I. PURPOSE OF PROJECT CHECKLIST

A. A project checklist is a summary of key items in a specific type of public works project.

B. The goal is to identify for each type of public works project the key information.

II. THE GET AHEAD STEP

A. The path to perfection is planning.

B. Prior to each calendar year the vendors utilized in the last two years should first be identified and then classified according to the public works situations in which they were utilized. The objective is to know what vendors are capable of performing what services in Lake County Indiana for Lake County government.

C. The five public works situations are as follows ( A vendor may appear in more than one category):

1. Emergencies (See Tab H-1, page 51)

2. Non-emergency repairs less than $5,000 (See Tab J-1, page 57)

3. Non-Emergency repairs $5,000 or more (See Tab K-1, page 60)

4. New Construction and planned modifications See Tab G-1, page 48)

5. Annual maintenance contracts.(See Tab I-1, page 54)

D. The categorized list or prior vendors is for identification and analysis purposes only. The prepared list does present a matrix of who did work in what types of situations in the prior two year period, and the list could serve as a “go to document” in selecting vendors for future work.

E. The Board of Commissioners will after solicitation make a decision on the vendors with whom to contract for what service at what rate.

F. However, to be eligible to do any public works activities for Lake County, a vendor must meet the following criteria:

1. The vendor has a completed and approved vendor qualification affidavit, County Form 20, page 105 on file with the Lake County Purchasing Department.

2. If required for its type of business unit, the vendor’s registration with the Indiana Secretary of State must be current.

3. If required by the craft or construction service to be provided, the vendor is currently licensed to perform that type of work in Lake County and/or in the city or town where the work will be performed.

4. The vendor currently is enrolled as a Lake County Responsible Bidder if required by the Lake County Ordinance.

5. There are no current property tax delinquencies assessed against the vendor.

6. There is a completed e filing affidavit on file (IC 22-5-1.7).

7. There is a current affidavit of not doing business with Iran on file (IC36-1-12- 23).

8. The vendor has current Indiana worker’s compensation coverage (IC 22-3-5- 1)

9. There is a general public liability policy with coverage for the vendor of $1,000,000 for each occurrence and up to $2,000,000 in the aggregate.( IC 5- 16-13-10(b).

10. The vendor cannot subcontract to other parties more than more than 85% of the primary contract. IC5-16-13-9.

11. The vendor’s wage rates must comply with the FLSA (29 USC 201-209) and with the Indiana minimum wage requirements (IC 5-16-13-11(3).

12. There must be compliance with the Indiana unemployment compensation statutes (IC 22-4-1).

III. SPECIFICTION

A. There must be a written specification for every public works activity.

B. This means that there must be a specification for any of the following:

1. Emergencies

2. Non-emergency repairs less than $5,000

3. Non-Emergency repairs $5,000 or more

4. New Construction and planned modifications and

5. Annual maintenance contracts.

C. The purpose is to make a written record of the type of public work activity being requested. The extent of the specification obviously varies with the size of the activity and any state statutory requirements. The key point is that the vendor must know who is to do what and when and where the activity is required.

D. For all emergencies and for those non-emergency repairs less than $5,000 the following forms should be used:

1. For any plumbing, electrical and HVAC work to be performed by a vendor under current annual contract use County Form 55, page 159.

2. For any work to be performed by any other craft use County Form 56 and County Form 57. pages 165 and 166,

E. For Annual Maintenance use County Form 61, page 201.

F. For any new construction and planned modification there must be licensed architect or licensed engineer who is under contract to prepare the specifications when the expected cost is $100,000 or more. (IC 36-1-12-7). The County Commissioner will require that the specification for any and all new construction and planned modification even if less than $100,000 be performed by the licensed architect or licensed engineer under contract.

G. For any non-emergency public works activity of $5,000 or more the County Commissioners will have an architect under contract to review the project and determine the nature of the specification required and its extent.

IV. KEY STATUTORY ITEMS OF NOTE FOR COUNTY COMMISSIONERS

A. A Contractor’s Bid Form For Public Work, State Form 96 must be used for all public works activities where the vendor will return the vendor’s offer to the Board of Commissioners to be opened in a public meeting. This is because of the following:

a. The form is prescribed by the Indiana State Board of Accounts

b. The certification of use of steel products made in the United States is part of this form (If applicable IC 5-16-8-2.).

c. The plan and equipment questionnaire information for projects $150,000 or more required by IC 36-1-12-4 is included in Section II.

d. The contractors financial statement that is required is in Section III

e. The non-collusion affidavit is included in Section IV.

f. Everything in Form 96 is under oath and affirmation in Section V.

B. Offer security in the form of a bond, certified check, or money order for any public works activity of $200,000 or more is required by IC 36-1-12-4.5. The amount may not be more than 10%. The use of offer security is optional for projects less than $200,000 and may be established by the County Commissioners on a case by case basis.

C. All plans and specifications for public buildings must be approved by the state department of health, the division of fire and building safety, and other state agencies designated by statute IC 36-1-12-10.

D. When a public work project is to be performed, the board shall withhold final payment to the contractor until the contractor has paid the subcontractors, material suppliers, laborers, and those furnishing services. However, if there is not a sufficient sum owed to the contractor to pay those bills, the sum owed to the contractor shall be prorated in payment of the bills among the claimants entitled to payment. IC 36-1-12-12(a)

E. The contractor is required to post a payment bond in an amount equal to the contract price if the cost of the public work is estimated to be more than two hundred thousand dollars ($200,000); IC 36-1-12-13.1(a)(1) and must do this at the direction of the County Commissioners for projects less than $200,000

F. A Board or Commissioners may require a contractor and subcontractor to include contract provisions for retainage as set forth for contracts that are not more than two hundred thousand dollars ($200,000). IV 36-1-12-14(a) but must have retainage, provisions for any project greater than this amount.

G. A contractor must conform with the antidiscrimination provisions of IC 5-16-6. The board may consider a violation of IC 5-16-6 a material breach of the contract.

H. A contractor must comply with IC 5-16-13 which includes the [prohibition on contracting out more than 85%, having the $1,000.,000 to $2,000,000 in public liability coverage, having access to training programs if employing 10 or more employees, and having an apprenticeship program if employing more than fifty employees.

I. There must be a contractor drug testing policy if the public works project is $150,000 or more. IC 36-1-12-24

J. If the public work requires a licensed architect or engineer, then the change orders must be prepared by that party. IIC 36-1-12-18

K. A performance bond is mandated by state statute for any project $200,000 or more but may be required for amounts less than this limit by action of the County Commissioners. IC 36-1-12-14.

V. ADDITIONAL REQUIREMENTS TO REVIEW

A. County Form 1: General Instructions to Offerors

B. County Form 2: Affidavit of General Instructions and Specifications

C. County Form 3: Affidavit of Equal Employment and Affirmative Action

D. County Form 4: Affidavit of Price Preferences Selected

E. County Form 5: Offer Total Sheet

F. County Form 6: Offeror Information Questionnaire

G. County Form 7: Offer Packet Contents

VI. MODEL PROJECT ORIGINATION SEQUENCE

A. Summary of the Project Developed by Project Originator

1. Who

2. What

3. Where

4. When

5. Why

6. How

B. Examined and reviewed by a Committee Established by County Commissioners

C. Preliminary Conceptual Approval of Project by County Commissioners

D. Preliminary Cost Estimate Developed By Staff or by licensed Architect or Engineer

1. If initial Cost estimated is over $100,000 then final cost estimate by licensed Architect or Engineer

2. On projects less than $100,000 by staff with this ability or by Architect or Engineer

E. Cost Estimate Submitted to County Commissioners for Project consideration and action.

VII. ASSORTMENT OF ITEMS IN THE PROCESS

A. Summary

This section is a compendium of items that are covered in a detailed specification and/or project manual . Not all of these obviously apply to the smaller public works projects. This list is included here for reference purposes only. In cases where a licensed architect or licensed engineer is employed these items will be covered in either the specification or the project manual. The outline will not go into explanation but simply list the topics.

B. Advertising for Offers

1. How to be advertised

2. Where to submit offers

3. Pre-submission meeting

C. Items to Cover in the Specifications

1. What must be included in the Offer Submitted

a. Mandatory forms to be used and submitted

b. Additional offer forms developed by the architect or licensed engineer

c. Specific information on the following bid security:

d. A Performance bond mandatory for projects over$200,000 is required

e. A labor and material payment bond

f. A maintenance bond

g. Electronic copies available

h. Right to reject or waive formalities in bidding

i. County Form 1: General Instructions to Offerors

j. Financial Statement required by State Bord of Accounts

k. Certificate of Existence from Secretary of Ste

l. Certification of E-Verify Program

m. Certification regarding Investments in Iran

n. Fully Executed Architects Bid Form

o. Selected Commissioner Memo’s

p. Basics of Indiana’s Price Preference Law

2. Requests for Information

a. Requests for information not addressed at pre-bid meeting

b. Submit seven (7) before offer submission date

c. Answers and clarification to be submitted prior to submission date

d. Used to evaluate understanding of bidder concerning the project and the specifications

3. Instructions to Bidders

a. Special instructions if any

b. Interpretations

c. Addendum During Bidding

d. Conditions of Site and Work

e. Tax Status of Owner

f. Permits, Fees, License, and Notices

g. Corrections

h. Time for Receiving Bids

i. Withdrawal of Bid

j. Award of Contract: rejection of bids

k. Completion date

l. “Or Equal;” clause

m. Performance Bond, Labor and Material Payment Bonds, and Maintenance Bonds

n. Right of first refusal on any removable materials.

o. Non-Discrimination

p. Steel Product requirement

q. Mechanics Lien

r. Responsible Bidder Ordinance

s. Lake County Nondiscrimination and Equal Employment Policy

4. Available project information:

a. Information pertinent to the project

b. Construction Contract :Either Lake County Standard Form 60 or AIA Document 101 Standard form of Agreement between Owner and Contractor to be used

c. General Conditions: AIA Document A 201 included as part of the contract

d. Indiana’s Illegal immigration Law: Immigration status all employees

D. General Requirements

1. Summary of Work

a. Work Covered

b. Work by Owner

c. Contractor Use of Site and Premises

d. Project Schedule

2. Contract Modification Procedures and payment

a. Terms assumed understood by Contractor when submitting proposal

b. Cash Allowances

c. Schedule of Values

d. Application and payment

e. Waivers of Lien

f. Payment for Materials Stores Alternatives

g. Change orders

h. Wage Rates in Area

3. Insurance

(1) Public Liability

(2) Sub-contractors public liability and property damage

(3) Workmen’s Compensation

(4) Comprehensive General Liability

(5) Property and Personal Damage Limits

(6) Business Auto Liability

(7) OwnerfurnishedInsurance

4. Project Management and Coordination

a. Responsibility of Prime Contractor

b. Alteration of Project Procedures

c. Progress Meeting and Preinstallation conferences.

5. Submittals

6. Quality Control

7. Construction Facilities and Temporary Controls

8. Product storage and Handling requirements

9. Closeout Procedures

VIII. BOARD’S WOMEN’S BUSINESS ENTERPRISE AND MINORITY BUSINESS ENTERPRISE GOALS

A. Employment – The Contractor on major projects should have a goal of 34% for minority work force participation (as a percentage of the total number of employees or the total number of hours worked on the project, whichever is greater) and 6.9% for work force participation by women (as a percentage of the total number of employees or the total number of hours worked on the project, whichever is greater), if available.

B. Subcontractors and Suppliers – A goal of thirteen percent (13%) for MBE participation and two percent (2%) for WBE participation (as percentage of the total contract amount) is hereby set for the project.

C. Indiana Plan- the Contract shall integrate into its hiring to the extent permissible by its size and workload a number of new hires that are enrolled in the Indiana Plan.

IX. PRICING PREFERENCES

A. Indiana has a series of pricing preferences. (See Tab L-1, page 66)

B. The County Commissioners apply these price preferences to ever thing purchased which includes supplies, services, and public works.

C. Every purchasing agent must be aware of the pricing preferences when making a decision to award a contract.

D. These price preferences are presented below in the order in which they most often occur.

1. First , there is the price preference given to local business as defined in IC -22- 15-20.9. This preference will have to be considered in those public works situations if the lowest offer is submitted by a company that is not in Lake, Newton, Jasper, or Porter County. The price preference will be applied to determine if this places one of the submitting companies in the four county sector as the lowest adjusted offer.

2. Second, there is the Indiana Small Business Preference in IC 5-22-15-23. The criteria to qualify for this 15% price preference for a construction company is that the average annual receipts for the preceding three years cannot exceed four million dollars.

3. Third, there is the Indiana Business Preference in IC 5-22-15-20. This preference is applicable only when a non-Indiana Company and an Indiana Company both supply a quote or bid in response to a solicitation. The foreign state rule is applied to the offers of the Indiana companies to see if this adjustment puts them in the lowest price position.

4. Fourth, the Lake County Council has by ordinance established a price preference for Minority Business Enterprises (MBE) and Women Business Enterprises (WBE),There are price preferences in accordance with Lake County Council Ordinance 1405E-1 as follows: