Phase IV - Pre-Construction

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VI-Retrospect

Introduction

This phase is referred to by KDOT as the Letting phase and has important legal significance. Legal advertisement with proper publication has to occur prior to a bid opening. KDOT requires contractor pre-qualifications and Contractor collusion evaluation for Federal funded projects. Bids are tabulated, evaluated and a City staff recommendation is prepared regarding the contract award for presentation to the City Council. If Federal funds are involved, the bids must receive KDOT concurrence prior to consideration by the City Council.

Task No. 1 - Complete Plans, Specifications and Estimate

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The Consultant/Project Manager shall make all final plan revisions, complete the specifications and prepare the final Engineer’s construction cost estimate. The City project team and consultant will determine what materials the contractor will be required to submit during the construction phase and who will be responsible for reviewing and approving the submittals.

A Stormwater Pollution and Prevention Plan (SWPPP) must be prepared when project disturbs more than 1 (one) acre. A SWPPP Template is available for assembling the SWPPP notebook.

See BLP Memo 03-12 Engineer's Professional Seal and Signature on Plans.

Task No. 2 - Selection of Material Testing Firm

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The Project Manager shall verify testing services for each project as required,prepare, and distribute RFPs to at least three qualified private material testing companies in accordance with the Resolution No. 4550.

Exhibit No. IV-2a is a list of materials testing / geotechnical service companies.

Exhibit No. IV-2b is a Notice to Construction Material Testing Firms (RFP).

Exhibit No. IV-2c is the material testing proposal instructions (Exhibit A).

Exhibit No. IV-2d is a sample of the material testing proposal (Exhibit B).

Exhibit No. IV-2e is the material and testing specifications (Exhibit C).

Exhibit No. IV-2f is the Material Sampling and Testing Frequency Chart (Exhibit D).

Exhibit No. IV-2g is the Agreement for Construction Material Testing Services.

Exhibit No. IV-2h is the Supplemental Agreement for Construction Material Testing Services.

Task No. 3 - Set Bid Opening Date - Schedule Room

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The Project Manager in conjunction with the Contract Specialist will determine the bid opening date. The Contract Specialist will schedule the Council Chambers for receiving bids. The bid opening time and location will be included in the legal publication.

The Project Manager shall determine if a pre-bid conference is required prior to preparing the notice to bidders. If one is required, it shall be scheduled approximately one week prior to the bid opening. The Notice to Bidders shall give this date as information to potential bidders and will serve as the invitation to this meeting. It shall be determined by the Project Manager whether attendance will be a requirement for submitting a bid.

See Planning Bid and Contract Award Schedules for the bidding/contract award process timeline.

Task No. 4 - Publish Legal Advertisement

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Generally, the project is advertised approximately 3 weeks prior to the scheduled bid opening. The Contract Specialist will provide the Notice to Bidders electronically to the City Clerk by 12:00 pm Thursday so arrangements can be made for publication in the Tuesday edition of the The Legal Record. The Contract Specialist shall check the newspaper on the day of scheduled publication to make sure the notice was published.

For KDOT projects, advertisement shall also be in the Kansas Register, 30 days prior to the scheduled bid opening. Kansas Register publications are released on Thursdays. The Notice to Bidders shall be emailed to the Kansas Register ([email protected]) one week prior to scheduled advertisement.

Task No. 5 - Notice to Contractors/DBE Firms

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The Contract Specialist/Administrative Assistant shall provide a copy of the Notice to Bidders either by email or regular mail to the firms in the Bidders List.

Exhibit No. IV-5a is a list of contractors for Street and Bridge projects.

Exhibit No. IV-5b is a list of contractors for Storm Sewer projects.

Exhibit No. IV-5c is a list of contractors for Sidewalk and Curb projects.

Exhibit No. IV-5d is a list of contractors for Streetlight projects.

Exhibit No. IV-5e is a list of contractors for Traffic Signal projects.

Exhibit No. IV-5f is a list of contractors for Traffic Signal, Streetlighting, and Fiber Equipment.

Exhibit No. IV-5g is a list of contractors for Fiber Optic projects.

Exhibit No. IV-5h is a list of contractors for Demolition projects.

Exhibit No. IV-5i is a list of contractors for Building projects.

Exhibit No. IV-5j is a list of contractors for Building Mechanical Systems projects.

Exhibit No. IV-5k is a list of Architects. (replace with current list when available)

Exhibit No. IV-5l is a list of plan rooms associated with DBE contractors. They are to receive a copy of the Notice to Bidders.

Task No. 6 - Distribute Plans, Contract Documents and Estimate

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The plans/contract documents shall be made available through QuestCDN for current rate set by QuestCDN. This information shall be included in the Notice to Bidders.

For projects that are bid using hard copy bids, plans/contract documents are distributed by the office that prepared the plans/contract documents to potential bidders. The Consultant/Project Manager shall establish a fair price for the plans/contract documents which amount shall not be refundable. This amount shall be included in the Notice to Bidders.

The plan holders list will be available through QuestCDN for projects that bid electronically. For hard copy bids, the Consultant or City who is distributing/selling the plans shall keep a list of all plan holders.

The final Engineer’s construction cost estimate shall be provided to the Contract Specialist in either Word or Excel format at least four days prior to the bid opening. This estimate shall also be printed and provided in sealed envelope for the bid opening.

Exhibit No. IV-6 is a template for Engineer’s Estimate.

Note: Engineer's Estimate shall be signed and stamped by the PE

After the City Council has awarded the Contract, the original estimate is forwarded to the City Clerk’s office and a copy placed in the project file.

Task No. 7 - Conduct Pre-Bid Conference

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If a pre-bid conference is scheduled by the Project Manager, an agenda shall be prepared and distributed at the beginning of the meeting.

Exhibit No. IV-7a is a sample Pre-Bid Conference Agenda.

Exhibit No. IV-7b is a meeting sign in sheet.

The following issues are appropriate to discuss:

• Project scope/requirements,
• Any unusual contract requirements,
• Any unusual work requirements,
• Utility related questions,
• Contract completion date,
• Traffic control plan(s), and
• Contractor/bidder questions.

The representatives from the utility companies shall be invited to the pre-bid conference.

Coordinate with Engineering Services for development projects permitted in the area.

Note: When scheduling meeting in Google calendar, in order to avoid conflicts with utility meetings, CH-PW Utilities (found under Rooms tab) shall be "invited" as an attendee to pre-bid conferences, pre-construction conferences or any meetings that require utility company attendance.

Task No. 8 - Determine Contractor/Sub-Contractor Qualifications - KDOT Projects

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For a KDOT project, the prime Contractor selected to perform the work, shall be on the KDOT's latest qualification list for class of work. The City shall obtain from the Bureau of Construction and Maintenance, KDOT, the latest list of Pre-Qualified Contractors to perform the class of work involved with the project. The directory can also be found on KDOT's Website.

For plans obtained through electronic bidding process, the Contract Specialist at the time the project is added to QuestCDN will answer YES to the Prequalification Required field. When a Contractor requests plans, the system will put them on hold until the Contract Specialist looks them up in the Pre-Qualified Contractors list. If it is determined that the contractor is qualified, the Contract Specialist marks them as APPROVED and notifies the contractor that they can now download plans. If the contractor is a sub-contractor, they will be allowed to download plans.

Exhibit No. IV-8 is an example of KDOT's Class or Classes of Work.

For a KDOT project, all contractors and sub-contractors working on any State/Federal-Aid project must have an EEO policy on file with the Office of Civil Rights Compliance. Each contractor and sub-contractor is responsible for submitting annually their company's EEO policy on their company letterhead, a letter of appointment of the company's EEO officer, and the DOT 1049 CFR Form. A contractor or sub-contractor with 50 or more employees shall have an Affirmative Action Plan.

The BLP PM will notify the City if a contractor does not have a policy on file. No contractors will be allowed to work on the project until the Office of Civil Rights Compliance verifies that they have a policy on file.

Contact KDOT's Office of Civil Rights Compliance with any questions (785-296-7940).

Task No. 9 - Prepare Contract Addendum

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The Consultant/Project Manager, as a result of the Pre-Bid Conference or other Contractor inquires/suggestions, may make final contract document changes, prior to the bid opening, by issuing an addendum. The addendum shall be prepared and provided electronically through QuestCDN to all plan holders of record. For federal-aid projects all addenda must be submitted to the Bureau of Local Projects for prior approval before being distributed to plan holders. See BLP Memo dated 6-17-2010.

Addenda will be issued no later than four days prior to the date for receipt of bids, except an addendum withdrawing the request for bids or one which includes postponement of the date to receive bids.

Exhibit No. IV-9 is a sample of contract addendum cover page.

The Davis Bacon Wage Determinations used for KDOT projects shall be those in effect no more than ten days prior to the letting. If modifications have been made since advertisement an addendum showing the current Wage Determinations shall be issued.

Task No. 10 - Complete Bid Opening

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One or two days prior to the bid opening date, the Contract Specialist will prepare a bid tabulation form.

If addenda to the contract documents have been issued by the Consultant/Project Manager, this must be indicated on the bid tab.

In accordance with state laws and regulations the bids are opened and read by the City Clerk and recorded by the Contract Specialist and at least one member of the City Clerk’s office.

Exhibit No. IV-10 is a sample bid summary form.

Task No. 11 - Complete Detailed Bid Tabulation

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Subsequent to the bid opening, the Contract Specialist shall prepare a detailed bid tabulation from the submitted bids on QuestCDN.

This detailed bid tabulation shall be in the same format as the contract document bid form. When a bid is entered on the QuestCDN site, the accuracy of the bid is checked and error messages are provided to the bidder prior to submitting their bid.

For hard copy bids, the Consultant/Project Engineer shall prepare a detailed bid tabulation from the submitted bids. This detailed bid tabulation shall be in the same format as the contract document bid form.The accuracy of the contractor's multiplication and addition shall be checked and confirmed, and any errors corrected/marked on the original bid proposal.

Bids for materials or equipment that include variances or exceptions will be reviewed by either the Project Manager or the appropriate Maintenance Superintendent to determine if the proposal meets the contract documents and specifications.

The Engineer’s estimate shall also be included on the bid tabulation.

The detailed bid tabulation on all projects is to remain confidential prior to acceptance by the City Council, then all information is public.

Exhibit No. IV-11 is a sample detailed bid tabulation.

Task No. 12 - Determine and Approve the Lowest and Best Qualified Contractor
and Subcontractor Percent of Work

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For non-KDOT projects, the Project Manager shall determine if the low bid Contractor has performed similar and satisfactory work for the City of Overland Park or other cities in the Kansas City Metro area. Critical Contractor information to be obtained is as follows:

• materials/products used tested satisfactory,
• contractor staking skills,
• pavement smoothness/rideability,
• punchlist items handled quickly/professionally,
• public relations skills,
• name of project superintendent capabilities/skills/years of experience/type of projects,
• work completed within contract time period,
• possible bid rigging,
• current projects underway,
• references for projects completed for public agencies in the Kansas City Metro area during the last two years, and
• list of available equipment.

Immediately after the bid opening the Project Manager shall prepare a Sub-contractor Breakdown Form and forward it to the apparent low bidder. The apparent low bidder shall complete the form showing all sub-contractors, if any, their address, associated bid item numbers, and bid item amount the sub-contractor is to perform.

LPA Sub-Contractor Approval Form - to be completed by the apparent low bidder, returned to the City, and forwarded to BLP. (KDOT Project)

Exhibit No. IV-12a is a Subcontractor Breakdown Form to be completed by the apparent low bidder. (Non-KDOT Project)

Note: The Project Engineer shall ensure this task is complete. The proposals shall be considered in accordance with Section 103.1 of KDOT's Standard Specifications for State Road and Bridge Construction. For KDOT Projects this task is tracked by KDOT.

After the bids have been opened the Project Manager sends a letter/form to the DBE subcontractor(s) requesting commitment in writing.

Exhibit No. IV-12b is a sample letter/form to DBE subcontractor(s) to sign and return.

For additional requirements on KDOT projects refer to Section 10.3.2.4.6.2, Chapter 10.0 LPA-Administered Procedures of KDOT's LPA Project Development Manual.

Task No. 13 - Evaluate Possible Contractor Collusion

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The Project Manager shall perform a manual review of all bids received for evidence of collusion. Due to the frequency of specific project work, the Engineering Staff has become well-informed as to the current market value of specific bid items of work within the Johnson County area.

The City Engineering Staff also maintains itemized records of all bids received and opened for each project. This permits a regular routine comparison by the City Engineering Staff for potential bid rigging by Contractors.

For Bid Analysis Guidelines refer to Section 10.3.2.4.6.1, Chapter 10.0 LPA-Administered Procedures of KDOT's LPA Project Development Manual. .

The following is a link to the Department of Justice, Antitrust Division Red Flags of Collusion Checklist.

The following is a link to a FHWA Guidelines on Preparing Engineer's Estimate, Bid Reviews and Evaluation

Task No. 14 - Determine Disadvantaged Business Enterprises (DBE) Involvement

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For KDOT projects the Project Manager shall email all DBE goal sheets with a bid tab of all bidders to KDOT's Civil Rights Administrator (CRA) assigned to the project. The CRA will review and provide a recommendation on how to proceed. If the DBE goal is not met or exceeded, the apparent low bidder has 48 hours to provide the CRA its written documentation of a good faith effort to meet the DBE goals prior to submitting their bid. If the good faith effort documentation is accepted, the contract process can proceed. If it is not accepted, then the second low bidder will be reviewed for compliance.

Exhibit No. IV-14 is an example of a completed DBE Contract Goals form.

The project manager is also to verify that every DBE listed by each bidder is currently certified by KDOT. The DBE certification directory is updated monthly by KDOT. The Project Manager shall contact the Office of Contract Compliance, Eisenhower State Office Building, Topeka, KS, (785) 296-7940 for the latest updated listing of DBE firms. The directory can also be found on KDOT's Website and should be verified as current revision with the Office of Contract Compliance.

Note: DBE involvement is documented and reported throughout the contract. Exhibit No. IV-14a is correspondence from KDOT regarding DBE Reporting Requirements. These requirements appear in subsequent tasks throughout the manual.

Task No. 15 - Project Financing / Escrow Funding

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Throughout the duration of the project and as part of the CIP revision process, the Project Manager shall verify if additional escrow funds become available and that they are allocated appropriately.

Task No. 16 - Request Bid Approval from KDOT

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The Project Manager shall forward to the BLP-KDOT the bid tabulation and staff recommendation for contract award.

Exhibit No. IV-16a is a sample transmittal letter to BLP-KDOT.

Exhibit No. IV-16b is a Checklist for Authority to Award.

Exhibit No. IV-16c is a sample form "Authority to Award Contract/Commitment of Federal/State Funds".

Task No. 17 - Receive Concurrence and Award from KDOT

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The BLP-KDOT shall inform the City, in writing, upon concurrence with the City Staff recommendation regarding the contract award.

The construction contract shall not be presented to the City Council and executed prior to receiving Authority to Award from KDOT.

Note: The Project Engineer shall ensure this task is complete.

Task No. 18 - Submit Staff Recommendation for Contract Award

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The Project Manager shall make a written recommendation via staff comments, to the Public Works Committee. If all bids exceed the Engineer’s estimate by more than seven percent, an explanation from the Consulting Engineer must also be provided. The Project Manager shall submit the bid tabulation and recommendation to the Public Works Committee. The Committee recommendation will then be provided to the City Council at their next scheduled meeting.

Note: If the total estimated project cost exceeds the City Council Resolution creating the Improvement District (Project), by more than 10%, the ID must be recreated.

Exhibit No. IV-18 is a sample staff project cost estimate breakdown.

Refer to City Charter Ordinance No. 71 for additional information.

Task No. 19 - Award Contract by City Council

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The City Council will either accept the recommendation or reject all bids or proposals received. Upon acceptance, a notice of the contract award is sent to the successful bidder and a notice of rejection is sent to the unsuccessful bidders. Following receipt of the contract documents and approval of the insurance and bonds by the Contract Specialist, the contract is executed by the authorized official.

Exhibit No. IV-19a is a sample award letter sent to the successful bidder.

Exhibit No. IV-19b is a sample rejection letter sent to the unsuccessful bidders.

Task No. 20 - Submit Letting Summary Document to KDOT

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Upon completion of the Letting Phase, the City will provide BLP-KDOT with a “Letting Summary Document” that certifies the letting process has been completed and the contract has been awarded in accordance with the requirements of this Project Procedures Manual, as well as Chapter 10.0 LPA-Administered Procedures of KDOT's LPA Project Development Manual, and Sections 102, 103 and 104 of the KDOT's Standard Specifications for State Road and Bridge Construction. This document shall be submitted to the Project Development Engineer within one month after receiving the Authority to Award document.

In addition, a signed and electronically bookmarked copy of the contract with all required certifications will be submitted to KDOT at this time. A breakout of the project construction costs (Bid Item List) by work type (i.e., roadway, surfacing, bridges,traffic signals, and common items) and with non-participating items marked as such, shall be submitted to BLP at this time. This needs to be as Excel spreadsheet using formulas in the total column (do not hard key the numbers).

Exhibit No. IV-20a is a sample transmittal letter to KDOT.

Exhibit No. IV-20b is a sample of Letting Summary Document.

Exhibit No. IV-20c is a sample of Breakout of Construction Costs by Work Type.

Note: This task is tracked by KDOT. The Project Engineer shall ensure this task is complete.