1. (1) A failure to meet the integrity and ethics standard will be deemed to have occurred in the event the applicant, its affiliates or any current or past owners or principals:

   1. (i) have been convicted within the past five years of a crime involving unfair or unethical business practices or acts of moral turpitude;
   2. (ii) have been held not responsible, denied a contract or denied approval as a subcontractor, vendor or material supplier for reasons of integrity, or for failure to cooperate with another agency's inquiries; or
   3. (iii) made material false statements or answers in response to questions arising out of the prequalification process.

2. (2) The applicant, its affiliates, or any of its current or past owners or principals may be precluded from working for the authority until there is a favorable resolution of any of the following:

   1. (i) pending criminal investigation;
   2. (ii) indictment;
   3. (iii) pending civil action brought by a governmental entity alleging illegal business practices.
3. (3) If the applicant refuses to comply with the authority's prequalification process, including requests for additional documentation, affidavits or certifications, the firm's application will be considered “incomplete,” and the company will be ineligible to work either directly or indirectly for the authority, until all aspects of the prequalification process are complied with.
4. (4) In the event that the applicant knowingly and willfully submits false information for the purpose of obtaining prequalification status, the authority may disqualify the applicant permanently.

5. (5) If the applicant's lack of integrity and ethics arises from circumstances other than the ones noted above, the authority will evaluate the facts and circumstances on a case-by-case basis.

   (e) Participation in apprentice programs.

   An applicant who wishes to bid on projects estimated by the authority to be in excess of one million dollars must demonstrate to the satisfaction of the authority, that it recognizes New York State approved apprentice programs. An applicant may demonstrate its recognition of apprentice programs for example, by its participation in a State approved apprentice program.

To be prequalified, applicants must meet at least the following minimum standards:

(a) Financial capacity.

The applicant must have sufficient financial ability to undertake work in the area in which prequalification is sought. An applicant that fails to meet this standard will be unable to work for the authority until such time as it can demonstrate it has attained sufficient financial capacity.

(b) Experience.

The applicant must have sufficient experience in the relevant trade or field in which it seeks to do work. An applicant that fails to meet this standard will be unable to work for the authority until such time as it can demonstrate that it has attained sufficient experience.

(c) History of performance.

The applicant must have a demonstrated record of timely completion of quality work. Failure to meet this standard may result in applicants disqualification for a period of up to five years. A failure to meet the performance standard will be deemed to have occurred in the event of debarment, default, disqualification, a finding of “poor performer” or “ not responsible” of the applicant or its affiliates by any government entity. If the applicant's failure to perform quality work in a timely manner is based on other than the findings enumerated above, the authority will evaluate the facts and circumstances on a case-by-case basis.

(d) Integrity and ethics.

Companies seeking to do business with the authority must have a reputation for and a record of law-abiding conduct and ethical business practices. Failure to meet this standard will result in the applicant's disqualification for a period of up to five years.