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Construction 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 Page 1 of 6 Updated February 2020 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 Page 2 of 6 Updated February 2020 CONSTRUCTION CONTRACTOR PRE-QUALIFICATION AND 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 Page 3 of 6 Updated February 2020 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 Page 4 of 6 Updated February 2020 CONSTRUCTION CONTRACTOR PRE-QUALIFICATION AND 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. Page 5 of 6 Updated February 2020 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. Page 6 of 6 Updated February 2020