Contractor Performance Evaluation Guidelines Info As Of: July 3, 2017

Contractor Performance Evaluation GuidelinesInfo as of: July 3, 2017Needs Improvement(1 Point) Performance does not meet contractualrequirements and recovery did not occur in atimely or cost effective manner. Serious problems existed and correctiveactions have been ineffective. Major errors, extensive minor errors, and/orrecurring problems.(This section relates to Contractor did not meet contractualrequirements and/or noncompliant withhow the Contractorapplicable Wage regulations.managed its Contractor or Subcontractor(s) paid workersresponsibilitiesless than the required wage rates.regarding applicableWage regulations) Contractor received more than oneVoluntary Corrective Action Plan (VCAP)for a repeated violation, or multiple VCAPsfor different violations on the project severity, cause, subcontractor and historicalrecord are all considered. Noncompliant with posting requirements. Negligent and/or repetitivemisclassifications. Workers had limited or no access toinformation about wages. Contractor did not provide certified payrollswithin 2 working days of request. Payments withheld to pay workers theamount of wages required to comply withthe contract. Apprentice or training program notregistered with Dept. of Labor or othernoncompliance associated withapprenticeships.3. WageComplianceandRequiredJob PostingsSuccessful Performance(2.5 Points)ExceptionalPerformance(3 Points) Contractor met contractual and regulatory requirementsassociated with Wage compliance and required jobpostings. Paid workers no less than the wage rates established inthe contract. Workers properly classified. Posted wage rates, other required posters, and noticesin English and Spanish in prominent, easily accessibleplaces where they can be seen by all workers. Maintained weekly payroll reports. May have had some minor problems; however,corrective actions taken by the Contractor were highlyeffective. Problems were not repetitive. Payroll records were preserved for the durationestablished in the contract. Provided copies of records and certified payrolls asrequested by the Owner within two working days. In the event federal funding is used, Contractor and allSubcontractors submitted weekly certified payrollreports and other required documents no later thanseven calendar days after the scheduled payday. Provided maximum practicable opportunity for workersto access information about wages. Contractor hadexceptional success withinitiatives to assist,promote, and comply withWage requirements. Went above and beyondthe required elements. Proactive, innovative andcreative approach toprovide workers access toinformation about wages. Contractor was proactiveand had exceptionalsuccess in making suresubcontractors understoodand met theirresponsibility regardingwage compliance. Contractor providedcertified payrollsimmediately uponrequest.Page 4 of 11

Contractor Performance Evaluation Guidelines4. s section relates tohow the Contractormanaged program(s))Info as of: July 3, 2017Needs Improvement(1 Point)Successful Performance(2.5 Points)ExceptionalPerformance(3 Points)Noncompliant with the City’sMBE/WBE/DBE Procurement Program,and/or any other applicable MBE/WBE/DBErequirements due to one or more of thefollowing: The Contractor did not utilize thesubcontractors identified in the approvedCompliance Plan, as amended, and the Cityhas determined this to be unjustified Did not fulfill the contracted Goals orSubgoals. Reduced or untimely payments made toMBE/WBE/DBE, determined by the Cityto be unjustified. Did not submit reports in an accurate ortimely manner. Contractor was unresponsive or late inresponding to MBE/WBE/DBE programrelated requests by SMBR, PM or otherCity staff. Showed little interest in bringingperformance to a satisfactory level or isgenerally uncooperative. (Examples: Work As required by the City’s MBE/WBE Ordinance,Contractor presented a written schedule of when theMBE/WBE subcontractors shall be utilized in theproject prior to the execution of the contract. Contractor utilized the subcontractors identified in theapproved Compliance Plan, and authorizedamendments at the approved participation levels. Complied with the City’s MBE/WBE/DBEProcurement Program requirements, including but notlimited to the requirements associated with post-awardchanges. Secured written SMBR Director’s approval prior tomaking changes and/or substitutions to the CompliancePlan. Made Good Faith Efforts to obtain MBE/WBE/DBEparticipation for additional scopes of work. Provided MBE/WBE/DBE payment information witheach request for payment submitted to the City. Timely paid each MBE/WBE/DBE subcontractor itsappropriate share of payments in accordance tostatutory requirements and the contract. Fulfilled the contracted Goals or Subgoals, taking intoaccount all approved substitutions, terminations andchanges to the contract’s scope of Work. Completed and submitted interim and closeout reportsin an accurate and timely manner. Exceeded all contractedgoals. Provided maximumpracticable opportunityfor MBE/WBE/DBE toparticipate in contractperformance. Had exceptional successwith initiatives to assist,promote, and utilizeMBE/WBE/DBE. Went above and beyondthe required elements ofthe approved CompliancePlan and otherMBE/WBE/DBErequirements of thecontract. Exceeded any otherparticipation requirementsincorporated in thecontract, including the useof MBE/WBE/DBE inmission critical aspects ofthe project.progress was delayed due to the Contractor’suntimely submittal of Request For Change(RFC) to SMBR, or Contractor’sunresponsiveness to SMBR’s requests forsupporting documentation.) Did not secure the City’s written approvalprior to terminating, adding, or substitutingSubcontractors. Required notice of violation(s). Provided false or misleading information inGood faith Efforts documentation, postaward compliance or other Programoperations.Page 5 of 11(To justify an Exceptionalrating, identify significantevent(s) and state how theywere of benefit toMBE/WBE/DBE utilization.Also, there should havebeen no violations to theMBE/WBE/DBE program.)

Contractor Performance Evaluation Guidelines5. InvoicingandPayments(This section relates tothe accuracy andtimeliness ofapplications forpayment, how theContractor managedits responsibilitiesregarding invoicingthe City, and paymentto subcontractors andsuppliers.)Info as of: July 3, 2017Needs Improvement(1 Point)Successful Performance(2.5 Points)ExceptionalPerformance(3 Points) Did not invoice monthly. Late, incomplete and/or inaccurate invoicessubmitted to the City. Invoices do not accurately reflectcompleted tasks and how much moreremains to be completed on incompletetasks. Contract requirements associated withcompensation and payments not followed. Late payments to subcontractors andsuppliers. Work conducted and invoiced prior toChange Orders being executed. Invoices do not properly follow contractualbasis of compensation. Inadequate backup for time & materialinvoices. Invoices included non-allowable items. Duplicate direct and overhead charges. Monthly reports and invoices were in accordance to thecontract and submitted in a timely manner. Invoices were accurate and complete, inclusive of allrequired attachments and backup data, and submittedon a timely basis reflective of the contractrequirements. Contractor timely paid each subcontractor itsappropriate share of payments in accordance tostatutory requirements and the contract. Contract amendments for additional services and/oradjustments were executed prior to conducting theWork. Supporting documentation for charges were providedand questions answered in a timely manner. Monthly reports and payrequests were of highquality and submittedearly. Consistent on-timecorrect invoices saved theCity time in reviewingand processing. Proactive in payment tosubcontractors. Went above and beyondthe required elements. Proactive, innovative andcreative approach resultedin exceptional results.Page 6 of 11

Contractor Performance Evaluation Guidelines6. RegulatoryComplianceandPermitting(This section relatesto how theContractor managedits responsibilitiesregardingcompliance withapplicableregulations, andpermitting.)Info as of: July 3, 2017Needs Improvement(1 Point)Successful Performance(2.5 Points)ExceptionalPerformance(3 Points) Contractor disregards laws or regulations ofany public body having jurisdiction over theproject. Worked outside authorized limits ofconstruction (LOC). Did not properly follow Storm WaterPollution Prevention Plan (SWPPP),Erosion/Sedimentation Control Plan(ESCP), and Tree Protection Plan. Was cited or violated environmental lawsand regulations. Did not properly identify or meet regulatoryand permitting requirements. Secured permits late and/or did not properlyaddress requirements. Contractor’s lack of understanding oroutdated regulatory requirements’knowledge caused delays or rework. On probation, suspended or debarred. Made fraudulent statements or withheldinformation from the Owner. Did not submit prior to start of constructionor did not follow the required ConstructionEquipment Emissions Reduction Plan. Contractor gave notices and complied with all laws andregulations applicable to furnishing and performing theWork, including arranging for and obtaining anyrequired inspections, tests, approvals or certificationsfrom any public body having jurisdiction over theWork or any part thereof. Proactive approach with regulatory agencies andpermitting jurisdictions to keep project on tract. Contractor identified the necessary permits as early aspossible. Prepared and submitted all appropriate permitapplications and supporting drawings, specificationsand other documents in the name of the City to utilitycompanies and providers, and governmental entitieshaving jurisdiction over the project. Up to date with the most recent regulations applicableto the project. Kept City team informed on the status of permits andpotential impacts to schedule and budget. Performance substantiallyhigher than industrystandard. Innovative approach thatresulted in a higher levelof compliance. Contractor stayed aheadof ever-changingregulatory complianceenvironment. Knowledgeable of mostrecent updates andupcoming regulatorychanges impacting theproject with effective-bydates and deadlines. Proactive in identifyingcompliance issues notknown by the City. Providedrecommendations foralternative compliance, asneeded.Page 7 of 11

Contractor Performance Evaluation GuidelinesInfo as of: July 3, 2017Needs Improvement(1 Point) Knowingly or repeated safety violations, orsingular problem of such serious magnitudethat it alone constitutes an unsatisfactoryrating.(This section relates to Contractor was cited or observed violatinghow the Contractorthe laws and regulations of any public bodymanaged itshaving jurisdiction for safety and protectionresponsibilitiesof persons or property.regarding safety Not all workers had the required safetyprecautions andtraining, certificates, and/or personalprograms inprotective equipment.connection with the Preventable accidents.Work. Including but Damage, injury or loss to property causednot limited to:directly, or indirectly, in whole or in part, bya) Adequacy ofcontractor or any person directly orContractor’sindirectly employed by them.Safety Plan,b) Implementation of Lack of or inadequate safety plan(s) such asthe excavation safety plan.Safety Plan,c) Identification and Failure to remove worker(s) who hasknowingly or repeatedly violated safetycorrection ofregulations, possessed a firearm insafety deficiencies,contravention of the applicable provisions ofd) QuantitativeTexas law, or was under the influence ofevaluation ofalcohol or drugs on the job.accidents and Inadequate trench safety, confined spaceinjuries.)protection, and/or fall protection. Noncompliance penalties or fines assessed. Unreasonably encumbered premises (i.e.excess materials and/or equipment on site). Loaded or permitted any part of anystructure, and part of the Work, or adjacentproperty to be loaded in any manner thatwill endanger it. (i.e. excessive loading to astructure or property that caused damage orfailure)7. Safety andProtectionSuccessful Performance(2.5 Points)ExceptionalPerformance(3 Points) Contractor initiated, maintained and supervised all Performance substantiallysafety precautions and programs in connection with thehigher than industryWork.standard. Contractor took all necessary precautions for the safety Proactive and innovativeof and provided the necessary protection to preventapproach that resulted in adamage, injury or loss to all:higher level of safety ando Persons on the Work site or who may be affectedprotection.by the Work; Contractor iso The Work and materials and equipment to beknowledgeable andincorporated therein, whether in storage on or offapplied the latestsite; andconstruction safety newso Other property at the site or adjacent thereto.and best practices, Use of premises confined to the areas identified andincluding OSHApermitted by and in accordance with the contract.construction regulationsand compliance, health Designated and provided a qualified and experiencedand safety forsafety representative at the site, and letter(s)construction workers, falldesignating “Competent Person(s)” per the contract.protection, construction Complied with all applicable laws and regulations ofpersonal protectiveany public body having jurisdiction for safety ofequipment, and more.persons or property to protect them from damage,injury or loss; and erected and maintained all necessarysafeguards for such safety and protection. No preventable accidents, injuries, near misses, or otherincidents. Inspections were planned and overseen bycertified safety or health professionals. Periodic audits of compliance are conducted by theContractor. Compliant with excavation safety systemsrequirements. Notified and cooperated with owners of adjacentproperty and of underground facilities, and utilityowners when prosecution of the Work affected them. Followed emergency procedures established in thecontract.Page 8 of 11

Contractor Performance Evaluation GuidelinesInfo as of: July 3, 2017Needs Improvement(1 Point)8. Adequacy andAvailability ofWorkforce(This is a rating ofhow the Contractorpossessed andmaintained adequateresources throughoutthe project to meet thedemands of thecontract.) Improper use, storage, and remediation ofany hazardous materials introduced to thesite by the Contractor. Use or possession any alcoholic or otherintoxicating beverages, illegal drugs orcontrolled substances while on the job or onCity property. Workers intoxicated, or under the influenceof alcohol or drugs on the job. Lack of qualified staff, and properequipment for the required tasks. Contractor did not have an Englishspeaking, competent Superintendent and/oradequate staffing on the project while Workis in progress, as required in the contract. Did not present resume of the proposedsuperintendent showing evidence ofexperience and successful superintendenceand direction of work of a similar scale andcomplexity. Frequent team mistakes, disorganization,and staff turnover resulted in extra work orschedule delays. Did not secure City approval prior toreplacing key personnel. Nonresponsive to City requests for removalof a member of the Contractor team who isincompetent, disorderly, abusive ordisobedient, or who violated federal, state orlocal law. Reinstatement of such personwithout prior City approval. Frequent staff turnover resulted in extrawork or schedule delays.Successful Performance(2.5 Points)ExceptionalPerformance(3 Points) Kept premises free from accumulations of wastematerials, rubbish and other debris resulting from theWork. Compliant with ROCIP requirements, if applicable. Compliant with Rest Breaks Ordinance. Contractor maintained a work force adequate toaccomplish the Work within the Contract Time. Employed only orderly and competent workers, skillfulin performance of the Work required under thecontract. Possessed and maintained adequate resources andequipment throughout the project(s) to meet thedemands of the contract, including sufficient number ofqualified staff, properly equipped and available for therequired tasks. Employees were qualified and possessed appropriatetechnical knowledge, skills and abilities for theirassignment(s). Staff skill set(s) match project and contractrequirements. Key personnel identified in the original solicitationteam available throughout the project. Contractor secured City approval in prior to replacingkey personnel. Proposed replacements have equal or betterqualifications for the project. Used man-hours and resources efficiently. Maintained good discipline and order on or off the sitein all matters pertaining to the Project.Page 9 of 11 Performancesubstantially higher thanindustry standard. Consistently exceededexpectations and alwaysprovided exceptionalresult(s). Added value. Contractor increasedqualified workforce inorder to supportexpedited schedule orcritical tasks.

Contractor Performance Evaluation GuidelinesNeeds Improvement(1 Point) Lack of oversight, poor superintendence,and/or poor project management. Lack of coordination. Failure to establish appropriate control overproject requirements and/or scope.(This is a rating of Poorly planned/managed transitions andhow the Contractorsequence of work.administered the Inadequate temporary facilities.project and contract Not knowing what tasks have been fullyincluding the projectcompleted, and how much more remains todelivery and overallbe completed on incomplete tasks.Contractor services. Project has unresolved issues.The extent to which Frequent team mistakes, disorganization,the Contractor tookand/or mismanagement resulted in extracharge of andWork or schedule delays.effectively managed Underestimation of complexity, cost and/orthe Work. Including,schedule.but not limited to: Lack of risk management.a) Management of Different expectations in terms of what is toresources andbe delivered, when and at what cost.key personnel, Lacking knowledge of what the state of theb) Adequacy ofproject is.supervision on Owner and/or Stakeholders impacted by thesite,project at the last-minute.c) Coordinationand control of Subcontractors and other team members didsubcontractors,not know what was expected of them.d) Review and Inefficient in their use of resources andresolution ofmade untimely decisions.subcontractorissues,e) Managementresponsivenessto Owner’srepresentative.)9. Project andContractManagementInfo as of: July 3, 2017Successful Performance(2.5 Points)ExceptionalPerformance(3 Points) Contractor understood and effectively managed theproject and contract. Supervised, inspected, anddirected the Work competently and efficiently,devoting such attention thereto and applying such skillsand expertise as may be necessary to perform the Workin accordance with the Contract. Contractor was responsible for the means, methods,techniques, sequences and procedures of construction. On-site and home office management personnelexhibited the capacity to adequately plan, schedule,resource, organize, and otherwise manage the Work.Accomplished the intent and scope of the contractedservices by managing the personnel, resources, budget,and schedule. Effectively managed subcontractors to ensureperformance. Resolved project issues and disagreements betweendisciplines and/or agencies always in the best interestof the project. Submitted appropri

Contractor. Ratings for each factor should be based on how often, how quickly, and to what degree the following criteria were met by the Contractor during the performance of the Work under contract. (Note: For the purpose of this evaluation, Contractor performance includes the Contractor staff, Subcontractors,