Walworth County

Department of Public Works

(PM Desk Book)

PROJECT
MANAGEMENT
MANUAL
Adopted by the Walworth County
Public Works Committee:
December 2021

Revised:

www.co.walworth.wi.us
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 SECTION – 00 TABLE OF CONTENTS

SECTION 01 GENERAL
1.0.1 Introduction
1.0.2 Mission, Vision and Values
1.0.3 Purpose & Scope
1.0.4 Project Management - Defined
1.0.5 Terms and Definitions
1.0.6 Acronyms
1.0.7 Symbols Used in this Document
1.0.8 Types of Projects
1.0.9 Project Delivery Methods

SECTION 02 ROLES AND RESPONSIBILITIES

2.0.1 Organizational Structure
2.0.2 How Projects are Assigned
2.0.3 Project Manager Authority

SECTION 03 ARCHITECTURAL / ENGINEERING SERVICES

3.0.1 General
3.0.2 Procurement of A/E and Consultant Services
3.0.3 Selection of A/E Consultant On-Call
3.0.4 Changes to the Contract – Added Services
3.0.5 A/E Contract Management and Payments
3.0.6 A/E Contract Closeout
3.0.7 A/E Performance Evaluation

SECTION 04 BUDGET MANAGEMENT

4.0.1 General
4.0.2 Project Funding Sources
4.0.3 Phased Budget Management (Roles and Responsibilities)

SECTION 05 SMALL PROJECTS

5.0.1 Introduction
5.0.2 Small Project Definition
5.0.3 Project Splitting
5.0.4 Project Manager Responsibilities
5.0.5 General Contracting - The PM’s Ability to General Contract
5.0.6 Minimum Requirements for Small Projects
5.0.7 Project Lifecycle Overview – Small Projects

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SECTION 06 PROJECT LIFECYCLE

6.0 Project Lifecycle

6.0.1 Introduction
6.0.2 Project Lifecycle Overview

6.1 Project Strategic Phase

6.1.1 General
6.1.2 County Master Plans
6.1.3 Strategic Operations
6.1.4 Strategic Governance

6.2 Project Planning Phase

6.2.1 General
6.2.2 Project Stakeholders vs Project Team Members
6.2.3 Project Kickoff Meeting
6.2.4 Project Budget Estimate
6.2.5 Project Management Plan (PMP)
6.2.6 Project File

6.3 Design and Document Phase

6.3.1 General
6.3.2 Process Selection
6.3.3 Design Schedule
6.3.4 Budget Management during Design
6.3.5 Design Coordination Meetings
6.3.6 Phased Design - Overview
6.3.7 Project Coordination and Planning
6.3.8 (SD) Schematic Design
6.3.9 (DD) Design Development
6.3.10 (CD) Construction Documents

6.4 Bidding / Award Phase

6.4.1 General
6.4.2 Definitions
6.4.3 Project Categories and Awarding Authority
6.4.4 Roles and Responsibilities
6.4.5 Bidding Schedule and Timeline (Large Projects)
6.4.6 Bidding Documents
6.4.7 Advertising for Bids (Invitation to Bid)
6.4.8 Plan Distribution
6.4.9 Pre-Bid Meeting / Tour
6.4.10 Responding to Questions
6.4.11 Addenda
6.4.12 Receiving, Opening and Reading Bids
6.4.13 Bid Evaluation
6.4.14 Recommendation of Award
6.4.15 Bid Award and Contract Execution
6.4.16 Encumbrance of Funds / Purchase Order
6.4.17 Revision of Bid Documents for Construction
6.4.18 Notice to Proceed

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6.5 Construction Phase

6.5.1 General
6.5.2 Roles and Responsibilities
6.5.3 Construction Meeting
6.5.4 Questions and Requests for Information
6.5.5 Submittals
6.5.6 Payments to Contractors
6.5.7 Claims / Disputes
6.5.8 Monitoring the Budget
6.5.9 Construction Observation – Site Visits
6.5.10 Hazardous Materials
6.5.11 Change in the Work / Change Orders
6.5.12 Substantial Completion
6.5.13 Final Completion

6.6 Closeout Phase

6.6.1 General
6.6.2 Operation and Maintenance Manuals (O&M)
6.6.3 Owner Training
6.6.4 Equipment Testing and Demonstration
6.6.5 Attic Stock
6.6.6 Warranties
6.6.7 As-Built / Record Documents
6.6.8 Major Equipment / Asset Documentation
6.6.9 Final Payment
6.6.10 Capital Improvement Project (CIP) Closure
6.6.11 Post-Project Review

SECTION 07 RECORDS MANAGEMENT

7.0.1 General
7.0.2 Project Identification and Numbering
7.0.3 File Structure – Large Projects
7.0.4 File Structure – Small Projects

SECTION 08 APPENDIX
Appendix 03 – Architectural / Engineering Services
A3.0.3-1 A/E On-Call Selection Form
A3.0.7-1 A/E Project Performance Evaluation Form

Appendix 04 – Budget Management

A4.0.3-1 Sample Project Budget Detail
A4.0.3-2 DPW Purchase Request Form
A4.0.3-3 Payment Request Form & Instructions

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Appendix 06 – Project Lifecycle

A6.2.5-1 Project Management Plan (PMP) Template
A6.3.10-1 Commonly Used CSI Divisions
A6.5.6-1 Sample Contractor Application for Payment & Lien Waiver
A6.5.11-1 Sample Contract Change Order
A6.5.11-2 Change Order Routing Request Form 6-310-B
A6.5.11-3 Walworth County Change Order Request Workflow

END OF SECTION

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 SECTION – 01 GENERAL

1.0 GENERAL

1.0.1 Introduction

The Walworth County Department of Public Works has design and construction responsibilities for capital
improvement projects, as well as a broad range of maintenance projects which can vary greatly in scope and
cost. Recognizing the significant portion of the County’s budget is invested in design and construction of
these projects, this manual has been prepared by the Department of Public Works to consolidate standard
practices, policies and procedures to the extent possible to produce a practical reference manual for use by
Project Managers (PM), and others as necessary.

For obvious reasons, this manual cannot be a comprehensive document that answers all questions or
provides guidance relating to all potential Walworth County projects. Therefore, it is imperative that Project
Mangers continuously review and stay current on Administrative Procedures and professional standards
affecting their role, responsibility, authority, and accountability.

In general, County projects are managed under a strategy of a “single-point responsibility’. Throughout the
life of the project, from budget planning through final completion, the Project Manager is responsible for
monitoring the program, budget and schedule as approved by the County.

1.0.2 Mission, Vision and Values

A. Walworth County Project Management Mission: Walworth County Project Managers strive to support
and enhance the environment for County employees, residents and client beneficiaries using our
infrastructure and facilities.

B. Walworth County Project Management Vision: Project Managers will strive to embody the following
core values in every project and every interaction with our clients, partners, and all members of the
County that we serve:

1. Health and Safety: Public health, safety and welfare are of paramount importance in all that we do.
Life safety is the most critical component of any proposed and funded project we manage. We look
for opportunities to optimize life safety features, accessibility, and healthful, sustainable
environments in our projects.

2. Integrity: Our work must comply with building codes and other applicable requirements. Our
conduct is consistent with the rules and code of ethics of our professions. Our words and actions
engender trust because we deliver on commitments.

3. Quality: The projects we deliver meet or exceed customer needs and expectations. Buildings,
building systems and infrastructure should function properly and are aesthetically appropriate. The
County is better positioned to attract employees, customers and business due to the quality of the
spaces and environments we create.

4. Customer Service: We routinely deliver projects on time and within budget. When this is not
possible, we make every effort to minimize schedule and cost overruns. We treat our clients,
partners and all members of the County with respect and a helpful attitude. We’re open to
suggestions for improvement and we continuously strive to improve our services.

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1.0.3 Purpose & Scope

A. Purpose: The Project Management Manual details how projects are initiated and completed at
Walworth County, with specific emphasis on the duties of the Project Manager(s) who ensure projects
are delivered safely, efficiently, cost-effectively, and uniformly.

B. Scope: This manual is to be studied and regularly used as a resource and guide by all persons who
are directly or indirectly involved in any of the phases of a project’s lifecycle. Although this manual is
primarily focused on the PM, and the various tasks that individuals must routinely complete to
successfully manage a project from its conceptualization to close out, there are other stakeholders
that rely on the information generated by the project management efforts. These stakeholders may
be individuals and groups within, or external to the County staff that either support the PM’s activities,
directly partner with the PM on project-related work, or others who directly rely on the information
generated by the project management effort. Typical project team members may include, but not be
limited to:

 County Administrator
 County Strategic Communications Officer
 Directors and Deputy Directors
 Finance Budget and Grant Managers
 Finance (Public Works) Representatives
 Public Works Engineers
 Public Works Project Managers
 Public Works Facilities Staff
 Purchasing Representatives
 Access Control Representatives
 Information Technology Representatives
 Sponsoring Department Representatives
 Any designated support staff, as needed

1.0.4 Project Management - Defined

‘Managing’ has been defined in history as long ago as 1916 by French mining engineer Henri Fayol. He said:
“To manage is to forecast and plan, to organize, to command, to coordinate, and to control. To foresee and
plan means examining the future and drawing up the plan of action. To organize means building up the dual
structure, material and human, of the undertaking. To command means binding together, unifying and
harmonizing all activity and effort. To control means seeing that everything occurs in conformity with
established rules and expressed demand.”

A Project is: a temporary endeavor undertaken to create a unique product, service or result. A project is
temporary in that it has a defined beginning and end in time, and therefore, defined scope and resources.
And a project is unique in that it is not a routine operation, but a specific set of operations designed to
accomplish a singular goal. (Project Management Institute)

Project Management is: the art of directing and coordinating human and material resources throughout the
life of a project by using modern management techniques to achieve predetermined objectives of scope, cost,
time, quality and participant satisfaction.

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1.0.5 Terms and Definitions

The following definitions are used in this Manual:

Business Case - Documentation filed by departments as to the merits and justification of the project.

Capital Improvement Project (CIP) - The ongoing budgetary process by the County to identify and assign
capital funds to projects.

CIP Number - Alphanumeric Code (“W”, “C” or “I”) with four digits that outline finance departments CIP
tracking number.

Computer Aided Design (CAD) Files - Files based on computer technology to complete drafting, design,
and design-documentation. In this manual, CAD files will typically refer to drawing files created in AutoCAD
(Autodesk Software) with a ‘.dwg’ file suffix.

Construction Inspector Project Manager (CIPM) - The individual authorized and accountable for
overseeing the Construction and Close-Out Phases.

Consultant or Consulting Engineer - An experienced professional firm that provides expert knowledge,
study, and design, for a fee.

County - Walworth County, Wisconsin

Day(s) – Number of calendar days preceding or following an action excluding the first day and including the
last unless the last falls on a County recognized holiday.

Department Purchasing Contact - A County department contact assigned by the department head. This
employee is responsible for providing oversight and department knowledge to the procurement process
including market research, product specifications/scope of work solicitation information, and the review and
oversight of contracts upon approval.

Field Check - The process of verifying feasibility and constructability of project design plans against existing
conditions at the project site.

Force Account – Expense account relating to employment of labor force (County employees).

Long Range Plan(s) - The plan(s) identify all contemplated projects within the County to meet particular
infrastructure and procurement needs.

Master Services Agreement (MSA) – A master services agreement is a contract reached between parties,
in which the parties agree to most of the terms that will govern future transactions or future agreements.
Public Works utilizes MSAs for facilities and transportation Architectural / Engineering services.

MUNIS - Walworth County’s Financial Software Application (a product of Tyler Technologies).

Online System(s) - Web-based services that provide the platforms where project information will be
accessed, updated, and monitored.

Owner - Walworth County, Wisconsin

Portable Document File (PDF) - An open standard for document exchange created by Adobe Systems used
for representing documents in a manner independent of the applicable software, hardware, and operating
system.

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Primary Task - The first level of a Work Breakdown Schedule (WBS) listed under each project phase.

Professional Liability - Legal obligation arising out of a professional’s errors, negligent acts, or omissions,
during the course of the practice of their craft.

Project Budget Detail – Project budget that categorizes expenses over time and source.

Project Lifecycle - The entire period of time from the project conceptualization in the strategic phase to
project close out or completion. The project start is considered the beginning of the initiative phase, following
the strategic phase whereby approval is obtained.

Project Manager - The individual authorized and accountable for managing the project and achieving the
project goals and objectives.

Project Management Plan (PMP) - The document that outlines project documentation required to manage
the project effectively (excluding bid documents). Examples include:
 Stakeholder Identification with Roles and Responsibilities
 Risk Registry
 Resources
 QA/QC Plan
 Monitoring Strategy
 Access Control Roster and Requirements
 HAZMAT Identification and Mitigation Plan
 Tentative Project Schedule
 Work Break Down (WBS) Schedule
 Communications Strategy (Who, does What, by When)

Project Manual –Construction Specifications Institute (CSI) front end ‘Divisional’ specifications outlining
procedures, standards, and details that primarily protect the County (‘Owner’) and the Contractor; during the
bid, construction, and warranty phases.

Project Scope - The work that needs to be accomplished to deliver the final result of the project with the
specified conditions, features, and functions.

Project Sponsor - Department with greatest benefit in the purchase, study, or project. Sponsors generally
file documentation with Finance and / or Public Works in order to recommend a project (or procurement) for
County Board and / or executive staff consideration.

Project Stakeholders - Any person or agencies who have interest in the project. These entities include:
 Member agencies who may be funding or partially funding the project.
 Third parties that may be impacted by the project.
 Agencies issuing permits required for the project.
 The Executive Staff.
 The Project Sponsor.
 Other Departments supporting the project and whose actions are required during the project lifecycle.

Project Team - The full-time and part-time individuals who will work on the project deliverables; all of who will
help achieve the project objectives.

Project Work Breakdown Schedule (WBS) - A tool used by project managers to control expectations, and,
define and group by hierarchy a project’s discrete work tasks in a way that helps organize and define: the total
work scope of the project; and, applicable aspects of the project lifecycle. It communicates to executives that
they cannot change the project’s scope without compensating adjustments, called trade-offs, to the project’s
duration and/or costs. NOTE: This is NOT the project timeline or schedule.

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Project Portfolio Management (PPM) - Centralized management of the processes and methods used by
project managers and support staff to analyze and collectively manage current or proposed projects based on
numerous key characteristics. The objectives of PPM are to determine the optimal resource mix for delivery
and to schedule activities to best achieve the County’s operational and financial goals, while honoring
constraints imposed by executives, project sponsors, strategic objectives, or external real-world factors.

Retainage – A percentage amount withheld from construction contract progress payments to help ensure that
the required scope of work is satisfactorily completed. In the event the contractor fails to perform certain work
or certain work performed is not satisfactory and the contractor refuses to correct the defective work, the
retainage provides a means for the County to accomplish the work through another source.

Rough-Order-of-Magnitude (ROM) Budget – Earliest budget estimate is developed to support the Capital
Improvement Plan and County Budget process. Accuracy of a ROM estimate is questionable (+/- 15%) but
should be based on past experience, projects, consultant expertise, and other references.

Quality Assurance / Quality Control (QA/QC) Plan – A document that captures processes by which subject
matter experts (who) will monitor and verify deliverables are in compliance with contract requirements.

State - State of Wisconsin

Subject Matter Expert(s) - Person or persons who provides technical advice or support to the County staff
and / or its Project Managers. Often includes Consultants or Consulting Engineers.

Sunk Costs – A cost that has already been incurred and cannot be recovered (also known as retrospective
cost).

1.0.6 Acronyms

A/E Architectural / Engineering (firm or services)

AP(s) Walworth County Administrative Procedures
AIA American Institute of Architects
CAD Computer Aided Design
CIP Capital Improvement Project (or program)
CIPM Construction Inspector Project Manager
CSI Construction Specification Institute
DPW Walworth County Department of Public Works
DPC Department Purchasing Contact
GC General Contractor, or General Prime Contractor
HAZMAT Hazardous Material
JOC Job Order Contract
MEP Mechanical, Electrical, Plumbing and Fire Protection
MSA Master Services Agreement
PDF Portable Document Format
PPM Project Portfolio Management
PM Project Manager
QA/QC Quality Assurance/Quality Control
QBS Qualifications Based Selection
PBD Project Budget Detail
RFB Request for Bid (Sealed)
RFP Request for Proposal
RFQ Request for Qualifications
RTIP Request to Initiate a Purchase
WBS Work Breakdown Schedule

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1.0.7 Symbols Used in This Document

The following symbols are used in this document to identify principal actors and / or actions being taken:

Director of Public Works Finance Department General County Staff

/ Highway Commissioner

Project Manager / Subject Matter Experts, e.g. County Board &

Department Purchasing A/E Consultants Executives
Contact
Purchasing Stakeholders, e.g. County Risk Manager
Departments, IT

Document or Contractor(s) County Communication

Form Representative

Plan Corporation Counsel Project Authorities, e.g.

County Administrator,
Finance Director,
or Treasurer
Information Technology Public Works Engineer Project Sponsor
/ Master Planner / Department Head

Asset Manager(s) Calendar / Schedule Budget Estimate

Reference

1.0.8 Types of Projects

As a public institution, the County regularly encounters the need to maintain or repair its existing assets. Often
such actions are documented as maintenance or repair expenses. The County may see these items as a
clear expense, however, not every repair is an expense. A repair becomes a CIP when the scope of work
extends beyond keeping an asset working.

Maintenance costs are expenses for routine actions that keep your assets in their original condition. When
creating our operating budgets, the County would classify these as repairs and maintenance. If the intent is to
improve an asset and increase its value, the actions should be classified as capital expenditures in the
budget. Understanding the differences allows the County to categorize these projects correctly, keeping our
budget in line. It also lets the County maximize our expenses and depreciate our capital expenditures.

Another concern of the department embeds Public Works funding in the maintenance budget. There are
several reasons highlighting these projects in the budget as Capital Projects. First, a public work often
requires capitalization of the asset for financial and logistics management purposes (Ref.: Administrative
Procedures 1-220 Capital Improvement Budget, Administrative Procedures 1-419 Capital Asset Management,
and Administrative Procedures 2-101 Public Works Dept. Capital Projects & Road/Construction Procurement
& Repair Request Procedure). The second reason is legal categorization for public bidding (Ref.:
Administrative Procedures 6-102 General Purchasing Process & Requirements and Administrative
Procedures 6-135 What Constitutes a Public Work). Finally, the department wants to classify projects to
determine the applicability of special premium pay for hourly employees who manage public works projects
(Reference paragraph C below).

The classification of expense versus CIP isn’t always clear. There are questions and considerations you need
to reflect on before you enter the expense.

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A. Maintenance Projects. Maintenance expenses can vary depending on the type of repair needed;
from replacing a broken door lock to painting a room. While these seem like simple items that are
certainly maintenance expenses, it’s important to define exactly what a maintenance expense is.
Below are general guidelines:

1. Work is on an existing asset.

2. Rehabbing an asset to a specific standard.
3. Preserving an asset from future decay.
4. Restoring an asset’s functionality.
5. Component replacements that do not improve the asset but rather keep it functional.

Maintenance is about usage, which decreases the value of the asset and should be considered a
maintenance expense.

Projects can shift from repair to a CIP: A project may start as a repair but evolve into a capital
project. That leaky roof may appear as though it needs a simple repair, but, upon further inspection, a
determination is made that the entire roof needs to be replaced. Thus, it needs to move from a repair
expense to a CIP.

B. Capital Projects. To understand when maintenance is actually a capital project it’s imperative to
understand how the County defines (or lists) what will go on the five-year Capital Improvement Plan.
These guidelines may be found in further detail under Section 1-220.04 in AP 1-220 Capital
Improvement Budget. However, a good rule-of-thumb when considering a major maintenance or
rehabilitation project for existing facilities is to determine if costs exceed $20,000 or more. And, will it
extend the assets life by 10 years or more. In such a situation the County considers the project to be
capital in nature and, therefore, listed on the five-year CIP budget. Additional factors to consider are:

1) Is the asset improved?

2) Has its useful life been extended?
3) Has the asset’s quality been improved?
4) Does the repair actually upgrade the asset?
5) Does the repair reduce future maintenance costs?

C. Special Premium Pay. When a project is a public work and fully assigned to an hourly employee to
manage as the project manager they will receive a Lead Worker Differential or special premium pay
as outlined in Walworth County Ordinance Section 15-359. To receive the differential, the project
must be a multiple bid public works project as defined by State Statute 59.52(29) (a). Reference
Walworth County Ordinance Section 15-359 Special Pay Premiums and Administrative Procedure 6-
135 What Constitutes a Public Work for further details.

1.0.9 Project Delivery Methods

A. Design-Bid-Build

1. Most CIP projects will follow the traditional Design-Bid-Build method of project delivery. Due to the
competitive bidding laws associated with Public Construction, delivery methods such as Design-
Build and Contractor-Pre-Selection are not suited to most CIP projects.

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2. Under the Design-Bid-Build approach, the County will develop project plans and specifications
(either in-house, or through an A/E Firm) to fit the goals, budget and aspirations of the project.
Based on the completed construction plans and specifications, a contractor is selected through a
competitive public bidding process to complete the project at a set price and schedule.

3. Advantages of Design-Bid-Build:

a. Contractors bid competitively, based on complete design documents to maximize the built
product for the price.
b. The owner selects the A/E or design firm on the basis of qualifications or ability. The A/E’s role is
that of the owner’s advocate.
c. The A/E is active in construction administration so design intentions are followed.

d. Design and construction roles are clearly defined, and responsibilities and liabilities are clear.
e. Owner is an active participant in the design process.

4. Disadvantages of Design-Bid-Build:

a. Design-Bid-Build construction phase are sequential and may require more time.

b. Owner is at risk for final construction cost. Actual construction costs are not known until design,
bidding, and construction are complete.

B. Job Order Contract (JOC)

1. A JOC is a multi-year agreement with pre-established construction tasks at fixed unit prices for on-
call services. i.e., an umbrella contract for construction work. Job Order Contracts are a type of
Indefinite Delivery/Indefinite Quantity (IDIQ) contract.

2. A JOC is normally used for smaller/simple projects and/or a project with routine or repetitive
processes that are well known though the timing and/or amount of work.

3. Advantages of Job Order Contract:

a. Fast implementation leading to quicker delivery.
b. Lower overhead cost.
c. Reduced change orders.
d. Simplified design.
e. Pre-established pricing.

4. Disadvantages of Job Order Contract:

a. Initial learning curve for the contractor and County when implementing for the first time.
b. Potential lack of cost control if quoted estimates exceed actuals.
c. Can result in increased paperwork to process each job order.

END OF SECTION

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 SECTION – 02
ROLES AND RESPONSIBILITIES

2.0 Roles and Responsibilities

2.0.1 Organizational Structure (functions, purpose, accountabilities specific to project management)

A. Public Works Director – Provides executive leadership over the County Project Management
processes and programs. Supervise and manage the strategic phase of the project life cycle, to
include assignment of department Project Managers. Schedule, supervise and manage periodic inter-
departments project management and engineering coordination meetings. Review and approve
project contract and financial transactions. Coordinate and lead Public Works and Finance Committee
packet development and engagement efforts. Monitor project and Project Manager compliance with
County ordinances, procedures, and manual standards. Communicate strategic project management
concerns with stakeholders.

B. Project Manager - Provides technical input to County leadership for the purpose of planning and
budgeting Capital Improvement Projects (CIP) and smaller operating budget work. Collaborate with
County Department Supervisors and Purchasing to develop project life cycle. Maintain project
schedules, obtain appropriate committee approvals, and manage budgets and files accordingly.
Understand and ensure project compliance and quality control based on county and state ordinances,
and contract details.

C. Purchasing Division - Provides purchasing guidance to Project Managers to ensure compliance with
procurement laws, procedures, and processes. Determine appropriate solicitation process and form
of contract. Coordinate the procurement process from solicitation advertisement through contract
award, as well as assist with contract performance issues. Procurement coordination includes
advertising public notices, distributing solicitation documents, overseeing pre-bid meeting, acting as
point of contact for internal and external communications, issuing addenda, taking receipt of bid
responses, conducting solicitation opening, evaluating responsiveness of bidders, reviewing contract
bonds, assisting with contract negotiations, reviewing recommendation of award, issuing notice of
intent to award, preparing and routing final contract for execution and approving purchase
requisitions.

D. Finance Manager – Public Works – Provides support services within the Public Works Department
and to Project Managers. Comptroller sets up project accounts and Finance Manager facilitates
transfer of funds for budget shortages. Prepare annual request for DPW carry-forward projects.
Accounts Payable processes payments for vendor, consultants, and construction invoices. Provide
budget reporting, analysis, and recommendations to Project Managers and Public Works staff. Track
construction contract change orders. Coordinate with County Purchasing, as needed. Prepare period
reports, as required.

E. Project Sponsor – Does not have any specific responsibility for project activities but is accountable for
the successful completion of the project. Has ultimate authority to approve or disapprove project
decisions. Project Managers should keep sponsors well informed of critical project details and consult
them on any major project changes, as required.

2.0.2 How Projects are Assigned. See Section 6.1.3 Strategic Operations and 6.1.4 Strategic
Governance for details.

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ROLES AND RESPONSIBILITIES

2.0.3 Project Manager Authority. It is impossible and impractical for a Project Manager to complete every
task related to a project. Therefore, the Project Manager must have the authority to consult others on
specific tasks in order to move a project along in its life cycle. The Project Manager is accountable for
all aspects of the project and is the Project Sponsors representative but does not have unlimited or
ultimate authority. Therefore, they should keep the Project Sponsor informed on all major decisions.

A. Budget. Project Managers have principle responsibility for a projects budget and tracking funds
available by source. Actual control and management of funds is the responsibility of the Finance
Department. See Section 4.0 Budget Management for further details.

B. Personnel. Project Managers are responsible for managing stakeholders, and contracted labor. They
are responsible for coordinating with Project Sponsors to ensure project access and contractor
oversight (for security).

C. Contracts. Project Managers are required to coordinate and participate in the contracting process,
provide contractor oversight for compliance, but are not responsible for managing changes to
contracts themselves. Any contract compliance or non-compliance concerns should be directed to
Public Works Management. Public Works management will involve the Purchasing division and/or
corporation counsel, as appropriate.

END OF SECTION

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 SECTION – 03 A/E SERVICES

3.0 ARCHITECTURAL AND ENGINEERING SERVICES

3.0.1 General

The term ‘Architectural and Engineering (A/E) Services’ pertains to professional services that are completed
by a person or firm licensed or registered to perform the work. Examples of A/E services might include:
• Studies and Investigations
• Surveying and Mapping
• Project Design
• Preparing Plans and Specifications
• Construction Supervision

For a typical CIP project, following the traditional design / bid / build approach, the County will contract with
architects, engineers and consultants for professional and technical services.

3.0.2 Procurement of A/E and Consultant Services

The A/E selection process will vary based on the estimated cost of the professional services required. The
A/E design fees can generally be estimated as a percentage of the project’s construction cost. The PM
should consult with the Purchasing Division to determine the appropriate procurement strategy based on the
scope and dollar value of the project. The typical A/E procurement strategies available to the PM include the
following:

A. Ordinance Exempt Procurement (Estimated Fees < $25K):

For small, special, and one-time projects where the total estimated consulting fees are less than
$25,000, a firm may be selected by ‘Best Judgement Practices’ without competitive solicitation;
however, a contract is required for these type of services. PM should consult with Purchasing Division
to determine appropriate form of contract.

B. A/E Consultant On-Call / Job Order Contract (Estimated Fees between $25K and $250K):
Walworth County, through a competitive process, maintains open Master Services Agreements with
A/E Firms for a one to five-year duration, sometimes referred to as Job Order Contracts. ‘On-Call’
A/E fees are limited to $250,000 per project, where all costs including subcontracted services and
reimbursable expenses are figured into the proposal. Since most CIP projects will require consulting
services in this category, the A/E Consultant On-Call engagement process is further detailed in Article
3.0.3.
For projects involving specialized consulting services, beyond the capabilities of the A/E on-call firms,
a separate Competitive Solicitation for Services is required. In this event, the PM should consult with
the Purchasing Division.

C. Competitive Solicitation for Services (Estimated Fees > $250K -or- Specialty Consulting Services):
Where the A/E fees for a project are estimated to be greater than $250,000, the services must be
procured through a competitive RFP or RFQ process. A separate AIA B101-2017 ‘Standard Form of
Agreement between Owner and Architect’ or other form of contract will be executed for these
services.

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 SECTION – 03 A/E SERVICES

The PM should recognize that, in general, lower dollar construction projects tend to require a higher
percentage in design fees, while large projects will tend to have lower percentage design fees. The examples
provided below are for reference only:
Project Construction Cost: Estimated A/E Design Fees:
$ 25K - $250K 12% (new construction) - 15% (renovation construction)
$250K - $500K 10% (new construction) - 13% (renovation construction)
$500K - $750K 9% (new construction) - 12% (renovation construction)
$750K - $ 1M 8% (new construction) - 11% (renovation construction)
$ 1M - $2.5M 7% (new construction) - 10% (renovation construction)

3.0.3 Selection of A/E Consultant On-Call

Since the County maintains contracts with multiple on-call firms, it selects A/E’s for individual projects on the
premise that: 1) it is in the best interest of the County to engage the highest qualified firms for professional
services within the budget; and 2) that the selection process will be conducted in a fair and equitable way.

In order to make an informed decision as to which on-call firm is best qualified to complete a project, the PM
must complete the ‘A/E On-Call Selection Form’ found in Appendix A3.0.3-1. This document incorporates a
scoring system for each firm’s qualifications in the following areas:

Capabilities in various disciplines (scored from 0-10)

Performance on past projects (scored from 0-10)
Capacity to take on work (scored in ‘Status Points’)

The Firm Qualification Scores presented in Part-1 of the A/E On-Call Selection Form are fixed and are for
reference only.

The PM is responsible to complete Part-2 of the A/E On-Call Selection Form which is project specific. The
form is interactive and will identify the best qualified firm by comparing the project requirements to each firm’s
qualifications. Once completed, the PM may accept the result, or state a case for an alternate selection in the
‘comments’ section of the form. The completed document must be reviewed and approved by the Director of
Public Works prior to engaging a firm for services. The PM should retain a copy of the approved document in
the project file for future reference and transparency.

Establishment and Maintenance of A/E Qualification Scores: Each A/E Firm engaged in a Master Services
Agreement will have their qualifications assessed and scored on the following criteria:
A. Capabilities: The capabilities of each on-call firm is scored from 0-10 in categories such as Vertical
Construction, MEP, Security, Civil, etc. The firm’s scores are initially established by an evaluation
committee at the time the firm enters into a master services agreement with the County. All scores
are reviewed and adjusted annually prior to issuing contract extensions (if any).
B. Performance: At the completion of each project, the PM must complete a Performance Evaluation of
the A/E as described in article 3.0.7 below. A firm’s maintained performance score (from 0-10) is the
average of all performance evaluations on record from past projects. The performance scores are
compiled and adjusted quarterly. Each firm is initially assigned a score of 5.0 (Satisfactory) until a
performance history can be established.

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 SECTION – 03 A/E SERVICES

C. Capacity: The capacity of the firm to take on new work is based on the firm’s committed workload
with the County, quantified in the form of ‘Status Points’. A firm’s current workload status is
established by summing the total current A/E fees committed by the County divided by 100,000 (in
decimals to 0.1). High status points indicate that a firm has a large workload of County projects.

The A/E On-Call Selection Form, Performance Evaluations, Status Points, and all associated qualification
scores are maintained by the Associate County Engineer / Master Planner.

Engagement of A/E Consultant On-Call:

After the best qualified firm is identified and approved for a project, the PM should request a work proposal
from the A/E for the required services. Once the PM is satisfied with the scope of services and costs
presented in the work proposal, a Purchase Requisition is prepared and delivered to the Purchasing Division.
The resulting Purchase Order will be A/E’s authorization to proceed with the work, all in accordance with the
terms of the Master Services Agreement.

3.0.4 Changes to the Contract – Added Services

As the project progresses, changes to the project scope, schedule, or budget may necessitate additional
professional services. Prior to performing the added services, the A/E must submit a written cost proposal (or
work order) to the PM. The PM should consult with the Purchasing Division to determine the appropriate
method of modifying the existing contract or purchase order.
The A/E will not receive compensation for any additional services performed without the prior issuance of a
contract amendment or subsequent purchase order for the added services. Requests for payment for the
added services will follow the same procedures as all other payments.

3.0.5 A/E Contract Management and Payments

The A/E should not begin work until it has received a fully executed contract or purchase order. No requests
for payment will be considered until a contract is fully executed or a purchase order is issued, nor will the
County be obligated to compensate the A/E for any services performed without an agreement in place. The
PM should confirm that all contracts are fully executed before engaging the A/E in the delivery of any
services. Once the A/E fees are established, the PM should enter and track the ‘actual’ professional service
expenditures in the project’s budget detail (PBD) as shown in Section-04 and Appendix A4.0.3-1.
As work progresses, the A/E should prepare and provide detailed invoices at routine intervals for the duration
of the project, unless otherwise requested by the PM. It is the PM’s responsibility to review and route the
invoice internally for final processing. The PM should monitor the A/E’s pay requests and benchmark the
A/E’s progress against the design schedule and key project milestones.

3.0.6 A/E Contract Closeout

Prior to making final payment for professional services, the PM should confirm that all design contract
deliverables / submittals have been received including, but not limited to:
• Final Reports or Studies
• As-Built and/or Record Drawings
• Commissioning Reports
• Compliance Statements (when required for occupancy)
• Project Submittals and Submittal Log

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 SECTION – 03 A/E SERVICES

• Correspondence Records and/or Request for Information Logs

• Surveys, Geotechnical Reports, Field Reports or other sub-consulted deliverables

Once the PM is satisfied that all of the contract deliverables are received, the A/E may submit its final invoice.
Upon processing the final payment, the PM should note on the invoice it is a final payment and the remaining
PO balance should be liquidated (“Final Payment - Close PO”) and notify the Purchasing Division to close the
A/E contract in MUNIS, if applicable.

3.0.7 A/E Performance Evaluation

The performance of all A/E on-call firms is subject to continuous review and is taken into consideration when
awarding work and determining eligibility for contract extensions. To assist in this review, the PM should
complete an ‘A/E Project Performance Evaluation Form’ and score the consultant’s performance at the
completion of each project. The PM may also consider the input of the project stakeholders when evaluating
the A/E’s performance.

Performance is scored in categories relating to communication, quality and timeliness of deliverables, cost
control, etc. Depending on the nature of the project, not all performance categories will apply. A sample A/E
Project Performance Evaluation Form is show in Appendix A3.0.7-1. The A/E Performance Evaluation Form
should be obtained from, and returned to, the Associate County Engineer / Master Planner.

The A/E’s project performance is summarized into a single score between 0 and 10. The following criteria is
used for scoring, and decimals to 0.1 may be used to indicate varying degrees of A/E performance. A neutral
rating would be a value of 5.0:

Score: Guideline Scoring Criteria

10 A/E Performance is EXCELLENT
7.5 A/E Performance is VERY GOOD
5 A/E Performance is SATISFACTORY
2.5 A/E Performance is POOR
0 A/E Performance is UNACCEPTABLE

END OF SECTION

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 SECTION – 04 BUDGET MANAGEMENT

4.0 Budget Management

4.0.1 General

The Project Manager, in coordination with the Finance Manager is responsible for managing a project’s
budget. The Project Manager may be involved in developing cost estimates and recommendations for a
project early in the Capital Improvement planning process. Once a project is created and assigned, the
Project Manager will be responsible for monitoring, reporting, forecasting, re-estimating and adjusting the
project budget. Budget oversight will be a continuous task throughout the project lifecycle.

4.0.2 Project Funding Sources

Most Walworth County projects are funded from either a Capital Project Budget, or an Operating Budget. It is
important for the Project Manager to become familiar with the various funding sources, including their
limitations, in order to properly manage the budget for the duration of the project. It is possible for a project to
be funded wholly or in part by Grant Funding which will require a higher level of oversight and reporting.

Generally, Capital (CIP) funding is determined by the Finance Department at the time of next year budget
submission. Operating funding is also determined at time of submission for next year budget with the majority
of Public Works operating projects being funded by levy. Impromptu projects identified outside the budget
cycle can be funded by excess operating funds, excess current year project funds, assigned funds, fund
balance, grant funds, or third party funding. Budget compliance is outlined in AP 1-210 Budget Compliance,
which will need to be strictly adhered to for any budget amendments.

A. Capital Budget may be funded from the following sources:

1. Tax Levy
2. Grant Funding
3. Existing Funding (Building/Equipment)

B. Operating Budget may be funded from the following sources:

1. Tax Levy
2. Grant Funding
3. Third Party Funding (State or Other)
4. Fund Balance

The primary funding sources above operate under different rules established by the Finance Department. Of
primary importance is the ability to carry-over Capital Funds from year to year, where Operating Funds lapse
at the end of each year (i.e. use it or lose it).

4.0.3 Phased Budget Management (Roles and Responsibilities)

A. Strategic Phase (Rough Order of Magnitude - ROM). Unless a project was proposed and studied in
prior capital budget planning cycles, there is generally limited time to develop a detailed project
budget estimate. Project Managers assigned to develop a project packet for the Capital Improvement
Plan, or an operating budget proposal, need to provide an estimate; one as accurate as time allows.
The estimate should be at the higher end of the project range for budgeting purposes. The ROM is
recorded on Finance Form 1-220-A Capital Improvement Project Request (obtained from Public
Works Finance Manager) and Public Works forms (AP 2-105-series), when applicable. Things to
consider when developing the ROM include:

Materials/Equipment Direct Labor Design/Permit Fees Other Fees

Study/Report Costs Construction Costs FFE Costs Closing Costs

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 SECTION – 04 BUDGET MANAGEMENT

B. Planning Phase (Project Budget Detail – PBD). The ROM is just one of a number of project budget
factors that must be monitored and updated throughout a project’s lifecycle. After a budget for each
project is approved and a project is assigned, a Project Manager must categorize how the allotted
funds will be utilized. They should develop a matrix, or use available software, that classifies
expenses into three major categories: A – Professional Services; B – Physical Construction; and C –
Owner Purchases / Force Account / Other. Each category may have costs associated with various
phases of the project lifecycle and should be listed accordingly. Subcategory of expenses may
include: estimated contractor’s monthly pay estimates; project closeout costs; final payment process;
retainage; subcontractors and applicable costs outlined under Section A (above). Each project may
have separate requirements but all will require a working PBD. PBDs on active projects should be
reviewed monthly or whenever a Payment Request Form is submitted. Project Managers should
consult with County Engineers, Finance or Purchasing representatives to determine recommended
cost categories. Project Managers should be prepared to provide their PBD upon request. See Figure
4.0.3 PBD matrix for a sample (below) or See Appendix Section 08 (Document A4.0.3-1 Sample
Project Budget Detail).

Figure 4.0.3 Sample Project Budget Detail

SAMPLE PROJECT BUDGET DETAIL
PROJECT NUMBER & TITLE
PROJECT BUDGET DETAIL (PBD)
REPORT DATE:
Sunk Sunk Working
A PROFESSIONAL FEES Total Estimate Planning Est. Planning Actual Design Estimate Design Actual Bid Estimate Bid Actual Constr. Est. Constr. Act. Close Est. Close Actual Costs Contingency Liquidated Balance Vendor Comment
A1 A/E Services - Planning Phase 115,000 5000 5000 0 5,000 15,000 0 110,000 Ventrue Architects
A2 A/E Services - Design Phase 50,000 50000 50000 50,000 0 0 0 Ventrue Architects - Sub
A3 A/E Services Bid Award Phase 1,000 1000 1,000 1,000 0 0 0 Ventrue Architects
A4 A/E Services Build/Construct Phase 40,000 40,000 10,000 10,000 0 0 30,000 Ventrue Architects
A5 A/E Services Closeout Phase 4,000 4,000 0 0 0 0 4,000 Ventrue Architects-Sub
A6 Third Party Consultaiton / Plan Review 0 0 0 0 Hurtado-Zimmerman
A7 Permits 0 0 0 0 0 County Register of Deeds
A8 Legal Consultation 0 0 0 0 A/E - TBD
A9 Other 0 0 0 0
Sub Total: 210,000 0 15,000 0 144,000

B BUILDING / SITE CONSTRUCTION

B1 Building & Site Construction (Prime) 1,000,000 800,000 50,000 0 150,000 0 1,000,000 Miron Const.
B1 Building & Site Construction (Sub) 0 0 0 0 0 Miron Const.
B2 Change Order No.01 0.00 0.00 Miron Const.
B3 Change Order No.02 0.00 0.00 Miron Const.
B4 Change Order No.03 0.00 0.00 Miron Const.
Sub Total: 1,000,000 150,000 0 1,000,000

C OWNER PURCHASES / FORCE ACCOUNT / OTHER

C1 Furniture Fixtures and Equipment 75,000 10000 10000 65,000 10,000 0 0 65,000 M&M
C2 IT Equipment 10,000 0 0 0 10,000 TDS
C3 Impact Fees 25,000 25,000 0 0 0 25,000 Walcomet
C4 Impact Fee - (6-Inch) Water 14,000 14,000 0 0 0 14,000 City of Elkhorn
C5 Moving 25,000 25,000 0 0 0 25,000 Coakley, Adv Disposal, Rhyme
C6 Other - Special Equipment (floor cleaner) 25,000 25,000 0 0 0 25,000
C7 Other - County Force Account Work 12,500 12,500 0 0 0 12,500
C8 Other - Builder's Risk Insurance 2,000 2,000 0 0 0 2,000 Walworth County
C9 Other - Advertising / Class Notice 100 100 0 0 0 100 S. Lakes Newspaper
C10 Other - Miscellaneous Equipment & Purchases 20,000 20,000 0
Sub Total: 208,600 0 0 178,600

SUMMARY
Estimate Sunk-1 Sunk-2 Liquidate Balance
ESTIMATED PROJECT TOTAL: 1,418,600 76,000 165,000 0 1,322,600

1. Encumbrance of Funds / Purchase Order

The PM must plan to encumber funds, in order to pay for the contracted work, by means of a
Purchase Order. For most public works projects, the Purchase Order is non-contractual and serves
only to earmark funds in a project’s account for a specified purpose. In this instance, the Purchase
Order is simply an instrument for internal accounting and is not presented to the contractor, unless
requested by the contractor, as the contract commits both parties to the public works project. Refer
to AP 6-306 Purchase Orders for the approved process.

The Purchase Order is an output of a requisition process which takes place in MUNIS. Since the
requisition process is digital, the PM is responsible to see that all necessary information is provided to
the individual entering the requisition information into MUNIS. To initiate this process, The PM will fill
out Appendix A4.0.3-2 DPW Purchase Request Form and obtain proper approval signatures.

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 SECTION – 04 BUDGET MANAGEMENT

C. Construction Phase. Project Managers should take every measure to control costs. Deliberate and
detailed management of each project is the best cost control methodology. Management will ensure
that each Project Manager, contractor, and A/E firm is not overwhelmed with so much on-hand work
that they cannot properly adhere to the processes outlined in this manual. Additionally, estimates may
be wrong and challenges may arise that result in the need for a change order. Change orders may be
the result of a change in scope or a poor estimate. County procedures for change orders are outlined
in AP 6-310 Change Orders. A Project Manager must know all County procedures and they should
document any change orders monthly on their PBD, and on the department monthly Construction
Management Report (CMR) that is submitted to the Public Works Committee. All change order
documents should first be submitted to the Finance Manager and Public Works Administrative
Assistant for processing and recording onto the CMR, and for submission to the appropriate awarding
authorities. Refer to AP Appendix 6-102-B County Fiscal Awarding Authorities.

During the Construction Phase, the PM will be responsible for reviewing and approving payment
requests submitted by the A/E Firm; the Contractor, Supplier or Vendor. All invoices or pay requests
shall be accompanied by a Payment Request Form attached as a cover sheet. In accordance with
Walworth County Ordinance 30-121 (b) and (c) expenditure authority regarding construction contracts
greater than $100,000, partial payments are to be reported to the Public Works Committee, and/or,
final payments regarding contracts require Public Works Committee approval. In order to document
payment requests, Project Managers will fill out and submit the Payment Request Form for
construction contracts greater than $100,000 to their supporting administrative personnel. See
Appendix Section 08 (Document A4.0.3-3 Payment Request Form & Instructions). The Finance
Manager prepares the Final Pay Summary & Invoice Payment Report for submission to the Public
Works Committee when the final payment is made and the project is to be closed.

Mobilization / Re-mobilization / Demobilization. The PM and supporting A/E contract staff will monitor
mobilization costs in accordance with the contract. Contracts for transportation projects will utilize
standards outlined in Section 619 ‘Mobilization’ of the Wisconsin Dept. of Transportation Standard
Specifications for preconstruction meeting discussions on mobilization, and similar State standards
for demobilization (Article 109.4.7.2.4). Remobilization follows mobilization procedures. Other
construction projects will utilize Construction Specification Institute Section 01 71 13 Mobilization
standards. If a contract does not include standard state specification or CSI Division 01, then the
following measurement and payment language will be included in the contract and discussed during
preconstruction meetings:

a. Mobilization and Demobilization

1) Measurement: This Item shall be per each remobilization performed.
2) Payment. The work performed and materials furnished in accordance with this Item are
subsidiary to the various Items bid and no other compensation will be allowed.

b. Remobilization for suspension of Work as specifically required in the Contract Documents

1) Measurement: This Item is considered subsidiary to the various Items bid.
2) Payment. The work performed and materials furnished in accordance with this Item and
measured as provided under “Measurement” will be paid for at the unit price per each “Specified
Remobilization” in accordance with Contract Documents.
3) Price. Shall include:
a) Demobilization. Transportation of Contractor’s personnel, equipment, and operating supplies
from the Site including disassembly or temporarily securing equipment, supplies, and other
facilities as designated by the Contract Documents necessary to suspend the Work. Site
Clean-up as designated in the Contract Documents
b) Remobilization. Transportation of Contractor’s personnel, equipment, and operating supplies
to the Site necessary to resume the work.

END OF SECTION

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 SECTION – 05 SMALL PROJECTS

5.0 Small Projects

5.0.1 Introduction

Walworth County conducts various large capital improvement projects (CIPs) for facilities, grounds and
county infrastructure that utilize the full Project Lifecycle summarized later in Section 6. These projects tend
to be more formal and follow the design-bid-build format that is contained in this manual. There are many
projects that utilize streamlined or truncated versions of the project lifecycle due to various reasons, not
limited to, but including, dollar thresholds related to purchasing procedures or County ordinance, project
complexity and the ability to use existing contracts for services. This section will discuss those projects and
the simplified steps associated with ensuring project success.

5.0.2 Small Project Definition

Small projects are perceived to be relatively easy and require less administrative effort than large projects, but
there is no one way to define “small”. For the purposes of this manual small projects are generally:

• Short in duration, lasting less than 6 months

• Have few team members, typically a Project Manager or Engineer and a Project Sponsor.
• Narrowly defined scope
• Involves a small number of skill areas (trades)
• A single easily achievable objective
• Affects a single entity
• Costs less than $100,000
• The Project Manager is the primary source of leadership and decision making.
• May be subject to in-house engineering design or assigned by job order contract to contracted A/E
firms.

A. Dollar Thresholds

Walworth County has established dollar thresholds for purchasing that play a role in defining whether or not
a project is considered small. In general, projects with an estimated cost of less than $5,000 are
operational in nature.

1. Less than $5,000

For projects with an estimated cost of less than $5,000, the PM is allowed to use his or her best
judgement and does not need to get multiple bids. However, in the interest of receiving the most
competitive pricing, multiple bids are preferred.

2. Between $5,000 and $24,999

Projects with an estimated cost of less than $25,000 and more than $5,000 require formal purchasing
procedures such as a Request for Written Quotations. The PM should consult with the Purchasing
Division for guidance.

3. Between $25,000 and $99,999

a. General: Projects with an estimated cost of more than $25,000, but less than $100,000 have
very formal procurement procedures and require written specifications or design documents, and
a formal advertised bid.

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 SECTION – 05 SMALL PROJECTS

b. A Public Work & Hourly Employee Compensation:

A Public Work is defined by Wis. Stats. Section 59.52(29) as the construction, repair, remodeling
or improvement of any Public Work or building or for the furnishing of supplies or material of any
kind. What constitutes a Public Work is also further defined in Walworth County Administrative
Procedure 6-135. A project that constitutes a Public Work and is estimated to cost less than
$100,000 is considered a small project. Projects in this classification may have additional legal /
procurement requirements. The PM should consult with the Purchasing Division for guidance.
An hourly employee who performs the duties of an assigned project manager for a public work
will qualify for premium pay in accordance with Ordinance 15-359 Special Pay Premiums.

NOTE: Some cooperative purchases that exceed $100,000 are considered small projects and
may involve assignment of an hourly employee to management the procurement as the assigned
project manager.

Figure 5.0-1 Project Classification – Summary Table

Operational
Estimated Total Cost* Purchase Small Project Large Project
Less than $5,000 X
Between $5,000 and $25,000 X
Between $25,000 and $100,000 X
A Public Work between $5,000 - $100,000 X
A Public Work > $100,000 X
* Total project cost, including assessment, design, and construction

5.0.3 Project Splitting

When attempting to classify a project as small or large, it is important to note that the project’s
estimated value takes into account all components of the project. A Project Manager cannot look at a
$150,000 project and divide it up into smaller portions to classify it differently, or to have different
purchasing rules apply. That is referred to as project splitting – a deliberate attempt to divide a project
to circumvent established purchasing thresholds and rules.

5.0.4 Project Manager Responsibilities

The PM is ultimately responsible for the successful delivery of the project to the Project Sponsor.
Small projects are unique because the method to get from project initiation to project completion does
not always follow the workflow identified in Chapter 6 of this manual. The project manager may skip
sections or parts of sections entirely. Conversely, the project may require that every step is followed
just as it would be for larger projects.

5.0.5 General Contracting – The PM’s ability to general contract

A. Projects under $25,000

PM’s may act as a general contractor for small projects where the total estimated cost of the project is
under $25,000. If the project or any portion of the project is considered a “Public Work’, the PM
should consult with the Purchasing Division to determine contracting and legal ad requirements.

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 SECTION – 05 SMALL PROJECTS

EX: A wall is constructed to create a private office. The PM is allowed to contract / procure the
services of all necessary trades (on an individual basis) to construct that wall. Such a project could
foreseeably include quotes for carpentry, HVAC, fire suppression, flooring, etc., so long as the total of
those quotes does not exceed $25,000.

B. Projects above $25,000

Above $25,000 PM’s may not act as a general contractor, as described in the example above.
Projects above $25,000 follow a formal public bidding process where the entire scope of the project is
awarded to a general contractor. The general contractor (GC) will be responsible for bringing in
necessary trades/specialties. In those cases, the PM would work directly with the GC in a
construction management role. Specifically, the PM would track requests for information, work with
the GC on necessary change orders and other budget considerations, process invoices and track
budgets, follow Walworth County rules pertaining to reporting to the Public Works Committee and the
County Board of Supervisors, to ensure proper closeout, and that training has been provided to
Facilities staff.

In some cases, another layer of complexity can be added where the PM hires a firm to manage
construction administration. In that case, the firm hired for construction administration would be the
direct point of contact for the GC and the PM would act as the owner and direct the consultant /
Owner Representative.

5.0.6 Minimum Requirements for Small Projects

A. The Strategic Phase

The strategic phase for small projects is substantially similar to the strategic phase for large projects.
However, the important thing to know is Project Managers will be assigned projects near the end of
this phase. A complete overview of the strategic phase is discussed in Section 6.1 Project Strategic
Phase.

B. The Planning Phase – Minimum Requirements

The planning phase is where small projects begin to differentiate from large projects though the goal of
having a fully scoped and budgeted project be the same.

1. Kickoff Meeting with the Project Sponsor

The Project Manager and the Project Sponsor are required to meet with the goal of transitioning the
project from an idea to actual work. During this meeting the PM and PS will clearly identify the
scope of work to be completed and ensure that scope is able to be accomplished in the already
established CIP or operations budget project line item. Depending on the complexity of the small
project, additional items may need to be discussed. Please reference Section 6.2 for a complete
discussion of additional topics that may be considered.

2. Refine Project Budget

Following the Kickoff Meeting the PM should refine the project budget and estimate the cost for
different project components/procurements (if more than one). At a high level, the PM should
ensure that the refined scope coming out of the kickoff meeting is able to be accomplished within
budget. If there are budget concerns the PM needs to go back to the Project Sponsor to discuss
the options; reducing scope, or requesting additional funding. If the project involves A/E services,
the firm may assist with budget development.

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 SECTION – 05 SMALL PROJECTS

3. Procurement Strategy
The procurement strategy for small projects can be complicated and multiple procurements may be
necessary within a project. It is important for the PM to be aware of purchasing guidelines and be
familiar with all potential strategies. Consult Purchasing representatives, or others, for the best
procurement strategy prior to submitting forms to Purchasing.

4. Project Numbering & File Structure

Refer to Section 7.0 Records Management for the proper nomenclature of numbering small
projects. All small projects files and folders must be numbered accordingly.

5. Create a Project Budget Worksheet (PBW)

A sample of a Project Budget Worksheet is located in Appendix 4-0.3-1. The PBW is discussed in
detail in Section 4.0.3.B. It is a document or spreadsheet that tracks all budget and financial
aspects of a project. The PBW will be created at the beginning of the project in accordance with
provisions of this manual. The PM will update all payments, change orders, credits or other
financial transactions as they occur.

C. Design Phase – Minimum Requirements

Selection of a Design Option - The design phase for small projects can range from no design to formal
design. On certain small projects it is possible that different project components require different
design options. The selected design option will guide the paperwork and approvals that are necessary
to proceed.

1. Formal Design Options.

For purposes of this section (Section 05) assigned PMs will utilize either in-house design
capabilities (Department Engineers) or our Job Order Contract – Architectural & Engineering
providers.

2. Informal or No Design Options – Minimum Requirements

There are four options a PM can select for informal or no design projects:

a. Job Order Contract – A job order contract is simply using an existing contract to provide services.
For example, if a flooring company is under contract, the PM can ask for a quote on the job. The
contract was competitively bid, so no additional quotes are necessary.

b. One Time Cooperative Purchase – Cooperative purchasing is procurement conducted by, or on

behalf of, one or more public procurement units. Essentially, the bidding is done by the
cooperative agency, not the governmental agency. Walworth County uses cooperatives
especially for equipment purchases. Instead of writing a specification and bidding out the work,
we can work with a vendor covered by a cooperative contract and make the purchase.

c. Waiver of Competition (WOC) – A waiver of competition is used when a purchase is made

without ordinance exemption or utilizing one of the purchasing methods described in AP 6-102
General Purchasing Processes and Requirements. Typically, a WOC is used when you are
dealing with proprietary systems or there is a strong case not to bid due to timeliness, or unique
circumstance in the nature of the work, etc.

d. Request for Quotes – A request for quotes can be used for goods and services between $5,000
and $25,000. If the work is a “Public Work” then the PM will work with Purchasing on different
requirements.

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After the PM has selected the most appropriate design option, there are steps that need to be taken
to officially bring the firm on board. This will require specific purchasing forms and issuance of
contract and/or purchase orders. The exact method for onboarding a firm varies by dollar value, their
current contract status and the type of design process chosen.

1) Job Order Contracts & Professional Services < $25,000 – The PM will contact the contracted
firm (A/E, flooring, etc.) and discuss project requirements and specifications. The information
shared should reflect what was discussed with the Project Sponsor and approved on the Small
Project Management Worksheet. In some cases, a site walkthrough will be necessary to
familiarize the firm with the specific site and less obvious factors that could introduce risk into
the successful completion of the project. Once the firm has an understanding of the required
work they will provide a quote and the PM will officially onboard the firm through a purchase
order. Read more about Purchase Orders later in this section.

2) In-house design – If the PM selects in-house design, the process can continue without
additional form or approvals.

3) Request for Quotations – If the PM selects this option he/she will be responsible for obtaining a
minimum of 3 written quotes from different vendors. Before proceeding with obtaining quotes
the PM will submit an RTIP to their assigned buyer. Once the RTIP has been approved, the PM
can contact vendors. In the process of obtaining the quotes the project requirements and
specifications must be communicated to the firms quoting the project, and they must line up with
the information approved on the Small Project Management Worksheet. The project
requirements could be communicated verbally, but it is best to write them down on a memo or in
an email for complete documentation. In some cases, a site walkthrough will be necessary to
familiarize the firm with the specific site and less obvious factors that could introduce risk and
jeopardize the successful completion of the project. Once quotes have been received, the PM
is required to take the lowest responsive quote. The PM will then complete a Purchase
Request form. That process is described below.

3. Purchasing Forms and Purchase Orders

a. After determining what design option best fits your project, you will need to initiate purchases with
one of three Purchasing Division forms, 6-104-A A Request to Initiate Purchase, 6-225-A A
Waiver of Competition, or 6-220-A A One Time Cooperative Purchase >= $100,000. These forms
will be used for every separate purchase or procurement under the project. If your procurement
falls in to one of the exceptions mentioned in section 5.3(b) below, then purchasing forms are not
needed.

NOTE: After you have received a completed and approved form you can proceed with submitting
a DPW Purchase Request for approval. Once a Purchase Request has been approved, the
requisition can be entered into Munis. Upon approval of the requisition in Munis, a purchase
order will be issued to the vendor and the PM can contact the firm vendor so work can proceed.

b. Exceptions to Purchasing Forms

1) Approval forms are not required for the following types of purchases:
2) Purchases of less than $5,000
3) Purchases between $5,000 and $24,999 for goods, general services & non-public work
projects.
4) Ordinance exempt purchases, specifically A/E professional services valued at less than
$25,000.
5) Reference Walworth County Administrative Procedure 6-104 for a detailed breakdown of the
necessary forms and approvals needed for different types of work.

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4. Design Process

All designs should be a collaboration between the PM, the PS and the design professional. The
small projects design processes include:

a. Job Order Contract – When a JOC is for A/E services the PM will refer to Section 6.3. When the
JOC is using another existing contract (ex: Flooring, Security) the design takes place between the
PM and the contractor in defining the scope, selecting products, etc. The PM will carefully review
quoted work. Quoted work should detail specific products, lead times, delivery dates, etc.

b. One Time Cooperative Purchase – The one-time cooperative purchase process is similar to a
JOC. The PM identifies a vendor that is approved through a cooperative purchasing agreement
or a piggy back on another governmental contract. The remainder of the design process, to the
extent design is necessary, follows along the same lines as a JOC (described above).

D. Bid/Quote and Award Phase – Minimum Requirements

With small projects the bid/quote phase could be formal or informal and may be a complex
component of the design phase, in some cases. In a small project where the PM is acting as the
general contractor (for projects under $25,000) you may quote several separate items under the
same project. A small Project Manager should consult their leadership or the Purchasing Division for
what bid/quote options they should pursue. Section-06 of this manual covers the Bid Phase in detail
for both small and large projects and should be referred to.

E. Construction Phase – Minimum Requirements

The construction phase is covered in detail in Section 6.5 of this manual. For larger more complex
small projects, PM’s must adhere to all aspects of Section 6.5. In many cases, small projects will not
require all of those steps.

1. Notice to Proceed – Upon completion of the purchase order or the issuance of a contract the vendor
will be issued a ‘Notice to Proceed’ by the PM. See Section 6.4.18. After the notice has been given
the PM is able to begin the construction phase.

2. Required Construction Meetings

a. At a minimum, the PM will be required to hold a Pre-Construction Meeting with the selected
vendor. The content of the pre-construction meeting, where it’s held and the individuals required
to attend will vary based on the scope of the project. At a minimum, a vendor representative and
the PM will meet to discuss the work before it begins. Topics to be considered at the pre-
construction meeting will include: Communication strategy to stakeholders (if necessary), site
logistics, impact to building occupants and mitigation efforts, safety (including hazmat), how to
handle requests for information (if not a formal process) and project schedule.

b. If work on a project has an initial schedule of more than two weeks, a Construction Progress
Meeting will be required after two weeks and every subsequent two weeks the project continues.
The construction progress meeting will be attended by, the PM and the prime vendor, and others,
as appropriate. The meeting will talk through progress, schedule, issues and requests for
information that have not been responded to.

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3. Questions and Requests for Information

a. A method for making a request for information and responding to a request will be established in
the pre-construction meeting. For less formal projects it is still recommended that requests for
information be memorialized with written correspondence, such as email, even if initial requests
and responses are handled on the job site or over the phone.

4. Monitoring of Budget and Scope

a. The project budget will be monitored with a spreadsheet similar to Appendix A4-01 Sample
Project Budget. This sheet will be saved in the project file and updated as payments are
processed.

b. The scope of a small project should be well defined, and subject to fewer potential change orders
than larger projects. The PM will work to ensure the scope does not change from what was
initially contracted. If a scope increase (or decrease) cannot be avoided, then a Change Order
will need to be approved. See section 6.5.11 regarding the Change Order process. Note:
Change orders can be additive or deductive to the initial project scope.

5. Construction Observation

a. For work that exceeds eight (8) hours, the PM will plan to have a visible presence on the job site
for quality control purposes. At a minimum, weekly check-ins are required throughout the project
at the site for quality control and contract compliance.

F. Closeout Phase – Minimum Requirements

The closeout phase is covered in detail in Section 6.6 of this manual. For larger more complex small
projects PM’s must adhere to all aspects of Section 6.6. In many cases, small projects will not require
all of those steps.

1. General Requirements

a. Reference section 6.6.1 of this manual for general requirements and the importance of the
closeout phase to the success of the small project and our ongoing operations.

2. Documentation

a. The PM is required to obtain documentation on the operation of any equipment that is installed in
Walworth County facilities. Typically, this will come in the form of an Operations and
Maintenance Manual (O&M) as described in 6.6.2, but may be something as simple as a user
manual for a single piece of equipment. Documentation should be saved electronically in the
project file and attached to the asset in AssetWorks for easy reference during future repairs. If
the asset is new it must be added to AssetWorks. The year, make/model of the equipment, and
“in-service” date, along with maintenance requirements, will be documented.

b. In regards to as-built documents see Section 6.6.7.

3. Turnover to Maintenance

a. New equipment that is substantially different than equipment it replaces, or is new altogether,
requires training be provided to building maintenance staff. See Section 6.6.4.
b. In regards to attic stock see Section 6.6.5.
c. In regards to warranties see Section 6.6.6.

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5.0.7 Project Lifecycle Overview – Small Projects

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Phase Phase Phase Phase Phase Phase

6.0 Project Lifecycle

6.0.1 Introduction

The Project Management Institute (PMI) has established five phases of project management: Initiating,
Planning, Executing, Controlling, and Closing. These are further defined below and are the basis for
establishing the Project Lifecycle for many organizations.

Initiating: Formal recognition of the beginning of a project.

Planning: Creating and maintaining a workable plan to accomplish the purpose of the project.
Executing: Carrying out the plan.
Controlling: Monitoring progress and taking corrective action when necessary.
Closing: Bringing project and paperwork to 100% completion, and entering the history in a database.

The Project Lifecycle detailed in this Section is based on the above methodology, and is generally the way
Walworth County conducts projects. It is the responsibility of the Project Manager to either perform the
individual tasks in the lifecycle, or make sure they are completed and the necessary people and/or groups are
involved. Not all phases of the Project Lifecycle will be required for every kind of project. The Project Manger
should work with the project stakeholders to determine which phases are needed for their project to obtain the
desired outcome.

A Cautionary Tale:
The Six Phases of a Project (illustrated in
the side-bar) is a cynical take on the
outcome of large projects, with an unspoken
assumption about their seemingly inherent
tendency towards chaos. The list is
reprinted in slightly different variations in any
number of project management books, and
generally includes the following phases:

1. Enthusiasm

2. Disillusionment

3. Panic, hysteria and overtime

4. Search for the guilty

5. Punish the innocent, and

6. Praise and Honor for the uninvolved

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6.0.2 Project Lifecycle Overview

The following slides illustrate the tasks and key personnel involved with the various phases within the project lifecycle:

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Phase Phase Phase Phase Phase Phase

6.1 Project Strategic Phase

6.1.1 General

Under the Strategic Phase, a project is proposed by a sponsoring agency (client department), is assessed for
need, and benchmarked against the County’s long range objectives and various plans, e.g. Facilities Master
Plan; 5-Year Capital Improvement Plan, etc.

Prior to the ‘Initiation Phase’, or the beginning of the traditional project delivery lifecycle, County projects are
conditioned upon a Strategic Phase (or review) whereby all projects are:

Sponsored: All projects require a Project Sponsor (usually an individual assigned within the client
department).

Deemed Mission Essential: All projects continue in the development and maintenance of the infrastructure
essential to the County mission.

Funded: Specific funding/grant sources are defined for each project before approval and initiation.
Additionally, all projects will be given a Rough Order of Magnitude (ROM) or budget estimate.

Assigned: Projects are assigned to a Project Manager; generally, a Public Works employee but not always.

Monitored: All projects will be actively monitored by Finance, department sponsors, and the assigned
Project Manager. Later, all projects will be reviewed by Elected Officials and County Executives.

6.1.2 County Master Plans

The County maintains several plans that guide County decision makers. Project Sponsors and / or principal
plan managers should review, and update, when appropriate, each plan during the Strategic (Operational)
Phase. Plans include:

A. 5-Year Capital Improvement Plan Adopted Budget-in-Brief Booklet

The budget book may not necessarily constitute a plan but should be viewed as a critical source of
previously documented projects. The booklet includes projects documented years prior to implementation.
Projects documented should be annually reviewed for relevancy and modification (scope, funding). Review
and updates to the budget booklet are made by department sponsors, Project Managers, and others using
an Access database published by the Finance Department. The principal manager of this plan (or
booklet/database) is the County Finance Director.

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B. Facilities Master Plan (FMP)

The FMP outlines long-term strategic intent for County facilities and grounds. The FMP is a critical source
for determining: authority to alter space based on allocations; energy improvements; security threats and
requirements; and, facility life-cycle decisions. This Plan should be the primary means of conceptualizing
and justifying projects proposed during the Strategic Phase.

A review of the FMP should be done in accordance with AP 2-105 to determine if existing facilities, and
equipment can be utilized to meet the proposed project’s goals. Efforts should be made to ensure
conformity with space standards, building flexibility, and health standards. The Plan is a living document
supported with computer aided design files that are updated with as-built information as projects are
completed.

While minor changes to the FMP will occur, it is recommended that the FMP be thoroughly reviewed once
every ten years. The principal manager of this plan is the County Facilities Master Planner (Associate
County Engineer (Civil)).

NOTE: FMP updates should not alter long-term strategic intent without significant scrutiny or justification
by County Project Authorities.

C. Building Assessments
Short-term (5-Year) subordinate plans to the Facilities Master Plan with emphasis on mechanical,
electrical, and plumbing (MEP) systems. May also include roof, parking lot, and other exterior improvement
or maintenance recommendations. Building assessments make recommendations on optimal system
replacement schedules, but should account for equipment life-cycle, facilities maintenance capabilities, and
budget availability. Building assessments by outside third parties should occur once every five to ten years.
The principal manager of these plans is the Asset Manager (Public Works).

D. County Highway Road and Bridge Improvement Plan

Mid-term (10-Year) budget planning document for all planned road and bridge improvement projects. Plan
design includes those road projects necessary for public safety and for sustaining an overall pavement
surface evaluation rating (PASER) of seven (7) throughout the County Trunk Highway (CTH) systems. Any
road segment that is at or below a four will be included on the plan in accordance with County Ordinances.
Similarly, any bridge with a sufficiency rating of 50 or below will also be scheduled for rehabilitation or
reconstruction within ten years, if preventative maintenance procedures are determined to be insufficient.
Highway personnel are to update PASER ratings following any major maintenance and improvement
projects, and, all road networks are to be assessed every odd year e.g. 2021. In addition, it is
recommended that modern technology be used to survey road networks every five to ten years to improve
the evaluation and project decision-making processes. The principal manager of this plan is the County
Engineer.

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E. County Highway Maintenance Plan

Long-term (20+ Year) maintenance strategy that complements and is complemented by the County
Highway Road and Bridge Improvement Plan. Plan establishes maintenance strategies for all County road
segments. Plan intent is to minimize the need for road improvements by extending the lifecycle of our roads
using the most affordable maintenance options. Plan is complemented by sustainment of critical datasets,
e.g. Wisconsin Information System for Local Road (WISLR), which maintains PASER and asset data
referenced above. The principal manager of this plan is the Deputy County Highway Commissioner.

F. Equipment Plans
The County requires that the Department of Public Works maintain a 10-Year Highway Equipment plan.
This plan should be complemented by capturing similar data for all Public Works equipment because of its
shared intradepartmental mission. Meaning, the department should avoid ordering more equipment than is
necessary. While 10-Years is all that is required by the County Finance Department, the department should
track at least twice that for a more accurate reflection of equipment priorities. In addition to Public Works
equipment plans, the Sheriff, Health and Human Services, and Land Use and Resource Management
(LURM) should have a plan / strategy that provides justification of their fleet requirements. The principal
manager of these plans is the Asset Manager / Operations Analyst.

G. Park Plans
The Department of Public Works maintains several nested park plans. The main plan is the Southeast
Wisconsin Regional Planning Commission (SEWRPC) Park and Open Space Plan which should be
updated every five to ten years. Nested to this plan are individual park and trail improvements, and
management plans for each Walworth County managed asset, e.g. White River Trail. The principal
manager of these plans is the Asset Manager (Public Works).

H. Information Technology

The Information Technology Department does not have an overarching plan but accepts annual Project
Information Justification (PIJ) requests from departments. The PIJ process documents department software
and network improvement requests. In order to keep DPW informed of IT projects with public works
concerns, and vice versa, each department should communicate requests during the Strategic Phase. This
coordination should occur during the Strategic Operational Phase or project justification and review
periods. A critical resource for identification of interdepartmental equities, although not perfectly suited, is
the CIP forms utilized by both Finance and Public Works. The principal manager providing oversight of this
communication is the Director of Public Works.

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6.1.3 Strategic Operations:

A. Annual Call for Projects (Project Proposal) Project proposals are typically requested early in the
County’s annual budget cycle, generally 1st Quarter of the fiscal year, but may also be submitted
outside of the annual budget process. Significant interdepartmental coordination is required to build
the business case (justification) for each project proposed. Highlights of the typical project proposal
process include:

1. Public Works Kick-Off Meeting:

Each December the Director of Public Works will coordinate a CIP kick-off meeting to take place
early in the new fiscal year. The purpose of the kick-off meeting is to review or identify: proposed
(conceptual) projects each department would like added to the CIP; known projects in the budget
booklet; project sponsors; project scoring requirements; and, appropriate submission documentation
requirements (forms) of both Finance and Public Works. Due to the complexity of the meeting,
departments should be invited in small groups, e.g. invite departments based on buildings assigned.

NOTE: Following the meeting, department sponsors should: begin documenting their business case
on Finance Form 1-220-A Capital Improvement Project Request (obtained from the Public Works
Finance Manager) and appropriate Public Works forms under Administration Procedure 2-105
Facilities Master Planning Process & Standards. In addition to these forms, each department will file
Form 2-118-B Project Assessment Form to provide Public Works an estimated scoring on the merits
of their proposal. Public Works officials will independently review and score project using the same
form.

2. Justification Review and Coordination (Define Project).

Following the kick-off meeting, the Director of Public Works will assign a temporary Project Manager
to assist departments in building their business case using the forms noted above. The justification
and review period will generally occur during the months of March thru June. As part of the Project
Managers effort, they will coordinate with other subject matter experts (IT, Engineering, Fleet) in
order to assist the Project Sponsor in gathering project background information, clarify project
prerequisites, and highlight potential constraints which may adversely affect the project.

Through this interactive process, the Project Sponsor and temporary Project Manager will develop
a: high-level project description and scope; prepare a rough-order-of-magnitude (ROM) budget
estimate; and, establish a tentative start date (quarter/year). This information will be compiled by
the temporary Project Manager and delivered to the Associate County Engineer (Civil), or County
Master Planner, who will consolidate all documentation for non-vehicle projects proposed. The
County Master Planner will review projects proposed and make comments based on their merits,
affiliation or impacts upon facilities master plans. The County Master Planner will organize a project
submission booklet for the County Engineer and Director of Public Works to review no later than
June 30 each year.

NOTE: the first page of this booklet will include a draft copy of Form 2-118-A DPW Capital
Improvement Projects (CIP) Prioritization List, to be completed by the Director.

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Separately, the Asset Manager and Fleet Foreman will review all fleet-related procurement proposals
to determine any fleet management concerns, e.g. lifecycle. Fleet concerns will be documented on
either a supporting memorandum or Form 2-101-B Public Works Equipment Procurement Request /
Analysis. Use of vehicle lifecycle and maintenance data is strongly encouraged in the development
and articulation of the fleet manager’s support or concerns.

NOTE: Department Sponsors are responsible for filing Finance Form 1-220-A Capital Improvement Project
Request, however, Public Works staff should review submissions to ensure alignment with their project
understanding. In addition, Public Works staff should determine if language is too broad or specific, lending itself
to unnecessary confusion or constraints in later phases of the project lifecycle.

B. Project Submittal and Scoring

Upon receipt of the project justification booklet, database (Form 1-220-A), memorandum or forms, the
Director of Public Works will conduct a final scoring (rank order) justification of each project no later
than 15 July. Any change the Director proposes will be documented in a memorandum to the County
Project Authorities (Treasurer, Finance Director, or County Administrator) prior to their project review
and approval during the months of July and August.

C. Project Approval

Project Authorities will coordinate with the Department of Public Works, and others, for additional
information after final development of the Access database using Forms 1-220-A Capital
Improvement Project Request. In practice, County Project Authorities will have major departments
attend meetings to discuss their operating budgets and CIP requests. Separate meetings will be held
with Public Works officials in order to discuss CIP projects and the departments operating budget. At
that time, in July or August, Public Works officials may be called upon to provide subject matter
expertise on plan alignment (project justification), costs, schedule alignment, and potential budgetary
and project offsets.

Once the County Project Authorities submit their proposals to the Public Works committee, the
Director of Public Works will provide a CIP Summary Presentation. The format of this presentation is
flexible but should include project highlights; categorization; and, major changes to past
submissions.

NOTE: Unless requested, County Project Authorities will not generally review or receive information gathered on
forms used by Public Works, except Form 2-118-A which scores projects without consideration for budget. Also,
the County Master Planner should maintain the project submission booklet, mentioned above in Section 6.1.3.B,
for reference during any future CIP Budget Review processes; perhaps up to five-years.

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D. Budget Adoption

Following the budget submission and discussion period outlined above, County Project Authorities
will submit the CIP and budget proposals to various committees for subsequent County Board
approval. During the committee and board review period, departments and County Project Authorities
may recommend changes (additions, deletions, budgetary changes) to board members who may
sponsor an amendment. Upon completion of amendment reviews, the budget will be adopted on or
about November of each year.

6.1.4 Strategic Governance

Strategic governance is the continuous process of updating master plans and maintaining project
accountability regardless of its lifecycle. Prior to, during, and after the Strategic Operational
processes outlined above, principals of master plans should:

• Identify approved project impacts upon plan updates, and

• Inform Project Sponsors and managers on plan imposed constraints and opportunities.

In addition to ongoing plan updates and communication, Finance, Purchasing, IT, and Public Works
personnel have post-project approval responsibilities, as outlined below:

A. Project Authorization and CIP Account Assignment

Upon budget adoption, Finance will review all projects approved for inclusion in the 5-Year Capital
Improvement Plan Adopted Budget booklet. The booklet will include a list of all projects with budgets
allocated by year; the final 1-220-A Capital Improvement Project Request forms; and, some major
project highlights. Concurrent with the development and publication of the budget booklet, Finance
will assign a CIP Account Number (C, I or W Code) for each project approved.1,
(1 Code “C” is operating budget projects; “I” is IT projects; and, “W” Capital Improvement Projects)

B. Annual Project Portfolio Management Workshop

In December of each year, the Director of Public Works will host a Project Portfolio Management
Workshop for Project Managers, IT Planners, Engineers, Asset Managers and key representatives
from Finance and Purchasing to break down the coming years’ workload. This workshop is to:

1) Review committed work load (newly approved CIP or operating budget and carryforward
projects).

2) Assign new projects to Project Managers and Buyers.

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3) Prioritize project schedules. Specifically, establish when projects might initiate, if different than
the suggested quarter on CIP Request Forms, in order to balance the workload project between
Managers and Buyers alike.

4) Identify initial procurement method.

5) Discuss any contract constraints that may impact project scheduling.

6) Discuss any warranty impacts upon projects.

7) And, have the Associate County Engineer (Civil) document meeting recommendations in a
Portfolio Work Breakdown Schedule. See Table 6.1.4 below for further details.

Table 6.1.4 Portfolio Work Breakdown Schedule

Project Project Current Project Buyer Initiate Recommended Notes

ID Description Year Manager Quarter Procurement
(Short Title) Budget Method
W2006 CDEB Bldg. $25,000 Smith Doe 1st/2020 A/E Firm A N/A
Assessment
W1810 STEM Lab $375,000 Jones Hanson 2nd/2021 WOC IT Coordinator

C. Annual A/E Firm Review

In December of each year, the Director of Public Works will host a Project Portfolio Management
Workshop (above). During the workshop, the Associate County Engineer will review A/E Performance
Reviews to update the A/E On-Call Selection Form (Ref: Section 3.0.7, Section 6.6.11, and Appendix
A3.0.7-1).

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6.2 Project Planning Phase

6.2.1 General

The Project Planning Phase is the first step after a Project is assigned to the Project Manager (PM). During
this Phase, the PM develops the basic infrastructure required for the project. The process includes assembly
of the project team, establishing a more fully defined project budget, and arranging a formal project kick-off
meeting.

6.2.2 Project Stakeholders vs Project Team Members.

Project Stakeholder identification is a combination of steps to identify all individual or institutional interests
concerning a project. Project Managers should document stakeholder expectations, involvement, and
influence on the project outcomes.

Project stakeholder identification will increase the probability of the project’s success because it allows
developing and using approaches to identifying and documenting the interests and impacts of organizations
on the project. Project stakeholder concerns should be documented as part of the Project Management Plan;
See Section 6.2.5 (below) and Appendix 6.2.5-1 PMP Template Summary for further details.

Project Team Members are the individuals who actively work on one or more phases of the project. They may
be in-house staff or external consultants, working on the project on a full-time or part-time basis. Team
members should be captured on the PM’s Project Management Plan Template Summary.

6.2.3 Project Kickoff Meeting

Once the project is approved in the County’s annual budget, the PM conducts a Project Kickoff meeting,
including the PM, Project Sponsor, stakeholders, and project team members. This meeting aims to introduce
the stakeholders, introduce the team members, review the project scope, timeline, and milestones, and
present the next steps. Project delivery methods will also be discussed, and the need for outside consultant
services will be established.

6.2.4 Project Budget Estimate

Following Section 4.0.3 Phased Budget Management (Roles and Responsibilities), all projects require active
management of a Project Budget Detail throughout the project lifecycle. Project Managers will tailor the
Project Budget Detail based on funding source, contract details, and stakeholder interests, e.g., Information
Technology subprojects.

6.2.5 Project Management Plan (PMP)

All projects of $100K or more in value require the development and active management of a Project
Management Plan. The Project Manager’s PMP is a detailed project plan that documents everything from
timelines to budget, resourcing to deliverables, and more. The PMP is a blueprint of what needs to be done
(and when).

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The PM’s work up front in creating the PMP should sustain them throughout the project’s lifecycle, allowing
them to direct 100% of their effort on delivering results. While PMPs are required for many projects, we must
recognize that no plan (or contract) survives intact. Therefore, for managing county projects, the PMP is
designed to be a check on learning and preparation and to outline the baseline interests of the County that
are being captured in the Planning Phase and carried throughout the lifecycle of the project.

Project Management Plans minimum requirements are outlined in Table 6.2.5 below, and may be modified
based on the needs of Project Sponsors and key Stakeholders. See Appendix 6.2.5-1 PMP Template
Summary for further details.

Table 6.2.5 Project Management Plan Requirements

Requirement >$100K (All) >$500K Only >$1M Only

Project Team Identification X

Unique Resources X

Communication Plan X

Documented Stakeholder X
Interest

Work Breakdown Schedule X

Milestones X

Detail Project Schedule X

Hazardous Material X
Identification & Mitigation

Risk Assessment (Threats) X

Quality Assurance / Quality X

Management Plan1

Component / Equipment X
Training Plan

Engineer / Design Options2 X

1 QualityAssurance / Quality Management (QA/QM) plans will be scoped into any contract as a
requirement of support A/E consultants as a deliverable. QA/QM plans should be reviewed before and
during project construction and close out phases.
2 Engineering / Design Options will be scoped into any contract for A/E services when a project is
estimated to cost over $1M. The purpose of this requirement is to ensure the best-value in design and
seek cost containment options.

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6.2.6 Project File

Refer to Section 7.0.3 File Structure – Large Projects in the Records Management Section for the proper
folder structure. All documents and correspondence related to medium and large projects must be saved
according to this structure. File structure should be set up no later than the Planning Phase.

END OF SECTION

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6.3 Design and Document Phase

6.3.1 General

The Design and Document Phase is the period encompassing all project related activities up to the Bid
Phase. During this phase, the information gathered in the Planning Phase is further developed and the
technical aspects of the project are documented. The project budget and schedule are refined and a set of
construction documents (plans and specifications) are typically produced.

6.3.2 Process Selection

There are several ways a project design can be expedited depending on the scope of the project. The PM
should first consult with the Purchasing Division to identify consultants or contractors that may be ‘under
contract’ and can deliver the project by way of a Job Order Contract or One-Time Cooperative Purchase.

While the design of small projects may be performed ‘in-house’ by the PM, most CIP’s will require an A/E firm
to provide design services. Additional information regarding the consultant selection process and A/E
contract management can be found in Section 03 of this Manual.

6.3.3 Design Schedule

The length of time required for design will vary based on the complexity of the project. It is ultimately the
PM’s responsibility to make sure that the design phase remains on schedule. The A/E should submit a
design schedule, including key milestones, so design progress can be monitored. The PM should regularly
benchmark the A/E’s progress and completion of milestones against the design schedule. The schedule
should also include sufficient time for review of the design documents prepared by the A/E, and take into
consideration any internal approvals (committee, stakeholders, etc.) which may impose on the schedule.

If the design schedule cannot be maintained, the PM should notify the Director of Public Works and
Stakeholders with a plan to manage the schedule change. If the design is behind schedule, either the work
must be accelerated, the County must allow more time for completion, or both.

6.3.4 Budget Management during Design

During the design phase, the PM is responsible for managing the design budget including:
• A/E contract expenses
• Third-party consultation or service contracts
• Plan review / permit fees
• Direct County labor or expenses
• Any other encumbrances that draw from the project account during design

In addition to management of the design budget, the PM must also adjust the project’s construction budget as
more detail is added to the design. It is important that the project is designed with the intent to stay within
budget. Accordingly, the A/E should provide an updated construction estimate at the completion of each
design milestone. The PM should consult with the Director of Public Works and the Finance Division with any
significant variances, and determine what adjustments can be made to keep the project within budget.

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6.3.5 Design Coordination Meetings

Coordination meetings should be scheduled throughout the design process allowing the PM to monitor the
status of the design schedule, evaluate the A/E’s progress, and coordinate the design efforts with the A/E and
stakeholders.

The frequency of design meetings is left to the discretion of the PM. Meetings should be held when the PM,
A/E, and Stakeholders need to exchange design or coordination information. Not all projects will require the
same number or frequency of meetings. Below are some sample meeting guidelines:

A. Project Coordination Meeting (Kick-off):

The PM should arrange and host a project kick-off meeting prior to engaging in any design work.
Invitees should include the A/E, the Director of Public Works and Stakeholder Representatives. The
purpose of the meeting is to introduce the team members, review the status of the A/E contract, and
discuss the project schedule, budget and expected outcome.

B. Progress Meetings:
Once the design work is underway, the A/E should arrange and host progress meetings at regular
intervals to exchange information and keep the design on-track. The frequency of the meetings will
vary depending on the size and scope of the project. At a minimum, progress meetings should be
held at the end of each design phase, i.e.:
Schematic Design (approx. 20%)
Design Development (approx. 50%)
Pre-Final Design (approx. 85%)
Final Design (approx. 100%)

C. Internal Meetings:
In addition to routine progress meetings, the PM may choose to lead internal meetings when project
conditions require. These meetings might involve security concerns, information technologies,
moving, or other interdepartmental coordination that does not directly involve the A/E.

6.3.6 Phased Design - Overview

The design methodology presented in this Section generally follows the ‘Phases of Design’ as prescribed by
the AIA and adopted by many municipal and professional organizations. The design phases, in order, include
Coordination and Planning, Schematic Design, Design Development and the Construction Document phase.

While this incremental design approach was developed to meet the needs of the building construction
industry, the same strategies can be applied to many other (non-facility related) projects. The specific tasks
and deliverables resulting from each phase of design phase will vary depending on the project. In addition,
the design phases may be combined (or even passed over) to better suit smaller, low-complexity projects
such as an interior office renovation.

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Phase Phase Phase Phase Phase Phase

Design Phase Flow Summary (Large Capital Projects)

(See Section 3.0)

A/E Firm
Selected

Project Owner’s
Management Performance Sample A/E Deliverables
Plan Standards

Space
Coordination
Program
and Planning
(See Article 6.3.7) Summary

Schematic Basis of High-Level

(See Article 6.3.8) Design Estimate &
Design
Document Schedule

Design Design Detailed

(See Article 6.3.9) Development Estimate &
Development
Booklet Schedule

Construction Drawings Final Const.

(See Article 6.3.10) Documents and Project Estimate &
Manual Schedule

(See Section 6.4) Bid/Award

Phase

The pie chart

represents the
approximate level of
time and effort
required in each
phase of a project’s
delivery.

The Bid Phase and

Construction
Administration
phase are covered
later in this Manual.

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6.3.7 Project Coordination and Planning

Project Coordination and Planning (sometimes referred to as Pre-Design) is an information gathering phase
that will be the foundation of the design to follow. This can be a lengthy or short process depending on the
complexity of the project. The main goal is to assemble and review all of the available project information with
the A/E; identify key personnel involved in the design; establish a communication plan; and review known
project risks.

In addition to the information contained in the PMP, the PM should identify any County policies, technical
or asset standards that may influence the project design. This information can be summarized in a
document commonly referred to as the Owner’s Project Requirements (OPR). The OPR does not need
to be overly-detailed, but should advise the A/E of any project-specific requirements or adopted
standards. These existing standards can assist the A/E in preparing a more detailed and technical Basis
of Design (BOD) document during the schematic design phase of the project.

The Owner’s Performance Requirements might provide guidance on the following topics:
• Owner Occupancy and Space Standards (Master Plan)
• MEP Equipment and System Expectations (Established Standards)
• Data and Communication System Requirements (Established Standards)
• Security and Access Control (Established Standards)
• Building Envelope Criteria
• Energy Standards / Goals
• Indoor Air Quality / Temperature Standards (Policy)
• Operation and Maintenance Requirements

At the completion of this phase, the project’s feasibility is confirmed, and a basic space program is developed
(where applicable).

6.3.8 Schematic Design (SD)

During this phase, the A/E commonly develops a very basic site plan, floor plan(s), sections, an elevation and
other illustrative materials for future development. The A/E may include other consultants in the team to
review the OPR. Schematic Design is also the research phase of the project when zoning requirements or
jurisdictional restrictions are discovered and addressed.

For large projects, the A/E will prepare a Basis of Design (BOD) narrative to document the design concepts
and any owner-preferred material or equipment selections.

The Basis of Design might include the following topics:

• Project Description / Understanding
• Exterior Shell (basic structural systems, exterior enclosure / materials)
• Interior Construction (partitions, doors, specialties, finishes)
• Mechanical (HVAC) (systems, equipment, environment)
• Electrical (power distribution, fire alarm, lighting, voice / data)
• Plumbing (water distribution sanitary and storm drainage, fixtures, fire protection)
• Site work / Utilities

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In addition to the BOD document, the schematic design phase should deliver an updated project budget and
schedule. At the completion of this phase, the design will be approximately 20% complete. Once the
information is reviewed and approved, the design then advances to the design development phase.

6.3.9 Design Development (DD)

In this phase, the design is significantly advanced based on the previously approved concepts. Design
Development often produces a refined site layout along with fully dimensioned floor plans, sections,
elevations and rendered images. The PM should consult with the County Risk Manager during this stage of
the project.

At the end of this phase, the design will be approximately 50% complete and the A/E will assemble all of the
information into a single DD Book for review and approval.

The Design Development Book might include the following information:

• Detailed Construction Estimate and Schedule
• Owner’s Instructions Regarding Bidding Procedures
• Room Information and Finish Schedules
• Architectural Products (cut sheets)
• MEP Products (cut sheets)
• Architectural Renderings
• Preliminary Plan Set

NOTE: In an effort to standardize construction drawings, Walworth County Public Works projects will follow
State Department of Administration (DoA) Policy and Procedure Manual Section 4.J. located at this link:
https://doa.wi.gov/DFDM_Documents/Forms-Templates/DOA-4518P-AE-PPM.pdf. The Project Manual
should reflect this requirement on under Section 01 33 00 Submittal Procedures.

It is essential that all financial and legal issues (zoning, environmental, etc.) be resolved before moving ahead
with final design. The Design Development phase often ends with a formal presentation to a Committee or
group of stakeholders

6.3.10 Construction Documents (CD)

Once the PM and A/E are satisfied with the information produced in the previous design phases, the project
advances into final design. Preparing the project’s Construction Documents often requires the most time in
the design schedule. It is important that documents produced are sufficiently complete to support the
contractor’s bid, obtain permits and construct the project. The drawings and specifications produced will
eventually become instruments of the contract and acquire the status of legal documents.

Construction Specifications - Project Manual Standards

Walworth County Department of Public Works has adopted the Construction Specifications Institute (CSI)
‘Divisional’ specification format for use on most CIP projects. The CSI Master Format is available from many
online resources. A sample of the commonly used CSI Divisions can be found in Appendix A6.3.10-1.

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The Project Manual is typically divided into two main parts, which are sometimes bound into separate
volumes:

1. Procurement and Contracting Requirements Group (Front End)

Division-00 Procurement and Contracting Requirements

2. Specifications Group (Technical Sections)

Divisions-01 up to and including Division-33 (for most projects)

During the final assembly of the Project Manual, the PM and A/E should consult with the Purchasing Division,
Corporation Council, and/or Risk Management regarding project-specific procurement and contracting
requirements presented in Division-00 & 01, including but not limited to:
• Form of agreement between owner and contractor
• Bid security
• Bid opening time and place
• Insurance requirements
• Bonding requirements
• Document distribution
• Submittal Standards (reference NOTE on submittal standards in Section 6.3.9)

The project design is completed with the delivery of a full set of construction bid documents including plans,
specifications, final construction estimate and schedule. The PM is responsible for delivering the completed
construction documents, in digital format, to the Purchasing Division for advertising and bidding. Two
particularly important aspects of the construction documents (Project Manual) is that the PM should review
details concerning the inspection of warranty items before (and after) substantial completion, and details
concerning dispute (conflict) resolution procedures.

Permitting and Regulatory Approvals

The A/E is responsible for complying with review and submittal requirements of all applicable code authorities
including the State of Wisconsin Department of Safety and Professional Services, and/or Commercial Building
Plan Reviewer, also other applicable legal / code requirements.

END OF SECTION

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6.4 Bidding / Award Phase

6.4.1 General

This Section describes the process for the competitive bidding of projects as required by State law, County
Ordinance, or Administrative Procedure. For most public works projects, an award of a contract may not take
place unless the project has undergone a fair and open sealed bidding process. The requirements of
competitive bidding are intended to guard against favoritism, fraud, or corruption in the award of public
contracts and the expenditure of public funds.

The steps necessary to bid a project will vary depending on whether or not the project is considered a ‘public
work’, as well as the estimated cost of the project. In some cases, the Bid and Award phase may be
simplified or even bypassed if there are existing contracts in place that can be leveraged to complete the
work. For these reasons, the Project Manager (PM) must first complete a ‘Request to Initiate Purchase’ Form
6-104-A before any bidding activity can begin. This form will assist both the Purchasing Division and the PM
in determining the appropriate procurement path.

6.4.2 Definitions

The following terms may be appear in this section:

Advertisement for Bids – Notice to potential bidders that a competitive, sealed-bid process is occurring for a
specific project. This may also be referred to as a Notice to Bidders or an Invitation to Bid.

Bid Documents – Documents by which the vendor prepares his bid. The documents typically include bid
notices, instruction to bidders, plans and specifications, bidding forms, bidding instructions, general and
special conditions, sample contract, and all other written instruments prepared by or on behalf of the County
for use by prospective bidders on public construction contracts.

Bid Security – A certified check or satisfactory Bid Bond payable to Walworth County in the amount of 5% of
the bid. If the successful bidder fails to execute the contract and file the required bonds, the bid security will
be forfeited to the County in the entire penal amount as liquidated damages.

Contract Bond – A form of security, executed by the contractor and his surety, guaranteeing both the
performance of the contract work and the payment of claims related to labor or materials. The bond is
typically issued in the amount of 100% of the contract price, and is used in lieu of separate performance and
payment bonds.

Class 1 Notice – A legal notice requiring one insertion in the County’s official newspaper, or posted in at least
one public place likely to give notice to persons affected and placed electronically on an Internet site
maintained by the municipality. Publication of legal notices is administered under Wis. Stats. Chapter 985.

Class 2 Notice – A legal notice requiring two insertions in the County’s official newspaper, once per week for
two consecutive weeks. Often required as a condition of certain project funding sources (e.g. grants). The
date of the first publication is to be at least 14-days prior to the date set for receiving bids; however, best
practice is 30-days prior to the bid due date. Publication of legal notices is administered under Wis. Stats.
Chapter 985.

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DemandStar – A subscription-based internet procurement system used by governmental agencies.

Businesses subscribing to the system can receive real time notifications of bid opportunities, obtain bid
documents, and submit electronic bid responses, if applicable.

DocuSign – A subscription-based application by which documents can be signed electronically.

Formal (sealed) Bid – Sealed, written bid received in response to an advertisement for bids which includes
the bid price and any other information requested.

Invitation to Bid – See ‘Advertisement for Bid’.

Initiating Department – The County Department responsible for bidding the project.

Lowest Responsible Bid – Competitive bid submitted by a bidder capable of completing the work under the
contract, and offering the lowest cost to the County.

MUNIS – Walworth County’s Financial Software Application (a product of Tyler Technologies).

Payment Bond – A Surety Bond posted by a contractor guaranteeing that its subcontractors and material
suppliers on the project will be paid. This bond is often required in addition to a performance bond and
typically issued in the amount of 100% of the contract price.

Performance Bond – A surety bond issued by an insurance company or bank guaranteeing satisfactory
completion of a project by the contractor. It ensures that the value of the work will not be lost in the case of
an unfortunate event (such as insolvency of the contractor). The bond is typically issued in the amount of
100% of the contract price.

6.4.3 Project Categories and Awarding Authority

Capital Improvement Projects will typically fall into one of two primary categories; Public Works Projects, and
Non-Public Works Projects:

A. Public Works Projects (also referred to as Public Construction)

The definition of a Public Works Project can be found in AP 6-135 ‘What Constitutes a Public Work’.
Examples of Public Works Projects might include the following:
- Remodeling or renovating municipal buildings.
- Constructing a new park shelter.
- Replacing a back-up generator, boiler, or other major mechanical equipment.

All projects meeting the definition of ‘Public Work’ with an estimated cost exceeding $25,000 must be
competitively bid per Wis. Stat. 59.52(29).

1) Large Public Works Projects are defined as those with an estimated cost of more than $100K.
Under AP 6-120.06, the awarding authority for Public Works Projects with an estimated cost
over $100,000 is the Walworth County Public Works Committee. The AP requires plans and
specifications (or a summary of specifications) for all Public Works Projects above this dollar
threshold to be presented to the Public Works Committee for approval prior to engaging in a
competitive bidding process. After receiving and evaluating the bids, the results are returned to
the Public Works Committee with a recommendation for their award of a contract.

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2) Small Public Works Projects are defined as those with an estimated cost of less than $100K.
Public Works projects with an estimated cost below $100,000 do not require Committee
approval prior to bidding. After bids are received and evaluated, the recommendation for award
is presented to the Finance Director for review, approval and award. Additional information on
Small Projects can be found in Section-05 of this Manual.

B. Non-Public Works Projects (also referred to as General Projects or General Contracts)

The definition of non-public works projects (General Contracts) is also covered in AP 6-135.
Examples of non-public works projects might include the following:
-Purchase of consumable supplies such as road salt.
-Purchase of materials that will not be incorporated into a finished structure constructed by a party
other than County forces.
-Purchase of movable equipment such as a diesel generator, radio equipment.
-Procurement of professional services.

While these CIP projects/ purchases are not considered a ‘public work’, they may still be subject to
competitive bidding requirements under the County’s Administrative Rules. It is advised that the PM
review AP 6-102 ‘General Purchasing Processes and Requirements’, AP 6-120 ‘Committee Awards
and Reports’, and consult with the Purchasing Division to determine the appropriate procurement
method for non-public works projects.

1) Large General Projects are defined as those with an estimated cost of more than $100K.
For Large General Projects with an estimated cost of $100,000 or more for one year, or a total
of $250,000 or more over the life of any contract (including all allowable extensions), the
awarding authority is the Walworth County Finance Committee under AP 6-120.05.

2) Small General Projects are defined as those with an estimated cost of less than $100K.
Small General Projects do not require Committee approval prior to bidding. After bids are
received and evaluated, the recommendation for award is presented to the Finance Director for
review, approval, and award of bid.

NOTE: The remainder of the information in this Section applies specifically to Public Works Projects.

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6.4.4 Roles and Responsibilities

The Bid and Award process is a sequential and collaborative activity which involves multiple County staff.
Table 6.4.4-1 and 6.4.4-2 below establish the ‘high-level’ responsibilities for the bid phase tasks for Large and
Small Public Works Projects respectively.

P = Primary Responsibility: You will ensure the results are achieved.

S = Secondary Responsibility: You will ensure some portion of the results are achieved.
A = Approval: You’re not actually working on the deliverable, but approve the results produced by others.
R = Review: You receive products from the activity.
I = Input: You provide input for the activity or task.
O = Output: You receive products from the activity.

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P = Primary Responsibility: You will ensure the results are achieved.

S = Secondary Responsibility: You will ensure some portion of the results are achieved.
A = Approval: You’re not actually working on the deliverable, but approve the results produced by others.
R = Review: You receive products from the activity.
I = Input: You provide input for the activity or task.
O = Output: You receive products from the activity.

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6.4.5 Bidding Schedule and Timeline (Large Projects)

For a Large Public Works Project, the Bidding/ Award Phase begins with the Public Works Committee’s
authorization to bid the project, followed by the publication of an advertisement for bids, and concluding with
the award of a construction contract. The competitive sealed-bid process cannot begin until the project
bidding documents are completed and approved, and funding is secured.

There are several ordered tasks that must be completed to successfully move a project through the bid /
award phase. Since approval of Public Works Committee is required to Bid and Award a project, it is
beneficial to schedule the bid phase tasks around the Public Works Committee’s monthly meeting cycles.
The Walworth County Public Works Committee typically meets the third Monday of each month, however,
there may be exceptions to this schedule. Therefore, the PM should confirm the ‘actual’ committee dates
when preparing the bidding schedule.

For low-complexity projects, the bid phase can be completed in a minimum of one committee-cycle
(approximately one month). For larger projects, the process may take as many as two or three committee-
cycles (approximately two or three months). The bidding schedule should provide enough time for vendors to
obtain the bid documents, submit questions, obtain any necessary bonds, and submit a response. Sample
calendars are shown below:

SAMPLE BIDDING SCHEDULE – 01

- Low Complexity Project – Legal Notice (Class-II) Recommended but not Required
- Project Turnaround (Approval to Award) in one monthly Committee-Cycle

Month - 01
Sun Mon Tue Wed Thu Fri Sat
Place Project
Week-1 1 2 3 on Agenda for 5 6
- Approval -
Summary ‘Advertisement
Agenda
Week-2 7 Specs Due to
Setting
10 To Bid’ Due to 12 13
Admin. Purchasing
Public Works
1st Posting
Week-3 14 Committee 16 17
Class-II Notice
19 20
Approval

2nd Posting
Week-4 21 22 23 24
Class-II Notice
26 27

Week-5 28 29 30

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Sample Bidding Schedule-01 – Continued

Month - 02
Sun Mon Tue Wed Thu Fri Sat
Final
Optional Pre- Final
Week-1 Bid Meeting Questions Due
Addendum 4
Issued (if any)
- Bids Due - Place Project
Week-2 5 6 7 8 Bid Opening / on Agenda for 11
Evaluation - Award -
Recommend
Agenda
Week-3 12 Award Due to
Setting
15 16 17 18
Admin.
Public Works
Week-4 19 Committee 21 22 23 24 25
Award

Week-5 26 27 28 29 30 31

SAMPLE BIDDING SCHEDULE – 02

- Large, Complex Project – Class-II Legal Notice Required as a condition of Funding (e.g. grants)
- Project Turnaround (Approval to Award) in two monthly Committee-Cycles

Month - 01
Sun Mon Tue Wed Thu Fri Sat
Place Project
Week-1 1 2 3 4 on Agenda for 6 7
- Approval -

Summary Agenda
Week-2 8
Specs Due Setting
11 12 13 14

Public Works ‘Advertisement

Week-3 15 Committee 17 18 To Bid’ Due to 20 21
Approval Purchasing

1st Posting
Week-4 22 23 24 25
Class-II Notice
27 28

Week-5 29 30

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Sample Bidding Schedule-02 – Continued

Month - 02
Sun Mon Tue Wed Thu Fri Sat
2nd Posting
Week-1 1 2
Class-II Notice
4 5

Week-2 6 7 8 9 10 11 12

Pre-Bid
Week-3 13 14
Meeting
16 17 18 19

Public Works
Final
Week-4 20 Committee
Questions Due
23 24 25 26
(No Action)
Final
Week-5 27 28 Addendum 30 31
Issued (if any)

Month - 03
Sun Mon Tue Wed Thu Fri Sat

Week-1 1 2

Bid Place Project

- Bids Due - Distribute Bids
Week-2 3 4
Bid Opening for Evaluation
Evaluations on Agenda for 9
Due - Award -

Recommend Agenda
Week-3 10
Award Due Setting
13 14 15 16

Public Works
Week-4 17 Committee 19 20 21 22 23
Award

Week-5 24 25 26 27 28 29 30

6.4.6 Bidding Documents

The format and content of the final bid documents is covered in article 6.3.10 under the ‘Design Phase’. As
stated in that article, the PM is responsible for compiling and delivering the final bid package to the
Purchasing Division for advertisement and solicitation of bids. The PM must certify that the final bid package,
including all plans, specifications, estimates, bid forms, bid bonds, and performance/ payment bonds relevant
to the Public Work Project, complies with all applicable regulations and procedures. Once the final bid
package is received by the Purchasing Division, the assigned Buyer will begin facilitating the bid process.

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6.4.7 Advertising for Bids (Invitation to Bid)

Public Works Projects must be advertised, through the appropriate distribution methods, to promote
competition and ensure all potential bidders have an opportunity to participate. Advertising should occur
significantly in advance of the bid deadline to allow prospective bidders time to obtain the bid documents, ask
questions, and prepare and submit their bid.

The Purchasing Division is responsible for advertising projects and posting any required legal notices.
Projects utilizing Federal, State, or other grant funding may require project advertising by way of a Class-II
Notice. The PM should consult with their department’s Grant Manager and inform the Purchasing Division
when legal notices are required as a condition of the project funding.

Walworth County advertises projects by publishing the Invitation to Bid in the following places:

A. DemandStar which has a built-in vendor database whereby potential bidders are notified of the bid
opportunity based on their established company profile and selected NGIP Commodity Codes.

B. County Website under Purchasing / Doing Business with Walworth County.

C. Elkhorn Independent Newspaper, a weekly newspaper in Elkhorn, WI designated as the County’s

‘official newspaper’ for the publication of legal notices when required. While a project may not require
a legal notice, the County may optionally place a Class-II Notice to assist in promoting the project to
other distribution sources.

D. Other Publications or targeted advertising efforts as requested by the PM.

E. Direct Contact with A/E’s, contractors, or other agencies in an effort to promote competitive bidding
by informing potential bidders of the project(s) being advertised. Prior to the project being advertised,
the PM should provide the Purchasing Division with the company names, contact information, and
email addresses of any potential bidders they would like to receive notification of the bid opportunity.

6.4.8 Plan Distribution

A. Document Distribution - General: The Walworth County Purchasing Division is responsible for the
distribution of bidding documents. With few exceptions, the Purchasing Division will make all bidding
documents, addenda and notices available digitally through a subscription-based online platform
called DemandStar. It is the bidder’s responsibility to check the website for announcements or
addenda before the bid deadline. The County does not attempt to contact bidders with updated
information.

B. Third-Party Document Distribution: For some large-scale projects, bid documents may be distributed
either by the design A/E firm, or a printer. In this case, plan distribution, cost, and refunds are the
responsibility of the third-party distributor. Formal documentation of all transactions is supplied to the
County during the bid phase.

C. Hard copies of documents will not be distributed to plan rooms, information centers or specific
organizations.

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6.4.9 Pre-Bid Meeting / Tour

A. General: A pre-bid meeting may be established to provide information to bidders concerning the
project and to answer any questions the bidders may have about the project. A pre-bid tour may also
be conducted to allow bidders an opportunity to inspect the project site, if it is not otherwise readily
accessible.

B. Time and Place: The specifications and invitation to bid shall announce the date, time, and location
for the pre-bid meeting. The meeting should generally be held between seven and fourteen days
before the bid opening date to allow ample time for issuing any addendum. For large projects, the
ideal time for the pre-bid meeting is toward the middle of the bidding schedule, allowing at least two
weeks after issuing the invitation to bid, and approximately two weeks prior to the bid opening.

C. Mandatory Pre-Bid: Attendance of the pre-bid meeting should be optional but strongly encouraged.
However, there may be instances where the pre-bid meeting should be made ‘mandatory’ whereby a
bidder must attend the meeting as a pre-qualification of bidding. Some examples include:

1) Large complex projects

2) Politically sensitive projects
3) Fast tracked projects
4) Projects requiring high-level coordination and schedule monitoring
5) Project with special safety considerations or security risks

When a mandatory pre-bid meeting/ tour is deemed appropriate, it must be so indicated in the
Invitation to Bid. If a bidder does not attend a mandatory pre-bid meeting, their bid will not be
considered. Therefore, ‘mandatory’ pre-bid meetings should be used only when necessary.

D. Attendees: The PM is advised that the following personnel should be in attendance:

1) Elected Official, Administrator, or Director (as appropriate)

2) Representative from A/E Firm
3) Representative from client department
4) Representative from Purchasing Division

E. Agenda: The PM or A/E Consultant typically prepares an agenda and, if necessary, distributes the
minutes of the meeting.

6.4.10 Responding to Questions

The PM or A/E Firm should provide no private answers to individual questions. All project inquires must be
made through a single point of contact within the Purchasing Division. The invitation to bid should provide the
contact information of the individual to which all questions (in writing) will be submitted. A deadline, including
date and time, for receiving project questions should also be indicated in the Invitation to Bid. No new
questions or requests for information will be honored after the deadline listed, unless it is in the County’s best
interest to do so.

Questions received by the Purchasing Division will be forwarded to the PM and/or A/E Firm to be reviewed
and answered. Answers to questions, clarifications, or other pertinent information will be provided by
Addendum to all plan holders of record, as well as any new plan holders.

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6.4.11 Addenda

General – An addendum is an official change to the bidding documents, which can be administrative or
technical. Addenda may be issued during the bidding period to modify, explain, amend, or provide
clarification to the bid documents. If deficiencies, changes or clarification needs are discovered by the PM,
the Bidders, or the A/E Firm, an addendum may be needed. All cardinal/ material changes made to the bid
documents must be issued via addenda. It is not required that every question received be answered via
addendum; the PM in coordination with the A/E Firm will review all questions and determine the necessity of
issuing an addendum. Generally, minutes of the Pre-Bid Tours/Meetings or lists of attendees are not issued in
an addendum.

Format and Content - Addenda should be provided as a single PDF electronic document including any
drawings; the preferred format is 8 ½” x 11”. If the addendum includes drawings larger than 8 ½” x 11”, they
should be the same size as the bid set. The addendum should be stamped by the A/E or supervising
professional as necessary.

The addendum should be organized in a standard format including the appropriate section / division headings
that are being changed. Examples of headings are as follows (include only those headings that apply):

- Changes to Instructions to Bidders

- Changes to General Requirements
- Changes to Conditions of Contract
- Changes to Project Manual
- Changes to Drawings

References to technical specifications must include section number, section title, and the number of the
specification article.
References to drawings must identify the drawing number and specific component, detail, or schedule.
A change to the Bid Form will require that the entire Bid Form be reissued with the heading ‘REVISED BID
FORM’. If the Bid Form was originally issued as a fillable document (e.g. Microsoft Excel), it should be
included in both the PDF version of the addendum, and also posted separately in the fillable format.

Preparation and Issuance - It is the responsibility of the PM and/or A/E to write the addendum for issuance by
the Purchasing Division. Addenda can be issued at any time during the bidding period; however, best
practices would have the final addenda be issued at least seven days prior to the date of the bid opening.
This allows bidders enough time to incorporate the addenda changes into their bid. The Purchasing Division
will issue addenda digitally through DemandStar. Once issued, DemandStar will send an email notification to
all plan holders of record, as well as any new plan holders. It is imperative that the Bid Form include a place
for the bidder to acknowledge receipt of addendum(s) and their inclusion into the bid.

6.4.12 Receiving, Opening, and Reading Bids

Receiving, opening, and reading of bids received is the responsibility of the Purchasing Division. Bids
received in response to an advertisement for bids (or notice calling for bids) must be publically opened and
read at the time and place stated in the advertisement (or notice). Only those bids received on-time will be
opened; bids received after the stated time will not be opened. The Purchasing Division will make every effort
to open bids at the time stated in the notice, as a premature or late opening of bids can lead to bidding
disputes or the inference of favoritism in the bidding process.

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After completion of the bid opening, the Purchasing Division will prepare a tabulation of bids received (Bid
Tabulation) for distribution to interested parties. The Bid Tabulation is ‘informational only’ and does not
guarantee a contract award.

6.4.13 Bid Evaluation

All bids received will be subject to an evaluation on two principal criteria: Responsiveness and Responsibility.

The Purchasing Division will prepare a Bid Response Evaluation Form tailored to the project and will evaluate
bidders for ‘Responsiveness’. Upon completion of their evaluation, the Purchasing Division will distribute the
partially completed evaluation forms, along with the bids received, to the PM and/or evaluation team to
determine if the bidders are ‘Responsible’. The evaluation form typically consists of a series of checkboxes
(pass / fail) for items specific to the project.

A. Responsiveness:
1. For a bid to be ‘Responsive’, it must be completed and submitted in accordance with the material
terms of the advertisement for bids and instructions contained in the bid documents.
Responsiveness does not measure or evaluate the capability of the bidder to complete the work.
This compliance keeps bidders on an equal footing and maintains the integrity of the sealed bidding
process. Any bids containing material variances must be rejected.

2. Examples of non-responsive bids are those received after the bid deadline, are missing critical
pricing information or an authorized signature of the bidder. A non-responsive bid may be missing
a bid bond, an acknowledgement of a material addendum, a required form, or may contain a
counter-offer that deviates from the specifications of the bid. The County does however, have the
discretion to waive minor deviations from the bid documents. Minor deviations are a matter of form
and not of substance, or they pertain to some immaterial or inconsequential defect of variation from
the exact requirements of the bid.

3. Determination that a bid is non-responsive is typically final and is normally not subject to any review
or administrative appeal by the rejected bidder.

B. Responsibility:
1. The term ‘Responsible’ generally refers to the bidder’s ability to perform the work in accordance with
the requirements of the bid solicitation. In evaluating the responsibility of a bidder, a public agency
may take into account numerous factors including the financial capabilities of the bidder, the
bidder’s experience with the type of work of the project, the bidder’s work on previous projects, and
the bidder’s resources and facilities.

2. Although a public agency is afforded significant discretion in making determinations regarding a

bidder’s responsibility, considerable care must be taken in finding a bidder not responsible. Such a
finding may result in legal implications. It is incumbent on the public agency to afford that bidder
sufficient due process to demonstrate responsibility.

3. For reference, Wisconsin State Statutes 66.0901(2) addresses ‘Bidders Proof of Responsibility’,
allowing a municipality to require a sworn statement regarding a bidder’s qualifications prior to
bidding. However, the County has not adopted a standard qualification statement or form, and does
not pre-qualify bidders.

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6.4.14 Recommendation of Award

Upon completion of the Bid Evaluation, the PM will prepare a ‘Bid Award Recommendation’ Form 6-210A for
review and approval of the Director of Public Works and the Purchasing Manager.

The bid award recommendation is also posted to DemandStar to inform all interested parties as to the
County’s intent, and provide closure for the unsuccessful bidders. The bid award recommendation must be
posted to DemandStar a minimum of 72-hours prior to any contract award. In addition, the Purchasing
Division will issue a separate ‘Notice of Intent to Award’ to the apparent low bidder.

6.4.15 Bid Award and Contract Execution

For Large Public Works Projects (over $100K), the final award is made by the Public Works Committee. It is
the responsibility of the Buyer and PM to see that the Bid Award Recommendation, along with any supportive
materials, is placed on the Committee’s Agenda in a timely manner.

For Small Public Works Projects (under $100K), the final award is made by the Finance Director. In this case,
approval of the Public Works Committee is not required. The PM should consult with the Purchasing Division
to ensure all required project documentation is provided.

After approval of the Bid Award, the Purchasing Department will issue a ‘Notice of Award’ to the successful
contractor and begin to prepare and route the contract for execution by the Contractor and the County. As
part of the contract execution process, the contractor may be required to submit additional documentation
including, but not limited to the following:

A. Form W-9 ‘Request for Taxpayer Identification Number and Certification’.

B. Certificate of Insurance (COI) with the coverage levels specified in the bid documents.
C. Performance, Payment or Contract Bonds covering 100% of the contract award.

Upon receiving all of the necessary information from the contractor, the Purchasing Division will coordinate
with Accounts Payable (Finance Department) to establish the contractor in the County’s financial software
system (MUNIS) and assign the contractor a unique vendor identification number (Vendor ID). All required
County approvals will be obtained digitally through MUNIS. Signatures required by the Contractor or other
outside parties will be obtained electronically through DocuSign.

When all contract approvals and signatures are obtained, the final contract will be assigned a contract number
which can be later referenced in MUNIS.

6.4.16 Encumbrance of Funds / Purchase Order

In order to pay for the contracted work, the funds must first be reserved in the project account by means of a
purchase order. For most Public Works projects, the purchase order is non-contractual and serves only to
earmark funds in a project’s account for a specified purpose. In this instance, the purchase order is merely an
instrument for internal accounting and is not presented to the contractor.

The purchase order is an output of a requisition process which takes place in MUNIS. Since the requisition
process is digital, the PM is responsible to ensure that all necessary information is provided to the individual
entering the requisition information into MUNIS. To initiate this process, the PM will fill out a DPW Purchase
Request Form, found in Appendix A4.0.3-2.

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6.4.17 Revision of Bid Documents for Construction

Prior to commencing with construction, the A/E shall update the bid documents (drawings and project manual)
into construction documents. The construction documents shall include all addendum changes that may have
occurred during the bidding process. All changes are to be identified by clouding or other means and the
source of the change noted in the revision section of the title block. The construction documents shall be
prepared and submitted prior to the County issuing a notice to proceed to the Contractor. The drawings and
project manual shall be clearly labeled ‘CONSTRUCTION DOCUMENTS (Revision Month, Date, Year).

6.4.18 Notice to Proceed

Depending on the nature of the project and the terms of the contract, the PM will issue a written ‘Notice to
Proceed’ to the contractor establishing the official start of the contract. A notice to proceed should not be
issued nor shall work commence until all contracts are fully executed and appropriate bonds are received. A
copy of the notice to proceed should be provided to the Purchasing Division for their contract file.

END OF SECTION

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6.5 Construction Phase

6.5.1 General

“I can construct your project on time, within budget, and with high quality. Which two do you want?”

The statement above refers to the project management triangle (also called triple constraint). Having a well-
planned project and work breakdown schedule will pay-off during the construction phase, helping to avoid
unnecessary trade-offs between these project constraints.

The Construction Phase of a project is considered to start once the contracts are fully executed, a Notice to
Proceed has been issued to the Contractor, and all required permits have been obtained. This is the
implementation phase, where the project plan is put into motion and the work of the project is performed
practically on site. In order to deliver the project successfully through the construction phase, the PM must:
• Control the project scope
• Monitor the project budget and control costs
• Manage the project schedule
• Perform quality control checks
• Monitor and control risks

It is essential for the PM to continuously monitor all aspects of the project during the construction phase and
make the adjustments necessary for the project to remain on time, within budget and of good quality.

6.5.2 Roles and Responsibilities

A. Contractor
The Contractor shoulders the responsibility of keeping the project moving according to plan including
managing the day to day progress, overseeing the work of subcontractors, and all other coordination
necessary to deliver the project as specified, for the amount bid, on or before the contract completion date.

B. A/E Construction Administration

For most CIP projects, the A/E will be directly involved through to the completion of construction. Contract
Administration (CA) services are rendered at the County’s discretion. The PM should work with the A/E to
scope the appropriate level of construction phase services required for the project. CA services typically
begin at the time the construction contract is executed, and terminate when the final certificate of payment
is issued. The A/E’s core responsibility during this phase is to help the Contractor build the project as
specified and serve as an advisor to the County. Typical responsibilities of the A/E include:
• Lead pre-construction and progress meetings.
• Perform construction observation site visits.
• Respond to Contractor’s requests for information (RFI’s).
• Review and approve technical submittals and shop drawings.
• Review and certify progress pay requests.
• Prepare Change Orders in consultation with the County.
• Conduct final inspections and prepare punch-lists.
• Furnish certificate of compliance required for occupancy.
• Ensure the project is delivered by the Contractor as designed.

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C. Project Manager
During the Construction Phase, the PM monitors the activities of the A/E and the Contractor, and must
remain apprised of the construction status and all associated issues. The PM is ultimately responsible for
the success of the project, the budget, adherence to design intent, schedule, and the receipt or all
deliverables. Some examples of the PM’s responsibilities during this phase include:
• Attending the preconstruction conference.
• Attending regular construction progress meetings.
• Reviewing and processing Contractor pay requests.
• Reviewing and processing A/E pay requests.
• Provide timely responses to the A/E and Contractor on issues that require County approval.
• Review and process construction Contract Change orders.
• Communicate with elected officials, media, and county residents as requested.
• Coordinate all internal processes required to maintain the budget and schedule.

The PM will interact primarily with the Contractor and the A/E’s field construction representative. The PM
will also provide reports and updates to the Director as requested, and may consult with the Purchasing
Division or Corporation Council regarding contractual matters.

6.5.3 Construction Meetings

During the construction phase, communication is among the most important elements for the delivery of a
successful project. It is the PM’s responsibility to see that the following coordination meetings are held:

A. Pre-Construction Meeting

The purpose of the Pre-Construction Meeting is to:

• Introduce all participants in the construction process.
• Define roles and responsibilities of participants and channels of communication.
• Discuss the General Conditions of the Contract and General Requirements of the project.
• Discuss Contractor’s schedule including critical dates/issues, and mobilization.
• Establish Construction Progress Meeting frequency and schedule.

The PM will establish the meeting time and place. The A/E in consultation with the PM will prepare the
meeting agenda, establish the list of invitees, and send out the meeting notices. The meeting typically
includes the Prime Contractors’ project manager and construction superintendent, A/E representative(s),
County PM and as necessary, the Director of Public Works or Stakeholder representatives.

The A/E is responsible for hosting the meeting and preparing and distributing the meeting minutes.

B. Construction Progress Meetings

Construction Progress Meetings are held throughout the duration of construction at intervals agreed upon
by the PM, the Contractor and the A/E, generally every two weeks. The purpose of these meetings is to
evaluate the status of construction, review the construction schedule and identify any potential construction
problems or questions. It is preferable that the meetings take place on-site.

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Attendees will include the Contractors’ project manager and construction superintendent, Subcontractor
representative(s), A/E representative, County PM and as necessary, the Director of Public Works or
Stakeholder representatives as necessary.

The A/E will prepare and distribute the meeting agenda and lead the progress meetings. A sample
construction progress meeting agenda might include the following topics:
• Overall schedule review including two week look-ahead.
• Review of safety and use of site
• Shop Drawing / Submittal Status
• Review status of requests for Information (RFI’s)
• Review Change Requests and Change Order log
• Follow-up on existing issues
• Discussion and documentation of new issues
• Confirm next meeting date/time

The A/E is also responsible for preparing and distributing the meeting minutes.

6.5.4 Questions and Requests for Information (RFI)

All questions arising during construction regarding contract clarifications, interpretations or additional
information regarding the Work should be directed in writing to the A/E. Questions forwarded to the A/E are
called a ‘Request for Information (RFI). The A/E will respond to the RFI and direct it back to the Contractor.
The Contractor is responsible to document the questions and answers in a Request and Answer Log
including the RFI Number, Status, Dates and potential Cost Impact, if any. The Request and Answer Log
should be accessible to all parties involved in construction and can be maintained in the Contractor’s project
management software, and/or as a hard copy in the project field office. The status of RFI’s should also be
reviewed at each project progress meeting.

The A/E’s response to an RFI shall not direct any change in work, nor shall the A/E’s response be a request
for a cost proposal. Changes in the Work are handled as a separate process. If the A/E, in consultation with
the PM, believes that a change in work may be necessary, the PM will authorize the A/E to issue a
Construction Bulletin.

6.5.5 Submittals

The A/E should prepare a Submittal Log listing all submittals required under the project specifications,
including shop drawings, manufacturers’ literature or product data, samples, test reports, mock-ups and color
selections. The A/E is responsible for continuously monitoring and updating the Submittal Log and taking
actions necessary to promote the progress of the work. In some cases, the Contractor may indicate
submittals that have a priority review status due to long lead times. The A/E should expedite the turnaround
of these items (approximately one-week) to not delay the project.

The A/E should review the procedures for managing Submittals at the Pre-Construction meeting including
channels of communication, routing, required number of copies, etc. Generally, the Contractor will submit the
shop drawings to the A/E, and the A/E will review and return the submittals directly to the Contractor. In some
cases, the PM may also want to review the submittals, particularly where pre-approved or proprietary
products are utilized by the County. In this case, the PM is responsible to communicate this information to the
A/E so the additional review requirements are provided for the Submittal Log.

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6.5.6 Payments to Contractors

Progress Payments:
As work progresses on the project, the Contractor will submit payment applications which require certification
by the A/E and approval by the PM. For most projects, the Contractor will submit the payment request
directly to the A/E using AIA Document G702 ‘Application Certificate for Payment’ (Appendix A6.5.6-1). Each
payment request should be accompanied by a Waiver of Lien.

Once the A/E has signed-off on the Pay Request, the PM should review and approve the document and
complete a Payment Request Form (Appendix A4.0.3-3). The PM should deliver the completed materials to
the Public Works Administrative Assistant for processing.

Retainage:
Retainage is an amount of money withheld from payment to a Contractor until the end of the construction
project. The purpose of withholding retainage is to ensure the Contractor finishes the work completely and
correctly. For projects meeting the definition of a ‘Public Work’, the retainage is specified in Wisconsin
Statutes Section 66.0901(9) (b) as an amount equal to not more than 5 percent of the estimate until 50
percent of the work has been completed. At 50 percent completion, further partial payments shall be made in
full to the Contractor and no additional amounts may be retained. For County contracts, retainage is typically
released at the final completion of the project, and usually as part of the final contract payment.

Final Payment:
Final payment should not be released until the contractor has submitted all close-out documentation outlined
in Section 6.6 of this Manual.

6.5.7 Claims / Disputes

The PM should immediately notify the Director of Public Works and Corporation Council upon receiving or
being informed of any claim, dispute, or legal notice in regard to the work under the contract. It is likely the
A/E and County Risk Manager will also be involved in an effort to resolve the issue. NOTE: The contract
documents (the CSI Project Manual) for the project should have details on dispute (conflict) resolution for
various aspects of construction management.

6.5.8 Monitoring the Budget

During the construction phase, the PM is responsible for monitoring the project budget and actively updating
the Project Budget Detail as expenditures are incurred including A/E fees, change orders, owner purchased
equipment, etc. The PM should note any significant variances between the estimated and actual costs in the
budget detail, and be prepared to make adjustments as necessary. If at any time during the construction
phase it appears a significant cost increase may place the budget at risk, the PM should consult with the
Director of Public Works and the Finance Division with a strategy to adjust the project scope, supplement the
budget, or both.

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6.5.9 Construction Observation – Site Visits

The PM should conduct routine on-site observations to monitor the progress of work, ensure the work
conforms to the requirements of the contract, and identify any problems in advance of their occurrence. Any
situations that may negatively impact the cost or completion of the project should be reported to the Director
of Public Works as soon as they are identified. During site visits, the PM should avoid activities that could be
construed as a responsibility of the Contractor; any concerns observed should be communicated to the
Contractor’s superintendent or foreman, not to workmen or subcontractors.

The A/E will also visit the site for the purpose of observing construction at intervals appropriate to the stage of
construction. The minimum number of Construction Observation Site Visits should be identified in the scope
of construction administration services provided by the A/E. It should be noted that A/E visits to the site for
other purposes (i.e. progress meetings, pre-installation meetings, site testing, etc.) may not necessarily
constitute a construction observation site visit. The A/E shall provide written field reports (electronically) on all
construction observation site visits.

6.5.10 Hazardous Materials

This article is intended to cover the abatement of hazardous materials, such as asbestos or lead-based paint
discovered during facility remodeling, alteration or demolition projects. Whenever possible, all hazardous
materials should be identified, and a strategy to abate the materials should be in place prior to bidding the
project. However, it is not uncommon for hazardous materials to be discovered as an unforeseen condition
during construction.

A. Asbestos-Containing Materials (ACM)

Asbestos will likely be the most common hazardous material the PM will encounter during a facility
renovation project. Asbestos is a mineral that was used in many common building materials such as
flooring, mastics, insulation, plaster, caulks and sealants, roofing, etc. While not commonly used today,
ACM’s can still be found in many older facilities. The PM should be mindful of any materials that may
contain asbestos and involve licensed professionals when disturbance is necessary.

There is no statutory or code requirement to remove all asbestos-containing materials from County-owned
facilities. It is the intent of the County to identify and manage ACM and to abate (remove, enclose or
encapsulate) only specific ACM that will be disturbed by the Project.

A basic internet search will produce an abundance of information regarding the various classifications of
ACM including Category-I, Category-II, Regulated Asbestos Containing Material (RACM) and Presumed
Asbestos Containing Material (PACM). Therefore, this will not be covered in-depth in this manual.

Due to the specialized nature of asbestos abatement, compounded by the regulatory and insurance
requirements, most general contractors are not able to perform asbestos abatement activities. When ACM
are discovered as an unforeseen condition during construction, the party discovering or suspecting the
ACM shall contact the PM who will work with an asbestos abatement specialist to:
• Determine whether or not regulated ACM are present and, if needed,
• Make arrangements with an asbestos abatement contractor for prompt abatement.
For this type of minor abatement work, the County maintains open contracts with abatement firms who are
generally able to respond on relatively short notice. The PM should consult with the Purchasing Division
who can assist in the engagement of an asbestos abatement specialist.

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Phase Phase Phase Phase Phase Phase

B. Lead-Based Paint (LBP)

For projects involving the removal or demolition of materials containing lead-based paint (LBP), the
Contractor is responsible for conformance with applicable codes and regulations and as specified in the
contract documents. Renovation and demolition projects involving lead-bearing surfaces do not typically
require special handling of the waste as long as the lead-bearing surfaces are not separated from the
substrate. Building components coated with LBP can be disposed of as construction debris in a DNR-
approved landfill. If lead-bearing surfaces are separated from the substrate, the work is likely to generate
hazardous waste and will require abatement. In this event, the PM should consult with the Purchasing
Division who can assist with the engagement of an abatement specialist.

C. Other Hazardous Materials

The PM should be aware that regulated hazardous materials may also be contained in common building
components including, but not limited to:
• Light fixtures, lamp ballasts and bulbs
• Transformers, meters and switchgear
• Oil used in machinery or elevator equipment
• Exit signs
• Smoke detectors
• Batteries, computers and other electronics
• Refrigerants in rooftop equipment, air conditioners, chillers, drinking fountains
• Chemical tanks (underground and above ground)

6.5.11 Changes in the Work / Change Orders

Changes in the Work can result for a variety of reasons including errors or omissions in the bid documents,
the County’s request to make changes or reduce costs, or unforeseen conditions. The Walworth County
Code of Ordinances Chapter 17 requires the County to follow specific guidelines when modifying existing
contracts, which are further detailed in AP 6-310 ‘Change Orders’.

The information in this article pertains to projects that are considered ‘Public Work’ under Wisconsin
Statutes and fall under the provisions of Walworth County AP 6-120.06 ‘Committee Award – Public
Work bids, Contracts, Change Orders, and Projects’.

Non- ‘Public Work’ contracts fall under the authority of the Finance Committee, and follow similar contracting
and change order standards outlined in Walworth County AP 6-120.05 ‘Committee Award – General
Contracts and General Contract Change Orders’.

In order to expedite a Change in Work, the PM must accomplish two primary tasks:
• Task-1 – Facilitate and Document the Contract Change(s) with the A/E and Contractor
• Task-2 – Obtain the necessary County Approvals in accordance with the following:
o AP Appendix 6-102-B – County Fiscal Awarding Authority
o AP 6-310 Change Orders, Section 6-310.08 – Change Order Authorizations

Section 06.5 - Page 6

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Phase Phase Phase Phase Phase Phase

Task-1 CONTRACT CHANGES Communication and Documentation

Construction Bulletins (CB)

The process for agreeing to a change in work begins when one of the parties to the contract requests a
change to that agreement. When the change is initiated by the County, the A/E in consultation with the PM
will communicate the information to the Contractor in the form of a Construction Bulletin (CB). The
Construction Bulletin notifies the Contractor of the proposed change and requires a response from the
Contractor to assess the cost impact of the work being proposed. It does not authorize a Change in the
Work.

Potential Change Order (PCO)

Upon receipt and review of a CB, the Contractor will prepare a written response in the form of a Potential
Change Order (PCO). The Contractor may also use a PCO to initiate a change. The PCO does not modify
the Contract; its main purpose is to document any potential changes in cost or time that would affect the
Contract. The A/E will receive and review all PCOs and make recommendations for their acceptance or
denial to the PM. Each PCO is subject to negotiation and modifications before it is considered for inclusion in
a formal change order.

The PM shall keep the Public Works Director apprised of all PCOs.

Change Order (CO)

A Change Order is a written instrument approving one or more PCOs. The document is prepared by the A/E
and signed by the County, Contractor and A/E stating their agreement upon all of the following:
• The change in the work;
• The amount of the adjustment, if any, in the Contract Sum; and
• The extent of the adjustment, if any, in the Contract Time.

The CO should be prepared on a Form that is consistent with the original contract. Where the AIA A101
‘Standard Form of Agreement Between Owner and Contractor’ is used as the form of contract, the AIA G701
‘Change Order’ form should be used to modify the contract. Alternately, if a Standard County Contract was
used as the original form of agreement, then a County Project Change Order Appendix 6-310-C should be
used to modify the contract. A sample copy of a completed AIA Change Order is provided in the Appendix
(A6.5.11-1 Contract Change Order).

The CO should not be fully executed by the County until all internal approvals are obtained. The PM should
note that the signature authority for this document is the same as the original Contract.

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Phase Phase Phase Phase Phase Phase

Task-2 COUNTY APPROVALS Communication and Documentation

County Change Order Request (COR)

Before a formal Change Order can be executed with the Contractor, a Walworth County ‘Project Change
Order Internal Routing Approval Request’ (Form 6-310-B) must be completed and signed by the appropriate
County representatives. This document provides for accountability (reason for changes), transparency, and
ensures there is budget available to cover the costs of the change(s). This document does not modify the
Contract Sum or Contract Time. A copy of Form 6-310-B is provided in the Appendix (A6.5.11-2 Change
Order Request).

Project Managers will always use COR Form 6-310-B. All CORs will either be a report or a new business item
(seeking authorization) at the next Public Works Committee meeting. Report only Change Orders are
documented on the PW Monthly Construction Project Management Summary. In contrast, Change Orders
requiring Committee approval are added under New Business on the PW or Finance Committee Agendas.

Table 6.5.11-1 (below) summarizes the approval and signature requirements for both the Change Order
Request (Approval Request) and the Contract Change Order (Agreement). For a detailed explanation, refer
to the following Administrative Procedures:

• AP Procedure 6-102 (General Purchasing Requirements)

o Appendix 6-102-B (County Fiscal Awarding Authority)
• AP Procedure 6-120 (Committee Awards and Reports)
o Form 6-120-A (Purchasing Report to Committee)
• AP Procedure 6-310 (Change Orders)
o Form 6-310-A (Non-Project Change Order Internal Routing Request)
o Form 6-310-B (Project Change Order Internal Routing Request “COR”)
o Appendix 6-310-C (Project Contract Change Order)

Change Order Request - Routing and Workflow

The PM is responsible for preparing and delivering a draft COR (Form 6-310-B) to the Public Works
Administrative Assistant, along with a copy of the supporting Contractor Change Order documentation. The
PW Administrative Assistant is responsible for routing the document for approvals and signatures. The PM
should consult with the PW Administrative Assistant regarding the timing of the approvals, particularly when
Committee approval is required.

The internal workflow for routing and approval of the Change Order Request is provided in Appendix A6.5.11-
3 Change Order Request Workflow.

Section 06.5 - Page 8

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Phase Phase Phase Phase Phase Phase

Project Change Order Approvals (refer to AP 6-310.08 Change Order Authorizations) Table 6.5.11-1

ORIGINAL CONTRACT AMOUNT UNDER $25,000

Purch DPW Finance County PW
PM A/E Mgr. Dir * Dir. Admin** Committee

CHANGE LESS THAN 5% or $25,000 MAX

Internal Change Order Request Form 6-310-B P FA RPT
Contract Change Order Form 6-310-C or AIA G701 P S SA
CHANGE GREATER THAN 5% or $24,999 MAX
Internal Change Order Request Form 6-310-B P FA PA RPT
Contract Change Order Form 6-310-C or AIA G701 P S SA
CHANGE LESS THAN $24,999 & CONTRACT IS NOW $25,000 OR MORE
Internal Change Order Request Form 6-310-B P PA PA FA RPT
Contract Change Order Form 6-310-C or AIA G701 P S SA
CHANGE GREATER THAN $25,000
Internal Change Order Request Form 6-310-B P PA PA PA PA / FA FA / RPT
Contract Change Order Form 6-310-C or AIA G701 P S SA

ORIGINAL CONTRACT AMOUNT $25,000 to $499,999

Purch DPW Finance County PW
PM A/E Mgr. Dir* Dir. Admin** Committee

CHANGE LESS THAN 5% OR $25,000 MAX

Internal Change Order Request Form 6-310-B P FA RPT
Contract Change Order Form 6-310-C or AIA G701 P S SA
CHANGE LESS THAN $24,999 & MORE THAN 5%
Internal Change Order Request Form 6-310-B P PA PA FA RPT
Contract Change Order Form 6-310-C or AIA G701 P S SA
CHANGE GREATER THAN 5% & Over $25,000
Internal Change Order Request Form 6-310-B P PA PA PA PA / FA FA / RPT
Contract Change Order Form 6-310-C or AIA G701 P S SA

ORIGINAL CONTRACT AMOUNT OVER $500,000

Purch DPW Finance County PW
PM A/E Mgr. Dir * Dir. Admin** Committee

CHANGE LESS THAN 5% OR $25,000 MAX

Internal Change Order Request Form 6-310-B P FA RPT
Contract Change Order Form 6-310-C or AIA G701 P S SA
CHANGE BETWEEN $25,000 and $150,000 (or 5%)
Internal Change Order Request Form 6-310-B P PA PA FA RPT
Contract Change Order Form 6-310-C or AIA G701 P S SA
CHANGE GREATER THAN $150,000 (or 5%)
Internal Change Order Request Form 6-310-B P PA PA PA PA / FA FA / RPT
Contract Change Order Form 6-310-C or AIA G701 P S SA

*Refer to AP 6-310.08C **Refer to AP 6-310.08F

Notes:
1. Any Non-Standard change order forms must be reviewed by Corporation Counsel prior to execution.
2. A monthly project update (including change orders) shall be provided to the Public Works Committee for all Capital Projects exceeding $1M.

FA = Final Approval: Authority to Fully Approve

P = Primary Responsibility: You will ensure the results are achieved
PA = Pre-Approval: Your approval is required prior to final approval.
RPT = Report: Change Order is Reported to Public Works Committee
S = Secondary Responsibility: You will ensure some portion of the results is achieved
SA = Signature Authority: You are authorized to fully execute the document

Section 06.5 - Page 9

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Phase Phase Phase Phase Phase Phase

6.5.12 Substantial Completion

Substantial Completion is the stage in the progress of construction where the work is sufficiently complete
and can be occupied or used for its intended purpose. Substantial Completion also signifies the
commencement of guarantees and warranties, with the County assuming responsibility for insurance, utilities,
heating, maintenance and damages.

Inspection and Certification:

At the completion of construction, the Contractor should submit a written ‘Request for Inspection’ indicating
that the Contractor believes the work is substantially complete. The A/E and PM will then inspect the work
and prepare a written list of all items that are incomplete or non-conforming (punch-list). The A/E may also
engage their sub-consultants to prepare separate punch lists within their disciplines (i.e. Civil, MEP, FFE,
etc.). The A/E is responsible to compile all of the information and distribute the punch list to the Contractor
and the PM as soon as possible after the inspection.

Unless there are significant deficiencies in the work, the A/E will prepare and issue the Certificate of
Substantial Completion. Since the date of Substantial Completion has contractual significance, it should be
certified by the A/E.

6.5.13 Final Completion

The Contractor and the A/E should actively follow up on all punch list work until all systems are functioning
per the original design intent and final requirements. When the Contractor confirms, in writing, that all work
identified on the punch list is completed, the A/E and PM will conduct a final inspection.

The Construction Phase concludes when the A/E and PM are satisfied that all work is complete and in
accordance with the contract documents; all regulatory approvals are obtained; final inspections are
completed; and certificates of occupancy (where applicable) are issued. The Contractor can then proceed to
provide the closeout documentation (O&M’s, As-Built Drawings, etc.) along with a request for final payment as
outlined in Section 6.6 of this Manual.

END OF SECTION

Section 06.5 - Page 10

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Phase Phase Phase Phase Phase Phase

6.6 Closeout Phase

6.6.1 General

This Section describes the post-construction phase and outlines the requirements to close out a
Project. The Closeout Phase is often neglected due to the perceived project completion at the end of
construction, and competing interests for time on other projects. However, the Closeout Phase is an
important step in the project lifecycle. After final acceptance of the construction, the PM must ensure
that all essential training is completed, as-built documents are received, warranties and operation and
maintenance manuals are provided, and remaining physical materials are properly inventoried and
stored as attic stock. Projects that remain open without all the closeout activities promptly complete
tend to require additional time and budget to finish.

6.6.2 Operation and Maintenance Manuals (O&M)

All projects providing equipment or materials that require operational instructions or ongoing
maintenance should include a comprehensive ‘Manual’ that covers all O&M procedures. The project
specifications will require the contractor to assemble the O&M manual(s), which are typically provided
in three-ring binders with a table of contents and tab dividers for each major project Division. For
small projects, this manual may be a single binder with catalog cut sheets or other relevant
information. Large projects may require multiple-volume manuals with project-specific drawings,
parts lists, and detailed maintenance procedures.

O&M Manuals should be submitted in duplicate in both hard-copy and digital form. One copy of the
information is to remain on-site in the facilities maintenance office. The second copy is to be
delivered to the PM to file and retain with the facility’s permanent records.

6.6.3 Owner Training

Projects involving the installation of major equipment or complex systems (i.e. generators, fire alarm
system, lighting controls, HVAC equipment/controls, etc.) should include on-site, hands-on training
provided by the Contractor. The project specifications will indicate the owner training requirements
including the number of training sessions, or hours of training included in the contract.

The Contractor should develop the training program as required in the project specifications and
coordinate the training schedule with the PM. All required training must be completed prior to final
acceptance of the project.

A typical owner training session might include:

• Review of experience and certifications required by operating personnel.
• Overview and demonstration of the system.
• Review of the Operations and Maintenance Manual.
• Hands-on coaching as owner personnel step through the system.
• Contact information for manufacturer, technical support and service.

The PM should consult with the Facilities Division to identify the personnel to be involved in the
training program. The Project Manager is responsible to secure a location, schedule the training
meetings, and sign-off at the completion of each training session.

Section 06.6 - Page 1

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Phase Phase Phase Phase Phase Phase

6.6.4 Equipment Testing and Demonstration

The contractor must test and demonstrate operations of all equipment installed on the project before
final acceptance of construction and project closeout. The equipment must operate as designed as a
prerequisite to acceptance. The equipment start-up team consists of one or all of the following as
required:
1) A/E or Design Consultant
2) Contractor’s Project Superintendent
3) Sub-Contractor Representative
4) Building Maintenance Personnel
5) Project Manager
6) Professional Testing Firm

The equipment testing and demonstration may take place at the same time as the required owner
training.

6.6.5 Attic Stock

Attic Stock is a reserve amount of spare parts, maintenance materials, and extra products (i.e.
flooring materials, ceiling tiles, paint, etc.) that is to be left on-site for the owner’s use. The project
specifications will identify the quantity of attic stock to be provided, usually as a percentage. The attic
stock materials should be delivered to the project site and placed in a location as directed by the PM
and coordinated with the Facilities Division. Only the specified quantity of materials should be left on-
site, as excess and unnecessary materials can take up valuable storage space. The quantity of attic
stock required should be reviewed with the Facilities Division during the project design phase.

6.6.6 Warranties

The duration of the project warranty is specified in the bidding documents and is typically one-year
from the date of substantial completion. The PM should confirm all warranty dates at project close
out and obtain a warranty letter from the contractor specifying the date of substantial completion and
the warranty end date.

Specific materials or equipment may also come with a supplier or manufacturer’s warranty that must
be provided for the project file. The contractor must collect all warranties and deliver them to the PM
during project closeout. When the warranties are received the PM and Facilities Division must
confirm that the model and serial numbers of the documentation match the installed items.

A digital copy of all warranties should be filed in the appropriate project sub-folder (See Section 7.0
Records Management) and a copy sent to the Asset Manager/Operations Analyst. The Asset
Manager/Operations Analyst will track warranty information to provide a 60-day notice of termination
to the PM. The PM will inspect the warranty item to determine if additional work is required. A hard
copy of all warranties should also be delivered to the PM to file and retain with the facility’s permanent
records.

Section 06.6 - Page 2

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Phase Phase Phase Phase Phase Phase

6.6.7 As-Built / Record Documents

The Contractor is responsible for maintaining as-built record documents throughout the project and
submits those documents to the County as a permanent record at the end of the project. The record
drawings shall include all changes to construction documents made by addenda or change orders, as
well as any field adjustments made by the Contractor. The PM and the A/E should monitor the status
of the Contractors’ marked-up as built drawings on a regular basis throughout the course of
construction.

At contract closeout, the as-built drawings are delivered to the A/E to review and produce a record
drawing set of plans and specifications. The final set of record drawing plans and specifications are
submitted to the PM for approval and filing in the project's permanent files.

6.6.8 Major Equipment / Asset Documentation

The PM should consult with the Public Works Finance Manager during the project closeout phase to
determine which major equipment provided in the project will need to be documented as Capital
Assets. This might also include certain existing equipment that is being removed or retired as part of
the work. Examples of capital assets might include:
• Generators
• Boilers
• Major HVAC equipment
• Parking Lots
• Roofs
• Elevators
Where required, the PM should record the equipment make, model, serial number, in-service date,
and any other information requested by the Finance Department.

The PM should also consult with the Facilities Foreman to ensure that the same information is
entered into AssetWorks, that preventative maintenance schedules are captures and necessary
operational materials are procured and inventoried.

6.6.9 Final Payment

Prior to release of final payment and retainage, the Contractor shall submit all close-out
documentation outlined in this Section. The final pay application should be accompanied by a final
lien waiver for the prime Contractor and subcontractors. In accordance with Section 30-121(c) of the
Walworth County Ordinances, approval by the Public Works Committee is required for final payments
of construction contracts greater than $100K:
https://library.municode.com/wi/walworth_county/codes/code_of_ordinances?nodeId=WACOCOOR_CH30FI_AR
TIIIPAPUSEOR_DIV3PA_S30-121EXAU

The PM should inform and consult with the Public Works Finance Manager during the processing of
final pay requests. The Public Works Finance Manager will prepare a summary report of all partial
payments made on the project as required by Section 30-121(b) of the Walworth County Ordinances.

Section 06.6 - Page 3

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Phase Phase Phase Phase Phase Phase

6.6.10 Capital Improvement Project (CIP) Closure

All major Capital Improvement Projects including new or facility renovation projects are financed
through a Capital Projects Fund subject to Sec.30-174 of the Walworth County Ordinances:
https://library.municode.com/wi/walworth_county/codes/code_of_ordinances?nodeId=WACOCOOR_CH30FI_AR
TIVACPO_S30-174CAPRFU

This fund is established to account for and report financial resources that are assigned to capital
outlays including the acquisition or construction of capital facilities or assets. In order to a close a
project in this fund, all encumbrances and open balances on the project must be reconciled. In
accordance with County Ordinance Sec.30-174(c), a Resolution must also be passed to officially
close the project.

The PM should consult with the Public Works Finance Manager and the Purchasing Division to
ensure all final payments are processed and all purchase orders related to the project are closed.
(See also: 3.0.6 A/E Contract Closeout). The Public Works Finance Manager in consultation with the
PM will prepare the Resolution for approval of the Finance Committee and County Board.

Year-end reporting on the status of all projects in the Capital Projects Fund to the Director of Public
Works and the Public Works Finance Manager will take place during a regularly scheduled project
management team meeting.

6.6.11 Post-Project Review

As part of the project closeout phase, the PM should review and discuss their experience managing
the project at one of the regularly scheduled project management team meetings. The PM should
note lessons learned, and provide recommendations for process improvement (if any). The primary
purpose of the post project review is to share the key project successes and challenges with other
project managers.

Successes must be shared so they can be repeated. Where possible, successes should be
translated into procedures that will be followed by future projects. Problems related to the project
execution should also be noted so they are not repeated.

The PM should also complete the A/E Performance Evaluation in accordance with Article 3.0.7 and
Appendix A3.0.7-1 of this Manual.

END OF SECTION

Section 06.6 - Page 4

Revised: 12-08-2021
 SECTION – 07 RECORDS MANAGEMENT

7.0 Records Management

7.0.1 General

All project records should be kept digitally in the appropriate file folder on Public Works shared directory (S-
Drive), unless special circumstances warrant a deviation from this standard. The file nomenclature and
subfolder structure is intended to organize and preserve critical project information. The information should
be organized in a way that would allow colleagues and future staff to find documents, with or without prior
knowledge of the project.

7.0.2 Project Identification and Numbering

During project initiation, the project will be assigned a specific project number based on the project details. A
corresponding project file will be started in the Public Works shared directory (S-Drive) under the same
project number. The project numbering system is broken down into a series of numbers used to identify the
year the project started, the CIP Project Number, the associated facility and a brief description. The example
file number below (Figure 7.1) represents a Government Center security project started in 2021.

Note: During the course of the project life cycle, additional CIP numbers may be applied to the same overall
project. In these situations, the original parent project number will encompass the subsequent CIP numbers
with the additional CIPs broken down in the original parent file.

Figure 7.1

The numbering system for the project is broken down into three sections. The first two sections are set by the
year and CIP assigned by the Finance Department. The third section is set by the project manager or
engineer assigned to the project. The third section should start with facility or infrastructure abbreviation that
the project is effecting (See Table 7.1) with a two or three-word description of the project scope. This allows
for quick file searching in File Explorer with readily known project information.

Section 01 - Page 1
Revised: 11-19-2021
 SECTION – 07 RECORDS MANAGEMENT

Table 7.1

Project Owner Number Series:

Facility / Infrastructure Abbreviation

Government Center ..………………………. GC

Public Works….……………………………… PW

Vehicle Maintenance Facility………………. VMF

Sheriff’s Office ………………………………. SO

Shooting Range ……………………………. SR

Judicial Center……………………………….. JC

Lakeland Health Care Center ……………… LHCC

Lakeland School……………………………... LS

Health and Human Services ………………. HHS

Parks …………………………………………. PRK

Parking Lots ………………………………… PLT

Highways……………………………………… HWY

Campus Utilities……………………………… CU

Once the project is completed, the project folder shall be archived in the “Closed Project” folder under the
year the project was initiated. Project files stored in the archive folder should be purged of any nonessential,
duplicate, or superfluous information (think “what would make sense in five years”). Any design drawings and
as-built drawings that are applicable to building facilities should also be copied into the “02-Facilities-Building
Drawings” folder located in the top folder of the Public Works S-Drive.

Section 01 - Page 2
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 SECTION – 07 RECORDS MANAGEMENT

7.0.3 File Structure – Large Projects

Files for medium and large projects with a project budget over $100K, shall be maintained on the S-Drive
under the “Public Works” folder inside the “01-PROJECTS” sub-folder. Files are broken down further into
“Open Projects” and “Closed Projects” and then separated into the years they were initiated. The project file
structure is broken down into main folders under the project number then into multiple subfolders. Each
subfolder can be directly populated with files or additional subfolders as required. This file structure is used to
capture the whole project life cycle and should be purged at each project phase to remove redundant,
duplicate or obsolete files. The folders can also be trimmed down or added at the start of the project, based
on the complexity of the work being performed. The typical all-encompassing folder structure shall be as
follows:
PROJECTS
|
|-CLOSED PROJECTS
|-OPEN PROJECTS
|
|--2018
|
|--W1820-240 Resurfacing Public Works Entrance
|
|--01 INITIATION
| Budget
| Meetings
| Miscellaneous
|
|--02 PLANNING
| Project Management Plan
| Budget
|
|--03 DESIGN
| AE Services
| RFP AE-Services
| Base Contract
| Added Services
| Invoices
|
|--04 BID AWARD
| Bidding
| Award
| Contract
|
|--05 CONSTRUCTION
| CA Services
| Correspondence
| Pay Requests
| Progress Payments
| Change Orders
| Drawings
| Specs
| Permits
| Field Reports
| Miscellaneous
| Photos
| Submittals
| Utilities
| Punch List
|
|--06 CLOSE OUT
As-Built Drawings
O&M Manuals
Warranty

Section 01 - Page 3
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 SECTION – 07 RECORDS MANAGEMENT

7.0.4 File Structure – Small Projects

Files for small projects, as defined in Section 5 of this manual, shall be maintained on the S-Drive under the
“Public Works” folder inside the “01-PROJECTS” sub-folder. Files are further sorted and numbered in the
same format as for medium and large files. Once in the specific project file for small projects, the file structure
is condensed to correspond to the minimal file keeping requirements for these projects. The folders can also
be modified at the start of the project by adding or removing folders based on the specific project
requirements. The typical folder structure shall be as follows:

01 Project Start-up
1. Background Information and Folder Links
2. Forms

02 Design Documents
1. Drawings
2. Specifications

03 Budget Data
1. Quotes
2. Change Orders
3. Progress Payments

04 Correspondence

05 Construction Documentation
1. Photographs
2. Meetings
3. Changes
4. Misc.

06 Project Closeout

END OF SECTION

Section 01 - Page 4
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 SECTION – 08 APPENDIX

8.0 Appendix

Appendix 03 – Architectural and Engineering Services

A3.0.3-1 A/E On-Call Selection Form
A3.0.7-1 A/E Project Performance Evaluation Form

Appendix 04 – Budget Management

A4.0.3-1 Sample Project Budget Detail
A4.0.3-2 DPW Purchase Request Form
A4.0.3-3 Payment Request Form & Instructions

Appendix 06 – Project Lifecycle

A6.2.5-1 Project Management Plan (PMP) Template
A6.3.10-1 Commonly Used CSI Divisions
A6.5.6-1 Sample Contractor Application for Payment & Lien Waiver
A6.5.11-1 Sample Contract Change Order
A6.5.11-2 Change Order Routing Request Form 6-310-B
A6.5.11-3 Walworth County Change Order Request Workflow

END OF SECTION

Section 08 - Page 1
Revised: 10-07-2021
 SECTION – 08 APPENDIX

This Page Intentionally Left Blank

Section 08 - Page 2
Revised: 10-07-2021
Walworth County Department of Public Works Appendix A3.0.3-1
A/E On-Call Selection Form
The purpose of this document is to assist Project Managers in making informed decisions as to which on-call Firm is best qualified to complete a project based
on their Capabilities, Capacity to take on work, and their Performance on past projects. Part-1 of this document represents the current consultant scores and is
maintained by the Associate County Engineer / Master Planner. Part-2 of this document is for use by the Project Manager.

PART - 1 Maintained by Associate County Engineer / Master Planner

Note:
The scores in the table below are based on the Firm's capabilities, initially established by an evaluation committee at the time
the Firm enters into a Master Services Agreement with the County. The Firm's Capabilities are reviewed and adjusted annually
prior to engaging the Firm in a contract extension. The Firm's Capacity and Performance scores are maintained by the
Associate County Engineer / Master Planner at quarterly intervals, with input from the Project Managers.
Scores Updated - Date: 1/1/2021
By:
Firm Qualification Scores
Capabilities Performance Status Pts.
Programming Vertical Const. Building Envelope MEP Safety & Security Horiz. Const.

Planning Facility Const. / Exterior / Roofing Facility Services Facility Services Site Civil Past Performance Firm Committed
Space Studies Alteration Maint. / Energy MEP / FP Technology Parking / Utilities Evaluations Workload
( 0 - 10 ) ( 0 - 10 ) ( 0 - 10 ) ( 0 - 10 ) ( 0 - 10 ) ( 0 - 10 ) ( 0.0 - 10.0 ) ( Deduct )
Firm Name:
Firm A 8 9 6 10 8 10 3.0 -8.0
Firm B 10 10 8 7 7 5 5.0 -2.0
Firm C 9 7 10 9 10 8 7.0 -4.0

PART - 2 Completed by Project Manager

Project Name: Court Room Design and Const

Project Manager: VS Approved By: RH
Date: 8/25/21 Date: 8-25-21
Note:
Use the drop-downs in the 'Project Scope' column below (red text) to best identify the
requirements of the Project. Each Firm's ranking will automatically populate based on their
qualification scores in Part-1.

Firm Capabilities
Project Scope: Firm A Firm B Firm C
Firm Capabilities
Programming 8 10 9
Vertical Const. 9 10 7
Comparison Chart
MEP 10 7 9
Safety & Security 8 7 10 10 10 10 10
9 9 9
0 0 0 8 8
0 0 0 7 7 7
Subtotal: 35 34 35

Firm Performance and Capacity

0 0 0 0 0 0
Performance Score 3.0 5.0 7.0
Status Points -8.0 -2.0 -4.0 PROGRAMMING VERTICAL MEP SAFETY &
CONST. SECURITY

Firm A Firm B Firm C

Total Score: 30.0 37.0 38.0

Best Qualified Firm: Firm C

Comments:
 Appendix A3.0.7-1

A/E Project Performance Evaluation

Firm Name: ABC Architects Evaluation Date: 8/25/2021

Project No. W21-572 Project Manager: JK
Project Description:
Space needs study and preliminary programming
and options for Assessor's Office Maximum
Possible Score ** Consultant
A/E Performance Categories (10) or (N/A) Project Score
Consultant Communication 10 7.5
Consultant Availability 10 7.0
Timeliness of Deliverables 10 6.5
Ability to Deliver within Budget 10 8.0
Ability to Resolve Issues 10 5.5
Document Quality and Coordination 10 6.0
Document Completeness 10 7.0
Technical Design Merit / Creativity N/A -
Construct-ability / Maintain-ability of the Design N/A -
Change Orders due to Errors or Omissions N/A -
70 47.5

Consultant Overall Project Score (0 - 10): 6.8

Comments:
Consultant did an excellent job communicating with the PM and Stakeholders. Study Report
was delivered on time and under budget. Documents were complete, but there were a few
items that were incorrectly cross-referenced.

** Scoring Instructions:
The A/E's performance in each applicable category is scored between 0 and 10. Decimals to 0.1 may be
used to indicate varying degrees of performance. A neutral rating would be a value of 5.0. Additional
scoring guidance is provided below:

Score: Guideline Scoring Criteria

10 A/E Performance is EXCELLENT
7.5 A/E Performance is VERY GOOD
5 A/E Performance is SATISFACTORY
2.5 A/E Performance is POOR
0 A/E Performance is UNACCEPTABLE
 Appendix A4.0.3-1
SAMPLE PROJECT BUDGET DETAIL
PROJECT NUMBER & TITLE
PROJECT BUDGET DETAIL (PBD)
REPORT DATE:

Sunk Sunk Working

A PROFESSIONAL FEES Total Estimate Planning Est. Planning Actual Design Estimate Design Actual Bid Estimate Bid Actual Constr. Est. Constr. Act. Close Est. Close Actual Costs Contingency Liquidated Balance Vendor Comment
A1 A/E Services - Planning Phase 115,000 5000 5000 0 5,000 15,000 0 110,000 Ventrue Architects
A2 A/E Services - Design Phase 50,000 50000 50000 50,000 0 0 0 Ventrue Architects - Sub
A3 A/E Services Bid Award Phase 1,000 1000 1,000 1,000 0 0 0 Ventrue Architects
A4 A/E Services Build/Construct Phase 40,000 40,000 10,000 10,000 0 0 30,000 Ventrue Architects
A5 A/E Services Closeout Phase 4,000 4,000 0 0 0 0 4,000 Ventrue Architects-Sub
A6 Third Party Consultaiton / Plan Review 0 0 0 0 Hurtado-Zimmerman
A7 Permits 0 0 0 0 0 County Register of Deeds
A8 Legal Consultation 0 0 0 0 A/E - TBD
A9 Other 0 0 0 0
Sub Total: 210,000 0 15,000 0 144,000

B BUILDING / SITE CONSTRUCTION

B1 Building & Site Construction (Prime) 1,000,000 800,000 50,000 0 150,000 0 1,000,000 Miron Const.
B1 Building & Site Construction (Sub) 0 0 0 0 0 Miron Const.
B2 Change Order No.01 0.00 0.00 Miron Const.
B3 Change Order No.02 0.00 0.00 Miron Const.
B4 Change Order No.03 0.00 0.00 Miron Const.
Sub Total: 1,000,000 150,000 0 1,000,000

C OWNER PURCHASES / FORCE ACCOUNT / OTHER

C1 Furniture Fixtures and Equipment 75,000 10000 10000 65,000 10,000 0 0 65,000 M&M
C2 IT Equipment 10,000 0 0 0 10,000 TDS
C3 Impact Fees 25,000 25,000 0 0 0 25,000 Walcomet
C4 Impact Fee - (6-Inch) Water 14,000 14,000 0 0 0 14,000 City of Elkhorn
C5 Moving 25,000 25,000 0 0 0 25,000 Coakley, Adv Disposal, Rhyme
C6 Other - Special Equipment (floor cleaner) 25,000 25,000 0 0 0 25,000
C7 Other - County Force Account Work 12,500 12,500 0 0 0 12,500
C8 Other - Builder's Risk Insurance 2,000 2,000 0 0 0 2,000 Walworth County
C9 Other - Advertising / Class Notice 100 100 0 0 0 100 S. Lakes Newspaper
C10 Other - Miscellaneous Equipment & Purchases 20,000 20,000 0
Sub Total: 208,600 0 0 178,600

SUMMARY
Estimate Sunk-1 Sunk-2 Liquidate Balance
ESTIMATED PROJECT TOTAL: 1,418,600 76,000 165,000 0 1,322,600
 Appendix A4.0.3-2
DPW PURCHASE REQUEST

DIRECTOR PUBLIC WORKS $5,000 & OVER APPROVE / DISAPPROVE

Signature: Date:
DEPUTY DIRECTOR $ 1 - $4,999 APPROVE / DISAPPROVE
Signature: __________________________________ Date: _____________________

ALL purchases must be pre-approved using the above thresholds

P-Card Authorized (Circle One)? Yes / No Email PO to Vendor (Circle One)? Yes / No

Recommended Sourcing Method or Sourcing Method Utilized:

Vendor: Vendor #
Vendor Contact (Email): Contract #

Purchase Description / Title:

Amount of Purchase:
$
Account #: Account Balance:

Special Instructions, PO Notes, Etc.:

SUBMITTED BY (Print Name): DATE:

------------------------------------------------------Administrative Support----------------------------------------------------

Requisition Release Date: Initials:

Requisition # Purchase Order #

Revised: 10-28-2021 S:\Public Works\06-Project Management Manual\03 PM Manual - Working Draft\Section 08 - Appendix
 Appendix A4.0.3-3
PAYMENT REQUEST * obtain information from Munis Purchase Order Inquiry Screen

*
1. VENDOR # 2. DATE SUBMITTED

3. SUBMITTED TO

4. VENDOR NAME

*
5. PO #

*
6. ACCOUNT #

*
7. ORDERED AMOUNT

*
8. LIQUIDATED TO DATE

*
9. BALANCE ON PO

11. INVOICE / PAY APP

10. AMOUNT TO BE PAID
#
attach invoice
12. BALANCE 13. FINAL INVOICE YES NO
16. COMMITTEE YES NO
APPROVAL REQUIRED
14. LIQUIDATE BALANCE YES NO PWC FINANCE
17. COMMITTEE Date Vote
APPROVAL OBTAINED
15. CLOSE PO YES NO

18. PRINT NAME 19. INITIALS 20. DATE SIGNED

SUBMITTED BY:

APPROVED BY DIVISION
DIRECTOR:

APPROVED BY PUBLIC
WORKS DIRECTOR:

21. ADDITIONAL COMMENTS:

Saved in S:\Public Works\06-Project Management Manual\03 PM Manual - Working Draft\Section 08 - Appendix\Appendix A4.0.3-3 Payment Request Form and
Instructions LL 20211119 Password DPW
 Payment Request Form Instructions
In accordance with Walworth County Ordinance 30-121 (b) and (c) Expenditure authority regarding
Construction Contracts that are greater than $100,000, (b) partial payments are to be reported to the Public
Works Committee, and (c) final payments regarding contracts that are greater than $100,000 require Public
Works Committee approval.

This form is to be used when requesting payment for an invoice that is associated with a Construction Contract
that is greater than $100,000. Fields marked with an * identify information that will be found in the Munis
Purchase Order Inquiry Screen. All fields must be completed and appropriate approvals as indicated below
prior to submitting to Administrative staff for processing.

Field Field Name Description

#
1 *Vendor # Accounts Payable requires the Vendor # for all invoices.
2 Date Submitted Enter the date you prepared and submitted this form to Administrative staff.
3 Submitted To Enter the name of the Administrative staff that will be processing this payment.
4 Vendor Name Enter the Vendor Name from the Invoice, or list the Vendor Name from Munis that is associated
with this invoice (DBA, affiliate, etc.).
5 *PO # Enter the Purchase Order number associated with this purchase.
6 *Account # Enter the Org, Object, and Project Number associated with this purchase order from the printed
purchase order, or from the Purchase Order Inquiry screen in Munis.
7 *Ordered This is the original amount of the purchase order plus any added change orders.
Amount
8 *Liquidated to This its the amount that has already been paid or liquidated to date on the purchase order.
Date
9 *Balance on PO This is the remaining balance on the purchase order.

10 Amount to be This is the amount of your submitted invoice, or a portion of the invoice amount. If the amount is
Paid different than stated on the invoice, use Field #21 for additional comments.

11 Invoice # / Pay Enter the invoice number or Pay App # that is submitted with this request.
App #
12 Balance Enter any balance remaining on the Purchase Order. If zero, indicate 0.
13 Final Invoice Circle Yes or No.
14 Liquidate Circle Yes or No.
Balance
15 Close PO Circle Yes or No.
16 Committee Circle Yes or No, and Circle either PWC or Finance. Typically, all payments will be submitted to
Approval PWC. The Finance Committee will be used ONLY if a Budget Amendment is required for this
Required invoice payment; in which case, you will circle both committees as once BUA is approved, the
Invoice will be forwarded to the PWC the month following BUA approval. Administrative Staff will
forward this to the Administrative Assistant to include on the next committee agenda for
approval.
17 Committee Once committee approval has been obtained, the Administrative Assistant will enter the date and
Approval the committee vote on this form and return it to the Administrative staff to process the payment.
Obtained
18 Print Name Clearly print your name, your Division Director name, and the Public Works Director name if that
level of approval is required.
19 Initials Obtain all initials prior to submitting this form to Administrative Staff for processing.
20 Date Signed Ensure all parties include the date they initialed their approval.
21 Comments Enter any comments that would be helpful in processing this payment.

Saved in S:\Public Works\06-Project Management Manual\03 PM Manual - Working Draft\Section 08 - Appendix\Appendix A4.0.3-3 Payment Request Form
and Instructions LL 20211119 Password DPW
APPENDIX 6.2.5 PMP TEMPLATE SUMMARY PMP Plan Management: Est. Start Date (Or Quarter): __________ 5
Q1: PM developed a detailed project Est. Complete Date (Or Quarter):__________
Project Name: ______________________________ budget (DPB)? Yes / No (Circle One)
1 Other Milestone Dates and Events:
Project #: ___________ Project Value ($):________
Project Manager: ___________________________ Q2: Developed Work Breakdown Event 1___________________ Date:
Schedule? Y / N, Attach. Event 2___________________ Date:
Project Sponsor (DEPT):______________________
Project Sponsor Rep: ________________________ Event 3___________________ Date:
Q3: If required (>$500K), PM has or has
developed a project schedule? Event 4___________________ Date:
Yes / No, Attach. Event 5___________________ Date:
A/E Firm: ___________________________________
2 Event 6___________________ Date:
A/E Primary Contact: _________________________ Q4: Held a stakeholder meeting;
Key Subs: ___________________________________ Documented interests and concerns? Y / N Event 7___________________ Date:
Sub Contact: ________________ ________________ Event 8___________________ Date:
Q5: PM discussed scope creep
Event 9___________________ Date:
Other Team Members (Name / Contact Information): w/stakeholders and team members? Y / N
#1 _________________________________________ Event 10__________________ Date:
Q6: PM discussed threats with
#2 _________________________________________ stakeholders? Yes / No Internal Threats Scope Threats
#3 _________________________________________
#4 _________________________________________ Q7: If required (>$500K), PM reviewed • Hazmat
quality management plan? Yes / No

Unique Resource Communication Plan 4 Q8: Hazard and Environmental Threats

Requirements? 3 Meeting Freq.:____________ identified? Yes / No
Mitigation Plan Developed? Y / N, Attach.
1. (Personnel) Start Date (First Mtg): ______ 6
2. (Material) Operational Impacts Q9: Is there system / component training External Threats Change Threats
required? Yes / No
3. (Equipment) Identified? Y / N What? ______________________
NOTES: __________ Deliverables Schedule Who (Positions)? _____________
When? _____________________
________________ Developed? Y / N
________________ Access Control Planned? Y / N Q10: If required, (>$1M), design options
developed? Yes / No
 Appendix 6.3.10-1
Commonly Used CSI Divisions for County CIP Projects

PROCUREMENT AND CONTRACTING REQUIREMENTS GROUP:

Division 00 – Procurement and Contracting Requirements

SPECIFICATIONS GROUP:
General Requirements Subgroup
Division 01 – General Requirements

Facility Construction Subgroup

Division 02 – Existing Conditions
Division 03 – Concrete
Division 04 – Masonry
Division 05 – Metals
Division 06 – Wood, Plastics and Composites
Division 07 – Thermal and Moisture Protection
Division 08 – Openings
Division 09 – Finishes
Division 10 – Specialties
Division 11 – Equipment
Division 12 – Furnishings
Division 13 – Special Construction
Division 14 – Conveying Equipment

Facility Services Subgroup

Division 21 – Fire Suppression
Division 22 – Plumbing
Division 23 – HVAC
Division 26 – Electrical
Division 27 – Communications
Division 28 – Electronic Safety and Security

Site and Infrastructure Subgroup

Division 31 – Earthwork
Division 32 – Exterior Improvements
Division 33 – Utilities

Process Equipment Subgroup

Divisions 40 – 49 (Typically Not Used on County Projects)

***
Appendix A6.5.6-1
 tnrfrfiFon WAIVER OF LIEN
Buildflng Excerrerrce.

To All Whom lt May Concern

WHEREAS, the undersigned has been employed by (A) Walworth Cou to furnish

materials for (B) General Construction work, under a purchase order (C) Dated: 0711712018 for the

improvements of premises described as (D) Walworth Countv Health & Human Services Building in the
municipality ol Elkhorn

County of Walworth, State of Wl of which Walworth County is the owner

NOW, THEREFORE, this 04TH day of DECEMBER 2018 for and in consideration of the sum of

(E) $796. 1 Dollars paid simultaneously herewith, the receipt whereof is hereby acknowledged

by the undersigned, the undersigned does hereby waive and release any lien to, or claim of lien with

respect to and on said above described premises, and the improvements thereon, and on the monies

or other consideration due or to become due from the owner, on account of materials, fixtures

apparatus or machinery heretofore or which may hereafter be furnished by the undersigned to or for

the above described premises by virtue of said purchase order

Miron Construction Co,. lnc

..':inuii;',, (F)

-.iol$*oo,i'y*,.v- UWJ;ib$' @*y"

:5: SEAL !l:
1!? fuuro-.$.t. Melissa Kissinger

Title Controller
",ata,att'
 Appendix A6.5.11-1

Appendix A6.5.11-1

iAJA Document G70f - 2017

Change Order
PROJECT: (Name and address) CONTRACT INFORMATION: CHANGE ORDER INFORMATION:
Public Works Generator Replacement Contract For: General Construction Change Order Number: 003
W4097 County Road NN Building B, Date: June IS, 2021 Date: 11/29/2021
Elkhorn, WI 53121

OWNER: (Name and address) ARCHITECT: (Name and address) CONTRACTOR: (Name and address)
Walworth County Wisconsin Venture Architects, LLC Pieper Electric, Inc.
100 West Walworth Street 212 North 25th Street 1133 N. Touson Drive
Elkhorn, WI 53121 Milwaukee, WI 53233 Janesville, WI 53546

THE CONTRACT 15 CHANGED AS FOLLOWS:

(Insert a detailed description of the change and, if applicable, attach or reference specific exhibits. Also include agreed upon adjustments
a//ributable to executed Construction Change Directives.)
Extend the substantial completion date based on work from Change Order 002 to be completed.

The original Contract Sum was $ 66,000.00

The net change by previously authorized Change Orders $ 12,953.00
The Contract Sum prior to this Change Order was $ 78,953.00
The Contract Sum will be unchanged by this Change Order in the amount of $ 0.00
The new Contract Sum including this Change Order will be $ 78.953.00
The Contract Time will be increased by Thirty one (31) days.
The new date of Substantial Completion will be December 31, 202 I

NOTE: This Change Order does not include adjustments to the Contract Sum or Guaranteed Maximum Price, or the Contract
Time, that have been authorized by Construction Change Directive until the cost and time have been agreed upon by both the
Owner and Contractor, in which case a Change Order is executed to supersede the Construction Change Directive.

NOT VALID UNTIL SIGNED BY THE ARCHITECT, CONT.RACTOR AND OWNER.

Venture Architects, LLC Pieper Electric, Inc. Walworth County
ARCHITECT (Firm name) CONTRACTOR (Firm name) OWNER (Firm name)

SIGNATURE SIGNATURE SIGNATURE

Jessica Conley, Finance Director
PRINTED NAME AND TITLE PRINTED NAME AND TITLE PRINTED NAME AND TITLE

DATE DATE DATE

AIA Document G701" - 2011. Copyright� 1979, 1987, 2000 , 2001 and 2017 by The American Institute of Architects. All rights reserved. The "American
Institute of Architects." "AIA." the AIA Logo, and "AIA Contract Documents· are registered trademarks and may not be used without permission. This document
1
was produced by AIA software at 16:40:03 CT on 11/29/2021 under Order No.3164397280 which expires on 06/15/2022, is not for resale, is licensed for one-
time use only, and may only be used in accordance with the AIA Contract Documents.. Terms of Service. To report copyright violations, e-mail
[email protected].
User Notes: (389ADA45)
 Appendix A6.5.11-2
Form 6-310-B: Project Change Order Internal Routing Approval Request
Contract Name: Enter the description/purpose of contract. Contract Number: Enter the contract #.
Vendor Name: Enter the vendor name.
1. Change Order Details Change Order(s) #: Enter the change order
number(s).
Type of Change Order (select all that apply):
☐ The work outlined in the change order has already been performed. Failure to proceed with the change order would
have resulted in cessation of work and financial loss.
☐ Proposed work is beyond the original scope of work.
☐ Proposed work could not have been reasonably foreseen by architect, contractor, vendor or County.
☐ Proposed work due to error or omission (further explained in comments below).
☐ Savings as a result of reduced scope or value engineering.
Change Order(s) Description: Enter the change order description.
☐ Special circumstances/emergency/timing concerns requiring immediate action
☐ Updated Contract Dates: Enter updated dates or N/A.
☐ Additional scope of work (justification to amend contract vs. a separate procurement)
Additional Comments: Enter alternatives, justifications, and additional comments to support change order details or N/A.
2. Change Order Amounts/Funding
Change Order Amount: ☐ Actual (firm fixed, not-to-exceed) ☐ Estimated (indefinite quantity, time and materials, etc.)
Original Contract Amount ................................................................................ $ Enter the Amount.
Prior Approved Change Order(s)...................................................................... $ Enter the Amount.
Amount of this Change Order(s): ..................................................................... $ Enter the Amount.
Revised Contract Total with this Change Order(s):........................................... $Enter the Amount.
Percentage of total change orders, including this change ................................. Enter percentage.%
Project Contingency Remaining: ....................................................................... $Enter the Amount.
Project Number/Name: Enter the project # and name. Budget Sufficient? ☐ Yes ☐ No
Budget/Funding Comments: Enter comments.
3. Review Process (DPC: Check box if additional approvals are applicable Reviewer: Initial and date to approve.)
The change is reasonable/in best interest of County/funding exists. Reviewer comments may be added below.
Dept. Purchasing Contact: _________ Department Head: _______ Purchasing Manager:
☐ Managing Department Head (if applicable): ____________
☐ Corporation Counsel (f non-standard/vendor change order): ___________________
☐ Finance Director (If within authority or proceeding to Administrator or Committee):
☐ Administrator (if special circumstances or proceeding to Committee): ________________
☐ Committee Approval Needed ☐ Committee Report Only ☐ No Committee Action Required
Committee Name: Select Committee name. Committee Approval/Report Date: ___________________
Comments by Review Staff (Include reviewer title):

Approved Form 6-310-B

Enacted 10/22/2021 Change Orders Page 1 of 1
Change Order Request Workflow Appendix 6.5.11-3
Acronyms
CA-AA County Administrator – Administrative Assistant
CO Change Order (AIA G701 or Form 6-310-C)
COR Project Change Order Internal Routing Approval Request (Form 6-310-B)
DPW Director of Public Works
FD-AA Finance Director – Administrative Assistant
PM Project Manager
PW-AA Public Works - Administrative Assistant
PW-FM Public Works – Finance Manager

Workflow
A. The PM prepares and electronically submits the COR (Word document) with a copy of the Contractor
CO to the PW-AA and to the PW-FM. Submittals are due no later than the 12:00 Noon on the
Thursday before Agenda Setting.
B. PW-AA reviews the document(s) for accuracy and appropriate approval authority(ies) and notifies the
PW-FM of any changes.
C. PW-FM updates the financial portion of the COR and returns a copy to the PW-AA.
D. PW-AA obtains the pre-approval signature(s) from the DPW, PM and Purchasing Manager.
E. PW-AA forwards the COR and the CO to the FD-AA for pre-approval of both documents.
F. FD-AA forwards the documents to the CA-AA for pre-approval signature, if necessary.
G. FA-AA or the CA-AA forwards the original signed documents back to the PW-AA.
H. PW-AA scans copies for the Public Works Committee meeting packet and holds onto the originals
until after the Public Works Committee meeting.
I. The County Clerk’s office submits the Public Works Committee vote count and date to the PW-AA
who then notates that information onto the documents.
J. PW-AA scans all documents and emails them to the PM and any other parties necessary.
K. PW-AA routes all original documents to the Purchasing Division (Senior Buyer) for record retention.
The Senior Buyer will update the project information in Munis and modify the Purchase Order as
necessary.

PM Submits COR PW-AA Performs PW-FM Updates PW-AA Obtains

to PW-AA and QA Review of COR COR and Returns to Signature(s) from
FM-PW PW-AA DPW & others

PW-AA Scans COR FA-AA or CA-AA FD-AA Fwd. to PW-AA Fwd. COR
for inclusion in Returns Signed CA-AA for CA and CO to FD-AA
Committee Packet COR to PW-AA signature, if necessary. for Signature

County Clerk Reports PW-AA Distributes PW-AA Forwards Purchasing Archives

Committee Vote Fully Executed COR Original COR to Docs. and Updates
Result to PW-AA to PM & DPW Purchasing Div. Contract and PO
 SECTION – 08 APPENDIX

This Page Intentionally Left Blank

Section 08 - Page 1
Revised: 12-01-2021
NOTES:
NOTES:
NOTES:
NOTES: