Loading
The Oregon Administrative Rules contain OARs filed through April 15, 2017
 
QUESTIONS ABOUT THE CONTENT OR MEANING OF THIS AGENCY'S RULES?
CLICK HERE TO ACCESS RULES COORDINATOR CONTACT INFORMATION

 

DEPARTMENT OF TRANSPORTATION,
HIGHWAY DIVISION

 

DIVISION 10

PREQUALIFICATION FOR BIDDING HIGHWAY AND BRIDGE CONSTRUCTION

734-010-0285

Definitions

The following definitions apply to terms used in OAR 734-010-0290 to OAR 734-010-0380:

(1) “Authorized contractor representative” means the person authorized by the contractor to sign the prime contractor performance evaluation.

(2) “CAE” means ODOT’s Contract Administration Engineer.

(3) “Contract” means public improvement contracts, as defined in ORS 279A.010(1)(bb), awarded by the Oregon Department of Transportation under authority of ORS 279A.050 and 366.205.

(4) “Contractor” means the individual or legal entity that has entered into a contract with ODOT.

(5) “CPM” means the Construction Project Manager who represents ODOT on the contract. The CPM may be an ODOT employee, local government representative, or consultant employed by ODOT or a local government.

(6) “DAS” means Oregon Department of Administrative Services.

(7) “Date of Second Notification” means the date on which required construction work, including change order work and extra work, has been satisfactorily completed, except for minor corrective work, and the recording of daily time charges cease.

(8) “Notice to Proceed” means written notice from ODOT authorizing the contractor to begin the work.

(9) “Occurrence” means each time a category or project total score falls within Performance Level 2 or Performance Level 3 on any performance evaluation.

(10) “ODOT” means the Oregon Department of Transportation.

(11) “OPO” means the ODOT Procurement Office.

(12) “Performance Level 1” is a performance evaluation range in which all of the scores on the performance evaluation set out under this rule fall into the acceptable category and do not require any corrective actions.

(13) “Performance Level 2” is a performance evaluation range designating a performance evaluation that has one or more scores that have fallen below Performance Level 1 and requires some level of corrective action depending on the cumulative number of occurrences on all contracts within a 36-month period.

(14) “Performance Level 3” is a performance evaluation range designating a performance evaluation that has one or more scores below the ranges set in Performance Level 2 and requires a higher level of corrective action beyond those required for Performance Level 2 depending on the cumulative number of occurrences on all contracts within a 36-month period.

(15) “SCME” means ODOT’s State Construction and Materials Engineer.

(16) “Suspension” means action taken by ODOT to temporarily suspend a contractor's prequalification for a specified period of time.

(17) “Verifiable Receipt” means confirmation of receipt of email, facsimile or certified mail.

Stat. Auth.: ORS 184.616, 184.619, 279A.050, 279A.065, 279C.430
Stats. Implemented: ORS 279C.430
Hist.: HWD 3-2016, f. & cert. ef. 11-28-16

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 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 CPM 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 workforce and small business equity programs and on a total score of these five categories.

(5) The evaluation shall be conducted as follows:

(a) If the duration of a contract is 12 months or less, the CPM 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 CPM will complete an evaluation within 30 days of the anniversary date of the Notice to Proceed. In addition to annual evaluations, the CPM 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 the number of occurrences at Performance Level 2 or 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; HWD 3-2016, f. & cert. ef. 11-28-16

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 CPM will score the evaluation for the entire duration of the project, or

(b) If the duration of a contract is over 12 months, the CPM 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 the date of Second Notification and will reflect only that time period between the latest annual evaluation and the date of Second Notification.

(2) After the evaluation score has been calculated, the CPM 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 sign and return the evaluation to the ODOT CPM or schedule a meeting with the CPM 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 CPM, 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 CPM, the CPM will sign and date the evaluation, note in the contractor’s signature area “did not respond,” and transmit a copy to the SCME.

(b) Following a Review meeting with the CPM, the authorized contractor representative may sign the evaluation or request an Appeal meeting with the CAE. The request for an Appeal meeting must be made within 7 days after the Review meeting with the CPM.

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

(4) ODOT’s 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; HWD 3-2016, f. & cert. ef. 11-28-16

734-010-0320

Scoring Ranges and Corrective Actions

(1) There are three performance levels. The CPM 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 CPM within 14 days of verifiable receipt of the evaluation to discuss the evaluation score with the CPM.

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

(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.]

(4) The options available to the contractor at Performance Levels 2 and 3 are:

(a) Sign and return the evaluation to the CPM.

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

(c) Request an Appeal meeting with the CAE within 7 days from CPM Review meeting, to appeal the CPM’s evaluation score.

(5) The CAE 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 CAE may uphold the CPM’s evaluation score or adjust the score. The CAE’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 CAE. 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 CAE will send the final evaluation/score by verifiable receipt to the authorized contractor representative indicating the date the score became final.

(6) The following table identifies the actions required for a final score under Performance Level 2 depending on the number of the occurrences in Level 2. Occurrences are considered on a per category basis, on a project total, and on the cumulative number of occurrences in Level 2 during the prior 36 month period on all evaluations on all contract. [Table not included. See ED. NOTE.]

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

(8) The following table identifies the actions required for a final score under Performance Level 3 depending on the number of the occurrences in Level 3. Occurrences are considered on a per category basis, on a project total, and on the cumulative number of occurrences in Level 3 during the prior 36 month period on all evaluations an all contracts. [Table not included. See ED. NOTE.]

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

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

[ED. NOTE: Tables referenced are not included in rule text. Click here for PDF copy of table(s).]

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; HWD 3-2016, f. & cert. ef. 11-28-16

734-010-0330

Corrective Action Plan

(1) The purpose of the corrective action plan and the meeting with the SCME 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 cumulative category and total project scores for 36 months on all evaluations on all contracts. If a contractor’s performance requires submission and approval of a corrective action plan, the SCME will notify the contractor in writing.

(a) The authorized contractor representative must contact the SCME within 14 days of verifiable receipt of notice from the SCME 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 SCME 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 SCME, the contractor will not be allowed to bid or receive award again until a corrective action plan has been submitted and approved by the SCME.

(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 SCME 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 SCME 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 SCME.

(3) When the SCME approves the corrective action plan submitted by the contractor, the SCME 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; HWD 3-2016, f. & cert. ef. 11-28-16

734-010-0340

Notification of Suspension from Bidding

(1) The SCME 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 appeal becomes final when the decision to suspend is upheld by DAS.

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; HWD 3-2016, f. & cert. ef. 11-28-16

734-010-0360

Effect of Suspension on Business

(1) Any prequalification suspension shall be binding upon the following:

(a) Any contractor suspended according to 734-010-0320;

(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 suspensions of these other entities and businesses shall apply continuously during the contractor's period of suspension.

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 3-2016, f. & cert. ef. 11-28-16

734-010-0380

DAS Appeal Process Covering Contractor Evaluations

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

(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 SCME 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; HWD 3-2016, f. & cert. ef. 11-28-16

The official copy of an Oregon Administrative Rule is contained in the Administrative Order filed at the Archives Division, 800 Summer St. NE, Salem, Oregon 97310. Any discrepancies with the published version are satisfied in favor of the Administrative Order. The Oregon Administrative Rules and the Oregon Bulletin are copyrighted by the Oregon Secretary of State. Terms and Conditions of Use