INVITATION TO SUBMIT PREQUALIFICATION APPLICATION FOR CONSTRUCTION MANAGER AT RISK The University of Connecticut ("UConn") seeks qualified and experienced applicants to submit prequalification applications for the Construction Manager at Risk. Further information on this invitation can be found below and the scope of the project/program is found under the buyer attachments tab of this event. Note: UConn prefers that all applications be submitted through the HuskyBuy website: https://bids.sciquest.com/apps/Router/PublicEventCustomerOrg=UConnFullSuite. If you have questions regarding the online application process, please reach out to the Procurement Agent listed on the Project Information Form for this event. CONSTRUCTION MANAGER AT RISK QUALIFICATIONS 1. Prospective bidders shall submit to the University a "Prequalification Application” which shall be used to evaluate the qualifications of each Applicant. 2. Each Applicant shall demonstrate the following objective criteria, to the satisfaction of the University, and that it possesses the proven financial ability, managerial ability, technical ability and the integrity necessary to faithfully and efficiently perform the work for which it intends to bid, without conflict of interest. The University shall review and evaluate each Application and determine whether it meets the above-stated and following objective criteria: 2.1. Financial Ability The Applicant shall demonstrate, through the financial information submitted with its Application, that they possess the financial means and bonding capacity to complete a construction project valued at the estimated project construction cost stated for this project. A financial review is performed using criteria developed by the University and is based on the estimated construction value of this project. Most recent audited financial statements are required for this prequalification, as further outlined in this Prequalification Application. 2.2 Managerial Ability The Applicant shall demonstrate, through the information submitted with its Application, that they possess the managerial resources, capability, and commitment necessary to complete the project to the satisfaction of the University. The Applicant shall have on its payroll, or must be able to prove, that they customarily employ managerial and supervisory personnel of the type qualified to perform the kind of work which may be called for this project. The University reserves the right to request additional information about the managerial and supervisory personnel and/or to request any member of the managerial or supervisory staff be replaced after good cause is shown. 2.3. Technical Ability The Applicant shall demonstrate, through the information submitted in their Application, that they possess the technical capacity, resources, capability, experience, and commitment necessary to complete the project to the satisfaction of the University. 2.4. Integrity The Applicant shall demonstrate, through the information submitted in their Application, that, by their past and present actions and conduct, and that of their principals and management, they possess the integrity necessary for and satisfactory to the University for the proper performance of the work for which they intend to bid. The Applicant shall also have a record of harmonious, cooperative, non-adversarial, and honest relationships with Owners, including the University and the State of Connecticut, if the Applicant has performed work on prior University or state projects, as well as with Architects, Engineers, Consultants, Subcontractors and Suppliers on prior public and private projects. 3. The Contractor must demonstrate, through past experience, the highest degree of ability to successfully complete projects in a similar environment and of a similar, size, scope, nature, value, and duration as the project which is the subject of this Prequalification Application. Proven project relevant experience in managing subcontractors must also be demonstrated. 4. The Contractor shall also demonstrate the ability to work safely and in harmonious, non-adversarial relationships with the owner and its agents in order to achieve successful completion of the project. Additionally, if requested by the University, the Contractor must be able to show past compliance with the State of Connecticut CHRO and Department of Labor requirements and regulations. INSTRUCTIONS FOR CONSTRUCTION MANAGER AT RISK APPLICATION FOR PREQUALIFICATION "Applicant,” as used in these documents, shall include the actual legal entity or entities submitting and executing this Prequalification Application. "Joint Venture" If the Applicant is a "joint venture", identify the nature and percentage of the work of this project for which each joint venture partner will be primarily responsible. Whenever the words “you,” “your firm,” “your organization,” etc. appear, the responses to any such question must be responded to by each firm represented in the joint venture. 1. Application Completeness: The Applicant must provide, to the satisfaction of the University, complete responses to the questions and questionnaires contained within this Prequalification Application and all required documentation requested. Applications with blank spaces or incomplete and in-accurately answered questions may result in the University’s refusal to prequalify the Applicant. 2. Submittal Instructions for Online Applications: UConn prefers that all applications be submitted using the HuskyBuy system. 2.1 All applications and application forms must be submitted no later than the closing date and time for this event. 2.2 Note: There is a 50.0MB size limit per file upload in the HuskyBuy system. Should you encounter problems uploading documents due to size limitation of each upload, please contact the procurement agent listed on this solicitation, prior to the closing date and time for this event. 3. Submittal Instructions for Mailed Applications: 3.1 If the Applicant elects to submit a printed version of the application and forms, the application shall be submitted in a sealed package with the Project Name and Project Number identified on the package and addressed to: University of Connecticut Capital Projects & Facilities Procurement ATTN: (Listed on the Project Information Form of this event) 3 Discovery Drive Unit 6076 Storrs, Connecticut 06269-6047 3.2 The printed application must also include an electronic copy of the application in pdf format and received by the closing date and time for this event. Applications received after the due date and time will not receive consideration and will be returned unopened. 3.3. Applicant is still required to click the "Intends to Bid" button at the beginning of the event to allow for Proxy Bidding when submitting a paper printed application. This will allow the procurement agent to enter the information into the event once the event is closed. 4. RFI: All questions pertaining to the information/documents requested in the Application must be received by the indicated Q&A close date. Submit all questions through the "Questions and Answers Board" tab located in the event. All questions will be answered via an addendum to the event. It is the applicant’s responsibility to check for addendums. The University shall render any interpretations or clarifications in a form and manner, which the University deems appropriate, given the nature and circumstances of the questions involved. The University will not be responsible for any interpretations or instructions other than those issued in written form. No phone calls will be accepted. 5. Financial Ability: The Applicant must provide an annual Financial Statement/Interim Financials, if required. Failure to submit Financials and Interim Financials (if required) may result in the University’s refusal to prequalify the Applicant. Financial requirements are as follows: 5.1. Projects < (Less Than) $10,000,000: Annual Financial Statements: Most recent audited Year End Financial Statements are preferred, which must include the Independent CPA Report; Balance Sheets; Income Statements; Cash Flow Statements; and Notes to the Financial Statements. These statements cannot be older than 15 months as of the due date of the application. If audited statements are not completed by the company, statements reviewed or compiled by an independent public accountant may be accepted for review and evaluation (these should include an independent CPA report, balance sheets, income statements, cash flow statements and notes to the financial statements, if available (if not available see 5.3 below.) When Interim Financial Statements Are Required? If the annual financials are not within 6 months of the application due date, you must supply interim Financial Statements, including Balance Sheets and Income Statements. Cash Flow Statements and Notes to the Interim Financial Statements, if any, should also be included. These interim statements must be provided for consideration and should be no older than 6 months as of the due date of this Application. 5.2. Projects > (Greater Than Or Equal To) $10,000,000: Annual Financial Statements: Most recent audited Year End Financial Statements are required, which must include the Independent Auditors Report; Balance Sheets; Income Statements; Cash Flow Statements; and Notes to the Financial Statements. These statements cannot be older than 15 months as of the due date of this application. When Interim Financial Statements Are Required? If the annual financials are not within 6 months of the application due date, you must supply interim Financial Statements, including Balance Sheets and Income Statements. Cash Flow Statements and Notes to the Interim Financial Statements, if any, should also be included. These interim statements must be provided for consideration and should be no older than 6 months as of the due date of this Application. 5.3 If Notes to the Financial Statements are not available or inadequate disclosure is provided: When submitting a compilation, if notes are not available, you are required to disclose the following. (This detailed documentation, including the amount and description, must be included in your Prequalification Application at the time of submission to the University): 5.3.1 Litigation that may result in a material adjustment to the financial statements. 5.3.2 Other liabilities or contingencies not recorded in the financial statement. 5.3.3 Financial commitments not recorded in the financial statements. 5.3.4 Related parties including: Activities between a parent and its subsidiaries. Activities between affiliates of the same parent company. Joint Ventures. Relationships between the company and its major owners, management, or their immediate families. Company and employee trusts established & managed by the company, such as a profit sharing / pension plan. 5.3.4.1 You must disclose the following with respect to these related parties: Terms and settlements. Nature and substance of the relationship. Description of the transactions, whether or not dollar amounts are involved. Dollar figures for the applicable transactions. Balances due from or owed to the related parties at year-end, including payment terms. Nature of the control relationship between entities under common ownership or management control. 5.3.5 Where applicable, if the company listed on the financial statement provided is not the Applicant, provide statement from the company providing the financial statement that they will be the guarantor of the contract. 5.3.6 Where applicable, provide a copy of the executed Joint Venture Agreement specific to this project and application. 6. Notification: All prospective firms who submit Applications will be notified of their standings as soon as practical after determination by email and letter via USPS. 7. Communications: All communications in regards to this solicitation must be sent via email to the Procurement Agent for this event. Failure to adhere to this provision may result in a proposer being declared ineligible, proposal rejection, or solicitation cancellation. 8. Reconsideration: In the event that an Applicant is denied prequalification, the Applicant may, within five (5) business days of the date of the notification letter, request in writing that the University reconsider their Application. The request shall also include any additional information the Applicant wishes to include in the reconsideration process. The applicant should send reconsideration notice and any additional material to the Procurement Agent identified in this Prequalification Application. No request or additional information received after that date will be given consideration. The University will again consider the matter and may either adhere to or modify its previous decision. Shall the Applicant receive a notification letter denying them prequalification again; they may request a final reconsideration of their Application by requesting such in writing within three (3) business days of the date of the notification letter. The applicant should send reconsideration notice to the CPFP Purchasing Agent identified in this Prequalification Application. The Applicant shall not submit any additional information with the final request. The University shall give prompt notice to the Applicant of the action taken. 9. CT Freedom of Information Act: The University is subject to the CT Freedom of Information Act, found in Chapter 14 of the CT General Statutes. Two exceptions may apply are as follows: (1) Conn. Gen. Stat. sec. 1-210(b)(24) permits the University to withhold records related to the procurement process while bidding and contract negotiations are underway (this moratorium is temporary and lasts only until the contract has been executed or negotiations are abandoned); and Conn. Gen. Stat. sec. 1-210(b)(5) permits the University to withhold records in its possession in the event they contain trade secrets (or any intellectual property). In the event that the University determines that Conn. Gen. Stat. sec. 1-210(b)(5) applies to a given request for the records in question, the responsibility to substantiate claims that the exemption requirements are met would need to be borne by the owner of said trade secrets, not the University. 10. University expressly reserves the following rights: a) To reject any and all Applications and to waive any in-formalities, irregularities or technical defects in the Application, if it is deemed to be in the best interest of the University. b) To solicit, receive and/or utilize information from any persons or entities identified in the Application as references, or from persons or entities having knowledge of the Applicant’s experience, abilities, past performance, integrity, financial status, or any other item referenced in the Application for Prequalification. c) To find any Applicant to be non-responsible or non-qualified with respect to a specific project, notwithstanding the fact that it may have previously been prequalified or selected for previous projects for the University. d) The University reserves the right to refuse to prequalify any contractor or subcontractor for a particular project notwithstanding the fact that they may have prequalified for a previous project(s). SUPPLIER DIVERSITY The University of Connecticut is committed to providing a professionally inclusive environment within which small and minority businesses are encouraged to participate in the procurement experience, as they are afforded equal access to the bid process that transfers goods and services to the campus communities. As such, we encourage participation by Small (SBE), Minority-Owned (MBE), Woman-Owned (WBE) businesses, and businesses owned by persons with a disability (DisBE), certified as such by the State of Connecticut’s Department of Administrative Services (DAS) Supplier Diversity Division, pursuant to Connecticut General Statute 32-9e. Additionally, the University encourages Connecticut-based businesses to participate within this public bid process. To become a DAS-Certified S/M/W/DisBE, your company must meet the qualifications as determined by legislation, under §4a-60g of the Connecticut General Statutes (CGS). For further information, please visit this website: https://portal.ct.gov/DAS/Services/Licensing-Certification-Permitting-and-Codes/Small-Minority-Business-Center or contact the DAS Supplier Diversity Division (Set-Aside Program) at (860) 713-5057. To learn about the University of Connecticut’s Supplier Diversity Program (USDP), please visit https://supplierdiversity.ubs.uconn.edu, or contact the USDP by e-mail at [email protected] or by phone at (860) 486-2614. If prequalified, as is the case of most deferred maintenance, major renovation, and new construction projects, the awarded Construction Manager is advised that they must award thirty percent (30%) or more of the value of the Construction Manager’s contract to certified SBE’s and, of that amount, one-third (10% of the total award)or more must be awarded to SBE’s who are also MBE’s. The Construction Manager is responsible for ensuring that the SBE’s/MBE’s they have elected are eligible contractors, and that they meet state requirements. In support of the 30/10 goal, it is suggested that a thoughtful approach be considered in package size, value, and design to encourage SBE/MBE opportunities.

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