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APPENDIX F CONTRACTOR SUSPENSION AND DEBARMENT SURVEY Transportation Research Board PROTECTING TRANSPORTATION AGENCIES AGAINST CONSTRUCTION CONTRACT AND DISADVANTAGED BUSINESS ENTERPRISE FRAUD A Survey of State Practices Contractor Suspension and Debarment Survey June 2005 Williams, Wilson, and Sexton, P.A. Attorneys At Law A-19
Introduction This survey involves debarments, suspensions, or investigations of contractors for civil or criminal wrongdoing in state Department(s) of Transportation construction projects. All states wrestle with balancing issue of low bids and public integrity in contracting with firm(s) under investigation for criminal or civil wrongdoing. Many state highway departments, other public authorities, and federal agencies have differing approaches to working with contractors on these issues. Research is needed to determine how state and federal agencies are dealing with these matters. It is our intent to explore the various methods utilized by states to address these concerns. Instructions We request this survey to be completed and returned to the following address: NCHRP 20-6, Study Topic 13-1 Attn: James E. Saunders, III Williams Wilson & Sexton, P.A. 110 E. Broward Boulevard Suite 1700 Fort Lauderdale, FL 33301 If you have any questions or need any assistance, please feel free to contact by email: Thornton Williams, tjwilliams@twalaw.com or James Saunders, jsaunders@twalaw.com,. You may also contact them directly by phone at (850) 224-3999 and (954) 315-3900 respectively. Timeline for Study Throughout this survey, you will be asked to provide numerical data for the last five fiscal years (2000-2004). We realize that there are differences in the federal, state, and individual agency fiscal years. Please indicate the beginning and end of the fiscal year that would be easiest for you to document in this survey (example: Federal FY is October 1 to September 30). ___________________________________ _______________________________________ _______________________________________ Please use the indicated fiscal year throughout the survey. Biographic Information Please provide the following information for the person(s) who will act as a contact person(s) in your agency. (Note: This is not necessarily the person who is completing the survey). Name__________________________________ Title___________________________________ Office Address __________________________ _______________________________________ _______________________________________ Office Phone____________________________ Email Address___________________________ Name__________________________________ Title___________________________________ Office Address __________________________ _______________________________________ _______________________________________ Office Phone____________________________ Email Address___________________________ A-20
Contractor Debarment and Suspension Survey 1. What is the process to authorize a contractor to bid on USDOT assisted construction contracts in your state? Step 1:_________________________________ _______________________________________ Step 2:_________________________________ _______________________________________ Step 3:_________________________________ _______________________________________ Step 4:_________________________________ _______________________________________ Step 5:_________________________________ _______________________________________ Step 6:_________________________________ _______________________________________ Step 7:_________________________________ _______________________________________ Step 8:_________________________________ _______________________________________ Step 9:_________________________________ _______________________________________ Step 10:________________________________ _______________________________________ 2. Identify the federal statute(s) or regulation(s) that are used as the basis for any construction contractor suspension or debarment in your stateâs construction projects. _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ 3. Please provide any rules or procedures governing contractor suspension or debarment for construction projects in your state.___________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ 4. Are there any cases that have arisen in your state that are commonly used as precedent in the area of suspension and debarment of construction contractors? Yes No If yes, please identify the case(s). _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ 5. Does your state require prequalification for a construction contractor to bid on contracts in your state? Yes No If yes, please explain how construction contractors are pre-qualified in your state. Step 1:_________________________________ _______________________________________ Step 2:_________________________________ _______________________________________ Step 3:_________________________________ _______________________________________ Step 4:_________________________________ _______________________________________ Step 5:_________________________________ _______________________________________ Step 6:_________________________________ _______________________________________ Step 7:_________________________________ _______________________________________ Step 8:_________________________________ _______________________________________ Step 9:_________________________________ _______________________________________ Step 10:________________________________ _______________________________________ 6. Describe the procedures or processes that are followed to suspend a construction contractor in your state. Step 1:_________________________________ _______________________________________ Step 2:_________________________________ _______________________________________ Step 3:_________________________________ A-21
_______________________________________ Step 4:_________________________________ _______________________________________ Step 5:_________________________________ _______________________________________ Step 6:_________________________________ _______________________________________ Step 7:_________________________________ _______________________________________ Step 8:_________________________________ _______________________________________ Step 9:_________________________________ _______________________________________ Step 10:________________________________ _______________________________________ 7. Please provide any legal devices, tactics, and techniques, used to prosecute construction contractors for the purposes of suspension._____________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ 8. If a contractor is suspended is he/she allowed to bid on constructions contracts in your state? Yes No If yes, please provide the conditions or restrictions on the construction contractors ability to bid (if any).______________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ 9. What procedures or processes are followed in debarring a construction contractor in your state? Step 1:_________________________________ _______________________________________ Step 2:_________________________________ _______________________________________ Step 3:_________________________________ _______________________________________ Step 4:_________________________________ _______________________________________ Step 5:_________________________________ _______________________________________ Step 6:_________________________________ _______________________________________ Step 7:_________________________________ _______________________________________ Step 8:_________________________________ _______________________________________ Step 9:_________________________________ _______________________________________ Step 10:________________________________ _______________________________________ 10. Please provide any legal devices, tactics, and techniques, used to prosecute construction contractors for the purposes of debarment. _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ 11. If a contractor is debarred is he/she allowed to bid on constructions contracts in your state? Yes No If yes, please provide the conditions or restrictions on the construction contractors ability to bid (if any).______________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ _______________________________________ A-22
12. Please complete the following chart concerning construction contracts for FY 2000-2004 (If none, enter 0): FY 2000 FY 2001 FY 2002 FY 2003 FY 2004 Overall Number of construction contracts Overall Dollar Value of construction contracts 13. Please complete the following chart concerning contractor suspensions for FY 2000-2004 (If none, enter 0): 14. Please provide a list of criteria (a legal basis) by which a construction contractor is suspended in your state. 15. Please provide the relative net worth of construction contractors suspended in your state. 16. How and by what agency are investigations initiated and conducted to suspend a construction contractor in your state? 17. Provide the length of time required to conduct an investigation of alleged conduct warranting suspension of a construction contractor in your state. FY 2000 FY 2001 FY 2002 FY 2003 FY 2004 Overall Number of construction contracts where a suspension occurred. Overall Dollar Value of construction contracts where a suspension occurred. A-23
18. Please complete the following chart concerning contractor debarments for FY 2000- 2004 (If none, enter 0): 19. Please provide a list of criteria (a legal basis) by which a construction contractor was debarred in your state. 20. Please provide the relative net worth of construction contractors debarred in your state. 21. How and by what agency are investigations initiated and conducted to debar a construction contractor in your state? 22. Provide the length of time required to conduct an investigation to debar a construction contractor in your state. 23. What improvements to your suspension and debarment protocols have you determined are necessary? 24. If you have not implemented these improvements, what has prevented you from implementing them? 25. Are there any recommendations you would make to improve this area that have not been addressed in this survey? 26. Who maintains the list of contractors that have been suspended or debarred? FY 2000 FY 2001 FY 2002 FY 2003 FY 2004 Overall Number of construction contracts where a debarment occurred. Overall Dollar Value of construction contracts where a debarment occurred. A-24
27. Do you require contractors to certify in their bids that they have not now or at any time been suspended or debarred or even issued notice of such investigation of suspension or debarment or any other action that would make them ineligible for award? If so, please provide a copy of such certification._____________________________ 28. How and by whom are investigations made of contractors for fraud related convictions or civil judgments?_________________________ 29. How and by whom are investigations made of contractors to determine if they are under indictment or charged for fraud related conduct? 30. Is there a database for the above information regarding contractors which will allow your state to obtain information prior to awarding a contract? If so, which elements may be searched? Indictments? Investigations? Convictions?____________________________ A-25
