N.J. Admin. Code § 16:44-3.2

Current through Register Vol. 56, No. 21, November 4, 2024

Section 16:44-3.2 - Questionnaire

(a) In order to bid on Department projects, a contractor must be classified and have a project rating. To be classified, the contractor must complete a Questionnaire on Form DC-74A available on the Department's website at www.nj.gov/transportation/business/procurement/ConstrServ/prequalrequire.shtmor from the Bureau at New Jersey Department of Transportation, Construction Services, 1035 Parkway Ave., P.O. Box 605, Trenton, NJ, 08625-0605, (609) 530-2103. The following satisfactory information must be provided to the Department:

1. A classified CPA certified audited financial statement or a classified CPA reviewed financial statement in accordance with general accepted accounting principles. The financial statement shall show current assets and current liabilities and shall include verifications of equipment owned or leased and confirmation of unsecured lines of credit extended by banks. The financial statements shall be complete, with a balance sheet, related statements of income, retained earnings, cash flows and notes to financial statements in complete detail. The financial statements shall be completed by a certified public accountant or public accountant, pursuant to 45:2B-42 et seq., who is independent of, and not an employee of, the contractor for which the financial statements are being provided. The financial statements shall include an independent auditor's report signed by the public accountant or CPA who prepared the documents.

i. The certified audited financial statements shall have an unqualified opinion. All financial statements, whether audited or reviewed, shall be for a full one-year accounting cycle.

ii. Submission of CPA reviewed financial statements will limit the contractor's financial capability and project rating to no more than $ 10,000,000.

iii. A consolidated financial statement may be submitted with the Questionnaire completed in the name of the parent corporation. A consolidated financial statement is required if the contractor is a variable interest entity according to the Financial Accounting Standards Board (FASB) interpretation, FIN 46R. A consolidated financial statement submitted with a Questionnaire and completed in the name of the subsidiary corporation shall include a separate breakdown of the financial statements and a separate unqualified opinion, that includes a balance sheet, an income and retained earnings statement and a statement of cash flows, in the name of the subsidiary corporation.

iv. A combined or compiled financial statement is not acceptable;

2. A statement as to construction equipment owned, which shall give complete details of the purchase price minus accumulated depreciation to equal book value per piece. Net book value less the amount of any outstanding loan for the purchase of that equipment will equal the amount allowed;

3. A statement as to organization, which shall show the ability of such organization, including key personnel, to undertake and successfully complete a project in the classification applied for;

4. A statement as to prior experience, which shall show the length of time in which the contractor has been engaged in the contracting business. It shall also disclose the nature of the contractor's experience during that period;

5. A work record statement, which shall give an accurate and complete record of work completed in the previous four years and which shall identify the projects undertaken, type of work performed using the Department's work type codes, location, contract price, name and current telephone number of the owner's construction representative or engineer in charge.

i. The statement shall list, in detail, any liens, stop notices, default notices or claims filed with regard to any project within the previous four years.

ii. The statement shall also disclose labor troubles experienced, failures to complete contracts and all penalties imposed by reason of any contract undertaken within the previous four years. The contractor shall explain all such items;

6. A statement setting forth any other pertinent and material facts which will justify the classification and rating desired;

7. A statement disclosing any suspension, debarment or disqualification of the contractor, its parent company or subsidiary and/or any owner, stockholder, officer, partner or employee or other person, regardless of title held, who has the ability to control a contractor's operations;

8. A statement that the contractor has adopted an Affirmative Action Program for Equal Employment Opportunity in accordance with State and Federal laws, rules and regulations;

9. If the contractor is a corporation, partnership, or limited liability company (LLC), a statement setting forth the names and home addresses of all stockholders, partners or members owning 10 percent or greater interest in the contractor. If one or more stockholders, partners or members is, itself, a corporation, partnership or LLC, owning a 10 percent or greater interest in the contractor, the statement shall also set forth the names and home addresses of all stockholders, partners or members owning a 10 percent or greater interest in that corporation, partnership or LLC. Disclosure of the names and home addresses of all stockholders, partners or members owning a 10 percent or greater interest shall continue at each level of ownership until all stockholders, partners or members owning a 10 percent or more interest have been disclosed;

10. A statement identifying the work types for which the contractor is seeking classification. The contractor will not be assigned a project rating for work types that have not been requested; and

11. An affidavit attesting that all statements contained in the Questionnaire are true and accurate.

N.J. Admin. Code § 16:44-3.2

The following annotations apply to N.J.A.C. 16:44-3.2 prior to its repeal by R.2010 d.122:
Amended by R.1978 d.164, effective 5/22/1978.
See: 10 N.J.R. 171(d), 10 N.J.R. 264(a).
Amended by R.1990 d.500, effective 10/15/1990.
See: 22 N.J.R. 2247(a), 22 N.J.R. 3238(a).
Administrative change reflected.
Recodified from 16:44-3.3 and amended by R.1994 d.198, effective 4/18/1994.
See: 25 N.J.R. 4727(a), 26 N.J.R. 1690(b).
Amended by R.1999 d.113, effective 4/5/1999.
See: 31 N.J.R. 29(a), 31 N.J.R. 890(a).
Substituted a reference to the Bureau of Contract Administration Services, Division of Project Management for a reference to the Bureau of Construction Services, Division of Procurement, and changed the mailing address.
Amended by R.2004 d.342, effective 9/7/2004.
See: 36 N.J.R. 1659(a), 36 N.J.R. 4155(b).
Substituted "Program Support-Engineering Documents Unit" for "Contract Administration Services, Division of Project Management".
The following annotations apply to N.J.A.C. 16:44-3.2 subsequent to its recodification from N.J.A.C. 16:44-1.2 by R.2010 d.122:
Amended by R.1977 d.388, effective 10/17/1977.
See: 9 N.J.R. 444(a), 9 N.J.R. 543(b).
Amended by R.1979 d.223, effective 6/6/1979.
See: 11 N.J.R. 262(a), 11 N.J.R. 357(c).
Amended by R.1986 d.29, effective 2/18/1986.
See: 17 N.J.R. 2746(a), 18 N.J.R. 427(a).
Class R amended; Class S through W new.
Amended by R.1988 d.175, effective 4/18/1988.
See: 20 N.J.R. 380(b), 20 N.J.R. 913(b).
Added text to (c) "The types of ... New Jersey 08625."
Amended by R.1989 d.88, effective 2/6/1989.
See: 20 N.J.R. 3004(a), 21 N.J.R. 309(a).
Subsections (d) and (n) substantially amended.
Emergency amendment, R.1989 d.226, effective 3/30/1989, (expires May 29, 1989).
See: 21 N.J.R. 1023(a).
Changes bidding period from 15 to 18 months.
Adopted concurrent proposal, R.1989 d.346, effective 7/3/1989.
See: 21 N.J.R. 1023(a), 21 N.J.R. 1833(a).
Provisions of emergency amendment R.1989 d.226 readopted without change.
Repeal and New Rule, R.1992 d.29, effective 1/6/1992.
See: 23 N.J.R. 3270(a), 24 N.J.R. 115(c).
Section was "Classification of prospective bidders."
Amended by R.1994 d.198, effective 4/18/1994.
See: 25 N.J.R. 4727(a), 26 N.J.R. 1690(b).
Amended by R.1999 d.113, effective 4/5/1999.
See: 31 N.J.R. 29(a), 31 N.J.R. 890(a).
In (a)1, inserted a reference to separate unqualified opinions in the second sentence of iii, and added iv.
Amended by R.2004 d.342, effective 9/7/2004.
See: 36 N.J.R. 1659(a), 36 N.J.R. 4155(b).
Rewrote the section.
Recodified from N.J.A.C. 16:44-1.2 and amended by R.2010 d.122, effective 6/21/2010.
See: 41 N.J.R. 3387(a), 42 N.J.R. 1239(a).
Section was "Statements under oath". Rewrote the section. Former N.J.A.C. 16:44-3.2, Requests for plans, repealed.
Amended by R.2011 d.218, effective 8/15/2011.
See: 43 N.J.R. 1175(a), 43 N.J.R. 2192(b).
In (a)7, deleted a comma following "debarment", and substituted "or other person, regardless of title held, who has the ability to control a contractor's operations" for "of the contractor".