PROSPECTIVE OFFEROR’S PRE-QUALIFICATION STATEMENT NAME OF PROJECT & ESTIMATED CONSTRUCTION VALUE Alliance Academy for Innovation of Cumming-Forsyth Construction Value: $34,000,000 NAME OF OWNER: Forsyth County Board of Education, (“Owner”) NAME OF PROSPECTIVE OFFEROR: (the “Contractor”) (Insert Legal Name of Prospective Offeror) NOTE TO CONTRACTOR: The criteria for prequalification (“Criteria”) are all of the items and information set forth or requested in this form, together with any information disclosed by any of those references, persons or entities identified in any response that is reasonably related to the Project or the quality of work. If the response to a particular item may result in disqualification per se, the item is so noted. The Owner, in its reasonable discretion, shall rate the Contractor in respect of each section of this form as satisfactory or unsatisfactory. A satisfactory rating shall mean only that the Owner believes that Contractor meets a minimum threshold with respect to being qualified to submit a proposal on this Project only, and shall not be deemed or construed otherwise or for any other purpose. In order to be qualified, the Contractor must not be disqualified per se, and must not receive an unsatisfactory rating for any section. As noted at Section IX, the failure to fully respond to all items will result in disqualification. If the answer to any item is “none” or “not applicable,” do not leave it blank, but state “none,” or “not applicable.” I. INSTRUCTIONS, WARRANTIES AND ACKNOWLEDGEMENTS A. Each response shall be full and complete, without exception. 1 B. By submitting this Prequalification Statement, the Contractor authorizes the Owner, and the Owner’s agents, attorneys and other representatives, to contact each and every identified reference, person or entity. The Contractor agrees that any information concerning the Contractor in possession of any identified reference, person or entity may be fully disclosed, and made available, to the Owner and its agents, attorneys and other representatives. C. The Contractor represents, warrants and affirms that truthful, complete and correct information is provided to the Owner in this Prequalification Statement. In the event that any information or other response contained herein changes in any way after submission of this Prequalification Statement and before the contract is awarded and signed by all parties, Contractor shall immediately notify the Owner, in writing, of such change or changes and the Owner may take such action thereon as it deems appropriate. The Contractor acknowledges and agrees that the Owner will rely on the truthfulness, completeness and correctness of the information and responses contained in this Prequalification Statement. The Contractor acknowledges and agrees that all responses by the Contractor contained in this Prequalification Statement are material and important to the Owner’s evaluation of the Contractor’s qualifications to undertake the Project. If the Contractor knowingly provides any false, incorrect, misleading or incomplete information to the Owner in this Prequalification Statement, the Contractor may be disqualified per se to submit a proposal on this Project, or if discovered after contract award, any agreement that is entered into between the Owner and the Contractor based on this Prequalification Statement shall be deemed materially breached and subject to immediate termination for cause or rescission for cause by the Owner at the sole option of the Owner. The Owner also shall have and retain any and all other rights and remedies provided by law, in contract or otherwise. D. Neither this Prequalification Statement, nor its completion by the Contractor, nor its submission by the Contractor, nor its receipt or use by the Owner, shall give rise to any responsibility or liability on the part of the Owner to the Contractor or to any third-party. II. GENERAL A. State the full legal name, type of legal entity (e.g., corporation, partnership, proprietorship, etc.), state of formation or organization (if the entity is other than a proprietorship), current address, phone number, fax number, and email address of the Contractor contact; 2 B. Is the Contractor a non-resident contractor within the meaning of Article 2 of Chapter 13 of Title 48 of the Official Code of Georgia Annotated? Yes C. No If the answer to II.B. is yes, is the Contractor registered in accordance with Article 2 of Chapter 13 of Title 48 of the Official Code of Georgia Annotated? Yes No N/A PER SE CRITERION: If the answer to II.B is “yes,” then a “no” answer to II.C shall disqualify the Contractor per se. D. State any previous name(s) (including aliases, d/b/a’s, and predecessor entities) and previous address (es) of Contractor if used within the last ten (10) years (if none, state “none”): E. State the full name of the Contractor’s current and predecessor president or chief executive officer: Current:__________________________________; since ________________________ Predecessor: ______________________________; from __________ to ___________ F. Is the Contractor licensed, or has applied for a license, in the State of Georgia? Yes G. No State the number of Contractor’s employees both full time and, separately, part time: 3 H. State the name(s) and address(es) of all current affiliated business entities (including all direct or indirect parents, subsidiaries, divisions) and, as to each, state the nature of Contractor’s relationship: I. State the name(s) and address(es) of all former affiliated business entities (including all direct or indirect parents, subsidiaries, divisions) and, as to each, state the nature of Contractor’s former relationship (applicable only to last ten (10) years): J. State the name(s) and address(es) of all current directors and officers of the Contractor: 4 THIS SECTION FOR OWNER’S USE ONLY: In respect of Section II, rate the Contractor as “Satisfactory” or “Unsatisfactory” as a candidate for the Project. If “Unsatisfactory” provide a brief and succinct reason. Satisfactory Unsatisfactory If applicable, reason for unsatisfactory: III. FINANCIAL INFORMATION NOTE: Please use this form for reporting financial information only. Do NOT attach promotional or prospectus information. A. Attach audited financial statements for the past three complete years. If audited financial statements are not available, furnish the following information: 1. Last complete fiscal year: (fiscal year ending ________) 2. a. Revenues (Gross) $__________________ b. Expenditures (Gross) $__________________ c. Overhead & Admin. Cost (Gross) $__________________ d. Profit (Gross) $__________________ e. Net Worth $__________________ f. Working Capital $__________________ Year prior to “III.A.1” above: (fiscal year ending ________) a. b. c. d. e. f. 3. Revenues (Gross) Expenditures (Gross) Overhead & Admin. Cost (Gross) Profit (Gross) Net Worth Working Capital $__________________ $__________________ $__________________ $__________________ $__________________ $__________________ Year prior to “III.A.2” above: (fiscal year ending ________) a. b. c. Revenues (Gross) Expenditures (Gross) Overhead & Admin. Cost (Gross) 5 $__________________ $__________________ $__________________ d. e. f. B. Profit (Gross) Net Worth Working Capital $__________________ $__________________ $__________________ Furnish the following financial information for the three fiscal quarters preceding the date of this Prequalification Statement: 1. Last complete quarter: (quarter year ending ________) a. b. c. d. e. f. 2. $__________________ $__________________ $__________________ $__________________ $__________________ $__________________ Quarter prior to “III.B.1” above: (quarter year ending ________) a. b. c. d. e. f. 3. Revenues (Gross) Expenditures (Gross) Overhead & Admin. Cost (Gross) Profit (Gross) Net Worth Working Capital Revenues (Gross) Expenditures (Gross) Overhead & Admin. Cost (Gross) Profit (Gross) Net Worth Working Capital $__________________ $__________________ $__________________ $__________________ $__________________ $__________________ Quarter prior to “III.B.2” above: (quarter year ending ________) a. b. c. d. e. f. Revenues (Gross) Expenditures (Gross) Overhead & Admin. Cost (Gross) Profit (Gross) Net Worth Working Capital 6 $__________________ $__________________ $__________________ $__________________ $__________________ $__________________ C. WORK IN PROGRESS: 1. Furnish the total dollar value (not including disputed amounts) of work in progress (bonded and non-bonded) for each of the four (4) fiscal quarters preceding the date of this Prequalification Statement: a. Last complete quarter (ending____________) $_________________ D. b. Quarter prior to “III.C.1.a” (ending____________) $_________________ c. Quarter prior to “III.C.1.b” (ending____________) $_________________ d. Quarter prior to “III.C.1.c” (ending____________) $_________________ AVAILABLE CREDIT: 1. State the amount and expiration date, if any, of any available unused line(s) of credit: 7 2. State the name, address, contact person and telephone number of the issuer of the line(s) of credit referenced in answer to Item III.D.1 above: E. BANKRUPTCIES: 1. State whether the Contractor or any of the Contractor’s current or former (within the last ten (10) years) affiliated entities have ever (i) been a debtor, voluntarily or involuntarily, in a bankruptcy, or (ii) made an assignment for the benefit of creditors or consented to appointment of a trustee or receiver, or (iii) been the subject of a receivership or other insolvency proceeding: Yes 2. No State whether any majority shareholder, majority owner, majority member, or partner of the Contractor has ever (i) been a debtor, voluntarily or involuntarily, in bankruptcy, or (ii) made an assignment for the benefit of creditors or consented to the appointment of a trustee or receiver or (iii) been the subject of a receivership or other insolvency proceeding: Yes No PER SE CRITERION: A “Yes” Answer to either Item “III.E.1” or Item “III.E.2” shall disqualify the Contractor per se. 8 F. LOANS: 1. State whether the Contractor is in material default, or any declared default, on any loan agreement or financing agreement with any bank, financial institution or other entity. Yes 2. No State whether the Contractor has in the past five (5) years materially defaulted, or been declared in any default, on any loan agreement or financing agreement with any bank, financial institution or other entity. Yes No PER SE CRITERION: A “Yes” answer to either Item “III.F.1” or Item “III.F.2” shall disqualify the Contractor per se. G. BONDING: 1. Identify the Contractor’s surety or sureties: PER SE CRITERION: To avoid disqualification per se, the Contractor’s surety or sureties must be licensed in Georgia, be currently rated A+ or A or better by A.M. Best Company and, additionally, shall be currently listed on the U.S. Department of Treasury’s Listing of Approved Sureties (Department Circular 570) as a surety authorized to write bonds for the U.S. Government with a total underwriting limitation of the Contractor’s surety or sureties equal to or greater than the Estimated Construction Value for the project/projects the Contractor selected on page one of this form. 2. Provide written verification from the Contractor’s surety (or sureties) or surety agent(s) of the Contractor’s current per project bonding capacity. Per project: $__________________________ PER SE CRITERION: To avoid disqualification per se, the Contractor’s current bonding capacity per project must equal or exceed the Estimated Construction 9 Value for the Project of $34,000,000. 3. Provide written verification from the Contractor’s surety (or sureties) or surety agent(s) the unused amount of the line of bonding credit (aggregate) currently available to the Contractor: $_______________________ PER SE CRITERION: To avoid disqualification per se, the Contractor’s unused bonding capacity must be not less than $136,000,000. (Four (4) times Project Value) 4. State the name(s), address (es), and telephone number(s) of the Contractor’s surety agent(s) or underwriting contact(s) for the past five (5) years: Current ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ One year ago _______________________________________________________ ____________________________________________________________ ____________________________________________________________ Two years ago ______________________________________________________ ____________________________________________________________ ____________________________________________________________ Three years ago _____________________________________________________ ____________________________________________________________ ____________________________________________________________ 5. State whether performance or payment bond claims have been made to the Contractor’s surety on any project within the past five (5) years: Yes No 10 6. If the answer to the preceding Item “III.G.5” is “yes,” describe each claim, the name of the project, the owner, the name of the company or person making each claim, the date of each claim, the circumstances of each claim, and the resolution of each claim: 7. State whether any surety has refused to bond the Contractor on any project in the past five years. If the answer is “yes,” state the name of the project and specify the reasons given for each refusal, the date of each refusal, and the name and address of the surety that refused to bond: Yes No 11 8. State whether any surety has refused to bond the Contractor’s affiliated entities on any project in the past five years. If the answer is “yes,” state the name of the project and specify the reasons given for each refusal, the date of each refusal, and the name of the surety that refused to bond: Yes H. No MERGERS AND ACQUISITIONS 1. State whether the Contractor has been acquired or been a party to a merger within the preceding three years. If the answer is “yes,” identify all parties to such acquisition or merger, provide the date of the acquisition or merger, the reasons for the acquisition or merger, and a brief description of the transaction: Yes No 12 2. State whether the Contractor has acquired any other companies or entities in the preceding three years. If the answer is “yes,” identify all companies or entities acquired, provide the date of acquisition, the reasons for the acquisition, and a brief description of the business of the company or entity acquired: Yes No THIS SECTION FOR OWNER’S USE ONLY: In respect of Section III, rate the Contractor as “Satisfactory” or “Unsatisfactory” as a candidate for the Project. If “Unsatisfactory” provide a brief and succinct reason. Satisfactory Unsatisfactory If applicable, reason for unsatisfactory: IV. CONTRACTOR EXPERIENCE - SIMILAR PROJECTS A. (1) Identify all similar projects constructed by the Contractor in the last five years, of construction value equal to or greater than twenty-three million dollars ($23,000,000.00), specifying the Project, construction value, name, date durations, address, telephone number, email address and contact person of each owner and architect of each of those projects. Also specify if project contract was Construction Management at Risk or General Contractor: 13 PER SE CRITERION: If the response to item “IV.A, 1” is “none,” the Contractor will be disqualified per se from that corresponding project/projects. B. State the following information for each project on which, and each owner for which, the Contractor has completed in the last two years: Name: ________________________ Location:_______________________ Contract Price: ______________________ Owner:_________________________ Address: _______________________ City/State:______________________ Contact: ___________________________ Phone: ________________________ Arch/Eng: ______________________ Substantial completion on time? Yes Contact/Phone:___________________ No Name: ________________________ Location:_______________________ Contract Price: ______________________ Owner:_________________________ Address: _______________________ City/State:______________________ Contact: ___________________________ Phone: ________________________ Arch/Eng: ______________________ Substantial completion on time? Yes No 14 Contact/Phone:___________________ Name: ________________________ Location:_______________________ Contract Price: ______________________ Owner:_________________________ Address: _______________________ City/State:______________________ Contact: ___________________________ Phone: ________________________ Arch/Eng: ______________________ Substantial completion on time? Yes Contact/Phone:___________________ No Name: ________________________ Location:_______________________ Contract Price: ______________________ Owner:_________________________ Address: _______________________ City/State:______________________ Contact: ___________________________ Phone: ________________________ Arch/Eng: ______________________ Substantial completion on time? Yes No 15 Contact/Phone:___________________ Name: ________________________ Location:_______________________ Contract Price: ______________________ Owner:_________________________ Address: _______________________ City/State:______________________ Contact: ___________________________ Phone: ________________________ Arch/Eng: ______________________ Substantial completion on time? Yes Contact/Phone:___________________ No Name: ________________________ Location:_______________________ Contract Price: ______________________ Owner:_________________________ Address: _______________________ City/State:______________________ Contact: ___________________________ Phone: ________________________ Arch/Eng: ______________________ Substantial completion on time? Yes No 16 Contact/Phone:___________________ Name: ________________________ Location:_______________________ Contract Price: ______________________ Owner:_________________________ Address: _______________________ City/State:______________________ Contact: ___________________________ Phone: ________________________ Arch/Eng: ______________________ Substantial completion on time? Yes Contact/Phone:___________________ No Name: ________________________ Location:_______________________ Contract Price: ______________________ Owner:_________________________ Address: _______________________ City/State:______________________ Contact: ___________________________ Phone: ________________________ Arch/Eng: ______________________ Substantial completion on time? Yes No 17 Contact/Phone:___________________ Name: ________________________ Location:_______________________ Contract Price: ______________________ Owner:_________________________ Address: _______________________ City/State:______________________ Contact: ___________________________ Phone: ________________________ Arch/Eng: ______________________ Substantial completion on time? Yes Contact/Phone:___________________ No Name: ________________________ Location:_______________________ Contract Price: ______________________ Owner:_________________________ Address: _______________________ City/State:______________________ Contact: ___________________________ Phone: ________________________ Arch/Eng: ______________________ Substantial completion on time? Yes No 18 Contact/Phone:___________________ If “No” was answered to any of the “substantial completion on time” questions in IV.B. above, please describe below. C. State whether the Contractor has ever defaulted, or has ever been declared in default, on any project. If the answer is “yes,” identify below each project, the name of the owner, the date, and the circumstances of the default: Yes No 19 D. State whether the Contractor has ever had liquidated damages assessed. If the answer is “yes,” identify below each project, the name of the owner, the date, and the circumstances resulting in liquidated damages being assessed: Yes No THIS SECTION FOR OWNER’S USE ONLY: In respect of Section IV, rate the Contractor as “Satisfactory” or “Unsatisfactory” as a candidate for the Project. If “Unsatisfactory” provide a brief and succinct reason. Satisfactory Unsatisfactory If applicable, reason for unsatisfactory: 20 V. LEGAL PROCEEDINGS A. ARBITRATIONS: Identify below all construction arbitration demands filed by, or against, the Contractor in the last five years, and describe the nature of the claim, the amount in dispute, the parties, the case number, the location, and the ultimate resolution of the arbitration: 21 B. LAWSUITS: Identify below all lawsuits, other than labor or personal injury litigation, filed by, or against, the Contractor in the last five years, and describe the nature of the claim, the amount in dispute, the parties, the case number, the Court and the ultimate resolution of the lawsuit: 22 C. OTHER PROCEEDINGS: 1. Identify below any lawsuits, administrative proceedings, or hearings initiated by the national labor relations board or any similar state agency in the past five years concerning any labor practices of the Contractor, and describe the nature of the proceeding and ultimate resolution: 23 2. Identify below any lawsuits, administrative proceedings, or hearings initiated, or fines assessed, by the occupational safety and health administration concerning the project safety practices of the Contractor in the last five years, and describe the nature of any proceeding and ultimate resolution: 24 3. Identify below any lawsuits, administrative proceedings, investigations, or hearings initiated by the internal revenue service, or any state revenue department, concerning the tax liability of the Contractor, other than audits, in the last five years, and describe the nature of any proceeding and ultimate resolution: 25 4. Identify below any other proceedings or hearings initiated, or fines assessed, by any local, state or federal entity or agency concerning the Contractor in the last five years, and describe the nature of any proceeding and its ultimate resolution: 26 5. State whether any criminal proceedings or investigations have been brought against the Contractor in the last ten years. If the answer is “yes,” describe below: Yes No THIS SECTION FOR OWNER’S USE ONLY: In respect of Section V, rate the Contractor as “Satisfactory” or “Unsatisfactory” as a candidate for the Project. If “Unsatisfactory” provide a brief and succinct reason. Satisfactory Unsatisfactory If applicable, reason for unsatisfactory: 27 VI. REFERENCES Unless otherwise requested, all references must be unaffiliated with the Contractor, and must be current, having done business with the Contractor in the preceding twelve months. Provide all requested references. In addition to the references requested below, the Contractor acknowledges that any owner, architect, or other person or entity identified in this Prequalification Statement may be contacted as a reference. A. BANKS: Bank #1 Name: ______________________________________________ Address: _____________________________________________ Contact: _____________________________________________ City/State: _____________________________________________ Phone: _______________________ Bank #2 Name: _____________________________________________ Address: _____________________________________________ Contact: _____________________________________________ City/State:_____________________________ Phone: __________________________ 28 THIS SECTION FOR OWNER’S USE ONLY: In respect of Section VI, rate the Contractor as “Satisfactory” or “Unsatisfactory” as a candidate for the Project. If “Unsatisfactory” provide a brief and succinct reason. Satisfactory Unsatisfactory If applicable, reason for unsatisfactory: VII. CURRENT WORK ON HAND List below all current work on hand: Name of Project:________________________________________________________________ Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ 29 Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ 30 Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ 31 Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ Contract Amount:_____________________ Scheduled Completion: _____________________ 32 Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ 33 Address:________________________________________________________________ Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ 34 Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Current Status:_________________________________________________________________ Name of Project:________________________________________________________________ 35 Contract Amount:_____________________ Scheduled Completion: _____________________ Description of Project: ___________________________________________________________ Contact: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Lead Design Professional: Name:_____________________________ Phone #:_____________________________ Address:________________________________________________________________ Current Status:_________________________________________________________________ THIS SECTION FOR OWNER’S USE ONLY: In respect of Section VIII, rate the Contractor as “Satisfactory” or “Unsatisfactory” as a candidate for the Project. If “Unsatisfactory” provide a brief and succinct reason. Satisfactory Unsatisfactory If applicable, reason for unsatisfactory: 36 VIII. REPRESENTATIONS Have you furnished all of the information and representations requested herein? Yes No PER SE CRITERION: se. IX. A “No” answer to “VIII” shall disqualify the Contractor per CONTRACTOR’S CERTIFICATION I certify to the Owner that the information and responses provided in this Prequalification Statement are true, correct and complete. The Owner may rely on the information provided in this Prequalification Statement. The Owner, or the Owner’s designated representative, may contact any person, entity or reference identified in this Prequalification Statement. Each person, entity or reference may make any information concerning the Contractor available to the Owner or the Owner’s designated representative. Dated __________________________, 20__. CONTRACTOR: By:_________________________________ Printed Name: Title:_______________________________ Date:_______________________________ Sworn to and subscribed before me this ______ day of _______________, 20__. _________________________ Notary Public My Commission Expires: 37