benefits listed on the wagedetermination for the applicable classification . f the Administrator determinesthat a different practice prevails for the applicable apprentice classification,fringe benefits shall be paid in accordance with that determination. n the eventthe Bureau of Apprenticeship and Training or a State Apprenticeship Agencyrecognized by the Bureau, withdraws approval of an Apprenticeship Program, theContractor will no longer be permitted to utilize apprentices at le ss than theapplicable predetermined rate for the work performed until an acceptableprogram is approved.

b Trainees Except as provided in 29 CFR Sec. 5.16 Trainees will not bepermitted to work at less than the predetermined rate for the work performedunless they are employed pursuant to and individually registered in a programwhich has received prior approval, evidence by formal certification by the u SDepartment of Labor, Employment and Training Administration. The ratio oftrainees to journeymen on the job site shall not be greater than permitted underthe plan approved by the Employment and Training Administration. Everytrainee must be paid at not less than the rate specified in the approved programfor the trainee s level of progress, expressed as a percentage of the journeyman s Rhourly rate specified in the applicable wage determination . Trainees shall bepaid fringe benefits in accordance with the provision of the trainees program. fthe trainees program does not mention fringe benefits trainees shall be paid thefull amount of fringe benefits listed on the wage determination unless theAdministrator of the Wage and Hour Division determines that there is anapprenticeship program associated with the corresponding journeyman s wagerate on the wage determination which provides for less than full fringe benefitsfor apprentices. Any employee listed on the payroll at a trainee rate who is notregistered and participating in a training plan approved by the employment andtraining administration shall not be paid less than the applicable wage rate on thewage determination for the classification of work actually performed. naddition, any trainee performing work on the job site in excess of the ration


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permitted under the registered program shall be paid not less than the applicablewage rate on the wage determination for the work actually performed. n theevent the Employment and Training Administration withdraws approval of atraining program, the Contractor will no longer be permitted to utilize trainees atless than the applicable predetermined rate for the work performed until anacceptable program is approved.c. Equal Emplovment ODDortunity The utilization of apprentices, trainees andjourneymen under this part shall be in conformity with the Equal EmploymentOpportunity requirements of Executive Order 11246, as amended, and 29 CFRPart 30.

5. Compliance with Copeland Act RequirementsThe Contractor shall comply with the requirements of the 29 CFR Part 3 which areincorporated by reference.

6. SubcontractsThe contractor or subcontractor shall insert in any subcontracts the clauses containedin 29 CFR 5.5(a)(1) through (10) and such other clauses as the Federal TransitAdministration may by appropriate instructions require, and also a clause requiringthe subcontractors to include these clauses in any lower tier subcontracts. The primecontractor shall be responsib le for the compliance by any subcontractor or lower tiersubcontractor with all the contract clauses in 29 CFR 5.5.

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

8. Compliance with Davis-Bacon and Related Act RequirementsAll rulings and interpretations of the Davis-Bacon and related acts contained in 29CFR Parts 13 and 5 are herein incorporated by reference in this contract.

9. Disputes Concerning Labor StandardsDisputes arising out of the Labor Standards Provisions of this Contract shall not besubject to the general disputes clause of the Contract. Such disputes shall be resolvedin accordance with the procedures of the Department of Labor set forth in 29 CFRParts 5 6, and 7. Disputes within the meaning of this clause include disputesbetween the Contractor (or any of its subcontractors) and the Contracting Agency, theU.S. Department of Labor, or the employees or their representatives.

10. Certification of EligibilitvBy 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


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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 ineligiblefor award of a government contract by virtue of section 3 (a) of the Davis-BaconAct 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 whichmay require or involve the employment of laborers or mechanics shall require orpermit any such laborer or mechanic in any work week in which he or she isemployed on such work to work in excess of eight hours in any calendar day or inexcess of forty hours in such work week unless such laborer or mechanic receivescompensation at a rate of pay for all hours worked in excess of eight hours, in anycalendar day or in excess of forty hours in such work week, whichever is greater.

12. Violation: Liabilitv for Unpaid Wages: Liquidated Damagesn the event of any violation of the clause set forth in subparagraph (b) (1) 29 CFRSec. 5.5, the Contractor and any subcontractor responsible therefor shall be liable forthe unpaid wages. n addition, such Contractor and subcontractor shall be liable tothe United States (in the case of work done under contract for the District ofColumbia 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 ormechanic, including watchmen and guards, employed in violation of the clause setforth in subparagraph (b) (1) of 29 CFR Sec. 5.5 in the sum of 10 for each calendarday or which such individual was required or permitted to work in excess of eighthours or in excess of the standard work week of forty hours without payment of theovertime wages required by the clause set forth in subparagraph (b) (1) or 29 CFRSec. 5

13. Withholding for Unpaid Wages nd Liquidated DamagesThe Department of Transportation or the recipient shall upon its own action or uponwritten request of an authorized representative of the Department of Labor withholdor cause to be withheld, from any monies payable on account of work performed bythe Contractor or subcontractor under any such contract or any other federal contractwith the same prime contractor, or any other federally assisted contract subject to theContract Work Hours and Safety Standards Act, which is held by the same primecontractor, such sums as may be determined to be necessary to satisfY any liabilitiesof such Contractor or subcontractor for unpaid wages and liquidated damages asprovided in the clause set forth in subparagraph (b) (2) of 9 CFR Sec. 5.5.

14 Nonconstruction Contracts


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n addition to the clauses contained in 29 CFR Sec. 5 5 b) 10) through 14), in anycontract subject only to the Contract Work Hours and Safety Standards Act and notto any of the other statutes cited in 29 CFR Sec. 5.1., the recipient shall insert aclause requiring that the Contractor or subcontractor shall maintain payrolls and basicpayroll records during the course of the work and shall preserve them for a period ofthree years from the completion of the Contract for all laborers and mechanics,including guards and watchmen, working on the Contract. Such records shall containthe names and address of each employee, social security number, correctclassifications, hourly rates of wages paid, daily and weekly number of hoursworked, deductions made, and actual wages paid. Further, the recipient shall requirethe Contracting officer to insert in any such contract a clause providing that therecords to be maintained under this paragraph shall be made available y theContractor or subcontractor for inspection, copying, or transcription by authorizedrepresentatives of the Department of Transportation and the Department of Labor,and the Contractor or subcontractor will permit such representatives to interviewemployees during work hours on the jo .15 . ubcontracts

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


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16 Certified Payron - Construction Projects 1117177)The Authority shall obtain from each Contractor and subcontractor a certified copy ofeach weekly payroll within seven days after the regular payroll date. Following areview by the Authority for compliance with State and Federal Labor Laws, thepayroll copy shall be retained at the project site for later review by the FederalTransportation Administration. A Contractor may use the Department of Labor FormWH-347, Optional Payroll Form , which provides all the necessary payrollinformation and certifications. This Department of Labor Form may be purchased atnominal cost from the Superintendent of Documents, U.S. Government PrintingOffice, Washington, D.C. 20402. However, the Contractor may use his own payrollform provided it includes the same information and certifications as the Departmentof Labor Form WH-348, Statement of Compliance .

17 Minoritv Bnsiness Enterprise Policv. t is the policy of the Department ofTransportation that minority business enterprises, as defined in 49 CFR Part 23 , shallhave the maximum opportunity to participate in the performance of contractsfinanced 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 minoritybusiness enterpri ses as defined in 49 CFR Part 23 ha ve the maximum opportunity toparticipate in the performance of contracts and subcontracts financed in whole or in part withfederal funds provided under this Agreement. n this regard the Authority and its contractorsshall take all necessary and reasonable steps in accordance with 49 CFR Part 23 to ensure thatminority business enterprises have the maximum opportunity to compete for and performcontracts. 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 RATESMinimum wages to be paid on this construction project have been established by WagePredetermination Decisions of the U. S Secretary of Labor. These wage rates must beprominently posted at the construction site.

1 Wage Determination DecisionWage predetermination decisions of the U S Secretary of Labor areincorporated herein as follows:


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Prebid Review Control SheetPRCS)

To be completed, signed and submitted to Contract Documents Coordinator with re view copy ofSpecificat ions and Final Estimate. Review copy is to be bound in such a manner to facilitate removal and/orinsertion 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 Constructionb. Project Manager:

c Phone No.d. FAX No .

5 a. Estimated Construction Cost 'b. Funds Ava ilabl ec Proposed Con st ruction Start ing Date:d. Proposed Completion Date:

*If the Construction Estimate is 1,000,000 or over, the Bidding Documents B id Fo rm) must include prequalification paragraphs,project value, and Class of Wo rk. 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 PreBid Review Control Sheet


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6 a So urce of Funds: Insert Bu dget No.) ; === ; ________FTAL-I_---ll BONDLI_---ll MASSDOT IL _ l OTHERCBA 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 ProcurementSealed Bid wo Step,______ So le Source____

7 Desired advertising period minimum - 30 days) _________________________a. If less than 3 ~ d a y s are desired, the Project Manager must obtain approval in writing

from Organizational Diversity through the Chief of Design and Construction. Thisapproval must be subm it ted to Co nt ract Admin ist ration.

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

9. Arrangements for on-site inspection:a. Individua I to contact: _______________________________________b Phone No. _______ FAX No.c. Specia I In st ructions: _______________________________

10 If FTA is participating Project Manager must signItem g. below.

a

b.Has the Buy America Provision been incorporated?Has Cargo Preference U.S. Flag Vesse ls Provisionbeen incorporated in the Supplementary Conditions?

Revised Nov 2 1 Pre id Review Control Sheet

YES N/A NO

2


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c

d.

e

f

g

Is Contract known to be of special interest to FlA,sensitive and subject to close scrutiny, or uniqueand require special evaluation?Has FTA requested the opportunity to perform apre-bid review of the bid form and specifications?Has latest provisions of FTA Requirements beenincorporated in the Supplementary Conditions?Does contract require budgeting or funding action byFTA? (e.g. budget revision or amendments)?This project is FTA Funded and all applicable FederalProvisions are incorporated into the Contract Documents.

Concur:

Project ManagerPreparation and processing of requests for Budget Revisions forfunding) to FTA are the responsib ility of the Project Manager andmust be coordinated through the Budget Office.

11.

12.

Has latest provisions of Standard Federal EEO Specificationswith Appendices Nos . 1,2 and 3 been incorporated inSupplementary Conditions? Project Managers must furnishdata to the Office of Organizational Diversity for establishmentof DBE goal. MMU and DBE goals MUST be available priorto advertising.Has the Right-to-Know law Provisions been incorporated?

13. eal Estate Real Estate Department approval is required-Project Office must attach concurrence in writing fromDirector o Real Estate :

a

b

c

Revised Nov 2010

Have all utility relocations been completed orarrangements made for their relocation prior toadvertising?Is right-of-way available for contractor s operation?Have all residential and business relocations beencompleted?

PreBid Review Control Sheet

YES N/A NO

OO

OO

3


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d.

e.

Have rights of entry on all real property or right-ofway required by the contractor for his operation beensecured?Have all land acquisitions required for this Contractbeen obtained?

YES N/A NO

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

14 Is other Authority construction work under way in the vicinityof this contract or presently planned to be under way duringthe duration of this work?If yes please list by name or project number other Authorityconstruction under way in the vicinity:

15. Has the Designer designated specialty items which may be per- 0 0 0formed 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, Authori ty items numbers,descriptions and units?

Has detailed Engineering Estimate of Bid Prices been attached?

a In addition, the Project must also submit to ContractAdministration a lump sum breakdown of the Engineer sEstimate in excel format.

0 0 00 0 00 0 0

o o oAre Allowances to be incorporated in the bidding documents? 0a

Revised Nov 2010

If yes , the Project Manager must submit to ContractAdministration a letter of approval signed by theDirector of De sign and Construction.

Pre idRev iew Control Sheet 4


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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 Pollut ion Liability Insurance required?

Are Asbestos, Lead or Hazardous Material Abatementincluded 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 Materia l Abatement specifications

been incorporated?Has a copy of Contract specifications, Art icle 5.04 InsuranceRequirements been forwarded to the Risk Manager?Has Article 5.22 - Conflict of Interest been incorporatedinto the Contract Specifications?Are display panels applicable to this Contract?

a. If yes, the Project must incorporate the provisions anddetail sketches.

If station contract is in excess of 10 million havealternative contracting methods been considered?If contract provides for revenue producing constructioncosts (concession shel ls , are separate items included?

a. If yes, the Project must submit to ContractAdministration, a signed letter confirming that theconcession plans and Specifications comply withMassachusetts Department of Health Standards.

Revised Nov 2 1 a PreBid Review Control Sheet

YES N/A O

0 0 00 0 00 0 00 0 00 0 00 0 0D 0 00 0 00 0 00 0 0

5


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29.

30

31

32.

33

34

If authority-furnished materials are required, hassufficient, long-range procurement planning taken place?Does each product listed in Part 2 of the specificationsprovide for a minimum of three equal named brands ora description of material that can be met by a minimum ofthree manufacturers or producers? see GeneralConditions, Article 4.01)a. If not, the Project must justify, in writing, and obtain

the GM o 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 thepaint systems have been approved byConstruction - Quality Control.

Assure that the Contract Documents do not containrestrictive provisions pertaining to the experience andresponsibility of the bidders.a.

b.

c

Has the Architect/Engineer submitted an appropriateCertificate of Compliance for conformance with 521CMR Rules and Regulations of the ArchitecturalAccess Board, Department of Transportation 49CFR, Parts 27, 37 and 38 regulations, ADA, andUFAS as applicable?If the project design does not meet regulations of theArchitectural Access Board AAB), has a variance

pplic tion been submitted to and approved by theAAB?Copies of the above must be submitted to ContractAdministration.

Are equal facilities provided for male and femalepersonnel as applicable ?

Revised Nov 2 1 PreBid Review Control Sheet

Y S N A NO

D D DD D D

D D D

6

8/13/2019 Prequalification Procedure