City of New York

STANDARD CONSTRUCTION OPERATING PROCEDURE SCOP ....••.. : 98-008 G

Department of Design and Construction Division of Infrastructure Bureau of Construction

CATEGORY •• : Record Keeping Subcategory : Contractor Evals.

SUBJECT: CONTRACI'OR'S PERFORMANCE EV ALUA­TIONS AND UNSATISFACI'ORY QA RATINGS

Keywords ...... : CONTRACTOR EVALUATIONS,

UNSATISFACTORY QA RATINGS

Supersedes... : N/ A 1~--------------------------------------------~~~~~~~~~r------;

Supplements.. ... : N/ A

APPROVED: Sheet.............. : 1 of 1

Issue Date ..... November 10 1998

Commencing immediately, prior to submitting the midpoint and final contractor performance evaluations for each project, the Resident Engineer (R.E.) must contact Quality AsSurance (QA) to determine if the average QA rating for either the "Construction Quality" or "Safety and Housekeeping" categories are unsatisfactory. If QA has rated a project overall unsatisfactory in either of these categories, the Resident Engineer must take this into consideration in completing the contractor's performance evaluation, especially question # 23 "Quality of contractor's work", # 26 "Quality of site maintenance", and# 27 "Compliance with safety standards". If there is an unsatisfactory QA rating for either of these two categories, the R.E. must document his rating, whether satisfactory or unsatisfactory on these three questions. All other unsastisfactory ratings given by the R.E. must be documented· and all remaining .responses on the evaluation must be documentable.

Instructions for the contractor's performance evaluation from the Mayor's Office of Construction dated May 6, 1986 are attached. These instructions describe what type of documentation is required as well as other information helpful in the preparation of these evaluations.

SUPERSEDED BY SCOP 03-002G

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NOTE: CURRENT EVALUATION FORMS AND" INSTRUCTIONS ARE AVAILABLE ON THE DDC INTRANET SITE UNDER "FORMS AND LETTERHEAD.

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SCOP 98 008 G CONT. PER. QA.xls AZ ATIACHMENTS: M.O.C. DIRECTIVE NO. 51 DATED 516/86

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• ROBERT P. LEMIEUX Diftctor

TO:

THE CITY OF NEW YORK OFFICE OF THE MAYOR OFFICE OF CONSTRUCflON

52 Cbambcn Srnct • ltoom 205 N~Yorl,NnrYor\ 10007 Tde~oae: 212/566-3820

May 6, 1986

DIRECTIVE NO. 51

FROM: Robert P. Lemie

RE: CONSTRUCTION CONTRACTOR PERFO

--------------------~--~---------------- ---------------~--Pursuant to

13.0 to title A of the City of contractor shall that performance

Local Law which added a new section of chapter thirte n of the administrative code

New York, the per ormance of every construction be monitored d information with respect to shall be main ined by the City at a central

· location.

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To develop consisten information and to monitor performance concerning c ntractors on city construction projects, the City will evaluate on a continuing basis the performance of these for the purpose of assisting agency heads and of Responsibility in their determinations as to cont~actor is responsible or a poor performer. To complish this purpose, each agency shall complete a stan city-wide construction contractor performance evalua (attachment 11) for all construction contracts (capital or expense) as provided herein or prior to warning or that it is a poor performer. ·

Evaluation shall be ~ade by the resident engineer and reviewed by e engineer, once upon the vouchering of fifty percent (SOt) of the· contract price and again at substantial,

·completion. All responses must be · supportable by · · documentat on. Each agency shall insert a . provision (attachme t 12) in ita construction contract specifying that an evaluati n shall be made of the · contractor's , performance and , that t contractor has an opportunity to comment in writing

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subsequent to the evaluation. The written response affixed to and be made part of the evaluation.

In some cases the resident engineer may be a Accordingly, each agency shall inse~t a provision f3) into its consultant contract requiring as a preparation of construction contractor evaluations.

be

consultant. (attachment task the

The ~gency shall maintain as part of the contract file a record of the original evaluation form, cont ctor's responses, and supporting documentation.

Within fifteen (15) calendar the contract's attainment of the fifty percent (50') v chered and substantial completion levels, a copy _ of th evaluation (without contractor's response or documentation shall be sent to the Mayor's Office of Construction ch will be a central repository. Until on-line computer is available, each agency must call the Office of nstruction (Re: Contractor Evaluation)- prior to ~warding a c ntract to determine whether a contractor has been evaluated. receipt of a contractor's overall_evaluation, the consider this info~ation in determining whether ntractor shall be awarded the contract.

Contractors performing current contracts not substantially complete shall be evaluated as follows:

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1. if less than 5 evaluations a

is vouchered then two required;

2. in all othe cases, one evaluation at substantial completion is required.

This directi~. is effective immediately.

DDC99-1-22

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Instructions for Fillin OUt •New York Cit Construction · Contractor Per ormance Evaluat1on

I. Introduction

This form is designed for the purpose of evaluat'ng the performance of city-hired contractors doing con truction projects. It should be completed by the resident en for all prime contracts (capital or expense) and signed both the resident enq1neer and the Engineer. On certain onstruction projects (highways, sewers, etc.) there is·only one (1) contract; on others (buildings), there are multiple contrac s. This form is to be used for contracts, not projects. Th . form shall be completed by the resident engineer for all co racts when they have reached substantial completion. -zn dition, for all contracts of award value reater than $15 000 an evaluation form shall also be completed by the res1dent nqineer when fifty percent (50%) of the contract's awarded val e has been vouchered.

Por many contracts, therefore, out at two (2) points in the contract's

a}.

b) •

is form is to be filled is tory;

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the contract's fifty percent (SO%) vouchered level. F example, •Give details (of contractor's delay)• shoul cover the entire contract's history and should incl e the responses given at the midpoint ev~luation. The evaluation at this oint should be for con act'S entire h1story up to th1s po1nt. At the top of the form, under the title, be sure to check wFinal Evaluation.• The form should be completed an sent to the Mayor's Office of Construction ( given at the end of this •Introduction") wi (15) calendar days of the contract's a~tai substantial complet~on.

a copy dress

fifteen of its

Under all of the above conditions, a c ntractor will be evaluated at least once and possibly twice d inq the contract. Construction projects as a whole will hav therefore from one (1) to over eight (8) contractor per rmance evaluations completed durinq their history. Aqain it ·s emphasized, however, that this form is to be used for contrac not projects.

Some of the form, e.q., •Quality of Contractor's Work,• will have answers ith a subjective element. To answer these questions the user of the form will rely on a combination of · experience and professional and technical standards. However, the number of estions of this sort has been kept to a m1naum. The answers to all. questions, regardless, should be documentable. documentation will include such items as are regularly in a contract's file: memos, directives, minutes, ndance sheets, correspondence, photoqraphs, etc. An and all documentation su rtive of the answers contained in this.evaluation must be e t in the file

contra an ro ect. S1nce these evaluat on orms may e use to s ·ect t e owest responsible bidder after

the agency signatorie have left governmental employ (or are otherwise not ·avail. ~e), it is impor~ant that _the forms be supportable in the absence of these individuals. Supportive documentation ther ore must be complete and available.

The con ractor shall be given an opportunity to respond in writinq to the evaluation. Accordingly, a· copy of the completed eva ation should be sent to the contractor within fifteen (15 calendar days of the contract's midpoint ·and substantial ompletions. The contractor will have fifteen (15) calendar ys to send a written response to the aqency. The

uld affix the response to the evaluation form and keep he contract file.

The Office of Construction will be the central city-wide itory of the evaluations. Certain elements from the form

wi be filed in a computer. Pill out the form legiblY and c earl and in ink. Remember also to sign and date the form.

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The agency should keep the original completed form contractor's response and all supporting documentation) and nd a £22l o£ the form (without contractorts response or suppo ting documentation) to:

Mayor's Office of Construction 52 Chambers .Street, Room 205 New York, New York 10007 Attn: Contractor Evaluation

Forms are to be kept by the agencies a contract and project files are kept.

II. Liability

long as the

The City, pursuant to the General ·icipal Law, section 50-k, will defend and indemnify city loyees in any civil action arising out of the completion of t s form. Completion of the form is within the duties of the resident engineer. and Engineer and must be done as part of t management process. The duty to indemnify shall not arise hen there is intentional wrongdoing or recklessness by the ployee or when the employee is in violation of any rule or r lation of the agency. The user of this form should give d umentable responses and where subjective judgment is requi ed should employ reasonable technical and performance sta ards. as applied to identifiable events or conduct. The user· the form should not seek to give expression to personal fe ings regarding the contractor's character. The user of e form is to evaluate only the contractor's performance o the contract.

III. Osinq The Form

The Construe ion Contractor Performance Evaluation form is composed of fort eight (48) questions and two (2) signature lines. There are ur (4) types of questions:

1. •fill_. -the-blank • 2. •yes- • 3. •cir e the appropriate response• 4. •g· e details or comments•.

e first two types of questions are factualJ the latter two some imes require an informed judgment •. ill questions should be answ. re •

Twenty-six (26) questions are of the app opriate response• variety. There are four re ponses. The users of this form should circle:

•circle the (4) possible

E (•Excellent•) if the contractor met or surpassed all ·-

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DDC99-1 -25

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contract requirements

s (•satisfactory•) if the contractor substantially met, yet may have occasionally ·deviated from, contract requirements

U (•unsatisfactory•) if the contractor deviated substantially from contract requirements

NA ("Not Applicable") if the question does the performance of the contractor.

to

Although the terms •excellent,• ctory,• and •unsatisfactory• have-subjective connotations, th _are defined specifically by .reference to contractual requ' ements. Some questions, however, will have an element of their answer. For example, •Quality of-contractor' work" is not an evaluation which can be made solely on the basis of the contract's contents, but must consider ow the contractor performed the contract's provisions. Ref ence to the contract's specifications concerning the quality o materials required and the timeliness of performance will ent r··into the answering of this question. But other elements ch as •workmanship• will also enter into the picture, and the e elements will be evaluated and •factored into• the overall a wer based on the . evaluator's own experience and considering in ustry and technical stan~ards. These types of questions.have en kept to a minimum, but are important and must be answer • The users of this form are expected to answer such ques ions in a thoughtful and accurate manner.

.When more space is needed to answer a question, use a separate sheet of paper Give the number of the question being answered, and write in 1nk. When a copy of the evaluation form is sent to the Mayor 0 ice of Construction, remember to send a copy of any ·respons s written on the separate sheet of paper as well.

the is a question-by-question explanation of

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~~~~~~~~~~~~~~A~d~d~r~e~s~a~: e.g., •XYz Contractin~ yn, New York, 12345•

123

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3. Budget Number: give budget line number and subproject number as found in the capital commitment plan or expense budget: e.g., "H0145 (031453255)," or ."Fl75(FC3), • or "B!t270 (THBC270E)"

4.- Project DescriE_tion: give budget line description a subproject description as found in the capital commitment plan or expense budget; e.g., "Bellevue Hospital, New Building and M tal Health Center- Mental Health Reconstruction- 18th Floor HC," or "Fire Department Buildings, Improvements -- ~econstruct'on of Bronx Fire Communication Office,• or "Rehabilitation of rooklyn Bridge - Brooklyn Bridge (14) {Suspender and Stay Cable •

5. Project Location: 1 city-wide, 1 etc.

give borough(s}; ~.g.,

6 • IFMIS Number: cap~tal comm1tment the Department of Husson Avenue)

give agency and project numb as found in the plan;. e.g., "826-646" (wh' h corresponds to 1

Environmental Protection - Sanitary Sewer in

7. Type of Construction: check off "ne if the project is new; check . off •rehabilitation" if co struction consists of rehabilitation, reconstruction, renov resurfacing, etc.

8. Type of Contractor: designations; e.g., ventilation, and •electr~cian,• etc.

give con actor's trade; use ontractor (G.C.),"

tioning (HVAC),•

standard "heating,

•plumber,•

9. Contractin A enc : list appropriate bureau or d1v1s1on Department of Transportation, Bureau of Highway construction work is undertaken on behalf of sponsor! q agency, give both agencies; e.g., "Department of Genera Services/Bureau of Public Structures for Department of Correc on•

10. Arch./En • an C.M./R.B.: if a design and/or construction manager res1dent engineer consultant was used, give the name of the architectu 1 or engineering firm which produced the design documents for the contract and the name of the construction management o resident engineering firm that was used; otherwise indicat~ • -house;• do not list· subconsultants; do not give

.-address; .g., •oesign Inc.,• •Manage Inc.,• etc.

~~;-;;-~,;;-;;.;~~~~-=--r:::.:~..:T;.;:r;.;:a:.:d:.:;e;.:.a: give names of subcontractor a e contractor as well as the trades

do not give addresses, use separate sheet is needed, e.g., "ABC Co., landscapers,•

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Costs

12. Contract Award Amount: give contract award amount.

13. Estimated Final Contract Amount: add all past, present ant1cipated change order or overrun approximate amo (includinq credits) to award amount of contract, (as appear ''in question fl2 above); do not include anticipated · claims any kind, even if they involve extra work done under protest the contractor

Schedules

14. Ori inal Contract Duration: give contra~t dur ion in consecutive calendar days ccd's) as specified in the contract

15. Estimated Actual Contract Duration: add actual and ant1C1pated·delays and extensions thus fa 1 in consecutive calendar days (ccd's), t9 original contract ~ration (as appears in question tl4 above)

16. Was contractor ranted an the extension must be granted in writing

17. Reasons for difference timated actual and ori inal contract uration: q ve reasons for difference between the estimated actual contract dura on and the original contract duration, plus durations of elay due to each reasonr use separate sheet of paper for ponse: A RESPONSE TO THIS QUESTION IS REQUIRED

of ro ress schedules: evaluate respect to qUality· , and

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20. Orderin evaluate · against · .· ef.fe~t ·on ·job progress ''

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Quality of Work

23. Quality of contractor's work: evaluate against technical standards; consider, e.g., timeliness, care shown, etc.

24. Quality of subcontractors' work: evaluate against contr ct and technical standards; consider, e.g., timeliness, workrna ship, care shown, etc.

25. Quality of supervisory personnel: against e.g.' professional and technical standards;

knowledgeableness, aggressiveness, care shown,

26. Qualit of site maintenance: evaluate a inst spec~f~cat~ons: e.q., e r~s removal, order iness material storage, etc.

contract of site,

27. Com liance with safet evaluate against compliance with OSHA and state and local 1 , taking into account violations or citations issued to the con ractor, etc.

28. Responsiveness tp agency accuracy of execution

31. Prom evaluate

evaluate timeliness and

against

e.g, timeliness, re~ired, etc.

latent defects in lans:

contractor been identified?: was clearly contractor s

32a. If • include the duration and associated reason(s response; •yEs•

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and w t with

evaluate contractor's correspondence,

DDC99-1 -29

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35. Participation in sch7duled ~ob meetfnqs: of informati9n, answer1ng o quest1ons, replies, etc.

evaluate providing forthrightness o.

Record-keeping

· 36. Adequacy of daily report submissions: contract or agency requirements with regard timeliness

37. Timeliness. of payment requisitions: contract or agency requirements

38. Compliance with re~ired testiu;b evaluate specifications-1 consider, e.g., n er of reje modifications required, etc.

against

ainst contract ions, number of

39. Timeliness in obtaining permits: job schedule

e against

40. Ade uac of time and material evaluate against contract or agency requ1rements

42. Givin of notice have-caused delaY:

Contract Changes

43. Timeliness of ch contract requ1rements

44. Reasonableness eva uate or1g1na

and

or mi ht

evaluate against of the contract

orders:

as a percentage o t e sum o t e total costs to date plus estimated total

change order costsJ e.g.·, lOOt if all change orders d Material, or SO' if half of all change orders were

the rest were lump-sum; do ~ give as a coats ................ = .........

to

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liquidated damages, notification .to the bond~ng company, notification to the contractor regarding nonperformance, designation of the contractor as a •potential poor performer, initiation of default proceedings, default of contractor, etc.

contract spec1f1cat1ons 1nvo sheet of paper for response: TO QUESTION 46 IS "YES"

Performance

of actions taken and reasons: ve and actions taken; use s A RESPONSE IS REQUIRED IF TH

n fulfillin

Excellent:

Satisfactory:

Marqinal: .

the contractor consist ntly met or surpassed all con act requirements

. -the contractor oc deviated from co

sionally ract requirements

consistently contract requirements

rat1ng

Unsatisfactory: the contr tor deviated substant·ally from contract requir ents.

48. Additional Comments: give any required additional comments; mitigates or qualifies answers given

ation not requested on this form, etc.: aper for response

e.g., 1n ormat1on above, or relevant inf use sepa~ate sheet of

Signatures:

The •resid t engineer• is the age~cy or consultant engineer overseeing the contract in the field. · ·

'l'he ineer• ia the person defined . ·in the construction contract a representing the Commissioner and ordinarily is . the

f ·design or construction •. ·.':' '

T. e contracting agency snt>' is to sign this 'form, regardless of v ther work was done on e alf of a sponsoring agencyr e.g., the epartment of General Services will·sign·for.all·work done on

alf of the Department of Correction, or ·.t~e .Fire. Department, · ·.

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THIS FORM HAS BEEN RELACED BY THE 8/98 "CONSTRUCTION CONTRACTOR" EVALUATION FORM

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NEW YORK CITY CONSTRUCTION CONTRACTOR PERFORMANCE EVALUATION Midpoint Evaluation Final Evaluation

- (check as appropriate)

PLEASE WRITE LEGIBLY! Agency should keep the original evaluation. A £Qln:. of the completed evaluation should be sent to the " Office of the Director of Construction." Answer all questions, even if only with "Not

General Header Information 1. Contractor Name

2.

3.

4.

5. 6.

7. 8. 9.

10.

Employee Identification Number (EIN) Contractor A9dress

Comptroller's Contract Registration Comptroller's Contract Registration Agency Internal Contract Number (if Project Budget Number (Commitment P Project CAPIS Identification Numbe

_/_/19

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Project Description ------------~----------------------Project Location (Boroughs) IFMIS Number ( 3-n 3-number project codel----Type of Construction: new rehabilitation_ Type of Contractor (Trade} Contracting Agency ----~~--~~~--------------------­Sponsor (Client) Agency (if appl.) Designer: in-house (check here if done in-house)

consultant firm name) consul tan EIN

Resident/CM: in- ouse ----~(-c~h-e-c~k~h-e_r_e __ 1~f~do_n_e __ l~n---h~o-use> c sultant (firm name)

nsultant EIN -------------------Trades

(use separate piece of paper if more space is needed)

DDC99- 1 -32

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THIS FORM HAS BEEN RELACED BY THE 8/98 ··CONSTRUCTION CONTRACTOR" EVALUATION FORM

I

New York City Construction Contractor Evaluation Form Page 2 of 3

Costs 12. Contract Award Amount 1 3 • Estimated Final Contra.:~:c_t_A_m_o_u_n_t~--,_..;.----:.------,r

Schedules 14. Original Contract Duration 15. Estimated Actual Contract o_u_r_a~t-1~-o-n---------------~~~ 16. Was contractor granted an extension of time? Y 17. Reasons for difference between estimated actual

contract duration: (use separate sheet of paper response) .

18. Adequacy of CPM charts/progress schedules S 19. Adequacy of revisions of progress schedules 5 20. Ordering of materials 5 21. Adherence to manpower schedule S 22. ·Submission of subcontractors for S

Qualiti gf Work 23. Quality of contractor's work E s 24. Quality of subcontractors' work E s 25. Quality of supervisory personnel E s 26. Quality of site maintenance E s 27. compliance with safety standar E 5 28. Responsiveness to agency orde E 5 29. Performance of change order ork E s 30. Adequacy of shop drawings E 5 31. Prompt notice of discoverv. of any latent

defects in plans E s 32. Has any delay caused by on tractor

been identified? ·y_ 32a. If "yes," give d tails: (use separate

sheet of paper or response)

Cooperativeness .,

U NA U NA U NA U NA U NA

u NA u NA u NA u NA u NA u NA u NA u NA

·u NA

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33. Cooperation/ coor ination with other · on-site contrac ors and subcontractors·.

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34. Cooperation wi h agency personnel 35. Participatio in scheduled job meetings.

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Record-keeping ' ' ' ,· ' ' ' '' · 36. Adequacy f daily report submissions .·~·. · ·:\E i.S ... iU : NA··· ·

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37. Timeline s of payment requisitions·· ' I 1 :·:E ·:5 -,u' 'NA.· ·. · · 38. Complia ce with required testing · . _: ·. 'E · :5 · ·, U · NA: 39. Timel" ess in obtaining permits· . . . ,·~ E, s · .· U 'NA · · · 40. Adeq cy of time and material. records' __ .' ·.· · .c'. E, S ·. ·· U . 'NA'' 41. Ful llment of Locally-Based, ·Women.:..Business, ;,; .. ,. · ~ .,·. i.(

an Disadvantaged-Business Enterprise; 1i:md "\····.- · . · , , _,·:::-T aining and Apprenticeship' Programs, 'and ' :- ; . ': ·'I ' ., ' I '

ther special requirements . · · · ... · .. ·.'0. .. :, E .. ~5''.!U,· !N~ ,·· .·. Giving of notice of any·condition.·whi'ch ·/:_.· , ·;._::;; , '·;:·, ··;~i did cause or might have caused,delay···:,' ''.\::E-::S.:iiU.,iNA•:'')·

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TillS FORM HAS BEEN RELACED BY TIIE 8/98 •·cONSTRUCTION CONTRACTORn EVALUATION FORl\

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New York City Construction Contractor Evaluation form Page

Qontract Changes 43. Timeliness of change order proposals E S U 44. Reasonableness in estimating and

negotiating change orders E S U 45. Percentage of change order costs that were

Time and Material % of all change order

Contract Enforcement 46. Did the agency take action agait:ls.t the

due to contractor's nonperformance? n 46a. If "yes, " give details of actions

taken and reasons:

Performance ~ 47. Rate the contractor's overall erformance in fulfilling

contractual obligations as .. cellent," "Satisfactory," "Marginal," or "Unsatisfactc;>ry":

I 48. Additional comments: !'

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Prepared by

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ag~ resident engineer: /

Signature Date

Engineer (agency director of construction or equivalent):

Signature Date

ODC-CP£-3/95

DDC99·1 -34

CONSTRUC~ION CONTRACTOR EVALUATION PROVISION

The following provision for bidders and in the contract:

Construction Contractor

shall be inserted general conditions

information construction

The contractor's performance be evaluated by the City upon the occurrence of the voucheri of fifty percent (SO') of· the contract price and substan ial completion. A copy of the evaluation will be sent to the contractor not later than fifteen (lS) calendar days after t of these events and the contractor may respond i to the performance report. Such responses shall be ubmitted to the engineer not later than fifteen (15) calen ar days after a copy of the evaluation is· sent to the co tractor. The response will be affixed to the ev~luation. ailure to respond may result in review of contractor's per rmance. ·when a bid is evaluated without the benefit of contr ctor's response to the report •.

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DDC99-1-35

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Attachment

CONSULTANT CONTRACTOR EVALUATION PROVISI

The following provisions ~hall be contract:

in the consultant

prime the

A the

form (15)

The consultant ·shall evaluate the rformance of the construction contractors on this pr ject by completing City's construction contractor perfo ance evaluatioA form. f9rm shall be completed when fi y percent (SO\) of contract is vouchered and at subs antial completion. The shall be submitted to the engin r no later than fifteen calendar days after the occurrenc of these events.

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\', ; ,.

··' '. . ; . ·;.'

OOC99-'1-36