HomeMy Public PortalAboutConstruction Contractor Pre-Qualification and Performance Review ProceduresCONSTRUCTION CONTRACTOR PRE-QUALIFICATION AND
PERFORMANCE REVIEW PROCEDURES ON CAPITAL IMPROVEMENT
PROJECTS
Purpose: The purpose of this procedure is to assure that only qualified construction
contractors are allowed to bid as the prime contractor on Capital Improvement
Projects while at the same time allowing for the development of the construction
resources in the St. Louis area required to complete the District’s current and
future annual Capital Improvement Programs.
Pre-Qualification Process: The District shall require that any construction contractor wanting
to bid on a Capital Improvement Project be pre-qualified by the District to perform this work
before being allowed to bid.
a. A contractor wishing to be pre-qualified must submit a “complete” pre-qualification
package. A “complete” package shall consist of a completed Construction Pre-
Qualification Questionnaire as well as all relevant supporting documents as listed on
Page 2 of the Questionnaire. No review of a contractor’s qualifications will be made
until the District has determined that the submitted package is “complete”.
b. A construction contractor may submit a pre-qualification package at any time during the
year. However, a contractor will be eligible to bid on any specific project only if the
contractor was pre-qualified in that work category prior to date of the bid opening for
that specific project. When a pre-qualification package is submitted after a project has
been advertised, the District is under no obligation to review and make a determination
as to the contractor pre-qualification status prior to the bid opening, but will make every
effort to do so.
c. All pre-qualified contractors (with the exception of those who meet the conditions stated
in paragraph d. below) must renew their pre-qualification status on an annual basis.
The District will initiate the annual renewal process during the first week in July with an
email notification to all pre-qualified contractors notifying them of the need to submit
their pre-qualification package in order to retain their status as a pre-qualified contractor
and specifying the date by which the application must be submitted to ensure timely
completion of the renewal process, which will typically be the Friday after Labor Day.
Contractors who fail to submit a “complete” pre-qualification package by the date
specified and for which the District has not completed the pre-qualification review by
September 30th will be removed from the active bidder’s list as of October 1st until the
renewal process has been completed.
d. Any contractor who pre-qualified for the first time after January 1 of the current year
will not be required to submit a renewal pre-qualification package; unless the District
determines that a submittal is necessary.
e. The District may, at its discretion, require a special and separate pre-qualification
process for any project, which the District feels that the standard pre-qualification
process is not adequate. In such a case, provisions will be made prior to or during the
bidding process to allow any contractor who is pre-qualified to perform that general
type of work to submit a special and separate pre-qualification package. The form and
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CONSTRUCTION CONTRACTOR PRE-QUALIFICATION AND
PERFORMANCE REVIEW PROCEDURES ON CAPITAL IMPROVEMENT
PROJECTS
procedure for any required special and separate pre-qualification process shall be at the
sole discretion of the District.
Pre-Qualification Package Review: The District shall determine the pre-qualification status of
any construction contractor by reviewing the submitted Contractor Pre-Qualification
Questionnaire and associated documentation. Factors the District uses in determining the pre-
qualification status of a construction contractor shall include but not be limited to the following:
bonding capacity, overall experience, quality of past performance, and available company
resources.
a. The contractor may request to be pre-qualified for any work category listed in the
Questionnaire in which the contractor can demonstrate that they “self-performed” the
scope of work that corresponds to the work category requested. The current work
categories are listed below. From time to time the District may add, delete, or modify
the title of a work category and/or its definition.
• Sewer Construction (Drainlayer’s License Required for City or County)
• Deep Sewer Construction (Drainlayer’s License Required for City or County)
• Building Construction
• Natural Channel Stabilization
• Green Infrastructure and Bio-retention
• Pipe and Manhole Rehabilitation
• Cured-in-Place Pipe (CIPP)
• Cured-in-Place Lateral Liner (CIPL)
• Concrete Channels, Walls, and Structures
• Mechanical/Electrical/Plumbing
• Tunneling/Trenchless
• Demolition (Class I or Class II License Required for City)
b. To qualify in the category of Deep Sewer Construction a contractor must demonstrate
experience on multiple projects that are deemed complex by the District. Typically a
project would be considered complex, when the installation of the pipe required
excavation at depths greater than 20 feet for an extended length along with one or more
of the following addition construction challenges: significant involvement with trench
bracing for urban type features; significant amounts of Class “A” or Class “B”
excavation; significant amount of poor soil conditions; significant length of large
diameter pipe installation (36-inch or larger); or installation in locations having
extremely limited working room. The District shall be the sole judge as to whether a
project is considered complex.
c. Contractors may also be limited to bidding only on projects estimated to cost less than
$500,000 in each category. If a contractor so limited is a new contractor, or if in the
opinion of the District the contractor has so little recent project history with the District
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PERFORMANCE REVIEW PROCEDURES ON CAPITAL IMPROVEMENT
PROJECTS
that they are essentially pre-qualified as a new contractor, then this contractor may be
restricted to only holding one active contract with the District until in the opinion of the
District the project has been substantially completed and the contractor has
demonstrated its ability to successfully complete future projects.
Contractor Annual Performance Evaluation: As part of the annual pre-qualification, the
District shall evaluate the performance of all contractors having performed work for the District
in the previous fiscal year and use this evaluation in determining the pre-qualification status of
these contractors.
a. A contractor’s overall performance during the previous fiscal year is based on an
assessment of the contractor’s performance on all projects completed during that period as
well as projects started during that period for which the work completed at the time of
evaluation was significant enough to allow for a fair assessment of the contractor’s
performance to date (typically at least 25% to 30% complete). Contractor performance
relative to constructed work is evaluated in three categories:
• Project Management and Contract Administration
• Quality of Work and Job Performance
• Customer and Community Relations
Contractor performance relative to meeting its diversity compliance obligations is evaluated
in one or both of the following categories as appropriate, with each category being of equal
value:
• MWBE Vendor Utilization
• Workforce Utilization (for contract values of $500,000 or more)
The initial assessment of contractor performance in the construction of the project work is
performed by the assigned division inspector, construction engineer, administrative staff
person followed by review and approval by the Program Manager. The initial assessment
of contractor performance relative to diversity compliance is performed by the appropriate
diversity staff members followed by review and approval by the Manager of Diversity.
The individual project performance assessments are used to develop a preliminary
composite performance rating to be considered by the Evaluation Committee. This
Committee consists of the CM Division Program Manager(s) and the Manager of Diversity
under the guidance of the Assistant Director of the Construction Management Division.
b. The Evaluation Committee reviews the preliminary composite performance ratings for each
contractor and weighs in any additional factors that they feel are of importance in making
the final performance rating assignments. The performance rating for each category as well
as the overall performance rating will be a consensus of the Evaluation Committee. Should
the members of the Evaluation Committee fail to come to a consensus on the assignment of
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CONSTRUCTION CONTRACTOR PRE-QUALIFICATION AND
PERFORMANCE REVIEW PROCEDURES ON CAPITAL IMPROVEMENT
PROJECTS
the performance ratings or sanctions, the Assistant Director of Construction Management
will make the final determination.
c. The Evaluation Committee will make recommendations regarding sanctions to be imposed
on any contractor whose overall performance or performance in a single category does not
meet District expectations. Typically the recommendations will be based on the guidance
information provided in Table 3, however, more or less stringent sanctions may be imposed
if warranted. Recommended sanctions require approval by the Director of Engineering prior
to imposition.
c. With the approval or at the request of the Director of Engineering, any contractor may
receive an interim evaluation at any time. The Director of Engineering may approve any
variation of the above listed sanctions at his/her discretion.
d. Contractors will be notified of the results of the District’s evaluation.
TABLE 1 – CONSTRUCTION PERFORMANCE REVIEW CATEGORIES/CRITERIA
Project Management and Contract Administration
Provided adequate experienced project management staff to oversee project management
activities required to ensure appropriate project progress and quality of the work. Activities
include, but are not limited to: proper oversight of subcontractor work; timely
ordering/delivery of materials; utility coordination; timely municipal permit acquisition, etc.
Initial submittals of shop drawings were complete, required no/minor revisions and were
submitted in a timely manner so as to allow for completion of the review process prior to the
start of the associated work.
Contractor keeps the District informed of any potential issues (whether unforeseen or due to
contractor means and methods) and worked with the District to resolve the issues in a timely
and cost-effective manner.
Change Order requests (cost and/or time) were reasonable and adequately supported by
documentation provided in initial submittal. When required, contractor conducted
negotiations in a reasonable and professional manner. Contractor did not make frivolous
claims regarding unforeseen or changed conditions.
Provides proper oversight of subcontractor work performance and schedule.
Project administration deliverables (monthly MWBE Payment Verification data input,
Certified Payrolls, insurance renewals, closeout requirements) are complete and submitted in a
timely manner
Quality of Work and Job Performance
Work is being (was) constructed in accordance with the contract plans and specifications.
Workforce and subcontractors are/were knowledgeable, competent and experienced.
Provided prompt notice of unforeseen and/or changed conditions and worked with the
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PERFORMANCE REVIEW PROCEDURES ON CAPITAL IMPROVEMENT
PROJECTS
District to address issues in a cost-effective manner.
Commenced work immediately upon receipt of NTP, and has/is progressing in a timely and
orderly manner to allow for achieving Field Approval within contract time, (including all
Change Order time extension). When work is delayed due to utility or permitting issue,
contractor re-started project promptly once issue was resolved.
Customer and Community Relations
Contractor responded promptly and responsibly to customer and/or municipal concerns in a
polite and professional manner. Contractor actively works to resolve concerns. Workers were
respectful and polite to all customers. Contractor submitted copies of all written agreements
with property owners.
Contractor maintains a neat worksite; installed/maintained appropriate siltation controls
when required by Land Disturbance permit or to the extent needed so as not impact the
public; installs and maintains appropriate traffic control measures, etc.
Site and street restoration work scheduled and performed in a timely manner to minimize the
impact and inconvenience of on the affected property owners and the neighborhood.
TABLE 2 – DIVERSITY COMPLIANCE PERFORMANCE REVIEW
CATEGORIES/CRITERIA
Vendor and Workforce Utilization
Original Commitment: Prime is/did utilizing all MWBE subcontractors listed at the time
of bid on Form A (unless the District has approved the replacement). There is no evidence
or concern that the contractor will not meet its commitment goals for each named MWBE
subcontractor/vendor.
Commercial Useful Function: The scope of work being performed by the MWBE
subcontractor’s corresponds to the scope committed to at the time of bid and there is no
concern or evidence that the subcontractor is not actually providing a Commercial Useful
Function (CUF). MWBE was properly paid for performance of their CUF.
Notice of Project Changes:. The contractor keeps the District informed of of any issues
associated with subcontractor utilization and promptly notifies the District when there is a
need to make changes in MWBE subcontractor utilization and/or workforce utilization
and provides the appropriate supporting documentation to justify the change.
Vendor Payment Reporting and Verification: Contractor reported monthly Vendor
Utilization Payments. Contractor responds promptly to requests for payment verifications.
There is no credible evidence that the contractor is not making prompt payment to
subcontractors and suppliers.
Workforce Utilization
Workforce Utilization (Contracts greater or equal to $500,000): Initial submittal of 60 Day
Project Workforce Plan was complete, required no/minor revisions and was submitted in a
timely manner prior to the start of work/mobilization.
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CONSTRUCTION CONTRACTOR PRE-QUALIFICATION AND
PERFORMANCE REVIEW PROCEDURES ON CAPITAL IMPROVEMENT
PROJECTS
Workforce Utilization (Contracts greater or equal to $500,000): Workers on jobs
correspond to the names provided in the initial 60 Day Project Workforce Plan or any
subsequent updates/modifications to the workforce plan.
Workforce Utilization (Contracts greater or equal to $500,000): Contractor is on track to
meet its workforce goals or is submitting acceptable good faith effort documentation of
efforts being made to achieve goals.
Workforce Utilization (Contracts greater or equal to $500,000) Reporting and
Verification: Contractor promptly reports monthly Workforce utilization; responded to
requests for information relative to certified payroll or workforce utilization verification
documentation. There are no instances when certified payroll records do not correspond
to field workforce verification documentation or payroll records.
TABLE 3 – RECOMMENDED PERFORMANCE SANCTIONS
Composite Rating in
a Single Category
Sanction Options
Needs Improvement Year One - Will receive a warning.
Year Two – One or more of the following sanctions will be
imposed:
• May only bid projects less than $500,000
• May only have one active project
Year Three –Contractor will not be pre-qualified.
Unsatisfactory Year One –Contractor will not be pre-qualified.
Overall Rating
Needs Improvement Year One - Will receive a warning. Will not be considered for
“Deep Sewer” category
Year Two – One or more of the following sanctions may be
imposed:
• May only bid projects less than $500,000
• May only have one active project
Year Three – Contractor will not be pre-qualified.
Unsatisfactory Contractor will not be pre-qualified.
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