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-qualificiations 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

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 submittals 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 by the project team. See SWPPP Template for assembling the SWPPP notebook.

Project Manager will coordinate with Stormwater Section for LDP application process. See Land Disturbace Permit Application. See sample of a City's Land Disturbance Permit.

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

Exhibit No. IV-1a is a contractor submittals checklist.

Exhibit No. IV-1b is an approved products listing for signals, street lighting, fiber optics, ITS, traffic control, pavement marking and signing.

Task No. 2 - Distribute Material Testing Proposals

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The Project Manager shall prepare and distribute RFPs to at least three qualified private material testing companies.

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

Exhibit No. IV-2b is a sample RFP transmittal letter to material testing companies.

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

Exhibit No. IV-2d is the material testing proposal (Exhibit B). (word version)

Exhibit No. IV-2d is the material testing proposal (Exhibit B). (excel version)

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. Consideration of publishing the legal advertisement(s) (see Task No. IV-4) will be taken into consideration. The Contract Specialist will schedule a room for receiving bids. The room 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.

Also See: Guidance for Planning Bid and Contract Award Schedules

Task No. 4 - Publish Legal Advertisement

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Generally, the project shall be advertised approximately 3 weeks prior to the scheduled bid opening for construction projects and 12 days for equipment and material bids. The Project Manager is to provide the Contract Specialist the notice to bidders electronically by 3:00 pm Friday so they can arrange for publication in the Wednesday edition of the Overland Park Sun newspaper. The Contract Specialist shall check the newspaper on the day of scheduled publication to make sure the notice was published.

Exhibit No. IV-4a is a sample transmittal memorandum to the City Clerk's office.

Exhibit No. IV-4b is a sample Notice to Bidders.

Exhibit No. IV-4c is a sample legal publication affidavit for the Johnson County Sun and Kansas Register.

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 received by the Kansas Register one week prior to scheduled advertisement.

The Notice shall be e-mailed to: [email protected]

Office of the Secretary of State

Attn: Nancy Reddy

Memorial Hall, 1st Floor

120 SW 10th Avenue

Topeka, KS 66612-1594

785-296-3489

785-291-3051 (fax)

Exhibit No. IV-4d is a sample e-mail cover sheet to the Office of the Secretary of State. (Kansas Register)

Task No. 5 - Notice to Contractor’s/DBE Firms

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The Consultant/Administrative Assistant shall mail to specialty contractors and DBE firms the Notice to Bidders.

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 Demolition projects.

Exhibit No. IV-5g is a list of plan rooms associated with DBE contractors. They are to receive, without cost, a copy of the plans and specifications.

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

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The plans/contract documents shall be 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 as well as the not refundable statement.

The Consultant or City who is distributing/selling the plans shall assign a person to record all plan holders.

Plans and Contract Documents shall be provided free to the plan rooms as listed on Exhibit IV-5g.

The final Engineer’s construction cost estimate shall be forwarded to the Contract Specialist one day prior to the bid opening. This estimate shall be notarized and sealed in an envelope.

Exhibit No. IV-6 is a sample Engineer’s construction cost estimate.

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. The following issues are appropriate to discuss:

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

Exhibit No. II-9d is a meeting sign in sheet.

• Project scope/requirements,

• Any unusual contract requirements,

• Any unusual work requirements,

• Contract completion date,

• Traffic control plan(s), and

• Contractor/bidder questions.

Note: In an effort to avoid scheduling conflicts with other called utility meetings an Outlook calendar has been created called PW Utilities. PW Utilities shall be invited as an attendee to all utility meetings, pre-bid conferences and pre-construction conferences or any meeting requesting utility company attendance.

Task No. 8 - Determine Contractor Pre-Qualifications

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The Consultant/Project Manager shall determine if the Contractor requesting plans is qualified to perform the work. For a KDOT project, the Contractor selected to perform the work shall be on KDOT’s latest qualification list for the class of work. One week prior to the legal advertisement date, the Project Manager 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 at http://www.ksdot.org/hwycont.asp. If the Contractor requesting plans is not on KDOT's contractor qualification list, plans will not be issued by the City. Exhibit No. IV-8 is an example of KDOT's Class or Classes of Work.

Task No. 9 - Prepare Contract Document/Addendum

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The Consultant/Project Manager, as a result of the Pre-Bid Conference or other Contractor inquires/suggestions, make final contract document changes, prior to the bid opening, by issuing an addendum. The addendum shall be prepared and communicated/faxed to all plan holders of record. 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 transmittal letter and addendum.

For KDOT projects the Wage Determinations shall be recheck for modifications ten days prior to bid opening. If modifications have been made since advertisement an addendum showing the current Wage Determinations shall be issued. See http://www.ksdot.org/burconsmain/ppreq/wagedet.asp.

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. The bids are opened 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 tabulation form.

Task No. 11 - Complete Detailed Bid Tabulation

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Subsequent to the bid opening and prior to the scheduled City Council Award of contract, the Consultant/Project Engineer shall prepare a detailed bid tabulation from the submitted contractors bid proposals. 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, any errors will be corrected/marked on the original bid proposal. Contractor's and/or Vendor's proposals 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 Engineer's estimate on all projects is to remain confidential prior to bid opening, 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 Sub-Contractor 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 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.

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

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

Note: For KDOT Projects this task is tracked by KDOT see Exhibit No. II-16. The Project Engineer shall ensure this task is complete.

Task No. 13 - Determine Disadvantaged Business Enterprises (DBE) Involvement

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For KDOT projects the Project Manager shall send via fax all DBE goal sheets with a bid tab of all bidders to KDOT's External Civil Rights Administrator (ECRA), FAX (785)296-0723. The ECRA 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 ECRA 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. See original BLP Memo 04-07 - Procedures for DBE Involvement. Exhibit No. IV-13 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 External EEO Section, Office of Engineering Support, Docking State Office Building, Topeka, KS, (785) 296-7940 for the latest updated listing of DBE firms. The directory can also be found at http://www.ksdot.org/divadmin/civilrights and should be verified as current revision with External EEO Section.

Note: DBE involvement is documented and reported throughout the contract. Exhibit No. IV-13a is correspondence from KDOT regarding DBE Reporting Requirements. These requirements appear in subsequent tasks throughout the manual.

Task No. 14 - 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.

The following is a link to a FHWA Technical Report and shall be used as a guide when evaluating possible contractor collusion. Suggestions for the Detection and Prevention of Construction Contract Bid Rigging

Task No. 15 - Obtain Project Temporary Financing

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Prior to Contract award by the City Council, the Project Manager shall provide the Finance Department a project cost breakdown as shown in Exhibit No. IV-16c. The Funding Source(s) and Summary may be obtained from the Capital Improvements Program and executed agency agreements. The Project Manager shall determine the amount, if any, of funds which were escrowed for the construction of this project. If funds have been escrowed, the Project Manager shall write a memo to the Finance Department identifying the specific escrow funds which should be transferred to the project account.

Exhibit No. IV-15a is a template for creating the escrow memo.

Task No. 16 - Submit Staff Recommendation for Contract Award

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The Consultant/Project Manager shall make a written recommendation to the Department Director for consideration by the City Council. This correspondence shall provide an estimated project cost breakdown by category. If all bids exceed the Engineer’s estimate by more than seven percent, a written explanation must accompany the recommendation.

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

Exhibit No. IV-16a is City Charter Ordinance No. 71.

Exhibit No. IV-16b is a sample project cost memo.

Exhibit No. IV-16c is a sample staff project cost estimate breakdown.

Task No. 17 - Award Contract by City Council

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Subsequent to receiving staff written recommendation, the Department Director will schedule the bid tabulation for City Council consideration. The City Council will award the contract to the lowest responsible and qualified bidder. After the completion of the procurement evaluations, the City Council awards the contract or rejects all bids or proposals received. Notice of the contract award is sent to the successful bidder or proposer and notice of rejection is sent to the unsuccessful bidders or proposers. These notices are sent out within 48 hours, unless there are extenuating circumstances, after City Council award of the contract. Following receipt and approval of the insurance, bonds, and other required submittals, the contract is executed by the authorized official.

See Land Disturbance Permit Process as it pertains to issuing the LDP once the Contractor has been selected.

Exhibit No. II-25d is an application for a Land Disturbance Permit.

For KDOT projects, the bid tabulations will be forwarded to BLP-KDOT for review and concurrence prior to being considered by the City Council. Upon KDOT approval (refer to Task 18 and 19) the City Council will award the contract to the lowest responsible and qualified bidder.

Exhibit No. IV-17a is a sample award letter sent to the successful bidder.

Exhibit No. IV-17b is a sample rejection letter sent to the unsuccessful bidders.

After the contract has been approved by KDOT and awarded by the City Council the Project Manager sends a letter/form to the DBE subcontractor(s) requesting commitment in writing. Project Manager also sends a DBE Payment Affidavit form to be completed each month by the DBE Contractor (see Phase V, Task 14).

Exhibit No. IV-17c is a sample letter/form to DBE subcontractor(s) to sign and return.

Exhibit No. V-14b is a DOT Form 1008: DBE Payment Affidavit.

After the contract has been awarded by KDOT and the City Council the Project Manager sends a letter to the prime contractor requesting a copy of each signed DBE subcontract.

Exhibit No. IV-17d is a sample transmittal letter to prime contractor requesting a copy of each signed DBE subcontract.

For KDOT projects, the bid tabulations will be forwarded to BLP-KDOT for review and concurrence prior to being considered by the City Council (see Phase IV, Task 18 and Phase IV, Task 19).

Task No. 18 - Receive 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. The City cannot award a contract until KDOT has reviewed and approved the results of the bid tabulations. Exhibit No. IV-18a is a sample transmittal letter to BLP-KDOT.

Exhibit No. IV-18b is a sample form "Authority to Award Contract/Commitment of Federal/State Funds".

Task No. 19 - 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. Exhibit No. IV-19 is an example of an executed "Authority to Award Contract/Commitment of Federal/State Funds".

Note: This task is tracked by KDOT see Exhibit No. II-16. The Project Engineer shall ensure this task is complete.

Task No. 20 - Submit Letting Summary Document to KDOT

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Upon completion of the bidding phase, the City will provide BLP-KDOT with a “Letting Summary Document” along with a breakout of construction costs by work type for participating and non-participating items. The electronic version of the bid tab, broken out by construction type, along with a hard copy shall be sent with the Letting Summary Document. Exhibit No. IV-20a is a sample transmittal letter to KDOT.

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

Exhibit No. IV-20c is a sample "Breakout of Construction Costs by Work Type". (submit to KDOT electronically and hard copy)

Exhibit No. IV-20d is correspondence from KDOT regarding Breakout of Construction Costs.

Note: This task is tracked by KDOT see Exhibit No. II-16. The Project Engineer shall ensure this task is complete.