Phase III - Final Design
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Introduction
During this phase-plans, specifications and contract documents are finalized. Condemnation, if required to obtain R/W or easements, is completed.
Utility relocations, that are practical and reasonable to accomplish, occurs during this phase, prior to beginning construction. Environmental studies/concerns are addressed and resolved. Also, other agency approvals are received subsequent to final plan review. |
Phase III Checklist
Task No. 1 - Schedule Third Utility Meeting
When the plans are approximately 80 percent complete or at the stage where the horizontal and vertical alignments and the storm sewer profiles have been approved, the third utility meeting will be scheduled by the Consultant/Project Manager. A pre-meeting agenda shall be distributed and meeting minutes prepared.
See Phase II, Task No. 7 for exhibits.
The primary purpose of this meeting is to confirm what utilities need to be relocated, and establish if the facility is located in public R/W / easements or private easements. Determine whether KCPL streetlights are to be removed and replaced with City streetlights. Also, the project schedule will be reviewed and a time frame for relocating utility facilities will be addressed. If utilities requiring relocation are in private easements the project manager shall request relocation plans, a detailed cost estimate of relocations, a relocation schedule, a marked-up set of plan sheets highlighting existing utility locations, existing easement locations with book and page, and copies of easement documents.
- Exhibit No. III-1 Utility Relocation Plan Submission Requirements.
- Exhibit No. II-7a Utility Relocation Guidelines.
If KCP&L streetlights are to be removed, prepare a letter to KCP&L requesting a work request number, invoice indicating the associated removal costs, a streetlight disconnect order and a construction drawing. This is generally only applicable to Residential Street projects, CDBG projects and Streetlighting projects.
- Exhibit No. III-1a is the Leased Streetlighting Removal Procedure
- Exhibit No. III-1b is a sample letter to KCP&L requesting the removal of leased streetlights
- Exhibit No. III-1c is a sample work request cover letter from KCP&L
- Exhibit No. III-1d is a sample Invoice from KCP&L
- Exhibit No. III-1e is a sample Streetlighting Disconnect Order from KCP&L
- Exhibit No. III-1f is a sample Construction Drawing from KCP&L
- Exhibit No. III-1g is a sample City staff letter to KCP&L approving the work requst and releasing the work to construction
Task No. 2 - Execute Utility Agreements
If documentation is confirmed that utilities to be relocated are in private easements, the Project Manager shall receive the agreement, forward to the law department for review/approval and Public Works Director approval.
Note: The City does not pay for utility relocations in platted public easements. |
- Exhibit No. III-2a is a sample utility agreement for KCPL
- Exhibit No. III-2b is a sample utility agreement for Water District No. 1 of Johnson County
- Exhibit No. III-2c is a sample utility agreement for Atmos Energy Corporation
- Exhibit No. III-2d is a sample utility agreement for Magellan Pipeline Company
- Exhibit No. III-2e is a sample sanitary sewer line crossing agreement
- Exhibit No. III-2f is a relocation agreement for Kansas Gas Service.
Task No. 3 - Complete Environmental Process
Once the City receives The Status of Project Environment Concerns (Final) from KDOT's Environmental Services Section the City shall obtain all required environmental permits. All environmental permit applications, correspondence and issued permits shall be packaged together in the project files for easy retrieval. Environmental Permits required to be on site during construction.
A Storm Water Pollution and Prevention Plan (SWPPP) must be prepared by the project team. All permits, environmental or otherwise, obtained by the contractor shall be packaged together in SWPPP booklet and shall be on site at all times once construction begins.
See SWPPP Template for assembling the SWPPP notebook.
Task No. 4 - Complete NEPA Documentation
The preliminary Environmental Classification deemed appropriate in accordance with 23CFR771 will be indicated on the KDOT Form 883. As the project design proceeds, more information becomes available that may, in some cases, cause a revision in the Environmental Classification of the project. Final determination of the environmental class will determine the type of documentation that will be required for the project.
If an Environmental Impact Statement or an Environmental Assessment is determined to be the appropriate document, it will be the responsibility of the City and its consultant to prepare the document with coordination from KDOT and FHWA.
If the project is determined to be a categorical excusion, the Design Summary Document transmitted by KDOT will be the documentation. KDOT will prepare the Design Summary Document for FHWA concurrence. Once concurrence is received from FHWA, the PDE will forward to the City.
Task No. 5 - Begin Right-of-Way / Easement Negotiations
Subsequent to receiving the appraisal report/estimate of just compensation, the Project Manager will begin the negotiation process.
See FHWA's Real Estate Acquisition Guide For Local Public Agencies for information that will be necessary when a project is started that requires the acquisition of real estate and receives any Federal funding.
For KDOT projects, the process shall be in accordance with BLP Memo 92-15, BLP Memo 97-1 and BLP Memo 06-01. When federal funding is involved KDOT's Design Summary Document and environmental approval from FHWA must be received from KDOT BLP prior to proceeding with right-of-way negotiations.
Engineering (development of property descriptions and deeds) and appraisal of tracts to be acquired on a project may begin at any time after the limits of the project's right-of-way needs has been established. These efforts should begin early enough in the project development process to allow sufficient time for acquisition and , if necessary, eminent domain procedures. Negotiations with the property owners and offer of compensation should not occur until completion of NEPA documentation since changes in the project design may become necessary as a result of the NEPA process.
No right-of-way acquisition mat begin until after Section 4(f), Section 6(f), or Section 106 activities have been completed. BLP will transmit a copy of the FHWA concurrence in the NEPA document and copies of the appropriate ROW forms when the NEPA review has been completed. Early acquisition (acquisition prior to completion of the NEPA document) may be approved for individual properties when it is determined to be in the public's and/or property owner's best interest. A written request for early acquisition shall be submitted to BLP that identifies the specific property and includes an explanation of why early acquisition as being requested.
- BLP Memo 92-15 describes R/W Acquisition Policies with the following attachments/information:
- Procedures for R/W Acquisition on simple projects;
- Certification of Real Property Acquisition procedures;
- City offer to purchase Statement of Compensation;
- Partial donation of R/W;
- Donation of R/W;
- Value Finding Appraisal;
- BLP Memo 97-1 for tracts less than $7500, with attachment.
For additional information see "Real Property Acquisition for Kansas Highways, Roads, Streets and Bridges".
For Federal Regulations regarding Relocation Assistance and Real Property Acqusition see 49CFR24.
- Exhibit No. III-5a is the Real Property Acquisition Checklist.
- Exhibit No. III-5b is a sample log of owner contact. A log of owner contact should be kept for each owner.
- Exhibit No. III-5c is the City's standard Mortgage Release for Individuals.
- Exhibit No. III-5d is the City's standard Mortgage Release for Corporations.
- Exhibit No. II-32h is a copy of Appraisal Review form.
The City's standard Easement Acquisition Agreement will be completed along with the negotiated right-of-way and easement documents.
For more information see Chapter 6.0 Right of Way of KDOT's LPA Project Development Manual.
Task No. 6 - Begin Condemnation Process
For tracts that cannot be purchased by negotiation, the Law Department shall file documents to begin the condemnation procedure.
For Public Works employees responsibilities in the condemnation process see Steps in the Eminent Domain Process Involving Public Works.
- Exhibit No. III-6a is an example transmittal memo to the City Clerk for filing of the condemnation documents.
Task No. 7 - Complete Condemnation Process
After the appraiser’s report is filed and the Finance Department issues the check to the District Court, the Contractor can use the R/W and Easements. For property owners inquiries about condemnation award distributions, the "award" can be collected from the Clerk of the District Court of Johnson County.
Task No. 8 - Acquire Right-of-Way / Easements - Submit KDOT Forms 1306 and 1304
For KDOT projects, Form 1306 and Form 1304 are required.
KDOT Form 1306 is Certification By the City to the Kansas Department of Transportation of Real Property Acquisition Procedures and Utility Arrangements. (KDOT Form 1306 combines and replaces KDOT Forms 1303 and 1303A).
Note: Form No. 1306 must be completed and returned to BLP on all projects even if no rights of way are being acquired. |
- Exhibit No. III-8a is a memo from the U.S. Department of Transportation regarding Status of Utility and Railroad Agreements and Adjustments.
- Exhibit No. III-8b is KDOT Memo B.R.U.D. 84-10 regarding Status of Utility and Railroad Agreements and Adjustments.
- Exhibit No. III-8c is KDOT Form 1304 - List of Utilities & Status of Same. (example template)
Note: All utilities from Phase II task 7 should be considered when completing Form 1304. |
Task No. 9 - Submit Final Plans for Review
The Consultant/Project Engineer shall complete the project plans and make distribution to the appropriate persons.
The Project Manager will send one set of plans to the Maintenance Division District in which the project is located. The plans will go to the appropriate functional Supervisor using the Maintenance Plan Review Memo. See Maintenance Plan Review Process for more information.
The Project Manager will send one set of plans to the Stormwater Section. The Erosion and Sediment Control Plan Review Checklist will be used as a review aid for erosion and sediment control plans.
For projects containing CARS funding plans and specifications must be submitted to the Johnson County Director of Infrastructure for review and comment.
- Exhibit No. III-7a is a letter from CARS accepting plans along with additional information and requirements prior to advertising project.
For KDOT projects the electronic final plans shall be submitted to the BLP.
Note: For the instructions on submitting E-Plans to BLP see the following:
User Guide for Electronic Plans Review; Specifications for Electronic Plans Submittal; FTP Instructions. |
- See BLP Memo 03-12 Engineer's Professional Seal and Signature on Plans.
- See BLP Memo 06-06 for a list of information that is to be submitted with the PS&E. The items shown in BLP Memo 06-06 are only required to be submitted if the project is administered (Let) by the Bureau of Local Projects. In most cases projects are administered by the City and the items shown in the above memo need not be submitted.
- See BLP Memo 10-08, All project related state and/or federal permits must be submitted and Form 1307 completed prior to submittal of final check plans.
Task No. 10 - Submit Specifications and Special Provisions
The Consultant/Project Engineer shall complete the Specifications and Special Provisions to the specifications that are applicable and necessary for the project.
Project specifications are prepared using MakeSpec New Project.dot in Microsoft Word. For complete instructions on installing and using MakeSpec see
Using MakeSpec - Consultant Instructions
- Exhibit No. III-10a is a sample of City Specifications for a street project.
Note: See http://www.ksdot.org/burConsMain/specprov/07default.asp to access KDOT Special Provisions web page. The latest applicable Special Provisions are to be printed and included in the contract documents. |
- Exhibit No. III-10c List of proprietary items for Traffic Signals and Street Lighting to be used in the preparation of plans and specifications.
Specifications for a proposed CARS project must be submitted to the Johnson County Director of Infrastructure for review and comment. The specifications are to be submitted with the final plans. See Phase III, Task No. 9.
Task No. 11 - Submit Contract Documents and Insurance
The Consultant/Project Engineer shall complete the Contract Documents and determine from the insurance options, the required insurance coverage for the project. For KDOT projects, when applicable, Contractor will provide Railroad Protection Liability Insurance for work on railroad RAV and Pollution Liability Insurance for Lead Based Paint removal projects.
All federal-aid projects are subject to legislative and regulatory DBE requirements. During this task the appropriate DBE Goal for the project will be established. Prior to advertisement, a detailed estimate shall be submitted to the BLP for coordination with KDOT's Office of Civil Rights to determine the DBE Goal. Once the Project Development Engineer receives the DBE Goal, the City will be notified so that the DBE Goal may be updated in the proposal. The DBE Contract Goal amount established by the External Civil Rights Administrator (ECRA) shall be shown on the DBE Contract Goals sheet (07-19-80-R11) and included in the contract documents.
Preparation of Construction Bid Documents (wiki page)
Planning Bid and Contract Award Schedules
City's Standard Contract Documents (for Contracts Under $50,000)
- Exhibit No. III-11-1 Agreement
- Exhibit No. III-11-2 Proposal
- Exhibit No. III-11-3 General Conditions
- Exhibit No. III-11-4a Instructions for Proposal - Option A
- Exhibit No. III-11-4b Instructions for Proposal - Option B
- Exhibit No. III-11-4c Instructions for Proposal - Option C
- Exhibit No. III-11-5 Labor and Material Payment Bond
- Exhibit No. III-11-6 Performance Bond
- Exhibit No. III-11-6a Maintenance Bond
- Exhibit No. III-11-7 Table of Contents
- Exhibit No. III-11-8 Appointment of Service Agent
- Exhibit No. III-11-9 List of Utilities & Status of Same
City's Standard Contract Documents (for Contracts Over $50,000)
- Exhibit No. III-11a-1 Agreement
- Exhibit No. III-11a-2 Bid
- Exhibit No. III-11a-2a Bid (KDOT Projects)
- Exhibit No. III-11a-2b Bid (CDBG Projects)
- Exhibit No. III-11a-3 General Conditions
- Exhibit No. III-11a-4a Instructions to Bidders - Option A
- Exhibit No. III-11a-4b Instructions to Bidders - Option B
- Exhibit No. III-11a-4c Instructions to Bidders - Option C
- Exhibit No. III-11a-5 Insurance Options
- Exhibit No. III-11a-6 Notice to Bidders
- Exhibit No. III-11a-6a Notice to Bidders (KDOT Projects)
- Exhibit No. III-11a-6b Notice to Bidders (CDBG Projects)
- Exhibit No. III-11a-7 Labor and Material Payment Bond
- Exhibit No. III-11a-8 Performance Bond
- Exhibit No. III-11a-8a Maintenance Bond
- Exhibit No. III-11a-9 Statutory Bond
- Exhibit No. III-11a-10 Table of Contents
- Exhibit No. III-11a-10a Table of Contents (KDOT Projects Only)
- Exhibit No. III-11a-10b Table of Contents (CDBG Projects Only)
- Exhibit No. III-11a-11 Appointment of Service Agent
- Exhibit No. III-11a-12 List of Utilities & Status of Same
For CDBG projects, the City’s Standard Contract Documents shall be supplemented with the following:
Note: The list of current Wage Determinations is to be obtained from KDOT and inserted into the Contract Documents just before advertisement of the project. The Wage Determinations shall be rechecked for modifications ten (10) days prior to bid opening. If modifications have been made since advertisement, an addendum showing the current Wage Determinations shall be issued. If a contract has been awarded but construction has not yet begun within 90 days of the award, the City must determine if any modifications have been issued to the wage decision. If so, a Change Order shall be prepared in order that the contractor adhere to the modified wage decision. See http://www.ksdot.org/burconsmain/ppreq/wagedet.asp |
- Department of Labor Payroll Form (WH-347) and Instructions for Completing form WH-347 U.S. Department of Labor Web Link.
- Statement of Compliance, Form WH-348;
- Record of Employee Interview (Form HUD-11)
- Notice To All Employees;
- Standards of Conduct;
- CDBG Checklist Prior to Contract Award. (Do not insert in the contract documents -- it is for staff use only).
- Conflict of Interest Certification. (Do not insert in the contract documents -- it is for staff use only).
For KDOT (Federally Funded) projects, the City’s Standard Contract Documents shall be supplemented with the following required contract provisions:
- 08-10-66-R05 - Certification - Noncollusion and History of Debarment;
- 04-26-90-R04 - Limitations on Use of Federal Funds for Lobbying;
- 07-19-80-R12 - DBE Contract Goals;
- 01-01-11 - Tax Clearance Certificate;
- 11-03-80-R09 - Requirement for Affirmative Action to Ensure EEO;
- 09-06-94-R01 - Notice to Contractors - U.S. Department of Transportation Hotline;
- 07-01004 - Sales Tax Exemption, KDOT Web Link;
- 02-01-95-R02 - Area Practice For Johnson County Kansas;
- 11-15-96-R05 - Specific Equal Employment Opportunity Contractual Requirement;
- KS20100010 - Federal Wage Rates General Decision;Prevailing Wages for Johnson County;
- FHWA-1273 - Federal-Aid Construction Contracts;
- 07-18-80-R27 - Federal Aid Contracts Utilization of Disadvantaged Businesses;
- 07-PS0303-R1 - Revision to 07-18-80-R27;
- 3-10-06-R01 - Federal Aid Contracts Utilization of Disadvantaged Businesses Suppliers/Regular Dealers;
- WH-347 - Department of Labor Payroll Form, U.S. Department of Labor Web Link
- Instructions for Completing WH-347, U.S. Department of Labor Web Link
- 07-01002 - Information to Contractors as to Status of Utilities, KDOT Web Link;
- Form 1304 - List of Utilities & Status of Same, KDOT Web Link (also see Phase III, Task No. 8);
- 01-21-11 - "Buy America" Materials. See BLP Memo 10-4 for a summary of requirements on federal-aid projects.
Note: The list of current Wage Determinations is to be obtained from KDOT and inserted into the Contract Documents just before advertisement of the project. The Wage Determinations shall be rechecked 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 |
The above described supplemental documents/certifications shall be placed in the Contract Documents after the Bid sheets. A majority of the above documents can be found at: http://www.ksdot.org/burConsMain/specprov/2007/pdf/07-required.pdf. The others can be found by following the web link next to the document in the list.
Task No. 12 - Prepare Engineer’s Cost Estimate
The Consultant/Project Manager shall prepare the Engineer’s Cost Estimate.
Note: Engineer's Estimate shall be signed and stamped be the PE |
- Exhibit No. III-12 is an example of signed Engineer's Cost Estimate
Task No. 13 - Prepare Design Summary Document
The Design Summary Document must include the Engineer's Cost Estimate and the proposed DBE goal so that KDOT can review it before the project is let. The project cannot be obligated (funded) until the Design Summary Document is completed. In addition, the project cannot be advertised until the project has been obligated by KDOT. The Design Summary Document should be included as an attachment to the Request Obligation of Funds in Phase III, Task No. 14.
- Exhibit No. III-13a is the KDOT "Design Summary Document" form.
- Exhibit No. III-13b is an example of a completed KDOT "Design Summary Document".
Task No. 14 - Submit PS&E Package
The City will submit to the BLP all necessary documentation for the Plans, Specifications and Estimate (PS&E) approval. As a minimum, this documentation will include completed plans, project specifications and bid documents, engineer's estimate of probable cost, KDOT Forms 1306, 1304 and 1307, and the Design Summary Document certifying compliance with appropriate criteria. This shall all be submitted to the Project Development Engineer electronically via the FTP site. (See FTP Instructions).
PS&E documents shall be submitted a minimum 30 days prior to desired advertisement date.
- Exhibit No. III-14 is an example letter requesting Obligation of Funds.
Task No. 15 - PS&E Review
Upon receipt of the PS&E package, BLP will review the documents to confirm that the project complies with federal aid eligibility requirements.
The Forms 1306 and 1304 will be distributed to the Local Liason in BLP for processing.
The construction cost estimate will be distributed to the Program Consultant in KDOT's Office of Civil Rights to determine the DBE Goal. Once the Project Development Engineer receives the DBE Goal, the City will be notified so that the DBE Goal may be updated in the proposal. See Phase III, Task No. 11 for additional information regarding coordination of a DBE Goal.
The Project Development Engineer will review the City's documents to verify that all required specifications are included. For a current list of federally-required specifications go to: http://www.ksdot.org/burconsmain/specprov/2007/pdf/07-required.pdf
The bid items on the plans and the bid documents will be compared with the estimate for accuracy.
The Project Development Engineer will contact the City for any clarification or modifications needed to the plans or other submitted documents.
Task No. 16 - Schedule Fourth Utility Meeting
Subsequent to completing plans, Specifications and Contract Documents, the Consultant/Project Manager shall schedule the fourth utility meeting. The primary purpose of this meeting is to receive a status report regarding utility facility relocations, adjustments and agreements. Based upon this information, a tentative bid opening date can be established.
See Phase II, Task No. 7 for exhibits.
Task No. 17 - Complete Utility Relocations
Submit KDOT Forms 1306 and 1304 - The Project Manager shall advise the City Engineer when all utilities, that are practical to be moved or adjusted prior to construction, have been moved/adjusted. For KDOT projects, Forms 1306 and 1304 shall be forwarded to the BLP.
Task No. 18 - Schedule Third Public Information Meeting
When final plans are complete, the third public information meeting may be scheduled. This meeting is optional. The primary purpose of this meeting is to present the final plans, hear citizens comments and questions and present the anticipated bid opening date. For KDOT projects the Notice of Public Information Meeting must be published in Kansas Register and The Legal Record.
- See Phase II, Task No. 15 for list of invitees.
- See Phase II, Task No. 34 for exhibits.
Note: This and all subsequent Public Information Meeting notices should ask if participants need a language interpreter or a hearing assistance device and a phone number. All meeting rooms shall be ADA accessible. Title VI Brochure regarding equal opportunity contracting are to be made available at all public meetings. |
Task No. 19 - Receive Obligation of Funds from KDOT
The City Engineer/City Traffic Engineer shall request obligation of funds from KDOT-BLP for KDOT administered federally-funded projects. Included in the request, the city is required to submit the total actual cost paid for the non-participating, pre-construction activities. (See BLP Memo 99-11) These activities are as follows: Preliminary Engineering (P.E.) - Include only the actual payments made to the consultant. If the City performed its own Preliminary Engineering, include the City direct cost plus overhead. Rights of Way (R/W) - Include only the total actual payments made to landowners. Utility Adjustments (Util.) - Include only the total actual payments made to utility companies for adjustments to utilities located on private easement.
After PS&E plans and documents have been approved by BLP, KDOT program and project management willrequest FHWA to obligate the project's federal funds. Once funds have been obligated, the Project Development Engineer will notify the City. After this occurs, the PDE will submit the Authority to Advertise (CA#3-PS&E Approval Memo) for signature by the STE. Once the Authority to Advertise has been received by the PDE from the STE, it will be submitted to the City via memo (CA#4-Authority to Bid) and by email. The City shall advertise the project for a minimum of 30 days.
- Exhibit No. III-19 is an example letter from KDOT approving Obligation of Funds and authorization to bid the contract.
Note: This task is tracked by KDOT see Exhibit No. II-14. The Project Engineer shall ensure this task is complete. |
Task No. 20 - Obtain City Department Approval
The Project Manager shall obtain the appropriate Division Head signature on the plan title sheet.
Task No. 21 - Obtain Agency Plan Approvals
KDOT will require the final approved plans prior to obligation of funds. The Project Manager shall determine if other agency plan approvals are necessary. If there is other city, Johnson County or state funding (KDOT), other agency approvals will usually be required. This is usually stipulated in the agreements. The appropriate official's name and title shall be placed on the plan title sheet.
Note: For KDOT Projects this task is tracked by KDOT see Exhibit No. II-14. The Project Engineer shall ensure this task is complete. |
Task No. 22 - Confirm Construction Engineering Responsibility
The Project Manager in consultation with the City Engineer/City Traffic Engineer will determine whether construction engineering responsibilities will be handled by the City Staff or use a private consulting engineer. For KDOT projects a proposal must be submitted to KDOT requesting that KDOT prepare an Agreement for the performance of the construction engineering services. The City will determine whether or not to request reimbursement for construction engineering services based on the estimated construction cost and KDOT funding cap amount. If this service is to be performed by City Staff, KDOT – BLP must be informed of the City’s decision whether to utilize federal funds for the construction engineering as soon as possible but no later than 6 – 8 weeks prior to the day of the scheduled letting.
- Exhibit No. III-22a is a Proposal For Construction Engineering Services.
- Exhibit No. III-22b is an example of "Exhibit A" referred to in the above Proposal for Construction Engineering Services.
If this service is to be performed by a private consulting engineer and the City does not desire federal participation in the cost of the construction engineering services for the project, City Resolution No. 3506 will be applicable. www.opkansas.org/wp-content/uploads/downloads/professional-consulting-services-architecture-engineering-land-surveying.doc See Phase II, Task No. 3. KDOT - BLP needs to be notified 3-4 months prior to the day of the scheduled letting.
If this service is to be performed by a private consulting engineer and the City does desire federal participation in the cost of the construction engineering services for the project, the "Consultant Selection Guide for Construction Engineering on LPA Projects" shall be followed. Contact KDOT - BLP for the current pre-qualified Consultant List for Construction Engineering. KDOT - BLP needs to be notified 3-4 months prior to the day of the scheduled letting.
- Exhibit No. III-22c is the "Consultant Selection Guide for Construction Engineering on LPA Projects".
- Exhibit No. III-22d is a Force Account Equipment Rate Table.
- Exhibit No. III-22e is a letter from BLP accepting overhead rate.
- Exhibit No. III-22f is a "Example Billing" for reimbursement of Construction Engineering Services.
For more information see Chapter 8.0 Consultant Selection and Agreement of KDOT's LPA Project Development Manual.