New York City School Construction Authority APPLICATION FOR PREQUALIFICATION APPENDIX C DOCUMENT CHECKLIST AND INSTRUCTIONS Prequalification Application NEW YORK STATE, DIVISION OF CORPORATIONS Please check the New York State, Division of Corporations website to determine if your firm is deemed active in the State of New York. Visit www.dos.state.ny.us and click on Search the Corporations/Business Entities Database. Do not proceed with your application if your firm is not in an active status.

NEW YORK STATE AGENCY DEBARMENT LIST Before starting your firm’s qualification application, check the New York State Agency Debarment List at https://dbr.labor.state.ny.us/EDList/searchPage.do.    

Check both the WCB and DOL boxes. Without using a hyphen, enter your firm’s Federal Employer ID#. If your firm appears on the NYS Department of Labor and/or NYS Workers Compensation Board list, do not proceed with your prequalification application. Call the NYS Workers Compensation Board’s Judgment Unit at 1-866-750-5157 or NYS Department of Labor at 518-457-9000 for further information.

DOCUMENT CHECKLIST To make the prequalification process as smooth and easy as possible, you should gather together and have with you the following information when you fill out the application (online or handwritten): CATEGORY

EXPLANATION

REQUIRED DOCUMENTATION/INFORMATION

Financial Statements and Tax Returns

All Applicant Firms, regardless of type and/or dollar amount.

If the Applicant Firm conducted business within the City of New York, a copy of the firm's most recent New York City General Corporation tax return or New York City Unincorporated Business tax return must be provided. The tax return must be signed and dated by both the preparer and the Firm's designated officer. If not applicable, attach a statement from the Applicant Firm’s CPA or tax preparer stating the reason(s) why a NYC business tax return is not required.

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CATEGORY

EXPLANATION

REQUIRED DOCUMENTATION/INFORMATION

Trade contractors seeking prequalification for dollar amounts ≥$1,000,000, as well as general contractors and construction managers, regardless of dollar amount.

Copy of the Applicant Firm's two most recent "audited" financial statements including the Certified Public Accountant's signed report, balance sheet, statements of income and retained earnings, statement of cash flow and footnotes. OR Copy of the Applicant Firm's two most recent "reviewed" or "compiled" financial statements and the two most recent Federal tax returns (including all supporting schedules), which must be signed and dated by both the preparer and the Firm's designated officer. If the returns were filed electronically, a copy of IRS Form 8879 (IRS e-file Signature Authorization) signed by both an officer of the Applicant Firm and the preparer will be valid evidence of signature; however, a copy of the entire Federal tax return must still be provided. If the Applicant Firm is a Sole Proprietorship or Single Member LLC treated as a disregarded entity for federal tax purposes, submit two (2) years of the Federal Schedule C from the owner’s personal tax return.

Resumes

Licenses

Safety Qualification Statement Supporting Documents

Matters Under Appeal

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All officers, partners, owners, members, managers, supervisors, field personnel or professionals with experience in the fields for which the Applicant Firm is requesting prequalification. All architects, engineers, electricians, plumbers, asbestos inspectors/ handlers and all firms that require licenses to perform work.

If the Applicant Firm does not have audited, reviewed or compiled financial statements, provide full Federal tax returns with signatures. Current resume – must include home address, telephone number, education, training and employment history with dates.

Copy of current license, license registration, certificate, or certification.

Companies engaging in the removal of regular waste, recyclable materials, and construction/demolition debris must, in addition to a prequalification application, provide a copy of its license/registration from the NYC Business Integrity Commission. For more information, visit www.nyc.gov/html/bic. Applicant Firm.  Letter from Applicant Firm’s insurance carrier stating its most recent Experience Modification Rating (EMR).  Copy of Applicant Firm’s OSHA 300 and 300A logs for the most recent calendar year. All architects, engineers, testing laboratories,  Completed Qualification Statement. (For architectural and engineering firms, a copy of the and firms specializing in asbestos or Form 330 is acceptable in lieu of the Qualification Statement). environmental work.  Copy of the Applicant Firm's brochure, if available. For any questions to which you answer “yes,” Supporting documentation. including all satisfied suits, tax liens or warrants, repayment plans, judgments, litigation or court actions detailed in the Application. Information regarding any pending suits, Supporting documentation. liens, judgments, litigation, violations, investigations, criminal or administrative/court Investigation – Includes (a) an appearance before a grand jury by any representative of the actions, and civil investigative demands. Applicant Firm or its affiliate firm(s) or any Key Person; (b) the issuance of a subpoena to the Applicant Firm or its affiliate firm(s) or any Key Person for the giving of testimony or the production of documents in a criminal proceeding or before a government or public agency, permanent or temporary commission or an investigative body; (c) the execution of a search warrant at any location occupied by the Applicant Firm or affiliate firm(s) or any Key Person; (d) the questioning of an employee by a government or public agency, permanent or temporary commission or an investigative body, including a court appointed monitor concerning the business conduct of the Applicant Firm or the affiliate firm(s); (e) receipt of any discovery demand in a civil or regulatory matter in connection with an inquiry by or in which any government or public agency, permanent or temporary commission or an investigative body is a party.

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CATEGORY

EXPLANATION

REQUIRED DOCUMENTATION/INFORMATION

Affiliate Firms

At present or during the past five (5) years:

Affiliate firm information; includes firms listed in the Business Organization & History section, and Key People in the Key People & Personnel section, within the timeframes indicated. Include tax identification number of all affiliate firms and name of key person associated with that particular affiliate. Include ownership timeframe.

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References

Firms the Applicant Firm has owned 5% or more of, Firms that own 5% or more of the applicant firm. Firms that are a subsidiary of the Applicant Firm. Firms where the Key People of Applicant Firm have served as Key People or owned 5% or more of any other firm, including firms that are inactive, have been dissolved or are non-construction related. Firms that share offices, warehouses, space, equipment, staff or telephone exchanges.

For trades in which the Applicant Firm seeks qualification.

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Experience

For qualification >$1,000,000 per contract, the Applicant Firm must provide a minimum of 4 commercial references per trade for which the firm wishes to be qualified, completed within the past 3 years, averaging at least $1,000,000 and proof of apprenticeship program participation, if applicable. For qualification < $1,000,000 per contract, the Applicant Firm must provide a minimum of 4 commercial references per trade for which the firm wishes to be qualified, completed within the past 3 years; each reference must be ≥$25,000.

Includes, but not limited to, a minimum of 2 years in business and applicable references.

Corporate Status

Your firm must be deemed active by the New York State Division of Corporations.

Visit www.dos.state.ny.us and click on Search the Corporations/Business Entities Database.

Conflict of Interest

Is any Key Person currently a New York City Employee or has any Key Person been a New York City employee within the past year?

Conflicts of Interest Waiver must be provided.

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CATEGORY

EXPLANATION

REQUIRED DOCUMENTATION/INFORMATION

Appendix A (Certification)

Each Key Person of Applicant Firm.

Notarized certification (Appendix A); certifications must be signed before a notary public and notarized when signed. Stamped signatures for either the notary public or key person are not acceptable. "Key People" include:

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President, Chief Executive Officer, proprietor(s), principal(s), partners, directors, officers, members. Partners, including general, limited and limited liability. Members – Admitted as members of a limited liability company (LLC), with a membership interest in the LLC. Membership interest is a member's aggregate rights in an LLC, including, without limitation, the member's right to a share of the profits and losses of the LLC and the right to vote and participate in the management of the LLC. Corporations – Publicly held corporations should list the President, Treasurer, Chief Financial Officer, shareholders of 5% or more of the firm's issued stock, and only those officers and managers who will have direct responsibility for SCA contracts. Shareholders are owners of 5% or more of issued stock or other securities (stock options, secured or unsecured bonds, warrants rights) that can be converted to stock that, if exercised, would constitute 5% or more of the firm's issued stock. Non-publicly held corporations should list all Corporate Officers and all Shareholders (owners of 5% or more of authorized shares). Any person in a position to control and direct the firm's overall operations and financial decisions, including "hiring and firing." Signatories to bank accounts and collective bargaining agreements, whether or not considered "Key People." Holders of licenses necessary for the Applicant Firm to perform SCA work for which it is seeking Prequalification.

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GENERAL INFORMATION The New York City School Construction Authority (SCA) was created in 1988 by the New York State Legislature for the purpose of constructing and renovating educational facilities throughout the five boroughs. The SCA enters into contracts with general contractors, architects, engineers, trade contractors, consultants and other businesses. The SCA awards contracts to firms that are prequalified, with the exception of vendor contracts valued under $10,000. All firms seeking prequalification must complete an application online. Your completed application will be thoroughly reviewed and evaluated by the SCA, taking into consideration a variety of factors including, but not limited to (and listed in no particular order):        

Experience Quality and timeliness of past performance Financial capability (where applicable) Reliability and responsibility Safety record Compliance with equal employment requirements including LBE (Local Business Enterprise), MBE (Minority Business Enterprise) and WBE (Woman-owned Business Enterprise) 1 Enrollment in New York State Department of Labor-approved apprenticeship training programs for those trades in which an 2 applicant firm seeks prequalification Integrity of the firm, its key people, affiliates, current and past owners, and principals

Once an application is submitted, it cannot be withdrawn without the express written permission of the SCA. The Applicant Firm and the Key People listed in this application make all statements and provide all information for the purpose of inducing the SCA to grant prequalification status to the Applicant Firm. This application will not be considered complete until it is signed by all of the Key People of the Applicant Firm, notarized, and the bar coded Appendix A certification(s) received by the SCA. You must submit in writing to the NYCSCA any substantive changes to your prequalification application as soon as possible, but no later than (30) days of said change(s). Substantive changes include, but not limited to, key people, ownership, court proceedings, investigations, bankruptcies, etc.

NOTE: Joint Venture applicants must submit a prequalification application for itself AND each Joint Venture partner.

INSTRUCTIONS 1.

This form should be completed on behalf of the Applicant Firm by an individual who is knowledgeable about the past and present operations of the Firm and its policies.

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A response must be provided to each question on the application.

The SCA reserves the right to request additional information and/or documentation based on the answers provided to the questions contained in the application. The SCA will not evaluate the application form if any answers are missing or incomplete. Firms whose applications are incomplete will be notified via email to provide ALL required information within 30 calendar days. Failure to respond within 30 days of this notice will result in the administrative closure of the application without further action. Effective the date of such closure, the Applicant will not be approved for any work on SCA projects.

SUBMITTAL Once you have completed all sections of the online application, click the Submit button to submit electronically.

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Only apprentices registered with the New York State Department of Labor pursuant to their registration and the law may be employed. The prevailing wage Schedule 220 published by the Office o f the Comptroller of the City of New York provides the rates and ratios applicable to registered apprentices. For more information, visit the SCA’s website at www.nycsca.org. The only exception to this requirement is for firms that participate exclusively in the SCA Mentor Program.

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APPENDIX A Once you have submitted your application, be sure to follow the on-screen instructions to print out the bar coded Appendix A (certification) and the bar coded fax cover sheet.    

All current Key People of the Applicant Firm must file a bar coded, signed and notarized Appendix A. The Appendix A document must be notarized when signed. You may upload or fax a signed/notarized Appendix A. After uploading or faxing the signed/notarized Appendix A document(s), mail the originals to: New York City School Construction Authority 30-30 Thomson Avenue Long Island City, NY 11101 ATTN: Prequalification Unit

REQUALIFICATION Firms are qualified for a period of three (3) years, after which they are required to validate/update their application information online. Firms are strongly encouraged to submit for requalification at least six (6) months before their prequalification status expires.

VENUE Any dispute arising out of this Prequalification Application or relating to Prequalification in general, shall be heard and determined either in the courts of the State of New York, located in the City of New York, County of New York ("New York State Courts"), or in the courts of the United States located in New York City ("Federal Courts"). If an action or proceeding is commenced against the Authority in other than the above courts, and the Authority is forced to compel compliance with this provision through motion practice, the Key People of the Applicant Firm shall be liable for all expenses, including attorney's fees, incurred by the Authority in its effort to compel compliance.

GETTING HELP Questions regarding the Prequalification Application should be directed to the Contractor Qualification Hotline at 718-472-8777. You may visit the Contractor Qualification Unit Monday through Friday, between 9:00 a.m. and 4:00 p.m., for personal assistance with the qualification process.

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