CONFIDENTIAL B These working papers are for internal ...



MTA All-Agency Contractor Evaluation (ACE) System

CONTRACTOR PERFORMANCE EVALUATION CRITERIA

Effective: 10/15/99

A. SAFETY, PROPERTY PROTECTION, SYSTEM OPERATIONS IMPACT

1. Compliance with contract safety requirements, safety guideline(s), industry standards and requirements of applicable laws, rules and regulations

As required by contract, did the contractor comply with the most stringent provisions of applicable New York City, New York State and Federal statutes and regulations, including, for example, OSHA provisions?

2. Protection of the public, contractor and subcontractor personnel, Agency personnel and other persons, Agency property and security of work site

Did the contractor establish and maintain adequate controls to ensure the protection of persons and Agency property from hazardous conditions?

3. Development and implementation of an Accident Prevention Program/ Safety Management Program as required by contract

Was appropriate instruction/training on accident prevention/safety management given to all applicable employees? In the event of accidents and injuries, were they thoroughly investigated and reported and were corrective measures, policies and practices promptly put into place?

4. Non-interference with Agency operations

Was the contractor successful at carrying out his work and/or coordinating the work of subcontractors while minimizing disruption of Agency operations?

5. Adequacy of site maintenance

Evaluate the general level of cleanliness and order kept at the site and the elimination and/or prevention of unsafe conditions being present at the site.

6. Timeliness and adequacy of correction of noted safety deficiencies

Was the contractor response to any noted deficiency immediate and sufficient to correct the problem?

7. Overall Safety, Property Protection, System Operations Impact

Consider all of the characteristics rated in items 1 through 6, evaluate the overall compliance with contract safety requirements, safety guideline(s), industry standards and requirements of applicable laws, rules and regulations.

B. QUALITY OF WORK

8. Materials meet contract requirements

Is the product as per specifications and/or industry standards? As applicable, do laboratory tests and quality inspection confirm material reliability?

9. Workmanship meets contract requirements

Evaluate workmanship for conformance to contract specifications and industry standards. When making this evaluation, consider how frequently rework, resulting from poor workmanship, is necessary.

10. Adequacy of training provided to agency personnel

Evaluate the adequacy and timeliness of the contractually required training given by the contractor to the respective agency personnel.

11. Preparation and maintenance of record drawings (as-builts)

Evaluate the timeliness, thoroughness and accuracy of as-builts. Were they submitted timely?

12. Preparation of shop drawings, submittals, O&M Manuals and other deliverables per contract

Evaluate the timeliness, thoroughness and accuracy of shop drawings, submittals, O&M Manuals and other deliverables per contract.

13. Compliance with testing requirements

Evaluate the degree to which contractual testing requirements were followed. Were approved laboratory and inspection standards utilized?

14. Compliance with Quality Assurance Program

Evaluate the degree to which the project adheres to the provisions of the Quality Assurance Program.

15. Timeliness and adequacy of correction of noted quality deficiencies

Evaluate the timeliness and adequacy of correction of noted quality deficiencies, e.g., were problems corrected right the first time after being noted, or were additional "reminders" necessary.

16. Overall Quality of Work

Consider all of the characteristics rated in items 8 through 15, evaluate the overall quality of work.

C. SCHEDULING

17. Adherence to contract schedule requirements

Evaluate the timeliness of schedule submission and evaluate the schedule for conformance with contract requirements. Is the schedule sufficiently detailed? If required, is the schedule cost- and/or resource-loaded?

18. Adherence to approved schedule

Evaluate the degree to which the contractor adhered to the approved project schedule.

19. Adequacy of staffing to meet schedule

Evaluate the extent to which the staff B both in terms of the amount of manpower and skill level -- was adequate to meet the needs of the project.

20. Availability of materials and equipment to meet schedule

Evaluate the availability of materials and equipment to meet schedule, e.g., did delays or disruption to the project schedule result from a shortage of the right materials on site at a given time.

21. Adequacy and timeliness of subcontractor/supplier submission for approval and award

Evaluate the extent to which decisions by the contractor with respect to subcontractor/supplier submission for approval and award were made in an efficient and timely manner. Were such decisions supportive of the approved schedule? Did the contractor collect and review pre-award vendor information as well as evaluate the subcontractor to assure the selection of a responsible vendor?

22. Progress/completion of project within contract duration/milestones

Evaluate whether the contractor completed work within contract milestones or were there schedule slippages not related to Agency-caused delays?

23. Overall Scheduling

Consider all of the characteristics rated in items 17 through 22, evaluate the overall scheduling.

D. MANAGEMENT

24. Responsiveness to Agency orders/directives

Evaluate the contractor’s responsiveness to Agency orders/directives. Was repeated correspondence (written or oral) required for a directive to be carried out or were orders acted upon expeditiously?

25. Timeliness and completeness of additional work/change order proposals

Evaluate the extent to which additional work order (AWO)/change order (CO) requests and/or proposals were submitted within the contractual time frame and, once submitted, were they complete and accurate or were additional submissions required to process the AWO/CO?

26. Efficient use/scheduling of Agency support personnel, services and resources

Evaluate the contractor’s effectiveness in utilizing Agency support personnel, services and other resources, such as force account personnel, flagmen, track/lane outages and Agency equipment. Were GO’s/track/lane outages utilized to their fullest? Were GO/track/lane outage requests submitted in a complete and timely fashion?

27. Coordination of work/subcontractor construction management

Evaluate the effectiveness of the contractor's overall management of the subcontractors. Was work among subs properly coordinated and sequenced or were there frequent scheduling and access difficulties among subs?

28. Timeliness in completing punchlist work

Evaluate the timeliness and efficiency with which punchlist work was performed. Was work performed on or ahead of schedule? Was work done right the first time, or were follow-ups necessary?

29. Timeliness of payment to subcontractors and suppliers and effect on progress of work

Evaluate whether the contractor generally made timely payments to subcontractors and suppliers and, if payments were late, was job progress impeded in any way?

30. Submission of Affirmative Action Documents

Evaluate whether applicable Affirmative Action documents including Monthly M/WBE Participation Reports (Form E and/or Form 15A.3) and Workforce Utilization Reports (e.g., WF 257) were submitted timely to the project manager, as required by contract.

31. Effectiveness of contractor's construction management team

Evaluate the overall effectiveness of the contractor’s construction management team. Did they generally make appropriate and timely decisions? Did they conduct themselves in a professional manner? Did they communicate clearly and in an honest manner? Did they anticipate and follow-up on issues effectively?

32. Overall Management

Consider all of the characteristics rated in items 24 through 31, evaluate the overall management.

E. OVERALL

33. Overall Contractor Performance

Consider all of the characteristics rated in the key indicators of performance, i.e., items 7, 16, 23 and 32, evaluate the contractor’s overall performance. If a contractor is rated "Unsatisfactory" in any one key indicator of performance, the overall performance evaluation may be unsatisfactory; if a contractor is rated "Unsatisfactory" in two or more key indicators of performance, the overall performance evaluation shall be unsatisfactory.

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