Tenn. Comp. R. & Regs. 1680-05-03-.04

Current through December 10, 2024

Section 1680-05-03-.04 - APPLICATION FOR PREQUALIFICATION

(1) General Information and Requirements.

(a) To apply for prequalification, an applicant must submit a prequalification application to the Prequalification Office at the following address:

Tennessee Department of Transportation

Construction Division, Prequalification Office

Suite 700, James K. Polk Building

505 Deaderick Street

Nashville, Tennessee 37243

The prequalification application must be hand delivered to the Prequalification Office or mailed by certified, overnight or other mailing whereby the date of receipt can be verified by the Department. The mailing address of the Prequalification Office may be subject to change without amendment of these rules.

(b) The prequalification application shall include, without limitation, a completed prequalification questionnaire and other forms that may be developed by the Prequalification Office. The prequalification questionnaire or other forms may be requested by contacting the Prequalification Office in writing at the address indicated above, by telephone at (615) 741-2414, or via the Construction Division's website at www.tdot.state.tn.us/construction. The telephone number or website address of the Construction Division may be subject to change without amendment of these rules.

(c) The prequalification application must be signed by an owner, partner, officer, or other authorized representative of the applicant having authority to sign contracts or other legal documents on behalf of the applicant. Such person shall certify the accuracy of the information provided in the prequalification application, and the signature of such person shall be notarized.

(d) The same prequalification questionnaire or other forms must be completed whether an applicant wishes to be prequalified as a bidder or as a subcontractor or both.

(e) As received in the ordinary course of business, a prequalification application will not be considered confidential except as may be otherwise required by law.

(2) Information Required in the Prequalification Application.

An applicant's prequalification application shall provide the following information, at a minimum, and such additional information as the Prequalification Office may request:

(a) Name, Contact Information, and Business Organization. - The application shall identify the applicant's full legal name; the applicant's business address, telephone number, facsimile number, and electronic mail address, if available, and the application shall identify the legal form of the applicant's business organization, e.g., whether the applicant is a sole proprietorship, a general partnership, a limited partnership, a limited liability company, a corporation, or some other form of organization.

(b) Partners, Owners, Officers, and Authorized Representatives. - The application shall identify:

1. The names and addresses of each individual person or business entity that is a partner or owns ten percent (10%) or more of the applicant, including any partner or owner that is acting under an assumed name;

2. The names and addresses of all officers of the applicant, if applicable; and

3. The names and addresses of all persons who are authorized to act on behalf of the applicant to sign proposals and contracts with the Department.

(c) Affiliations. - The application shall identify:

1. The names and addresses of all affiliates of the applicant; and

2. For each partner, owner, officer, and authorized representative identified in accordance with subparagraph (b) above, the application shall identify whether such partner, owner, officer, or authorized representative owns ten percent (10%) or more, or is a partner, officer, or authorized representative, of any other firm that has been prequalified or is an applicant for prequalification by the Department, and if so the nature of such ownership or interest in the other firm or firms shall be described.

(d) Business Relationships of Immediate Family Members. - For each partner, owner, officer, and authorized representative identified in accordance with subparagraph (b) above, the application shall identify whether any immediate family member of such partner, owner, officer, or authorized representative owns ten percent (10%) or more, or is a partner, officer, or authorized representative, of any other firm that has been prequalified or is an applicant for prequalification by the Department, and if so the nature of such ownership or interest in the other firm or firms shall be described. For the purposes of this subparagraph, the term "immediate family member" means a spouse, mother, father, son, daughter, brother, or sister (including step, half, and adoptive relationships).

(e) Applicant's Fiscal Year. - The application shall identify the beginning and ending dates for the applicant's fiscal year.

(f) Type of Prequalification Requested. - The application shall identify whether the applicant is seeking a general or limited prequalification.

(g) Work Classifications. - The application shall identify the work classification(s), as defined in the prequalification questionnaire or other prequalification forms developed by the Prequalification Office, for which the applicant seeks to be prequalified by the Department.

(h) Work Experience. - The application shall furnish information regarding:

1. The applicant's experience as a firm in performing work within the work classification(s) for which the applicant seeks prequalification, including, without limitation, identification of the project; the owner of the project; the type of work performed, whether as the contractor or a subcontractor; the amount of the contract; whether the contract was completed on time; whether the contract was terminated for cause; whether liquidated damages or disincentives were assessed against the applicant under the contract; and any other information concerning the work experience of the applicant that the Prequalification Office may request or that the applicant may provide;

2. The work experience of the applicant's key administrative and supervisory personnel, including employees who will provide field supervision of the work, in the work classification(s) for which the applicant seeks prequalification from the Department, if requested by the Prequalification Office; and

3. References, if requested by the Prequalification Office.

(i) Equipment. - The application shall identify equipment that the applicant has available to perform the work required in the work classification(s) for which the applicant seeks prequalification. The applicant shall indicate whether the equipment is owned, leased, or otherwise accessible, and if not owned the applicant shall identify the owner or source of the equipment, including whether the owner or source of the equipment is a firm that has been prequalified or is an applicant for prequalification by the Department.

(j) Surety. - The application shall identify any surety company, and the local agent thereof, if applicable, that the applicant may use as a surety for the performance of any contract with the Department.

(k) Financial Responsibility.

1. With respect to:

(i) The applicant, or

(ii) Any affiliate of the applicant (as identified in accordance with subparagraph (c) above),

2. The application shall state whether the applicant or affiliate has within the past five (5) years:

(i) Filed for bankruptcy;

(ii) Defaulted on or failed to complete any public contract or had such contract terminated for cause;

(iv) Had a surety take over payment or performance obligations of any public contract; or

(v) Had any liens, claims or stop work orders filed against it on any public contract.

(l) Suspension, Debarment or Other Exclusion; Indictments, Criminal Convictions, Civil Judgments, and Enforcement Orders. - The application shall state whether the applicant, any affiliate of the applicant identified in accordance with subparagraph (c) above, or any partner, owner, officer, or authorized representative of the applicant identified in accordance with subparagraph (b) above is currently or within the past five (5) calendar years has been:

1. Denied prequalification and/or suspended, debarred or otherwise excluded from bidding on or participating in any public contract by the Department or other agency of the State of Tennessee, by any agency of the United States Government, or by any agency of any other state or any local government (provided, however, that this provision does not apply to any denial of prequalification for bidding on a particular project based on a restrictive special prequalification such as is provided for in Rule 1680-5-3-.09 of this Chapter);

2. Convicted of, currently under indictment for, or held liable in a civil judgment for:

(i) Commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public or private agreement or transaction;

(ii) Violation of Federal or State antitrust statutes, including those proscribing price fixing between competitors, allocation of customers between competitors, and bid rigging;

(iii) Commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, receiving stolen property, making false claims, or obstruction of justice; or

(iv) Commission of any other offense indicating a lack of business integrity or business honesty that seriously and directly affects such person's or entity's present responsibility;

3. Convicted of or currently under indictment for any criminal violation of the Federal Water Pollution Control Act, as provided in 33 U.S.C. § 1319(c), or as it may be amended; convicted of any criminal violation of the Tennessee Water Quality Control Act, as provided in T.C.A. §§ 69-3-115(b) and (c), or as either may be amended; or convicted of any criminal violation of any other state's water quality or water pollution control act; and/or

4. Received an enforcement order finding a violation of the Federal Water Pollution Control Act, the Tennessee Water Quality Control Act, or any other state's water quality or water pollution control act.

(m) Additional Information.

1. The Department reserves the right to request additional information and documentation to clarify and/or verify any information submitted in an applicant's prequalification application.

2. The applicant may submit an audited financial statement, documentation of its maximum bonding capacity, or other financial information for the Prequalification Office to consider.

3. Additional information and/or documents requested by the Department or submitted by the applicant and received by the Department may be kept confidential to the extent authorized or required by law.

(3) Submission of Prequalification Application - Timing and Effect.

(a) The prequalification application must be submitted to and received by the Prequalification Office at least fourteen (14) days prior to:

1. The date for opening bids for any project on which the applicant wishes to submit a proposal to the Department, if the applicant is seeking to be prequalified as a bidder; or

2. The date on which the applicant requests approval as a subcontractor under any contract awarded by the Department, if the applicant is seeking to become prequalified as a subcontractor.

(b) The act of submitting a prequalification application with the Department does not authorize the applicant to submit a bid or begin work as a contractor or subcontractor. It is the responsibility of the applicant to become prequalified before obtaining a proposal form to bid on a project or requesting to be approved by the Department as a subcontractor. The Department reserves the right to deny a prequalification application or return the prequalification application and postpone a determination of prequalification status until all required information has been received and evaluated.

(4) Requirements for Reporting Changes in Prequalification Application.

(a) If any of the following information provided in the applicant's prequalification application changes, the applicant shall notify the Prequalification Office in writing of such change prior to the submission of any bid or request for approval as a subcontractor , and in any event within not less than thirty (30) days after the change has occurred:

1. The applicant's name, contact information and business organization, as required under subparagraph (2)(a) of this Rule;

2. The names of the partners, owners, officers, and authorized representatives of the applicant, as required under subparagraph (2)(b) of this Rule;

3. The affiliates of the applicant and the associated business interests of the applicant's partners, owners, officers and authorized representatives, as required under subparagraph (2)(c), parts 1 and 2, of this Rule;

4. The suspension, debarment, exclusion, indictment or criminal conviction of the applicant, an affiliate of the applicant, or a partner, owner, officer or authorized representative of the applicant, as required under subparagraph (2)(l) of this Rule.

(b) Failure to notify the Prequalification Office of any change in the applicant's prequalification application information prior to any bid letting or request for approval as a subcontractor, or within thirty (30) days after such change has occurred, as required under subparagraph (4)(a) of this Rule, may result in the temporary disqualification of a prequalified bidder or subcontractor and/or such further action as the Department may deem appropriate in accordance with these rules.

Tenn. Comp. R. & Regs. 1680-05-03-.04

Original rule filed July 18, 2006; effective October 1, 2006.

Authority: T.C.A. §§ 54-5-117 and 4-3-2303.