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. |
Flow Chart
Check List
Task No. 1 - Schedule Third Utility Meeting
When the plans are approximately 80 percent complete or at the stage where the Street horizontal and vertical alignment 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.
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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. |
See Phase II, Task No. 9 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-9a Utility Relocation Guidelines.
If KCPL streetlights are to be removed, prepare letter to KCPL requesting a work order and written cost estimate for removal of affected streetlights. Generally this request takes place only on Residential Street or C.D.B.G. type projects.
- Exhibit No. III-1a is a sample letter to KCPL requesting work order
- Exhibit No. III-1b is a sample work order cover letter from KCPL
- Exhibit No. III-1c is a sample City approved KCPL work order
- Exhibit No. III-1d is a sample City staff letter to KCPL approving work order
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.
See Email Memo regarding Utility Agreement language.
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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 - Begin R/W / Easement Negotiations
Subsequent to receiving the appraisal report, 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.
- BLP Memo 92-15 describes R/W Acquisition Policies with the following attachments/information:
- Procedures for R/W Acquisition on simple projects (3 pages)
- Certification of Real Property Acquisition procedures (3 pages) See BLP Memo 06-01.[T3 note 1]
- City offer to purchase Statement of Compensation (1 page)[T3 note 1]
- Partial donation of R/W (1 page)[T3 note 1]
- Donation of R/W (1 page)[T3 note 1]
- Value Finding Appraisal (1 page)[T3 note 1]
- Brochure entitled, "Real Property Acquisition for Kansas Highways, Roads, Streets and Bridges"[T3 note 2]
- Brochure entitled, "Uniform Relocation Assistance and Real Property Acquisition Regulations for Federal and Federally Assisted Programs"[T3 note 2]
- BLP Memo 97-1 for tracts less than $7500, with attachment.
- Exhibit No. III-3a is the Real Property Acquisition Checklist.
- Exhibit No. II-33h is a copy of Appraisal Review form.
- Exhibit No. III-3b is a sample log of owner contact. A log of owner contact should be kept for each owner.
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Note: See Exhibit No. II-34h for a copy of the City's standard Mortgage Release for Individuals and Exhibit No. II-34i for Corporations. |
See Exhibit No. II-34zz for a copy of the City's standard Easement Acquisition Agreement to be completed along with the negotiated right-of-way and easement documents.
Notes
Task No. 4 - Begin Condemnation Process
For tracts that cannot be purchased by negotiation, the Law Department shall file documents to begin the condemnation procedure.
- Exhibit No. III-4 outlines the steps in the condemnation process and city department/employee responsibilities.
- Exhibit No. III-4a is an example transmittal memo to the City Clerk for filing of the condemnation documents.
Task No. 5 - 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. 6 - Acquire R/W / Easement - Submit KDOT Forms 1306 and 1304 
For KDOT projects, Form No. 1306 and Form No. 1304 are required.
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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-6a is a memo from the U.S. Department of Transportation regarding Status of Utility and Railroad Agreements and Adjustments.
- Exhibit No. III-6b is KDOT Memo B.R.U.D. 84-10 regarding Status of Utility and Railroad Agreements and Adjustments.
- Exhibit No. III-6c is KDOT Form 1304 - List of Utilities & Status. (example template)
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Note: All utilities from Phase II task 9 should be considered when completing form 1304. |
- Exhibit No. III-6d is KDOT Form 1306 - 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)
Task No. 7 - Submit Final Plans for Review Submittal
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 located under the Public Works tab of the General Templates in Microsoft Word. 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 two (2) sets of final plans shall be submitted to the BLP.
- See BLP Memo 06-05 for information pertaining to Final Check Plans.
- See BLP Memo 03-12 Engineer's Professional Seal and Signature on Plans.
- See BLP Memo 06-06 for a list of information 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.
Task No. 8 - 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 - Instructions.
- Exhibit No. III-8a is a sample of City Specifications for a street project.
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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-8c 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 II, Task No. 7.
Task No. 9 - 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 via fax to KDOT's External Civil Rights Administrator (ECRA), FAX (785)296-0723. The ECRA will review the estimate and determine if a DBE goal is needed for the project and, if needed, what dollar amount the goal will be. The DBE contract goal amount established by the ECRA shall be shown on the DBE Contract Goals sheet (07-19-80-R11) and included in the contract documents. See BLP Memo 04-07 - Procedures for DBE Involvement.
Detailed procedures for contract preparation
Guidance for Planning Bid and Contract Award Schedules
City's Standard Contract Documents (for Contracts Under $50,000)
- Exhibit No. III-9-1 Agreement
- Exhibit No. III-9-2 Proposal
- Exhibit No. III-9-3 General Conditions
- Exhibit No. III-9-4a Instructions to Contractors - Option A
- Exhibit No. III-9-4b Instructions to Contractors - Option B
- Exhibit No. III-9-4c Instructions to Contractors - Option C
- Exhibit No. III-9-5 Labor and Material Payment Bond
- Exhibit No. III-9-6 Performance Bond
- Exhibit No. III-9-7 Table of Contents
- Exhibit No. III-9-8 Special Conditions
- Exhibit No. III-9-9 Appointment of Service Agent
- Exhibit No. III-9-10 List of Utilities & Status of Same
City's Standard Contract Documents (for Contracts Over $50,000)
- Exhibit No. III-9a-1 Agreement
- Exhibit No. III-9a-2 Bid
- Exhibit No. III-9a-2a Bid (KDOT Projects)
- Exhibit No. III-9a-2b Bid (CDBG Projects)
- Exhibit No. III-9a-3 General Conditions
- Exhibit No. III-9a-4a Instructions to Bidders - Option A
- Exhibit No. III-9a-4b Instructions to Bidders - Option B
- Exhibit No. III-9a-4c Instructions to Bidders - Option C
- Exhibit No. III-9a-5 Insurance Options
- Exhibit No. III-9a-6 Notice to Bidders
- Exhibit No. III-9a-6a Notice to Bidders (KDOT Projects)
- Exhibit No. III-9a-6b Notice to Bidders (CDBG Projects)
- Exhibit No. III-9a-7 Labor and Material Payment Bond
- Exhibit No. III-9a-8 Performance Bond
- Exhibit No. III-9a-9 Statutory Bond
- Exhibit No. III-9a-10 Table of Contents
- Exhibit No. III-9a-10a Table of Contents (KDOT Projects Only)
- Exhibit No. III-9a-10b Table of Contents (CDBG Projects Only)
- Exhibit No. III-9a-11 Special Conditions
- Exhibit No. III-9a-12 Appointment of Service Agent
- Exhibit No. III-9a-13 List of Utilities & Status of Same
For CDBG projects, the City’s Standard Contract Documents shall be supplemented with the following:
- Certification Regarding Debarment, Suspension & Other Responsibility Matters (2 pages) debarment
- Certification Regarding Lobbying (1 page) lobbying
- Equal Employment Opportunity Certification (2 pages) eeoc
- Section 3 Clause (2 pages) Section 3 Clause
- Nondiscrimination (5 pages) non-discrimination
- Federal Labor Standards Provisions (4 pages) federal labor standards provisions
- List of Prevailing Wages for Johnson County.
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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 modificiations 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 (3 pages) statement of compliance
- Record of Employee Interview (1 page) Form HUD-11
- Notice To All Employees (2 pages) notice to all employees
- Standards of Conduct (2 pages) standards of conduct
- CDBG Checklist Prior to Contract Award. Do not insert in the contract documents -- it is for staff use only. checklist
- Conflict of Interest Certification. Do not insert in the contract documents -- it is for staff use only. conflict of interest
For KDOT (Federally Funded) projects, the City’s Standard Contract Documents shall be supplemented with the following:
- Required Contract Provision (FHWA-1273): Federal-Aid Construction Contracts (18 pages)
- Required Contract Provision (07-18-80-R25): Federal Aid Contracts Utilization of Disadvantaged Businesses (10 pages)
- Required Contract Provision (03-10-06) or (3-10-06-R01): Federal Aid Contracts Utilization of Disadvantaged Businesses Suppliers/Regular Dealers (1 page)
- Required Contract Provision (07-19-80-R11): DBE Contract Goals (1 page). See BLP Memo 04-07 for establishing goal amount.
- Required Contract Provision (11-15-96-R4): Equal Employment Opportunity Contractual Requirement (7 pages)
- Required Contract Provision (11-03-80-R8): Requirement for Affirmative Action to Ensure EEO (3 pages)
- Required Contract Provision:(08-04-92-R3): Certification Contractual Services w/ Current Legislator or Legislator’s Firm (1 page)
- Required Contract Provision (04-26-90-R4): Declaration Limitations on Use of Federal Funds for Lobbying (2 pages)
- Required Contract Provision (08-10-66-R5): Certification Noncollusion and History of Debarment (1 page)
- Required Contract Provision (02-01-95-R2): Area Practice For Johnson County Kansas (4 pages)
- Notice to Contractors (09-06-94-R1): U.S. Department of Transportation Hotline, To Report Bid Rigging Activities (1 page)
- Notice to Contractors (07-19-07): Buy American Materials (1 page). See BLP Memo 10-4 for a summary of requirements on federal-aid projects.
- KDOT Special Provision (07-01004): Sales Tax Exemption (1 page) KDOT Web Link
- KDOT Special Provision (07-01002): Information to Contractors as to Status of Utilities (1 page) KDOT Web Link
- Form 1304: List of Utilities & Status of Same (pages vary) KDOT Web Link (also see Phase III, Task No. 6)
- Department of Labor Payroll Form (WH-347) and Instructions for Completing (6 pages) U.S. Department of Labor Web Link
- List of Prevailing Wages for Johnson County.
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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. Each of these documents shall be numbered according to the Contract Documents Table of Contents.
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Special Note: KDOT will not participate in the present City requirement of Contractor responsibility for repair for two years subsequent to the completion date or for Johnson County Wastewater District work that is part of a project. The City will provide a bid item in the contract whereby KDOT will not participate financially in these project cost items. |
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Note: For projects with other funding sources such as KDOT, CARS, SMAC, and/or OTHER CITY, the City’s special conditions shall be supplemented with the funding sources insurance requirements and additional indemnification provisions. Refer to executed agreements for requirements. |
Task No. 10 - 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.
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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. |
See Phase II, Task No. 9 for exhibits.
Task No. 11 - Complete Utility Relocations
Submit KDOT Form No. 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 completed. For KDOT projects, Form No. 1306 and 1304 shall be forwarded to the BLP. See Phase III, Task No. 6 for forms.
Task No. 12 - Complete Environmental Process by KDOT
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 and permits, environmental or otherwise, obtained by the contractor shall be packaged together in the Stormwater Pollution Prevention Plan (SWPPP) booklet. The SWPPP booklet shall be on site at all times once construction begins.
Task No. 13 - 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 the Kansas Register and Overland Park Sun.
- See Phase II, Task No. 17 for list of invites.
- See Phase II, Task No. 35 for exhibits.
Task No. 14- Submit the Engineer’s Cost Estimate
The Consultant/Project Manager shall prepare the Engineer’s Cost Estimate.
Task No. 15 - Obtain City Department Approval
The Project Manager shall obtain the appropriate Division Head signature on the plan title sheet.
Task No. 16 - 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. 18.
- Exhibit No. III-16a is the KDOT "Design Summary Document" form.
- Exhibit No. III-16b is an example of a completed KDOT "Design Summary Document".
Task No. 17- Obtain Agency Plan Approvals
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 name and title shall be placed on the plan title sheet.
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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. 18 - Request / 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.
- Exhibit No. III-18a is an example letter requesting Obligation of Funds.
After the Secretary of Transportation and State Transportation Engineer approve the plans, specifications, and estimate and FHWA approves the obligation of funds for the project, KDOT-BLP will authorize the City to take bids for the contract.
- Exhibit No. III-18b is an example letter from KDOT approving Obligation of Funds and authorization to bid the contract.
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Note: This task is tracked by KDOT see Exhibit No. II-16. The Project Engineer shall ensure this task is complete. |
Task No. 19 - 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 for 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-19a is a Proposal For Construction Engineering Services.
- Exhibit No. III-19b 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. 2615-now 3506 will be applicable. See Phase II, Task No. 3-4. 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-19c is the "Consultant Selection Guide for Construction Engineering on LPA Projects".
- Exhibit No. III-19d is a Force Account Equipment Rate Table.
- Exhibit No. III-19e is a letter from BLP accepting overhead rate.
- Exhibit No. III-19f is a "Example Billing" for reimbursement of Construction Engineering Services.