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The Oregon Administrative Rules contain OARs filed through June 15, 2016
 
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DEPARTMENT OF TRANSPORTATION,
HIGHWAY DIVISION

 

DIVISION 10

PREQUALIFICATION FOR BIDDING HIGHWAY AND BRIDGE CONSTRUCTION

734-010-0290

Contractor Performance Evaluations

(1) This rule applies to contractors who must be prequalified to bid on ODOT contracts.

(2) Contractors who enter into contracts with ODOT after this administrative rule becomes effective, shall have their performance evaluated on each contract. The evaluation will be scored on the basis of a numeric score and on an evaluation form provided by ODOT.

(3) The Construction Project Manager shall complete the evaluation using the current version of ODOT Form 734-2884, “Prime Contractor Performance Evaluation.” The form will also include a Contractor Evaluation Submittal page to document the results of the evaluation process.

(4) Contractor performance will be evaluated under five categories: management, safety, administration, regulatory compliance and work force and small business equity programs.

(5) The evaluation shall be conducted as follows:

(a) If the duration of a contract is 12 months or less, the Construction Project Manager will complete one evaluation within 60 days of date of Second Notification for the contract; or

(b) If the duration of a contract is over 12 months, the Construction Project Manager will complete an evaluation within 30 days of the anniversary date of the Notice to Proceed. In addition to annual evaluations, the Construction Project Manager will complete an evaluation within 60 days of the date of Second Notification for the contract.

(6) Evaluations are valid for 36 months for purposes of determining consequences for scores falling within Performance Level 2 or 3.

(7) Contracts that are terminated for default automatically warrant prequalification suspension under Performance Level 3.

Stat. Auth.: ORS 184.616, 184.619, 279A.050, 279A.065 & 279C.430
Stats. Implemented: ORS 279C.430
Hist.: HWD 1-2005, f. 2-16-05, cert. ef. 3-1-05; HWD 12-2012, f. & cert. ef. 11-21-12

734-010-0300

Scoring Contractor Performance Evaluation

(1) Each evaluation will result in six numeric scores. Scores will be assessed for each of the five specific performance categories, as well as an overall score. The overall score is a total amount of all five of the category scores. The evaluation scoring shall be conducted as follows:

(a) If the duration of a contract is 12 months or less, the Construction Project Manager will score the evaluation for the entire duration of the project, or

(b) If the duration of a contract is over 12 months, the Construction Project Manager will score the evaluation for the preceding year within 30 days of the anniversary date of the Notice to Proceed. The scores shall reflect only that time period and will not be a cumulative score for the project duration. The final evaluation shall be prepared within 60 days of Second Notification.

(2) After the evaluation score has been calculated, the Construction Project Manager will send the evaluation score by email, facsimile or certified mail to the authorized contractor representative. Within 14 days of the date of verifiable receipt of the evaluation, the contractor’s authorized representative may either sign and return the evaluation to the ODOT Construction Project Manager or schedule a meeting with the Construction Project Manager to review the evaluation. Signature and return of the form represents the contractor’s acceptance of the evaluation.

(3) At the Review or Mandatory meeting with the Construction Project Manager, the consequences and corrective actions should be discussed, in an effort to improve contractor performance on future projects and prevent future scores from falling into Performance Level 2 or 3.

(a) If an authorized contractor representative refuses to sign the evaluation form within 14 days of verifiable receipt or within 7 days following the meeting with the Construction Project Manager, the Construction Project Manager will sign and date the evaluation, note in the contractor’s signature area “did not respond,” and transmit a copy to the State Construction and Materials Engineer.

(b) Following a Review meeting with the Construction Project Manager, the authorized contractor representative may sign the evaluation or request an Appeal meeting with the Contract Administration Engineer. The request for an Appeal meeting must be made within 7 days after the Review meeting with the Construction Project Manager.

(c) If the contractor does not sign the form following the Review meeting with the Construction Project Manager and does not request an appeal meeting with the Contract Administration Engineer within 7 days after the review meeting with the Construction Project Manager, the score is final and no appeal to the Contract Administration Engineer for that evaluation shall be available.

(4) The Construction Section will forward the final evaluation to the authorized contractor representative by email, facsimile or certified mail with verifiable receipt indicating the date score became final.

Stat. Auth.: ORS 184.616, 184.619, 279A.050, 279A.065 & 279C.430
Stats. Implemented: ORS 279C.430
Hist.: HWD 1-2005, f. 2-16-05, cert. ef. 3-1-05; HWD 12-2012, f. & cert. ef. 11-21-12

734-010-0320

Scoring Ranges and Corrective Actions

(1) There are three performance levels. The Construction Project Manager will score each of the five evaluation categories as well as an overall evaluation score in one of the three performance levels. The contractor’s authorized representative may request a Review meeting with the Construction Project Manager within 14 days of verifiable receipt of the evaluation to discuss the evaluation score with the Construction Project Manager.

(2) The following describes each performance level by identifying the scoring matrix for remedial actions and consequences depending on the number of occurrences during a 36-month period.

(a) For all performance levels, scores are assessed on a per category basis, as well as a project total.

(b) Occurrences are considered on a per category basis, as well as the project total. [Table not included. See ED. NOTE.]

(3) If the evaluation score falls within Performance Level 1, no further action will be required of the contractor. However, the contractor may still request a Review meeting, regardless of the score, with the Construction Project Manager to discuss the score. The options available to the contractor at all Performance Levels are:

(a) Sign and return the evaluation to the Construction Project Manager.

(b) Request a Review meeting with the Construction Project Manager to discuss the evaluation score within 14 days of verifiable receipt. Following the Review meeting with the Construction Project Manager, sign and return the evaluation to the Construction Project Manager.

(c) Request an Appeal meeting with the Contract Administration Engineer within 7 days from Construction Project Manager Review meeting, to appeal the Construction Project Manager’s evaluation score.

(4) The Contract Administration Engineer will schedule a meeting with the contractor within 14 days of receiving the contractor’s request to appeal the score. Following the Appeal meeting, the Contract Administration Engineer may uphold the Construction Project Manager’s evaluation score or adjust the score. The Contract Administration Engineer's decision shall be made within 14 days of the Appeal meeting and the score is considered the final score.

(a) The contractor may choose to sign the evaluation form following the appeal to the Contract Administration Engineer. Should the contractor choose not to sign the evaluation within 14 days of the appeal decision, the score becomes final without the contractor’s signature.

(b) Following the Appeal meeting, the Contract Administration Engineer will send the final evaluation/score by verifiable receipt to the authorized contractor representative indicating the date the score became final. [Table not included. See ED. NOTE.]

(5) The options available to the contractor at all Performance Levels are:

(a) Sign and return the evaluation to the Construction Project Manager.

(b) Request a Review meeting with the Construction Project Manager to discuss the evaluation score within 14 days of verifiable receipt. Following the Review meeting with the Construction Project Manager, sign and return the evaluation to the Construction Project Manager.

(c) Request an Appeal meeting with the Contract Administration Engineer within 7 days from Construction Project Manager Review meeting, to appeal the Construction Project Manager’s evaluation score.

(6) The Contract Administration Engineer will schedule a meeting with the contractor within 14 days of receiving the contractor’s request to appeal the score. Following the Appeal meeting, the Contract Administration Engineer may uphold the Construction Project Manager’s evaluation score or adjust the score. The Contract Administration Engineer's decision shall be made within 14 days of the Appeal meeting and the score is considered the final score.

(a) The contractor may choose to sign the evaluation form following the appeal to the Contract Administration Engineer. Should the contractor choose not to sign the evaluation within 14 days of the appeal decision, the score becomes final without the contractor’s signature.

(b) Following the Appeal meeting, the Contract Administration Engineer will send the final evaluation/score by verifiable receipt to the authorized contractor representative indicating the date the score became final.

(7) The following table identifies the actions required for a final score under Performance Level 2 depending on the number of the occurrences in Levels 2 and 3. Occurrences are considered on a per category basis, as well as a project total. [Table not included. See ED. NOTE.]

(8) If the final evaluation score warrants any prequalification suspension, the contractor may appeal the suspension to DAS under OAR 734-010-0380. [Table not included. See ED. NOTE.]

(9) The options available to the contractor at all Performance Levels are:

(a) Sign and return the evaluation to the Construction Project Manager.

(b) Request a Review meeting with the Construction Project Manager to discuss the evaluation score within 14 days of verifiable receipt. Following the Review meeting with the Construction Project Manager, sign and return the evaluation to the Construction Project Manager.

(c) Request an Appeal meeting with the Contract Administration Engineer within 7 days from Construction Project Manager Review meeting, to appeal the Construction Project Manager’s evaluation score.

(10) The Contract Administration Engineer will schedule a meeting with the contractor within 14 days of receiving the contractor’s request to appeal the score. Following the Appeal meeting, the Contract Administration Engineer may uphold the Construction Project Manager’s evaluation score or adjust the score. The Contract Administration Engineer's decision shall be made within 14 days of the Appeal meeting and the score is considered the final score.

(a) The contractor may choose to sign the evaluation form following the appeal to the Contract Administration Engineer. Should the contractor choose not to sign the evaluation within 14 days of the appeal decision, the score becomes final without the contractor’s signature.

(b) Following the Appeal meeting, the Contract Administration Engineer will send the final evaluation/score by verifiable receipt to the authorized contractor representative indicating the date the score became final.

(11) The following table identifies the course of action once the score is final under Performance Level 3 depending on the number of the occurrences in Levels 2 and 3. [Table not included. See ED. NOTE.]

(12) If you have occurrences falling under Performance Level 2 and 3 within a 36 month period: An occurrence in Performance Level 2 is considered a 1/2 occurrence in the Performance Level 3 Course of Action.

(13) If the evaluation identifies that the contract was terminated for default, there is an automatic suspension for 6 months.

(14) If the final evaluation score warrants any prequalification suspension the contractor may appeal the suspension to DAS under OAR 734-010-0380.

Stat. Auth.: ORS 184.616, 184.619, 279A.050, 279A.065 & 279C.430
Stats. Implemented: ORS 279C.430
Hist.: HWD 1-2005, f. 2-16-05, cert. ef. 3-1-05; HWD 12-2012, f. & cert. ef. 11-21-12

734-010-0330

Corrective Action Plan

(1) The purpose of the corrective action plan and the meeting with the State Construction and Materials Engineer is to help the contractor improve performance, project delivery, and avoid low ratings in the future. The tables shown in OAR 734-010-0320 identify remedial actions based on the number of occurrences using category and total project scores. If a contractor’s performance requires submission and approval of a corrective action plan, the State Construction and Materials Engineer will notify the contractor in writing.

(a) The authorized contractor representative must contact State Construction and Materials Engineer within 14 days of verifiable receipt of notice from the State Construction and Materials Engineer to schedule a meeting to present a written corrective action plan. The parties must meet within 21 days of the date the contractor’s representative contacts the State Construction and Materials Engineer or within an otherwise agreed timeframe.

(b) The contractor will be allowed to bid and receive award for any proposal submitted until the parties meet within 21 days or otherwise agreed timeframe.

(c) After the 21 days or otherwise agreed timeframe has expired, if the contractor has not presented a corrective action plan acceptable to the State Construction and Materials Engineer, the contractor will not be allowed to bid or receive award again until a corrective action plan has been submitted and approved by the State Construction and Materials Engineer.

(2)(a) If a contractor’s evaluation score requires suspension of the contractor's prequalification, a written corrective action plan must be submitted to and approved by the State Construction and Materials Engineer no later than 30 days prior to the end of the prequalification suspension period.

(b) If the corrective action plan is not submitted and approved by the State Construction and Materials Engineer at least 30 days prior to the end of suspension, the contractor’s prequalification will remain suspended until the corrective action plan is approved by the State Construction and Materials Engineer.

(3) When the State Construction and Materials Engineer approves the corrective action plan submitted by the contractor, the State Construction and Materials Engineer shall notify by verifiable receipt the authorized contractor representative and the OPO Construction Contracts Manager.

(4) The OPO Construction Contracts Manager will notify by verifiable receipt the authorized contractor representative, once the contractor’s prequalification is reinstated.

Stat. Auth.: ORS 184.616, 184.619, 279A.050, 279A.065 & 279C.430
Stats. Implemented: ORS 279C.430
Hist.: HWD 1-2005, f. 2-16-05, cert. ef. 3-1-05; HWD 12-2012, f. & cert. ef. 11-21-12

734-010-0340

Notification of Suspension from Bidding

(1) The State Construction and Materials Engineer will notify OPO’s Construction Contracts Manager when a contractor's evaluation scores result in suspension of pre-qualification.

(2) The OPO Construction Contracts Manager will notify by verifiable receipt the authorized contractor representative that its score has fallen below an acceptable level and that its prequalification has been suspended.

(3) The contractor may appeal a suspension through DAS by requesting a DAS appeal within 7 days of receipt of the suspension notice, as specified in OAR 734-010-0380.

(4) In all cases, any notification of suspension and reinstatement shall be made in writing and sent to the authorized contractor representative by the OPO Construction Contracts Manager.

(5) The effective date of a suspension will be:

(a) 10 days after the date of the OPO Construction Contracts Manager’s notification; or

(b) 10 days after the date any DAS appeal becomes final.

Stat. Auth.: ORS 184.616, 184.619, 279A.050, 279A.065 & 279C.430
Stats. Implemented: ORS 279C.430
Hist.: HWD 1-2005, f. 2-16-05, cert. ef. 3-1-05; HWD 12-2012, f. & cert. ef. 11-21-12

734-010-0350

Use of Suspension Records

For purposes of these prequalification rules, ODOT shall draw on contractor records of suspension for a three year period from the date of suspension. A record of a contractor's suspension that is older than three years may not be used in calculating further suspensions.

Stat. Auth.: ORS 184.616, 184.619, 279A.050, 279A.065 & 279C.430
Stats. Implemented: ORS 279C.430
Hist.: HWD 1-2005, f. 2-16-05, cert. ef. 3-1-05; HWD 12-2012, f. & cert. ef. 11-21-12

734-010-0360

Effect of Suspension on Business

(1) Any disqualification, suspension or revocation from bidding or of a prequalification shall be binding upon the following:

(a) Any contractor so disqualified, suspended or revoked;

(b) Any business with which such contractor's owners, officers, directors or managing agents are associated;

(c) Any subsidiaries, affiliates, parent corporations, joint ventures, successors, assigns of the contractor; and

(d) Any entity in which the contractor, its owners, officers, directors and managing agents are owners, majority shareholders or such persons own in the aggregate a majority of shares, partners, directors, officers or agents, other than in a capacity solely as an employee of that other entity or business.

(2) Such disqualifications, suspensions or revocations of these other entities and businesses shall apply continuously during the contractor's period of disqualification, suspension or revocation.

Stat. Auth.: ORS 184.616, 184.619, 279A.050, 279A.065 & 279C.430
Stats. Implemented: ORS 279C.430
Hist.: HWD 1-2005, f. 2-16-05, cert. ef. 3-1-05

734-010-0380

DAS Appeal Process Covering Contractor Evaluations

(1) In the event that a contractor's prequalification is suspended or revoked by ODOT, the contractor may appeal the suspension or revocation to DAS in accordance with ORS 279C.445 and 279C.450. If the contractor wishes to appeal disqualification of its prequalification as a bidder to DAS, the contractor must, within 7 business days after receipt of notice of disqualification, notify the OPO Construction Contracts Manager in writing.

(2) Upon receipt of such notice of appeal, the OPO Construction Contracts Manager will immediately notify the Director of DAS and the State Construction and Materials Engineer.

(3) The Director of DAS will notify the appealing party and ODOT of the time and date of the hearing. The hearings appeal and final decision will take place in accordance with the statutory requirements and applicable DAS rules.

(4) If the suspension is upheld, the OPO Construction Contracts Manager will notify the contractor and the State Construction and Materials Engineer that the suspension of the contractor's prequalification will begin 10 days after the contractor is notified.

Stat. Auth.: ORS 184.616, 184.619, 279A.050, 279A.065 & 279C.430
Stats. Implemented: ORS 279C.430
Hist.: HWD 1-2005, f. 2-16-05, cert. ef. 3-1-05; HWD 12-2012, f. & cert. ef. 11-21-12

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