HomeMy WebLinkAboutContract 38760CITY SECRETARY J . ,. .
D.0.E. FILE
CONTRACTOR'S BONDIN
CONSTRUCTlON'S COPY
. JECT MAND AL CITY SECRETAR Y
FOR CONTRACT NO . ?i5]f pD
CLIENT Of PARTMENT
STREETSCAPING PROJECT
MUSEUM WAY FROM SEVENTH STREET TO
TARANTULA RAILROAD TRACKS
IN THE CITY OF FORT WORTH
2008
District: Fort Worth
County: Tarrant
Project: STP 2004(374)MM
CSJ: 0902-48-562
MIKE MONCRIEF
MAYOR
DALE A. FISSELER
CITY MANAGER
GREG SIMMONS , P.E.
ACTING DIRECTOR,
TRANSPORTATION AND PUBLIC WORKS
PREPARED BY
$'DUNAWAY
1501 Merrimac Circle, Suite 100
Fort Worth, Texas 76107
Tel: 817-335-1121 Fax: 817-335-7437
2004279
NOVEMBER 2008
PLEASE DO NOT
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[JORIGINAL
Nl<'SlL Kev1ew Page I of 2
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rITY COUNCIL AGENDA
COUNCIL ACTION: Approved on 5/26/2009
DATE:
CODE:
5/26/2009 REFERENCE NO_: C-23548
C lYPE: NON-
CONSENT
LOG NAME:
PUBLIC
HEARING:
06MUSEUM WAY
62040
NO
SUBJECT: Authorize a Contract in the Amount of $977,101 .37 with the Fain Group, Inc., for a
Streetscaping Project on Museum Way from Seventh Street to Tarantula Railroad Tracks
RECOMMENDATION:
It is recommended that the City Council authorize the City Manager to execute a contract in the
amount of $977 ,101 .37 with the Fain Group, Inc., for a streetscaping project on Museum Way from
Seventh Street to the Tarantula Railroad Tracks .
DISCUSSION:
On January 28, 2003, (M&C C-19455) the City Council authorized execution of an Advance Funding
Agreement (Agreement) with Texas Department of Transportation (TxDOT) for receipt of a
Transportation-Land Use Joint Venture Grant for the West Seventh Village (South of 7th) project, City
Secretary Contract No. 29678 . This project consists of three elements: 1) Museum Way streetscape
improvements and a railroad crossing qui et zone; 2) Lancaster Avenue pedestrian bridge; and 3)
West Seventh streetscape improvements {collectively , the Project).
On December 18, 2007 , (M&C G-16000) the Agreement was amended to adjust City and TxDOT
appropriations to each of the elements to match current scope and estimated costs. A resolution,
required by TxDOT, was also approved stating that the City has met all of its requirements under the
Transportation-Land Use Joint Venture Grant Program.
The recommended contract award is for the Museum Way streetscape improvements. The Lancaster
Avenue pedestrian bridge is in final design and the West Seventh streetscape improvements are on
hold pending the results of the modem streetcar study.
The project was advertised on December 15, 2008, and December 22 , 2008, in the Fort Worth Star-
Telegram, Fort Worth Commercial Recorder and the Dallas Momin News in compliance with TxDOT
requirements .
On January 22, 2009 , the following bids were received:
The Fain Group, Inc.
AUi Contractors, Inc.
Cole Construction , Inc.
$977,101.37
$999,988.80
$1 ,022 ,853.90
The Fain Group, ~nc., is in compliance with the City's DBE Program by committing to 30 percent DBE
participation on this project. The City's DBE goal on this project is 26 percent.
Funding in the amount of $70,000 .00 is included for associated construction survey, material testing
and inspection for the project.
The annual budget impact for Parks and Community Services Department maintenance is estimated to
be $2,500.00.
p://apps .cfwnet.org/council_packet/mc_review .asp ?ID=l l767&councildate=5 /26/2009
FORTWORTII
~-
5/29/2009
M&-C KeVIew
This project is located in COUNCIL DISTR ICT 9.
F1SCAL INFORMATION/CERTIFICATION:
The Financial Management Services Director certifies that funds are available in the current capital
budget, as appropriated, of the Grants Fund .
TO Fund/Account/Centers
Submitted for Ci
Originating Department Head:
Additional Information Contact:
I~ TTACHMENTS
Museum way .pdf
FROM Fund/Account/Centers
GR76 541200 006302898830 $977,101 .37
GR76 531350 006302898820 1 000.00
GR76 531350 006302898840 $1,200.00
GR76 539120 006302898840 8 800.00
GR76 531350 006302898850 $59,000.00
Fernando Costa (6122)
Susan Alanis (8180)
Rick Trice (7959)
, tp://apps.cfwnet.org/counciI_packet/mc_review.asp ?ID=I I767&councildate=5/26/2009
P age 2 of2
5/29/2009
CITY OF FORT WORTH
TRANSPORTATION AND PUBLIC WORKS DEPARTMENT
ADDENDUM NO. 1
To the
Specifications and Contract Documents
BID DATE: THURSDAY JANUARY 8. 2009
Addendum Issue Date: January 5, 2009
For
STREETSCAPING PROJECT MUSEUM WAY FROM SEVENTH STREET TO
TARANTULA RAILROAD TRACKS; CSJ: 0902-48-562
Prospective Bidders are hereby notified of the following:
Below are questions asked by two of the bidders. Their questions are listed and the
answer given below each.
1. Item #100-2002 Preparing R.O .W.: 17sta. What is this item supposed to pay for?
Answer : I'm not sure what the purpose of this item was other than it was required to be
included by TxDot during the review process. We were asked to round it to the nearest
100' station . The Project end station is 16+65.25 so it was rounded up to 17. From what I
understood it covers any necessary miscellaneous preparation that may be needed to
begin the work.
2. Item #420-2001 CL A Concrete (misc): 621cy. Should the unit for this item be sy as stated
in the Comprehensive Notice to Bidders?
Answer: It was a large SY figure at one time but during the TxDOT review process we were
asked to change it to a CY figure. I made the figure change but I missed making the unit
change in the comprehensive notice to bidders.
3. Item Item #420-2001 CL A Concrete (misc): 621cy . This item is to pay for the concrete
paver base required for all the pavers and no concrete paver base will be subsidiary of the
Landscape Paver pay item?
Answer: That's Correct it covers the base for the pavers . In addition to the concrete paver
base, 621 CY includes the concrete for the regular sidewalk that extends along the rest of
Stayton/Museum Way to the railroad as shown on sheets 30 & more part icularly sheet 31.
4. What is the anticipated start date of this project?
Answer : Soon . The new retail buildings out there can't get a certificate of occupancy until
this federal work as been installed. The developer said those building are slated to be
finished completely in Apr il 2009 and at that t ime he will need the certificates ' of
occupancy . So you can see backing up 108 days from sometime in April makes for a start
time in January.
5. At what station number does this project end?
Answer: 16+65.25
6. How will excavation going to be paid for?
Answer: Any excavation that's needed should be paid for by contractor and the cost should
be included as part of the bid item its associated with such as Item #420-2001 .
7. How will seeding be paid for?
Answer: By the contractor . Account for it with your bid for item 161-2002 .
8. Can the zero quantity items (lime stabilization, concrete paving, etc) be removed from the
bid form to avoid confusion?
Answer: We wanted to do the same thing but TxDOT asked that we do it this way.
9. Is the city going to manage this project or will it be turned over to a private developer or
manager?
Answer: to my knowledge that hasn 't been determined by the developer or the city at th is
time .
10. Will railroad protective insurance be required for this project? If so can you answer the
following questions:
a. Trains per day and type (freight, passenger, unscheduled)
b. Trains per normal work day and type ( freight, passenger, unscheduled)
Answer: Yes. See the appendix B, which are the last 6 pages of the spec. book (Project
Manual)
I will have to point you to Sondra Y . Nations of Fort Worth & Western Railroad to answer
you're 2 questions. Her number is 817-463-8297 .
11. Will railroad flagmen or watchmen be required when working within the railroad right-of-
way? If so who will pay for the flagmen and watchmen?
Answer : See item 5 in Appendix B under "Contractor Temporary Right of Entry". It appears
the cost will fall to the contractor eventually as he will need to reimburse FWWR if they are
necessary .
Subsequent questions asked were
After visiting the site I have another question for you:
1. There appears to be existing sidewalk and concrete entrances running along the
southwest side of ylh St. where new Landscape Pavers are to be installed, pg29. Are
these existing sidewalks and entrances going to be removed and the required
entrances and curbs be constructed before we arrive on site? If not are we to include
the demolition of the existing sidewalks and entrances in our estimate?
Answer: The latter is my understanding. Since there are existing sidewalks and
entrances to be demolished you will probably have to include that under the item
100-2002 cal led "preparing the ROW ".
I am needing some information about the page 32 on the 7th street project. It talks about
the Entry sign/ Water Feature, we are needing more info on the description. Is this a
fountain or some type of water display?
Answer: Ignore the words "water feature". That was left over from the original design in
2004 that had a water feature as part of the entry wall.
1. Regarding the entry way sign details on pg45 the notes state that the "footings and piers
are by structural engineer." What are the locations, the diameter, depth and reinforcing
requirements for the piers?
Answer: This w ill have to be provided by a structural engineer of your choosing .
2. What is the footing depth , width, and reinforcing requirements for the footer?
Answer: This will have to be provided by a structural engineer of your choosing .
3. What is the reinforcing requirements for the stem wall?
Answer: This will have to be provided by a structura l engineer of your choosing .
4. There is· also a note that states "6"x6" tile on recessed wall." Where is this material
supposed to be installed? What are the specifications for this material?
Answer: Ignore the words "6"x6 " tile on recessed wa ll ". This was residual text left
over from the original design in 2004 that had a water feature as part of the entry
wall. The tile was to go down the wall and cover the inside of the basin. Since the
water feature has been removed these tile are no longer necessary.
5. Is there a geotechnical report available for analyzing the soils that will need to be drilled at
the location .of the signs?
Ans.wer: No not for this project specifically and certainly not at the sign locations . The only
one available will be the original one done for S07 residential project.
6. Pg61 shows a fountain equipment pad. Is a fountain supposed to be incorporated into this
project? If not, is the fountain pad to be constructed?
No . The pad was to ho ld the equ ipment for the water feature fountain wh ich was originally
designed for the project. Since it's no longer a part of the project the fountain pad is not to
be constructed .
This Addendum No. 1 forms a part of the Contract Documents referenced above and
modifies the original Contract Documents and Plans. Acknowledge receipt of this
Addendum in the space provided below, in the proposal page B-8, and acknowledge
receipt on the outer envelope of your bid. Failure to acknowledge could subject the bidder
to disqualification.
All other provisions of the plans, general contract documents and specifications for this
project, which are not expressly amended herein, shall remain in force.
A signed copy of this Addendum No. 1 should be included in the sealed envelope at the
time of bid submittal. Failure to acknowledge the receipt of this Addendum could cause
the subject bidder to be considered "NONRESPONSIVE", resulting in disqualification.
Ricky Trice, P.E.
Assistant Director, Plann ing and Development Department
ADDENDUM NO . 1 ACKNOWLEDGEMENT:
By: Larry Fra,ier ~ '-'7 n~,
Title: President
Address: P. o. Box 1so
F ort Worth, TX 76101
Telephone : 817-927 -4388
CITY OF FORT WORTH
TRANSPORTATION AND PUBLIC WORKS DEPARTMENT
ADDENDUM NO. 2
To the
Specifications and Contract Documents
BID DATE: THURSDAY JANUARY 15, 2009
Addendum Issue Date: January 6, 2009
For
STREETSCAPING PROJECT MUSEUM WAY FROM SEVENTH STREET TO
TARANTULA RAILROAD TRACKS; CSJ: 0902-48-562
Prospective Bidders are hereby notified of the following:
Below are questions asked by a bidder. Their questions are listed and the answer given
below each.
1. Regarding the entry way sign details on pg45 the notes state that the "footings and piers
are by structural engineer." What are the locations, the diameter, depth and reinforcing
requirements for the piers?
Answer: This will have to be provided by a structural engineer of your choosing.
2. What is the footing depth, width, and reinforcing requirements for the footer?
Answer : This will have to be provided by a structural engineer of your choosing.
3. What is the reinforcing requirements for the stem wall?
Answer: This will have to be provided by a structural engineer of your choosing .
4. There is also a note that states "6nx6" tile on recessed wall." Where is this material
supposed to be installed? What are the specifications for this material?
Answer: Ignore the words "6"x6" tile on recessed wall". This was residual text left
over from the original design in 2004 that had a water feature as part of the entry
wall. The tile was to go down the wall and cover the inside of the basin. Since the
water feature has been removed these tile are no longer necessary.
5. Is there a geotechnical report available for analyzing the soils that will need to be drilled at
the location of the signs?
Answer : No not for this project specifically and certainly not at the sign locations . The only
one available will be the original one done for S07 resident ial project.
6. Pg61 shows a fountain equipment pad. Is a fountain supposed to be incorporated into this
project? If not, is the fountain pad to be constructed?
No. The pad was to hold the equipment for the water feature fountain which was orig inally
designed for the project. Since it's no longer a part of the project the fountain pad is not to
be constructed .
This Addendum No. 2 forms a part of the Contract Documents referenced above and
modifies the original Contract Documents and Plans. Acknowledge receipt of this
Addendum in the space provided below, in the proposal page B-8, and acknowledge
receipt on the outer envelope of your bid. Failure to acknowledge could subject the bidder
to disqualification.
All other provisions of the plans, general contract documents and specifications for this
project, which are not expressly amended herein, shall remain in force.
A signed copy of this Addendum No. 2 should be included in the sealed envelope at the
time of bid submittal. Failure to acknowledge the receipt of th is Addendum could cause
the subject bidder to be considered "NONRESPONSIVE", resulting in disqualification .
Ricky Trice, P.E.
Assistant Director, Planning and Development Department
ADDENDUM NO. 2 ACKNOWLEDGEMENT:
By: Larry F ra z ier
Title : Pres i dent
Address: P. 0. Box 750
Fort Worth, TX 76101
Telephone: 011 -921-4300
JAN -14-2008 WED U4:2b PM C11Y ~.W. ENGINEE~lNG ~AX NU 81 7 871 7854
CITY OF FORT WORTH
TRANSPORTATION AND PUBUC WORKS DEPARTMENT
ADDENDUM NO. 3
To the
Specifications and Contract Documents
BID DATE; THURSDAY JANUARY 22. 2009 (REVISED}
Addendum Issue Date: January 13, 2009
For
~'TREETSCAPING PROJECT MUSEUM WAY FROM SEVENTH STREET TO
1"ARANnJLA RAILROAD TRACKS; CSJ: 0902-48-562
Prospective Bidders are hereby notified of the following:
A. The Bid Opening date is revised to Thursday, January 22, 2009.
This Addendum No. 3 forms a part of the Contract Documents referenced above and
modifies the original Contract Documents and Plans. Acknowledge receipt of this
Addendum in the space provided below, in the proposal page B-8, and acknowledge
receipt on the outer envelope of your bid. Failure to acknowledge could subject the bidder
t:o disqualification.
All other provisf ons of the plans, general contract documents and specifications fur this
project, which are not expressly amended herein, shaU remain in force .
A signed copy of this Addendum No. 3 should be lncluded in the sealed envelope at the
time of bid submittal. Failure to acknowledge the receipt of this Addendum could cause
the subject bidder to be considered "NONRESP0NSIVE0
, resulting in disqualification.
Ricky Trice, P .E.
Assistant Director, Planning and Development Department
By: Larry Fraz i er
Title: P res i dent
Address: P .O . Box 750
F ort Worth, TX 761 01
Telephone: 8 1 7-92 7 -4388
P. 01/01
~A X NU 811 8(1 18b4
CITY OF FORT WORTH
TRANSPORTATION ANO PUBLIC WORKS DEPARTMENT
ADDENDUM NO. 4
To the
Specifications and Contract Documents
BID PATE: THURSDAY JANUARY 22, 2009
Addendum Issue Date: January 16, 2009
For
STREETSCAPtNG PROJECT MUSEUM WAY FROM SEVENTH STREET TO
TARANTULA RAILROAD TRACKS; CSJ: 0902·48·562
Prospective Bidders are hereby notified of the following:
Below are questions asked by bidders and civil estimators. Their questions are listed and
tl1e answer given below each.
1. Regarding the entry way sign details on pg45 the notes state that the "footings and piers
are by structural engineer." What are the locations, the diameter, depth and reinforcing
requirements for the piers?
2. What is the footing depth. width , and reinforcing requirements for the footer?
3. What is the reinforcing requirements for the stem wall?
Answer: The answer to the above 3 questions are satisfied with the attached structural
design for the entry wall by structural engineer, David L. Hartmann
Other questions asked by bidders.
1. Bid form doesn't match items on plant list
Answer: See atrached Chart which makes the correlation between the bid form
and the plant list
1. Item #1014-2201 Landscape Amenity (Brick Parterre): 3ea. I am only able to
locate one of these items, pg30 & duplicated on pg56. can you please advise as
to where the other two are located? Also, the plans and details are not clear, are
there planters similar to the entry sign at this location? If so can a detail be
provided?
Answer: The other two Landscape amenities are located on Sheet 45 . It's the two entry
features at the entrance to Stayton Street. One on the left and one on the right.
As far as the Parterre, see detail 5 on page 34 . The parterre, from what I can tell, is not
similar to the entry signs. It appears to only be a border one paver high
As shown in detail 5.
P. 02/09
.J fl!'h:'.'. l -cUUtJ Wt:U U l : j l /-'11 G !TY r, w. r.Nlr l Nl:1:rU NG
-·-~-·--· ·-· ..... ·--· ·--FAX NO. 817 871 7854
2. Regarding the brick pavers shown at the south east corner intersection of Slayton
St. & 7th St. on pg29 & duplicated on pg32, are these brick pavers banded with
additional brick pavers or concrete?
Answer: On the borders and edges of all brick paving, these are banded with a side-by
side pattern flush with the rest of the pavers. For the planters on the east side like you
mentioned, these are raised planters bounded by the rowlock brick as shown in detail S.
So it's brick and not concrete .
1. Bid form calls for 5116 SY (46,044 SF) of compost, and actual count from plan is
approximately 8600 SF.
Answer: See the attached chart called "Landscape Plant quantities darification sheet"
this will list the quantity shown. There is 5144 SY of Compost as well as 5144 SY of
Hydromulch Bermuda that needs to be installed.
2. Most of the items for plant material do not coincide with actual plant counts, such
as there are no 2 gallon plants on the plans, but the bid form lists them. There
are approximately 63 -200 gallon Live Oaks on the plans, but not listed in the bid
form.
Answer: The original design had a note that stated the 200 gallon trees could
alternately be substituted for 100 gallons. We were asked to remove this note during
the review process. Since TxDOT did not have a bid code for 200 gallon trees we
listed them all as 100 gallon trees.
3. Basically the itemized unit price sheet needs to be updated to reflect actual plant
quantities and sizes listed an plant list, pg 60 of 69.
Answer: See the attached chart called "Landscape Plant quantities Clarification sheet"
this will list the quantity shown.
P. 03 /09
~A X NO. 817 871 7854
4. Plant details are vague on what the prepared soil is.
Answer:
Additional Specification Notes pertaining to Compost and Prepared Soil:
Cc>mpost-compost topsoil shall be "Enriched Top Soil"as manufactured by:
Soil Building Systems, Inc.
1770 "Y" Street, Dallas, Texas 75229
972-831-8181
www.soilbuildingsystems.com
or approved equal.
Prepared Soil -prepared planting soil shall be ''Readv-To-Plant"as manufactured by:
Soil Building Systems, Inc.
1770 "Y" Street, Dallas, Texas 75229
972-831-8181
WWW .soilbuildingsystems.com
or approved equal.
Questions on bid form pg B-2 & 8-3
• Item #161•2002 Compost Manufactured Topsoil'{CMT)
o Is this to indude the CMT used on all cut and fill slopes stated on sheet 6
of 69 of the plans, the bed prep for the planting beds, and the seeding as
indicated on item 7 of addendum 1?
Answer: Yes
o There is no item number on the bid form for the buffalo sod. Is the hydro
mulch and the buffalo sod to be included in what addendum 1 is referring
to as seeding?
Answer: Yes
o Frorn the plans page 6 of 69 the Item # 161 is not real clear. It states
"place approximately 4" of compost manufactured topsoil (CMT) on all cut
and fill slopes". No grading plans where provided please advise on how to
quantify this.
Answer: True. There is no grading plan but do place the CMT in all areas that call
for Hyrdo-mulch Bermuda such as the areas Indicated by 901-V on page 58a and
59 of plans. There are 5144 SY of areas were topsoil and 5144 SY of hydro-mulch
is needed . See note above for specification pertaining to Compost and prepared
soil.
P. 04 /09
Jf lN-21 -2 UU8 Wl::IJ U 1 : ::n PM C 1 TY r. W .. !::NG J Nl::HU NG
• Item #170·2001 Irrigation system
o Irrigation plans not clear on pipe size
a Irrigation plans not clear on valve size
o Irrigation plans not clear on wire path
Answer:
rA X NO. 811 811 7854
The contractor shall size all pipe according to the "Pipe Sizing Chart"
The contractor shall size the valves by the following criteria:
Less than 25 gpm -1" valve
26 gpm -55 gpm = 1.5" valve
56 gpm and greater -2" valve
The control wire path shall follow the main line from all va Ives to the controller .
The contractor shall submit a shop drawing for the irrigation system which indicates
equipment locations, pipe sizes, valve sizes and gpm, control wire routing and sizing,
120 volt wiring form power source to the controller, etc. to fully indicate the
proposed installation of the irrigation system .
• ltem #192-2001 Plant Material (4" CNTR)
o _Quantities on Bid Form are not coinciding with quantities on plans and
from plant counts.
Answer: See the attached chart called "Landscape Plant quantities Clarification
sheet" this will list the quantity shown .
• Item #192-2004 Plant Material (5-Gal}
• Item #192-2021 Plant Material (5-Gal Tree}
• Item #192-2031 Plant Material {5-Gal Shrub)
o There is some ambiguity on these item numbers.
• There are no 5 gal trees found on plans
• Quantities are not coinciding between plans and bid form
• How exactly are the 5 gallon plants to be listed?
Answer: See the attached chart called "Landscape Plant quantities Clarification
sheet" this should remove some of the ambiguity as well as list corrections.
• Item #192-2027 Plant Material (100 Gal Tree)
o Quantities not coinciding with plans
o Is this item to include the 200 Gal Trees as well, as there is no place on
the bid form to list 200 gallon trees?
Answer: The original design had a note that stated the 200 gallon trees could
alternately be substituted for 100 gallons. We were asked to remove this note
during the review process. Since TxDOT did not have a bid code for 200 gallon
trees we listed them all as 100 gallon trees. See the attached chart called
"Landscape Plant quantities Clarification sheet" this will list the quantity shown.
P. 05 /09
l'H.X. NU. tllf tl/1 /tlbl!
• Item #192·2029 Plant Material {2 Gal Shrub)
o No 2 gal. shrubs are found on plans
Answer: See the attached chart called "Landscape Plant quantities Clarification
sheet" The plant list should have read 2 gallon shrubs for the Indian Hawthorn
This Addendum No. 4 forms a part of the Contract Documents referenced above and
modifies the original Contract Documents and Plans. Acknowledge receipt of this
Addendum in the space provided below, in the proposal page 8-8, and acknowledge
receipt on the outer envelope of your bid. Failure to acknowledge c.ould subject the bidder
to disqualification .
All other provisions of the plans, general contract documents and specifications for this
project, which are not expressly amended herein, shall remain in force.
A signed copy of this Addendum No. 4 should be included in the sealed envelope at the
time of bid submittal. Failure to acknowledge the receipt of this Addendum c.ould cause
the subject bidder to be considered "NONRESPONSIVE", resulting in disqualification.
[Jg l~
Ricky Trice, P. E.
Assistant Director, Planning and Development Department
ADDENDUM NO. 4 ACKNOWLEDGEMENT:
Title: ?ro1Dtill
Address: \:> 9 \b~ 7So
f~ 'A[c:Jl (~ l )\ I •
Telephone: ilJ -9, 1..7 ::l./;>~ Q
r'. Ub /U~
Landscape Pia nt Quantities Clarification Sheet -For CSJ-0902-48-562
Quantltr Quantity
Pay Item No. Listed Actual Code Common Name Size & T~ipe Sheei found on
192-2001
192-2002
192-2004
192-2021
192-2025
192-2026
192-2027
192-2029
192-2031
192-2002
7001
192
140
88
10
18
105
36
294
0
0
Not listed
6980
192
70
88
10
18
101
36
193
0
0
106
AJ, GL, Asian Jasmine, Green
SC Uriope, seasonal color
MB Mealy Blue Salvia
FG{aka
Red Fountain Grass, 'RFG'),
Dwarf Fountain Grass DFG
CP Crepe Mytrle
FH Foster Holley
MP , RB Mexican Plum,
'Oklahoma Redbud '
LO,RO, Live Oak, Red Oak ,
SM Main Street Magnolia
lH Pink Lady' fndian
Hawthorn
IHP(aka' Pinkie' Indian Hawthron,
PIH'),CH 'Carissa ' Holly, Dwarf
,DSW,R Southern Wax Myrtle,
M Rosemary
PG Compact Compass
Grass
LY Lythrum
MG Maiden Grass
1 of 2
4" Pots
1 Gal
Perrennial
5 Gal
Perrennial
Grass
5 Gal Tree
45 Gal Tree
65 Gal Tree
100 Gal Tree (200
Gal Tree si zes we re
270 SC on sheet 55, 600 SC on sheet 56,
2000 SC on 58a, 140 AJ on 55. 180 AJ on
58a . 840 GL on 55, 2190 GL on sheet 58a,
760 GL on sheet 59
120 MB on left side of sheet 56, 72 MB in
Planters on E side of Street on sheet 58a
10 DFG at top of sheet 58a, 60 RFG in
Parterre on sheet 56
15 on sheet 55, 50 on sheet 56 & 23 on
Sheet 58a
10 on sheet 59
7 MP on sheet 58a, 5 RB along connection
street on sheet 55 & 6 along center island
17 LO & RO on Sheet 58a, 7 LO on sheet
58b, 9 RO & LO on Sheet 55, 24 LO & RO
~ltematernr iginanv} on sheet 56, 23 LO on sheet 57 1 21 SM on
sheet
11 on sheet 55, 10 neart top of 58a & 15 5 gal shrubs
on bottom of sheet 58a
2 gal shrubs
(Listed in error 122 CH on page 58a,16 PIH at top of sheet
as S gal on 58a, 36 DSW on Sheet 56 & 19 RM on
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TABLE OF CONTENTS
PART A
NOTICE TO BIDDERS
COMPREHENSIVE NOTICE TO BIDDERS
SPECIAL INSTRUCTIONS TO BIDDERS
PARTS
MINORITY & WOMEN 'S BUSINESS ENTERPRISES SPECIFICATIONS
PROPOSAL
PART F
CERTIFICATE OF INSURANCE
CONTRACTOR COMPLIANCE WITH WORKER'S COMPENSATION LAW
VENDOR COMPLIANCE TO STATE LAW
EXPERIENCE RECORD
EQUIPMENT SCHEDULE
PERFORMANCE BOND
PAYMENT BOND
MAINTENANCE BOND
STATEMENT OF RESIDENCY
CHILD SUPPORT STATEMENT
PARTG
CONTRACT
PART H
SPECIFICATION LIST
TXDOT GENERAL NOTES
TXDOT SPECIAL PROVISIONS
TXDOT SPECIAL SPECIFICATIONS
USDOT SPECIAL PROVISIONS
APPENDIX A
LOCAL GOVERNMENT CONTRACT PROCEDURES (PAGES 14-74)
APPENDIX B
CONTRACTOR TEMPORARY RIGHT OF ENTRY
PART A
NOTICE TO BIDDERS
NOTICE TO BIDDERS
Sealed Proposals for the following :
FOR: STREETSCAPING PROJECT
MUSEUM WAY FROM SEVENTH STREET TO
TARANTULA RAILROAD TRACKS
Addressed to Mr. Dale A. Fisseler, City Manager of the City of Fort Worth , Texas , will be
received at the Purchasing Office until 1 :30 p .m .,. Thursday , January 8, 2009 , and then
publicly opened and read aloud at 2:00 p.m., in the Council Chambers .
Plans , Specifications and Contract Documents for this project may be purchased at the
office of the Department of Engineering, Municipal Office Build ing , 1000 Throckmorton
Street , Fort Worth, Texas . One set of plans and documents may be purchased for a
non-refundable cost of Sixty Dollars ($60.00) per set. These documents contain
addit ional information for prospective bidders .
For additional informat ion , please contact Mr. Tom 0. Huffhines or Mr. Maurice J. Turner
both with Dunaway Associates, L.P . at (817) 335 -1121 , or Rick Trice P.E. w ith the City
of Fort Worth at (817) 392-7959 .
Advertising Dates:
Monday, December 15 , 2008
Monday , December22,2008
4-N TB .doc
COMPREHENSIVE NOTICE TO BIDDERS
COMPREHENSIVE NOTICE TO BIDDERS
Sealed Proposals for the following :
FOR : Streetscap ing Proj ect
Museum Way from Seventh Stree t to Tarantu la Railroad Tracks
0 .0 .E. No.
File No .
Addressed to Mr. Dale A. Fisseler, City Manager of the City of Fort Worth, Texas , will be
received at the Purchasing Office until 1 :30 p.m., Thursday , January 8, 2009 , and then
publicly opened and read aloud at 2:00 p.m . in the Council Chambers. Plans ,
Specifications and Contract Documents for this project may be obtained at the office of
the Department of Engineering , Municipal Office Building, 1000 Throckmorton Street ,
Fort Worth , Texas . One set of plans and documents may be purchased for a non-
refundable cost of Sixty Dollars ($60 .00) per set. These documents contain additional
information for prospective b idders .
All bidders will be required to comply with Provision 5159a of "Vernon 's Annotated Civil
Statutes" of the State of Texas with respect to the payment of prevailing wage rates and
City Ordinance No . 7278, as amended by City Ordinance No . 7400 (Fort Worth City
Code Sections 13-A-21 through 13-A-29), prohibiting discrimination in employment
practices.
The majo r work on the above -referenced project shall consist of the following:
621
1898
771
SY
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Class A Misc . Concrete for Landscape Pave r Base
Landsca pe Pavers
4" Conc rete Sidewalk
Electrica l Conduit , conductors & Illumination
Miscellaneous Plants, amenities and Trees
Included in the above will be all other miscellaneous items of construction as outlined in
the Plans and Specificat ions.
The City reserves the right to reject any and/or all bids and waive any and/or all
formal ities . Bidders shall not separate , detach , or remove any portion , segment, or
sheets from the contract document at any time . Bidders must complete the proposal
sections and submit the complete specifications book or face rejection of the bid as non-
responsive .
The city of Fort Worth does not require mandatory pre-bid conferences .
AWARD OF CONTRACT: No bid may be withdrawn until the expirati on of ninety (90)
days from the date the M/WBE UTILIZATION FORM, PRIME CONTRACTOR WA IVER FORM,
and/or the Gooo FA ITH EFFOR T FORM ("Documentation ") as appropriate is received by
the City . The award of contract , if made, will be w ithin ninety (90) days after this
documentation is received , but in no case will the award be made until all the necessary
investigations are made as to the responsibility of the bidder to whom it is proposed to
award the contract.
5-CN TB .doc
COMPREHENSIVE NOTICE TO BIDDERS
No bid may be withdrawn unt il the expiration of ninety (90) days from the date bids are
opened . The award of Contract , if made , will be w ith in (90) days after the open ing of
bids , but in no case will the award be made until all the necessary investigations are
made as to the responsibility of the bidder to whom it is proposed to awa rd the Con t ract.
Bidders are responsible for obtaining all addenda to the contract documents and
acknowledging rece ipt of the addenda by initialing the approp riate spaces on the
proposal form . Bids that do not acknowledge receipt of all addenda may be rejected as
being non-responsive . Information regarding the status of addenda may be obtained by
contacting the Department of Engineering at (817) 392-7910.
Bidders shall not separate, detach or remove any portion, segment or sheets from the
contract document at any time . Bidders must complete the proposal section(s) and
subm it the complete specifications book or face rejection of the bid as non -respons ive. It
is recommended that the bidder make a copy of the forms included in the Minority and
Women Business Enterprise section for submittal within the time-line stated below or the
bid .der may request a copy of sa id forms from the City Project Manager named in this
solicitation .
In accordance w ith City of Fort Worth Ord inance No . 15530, the City of Fort Worth has
goa ls fo r the part icipation of minority business enterprises and women business
enterprises in City contracts. A copy of the Ordinance can be obtained from the Office of
the City Secretary. The bidder shall submit the MBE/WBE UTILIZATION FORM
SUBCONTRACTOR/SUPPLIER UTILIZATION FORM, PRIME CONTRACTOR
WAIVER FORM, GOOD FAITH EFFORT FORM with Documentation") and/or the JOINT
VENTURE FORM as appropriate . The Documentation must be received by the
managing department no later than 5:00 p.m ., five (5) Ci ty business days after the bid
opening date . The bidder shall obtain a receipt from the appropriate employee of the
managing department to whom delivery was made . Such rece ipt shall be evidence that
the documentation was rece ived by the City . Failure to comp ly shall render the bid non-
responsive .
Bidders are advised that the City of Fort Worth has not acquired all necessary
easements and temporary right of entry agreements for the construction of the project as
shown in the Plans. Bidde rs are hereby notified that the City anticipates obtaining the
necessary temporary right of entry agreements and easements by the start of
construction . In the event the necessary easements and temporary right of entry
agreements are not obtained, the City reserves the right to terminate the award of
contract at any time before the Contractor begins any construction work on the
project(s ). In add it ion, Bidders shall hold the ir un it prices until the City has completed
the acqu isition of all easements and temporary right of entry agreements .
The Contractor shall be prepared to commence construction without all executed
easements and temporary right of way agreements and shall subm it a schedule to the
City of how construct ion will proceed in the other areas of the project that do not require
easements and/or temporary right of way agreements .
5-C NTB .doc
l
COMPREHENSIVE NOTICE TO BIDDERS
The managing department for this project is the Department of Engineering.
For add itional information, please contact Rick Trice, P.E . with the City of Fort Worth at
(817) 392-8653 or Maurice J. Turner or Tom 0 . Huffhines both w ith Dunaway
Associates, L. P. at (817) 335-1121 .
ADVERTISING DATES :
Monday, December 15, 2008
Monday, December 22 , 2008
5-CNTB .doc
DALE A FISSELER
CITY MANAGER
MARTY HENDRIX
CITY SECRETARY
A DOUGLAS RADEMAKER , P.E.
DIRECTOR
DEPARTMENT OF ENGINEERING
By :------------
Rick Trice, P.E .
Assistant Director
SPECIAL INSTRUCTIONS TO BIDDERS
SPECIAL INSTRUCTIONS TO BIDDERS
1) PREQUALIFICATION REQUIREMENTS: All contractors submitting bids are required to be
prequalified by the Fort Worth Water Department prior to submitting bids . This
prequalification process will establish a bid limit based on a technical evaluation and
financial analysis of the contractor. It is the bidder's responsibility to submit the following
documentation: a current financial statement, an acceptable experience record, an
acceptable equipment schedule and any other documents the Department may deem
necessary, to the Director of the Water Department at least seven (7) calendar days prior to
the date of the opening of bids.
a) The financial statement required shall have been prepared by an independent certified
public accountant or an independent public accountant holding a val id permit issued by
an appropriate State licensing agency and shall have been so prepared as to reflect the
financial status to the submitting company. This statement must be current and not
more than one (1) year old. In the case that a bidding date falls within the time a new
statement is being prepared, the previous statement shall be updated by proper
verification .
b) For an experience record to be considered to be acceptable for a given project, it must
reflect the experience of the firm seeking qualification in work of both the same nature
and technical level as that of the project for which bids are to be received .
c) The Director of the Water Department shall be the sole judge as to the acceptability for
financial qualification to bid on any Fort Worth Water Department project.
d) Bids received in excess of the bid limit shall be considered non-responsive and will be
rejected as such.
e) The City, in its sole discretion, may reject any bid for failure to demonstrate experience
and/or expertise.
f) Any proposals submitted by a non-prequalified bidder shall be returned unopened, and if
inadvertently opened, shall not be considered.
g) The City will attempt to notify prospective bidders whose qualifications (financial or
experience) are not deemed to be appropriate to the nature and/or magnitude of the
project on which bids are to be received. Failure to notify shall not be a waiver of any
necessary prequalification .
2. BID SECURITY: A cashier's check, or an acceptable bidder's bond, payable to the City of
Fort Worth, in an amount of not less than five (5%) percent of the largest possible total of
the bid submitted must accompany the bid, and is subject to forfeiture in the event the
successful bidder fails to execute the Contract Documents within ten (10) days after the
contract has been awarded. To be an acceptable surety on the bid bond, the surety must
be authorized to do business in the state of Texas . In addition, the surety must (1) hold a
certificate of authority from the Untied States secretary of the treasury to qualify as a surety
on obligations permitted or required under federal law; or (2) have obtained reinsurance for
any liability in excess of $100 ,000 from a reinsurer that is authorized and admitted as a
reinsurer in the state of Texas and is the holder of a certificate of authority from the Untied
States secretary of the treasury to qualify as a surety on obligations permitted or required
under federal law. Satisfactory proof of any such reinsurance shall be provided to the City
SPECIAL INSTRUCTIONS TO BIDDERS
upon request. The City, in its sole discretion, will determine the adequacy of the proof
required herein .
3. BONDS: A performance bond, a payment bond , and a maintenance bond each for one
hundred (100%) percent of the contract price will be required, Reference C 3-3 . 7.
4 . WAGE RATES:
Section C3-3 .13 of the General Conditions is deleted and replaced with the following:
(a) The contractor shall comply with all requirements of Chapter 2258, Texas
Government Code , including the payment of not less than the rates determined by the
City Council of the City of Fort Worth to be the prevailing wage rates in accordance with
Chapter 2258, Texas Government Code. Such prevailing wage rates are included in
these contract documents .
(b) The contractor shall , for a period of three (3) years following the date of
acceptance of the work, maintain records that show (i) the name and occupation of each
worker employed by the contractor in the construction of the work provided for in this
contract; and (ii) the actual per diem wages paid to each worker. These records shall
be open at all reasonable hours for inspection by the City . The provisions of 0-3 Right
to Audit pertain to this inspection.
(c) The contractor shall include in its subcontracts and/or shall otherwise require all
of its subcontractors to comply with paragraphs (a) and (b) above .
(d) With each partial payment estimate or payroll period, whichever is less , an
affidavit stating that the contractor has complied with the requirements of Chapter 2258 ,
Texas Government Code.
The contractor shall post the prevailing wage rates in a conspicuous place at the site of the
project at all times .
5. AMBIGUITY: In the case of ambiguity or lack of clearness in stating prices in the Proposal ,
the City reserves the right to adopt the most advantageous construction thereof to the City
or to reject the Proposal.
6 . BIDDER LICENSE: Bidder must be a TxDOT prequalified Contractor in the State of Texas .
7. NONRESIDENT BIDDERS: Pursuant to Article 601g, Texas Revised Civil Statutes , the City
of Fort Worth will not award this contract to a nonresident bidder unless the nonresident's
bid is lower than the lowest bid submitted by a responsible Texas resident bidder by the
same amount that a Texas resident bidder would be required to underbid a nonresident
bidder to obtain a comparable contract in the state in which the nonresident's principal place
of business in located .
"Nonresident bidder" means a bidder whose principal place of business is not in this state ,
but excludes a contractor whose ultimate parent company or majority owner has its principal
place of business in this state .
This provision does not apply if this contract involves federal funds .
SPECIAL INSTRUCTIONS TO BIDDERS
The appropriate blanks of the Proposal must be filled out by all nonresident bidders in order
for the bid to meet specifications. The failure of a nonresident contractor to do so will
automatically disqualify that bidder.
8. PAYMENT: If the bid amount is $25,000.00 or less, the contract amount shall be paid within
forty-five (45) calendar days after completion and acceptance by the City.
9. AGE: In accordance with the policy ("Policy") of the Executive Branch of the Federal
Government, Contractor covenants that neither it nor any of its officers, members, agents
employees, program participants or subcontractors, while engaged in performing this
contract, shall, in connection with the employment, advancement or discharge of employees
or in connection with the terms, conditions or privileges of their employment, discriminate
against persons because of their age except on the bases of a bona fide occupational
qualification, retirement plan or statutory requirement.
Contractor further covenants that neither it nor its officers, members, agents, employees,
subcontractors, program participants, or persons acting on their behalf, shall specify, in
solicitations or advertisements for employees to work on this contract, a maximum age limit
for such employment unless the specified maximum age limit is based upon a bona fide
occupational qualification, retirement plan or statutory requirements.
Contractor warrants it will fully comply with the policy and will defend , indemnify and hold
City harmless against any claims or allegations asserted by third parties or subcontractor
against City arising out of Contractor's and/or its subcontractors' alleged failure to comply
with the above referenced Policy concerning age discrimination in the performance of this
agreement.
10. DISABILITY: In accordance with the provisions of the Americans With Disabilities Act of
1990 ("ADA"), Contractor warrants that it and any and all of its subcontractors will not
unlawfully discriminate on the basis of disability in the provision of services to the general
public, nor in the availability, terms and/or conditions of employment for applicants for
employment with, or employees of Contractor or any of its subcontractors. Contractor
warrants it will fully comply with ADA's provisions and any other applicable federal, state and
local laws concerning disability and will defend, indemnify and hold City harmless against
any claims or allegations asserted by third parties or subcontractors against City arising out
of Contractor's and/or its subcontractors' alleged failure to comply with the above referenced
laws concerning disability discrimination in the performance of this agreement.
11. MINORITY AND WOMEN BUSINESS ENTERPRISES: In accord with City of Fort Worth
Ordinance No . 15530, the City of Fort Worth has goals for the participation of minority
business enterprises and women business enterprises in City contracts. A copy of the
Ordinance can be obtained from the Office of the City Secretary . The bidder shall submit the
MBE/WBE UTILIZATION FORM, SUBCONTRACTOR/SUPPLIER UTILIZATION FORM,
PRIME CONTRACTOR WAIVER FORM and/or the GOOD FAITH EFFORT FORM ("with
Documentation") and/or the JOINT VENTURE FORM as appropriate . The Documentation
must be received by the managing department no later than 5:00 p .m., five (5) City business
days after the bid opening date . The bidder shall obtain a receipt from the appropriate
employee of the managing department to whom delivery was made . Such receipt shall be
evidence that the documentat ion was received by the City . Failure to comply shall render
the bid non-responsive.
SPECIAL INSTRUCTIONS TO BIDDERS
Upon request , Contractor agrees to provide the Owner complete and accurate information
regarding actual work perfo rmed by a Minority Bus i ness Enterprise (MBE) and/or women
business enterprise (WBE) on the contract and payment thereof. Contractor further agrees
to permit any audit and/or examination of any books , records or files in its possession that
will substantiate the actual work performed by an MBE and/or WBE . The misrepresentation
of facts (other than a negligent misrepresentat ion) and/or commission of fraud by the
Contractor will be grounds for termination of the contract and/or initiating action under
appropriate Federal, State or local laws or ordinances relating to false statements. Further,
any such misrepresentation of facts (other than a negl igent misrepresentation) and/or
commission of fraud will result in the Contractor being determined to be irresponsible and
barred from participating in City work for a period of time of not less than three (3) years.
12. FINAL PAYMENT, ACCEPTANCE AND WARRANTY:
a. The contractor will receive full payment (less retainage) from the city for each pay
period .
b. Payment of the retainage will be included with the final payment after acceptance of the
project as being complete.
c. The project shall be deemed complete and accepted by the City as of the date the final
punch list has been completed , as evidenced by a written statement signed by the
contractor and the City.
d. The warranty period shall begin as of the date that the final punch list has been
completed .
e. Bills Paid Affidavit and Consent of Surety shall be required prior to final payment
becom ing due and payable .
f . In the event that the Bills Paid Affidavit and Consent of Surety have been delivered to
the city and there is a dispute regard ing (i) final quantities, or (ii) liquidated damages , city
shall make a progress payment in the amount that city deems due and payable .
g. In the event of a dispute regarding either final quantities or liquidated damages , the
parties shall attempt to resolve the differences within 30 calendar days .
13. PROJECT FUNDING (See Appendix A):
Many contracting requirements depend largely upon the funding for the project. Federal
funds involve certain requ i rements while state funds involve , in many instances , different
requ irements. Mixed funding projects ex ists , therefore , if a project involves any federal or
state mon ies, applicable federal or state requirements will prevail. Both federal and state
requirements will prevail if a contract involves federal fund ing, while only state requirements
will prevail if the contract involves only state funding. Should conflicts exist between federal
and state requirements, federal requirements will prevail for those contracts involv ing federal
funds. Contracts for projects on the state highway system funded entirely with local funds
not depos ited in the state treasury and where work is performed by the LG are subject to
TxDOT design requirements and local contract i ng requirements (i.e. Texas Local
Government Code , county and municipal requirements, etc.) Please be aware that some of
these federal or state requirements may affect the development of technical requirements or
additional requirements associated w ith an indiv idual project.
PARTB
MINORITY & WOMEN'S BUSINESS ENTERPRISES
SPECIFICATIONS
........
FORT WORTH :a9 · .. ·.. . ... ', ' . . . · · ··. · · · · • · · · · · · · City of Fort Worth . · · · · ·· · · .
·.·.:Disadvantaged Busmess En~erprise Specifications
. ·. . S~ECIAl. INSTRUCTIONS .FOR BIDDERS
.·:'
IJ th~ total doll,1r value .of , the contrac~ is $25,000 or more, the D.BE goal Js applicable .. If the .total doll11r value .of
the contract is less than $25,000, the DBE goal is not applicable. · · · · · · · · · · · ·
POLICY STATEMENT
It is .. the policy of the City .. of Fort Worth to ensure the full and equitable participation by Disadvantage Business
. . · Enterprises (DBE) in. the procurement of all goods and servi~s to the City on a contractual basis . The objective of the
' .. Policy is to increase: the . use of DBE firms to a level comparable to the availability of DBEs that provide goods. and
.. . : services directly or indirectly to . the City. All requirements and regulations stated in, the City's curr~nt . Disad'!antage
. Business Enterprise Program apply to ,this bid . · • · · ·.· · · · · · · ·. ··· ·.· · · · · ·' ··. · ··. · ·· · · · · ·
•,. ·. ' '.. . . . ...... '· ... ··.\ ····:: ':·· ·, ·:. · ....... ·. ·. . . \ . ·.
• DBE PROJECT GOALS . . .. • ' . . • ·
,Jhe City's .DBE goal on this proje~t is 2 ~ · '·.· % of the base bid value of the contract · ·
. . . . . . \ . . . . . . . . . . . . . . .
. . . . . .. . . . .
. .. . ·.· . COMPLIANCE TO BID SPECIFICATIONS
, On City contracts. of $25,0.00 or more, bidd!3rs are required to comply 'Nith .the intent of the City's DBE program by either . ·.
. ' · · . of,the_toit.owi,ng : · · ,. · · · · .. · . . . ·.. ·· ·. ··, . · ·· · . . . · . . ·. . . . .
·· 1 .. ·Meet o.r exceed the above stated ·DBE goal, or;
··.· 2, Good Faith Effort doc:umentation, or; .' . . . . . .
. . ·. 3 ... · Waiver documentation, or; · · ·
· · .. ·• ·• . 4: •... .Joint Venture. · ·. · · · · ·
', ·suBMITIAL .. OF REQUIRED DOCUMENTATION ;.·.
, • , Th~ app!ic:~ble do~um,ents must be r~c.eived t>y the M~naging . D~partment, within .the followin
. :,'for the entire bid to be considered res' onsive to the specifications .
1 .. $ubcontractor Utilization Form, if
·. ' oai is met or exceeded: . ,,
2. ~ood Faith Effort and ,Supcontractor
.·. .. 1Jtili.zatic:>,n.Forrr1, ,if participatio.n is .
'< less than stated . oal : ' . .· .... · ...
3. Good. Faith. Effort Form , if no .
articipation : · : · · '·. >
5. ·JointVenture .. Form , if goc:11 is m_etor
', ·exceeded: ,· . . . . . . . . . .
"• • • ' ': : ' '."! .... ~ I : ' ;
received by 5:.00 p.m ., fjve (5)City ,bu~iness days a~er the bid
o enin date, exclusive of the bid openin date. · · • · · ·. · ·
received by 5:00 p.m., five .(5) City QUSiness days after the bid
opening date, exclusive of the b.id open ing date. · , · ,
•.. '. . ', ~ . .., .
receiv~d bY,:5:0Q . p.m ,, five .(5) City bµs,ine~s dc:1ys .after the bid .:
bpenin date, exclusive of the bid opening date. : . " ,· . . . ,, . . ..
. received by ;5:00 . p:m.>five · (~) 'City .business days . after ·the bid
open in date: exclusive of the bid opening date.. . . ·. . ··.·. ' .• ' .
received by 5:00 p.m., five .·(S) City business days after. the bid
opening date, exclusive of the bid openin date. . . ', . ' . .
< , : ,:1 ·· FAILURE TO COMPL YWITH THE CITY'S DBE PROGRAM, WILL RESULT IN THE BID BEING ..... , ,· .
. . '"'.I ~------~~~---...... ---C~O~N~S __ l~D~ER~E;;.D~N..;.O ... N __ -R ... E;.;S~P,.;O;.;.;N;.;;;S ... IV,.;E;;..T~O;;..S.;..P;...;E;;;,;C~l.;..Fl;,;;C,;;.;A~T;;.;;.10;.;.N;;.;;.S;..,....,---,---~~~~~--...J· ! .
· Any questi?rts, please contact th~. Pt/lJWBE Office at (817) 392-6104.
Rev .. 11/.11/05
ORTWORTH ---.... . .,.
PRIME COMPANY NAME:
CITY OF FORT WORTH
Disadvantaged Business Enterprise Office
The Fain Group, Inc.
ATTACHMENT 1A
Page 1 of 3
Schedule of Subconsultants/Suppliers
ooee OMWBE [J NON-MIW/DBE
PROJECT NAME: Streetacaping Project Museum Way from 7th street to Tarantula Railroad Tracks BID DATE: .... 1 ... 1 ... 2...,2L_o __ s ___ _
PROJECT NUMBER: ___ cs __ J __ : ____ 0._90._2 .... -.... ~a .... -.... s .... 6 __ 2 ___________________ _
I C!!"'S DBE PROJECT GOAL: 2 6 % I Prime's DBE GOAL COMMITMENT: 2a %
Please read the following statements prior to executing this form.
Bldders/Offerors must provide lnfonnatipn on all prospective ·subconsultants who submit bids/quotations In support.of this solici1ation . Failure to C)
complete this form, In its entirety with suppbrtlng documentatl'on, and received by the Managing Department on or before ~:00 p.m . five (5) City business
days after bit opening, exclusive of bld Qpenlng date, will result in ihe bid being ,qo~,t~erec;f non-r~.spo~sive to the bid speciflcatJons.
The bidder further agrees to provide, directly to the City upon request, complete and accurate Information regarding actual work perfonned by all
subcontractors, including DBE(s) arrangemen1s submitted with this bid. The bidder also. agrees to allow an audit and/or examination of any books,
records .and files held by their company that wm substantiate the actual work perfonned by the DBE(s) on ~his contract, by ari authorized officer or
employee of the City. Any Intentional andfor knowing misrepresentation offac1s will be grounds for terminating the contract or debarment from City work
for a period of not less than three (3) years and for Initiating action under Federal, State or Local laws concerning false statements. Any failure to comply
with this ordinance and creates a material breach of contract may result In a determination of an irresponsible offeror and barred from participating In ·City
work for a period of time not Jess than one (1) year.
Prime contractors must Identify by tier level of all sub-consultants. Tier: means .th·e .level of subcontracting below the prime contractor/consultant I.e. a
direct payment from the prime contractor to a sub-consultant.is considered 1st tier, a payment by a sub-consultant to i.ts supplier: is cons1dered 2·m1.tler.
The prime contractor is responsible to provide proof of payment of all tiere'd subcontractors identified as a OBE and counting those dollars towards
meeting the contract committed goal.
Prime contractors must also provide the previous years annual gross receipts of-,all sub-consultants Usted on the utilization form. This ·infonnatlon may
be expressed in the dollar ranges provid.ed that column ..
Rev. 5/30/03
;··-···,
\._,,,I
F'ORTWORTH .._ ·tt· #" CITY OF FORT WORTH
SCHEDULE OF SUBCONSULTANTS/SUPPLIERS
ATIACHMENT 1A
Page 2 of 3
::heck this box CJ if any subcontractor/supplier Is a Sole Source and Identify by writing sole source by the subcontractor/supplier name.
NAMES ANO ADDRESSES OF TYPE OF WORK TO BE PERFORMED Specify CERTIFIED DBE PREVIOUS YEAR'S
SUBCONSU L TANT/SUPPLIERS Tler FIRM ANNUAL GROSS
RECEIPTS 1 cheek onal
Name: SYB Construction Company Type of Work: Pavers 1 Yes 2... No_ _ less than $SOOK Address: 421 Compton Ave.
Irving, TX ,75016 Certified By: _ $SOOK to $2M
Phone: 972-399-1069 NCTRCA ...,!_ _ $2M to$5M Fax: $AMOUNT: $144,980.60 TXDOT
Other_ -;i;,e Email: .!. more than $5M.
Contact Person: Shirley Bennett n!IACh OSE eerUflcaUon
Name: Cowtovm Redi Mix,. Inc. Type of Work: Concrete Materials
Address: PO Box 162327 1 Yes.!_ No_ .! less than $SOOK
Fort Worth, TX 76'16;1. Certified By: _ $500K to $2M
Phone: 8 l 7 -7S9-l9l9 NCTRCAi
Fax: 81 7-759-1716 $AMOUNT: $79,335,00 TXOOT _ $2M to$SM
Email: Other_ pj;'se _ more than $5M
Contact Person: Miriam El-Houran i atc..olt oee cartm~~aon
Name: AC Sales Type of Work; Lighting l Yes_:_ No_ 2 less than $500K
Address: PO Box 7572
Fort Worth, T.X 76111 Certified By: _ $500K to $2M
Phone: 817 -931-8801 NCTRCA _!_ _ $2M to$5M Fax: $AMOUNT: $109,000.00 TXDOT 817-831-8621 Other __ -;i;se Email: _ more than $SM
Contact Person: Claudia Wade attach CSE certlnaaijon
Name: l3arnsco Type of Work: Reinforcing
Address: 5000 Blue Mound Road Yes_ No2.._ _ less than $500K
Fort Worth, TX 76106 Certified By: _ $500K to $2M
Phone: 817-341-9494 NCTRCA -_ $2M to$5M Fax: $AMOUNT: $30,000.00 TXDOT -Email: Other _please ~ more than $SM 1ttach DBE certification
Contact Person: Greg Forbess
Rev. 5/30/03
, .... ~ ... u
0
FORT WORTH
"-, .•. ---
NAMES AND ADDRESSES OF
SUBCONSULT ANTS/SUPPLIERS
Name: Bean 11l ectric
82 1 E. Enon
Address: Port Wo rth , TX 761 40
Phone: 817 -56 1-7400
Fax: 81 7 -5 6l -7 40l
Emall :
Contact Person: Ch ip Bean
Name :
Address :
Phone:
Fax :
Email:
Contact Person:
CITY OF FORT WORTH
SCHEDULE OF SUBCONSUL TANTS/SUPPLIERS
TYPE OF WORK TO BE PERFORMED Specify CERTIFIED DBE
Tier FIRM
Type of Work: El ec t r i cal
l Yes -No2.
Certified By:
NCTRCA _
$AMOUNT: $2 18,5 54 .88 TXDOT
Other __ --;i;:aa
attach DBE certl ffcadon
Type of Work:
Yes_ No_
Certified By:
NCTRCA _
$AMOUNT: TXOOT
Other_pi;°u
au,ch DBE c.trtllk:aUon
ATIACHMENT 1A
Page 3 of 3
PREVIOUS YEAR'S
ANNUAL GROSS
RECEIPTS ( chee k on&l
_ less than $SOOK
_ $1500K to $2M
_ $2M to$5M
..! more than $5M
_ less than $5DOK
_ $SOOK to $2M
_ $2M to $llM
_ more than $SM
The pndet:llgned bidder agrees .to ·.enter. int~ a format agreement wlth' .. the DBe :·fi'rinsf:for work '1!stei:J .fn-:this ::actiadule, ·condltloned upon . exec Otior(of· a.
co·ntract With th.e City of Fort Worth. The lntentfortal· and/or)<nowlng misrepresentation of fact!i' Is grounds for consideration of'cUsqualificatlon and will .
result In the i>i:~ppsal . bell')g considered non-resr,pnslve:tb tne·;o1 .ic)tatlQ.n. . . . . . . ; , · >: .. : .. .
,.JlLL DBES MUST BE CERTIFIED BY THE CITY OF FORT WORTH PRIOR TO A RECOMMENDATION FOR AWARD TO THE CITY COUNCIL,
The Pain Group, Inc .
Company Name
825 w. Vickery
Address
Fort Worth, TX 76104
City/State/Zip Code
Larry Frazier
Printed Signature
Contact Name and Title (if different)
817 -927-4388
Phone Number
lfrazier@faingp.com
Email Address
1/27/09
Date
817-927-4389
Fax Number
Rev. 5/30/03
I I '-J
PROPOSAL
TO: Mr. Dale A . Fisseler
City Manager
Fort Worth, Texas
FOR: STREETSCAPING PROJECT
PART B -PROPOSAL
FROM: UNIVERSITY TO PENN ON WEST 7TH STREET
TO: 5TH STREET TO CRESTLINE
Pursuant to the foregoing "Notice to Bidders," the undersigned has thoroughly examined the plans,
specifications and the site, understands the amount of work to be done, and hereby proposes to do all the
work and furnish all labor, equipment and materials necessary to fully complete all the work as provided in
the plans and specifications and subject to the inspection and approval of the Director, Depaiiment of
Engineering of the City of Fo1i Worth.
Upon acceptance of this proposal by the City Council, the bidder is bound to execute a contract and furnish
Performance, Maintenance Bond, and Payment Bond approved by the City ofF01t Worth for performing and
completing the construction work within the time stated and for the following sum, to-wit:
B-1
Updated 11/20/08
BASE BID:
ITEM-CODE
DEPT
ITEM DESC S.P. DESCRIPTION OF ITEMS WITH APPROX USE
ALT NO CODE NO. PRICES WRITTEN IN WORDS UNIT QTY ONLY
100 2002 002 PREPARING ROW STA 17
6'.c.~,~1.J. ~h,~ •• J ~ lc~-L ~1'Bollars
(
and f\o Cents per ST A
161 2002 001 COMPOST MANUF TOPSOIL SY 5116
(BOS) (4")
Che.. Dollars
and ~~v ~-.v~ Cents per SY
170 2001 e-ruGA TIO~STEM LS 1 tt tl"f t.~ Dollars """ (_ ...:.\.· ..... ~d
-~ I V
and NO Cents per LS
192 2001 PLANT MATERIAL (4" CNTR) EA 7001
Cx'\'-Dollars
and k.r~ ~-.lo',. Cents per EA
192 2002 PLANT MATERIAL (1 -GAL) EA 192
~&* Dollars
and ~(\-, r ~ ~ Cents per EA
192 2004 PLANT MATERIAL (5 -GAL) EA 140
:b)c.,.,~ :\'.':St> Dollars
and -k ....L-., ~t 'ic Cents per EA
192 2021 PLANT MATERIAL (5 GAL) EA 88
(TREE)
N~ +"'c Dollars
and ~~ .::;':.'I. Cents per EA
192 2025 PLANT MATERIAL (45 GAL) EA 10
(TREE)
L h~J }~ kve... Dollars
and C\Q Cents per EA
B-2
Updated 11 /20/08
ITEM-CODE
DEPT
ITEM DESC S.P. DESCRIPTION OF ITEMS WITH APPROX USE
ALT NO CODE NO. PRICES WRITTEN IN WORDS UNIT QTY ONLY
192 2026 PLANT MATERIAL (65 GAL) EA 18
(TREE)
Le kJ,J :Ah j c\.i (t·,1/\Q. Dollars
and Na Cents per EA
192 2027 PLANT MATERIAL (100 GAL) EA 105
(TREE)
.~ i~ ~~< ~~ Y\N1 ) fuftJ-.-Dollars
and (\Q Cents per EA
192 2029 PLANT MATERIAL (2 GAL) EA 36
(SHRUB)
Si~~ Dollars
and o:.a ~1 l,, r Cents per EA
192 2031 PLANT MATERIAL (5 GAL) EA 294
(SHRUB)
k*1 mo Dollars
and J.. "' _\ 4,: 1'., Cents per EA
260 2002 001 LIME TRT (HYDRATED LIME TN 0
(SLURRY)
eNfA Dollars
and Cents per SY
260 2007 001 LIME TR T (NEW BASE) ( 6 ") SY 0
tJ~ Dollars
J '
and Cents per SY
360 2001 003 CONC PVMT (CONT REINF-SY 0
CRCP)(8 ")
NIA . Dollan I ,,.-
and Cents per SY
420 2001 002 CL A CONCRETE (MISC) CY 621
-Lu h\)"i\ai ": "Wi k-(\.t-Dollars
and ~Q Cents per CY
B-3
Updated 11/20/08
ITEM-CODE
DEPT
ITEM DESC S.P. DESCRIPTION OF ITEMS WITH APPROX USE
ALT NO CODE NO. PRICES WRITTEN IN WORDS UNIT QTY ONLY
500 2001 005 MOBILIZATION LS I
~t l {_a~ Dollars
and "'<.) Cents per LS
502 2001 033 BARRJCADES, SIGNS, AND MO 4
TRAFFIC HANDLING . 'f. S,'t b&'*1 ~.J.f<'l ~' 1 Dollars
and NO Cents per MO
506 2022 010 EARTHWORK (ERSN & SEDM CY 0
CONT, IN VEH)
N/A Dollars
and Cents per CY
506 2034 010 TEMPORARY SEDIMENT LF 7037
CONTROL FENCE
(k.-Dollars
and ~/w ,.,,11<L-Cents per LF
528 2004 LANDSCAPE PA VERS SY 1898
a%~~ ~o Dollars
and ~J¥4 rv,LJ Cents per SY
531 2005 CURB RAMPS (TY I) EA 2
BA ~ hu~ sP~~u.. Dollars
\
and b.O Cents per EA
531 2006 CURB RAMPS (TY 2) EA 6
ecp-b .,Jrol $-~~ 1N tA.. Dollars
and tJo Cents per EA
531 2010 CURB RAMPS (TY 7) EA 9
G:¥=b.,J4 :dv" Dollars
and ~Cl Cents per EA
B-4
Updated 11/20/08
ITEM-CODE
DEPT
ITEM DESC S.P. DESCRIPTION OF ITEMS WITH APPROX USE
ALT NO CODE NO. PRICES WRITTEN IN WORDS UNIT QTY ONLY
531 2015 CONC SIDEWALKS (4") SY 771
~if £1<1 ,s ·. :x. Dollars
and ~() Cents per SY
16521 ROADWAY ILLUMINATION EA 53
ASSEMBLIES
Jvu .~'::>~~ k~yg._ ~~Dollars
and ...io Cents per EA
618 2018 CONDT (PVC) (SCHD 40) (2") LF 3078
Wvv Dollars
and ~0 Cents per LF
618 2041 CONDT (PVC) (SCHD 80) (4") LF 180
(BORE)
~Cb Dollars
and ()i,.\..Jc--Cents per LF
i i
618 2066 CONDT (PVC) (SCHD 40) (3/4") LF 170
evL-1t-Dollars
and t,kj ±-..:.::, Cents per LF
620 2009 001 ELEC CONDR (NO. 6) BARE LF 4770
OV'\.~ Dollars
and ~{~ ~~l~ Cents per LF
620 2010 001 ELEC CONDR (NO. 6) LF 9640
INSULAT ED
rr-..~ Dollars
an~t\~ Cents per LF
620 2011 001 ELEC CONDR (NO. 8) BARE LF 1820
Qr,.<.. Dollars
and ~ Cents per LF
B-5
Updated 11/20/08
ITEM-CODE
ITEM DESC S.P. DESCRIPTION OF ITEMS WITH
ALT NO CODE NO. PRICES WRITTEN IN WORDS UNIT
620 2012 001 ELEC CONDR (NO . 8) LF
INSULATED
(>\!,. Dollars
and ~, .... w ~() Cents per LF
620 2014 001 ELEC CONDR (NO . 10) LF
INSULATED
C).,...,. Dollars
and ~c Cents per LF
624 2008 GROUND BOX TY A (122311) W/ EA
APRON
Str-b. j,J.. -\"Wa Dollars
and ~ Cents per EA
1014 2001 001 LANDSCAPE AMENITY (BRICK EA
PARTE~~ ~~,J ~a...~ c:>t'\,(., C.
l...u~ Dollars
and l\\o Cents per EA
1014 2023 LANDSCAPE AMENITY (TREE EA
GRATE) i s~~
l>.r -~ 4v..-..hJJ :b,~Dollars
and ~o Cents per EA
TOT AL AMOUNT BASE BID:
BID SUMMARY
TOTAL AMOUNT BASE BID:
GRAND TOTAL AMOUNT BAS E BID:
B-6
3-'7
$ 122 { o/ -
DEPT
APPROX USE
QTY ONLY
3606
54 0
7
..,
.)
33
Updated 11/20/08
PART B -PROPOSAL (Cont.)
After acceptance of this Proposal, the undersigned will execute the fonnal contract and will deliver an
approved Surety Bond and such other bonds as required by the Contract Documents, for the faithful
performance of the Contract. The attached bid security, if required is to become the property of the
Developer.
The undersigned bidder ce1iified that he has obtained at least one set of the General Contract Documents and
General Specifications for Water Department Projects dated January 1, 1978, and that he has read and
thoroughly understands all the requirements and conditions of those General Documents and the specific
Contract Documents and appurtenant plans .
The successful bidder shall be required to perform the work in accord with the following
publications, both of which are incorporated herein and made a part hereof for all purposes:
1. The General Contract Documents and General Specifications for Water Department
Projects dated January 1, 1978, which may be purchased from the Water Department.
2. The Standard Specifications for Street and Storm Drain Construction which may be
purchased from the Department of Transportation & Public Works.
The undersigned assures that its employees and applicants for employment and those of any labor
organization, subcontractors, or employment agency in either furnishing or refen-ing employee applicants to
the undersigned are not discriminated against as prohibited by the terms of City Ordinance No . 7278 as
amended by City Ordinance No. 7400.
The Bidder agrees to begin construction within _lQ_ calendar days after issue of the work order, and to
complete the contract within 108 calendar days after beginning construction as set forth in the written work
order to be furnished by the Owner.
(Complete A or B below, as applicable:)
__ A. The principal place of business of our company is in the State of ___ _
Nonresident bidders in the State of , our principal
place of business, are required to be __ percent lower than resident bidders
by state law. A copy of the statute is attached.
Non resident bidders in the State of , our principal
place of business , are not required to underbid resident bidders.
_iLB. The principal place of business of our company or our parent company or
majority owner is in the State of Texas.
B-7
Updated 11/20/08
I (we) acknowledge receipt of the following addenda to the plans and specifications , all of the provisions
and requirements of which have been taken into consideration on preparation of the foregoing bid:
Addendum No. I (Initials)b_ Addendum No. 3 (Initials)_~__, __ _
Addendum No. 2 (Initials)~ Addendum No. 4 (Initials)~
Respectfully submitted,
Address
b-U: w. v :we~
Telephone: Br3::--C\z..,-=t--4'-33£2
(Seal)
B-8
Updated 11/20/08
PARTF
Important Notice
To obtain information about this bond or to make a claim or
complaint for: Insurance Company of the West, The Explorer
Insurance Company, Independence Casualty and Surety
Company
You may write to:
Surety Claims Department
ICW Group
11455 El Camino Real
San Diego, CA 92130-2045
or you may call (858)350-2400
You may contact the Texas Department of Insurance to obtain
information on companies, coverages, rights or complaints at:
(800) 252-3439
Or you may write to the Texas Department of Insurance at:
Texas Department of Insurance
PO Box 149104
Austin, TX 78714-9104
Attach this notice to your Bond
This notice is for information only and does not become a part
or a condition of the attached document. It is given to comply
with Government Code Section 2253.048 and Property Code
Section 53.202, effective September 1, 2001
... ,. .
CERTIFICAIB OF INSURANCE
TO : CITY OF FORT WORTH D ate~
NAME OF PROJECT : Streetscaping Project on Mu eum W a\"" from Seventh Street to Tarantula Railroad
Tracks
PROJECT "NUMBER: STP2004(374}.t,nl
IS TO CERTIFY IBA T: The Fain Group, Inc.
is , at the date of this certificate, Insured by this Company ,..,;th respect to the business operations hereinafter described, for
the type of insurance and accordance with proYisions of the tandard policies used by this Company, and further
hereinafter described. Exceptions to standard policy noted on reven:.e side hereof.
TYPE OF INSURANCE
Policy Effective Expires Limits of Liability
Worker's Comoensation
Comprehensive General Bodily Injury:
Liability Insurance (Public Ea. Occurrence: $
Liability) Property Damage:
Ea. Occurrence : $
Blasting Ea. Occurrence: $"
Collapse of Building or
structures adjacent to Ea. Occurrence: $ __
excavations
Damage to Underground
Utilities Ea. Occurrence: $
Builder's Risk
Comprehensive Bodily Injury:
Automobile Liability Ea . Person: $
Ea. Occurrence: $
Property Damage:
Ea.Occurrence:$
Bodily Injury:
Contractual Liability Ea. Occurrence: $
Property Damage:
Ea. Occurrence: $
Other
Locations covered :-----------------------------------
Description of operations covered:-----------------------------
The above policies either in the body thereof or by appropriate endorsement provided that they may not be changed or
canceled by the insurer in less than five (5) days after the insured has received written notice of such change/or
cancellation.
Where applicable local laws or regulations require moJC than five (5) days actual notice of change or cancellation to be
assured, the above policies contain such special requirements, either in the body thereof or by appropriate endorsement
thereto attached.
The City, its officers, employees and servants shall be endorsed as an additional insured on Contractor's insurance policies
excepting employer's liability insurance coverage rmder Contractor's worker's compensation insurance policy.
Agency Insurance Co.: ------------
Fort Worth Agent By _______________ _
Address _________________ _ Title ________________ _
CONTRACTOR COMPLIANCE WITH
WORKERS' COMPENSATION LAW
Pursuant to V.T.C.A Labor Code Section 406.096 (2000). as amended . Contractor certifies that it provides
workers· compensation insurance coverage for all its employees employed on city of Fort Worth D epa111nent of
Engineering No. NIA and City of Fon Worth Project Nmnber STP2004(374)MJ.\1
The Fain Group, Inc.
CO~CTO~
By: I ,____,.___,..,_,,.._ __ _
?~\Ot .• J ,
STATE OF TEXAS §
COUNTY OFT ARRANT §
BEFORE ME. the tmdersigned authority , on this cta~, personally appeared l o,..s t ?I F\-Q.. zj e r:
k:t1ow11 to me be the person whose name is subscribed to the foregoing instrument. and ack:t1owledged to me that he
executed the same as the act and deed ofibe Fain Group. Inc .. the purpose and consideration therein expressed and
in the capacity therein stated .
GNEN UNDER MY HAND
· ~~ o2.ao9
ND SEAL OF OFFICE this -1.L_da y of &i,,..JL . 2008:-
~~ ~o0Q
Notary Public iiu1ru:lfor
the State of Texas
DONNA CHAPPELL
MY COMMISSION EXPIRES
June 21, 201 O
VENDOR COMPLIANCE TO STATE LAW
VENDOR COMPLIANCE TO STATE LAW
The 1985 Session of the Texas Legislature passed House Bill 620 relative to the award of contracts to
non-resident bidders . The law that, in order to be awarded a contract as low bidder, non -resident bidders
(out-of-state contractors whose corporate offices or pr incipal place of business are outside of the state of
Texas) bid projects for construction, improvements, supplies or services in Texas at an mount lower than
the lowest Texas resident bidder by the same amount that a Texas resident bidder would be required to
underbid a non-resident bidder in order to obta in a comparable contract in the state in which the
non-resident's principle place of business is located . The appropriate blanks in Section A must be filled
out by all out-of-state or non-resident bidders in order for your bid to meet specifications . The failure of
out-of-state or non-resident contractors to do so will automatically disqualify that bidder. Resident bidders
must check the box in Section B.
A. Non-resident vendors in (give state), our principal place of business , are required
to be percent lower than resident bidders by state law. A copy of the statute is
attached .
Non resident vendors in _____ (give state), or principal place of business, are not
required to underbid resident bidders.
B. Our principal place of business or corporate offices are in the State of Texas . ef
BIDDER:
Company
By: LG e_. e. ~ ril.-t\:i.-1 e e...
(please print)
City State Zip (please print)
THIS FORM MUST BE RETURNED WITH YOUR QUOTATION
EXPERIENCE RECORD
EXPERIENCE RECORD
List of Projects your Organization has successfully completed:
AMOUNT OF CONTRACT
AWARD
j! \
TYPE OF WORK
tJ ei.J Q pt>
wa\ ~ ;l<MQn 'itie.
Ne. w ro ed...<;.Cu. l:"J
l,.:>a..Q. ~, ~Ct 0\e "i-n" &
~W hC"z.d.~~
vJQ,\ \W ,-0. l'Y..R (\ ·, ti .es
"'12 UJ Y\G. pe'
~~"'t" r)\Qf:J:)n ~'i
Q.,O ._(.; I
DATE ACCEPTED
List of Projects your Organization is now engaged in completing:
AMOUNT OF CONTRACT
AWARD TYPE OF WORK
List Surety Bonds in force on above incomplete work :
DATE OF CONTRACT
AWARD TYPE OF WORK BOND
~fu.@"12.1.A~d,
~ !? ~ -re mt "! fo~
m . /c
ANTICIPATED DATE OF
COMPLETION
AMOUNT OF BOND
NAME AND ADDRESS OF
NAME AND ADDRESS OF
NAME AND ADDRESS OF
SURETY
~-kc.o :C:.Y>Svi et,. /) Ll. CA>'-
-z.:L% Q,,0t~12 eel, ~n
ll-WlUI i'I'
EQUIPMENT SCHEDULE
List of Equipment owned by Bidder that is in serviceable condition and available for use:
'3 o ~ " 1£ e q_ 3 \ t (;\ f:)a0~ ~ ve,
Portions of work Bidder proposes to sublet in case of Award of Contract including amount and type :
Q~ \N? e~
PERFORMANCE BOND
PERFORMANCE BOND
THE STATE OF TEXAS § Bond # 2303934
KNOW ALL BY THESE PRESENTS :
COUNTY OF TARRANT §
Independence Casualty and
Tiiat we (1) The Fain Groun, Ilic. as Principal herein, and (2) Surety Company a
corporation organized m1der the laws of the State of (3) Texas • and who is authorized to issue surety bonds in the
State of Texas, Surety herein, are held and firmly bom1d llllto the City of Fort Worth, a municipal corporation
located in Tan·ant and Denton Cotmties, Texas, Obligee herein, in the sm11ot:
Nine Htiitclreti se,;euty~fo·eii T1tiii1sand One Hmiclercl One and 37/100 ...... : ... .-.;; .. ; ... :;,;,;,; .................... .
Dollars (S977,10L37) for the payment ofwhkh sum \•;e bind O\\rselves, our heirs, executors, administrators,
successors and assigns, jointly and severally, fimtly by these present.
WHEREAS, Principal has entered into a cenain \\Titten conn·act with the Obligee dated the 26tfiofl\fa'f,
2008 a copy ofwhicl1 is hereto attached and made a part l1ereof for all purposes, for the constt11ction of:
StreetscaJling Proied ori l\'i:,iseiuil \Va;r froin Se,·enth Sfreet to TarantiilaRailroad :Tdfrks
NOW THEREFORE, the condition of this obligation is such, if the said Principal shall faithfully perform
the work in accordance with the plans, specifications, and contract documents and shall fully indemnify and hold
harmless the Obligee from all costs and damages which Obligee may suffer by reason of Principal 's default, and
reimburse and repay Obligee for all outlay and expense that Obligee may incur in making good such default, then
this obligation shall be void; otherwise, to remain in full force and effect.
PROVIDED, HOWEVER. that this bond is executed pursuant to Chapter 2253 of the Texas Government
Code, as amended, and all liabilities on this bond shall be determined in accordance with the provisions of such
statute, to the same h1:ent as ifit were copied at length herein.
IN WITNESS WHEREOF, tlie duly authorized representatives of the Principal and U1e Surety have
executed this instrument.
SIGNED A.l\TD SEALED this 26th day ofl.\lay,2009
(SEAL)
Witness as to Principal
Tile Fain Grom>, Inc,
825 W. Yfckerr
FortW01·tb, TX 76104
Independence Casualty and
Surety Compan
Surety
ohnny Moss
(Attorney-in-fact)
Address: 1600 E. Lamar Blvd #275
Arlington , TX 76011
--~ ~~~~WJ -----------~----... 41 .... _...
NOTE;
Telephone Number: 817-27T-2J790 · ext. 13
(1) Correct name of Principal (Contractor}.
(2) Correct name of Surety.
{3) State of incorporation of Surety
-... -
Telephone number of surety must be stated . In addition, an original copy of Power of Attorney shall
be attached to Bond by the Attorney-in-Fact.
The date of the bond shall not be prior to date of Contract.
/.
::---.. -
.•
r
No. 0004695
ICWGROUP
Power of Attorney
Insurance Company of the West
Explorer Insurance Company Independence Casualty and Surety Company
KNOW ALL MEN BY THESE PRESENTS : That Insurance Company of the West, a Corporation duly organized under the laws of the State of California, Explorer
Insurance Company, a Corporation duly organized under the laws of the State of California, and Independence Casualty and Surety Company , a Corporation duly organized
under the laws of the State of Texas , (collectively referred to as the "Companies"), do hereby appoint
RICHARD W. DAIKER, TONY FIERRO, JOHNNY MOSS, JAY JORDAN OF ROCKWALL, TX
RICHARD W. DAIKER, TONY FIERRO, RANDALL S. MCCLELLAND OF EL PASO, TX
their true and lawful Attomey(s)-in-Fact with authority to date, execute, sign , seal , and deliver on behalf of the Companies, fidelity and surety bonds , undertakings , and other
similar contracts of suretyship , and any related documents.
In witness whereof, the Companies have caused these presents to be executed by its duly authorized officers this !st day of November, 2005 .
d~-Rd~
Jeffrey D. Sweeney, Assistant Secretary
State of California
County of San Diego
} ss .
INSURANCE COMPANY OF THE WEST
EXPLORER INSURANCE COMP ANY
INDEPENDENCE CASUALTY AND SURETY COMP ANY
John L. Hannum, Executive Vice President
On June 5, 2006 before me, Mary Cobb, Notary Public, personally appeared John L. Hannum and Jeffrey D. Sweeney, personally known to me to be the persons
whose names are subscribed to the within instrument, and acknowledged to me that they executed the same in their authorized capacities, and that by their signatures on the
instrument, the entity upon behalf of which the persons acted , executed the instrument .
0
MARVCOIIB I
COMM.+1602390 R "11MY PUIIJC.QUUUIA
SAN OEGOCDUNTV MV Q)mfflisliDn E= -IEPTEMBER 21>.
RESOLUTIONS
Witness my hand and official seal .
Mary Cobb , Notary Public
This Power of Attorney is granted and is signed, sealed and notarized with facsimile signatures and seals under authority of the following resolutions adopted by the respective
Boards of Directors of each of the Companies:
"RESOLVED: That the President, an Executive or Senior Vice President of the Company , together with the Secretary or any Assistant Secretary, are
hereby authorized to execute Powers of Attorney appointing the person(s) named as Attorney(s)-in-Fact to date , execute, sign , seal , and deliver on
behalf of the Company, fidelity and surety bonds , undertakings , and other similar contracts of suretyship , and any related documents.
RESOLVED FURTHER : That the signatures of the officers making the appointment, and the signature of any officer certifying the validity and
current status of the appointment, may be facsimile representations of those signatures ; and the signature and seal of any notary, and the seal of the
Company, may be facsimile representations of those signatures and seals, and such facsimile representations shall have the same force and effect as if
manually affixed . The facsimile representations referred to herein may be affixed by stamping, printing, typing, or photocopying ."
CERTIFICATE
I, the undersigned , Assistant Secretary of Insurance Company of the West, Explorer Insurance Company, and Independence Casualty and Surety Company, do hereby certify
that the forego mg Power of Attorney 1s m full force and effect,. an ~as not been revoked , and that the above resolutions were duly adopted by the respective Boards of
Directors of the Comparues , and are now in full fo~ce / /, A / "l /)~
IN WITNESS WHEREOF, I h,,o,."'"""""' ... , of O kQ.c..-r /
/
,: . ,· -~ J--#:7.d_d~
Jeffrey D. Sweeney, Assistant Secretary
To verify the authenticity of this Power of Attorney yo u may call 1-800-877-11 1 aq • 115k for the Surety Division . Please refer to the Power of Attorney Number, the above
named individual(s) and details of the bond to which the power is attached . For information or filing claims , please contact Surety Claims, ICW Group , 11455 El Camino
Real , San Diego , CA 92130-2045 or call (858) 350-2400 .
TIIE STAIB OF 1EXAS
COUNTY OF TARRANT
§
§
§
Bond # 2303934
PAYMENT BOND
KNOW ALL BY THESE PRESENTS:
That we (1) The Fain Group, inc.as Principal herein, and (2) *See Below a corporation organized and
existing tmder the laws of the State of (3) Texas • as smety , are held and finnly bound tmto the City of Fort
Wortl1, a municipal corporation located in _ Tarrant and I)~nton Comities, Texas, Obligee herein, in t11e amotmt (?f
Nine Hundred Se,·cnfr-se,·en Thousand OneHtindei;d Orie arid 37/100 .. ;;;,;;,;;;;;;;,: .. ;',.;~.:;.;;Dollars (S977,l01.37)
for tile payment whereat: the said Principal and Surety bind themselves and their heirs, executors, administrators,
successors and assigns, jointly and severally, finnly by these presents:
WHEREAS, the Principal has entered into a ce11afa written contract with the Obligee dated the 26th day of
l\fav A.O. , 2009 , which contract is hereby referred to and made apart hereof as if folly and to the same extent as if
copied at length, for the following project:
StreetscapingProject ou l\iuseun1Wa,~ fron1 Se,·enth:Street to Tarantula Railroad tracks
NOW, THEREFORE, THE CONDffiON OF TIDS OBLIGATION IS SUCH. that if the said Principal
shall faithfully make payment to each and every claimant (as defined in Chapter 2253, Texas Government Code, as
amended) supplying labor or materials in the prosecution of the work under the contract, then tlris obligation shall be
void; othenvise, to remain in full force and effect.
PROVIDED, HOWEVER, tliat this bond is executed pursuant to Chapter 2253 of the Texas Government
Code, as amended, and all liabilities on this bond shall be determined in accordance with fue provisions of said
statute, to the same extent as if it ·were copied at length herein.
IN WITNESS WHEREOF, the duly authorized representatives of the Principal and the Surety have
executed this instrument.
SIGNED Ai'ID SEALED this 26tl1 day ofl\fav, 2009.
* Independence Casualty and Surety Company
A~c~ ru
(Principal) Se ~f
NOTE:
8i5 W. Viclcect' Fo~·t Wo1;tt TX 76104
Independence Casualty and
Surety Company
SURETY
By: --~--~___.,_~~=:f.~_!::~---=!·· __ ... __
Name : Johnn oss
omey in Fact
~ _ ... ----
Address: 1600 E. Lamar Blvd . #275 -.. ... -:,. . -.
_. ,-......
---~A~r .... H....,ng,...t-o._..n ~I~X~Z-G~P~11~---~-,0 --------·,,. ,..__-
.. -~--... ··--.
Telephone Number : 817-277-4790 Ext 13
1. Co11"ect name of Principal (Contractor).
2. Correct name ofSm-ety .
3. State of incorporation of Sm-ety .
Telephone munber of surety must be stated. In addition, an original copy of Power of Attomey
shall be attached to Bond by the Attorney-in-Fact.
TI1e date of bond shall not be prio r to date of Contract.
Bond # 2303934
MAINTENANCE BOND
TIIE STAIB OF 1EXAS §
COUNTY OF TARRANT §
Independence Casualty and
KNOW ALL ME~ 13Y, THESE PRESEi\'TS: . . Surety Company .
That The Fam G1·oun, Inc.(Contractor), as pnnc 1pal., and . a corporat10n
organized tmder the laws of the State of Texas • (Surety), do hereby acknowledge themselves to be held and bound
to par tuito the City of Fort Wortl1, a Mmucipal Corporation chartered by virtue ofConstinttion and laws of the State
of Texas, ("City") in Tarrant Cotmty, Texas the sum of Niiie-Jiimdrecl Seye1iri·-seve1i 'flloi1sii1id Oiie Jiuntiei'd
One and 37/100 .... ;: .. :;.;,,;,.;,.~ .. : ............................ (977,tOi.3'7} lawfo1 money of the United States, for payment
of which smn well and truly be made 1mto said City and its successors, said Contractor and Smety do hereby bind
themselves, their heirs, executors, administrators, assigns and successors, jointly and severally.
Tiris obligation is conditioned, however ; that.
WHEREAS , said Contractor has entered into a written Contract with the City of Fort Worth, dated the
26tliday of Ma~ 2009 copy of which is hereto attached and made a part hereof, the petfonnance of the following
described public improvements:
Sfreetscaning Project on :l\Iuseimi Wiw froni Seye11tl1 Street to T:u;a11tnla Raih'oad Tracks
the same being refen-ed to herein and in said contract as the Work and being designated as project
STP2004(374)1\'Il'iand said contract, including all of the specifications, conditions, addenda, change orders and
written instruments referred to therein as Contract Documents being incorporated herein and made a part hereof,
and ,
· WHEREAS, in said Contract, Contractor binds itself to use such materials and to so constmct the work that
it will remain in good repair and condition for and during a period of after the da te of Two (2) Years after the date
of the final acceptance oftl1e work by the City; and
WHEREAS, said Contractor binds itself to maintain said work in good repair and condition for said tenn of
Two {2} Years: and ,
WHEREAS, said Contractor binds itself to repair or reconstruct tile work in whole or in part at any time
within said period, if in tile opinion of the Director of the Water Department of the Cizy of Fort Worth, it be
necessary; and,
WHEREAS, said Contractor binds itself, upon receiving notice of the need therefore to repair or
reconstruct said work as herein provided.
NOW THEREFORE, if said Contractor shall keep and perfonn its said agreement to maintain, repair or
reconstruct said work in accordance witl1 all the terms and conditions of said Contract, tllese_presents shall be null
and void, and have no force or effect. Othem:ise tl1is Bond shall be and remain in full force and effect, and the City
shall have and recover from the Contractor and Surety damages in the premises prescribed by said Contract.
This obligation shall be continuing one and successive recoveries may be had hereon for successive
breaches until the full amount hereof is exhausted.
IN V.-1TNESS "\\-1IEREOF, this instmment is executed in !.counterparts, each one of ,..,.hich shall be
deemed an original, this 26tli day of I.Vial·, A.D. 2009.
ATTEST:
(SEAL)
ATI'EST:
(SEAL)
..,.
Independence Casualty and Surety Company
Surety
Title: Attorney-in-fact ------'-----,c;-....::...:~
~ :---. .· -· / ·._ ~ :_; __ _
1600 E. Lamar Blvd . #275
Arl ington TX 76011
Address
/: -~
::-~_·._·:-/.
--. .. .........
No. 0004695
ICWGROUP
Power of Attorney
Insurance Company of the West
Explorer Insurance Company Independence Casualty and Surety Company
KNOW ALL MEN BY THESE PRESENTS: That Insurance Company of the West, a Corporation duly organized under the laws of the State of California, Explorer
Insurance Company, a Corporation duly organized under the laws of the State of California, and Independence Casualty and Surety Company, a Corporation dul y organiz.ed
under the laws of the State of Texas, (collectively referred to as the "Companies"), do hereby appoint
RICHARD W. DAIKER, TONY FIERRO, JOHNNY MOSS, JAY JORDAN OF ROCKWALL, TX
RICHARD W. DAIKER, TONY FIERRO, RANDALL S. MCCLELLAND OF EL PASO, TX
their true and lawful Attorney(s)-in-Fact with authority to date , execute , sign , seal , and deliver on behalf of the Companies , fidelity and surety bonds , undertakings , and other
similar contracts of suretyship , and any related documents .
In witness whereof, the Companies have caused these presents to be executed by its duly authorized officers this 1st day of November, 2005 .
J~-Rd~
Jeffrey D. Sweeney, Assistant Secretary
State of California
County of San Diego
} ss .
INSURANCE COMPANY OF THE WEST
EXPLORER INSURANCE COMP ANY
INDEPENDENCE CASUALTY AND SURETY COMP ANY
John L. Hannum, Executive Vice President
On June 5, 2006 before me, Mary Cobb, Notary Public, personally appeared John L. Hannum and Jeffrey D. Sweeney, personally known to me to be the persons
whose names are subscribed to the within instrument, and acknowledged to me that they executed the same in their authorized capacities , and that by their signatures on the
instrument, the entity upon behalf of which the persons acted, executed the instrument.
a MARY COBB I
COMM.+1802390 ! NOTAP.Y PUIIJC.taRllflA
SAN CIEGO COUNTY
MV ComfflilliDn E= -SEPTEMBER 2D.
RESOLUTIONS
Witness my hand and official seal .
Mary Cobb , Notary Public
This Power of Attorney is granted and is signed, sealed and notarized with facsimile signatures and seals under authority of the following resolutions adopted by the respective
Boards of Directors of each of the Companies :
"RESOLVED : That the President, an Executive or Senior Vice President of the Company, together with the Secretary or any Assistant Secretary, are
hereby authorized to execute Powers of Attorney appointing the person(s) named as Attomey(s)-in-Fact to date , execute , sign , seal , and deliver on
behalf of the Company, fidelity and surety bonds , undertakings , and other similar contracts of suretyship , and any related documents.
RESOLVED FURTHER : That the signatures of the officers making the appointment, and the signature of any officer certifying the validity and
current status of the appointment, may be facsimile representations of those signatures ; and the signature and seal of any notary , and the seal of the
Company, may be facsimile representations of those signatures and seals , and such facsimile representations shall have the same force and effect as if
manually affixed . The facsimile representations referred to herein may be affixed by stamping, printing , typing , or photocopying ."
CERTIFICATE
I, the undersigned , Assistant Secretary of Insurance Company of the West, Explorer Insurance Company, and Independence Casualty and Surety Company , do hereby certify
""' dre f=goIDg Powm of Attorney ;, m full '°"' aZ,'"" 1"._u oo< o ,~okol, ,ml ""' dre ,oo., ~oloti~ ~re OOly ""'""' by "" re,pa,ti'< Boan!, of
Directors of the Companies , and are now in full force . / -{ ~ "'/~
IN WITNESS WHEREOF , I have set my hand this day of ~
c)-r/7..??,d--o
Jeffrey D. Sweeney , Assistant Secretary
To verify the authenticity of this Power of Attorney you may call 1-8()(),.877-1111 and ask for the Surety Division . Please refer to the Power of Attorney Number, the above
named individual(s) and details of the bond to which the power is attacheo . For information or filing claims , please contact Surety Claims , ICW Group, 11455 El Camino
Real , San Diego , CA 92130-2045 or call (858) 350-2400 .
STATEMENT OF RESIDENCY
..
~ .....
Initial ~VJ----
2.10 STATEMENT OF RESIDENCY
The following information is required by the City of Fort Worth in order t o comply with
provisions of state law, TEXAS GOVERNMENT CODE § 2252.001 , State or Political
Subdivision Contracts for Construction, Supplies , Services ; Bids by Nonresident.
Every b idder shall affirmatively state its principal place of business in its response to a bid
invitation. Failure to provide the required information shall result in your bid being declared non-
responsive. Bidders' cooperation in this regard w ill avoid costly t ime delays in the award of bids
by the City of Fort Worth . For th is reason, each bidde r is encouraged to complete and return
in duplicate , w ith its bid , the Statement of Residency Fo r m, but in any event, the low bidder shall
submit this information w ithin five (5) business days afte r the date of receip t of notification of
apparent low bidder status from the Purchasing Div~sion of the Finance Department. Failure
to provide all required information within this designated period shall result in the apparent low
bidder be ing considere<:f non-responsive , and the second low b idder being considered for
award .
TEXAS GOVERNMENT CODE § 2252.001 defines a Texas "resident bidder" as a bidder
whose principal place of business * is in the state of Texas , including a contractor whose
ultimate parent company or majority owner has its principal place of business in the state of
Texas. TEXAS GOVERNMENT CODE § 2252 .001 defines a "Nonresident bidder" as a
bidder whose parent company or majority owner does not have its principal place of business*
in the state of Texas .
Bidder's complete company name: ·Tue., fu~ f\ ~e.-Ou. P., :::Goe...,
State your business address in the space provided below if you are a Texas Resident bidder:
B "2.6"" w. \/ ~ cJLe e 'i R>e, 1 W1) a \.t-1 T¥ 31.e lo Lf
State your business address in the space provided below if you are a Nonresident bidder:
*The State Purchasing and General Services Commission defines Principal Place of
Business as follows :
Principal Place of Business in Texas means, for any type of business entity recognized in t he
State of Texas, that the business entity ·
o has at least one permanent office located w ithin the State of Texas, from which business
activities other than submitting b ids to governmental age ncies are conducted a nd from
which the bid is submitted, and
o has at least one employee who works in the Texas office
Title
:S: °' "'v~o e:-~, f:> \ :::z,o os
Date
PROJECT: DEM 06-10 : FWCAC 2-15
CHILD SUPPORT STATEMENT
CHILD SUPPORT STATEMENT FOR THE
TEXAS DEPARTMENT OF TRANSPORTATION
FOR NEGOTIATED CONTRACTS AND GRANTS
Under Famil~ ~ode, Section 231 .00~, LD e.,~ ~Ct '21\ e e (nar:7e of
individual) cert1f1es that :Th-€ \-(A I ["'\ a t'..,QlA_ .P 1 '1:-o {.., (name of busmess)
_____________ (vendor#) as of :Jll o ltl.Ct e_~ £> , 20...QS
(date) is eligible to receive a grant, loan, or payment and acknowledges that any contract
may be terminated and payment may be withheld if this certification is inaccurate.
List below the name and social security number of the individual or sole proprietor and each
partner, shareholder, or owner with an ownership interest of at least 25% of the business
entity submitting the bid or application. This form must be updated whenever any party
obtains a 25% ownership interest in the business entity.
Name (Please Print Legibly) Social Security Number
____ l~~+-p,e_g-z.;, e L_ ____ ------·----+--Y.tolR.:-fil.-::.k?_~1__ ____ _
1---.. b.Q~~CA Ot; Q__ ----------------··~52-:!L: _O.ft:3~------·-
---·----·--·------·----·---·---·---·----M---------MH•---·------------·---·-----
·----------................ ,_, ______ ,, _________ , _____ , ______ ,, ___ ,, __________________ ,, __ ,. ________ ,. __ ,. __ , .. ____ ,. ____________________ _
Family Code, Section 231.006, specifies that a child support obligor who is more than thirty
(30) days delinquent in paying child support and a business entity in which the obligor. is a
sole proprietor, partner, shareholder, or owner with an ownership interest of at least 25%
percent is not eligible to receive payments from state funds under a contract to provide
property, materials, or services; or receive a state-funded grant or loan.
A child support obligor or business entity ineligible to receive payments described above
remains ineligible until all arrearage .have been paid or the obligor is in compliance with a
written repayment agreement or court order as to any existing delinquency.
Except as provided by Family Code, Section 231.302(d), a social security number is
confidential and may be disclosed only for the purposes of responding to a request for
information from an agency operating under the provisions of Subchapters A and D of Title IV
of the federal Social Security Act (42 U.S.C. Sections 601 et seq. and 651 et seq .)
The Texas Department of Transportation maintains the information collected through
this article. With few exceptions, you are entitled on request to be informed about the
information that we collect about you. Under Sections 552.021 and 552.023 of the
Texas Government Code, you also are entitled to receive and review the information.
Under Section 559.004 of the Government Code, you are also entitled to have us
correct information about you that is incorrect.
>" Please send this form to Texas Department of Transportation, Office of General Counsel (OGC) -Contract
Services Section, 125 E. 11th Street, Austin , Texas 78701-2483.
Page 1 of 1 Revised 12/2/03
PARTG
-
CONTRACT
PART G-CON1RACT
THE STATE OF TEXAS §
COUNlY OF TARRANT §
THIS CON1RACT, made and entered into the 26th day of May, 2009 by and between the City
of Fort Worth, a home-rule municipal corporation located in Tarrant County, Texas , acting through its
City Manager thereunto duly authorized so to do, Party of the First Part, hereinafter termed ' OWNER",
and The Fain Group, Inc of the City of Fort Worth County of Tarrant and State of TEXAS, Party of
the Second Part, hereinafter termed ' CONTRACTOR".
WITNESSETII: That for and in consideration of the payments and agreements hereinafter mentioned, to
be made and performed by the Party of the First Part (Owner), said Party of the Second Part (Contractor) hereby
agrees with the said party of the First Part (Owner) to commence and complete certain improvements described as
follows :
Streetscaping Project on Museum Way from Sevenlh street to Tarantula Railroad Tracks
And all extra work connected &herewith, under the terms as stated in the Contract Documents and at his (their) own
proper cost and expense to furnish all the materials, supplies, machinery, equipment, tools, superintendent, labor,
bonds, insurance, and other accessories and services necessary to complete the said construction, in accordance with
all the requirements of the Contract Documents, which include all maps, plats, blueprints and other drawings and
printed or written explanatory matter thereof, and lhe specifications thereof, as prepared by the Engineers employed
by the Owner, each of which has been identified by the endorsement of the Contractor and the Engineers thereon,
together with the Contractor's Written Proposal and the other parts of the Contract Documents hereto attached,
including the Fort Worth Water Department General Contractor Documents and General Specifications, all of which
are made a part hereof and collectively and constitute the entire contract.
GI
OFFICIAL RECORD
CITY SECRETARY
FT. WORTH, TX
I
The Contractor hereb y agrees to commence work within ten ( 10) days after the date written
notice to do so shall have been given to him, and to substantially complete same within the time stated in
the proposal.
The Owner agrees to pay the contractor in current funds for the performance of the contract in
accordance with the Proposal submitted therefore, subject to additions and deductions, as provided in the
Contract Documents and all approved modifications thereof, and to make payment on account thereof as
provided therein .
IN WITNESS WHEREOF, the Parties to these presents have executed this Contract in 4 counterparts in the
year and say first above written.
City of Fort Worth, Texas (Owner)
Party of the First part
BY~h:.~
ASST. City Manager
..
cw
Contract Authorizatioa
The Fain Group, Inc. • 6 la le I O 5
Date
825 W. Vickery
Fort Worth, TX 76104
Contractor
By ~
Titl/ ~Of-1-G
APPROVED :
~~~
Director, Transportation Public Works
ATTEST:
(Seal)
WITNESSES :
and Legality:
Asst. City Attorney
OFFICIAL RECORD
CITY ECRETARY
FT. WORTH, TX
PARTH
TXDOT GENERAL NOTES
Specification List
Specifications adopted by the Texas Department of Transportation, June 1, 2004 and specification items
listed and dated as follows, shall govern on this project: required contract provisions for all federal-aid
construction contracts (Form FHWA 1273 March 1994).
General Notes
Item 5. Control of the Work
Item 7. Special Note. Legal Relations and Responsibilities
Item 8. Prosecution and Progress
Item 100. Preparing Right of Way
Item 161. Compost
Item 502. Barricades, Signs, and Traffic Handling
Item 506. Temporary Erosion, Sedimentation, and Environmental Controls
·· ·· · · ·item 528. Colored Textured Concrete and Landscape Pave rs
Item 530 and 531. Intersections, Driveways and Turnouts, and Sidewalks
Item 618. Conduit
Item 620. Electrical Conductors
Item 620 & 624. Electrical Conductors & Ground Boxes
Special Provisions
Wage Rates
000---002 Partnering
000---003 Notice to All Bidders
000---004 Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity
(Executive Order 11246)
000---006 Standard federal Equal Employment Opportunity Construction Contract Sp~cifications
(Executive Order 11246)
000---009 Certification of Nondiscrimination in Employment
. 000---011 Department Division Mailing and Physical Addresses
000---461 Disadvantaged Business Enterprise in Federal-Aid Construction
000---1001 On-The-Job Training Program
000---1002 Schedule of Liquidated Damages
003---026 Award and Execution of Contract
004---012 Scope of Work
005---004 Control of the Work
006---030 Control of Materials
1
1:\production\municipal\2004\2004279\co,respondence\specs\speci.al provision from txdot\specmc.arion lisl.doc
007---001 Legal Relations and Responsibilities
007---213 Legal Relations and Responsibilities
007---445 Legal Relations and Responsibilities
008-084 Prosecution and Progress
009---009 Measurement and Payment
009-015 Measurement and Payment
100---002 Preparing Right of Way
· 161---001 Compost
420---002 Concrete Structures
421-031 Hydraulic Cement Concrete
500---005 Mobilization
502---033 Barricades, Signs, and Traffic Handling
506---010 Temporary Erosion, Sedimentation, and Environmental Controls
620---001 Electrical Conductors
Special Specifications
1014 Landscape Amenity
USDOT Special Provisions
Required Contract Provisions Federal-Aid Construction Contracts (FHWA-1273)-March 10, 1994
2
c:\produc;tion\municip1S\2004\2004279\couespondence\specs\speci,I provhion from txdo1\speci(.ution in.doc
Project Number: STP 2004 (374)MM
County: TARRANT
Highway: CS
**** Specification Data ****
Special Notes:
***************
Sheet A
Control: 0902-48-562
Existing storm sewers and utilities are shown from the best available information. Verify the
location of all underground facilities prior to starting work.
Mail box manipulation made necessary because of construction shall be done in accordance with
Item 560, except that this work will not be paid for directly but will be considered subsidiary to
the various bid items.
Provide all-weather surface for temporary ingress and egress to adjacent prope1iy, as directed.
Materials, labor, equipment and incidentals necessary to provide temporary ingress and egress
will not be paid for directly, but will be subsidiary to the various bid items.
The number of traffic lanes may be reduced during daylight hours, when approved, but such
lanes shall be restored and remain unobstructed for travel at night except when appro v ed in
writing.
In those instances where necessary, the governing slopes indicated herein may be varied from the
limits shown, to the extent approved.
On superelevated curves the shoulders shall have the same cross-slope as the pavement, unless
otherwise indicated.
On superelevated curves where the grade line is in a sag or on flat grades, overlay the shoulders
to the extent necessary to prevent trapping of water on the high side.
General Notes Sheet A
Project Number: STP 2004 (374)MM
County: TARRANT
Highway: CS
Sheet B
Control: 0902-48-562
All driveway openings will be determined by the Engineer and shall conform with Texas
Department of Transportation "Regulations for Access Driveways to State Highways" adopted
September 1953 , and revised June 2004.
Locations and lengths of all private entrances are approximate only. The actual locations,
lengths, lines, and grades are to be established in the field.
Locations and lengths of all private entrances are approximate only. The actual locations,
lengths, lines and grades are to be determined by the Engineer and shall confonn with the
regulations of The City of Fort Worth.
Take care that existing curb and curb and gutter is not discolored or damaged during constmction
operations. In the event of discoloration or damage, clean or repair as directed.
Remove the grass from the crown of shoulders or pavement edges by blading or other approved
methods. Payment for this work will not be made directly but shall be considered subsidiary to
the various items of the contract.
For irrigation notes & specifications see the irrigation notes & details page in this set of plans .
Item 5. Control of the Work
When supplementary bridge plans, shop drawings, shop details, erection drawings, working
drawings, fo1ming plans or other drawings, are required, the drawings shall be prepared and
submitted on sheets 8 1/2 by 11 inches, 17 by 22 inches, or full size drawings reduced to half
scale if completely legible. If, in the opinion of the Engineer, the drawings are not completely
legible, they shall be prepared and submitted on sheets 22 by 34 inches, with a one and one-half
inch left margin, and a one-half inch top, right, and bottom margin.
All sheets submitted shall have a title in the lower right hand corner. The title shall include the
sheet index data shown on the lower right corner of the project plans, name of the structure or
element or stream, sheet numbering for the shop drawings, name of the fabricator and the name
of the Contractor.
The responsibility for the construction surveying on this contract will be in accordance with
Article 5.6.B, "Method B".
Prior to contract letting, bidders may obtain a free computer diskette or a computerized transfer
of files (from the Engineer's office) that contains the earthwork information. If copies of the
actual cross-sections are requested, in addition to, or instead of, the diskette, they will be
available at the Engineers office for borrowing by copying companies for the purpose of making
copies for the bidder, at the bidder's expense.
General Notes Sheet B
Project Number: STP 2004 (374)MM
County: TARRANT
Highway: CS
Item 502. Barricades, Signs, and Traffic Handling
Sheet D
Control: 0902-48-562
Maintenance ofroadways, not paid as "constructing detours", and designated in the traffic
control plan to carry traffic, will be the responsibility of the Contractor and will be paid for by
"Contractor Force Account or Agreed Unit Price".
Pem1anent signs may be installed when construction in an area is complete and they will not be
in conflict with the traffic control plan for the remainder of the job.
Existing signs are to remain as long as they do not interfere with construction and they do not
conflict with the traffic control plan.
Any sign not detailed in the plans but called for in the layout shall be as shown in the current
"Standards on Highway Designs for Texas(SHSD)" and the "Texas Manual on Uniform Traffic
Control Devices for Streets and Highways".
When traffic is obstructed, arrange warning devices in accordance with arrangements indicated
in the latest edition of the "Texas Manual on Unifonn Traffic Control Devices for Streets and
Highways".
General Notes Sheet D
Project Number: STP 2004 (374)MM
County: TARRANT
Sheet E
Control: 0902-48-562
Highway: CS
Item 506. Temporary Erosion, Sedimentation, and Environmental Controls
The SW3P for this project shall consist of using the following items as directed:
a. Temporary sediment control fence
Item 528. Colored Textured Concrete and Landscape Pavers
Ensure that all signal pole foundations, sign bases, electrical ground boxes, manholes, inlets and
other appurtenances within the area to be paved are constructed to the proper finished grade.
The paver installation contractor shall have a minimum of three (3) years experience in the
installation of interlocking concrete pavers.
All pavers shall conform to A.S.T.M. C 936(6). Where exposed to vehicular traffic, pavers shall
be 3-1/8" thick. In all other areas, pavers shall be a minimum 2-3/8" thick. Provide certification
from a professional test laboratory showing that the materials used and fabrication of the pavers
meet or exceed these requirements. All pavers shall be free of defects that would interfere with
proper placement or impair the strength of performance of the units. Acceptance of pavers
which contain minor cracks, incidental to the usual methods of manufacture and shipping or
resulting from customary methods of handling and delivery, shall be at the Engineer's discretion.
Deliver pavers to the project site on pallets, bound in such a manner as to prevent damage to the
product during shipping, handling, and unloading.
Furnish flexible base meeting the requirements ofltem 247, Type A, Grade 4.
Restrain all edges of the paved area. Edge restraints shall be cast-in-place concrete grade beams,
4" wide x 8" deep, or as shown in the plans, or existing sidewalk, curb, or pavement as shown.
Use string lines to maintain true pattern lines relative to back of curb, sidewalk, pavement or
edge restraint, or as directed.
Fill gaps at the perimeter of the paved area with standard edge units or units cut to fit. Cut
pavers with a masonry saw, leaving a smooth, clean edge. Pavers which spall along a cut edge
will be rejected.
General Notes Sheet E
Project Number: STP 2004 (374)MM
County: TARRANT
Sheet F
Control: 0902-48-562
Highway: CS
Upon completion of construction, sweep and clean the paver surface of all excess sand, soil,
foreign material, and/or stains .
See Plans for more details and specifications on the brick pavers and the pattern they are to be
installed.
The 4" Concrete used as a base for Landscape pavers is subsidiary to item 52 8-2004.
Items 530 And 531. Intersections, Driveways and Turnouts, and Sidewalks
The furnishing and installation of the sand cushion in the proposed sidewalks, sidewalk tamps
and driveways will not be paid for directly but shall be considered subsidiary to this bid item.
GENERAL NOTES:
GENERAL NOTES -ROADWAY ILLUMINATION
********************************************
Only materials , (not to include luminaire pole or luminaire itself), with approved product codes
or designations, from prequalified producers are accepted on bids . The Construction Division
(CST) of the Tex as Department of Transportation (TxDOT) maintains the material producers list
of approved producer product codes or designations . Use the following website to view this list:
http://www.dot.state.tx.us/business/producer_list.htm .
Locate all luminaires, electrical service points , ground boxes and conduit as directed .
Electrical service points may be moved a maximum of 50 feet from the location shown in the
plans, with approval. If it is necessary to move a service point more than 50 feet , recalculate the
voltage drop for all related circuits.
Mast-arm poles may be moved a max imum of 15 feet along and parallel to the roadway to be
illuminated. If a pole is moved more than 5 feet , the location of adjacent poles should also be
revised , so as to maintain uniform spacing .
Furnish one of the following padlocks for service cabinets and safety switch enclosures:
Texas Department of Transportation: Master Lock, Key No. 2195
City of Arlington : Master Lock, Key No . 3252
City of Fort Worth: Master Lock, Key No. 0536
General Notes Sheet F
Project Number: STP 2004 (374)MM
County: TARRANT
Highway: CS
Furnish one padlock for each service assembly enclosure.
Sheet G
Control: 0902-48-562
Furnish one padlock for each fused disconnect switch at bridges with U/P luminaires.
Where possible, conduit runs should be straight and placed with a minimum number of bends
and/or ground qoxes .
If the actual length of conductor in a circuit exceeds the estimated length by more than 75 feet,
recalculate the voltage drop for the circuit.
The Contractor's attention is directed to all locations where illumination circuits cross existing
sign light, traffic signal, surveillance, or roadway illumination circuits owned by TxDOT the
Contractor will be responsible for locating any existing circuits prior to any trenching,
foundation drilling or excavation. If any existing circuits are damaged by the Contractor, splice
the circuits or repair the conduit and replace the conductor as directed, to ensure proper operation
of the system. Complete these temporary repairs as soon as possible after damage occurs. All
labor and materials required for the temporary repairs will be at the Contractor's expense.
Maintain the temporary repairs until permanent repairs are made.
Permanent repairs shall consist of the replacement of damaged or temporarily repaired conduit,
conductor, ground boxes, etc., as directed, and shall be constructed in accordance with the
requirements of the appropriate bid items and this project for new construction.
Pennanent repairs, including the placement of ground boxes, extensive conduit runs , etc. will be
measured and paid for in accordance with the appropriate bid items .
Only one permanent repair per circuit run will be considered for payment.
General Notes Sheet G
Project Number: STP 2004 (374)MM
County: TARRANT
Highway: CS
Special Note to Item 7. Legal Relations and Responsibilities.
Sheet H
Control: 0902-48-562
Do not use non-certified persons to perform electrical work. See Item 7 .15 "Electrical
Requirements and Special Provision to Item 7-445 for additional details.
Item 618. Conduit.
Bed all PVC conduit and duct cable placed by open cut in field sand as approved.
Conduit bends at roadway illumination assembly foundations will not be paid for directly, but
will be considered subsidiary to the various bid items.
The fused disconnect switch used for underpass circuits will not be paid for directly, but will be
considered subsidiary to the various bid items.
General Notes SheetH
Project Number: STP 2004 (374)MM
County: TARRANT
Highway: CS
Sheet I
Control: 0902-48-562
Items 618, 620 & 624 Conduit, Electrical Conductors & Ground Boxes.
Conduit and conductor from the electrical service point to the utility company pole will be
measured and paid for as the size and type of conduit and conductors indicated on the plans.
Item 620. Electrical Conductors.
For both transformer and shoe-base type illumination poles, provide double-pole breakaway fuse
holder from manufacturers pre-qualified by the Traffic Operations Division. See
http://www.dot.state.tx.us/business/producer _list.htm for list of pre-qualified manufacturers.
Category is "Roadway Illumination and Electrical Supplies." Fuse holder is shown on list under
Items 610 & 620. Provide 10 amp time delay fuses.
Items 620 & 624 Electrical Conductors & Ground Boxes.
Attach an identification tag with the circuit identification stamped on the tag to the conductors
for each circuit at all junction boxes and ground boxes. Identify the circuit breakers for each
circuit at the service box using identification tags for each breaker. Label each circuit as shov-m
on the illumination layouts in the plans. Tags may be aluminum or plastic as approved.
General Notes Sheet I
TXDOT
SPECIAL PROVISIONS
\
HEAVY & IDGHW AY CONSTRUCTION
PREY AILING WAGE RATES 200S
Air Tool Operator
Asohalt Distributor Ooerator
Asphalt Paving Machine Ooerator
Asphalt Raker
Asphalt Shoveler
Batching Plant Weigher
Broom or Sweeuer Ooerator
Bulldozer 0ver-dlUr
Carpenter
Concrete Finisher, Paving
Concrete Finisher, Structures
Concrete Paving Curbing Machine Ooerator
Concrete Paving Finishing Machine Operator
Concrete Paving Joint Sealer Ooerator
Concrete paving Saw Onerator
Concrete Paving Spreader Ooerator
Concrete Rubber
Crane, Clamshell, Backhoe, Derrick, Dragline, Shovel Operator
Electrician
Flal:!11:er
Form Builder/Setter, Structures
Form Setter, Paving & Curb
Foundation Drill Ooerator, Crawler Mounted
Foundation Drill Ooerator, Truck Mounted
Front End Loader Operator
Laborer, Common
Laborer, Utility
Mechanic
Milling Machine Ooerator, Fine Grade
Mixer Operator
Motor Grader Operator, Fine Grade
Motor Grader Operator, Roul!h
Oiler
Painter, Structures
Pavement Marking Machine Ooerator
Pipelayer
Reinforcim. Steel Setter, Paving
Reinforcing Steel Setter, Structure
Roller Operator, Pneumatic, Self-PropelJed
Roller Operator, Steel Wheel, Flat Wheel/famping
Roller Ooerator, Steel Wheel, Plant Mix Pavement
Scraoer Ooerator
Servicer
Slip Fonn Machine Operator
Spreader Box Ooerciwr
Tractor Operator, Crawler Type
TractorOnerator,Pneumatic
Traveling Mixer Operator
Truck Driver, Lowboy-Float
Truck Driver, SinJ?:le Axle, Heavy
Truck Driver, Single Axle, Light
Truck Driver, Tandem Axle, Semi-Trailer
Truck Dri~-er, Transit-Mix
Wae:on Drtll, Borin2 Machine, Post Hole Driller Operator
Welder
Work Zone Barricade Servicer
-.
$10.06
$13.99
$12.78
$11.01
$ 8.80
$14.15
$ 9.88
$13.22
$12.80
$12 .85
$13 .27
$12.00
$13.63
$12.50
$13.56
$14.50
$10.61
$14.12
$18.12
$ 8.43
$11.63
$11.83
$13.67
$16.30
$12.62
$ 9.18
$10.65
$16.97
$1 l.83
$11.58
$15.20
$14.50
$14.98
$13.17
$10.04
$11.04 I
$14.86
$16.29
$11.07
$10.92
$11.28
$11.42
$12.32
$12.33
$10.92
$12.60
$12.91
$12.03
$14.93
$] 1.47
$10.91
$11.75
$12.08
$14.00
$13 .57
$10.09
.,_ ... _cnanlc ~
Acoustical Ceiling Mechanic
Br iddaver /Stone Mason
Brtcklaver/Stone Mason Helper
Carpenter
Carpenter Hetoer
Concrete Finisher
Concrete Form Builder
Drywall Mechanic
Drywall Helper
Drywall Taper
Drywall Taper Helper
Electrician fJoumeyman)
Electrician Helper
Electronic Technician
Electronic Technician Helper
Floor Layer (Resilient)
Floor Layer Helper
Glazier
Glazier Helper
Insulator
Insulator Helper
Laborer Common
Laborer Skilled
Lather
Painter
Painter Helper
Pipefitter
Pipefitter Helper
Plasterer
Plasterer Helper
2,.008 Pf\EVAILING WAGE RATES
CONSTRUCTION INDUSTRY
$21.69 l Plumber
)U.00 Plumber Helper
$15.24 Reinforcing Steel Setter
$19.12 Roofer
$10.10 Roofer Heloer
$16.23 Sheet Metal Worker
$11.91 Sheet Metal Worfler Helper
$13.49 Sprinkler S)'Stem Installer
$13.12 Sprinkler Svstem Installer HelDer
$14.62 Steel Worl<er Structural
$10.91 Concrete Pump
Crane, Clamsheel, Backhoe, Derrick, D'line
$13.00 Sh-Ollel
$9.00 Forklift
$20.20 Front Eno loader
$14.43 Truck Drtver
$19.86 Welder
$12.00 Welder Hdper
$20.00
$13.00
$18.00
$13.00
$14 .78
$11.25
$10 .27
$13.18
$16.10
$14.83
$8 .00
$18.85
$12.83
$17.25
$12 .2 5
~20.43 I
$14.90 I
$10 .0C I
$14.00
$10.00
$16.96
$12.31
$18.00
$9.00
$17.43
$20.50
$17.76
$12.63
$10.50
$14.91
$16.06
$9.75
.....
Classifications Classifications Hrly Rts
Air Tool Operator $10.06 Scraper Operator $11.42
Asphalt Raker $11 .01 Servicer $12 .32
Asphalt Shoveler $8.80 Slip Form Machine Operator $12.33
Asphalt Distributor Operator $13.99 Spreader Box Operator $10.92
Asphalt Paving Machine Operator $12 .78 Tractor operator, Crawler Type $12 .60
Batching Plant Weigher $14.15 Tractor operator, Pneumatic · $12 .91
Broom or Sweeper Operator $9 .88 Traveling Mixer Operator $12.03
Bulldozer operator $13.22 Truck Driver-Single Axle (Light) $10.91
Carpenter (Rough) $12.80 Truck Driver-Single Axle (Heavy) $11.47
Concrete Finisher-Paving $12 .85 Truck Driver-Tandem Axle Semi-Trailer $11 .75
Concrete Finisher -Structures $13 .27 Truck Driver-Lowboy/Float $14.93
Concrete Paving Curbing Mach. Oper. $12.00 Truck Driver-Transit Mix $12 .0 8
Concrete Paving Finishing Mach. Oper. $13 .63 Wagon Drill, Boring Machine , Post Hole Driller $14 .00
Concrete Paving Joint Sealer Oper. $12.50 Welder . $13.57
Concrete Paving Saw Oper. $13 .56 Work Zone Barricade Servicer $10.09
Concrete Paving Spreader Oper. $14.50
Concrete Rubber $10.61
Crane, Clamshell, Backhoe, Derrick, Dragline, Shovel $14.12
Electrician $18 .12
Flagger $8.43
Form Builder-Structures $11 .63
Form Setter-Paving & Curbs $11 .83
Foundation Drill Operator, Crawler Mounted $13.67
Foundation Drill Operator, Truck Mounted $16.30
Front End Loader $12 .62
Laborer-Common $9.18
Laborer-Utility $10 .65
Mechanic $16 .97
Milling Machine Operator, Fine Grade $11.83
Mixer Operator $11 .58
Motor Grader Operator (Fine Grade) $15 .20
Motor Grader Operator, Rough Oiler $14 .50
Painter, Structures $13 .17
Pavement Marking Machine Oper. $10.04
Pipe Layer $11.04
Roller, Steel Wheel Plant-Mix Pavements $11.28
Roller, Steel Wheel Other Flatwheel or Tamping $10.92
Roller, Pneumatic, Self-Propelled Scraper $11.07
Reinforcing Steel Setter (Paving) $14.86
Reinforcing Steel Setter (Structure) $16.29
WAIS Document Retrieval
GENERAL DECISION: TX20080043 02/08/2008 TX43
Date: February 8 1 2008
General Decision Number: TX20080043 02/08/2008
Superseded General Decision Number: TX20070045
State: Texas
Construction Types: Heavy and Highway
Counties: Collin, Dallas, Denton, Ellis, Grayson, Johnson,
Kaufman, Parker, Rockwall, Tarrant and Wichita Counties in Texas .
HEAVY AND HIGHWAY CONSTRUCTION PROJECTS IN WICHITA COUNTY ONLY .
HIGHWAY CONSTRUCTION PROJECTS ONLY FOR REMAINING COUNTIES.
Modification Number
0
Publication Date
02/08/2008
SUTX2004-004 11/09/2004
Rates
Air Tool Operator .............. $ 10. 06
Asphalt Distributor Operator ... $ 13.99
Asphalt paving machine operator$ 12.78
Asphalt Raker .................. $ 11. 01
Asphalt Shoveler ............... $ 8. 80
Batching Plant Weigher ......... $ 14. 15
Broom or Sweeper Opera tor ...... $ 9. 88
Bulldozer operator ........... $ 13. 22
Carpenter ...................... $ 12.80
Concrete Finisher, Paving ...... $ 12.85
Concrete Finisher, Structures .. $ 13. 27
Concrete Paving Curbing
Machine Operator ............... $ 12. 00
Concrete Paving Finishing
Maching Operator ............... $ 13. 63
Concrete Paving Joint Sealer
Operator ....................... $ 12. 50
Concrete Paving Saw Operator ... $ 13.56
Concrete Paving Spreader
Operator ....................... $ 14. 50
Concrete Rubber ................ $ 10. 61
Crane, Clamshell, Backhoe,
Derrick, Dragline, Shovel
Operator. . . . . . . . . . . . . . . . . . .. $ 14. 12
Electrician .................... $ 18.12
Flagger ........................ $ 8. 43
Form Builder/Setter, Structures$ 11.63
Form Setter, Paving & Curb ..... $ 11. 83
Foundation Drill Operator,
Crawler Mounted ................ $ 13. 67
Foundation Drill Operator,
Truck Mounted .............. .
Front End Loader Operator .. .
Laborer, common ........ ..
Laborer, Utility ........... .
... $
... $
... $
... $
16.30
12 .62
9.18
10.65
Fringes
0.00
0.00
0 .00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0 .00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0 .00
0.00
0.00
Page 1 of 3
r'l/'"l'°\l"\I"\('\
WAIS Dqcument Retrieval
Mechanic ....................... $ 16. 97
Milling Machine Operator,
Fine Grade ..................... $ 11.83
Mixer operator ................. $ 11.58
Motor Grader Operator, Fine
Grade .......................... $ 15.20
Motor Grader Operator, Rough ... $ 14.50
Oiler .......................... $ 14.98
Painter, Structures ............ $ 13.17
Pavement Marking Machine
Operator ....................... $ 10. 04
Pipe layer ...................... $ 11. 04
Reinforcing Steel Setter,
Paving ......................... $ 14. 86
Reinforcing Steel Setter,
Structure ...................... $ 16.29
Roller Operator, Pneumatic,
Self-Propelled ................. $ 11.07
Roller Opera tor, Steel Wheel,
Flat Wheel/Tamping ............. $ 10.92
Roller Operator, Steel Wheel,
Plant Mix Pavement ............. $ 11 .2 8
Scraper Operator ............... $ 11.42
Servicer ....................... $ 12.32
Slip Form Machine Operator ..... $ 12.33
Spreader Box operator .......... $ 10.92
Tractor operator, Crawler Type.$ 12.60
Tractor operator, Pneumatic .... $ 12.91
Traveling Mixer Operator ....... $ 12.03
Truck driver, lowboy-Float ..... $ 14.93
Truck driver, Single Axle,
Heavy .......................... $ 11.47
Truck driver, Single Axle,
Light .......................... $ 10. 91
Truck Driver, Tandem Axle,
Semi-Trailer ................... $ 11.75
Truck Drive r , Transit-Mix ...... $ 12.08
Wagon Drill, Boring Machine,
Post Hole Driller Operator ..... $ 14.00
Welder ......................... $ 13 . 57
Work Zone Barricade Servicer ... $ 10.09
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0 .00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0 .00
0 .00
Unlisted classifications needed for work not included within
the scope of the classifications listed may be added after
award only as provided in the labor standards contract clauses
(29CFR 5. 5 (a) (1) (ii)).
In the listing above, the "SU" designation means that rates
listed under the identifier do not reflect collectively
bargained wage and fringe benefit rates . Other designations
indicate unions whose rates have been determined to be
prevailing.
WAGE DETERMINATION APPEALS PROCESS
Page 2 of 3
WAIS Document Retrieval
1.) Has there been an initial decision in the matter? This can
be:
* an existing published wage determination
* a survey underlying a wage determination
* a Wage and Hour Division letter setting forth a position on
a wage determination matter
* a conformance (additional classification and rate) ruling
On survey related matters, initial contact, including requests
for summaries of surveys, should be with the Wage and Hour
Regional Office for the area in which the survey was conducted
because those Regional Offices have responsibility for the
Davis-Bacon survey program . If the response from this initial
contact is not satisfactory, then the process described in 2.)
and 3.) should be follo wed .
With regard to any other matter not yet ripe for the formal
process described here, initial contact should be wi th the
Branch of Construction Wage Determinations. Write to:
Branch of Construction Wage Determinations
Wage and Hour Division
U.S. Department of Labor
200 Constitution Avenue, N .W.
Washington, DC 20210
2.) If the answer to the question in 1.) is yes, then an
interested party (those affected by the action) can request
review and reconsideration from the Wage and Hour Administrator
(See 29 CFR Part 1.8 and 29 CFR Part 7). Write to:
Wage and Hour Administrator
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210
The request should be accompanied by a full statement of the
interested party's position and by any information (wage
payment data, project description, area practice material,
etc.) that the requester considers relevant to the issue.
3 .) If the decision of the Administrator is not favorable, an
interested party may appeal directly to the Administrative
Review Board (formerly the Wage Appeals Board). Write to:
Administrative Review Board
U.S. Department of Labor
200 Constitution Avenue, N .W.
Washington, DC 20210
4.) All decisions by the Administrative Review Board are final.
END OF GENERAL DECISION
Page 3 of 3
t: I C l'"lf\f\O
2004 Specifications
SPECIAL PROVISION
000--002
Partnering
1. General. It is the intent of this provision to encourage the use of a Paiinering a1nngement
between the Department and the Contractor. The use of Paiinering on this project is
voluntary, unless shown on the plans, and its use must be acceptable to both Department and
Contractor personnel. Paiinering can be initiated by TxDOT or the Contractor. The
Partnering concept promotes an enviromnent of trust, mutual respect, integrity and fair-
dealing.
2. Procedures for Initial Partnering Meeting. The Partnering Workshop initial meeting may
last from 2 hours to 2 days and may contain one or more of the partnering modules selected
by the Engineer and the Contractor, and may be prior to or combined with the pre-
construction conference.
(1) Mutually agree upon an agenda ( outline main elements-see modules for agenda
contents), a location (city , hotel, etc.) and the scope and attendees. (The list of
attendees will include the job title of each person, a contact, telephone and fax number.)
The Department will furnish a reconunended location list.
(2) Use of facilitator:
(a) The facilitator is to act as a neutral party seeking to advance proactive pre-project
planning. There must be no perceived conflict of interest on the paii of the
facilitator in favor of either Engineer or Contractor.
(b) Contract Facilitator -Select 3 potential facilitators from the Department's approved
list. The Engineer will select 1 of the 3 proposed facilitators.
(c) Internal Facilitator -The Engineer and the Contractor may choose a facilitator
internal to one of their respective organizations to facilitate a workshop. This
individual must have technical knowledge and ability to lead and guide discussions .
This individual must be acceptable to both the Engineer and the Contractor. No
payment will be made for internal facilitators.
( d) The Engineer and the Contractor will provide the facilitator with a list of attendees.
The meeting arrangements (meeting space, A/V .equipment, etc.) will be the
responsibility of the contract facilitator.
The Contractor and the Department will be responsible for any a1Tangements for
any expenses incurred by their respective employees , including but not limited to
meals , travel and lodging.
1-2 000--002
05-04
( e) The Engineer and the Contractor should contact the facilitator at least 3 weeks prior
to the workshop, and should have a conference call with the facilitator at least 10
calendar days prior to the workshop to discuss ideas and to finalize the agenda.
The agenda will be based on the needs of the team, and may be as specific as
deemed necessary. The facilitator is responsible for developing the full agenda in
conjunction with both parties.
3. Participation in Partnering. It is the responsibility of the Engineer and the Contractor to
compile a list of and invite the key project personnel (inspectors , foremen, superintendents,
book.keepers, project engineers, etc .) to pa1iicipate in the initial partnering workshop. It is
also important to have representatives of all interested parties in attendance. Examples
include but are not limited to subcontractors, material suppliers, city and county officials,
and utility companies. In addition, the Contractor and Engineer should actively encourage
district staff to participate as well. The Contractor and Engineer must agree that each of their
personnel identified will be assigned to the project for its duration.
4. Payment. The cost of the partnering workshop will be shared equally by the Contractor and
the Department. Be responsible for the partnering workshop expenses (meeting room, AV ,
supplies, cost of facilitator, etc.). The Department will reimburse the Contractor for 1/2 of
the partnering workshop expenses as extra work on the next monthly estimate.
5. Partnering Performance. If the partnering agreement is not followed and after reasonable
effmis to salvage it have been unsuccessful, either party may withdraw from the paiinering
agreement by written notice to the other party. The sole remedy for non-performance of the
paiinership shall be termination of the paiinering agreement.
2-2 000--002
05-04
2004 Specifications
SPECIAL PROVISION
000---003
Notice to All Bidders
To report bid rigging activities call:
1-800-424-9071
The U.S. Department of Transportation (DOT) operates the above toll-free "hotline" Monday
through Friday, 8:00 a.m. to 5:00 p.m ., eastern time. Anyone with knowledge of possible bid
rigging, bidder collusion, or other fraudulent activities should use the "hotline" to report such
activities.
The "hotline" is part of the DO T's continuing effo1i to identify and investigate highway
construction contract fraud and abuse and is operated under the direction of the DOT Inspector
General. All information will be treated confidentially and caller anonymity will be respected.
1-1 000---003
05-04
2004 Specifications
SPECIAL PROVISION
000---004
Notice of Requirement for Affirmative Action to Ensure Equal Employment
Opportunity (Executive Order 11246)
1. General. In addition to the affirmative action requirements of the Special Provision titled
"Standard Federal Equal Employment Opportunity Construction Contract Specifications" as
set forth elsewhere in this proposal, the Bidder's attention is directed to the specific
requirements for utilization of minorities and females as set forth below.
2. Goals.
a. Goals for minority and female pruiicipation are hereby established in accordance with
41 CFR 60-4 .
b. The goals for minority and female participation expressed in percentage terms for the
Contractor's aggregate work force in each trade on all construction work in the covered
ru·ea, ru·e as follows:
Goals for minority
participation in
each trade (per-
cent)
See Table 1
Goals for female
participation in
each trade (per-
cent)
6.9
c. These goals are applicable to all the Contractor's construction work (whether or not it is
Federal or federally assisted) performed in the covered area. If the Contractor performs
construction work in a geographical area located outside of the covered area, it shall
apply the goals established for such geographical area where the work is actually
performed. With regard to this second area, the Contractor also is subject to the goals
. for both its federally involved and non-federally involved construction. The .
Contractor 's compliance with the Executive Order and the regulations in 41 CFR Pa.ii
60-4 shall be based on its implementation of the Standard Federal Equal Employment
Opportunity Construction Contract Specifications Special Provision and its efforts to
meet the goals . The hours of minority and female employment and training must be
substantially uniform throughout the length of the contract, and in each trade, and the
Contractor shall make a good faith effo1i to employ minorities and women evenly on
each of its projects. The transfer of minority and female employees or trainees from
Contractor to Contractor or from project to project for the sole purpose of meeting the
Contractor's goals shall be a violation of the contract, the Executive Order and the
regulations in 41 CFR Pa.ii 60-4. Compliance with the goals will be measured against
the total work hours performed.
1-5 000---004
05-04
d. A contractor or subcontractor will be considered in compliance with these provisions
by participation in the Texas Highway-Heavy Branch, AGC, Statewide Training and
Affirmative Action Plan. Provided that each contractor or subcontractor paiiicipating
in this plan must individually comply with the equal opportunity clause set fo1ih in 41
CFR 60-1.4 and must make a good faith effort to achieve the goals set forth for each
participating trade in the plan in which it has employees. The overall good
performance of other contractors and subcontractors toward a goal in an approved plan
does not excuse any covered contractor 's or subcontractor's failure to make good faith
eff01is to achieve the goals contained in these provisions. Contractors or subcontractors
paiiicipating in the plan must be able to demonstrate their participation and document
their compliance with the provisions of this Plan.
3. Subcontracting. The Contractor shall provide written notification to the Department within
10 working days of award of any construction subcontract in excess of$10,000 at any tier
for construction work under the contract resulting from this solicitation pending concu1Tence
of the Depa1iment in the award. The notification shall list the nan1es, address and telephone
number of the subcontractor; employer identification number ; estimated dollar amount of
the subcontract; estimated starting and completion dates of the subcontract; and the
geographical area in which the contract is to be performed.
4. Covered Area. As used in this special provision, and in the contract resulting from this
solicitation, the geographical area covered by these goals for female paiiicipation is the
State of Texas. The geographical area covered by these goals for other minorities are the
counties in the State of Texas as indicated in Table 1.
5. Reports. The Contractor is hereby notified that he may be subject to the Office of Federal
Contract Compliance Programs (OFCCP) reporting and record keeping requirements as
provided for under Executive Order 11246 as amended. OFCCP will provide direct notice
to the Contractor as to the specific rep01iing requirements that he will be expected to fulfill.
2-5 000---004
05-04
County
Anderson
Andrews
Angelina
Aransas
Archer
Armstrong
Atascosa
Austin
Bailey
B a ndera
Bastrop
Baylor
Bee
Bell
Bexar
Blanco
Borden
Bosque
Bowie
Brazoria
Brazos
Brewster
Briscoe
Brooks
Brown
Burleson
Burnet
Caldwell
Calhoun
Callahan
Cameron
Camp
Carson
Cass
Castro
Chambers
Cherokee
Childress
Cl ay
Cochran
Coke
Coleman
. Collin
Collingsworth
Colorado
Comal
Comanche
Table 1
Goals for Minority
Participation County
22.5 Concho
18 .9 Cooke
22 .5 Coryell
44.2 Cottle
11.0 Crane
11.0 Crockett
49.4 Crosby
27.4 Culberson
19 .5 Dallam
49.4 Dallas
24 .2 Dawson
11.0 Deaf Smith
44.2 Delta
16.4 Denton
47 .8 DeWitt
24 .2 Dickens
19.5 Dimmit
18 .6 Donley
19.7 Duval
27 .3 Eastland
23 .7 Ector
49 .0 Edwards
11.0 Ellis
44.2 El Paso
10.9 Erath
27.4 Falls
24.2 Fannin
24 .2 Fayette
27.4 Fisher
11.6 Floyd
71.0 Foar d
20.2 Fort Bend
11.0 Franklin
20 .2 Freestone
11.0 Frio
27.4 Gaines
22 .5 Galveston
11.0 Garza
12.4 Gillespie
19 .5 Glasscock
20.0 Goliad
10 .9 Gonzales
18 .2 Gray
11.0 Grayson
27.4 Gregg .
47 .8 Grimes
10 .9 Guadalupe
3-5
Goals for Minority
Participation
20.0
17 .2
16.4
11.0
18.9
20 .0
19 .5
49.0
11.0
18.2
19.5
11.0
17 .2
18.2
27.4
19.5
49.4
11.0
44.2
10.9
15 .1
49.4
18 .2
57 .8
17.2
18 .6
17.2
27.4
10 .9
19 .5
11.0
27.3
17 .2
18 .6
49.4
19.5
2 8.9
19.5.
49.4
18.9
27.4
49.4
11.0
9.4
22.8
27.4
47 .8
000---004
05-04
Goals for Minority
County Participation
Hale 19 .5
Hall 11.0
Hamilton 18 .6
Hansford 11.0
Hardeman 11.0
Hardin 22 .6
Harris 27.3
Harrison 22 .8
Hartley 11.0
Haskell 10.9
Hays 24.1
Hemphill 11.0
Henderson 22.5
Hidalgo 72 .8
Hill 18.6
Hockley 19 .5
Hood 18 .2
Hopkins 17 .2
Houston 22.5
Howard 18 .9
Hudspeth 49.0
Hunt 17 .2
Hutchinson 11.0
Irion 20.0
Jack 17 .2
Jackson 27.4
Jasper 22.6
Jeff D avis 49 .0
Jefferson 22.6
Jim Hogg 49.4
Jim Wells 44 .2
Johnson 18 .2
Jones 11.6
Karnes 49.4
Kaufman 18 .2
Kendall 49.4
Kenedy 44.2
Kent 10.9
Kerr 49.4
Kimble 20.0
King 19 .5
Kinney 49.4
Kleberg 44 .2
Knox 10 .9
Lamar 20.2
Lamb 19.5
Lampasas 18.6
LaSalle 49.4
County
Lavaca
Lee
Leon
Liberty
Lime stone
Lipscomb
Live Oak
Llano
Loving
Lubbock
Lynn
Madison
Marion
Martin
Mason
Matagorda
Maverick
McCulloch
McLennan
McMullen
Medina
Menard
Midland
Milam
Mills
Mitchell
Montague
Montgomery
Moore
Mmris
Motley
Nacogdoches
Navarro
Newton
Nolan
Nueces
Ochiltree
Oldham
Orange .
Palo Pinto
Panola
Parker
Parmer
Pecos
Polk
Potter
Presidio
Rains
4-5
Goals for Minority
Participation
27.4
24.2
27.4
27.3
18.6
11.0
44 .2
24.2
18 .9
19.6
19.5
27.4
22 .5
18 .9
20.0
27.4
4 9.4
20.0
20 .7
49.4
49.4
20 .0
19 .1
18 .6
18 .6
10 .9
17.2
27.3
11.0
20.2
19 .5
22.5
17 .2
22 .6
10 .9
41.7
11.0
11.0
22.(5
17.2
22 .5
18 .2
11.0
18 .9
27.4
9.3
49.0
17 .2
000---004
05-04
County
Randall
Reagan
Real
Red Ri ver 0:."
Reeves
Refugio
Robe1ts
Robertson
Rockwall
Runnels
Rusk
Sabine
San Augustine
San Jacinto
San Patricio
San Saba
Schleicher
Scurry
Shackelford
Shelby
Sherman
Smith
Somervell
Starr
Stephens
Sterling
Stonewall
Sutton
Swisher
TaiTant
Taylor
Terrell
Ten-y
Throckmo1ton
T itus
Tom Green
Travis
Trinity
. Tyler
Upshur
Upton
Uvalde
Val Verde
Van Zandt
Victoria
Walker
Waller
Ward
Washington
Goals for Minority
Participation
9.3
20 .0
49.4
20.2
18 .9
44.2
11.0
27.4
18.2
20 .0
22 .5
22.6
22.5
27.4
41.7
20 .0
20 .0
10.9
10 .9
22.5
11.0
23.5
17 .2
72 .9
10 .9
20.0
10 .9
20.0
11.0
18.2
11.6
20 .0
19.5
10 .9
20 .2
19.2
24.1
27.4
22 .6
22 .5
18 .9
49.4
49.4
17 .2
27.4
27.4
27 .3
18 .9
27.4
County
Webb
Whaiton
Wheeler
Wichita
Wilbarger
Will acy
William son
Wilson
Winkler
Wise
Wood
Yoakum
Young
Zapata
Zavala
5-5
Goals for Minority
Participation
87.3
27.4
11.0
12.4
11.0
72 .9
24.1
49.4
18 .9
18 .2
22 .5
19.5
11.0
49.4
49.4
000 ---004
05-04
2004 Specifications
SPECIAL PROVISION
000---006
Standard Federal Equal Employment Opportunity Construction Contract
Specifications (Executive Order 11246)
1. As used in these specifications:
a. "Covered area" means the geographical area described in the solicitation from which
this contract resulted;
b. "Director" means Director, Office of Federal Contract Compliance Programs, United
S tates Depa1tment of Labor, or any person to whom the Director delegates authority;
c. "Employer identification number" means the Federal Social Security number used on
the Employer's Quarterly Federal Tax Return, U.S. Treasury Department F01m 941.
d. "Minority" includes:
(i) Black (all persons having origins in any of the Black African racial groups not of
Hispanic origin);
(ii) Hispanic ( all persons of Mexican, Puerto Rican, Cuban, Central or South
American or other Spanish Culture or origin, regardless of race);
(iii) Asian and Pacific Islander (all persons having origins in any of the original peoples
of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands);
and
(iv) American Indian or Alaskan Native (all persons having origins in any of the
original peoples ofN01th American and maintaining identifiable tribal affiliations
through membership and participation or community identification).
2. Whenever the Contractor, or any Subcontractor at any tier, subcontracts a portion of the
work involving any construction trade, it shall physically include in each subcontract in
excess of $10,000 the provisions of these specifications and the Notice which contains the
applicable goals for minority and female participation and which is set forth in the
solicitations from which this contract resulted.
3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved .
by the U .S. Department of Labor in the covered area either individually or through an
association, its affirmative action obligations on all work in the Plan area (including goals
and timetables) shall be in accordance with that plan for those trades which have unions
participating in the Plan. Contractors must be able to demonstrate their participation in and
compliance with the provisions of any such Hometovm Plan. Each Contractor or
Subcontractor pa1ticipating in an approved Plan is individually required to comply with its
1-6 000---006
05-04
obligations under the EEO clause, and to make a good faith effmi to achieve each goal under
the Plan in each trade in which it has employees. The overall good faith performance by
other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any
covered Contractor's or Subcontractor's failure to take good faith effo1is to achieve the Plan
goals and timetables.
4. The Contractor shall implement the specific affirmative action standards provided in
paragraphs 7a through p of these specifications. The goals set forth in the solicitation from
which this contract resulted are expressed as percentages of the total hours of employment
and training of minority and female utilization the Contractor should reasonably be able to
achieve in each construction trade in which it has employees in the covered area. Covered
construction contractors performing contracts in geographical areas where they do not have
a Federal or federally assisted construction contract shall apply the minority and female
goals established for the geographical area where the contract is being performed. Goals are
published periodically in the Federal Register in notice form and such notices may be
obtained from any Office of Federal Contract Compliance Programs office or any Federal
procurement contracting officer. The Contractor is expected to make substantially unif01m
progress toward its goals in each craft during the period specified.
5. Neither the provisions of any collective bargaining agreement, nor the failure by a union
with whom the Contractor has a collective bargaining agreement, to refer either minorities
. or women shall excuse the Contractor's obligations under these specifications, Executive
Order 11246, or the regulations promulgated pursuant thereto.
6. In order for the nonworking training hours of apprentices and trainees to be counted in
meeting the goals, such apprentices and trainees must be employed by the Contractor during
the training period, and the Contractor must have made a commitment to employ the
apprentices and trainees at the completion of their training, subject to the availability of
employment opp01iunities. Trainees must be trained pursuant to training programs
approved by the U.S. Department of Labor.
7. The Contractor shall take specific affirmative actions to ensure equal employment
opportunity. The evaluation of the Contractor's compliance with these specifications shall
be based upon its effort to achieve maximum results from its actions. The Contractor shall
document these efforts fully, and shall implement affirmative action steps at least as
extensive as the following:
a. Ensure and· maintain a working environment free of harassment, intimidation , and
coercion at all sites, and in all facilities at which the Contractor's employees are
assigned to work. The Contractor, where possible, will assign two or more women to
each construction project. The Contractor shall specifically ensure that all foremen,
superintendents, and other on-site supervisory personnel are aware of and cany out the
Contractor's obligation to maintain such a working environment, with specific attention
to minority or female individuals working at such sites or in such facilities.
b. Establish and maintain a cunent list of minority and female recruitment sources,
provide written notification to minority and female recruitment sources and to
community organizations when the Contractor or its unions have employment
opportunities available, and maintain a record of the organizations' responses.
2-6 000---006
05-04
c. Maintain a cmTent file of the names, addresses and telephone numbers of each minority
and female off-the-street applicant and minority or female referral from a union, a
recruitment source or community organization and of what action was taken with
respect to each such individual. If such individual was sent to the union hiring hall for
refenal and was not referred back to the Contractor by the union or, if referred, not
employed by the Contractor, this shall be documented in the file with the reason
therefor, along v.rith whatever additional actions the Contractor may have taken.
d. Provide immediate written notification to the Director when the union or unions with
which the Contractor has a collective bargaining agreement has not refe1Ted to the
Contractor a minority person or woman sent by the Contractor, or when the Contractor
has other information that the union referral Process has impeded the Contractor's
efforts to meet its obligations .
e. Develop on-the-job training opportunities and/or participate in training programs for
the area which expressly include minorities and women, including upgrading programs
and apprenticeship and trainee programs relevant to the Contractor's employment
needs, especially those programs funded or approved by the Depaiiment of Labor. The
Contractor shall provide notice of these programs to the sources compiled under 7b
above.
f. Disseminate the Contractor's EEO policy by providing notice of the policy to unions
and training programs and requesting their cooperation in assisting the Contractor in
meeting its EEO obligations; by including it in any policy manual and Collective
bargaining agreement; by publicizing it in the company newspaper, annual report, etc.;
by specific review of the policy with all management personnel and with all minority
and female employees at least once a year; and by posting the company EEO policy on
bulletin boards accessible to all employees at each location where construction work is
perfonned.
g. Review, at least ammally, the company's EEO policy and affirmative action obligations
under these specifications with all employees having any responsibility for hiring,
assigmnent, layoff, termination or other employment decisions including specific
review of these items with onsite supervisory personnel such as Superintendents,
General Foremen, etc., prior to the initiation of construction work at any job site. A
written record shall be made ai1d maintained identifying the time ai1d place of these
meetings, persons attending, subject matter discussed, and disposition of the subject
matter.
h. Disseminate the Contractor's EEO policy externally by including it in any advertising in
the news media, specifically including minority and female news media, and providing
written notification to and discussing the Contractor's EEO policy with other
Contractors and Subcontractors with whom the Contractor does or anticipates doing
business.
i. Direct its recruitment efforts, both oral and written, to minority, female and community
organizations, to schools with minority and female students and to minority and female
recruitment and training organizations serving the Contractor's recruitment area and
employment needs. Not later than one month prior to the date for the acceptance of
3-6 000---006
05-04
applications for apprenticeship or other training by any recruitment source, the
Contractor shall send written notification to organizations such as the above, describing
the openings, screening procedures, and tests to be used in the selection process .
j. Encourage present minority and female employees to recruit other minority persons and
women and, where reasonable, provide after school, summer and vacation employment
to minority and female youth both on the site and in other areas of a Contractor's
workforce.
k. Validate all tests and other selection requirements where there is an obligation to do so
under 41 CFR Pait 60-3.
l. Conduct, at least annually, an inventory and evaluation at least of all minority and
female personnel for promotional opp01tunities and encourage these employees to seek
or to prepare for, through appropriate training, etc., such opportunities.
m. Ensure that seniority practices, job classifications, work assignments and other
personnel practices, do not have a discriminatory effect by continually monitoring all
personnel and employment related activities to ensure that the EEO policy and the
Contractor's obligations under these specifications are being carried out.
n. Ensure that all facilities and company activities are non-segregated except that separate
or single-user toilet and necessary changing facilities shall be provided to assure
privacy between the sexes.
o. Document and maintain a record of all solicitations of offers for subcontracts from
minority and female construction contractors and suppliers, including circulation of
solicitations to minority and female contractor associations ai1d other business
associations.
p. Conduct a review, at least annually, of all supervisors' adherence to and performance
under the Contractor's EEO policies and affirmative action obligations.
8. Contractors are encouraged to paiticipate in voluntary associations which assist in fulfilling
one or more of their affirmative action obligations (7a through p). The efforts of a contractor
association, joint contractor-union, contractor-community, or other similar group of which
the contractor is a member and participant, may be asserted as fulfilling any one or more of
its obligations under 7a through p of thes.e Specifications provided that the contractor
actively participates in the group, makes every effort to assure that the group has a positive
impact on the employment of minorities and women in the industry, ensures that the
concrete benefits of the program are reflected in the Contractor's minority and female
workforce participation, makes a good faith effo1t to meet its individual goals and
timetables, arid can provide access to documentation which demonstrates the effectiveness
of actions taken on behalf of the Contractor . The obligation to comply, however, is the
Contractor's and failure of such a group to fulfill an obligation shall not be a defense for the
Contractor's noncompliance.
9. A single goal for minorities and a separate single goal for women have been established.
The Contractor, however, is required to provide equal employment oppo1tunity and to take
affirmative action for all minority groups, both male and female, and all women, both
4-6 000---006
05-04
minority and non-minority. Consequently, the Contractor may be in violation of the
Executive Order if a particular group is employed in a substantially disparate manner (for
example, even though the Contractor has achieved its goals for women generally, the
Contractor may be in violation of the Executive Order if a specific minority group of women
is underutilized).
10. Nondiscrimination progran1s require that Federal-aid recipients, subrecipients, and
contractors prevent discrimination and ensure nondiscrimination in all of their programs and
activities, whether those programs and activities are federally funded or not. The factors
prohibited from serving as a basis for action or inaction which discriminates include race,
color, national origin, sex , age, and handicap/disability. The efforts to prevent
discrimination must address, but not be limited to a program's impacts, access, benefits ,
participation, treatment, services, contracting oppo1iunities, training opportunities,
investigations of complaints, allocations of funds, prioritization of projects, and the
functions of right-of-way, research, planning, and design.
11. The Contractor shall not enter into any Subcontract with any person or firm debarred from
Government contracts pursuant to Executive Order 11246.
12. The Contractor shall caiTy out such sanctions and penalties for violation of these
specifications and of the Equal Opportunity Clause, including suspension, termination and
cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive
Order 11246, as amended, and its implementing regulations, by the Office of Federal
Contract Compliance Programs. Any contractor who fails to caiTy out such sanctions and
penalties shall be in violation of these specifications and Executive Order 11246, as
amended.
13. The Contractor, in fulfilling its obligations under these specifications, shall implement
specific affim1ative action steps, at least as extensive as those standards prescribed in
paragraph 7 of these specifications, so as to achieve maximum results from its efforts to
ensure equal employment opp01iunity . If the Contractor fails to comply with the
requirements of the Executive Order, the implementing regulations, or these specifications,
the Director shall proceed in accordance with 41 CFR 60-4.8.
14. The Contractor shall designate a responsible official to monitor all employment related
activity to ensure that the company EEO policy is being carried out, to submit reports
relating to the provisions hereof as may be required by the Govenunent and to keep records.
Records shall at least include for each employee the name, address, telephone munbers , .
construction trade, union affiliation if any, employee identification number when assigned,
social security number, race, sex , status (e.g., mechanic, apprentice, trainee, helper, or
laborer), dates of changes in status, hours worked per week in the indicated trade, rate of
pay, and locations at which the work was performed. Records shall be maintained in an
easily understandable and retrievable form; however, to the degree that existing records
satisfy this requirement, contractors shall not be required to maintain separate records.
15. Nothing herein provided shall be construed as a limitation upon the application of other laws
which establish different standards of compliance or upon the application of requirements
for the hiring of local or other area residents (e .g., those under the Public Works
Employment Act of 1977 and the Community Development Block Grant Program).
5-6 000---006
05-04
16. In addition to the reporting requirements set f01th elsewhere in this contract, the Contractor
and the subcontractors holding subcontracts , not including material suppliers, of $10,000 or
more, shall submit for every month of July during which work is per-formed, employment
data as contained under Form PR 1391 (Appendix C to 23 CFR, Part 230), and in
accordance with the instructions included thereon.
6-6 000---006
05-04
2004 Specifications
SPECIAL PROVISION
000---009
Certification of Nondiscrimination in Employment
By signing this proposal, the bidder certifies that he has participated in a previous contract or
subcontract subject to the equal opportunity clause, as required by Executive Orders 10925,
11114, or 11246, or ifhe has not participated in a previous contract of this type, or if he has had
previous contract or subcontracts and has not filed, he will file with the Joint Reporting
Committee, the Director of the Office of Federal Contract Compliance, a Federal Government
contracting or administering agency, or the f01mer President's Committee on Equal Employment
Opp01tunity, all reports due under the applicable filing requirements.
· Note: The above certification is required by the Equal Employment Opportunity Regulations of
the Secretary of Labor (41 CFR 60-l.7(b)(l)), and must be submitted by bidders and proposed
subcontractors only in connection with contracts and subcontracts which are subject to the equal
oppo1tunity clause. Contracts and subcontracts which are exempt from the equal opp01iunity
clause are set fotih in41 CFR 60-1.5. (Generally only contracts or subcontracts of$10,000 or
under are exempt.)
CUtTently, Standard Form 100 (EE0-1) is the only repo1i required by the Executive Orders or
their implementing regulations.
Proposed prime contractors and subcontractors who have participated in a previous contract or
subcontract subject to the Executive Orders and have not filed the required repotis should note
that 41 CFR 60-1. 7 (b )( 1) prevents the award of contracts and subcontracts unless such contractor
submits a rep01i covering the delinquent period or such other period specified by the Federal
Highway Administration or by the Director, Office of Federal Contract Compliance, U.S.
Department of Labor.
1-1 000---009
04-04
2004 Specifications
SPECIAL PROVISION
000---011
Department Division Mailing and Physical Addresses
For this project, Item 000, "Depa1iment Division Mailing and Physical Addresses," of the
Standard Specifications, is hereby amended with respect to the clauses cited below, and no other
clauses or requirements of this Item are waived or changed hereby.
Use the information in Table 1 to contact the Department Divisions referenced in the Standard
Specifications or Special Provisions and Special Specifications in the Contract. This listing is for
the purposes of providing addresses for transmission of info1mation in accordance with the
specifications. Unless otherwise stated in the specifications, address all correspondence and
transmission of infmmation to the Engineer responsible for the oversight of construction. Submit
bidding documents to the location shown in the official advertisement. Address changes will be
posted on the Depaiiment's Internet site at http://www.dot.state.tx.us/.
Table 1
Department Division Mailing and Physical Addresses
Division/Section Name
Bridge Division
Construction Division
U.S. Post Office Address
Texas Department of
Transportation
Bridge Division
125 E 11 tl, Street
Austin TX 78701-2483
Construction Section Texas Department of
Transportation
Construction Division
Construction Section
200 E. Riverside Drive
Austin TX 78704
Materials & Pavements Section Texas Department of
Transpo1iation
. Construction Division
Materials & Pavements
(CP51)
125 E 11 t1, Street
Austin TX 78701-2483
1-2
Physical Address
Bridge Division
Fabrication Branch
118 E. Riverside Dr.
Austin, Texas 78704
(512) 416-2187
Construction Division
200 E . Riverside Dr.
1st floor, l B. l
Austin, TX 78704
(512) 416-2490
1-800-687-3525
Construction Division
Materials & Pavements
Cedar Park Campus, Bldg. 51
9500 Lake Creek Parkway
Austin, TX 78717
512-506-5800
000---011
09-04
Division/Section Name
Maintenance Division
Maintenance Section
Vegetation Management Section
Traffic Operations Division
Traffic Operations Division
Traffic Engineering
Traffic Management-ITS Branch
Traffic Management-
Signal/Radio Branch
U.S. Post Office Address
Texas Department of
Transportation
Maintenance Division
Maintenance Section
125 E 11th Street
Austin, TX 78701
Texas Department of
Transportation
Maintenance Division
Vegetation Management Section
125 E 11 tl, Street
Austin, TX 78701
Texas Department of
Transportation
Traffic Operations Division
125 E 1 (' Street
Austin TX 78701
Texas Department of
Transportation
Traffic Operations Division
Traffic Engineering Section
125 E 11 tl, Street
Austin TX 78701
Texas Department of
Transportation
Traffic Operations Division
Traffic Management Section
125 E 11 tl, Street
Austin TX 78701
Texas Department of
Transportation
Traffic Operations Division
Traffic Management Section-
Signal/Radio Branch
125 E 11th Street
Austin TX 78701
2-2
Physical Address
Maintenance Division
Maintenance Section
150 East Riverside Drive
Fourth Floor, North Tower
Austin, TX 78704
(512) 416-3185
Maintenance Division
Vegetation Management Section
150 East Riverside Drive
Fourth Floor, North Tower
Austin, TX 78704
(512) 416-3093
Texas Department of
Transportation
Traffic Operations Division
200 E. Riverside
Bldg. 118
Austin, Texas 78704
512-416-3200
Texas Department of
Transpo1iation
Traffic Operations Division
Traffic Engineering Section
200 E. Riverside
Bldg. 118
Austin, Texas 78704
(512) 416-3118
Texas Department of
Transportation
Traffic Operations Division
Traffic Management Section
Cedar Park Campus, Bldg. 51
9500 Lake Creek Parkway
Austin, TX 78717
512-506-5100
Texas Department of
Transportation
Traffic Operations Division
Traffic Management Section-
Signal/Radio Branch
Cedar Park Campus, Bldg. 51
9500 Lake Creek Parkway
Austin, TX 78717
512-506-5100
000---011
09-04
2004 Specifications
SPECIAL PROVISION
000---461
Disadvantaged Business Enterprise in Federal-Aid Construction
1. Description. The purpose of this Special Provision is to carry out the U.S. Department of
Transportation's (DOT) policy of ensuring nondiscrimination in the award and
administration of DOT assisted contracts and creating a level playing field on which firms
owned and controlled by individuals who are determined to be socially and economically
disadvantaged can compete fairly for DOT assisted contracts. If the Disadvantaged
Business Enterprise (DBE) goal is greater than zero, Article A, "Disadvantaged Business
Enterprise in Federal-Aid Construction", of this Special Provision shall apply to this
contract. If there is no DBE goal, Article B, "Race-Neutral DBE Participation", of this
Special Provision shall apply to this contract. The percentage goal for DBE participation in
the work t9 be performed under this contract will be shown on the proposal.
A. Article A. Disadvantaged Business Enterprise in Federal-Aid Construction.
1. Policy. It is the policy of the DOT and the Texas Department of Transpo1iation
(hencef01ih the "Depaiiment") that DBEs, as defined in 49 CFR Part 26, Subpart
A and the Depa1iment's DBE Program, shall have the opportunity to pa1iicipate in
the performance of contracts financed in whole or in part with Federal funds. The
DBE requirements of 49 CFR Part 26, and the Depaiiment's DBE Prog1;am, apply
to this contract as follows :
a. The Contractor will solicit DBEs through reasonable and available. means, as
defined in 49 CFR Part 26, Appendix A and the Department's DBE Program,
or show a good faith effort to meet the DBE goal for this contract.
b. The Contractor, subrecipient or subcontractor shall not discriminate on the
basis of race, color, national origin, or sex in the performance of this contract.
The contractor shall carry o~t applicable ·req~ireme11ts o'r 49 CFR Part' 26 in
the award and administration of DOT-assisted contracts .. Failure by the
contractor to carry out these requirements is a material breach of this contract,
which may result in the termination of this contract or such other remedy as
the recipient deems appropriate.
c. The requirements of this Special Provision .shall be physically included in any
subcontract.
d. By signing the contract proposal, the Bidder is certifying that the DBE goal as
stated in the proposal will be met by obtaining commitments from eligible
DB Es or that the Bidder will provide acceptable evidence of good faith effort
to meet the commitment. The Depa1iment will determine the adequacy of a
Contractor's efforts to meet the contract goal, within 10 business days,
1-11 000---461
_ 02-06
excluding national holidays, from receipt of the information outlined in this
Special Provision under Section l .A.3, "C.ontractor's Responsibilities." If the
requirements of Section 1.A.3 are met, the conditional situation will be
removed and the contract will be forwarded to the Contractor for execution.
2. Definitions.
a. "Department" means the Texas Department of Transportation.
b. "DOT" means the U.S. Department of Transportation, including the Office of
the Secretary, the Federal Highway Administration (FHWA), the Federal
Transit Administration (FTA), and the Federal Aviation Administration (FAA).
c. "Federal-Aid Contract" is any contract between the Texas Department of
Transportation and a Contractor which is paid for in whole or in part with DOT
financial assistance.
d. "DBE Joint Venture" means an association of a DBE firm and 1 or more other
firm(s) to carry out a single business enterprise for profit for which purpose
they combine their property, capital, efforts; skills and knowledge, and in
which the DBE is responsible for a distinct, clearly defined portion of the work
of the contract and whose share in the capital contribution, control,
management, risks, and profits of the joint venture are commensurate with its
ownership interest.
e. "Disadvantaged Business Enterprise" or "DBE" means a firm certified
through the Texas Unified Ce1iification Program in accordance with 49 CFR
Part 26 .
f. "Good Faith Effort" means efforts to achieve a DBE goal or other requirement
of this Special Provision which, by their scope, intensity, and appropriateness
to the objective, can reasonably be expected to fulfill the program requirement.
g. "Manufacturer" is a firm that operates or maintains a factory or establishment
that produces, on the premises, the materials, supplies, articles, or equipment
required under the contract and of the general character described by the
specifications."
h. "Regular Dealer" is a firm that owns, operates, or maintains a store,
warehouse, or other establishment in which the materials, supplies, articles or
equipment of the general character described by the specifications and required
under the contract are bought, kept in stock, and regularly sold or leased to the
public in the usual course of business. To be a regular dealer, the firm must be
an established, regular business that engages · in, as its principal business and
under its own name, the purchase and sale o_r lease of the products in question.
A regular dealer in such bulk items as steel, cement, gravel, stone, and
petroleum products need not keep such products in stock if it owns and
operates distribution equipment for the products. Any supplementing of
regular dealers own distribution equipment shall be by a long-term lease
agreement and not on an ad hoc or contract-by-contract basis. Brokers,
2-11 000---461
02-06
-
packagers, manufacturers' representatives, or other persons who arrange or
expedite transactions shall not be regarded as a regular dealer.
i. "Broker" is an intermediary or middleman that does not take possession of a
commodity or act as a regular dealer selling to the public.
j. "Race-neutral DBE Pa1ticipation" means any participation by a DBE through
customary competitive procurement procedures.
k. "Race-conscious" means a measure or program that is focused specifically on
assisting only DBEs, including women-owned businesses.
I. "Texas Unified Certification Program" or "TUCP" provides one-stop shopping
to applicants for certification, such that applicants are required to apply only
once for a DBE certification that will be honored by all recipients of federal
funds in the state. The TUCP by Memorandum of Agreement established six
member entities to serve as certifying agents for Texas in specified regions.
3. Contractor's Responsibilities. These requirements must be satisfied by the
Contractor.
a. After conditional award of the contract, the Contractor shall submit a
completed Form No.SMS.4901, "DBE Commitment Agreement" for each
DBE he/she intends to use to satisfy the DBE goal or a good faith effort to
explain why the goal could not be reached, so as to arrive in the Department's
Business Opportunity Programs (BOP) Office in Austin, Texas not later than
5:00 p.m . on the 10 1h business day, excluding national holidays, after the
condit_ional award of the contract W~en _1:equest~d,_addWonal ti):Ile, not to
exceed 7 business days, excluding national holidays, may be granted based on
documentation submitted by the Contractor.
b. DBE prime Contractors may receive credit toward the DBE goal for work
performed by his/her own forces and work subcontracted to DBEs. A DBE
prime must make a good faith effort to meet the goals. In the event a DBE
prime subcontracts to a non-DBE, that information must be reported on Form
No. SMS.4902.
c. A Contractor who cannot meet the contract goal, in whole or in part, shall
make adequate good faith efforts to obtain DBE participation as so stated and
defined in 49 CFR Part 26, Appendix A. The following is a list of the types of
action that may be considered as good faith efforts. It is not intended to be a
mandatory checklist, nor is it intended to be exclusive or exhaustive. Other
factors or types of efforts may be relevant in appropriate cases.
• Soliciting through all reasonable and available means (e.g. attendance at
prebid meetings, advertising, and/or written notices) the interest of all
ce1tified DB Es who have the capability to perform the work of the
contract. The solicitation must be done within sufficient time to allow the
DBEs to respond to it. Appropriate steps must be taken to follow up initial
solicitations to determine, with certainty, if the DBEs are interested.
3-11 000---461 .
02-06
-
-
• Selecting portions of the work to be performed by DB Es in order to
increase the likelihood that the DBE goals will be achieved. This includes,
where appropriate, breaking out contract work items into economically
feasible units to facilitate DBE participation, even when the Contractor
might otherwise prefer to perform the work items with its own forces.
• Providing interested DB Es with adequate information about the plans,
specifications; and requirements of the contract in a timely manner to
assist them in responding to a solicitation.
• Negotiating in good faith with interested DB Es to make a portion of the
work available to DBE subcontractors and suppliers and select those
portions of the work or material needs consistent with the available DBE
subcontractors and suppliers, so as to facilitate DBE participation.
Evidence of such negotiations includes the names, addresses, and
telephone numbers of DB Es that were considered; a description of the
information provided regarding the plans and specifications for the work
selected for subcontracting; and evidence as to why additional agreements
could not be reached for DBEs to perform the work.
• A Bidder using good business judgment would consider a number of
factors in negotiating with subcontractors, including DBE subcontractors,
and would take a firm price and capabilities as well as contract goals into
consideration. However, the fact that there may be some additional cost
involved in finding and using DBEs is not in itself sufficient reason for a
bidders failure to meet the Contract DBE goal as long as such cost are
reasonable. Also, the ability or desire of the Contractor to perform the
work of the Contract with its own organization does not relieve the Bidder
of the responsibility to make good faith effort. Contractors are not; ·
however, required to accept higher quotes from DBEs if the price
difference is excessive or unreasonable.
• Not rejecting DBEs as being unqualified without sound reasons based on a
thorough investigation of their capabilities. The Contractor's standing
within its industry, membership in specific groups, organizations, or
associations and political or social affiliations (for example union vs. non-
union employee status) are not legitimate cause for the rejection or non-
solicitation of bids and the Contractors efforts to meet the project goal.
• Making efforts to assist interested DBEs in obtaining bonding, lines of
credit, or insurance as required by the recipient or Contractor.
• Making efforts to assist interested DBEs in obtaining necessary
equipment, supplies, materials, or related assistance or services.
• Effectively using the services of available minority/women community
organizations; minority/women Contractors' groups; local, state, and ·
Federal minority/women business assistance offices;;and other · · · ·· ·
organizations as allowed on a case-by-case basis to provide assistance in
the recruitment and placement of DB Es.
• If the Program Manager of the BOP Office determines that the Contractor
has failed to meet the good faith effort requirements, the Contractor will
4-11 000---461
02-06
be given an opportunity for reconsideration by the Director of the BOP
Office.
d. Should the bidder to whom the contract is conditionally awarded refuse,
neglect or fail to meet the DBE goal or comply with good faith effort
requirements, the proposal guaranty filed with the bid shall become the
property of the state, not as a penalty, but as liquidated damages to the
Department.
e . The preceding information shall be submitted directly to the Business
Opportunity Programs Office, Texas Department of Transportation, 125 E.
11th Street, Austin, Texas 78701-2483.
f. · The Contractor shall not terminate for convenience a DBE subcontractor
named in the commitment submitted under Section l.A.3.a. of this Special
Provision. Prior to terminating or removing a DBE subcontractor named in the
commitment, the Contractor must have a written consent of the Department.
g . The Contractor shall also make a good faith effo1t to replace a DBE
subcontractor that is unable to perform successfully with another DBE, to the
extent needed to meet the contract goal. The Contractor shall submit a
completed Form No.4901, "DBE Commitment Agreement," for the substitute
DBE firm(s). Any substitution of DBEs shall be subject to approval by the
Department. Prior to approving the substitution, the Department will request a
statement from the DBE concerning it being replaced.
h. The Contractor shall designate a DBE liaison officer who will administer the
Contractor's DBE program and who wiH be respons.ible for mainterni,nce of
records of efforts and contacts made to subcontract with DB Es.
i. Contractors are encouraged to investigate the services offered by banks owned
and controlled by disadvantaged individuals and to make use of these banks
where feasible .
4. Eligibility of DBEs.
a. The member entities of the TUCP certify the eligibility of DBEs andl;)BE
joint ventures to perform DBE subcontract work on DOT financially assisted
contracts.
b. The Department maintains the Texas Unified Certification Program DBE
Directory containing the names of firms that have been certified to be eligible
to participate as DBE's on DOT financially assisted contracts. This Directory
is available from the Department's BOP Office. An update of the Directory
can be found on the Internet at
http://www.dot.state.tx.us/business/tucpinfo.htm;
c. Only DBE firms certified at the time commitments are submitted are eligible
to be used in the information furnished by the Contractor as required under
Section 1.A.3.a. and 3.g. above. For purposes of the DBE goal on this project,
5-11 000---461
02-06
-
DB Es will only be allowed to perform work in the categories of work for
which they are certified.
d. Only DBE firms certified at the time of execution of a
contract/subcontract/purchase order, are eligible for DBE goal participation.
5. Determination of DBE Participation. When a DBE pa1ticipates in a contract,
only the values of the work actually performed by the DBE, as referenced below,
shall be counted by the prime contractor toward DBE goals:
a. The total amount paid to the DBE for work performed with his/her own forces
is counted toward the DBE goal. When a DBE subcontracts part of the work
of its contract to another firm, the value of the subcontracted work may be
counted toward DBE goals only if the subcontractor is itself a DBE. Work
that a DBE subcontracts to a non-DBE firm does not count toward DBE goals.
b. A Contractor may count toward its DBE goal a po1tion of the total value of
the contract amount paid to a DBE joint venture equal to the distinct, clearly
defined portion of the work of the contract performed by the DBE.
(1) A Contractor may count toward its DBE goal only _expenditures to DBEs
that perform a commercially useful function (CUF) in the work of a
contract or purchase order. A DBE is considered to perform a CUF
when it is responsible for execution of the work of the contract and is
carrying out its responsibilities by actually performing, managing, and
supervising the work involved. To perform a CUF, the DBE must also
be responsible, with respect to materials and supplies used on the
contract, for negotiating price, determining quality and quantity,
ordering the material, and installing (where applicable) and paying for
the material itself.
In accordance with 49 CFR Part 26, Appendix A, guidance concerning
Good Faith Efforts, contractors may make efforts to assist interested
DBEs in obtaining necessary equipment, supplies, materials, or related
assistance or services. Contractors may not however, negotiate the price
of materials or supplies used on the contract by the· DBE, nor may they ·
determine quality and quantity, order the materials themselves, nor
install the materials ( where applicable), or pay forthe material
themselves. Contractors however, may share the quotations they receive
from the material supplier with the DBE firm, so that the DBE firm may
negotiate a reasonable price with the material supplier.
In all cases, prime or other subcontractor assistance will not be
credited toward the DBE goal.
(2) A DBE does not perform a CUF if its role is limited to that of an extra
participant in a transaction, contract, or project through which funds are
passed in order to obtain the appearance of DBE participation.
6-11 000---461 .
. ... . .. .. 02-06 .
(3)
Consistent with industry practices and the DOT/Department's DBE
program, a DBE subcontractor may enter into second-tier subcontracts,
amounting up to 70% of their contract. Work subcontracted to a non-
DBE does not count towards DBE goals. If a DBE does not perform or
exercise responsibility for at least 30% of the total cost of its contract
with its own work force, or the DBE subcontracts a greater portion of
the work of a contract than would be expected on the basis of normal
industry practice for the type of work involved, it will be presumed that
the DBE is not performing a CUF
A DBE trucking firm (including an owner operator who is certified as a
DBE is considered to be performing a CUF when the DBE is responsible
for the management and supervision of the entire trucking operation on a
particular contract and the DBE itself owns and operates at least 1 fully
licensed, insured , and operational truck used on the contract.
(a) The Contrac tor receives credit for the total value of the
transportation services the DBE provides on a contract using trucks
it owns, insures , and operates using drivers it employs .
(b) The DBE may lease trucks from another DBE firm, including an
owner operator who is certified as a DBE. The DBE who leases
trucks from another DBE receives credit for the total value of the
transportation services the lessee DBE provides on the Contract.
(c) The DBE may also lease trucks from a non-DBE firm, including
from an owner-operator. The DBE who leases trucks from a non-
DBE is entitled to credit for the total value of transportation
services provided by non-DBE lessees not to exceed the value of
transportation services provided by the DBE-owned trucks on the
contract. Additional participation by non-DBE lessees receive
credit only fo r the fee or commission it receives as result of the
lease arrangement
( d) A lease must indicate that the DBE has exclusive use of and
control over the trucks giving the DBE absoh1te priority for use of
the leased trucks. Leased trucks must display the name and
id e ntification number of the DBE. ·
(4) When a DBE is presumed not to be performing a CUF the DBE may
present evidence to rebut this presumpt ion.
I
c. A Contractor may count toward its DBE goals expenditures for materials and
supplies obtained from a DBE m~nµfactµre.r, proyid.e.d.t'1.at the .DBE iJ.SSl,llJ]e~
the actual and contractual responsibility for the materials and supplies. Count
expenditures with DBEs for materials or supplies toward DBE goals as
provided in the following:
7-11 000---461
02-06 ·
. ····-·······-···-· ~-··-···-····-·· ·-··----···-·---·· ··-·-···-·····-···
(1) If the materials or supplies are obtained from a DBE manufacturer, count
100% of the cost of the materials or supplies toward DBE goals.
(Definition of a DBE manufacturer found at IA.c.(1) of this provision.)
For purposes of this Section (1.A.c.(1)), a manufacturer is a firm that
operates or maintains a factory or establishment that produces, on the
premises, the materials, supplies, articles, or equipment required under the
contract and of the general character described by the specifications.
(2) If the materials or supplies are purchased from a DBE regular dealer,
count 60% of the cost of the materials or supplies toward DBE goals.
For purposes of this Section (l.A.5 .c.(2)), a regular dealer is a firm that
owns, operates, or maintains a store, warehouse, or other establishment in
which the materials, supplies, articles or equipment of the general
character described by the specifications and required under the contract
are bought, kept in stock, and regularly sold or leased to the public in the
usual course of business:
(A) To be a regular dealer, the firm must be an established, regular
business that engages, as its principal business and under its own
name, in the purchase and sale or lease of the products in question.
(B) A person may be a regular dealer in such bulk items as petroleum
products, steel, cement, gravel, stone or aspµalt without owni1;g,
operating, or maintaining a place of business as provided in the first
paragraph under Section 1.A.5.c .(2), if the person both owns and
operates distribution equipment for the products. Any supplementing
of regular dealers' own distribution equipment shall be by a long-term
lease agreement and not on an ad hoc or contract-by-contract basis.
(C) Packagers, brokers, manufacturers' representatives, or other persons
who arrange or expedite transactions are not regular dealers within the
meaning of Section 1.A.5.c.(2). · ·• · · -· · ·
(3) With respect to materials or supplies purchased from DBE which is
neither a manufacturer nor a regular dealer, count the entire amount of
fees or commissions charged for assistance in the procurement of the
materials and supplies, or fees or transportation charges for the delivery of
materials or supplies required on a job site, toward DBE goals, provided
you determine the fees to be reasonable and not excessive as compared
with fees customarily allowed for similar services. Do not count any
portion of the cost of the materials and supplies themselves toward DBE
goals.
(4) Count the entire amount of fees or commissions charged by a DBE firm
for providing a bona fide service, such as professional, technical,
consultant or manageri a l services, or for providing bonds or insurance
8-11 000---461
02-06
specifically required for the performance of a DOT-assisted contract,
toward DBE goals , provided you determine the fee to be reasonable and
not excessive as compared with fees custom arily allowed for similar
services .
d. If the Contractor chooses to assist a DBE firm , other than a manufacturing
material supplier or regular dealer, and the DBE firm accepts the assistance,
the Contractor may act solely as a guarantor by use of a two-party check for
payment of materials to be used on the project by the DBE. The material
supplier must invoice the DBE who will present the invoice to the Contractor.
The Contractor may issue a joint check to the DBE and the material supplier
and the DBE firm must issue the remittance to the material supplier. No funds
shall go directly from the Contractor to the material supplier. The DBE firm
may accept or reject this joint checking arrangement.
The Contractor must obtain approval from the Department prior to
implementing the use of joint check arrangements with the DBE. Submit to
the Department, Joint Ch eck Approval Form 2178 for requesting approval.
Provide copies of cancell ed joint checks upon request. No DBE goal credit
will be allowed for the co st of DBE materials that are paid by the Contractor
directly to the material supplier.
e. No DBE go a l credit will be allowed for supplies and equipment the DBE
subcontractor leases from the contractor or its affiliates.
f. No DBE goal credit will be allowed for the period oftime determined by the
Department that the DBE was not performing a CUF. The denial period of
time may occur before or after a determination has been made by the
department. In case of the denial of credit for non -performance of a CUF of a
DBE, the Contractor will be required to provide a substitute DBE to meet the
contract goal or provide an adequ ate good faith effort when applicable.
6. Records and Reports.
a . The Contractor shall submit monthly reports, after woi·k begins; on DBE
payments to meet the DBE goal and for DBE or HUB race-neutral
participation . Report payments made to non-DBE HUBs. The monthly rep011
is to be sent to the Area Engineer. These reports will be due within 15 days
after the end of a calendar month. These reports will be required until all DBE
subcontracting or materi,ll supply activity is completed. Form No. SMS.4903,
"DBE or HUB Progress Re port," is to be used for monthly reporting. Form
No . SMS.4904, "DBE or HUB Final Report," is to be used as a final summary
of DBE payments submitted upon completion of the project. The original final ·
report must be submitted to the Business Opportunity Programs Office and a
copy must be submitted to the Area Engineer. These forms may be obtained
from the Depa rtment or may be reproduced by the Contractor. The
Department may verify the amounts being reported as paid to DBEs by
requesting copies of cancelled checks paid to DB Es on a random basis.
9-11 000---461
02-06
2004 Specifications
SPECIAL PROVISION
000--1001
On-the-Job Training Program
1. Description. Texas Depa1iment of Transportation's (TxDOT's) program to meet the
requirements of the Federal-Aid Highway Act of 1968 and 23 CFR (Code of Federal
Regulations) Part 230, Subpart A. The objective is to develop skill improvement programs to
provide opportunities for unskilled workers, particularly minorities, women, and
disadvantaged persons, to acquire training in the skilled construction trades.
2. Trainee Assignment. TxDOT's Office of Civil Rights will allocate training assignments to
prequalified contractors based on the past contract volume of federal-aid work performed
with TxDOT. TxDOT will notify each contractor who has met the volume of work threshold
at the beginning of each reporting year and advise them of the number of trainees they are
expected to support.
3. Program Requirements. Contractors found to have reached the level(s), as identified in the
TxDOT On-The-Job Training (OJT) program document, are required to fulfill all of the
requirements of the OJT program at no additional cost to the department other than
contractor requested reimbursement of $0.80 per hour for a trainee.
The contractors are required to compensate the trainee at least 60% of the appropriate
minimum journeyman's rate specified in the contract for the first half of the training period,
75% for the third quarter of the training period and 90% for the last quarter of the training
period.
Contractors will promptly notify pertinent project engineers of the trainee's work location in
sufficient time to allow for observation or interviews .
The program document is available through the TxDOT Office of Civil Rights Contract
Compliance Section at 125 E. 11th Street, Austin, Texas 78701.
4. Non-Compliance. A contractor's failure to comply with the requirements of this Special
Provision shall constitute a material breach of this contract. In such a case, the department
reserves the right to terminate the contract, assess liquidated damages, or such other remedy
or remedies as the department deems appropriate.
1-1 000--1001
05-07
2004 Specifications
SPECIAL PROVISION
000--1002
Schedule of Liquidated Damages
For Amount of Original Contract Amount of Daily Contract
Administration Liquidated
Damages per Working Day From More Than
$0
300,000
1,000,000
5,000,000
10,000,000
17,500,000
To and Including
300,000
1,000,000
5,000,000
10,000,000
17,500,000
Over 17,500,000
1 -1
400
500
800
1100
1600
2100
000 --1002
05 -07
2004 Specifications
SPECIAL PROVISION
003---026
Award and Execution of Contract
For this project, Item 003, "Award and Execution of Contract," of the Standard Specifications, is
hereby amended with respect to the clauses cited below, and no other clauses or requirements of
this Item are waived or changed hereby.
Article 3.4, Execution of Contract, Section B, Bonds is supplemented by the following:
Provide a retainage bond in the amount of 10% of the total amount paid on the contract. The
retainage bond is to be used as a guaranty for the protection of any claimants and the Department
for overpayments, liquidated damages, and other deductions or damages owed by the Contractor
in connection with the Contract.
1-1 003---026
10-07
2004 Specifications
SPECIAL PROVISION
006---030
Control of Materials
For this project, Item, Item 006, "Control of Materials," of the Standard Specifications is
amended hereby with respect to the clauses cited below, and no other clauses or requirements of
this Item are waived or changed hereby.
Article 6.9. Recycled Materials is voided and replaced by the following:
The Department will not allow hazardous wastes, as defined in 30 TAC 335, proposed for
recycling . Use nonhazardous recyclable materials (NRMs) only if the Specification for the Item
does not disallow or restrict use. Determine ifNRMs are regulated under 30 TAC 312,330,332,
334, or 335, and comply with all general prohibitions and requirements. Use NRMs in
accordance with DMS-11000, "Evaluating and Using Nonhazardous Recyclable Materials
Guidelines," and furnish all documentation required by that Specification.
Article 6.10. Hazardous Materials is voided and replaced by the following:
Use materials that are free of hazardous materials as defined in Item 1, "Definition of Terms."
Notify the Engineer immediately when a visual observation or odor indicates that materials in
required material sources or on sites owned or controlled by the Department may contain
hazardous materials. Except in the case of Section 6.1 O.A. l .a, "Cleaning and Painting Steel"
below, the Department is responsible for testing and removing or disposing of hazardous
materials not introduced by the Contractor on sites owned or controlled by the Department as
indicated below. The plans will indicate locations where paint on steel is suspected to contain
hazardous materials and where regulated asbestos containing materials have been found. The
Engineer may suspend work wholly or in part during the testing, removal, or disposition of
hazardous materials on sites owned or controlled by the Department, except in the case of
Section 6 .10 .A.1.a.
When a visual observation or odor indicates that materials delivered to the work locations by the
Contractor may contain hazardous materials, have an approved commercial laboratory test the
materials for contamination. Remove, remediate, and dispose of any of these materials found to
be contaminated. Testing, removal, and disposition of hazardous materials introduced onto the
work locations by the Contractor will be at the Contractor's expense. Working day charges will
not be suspended and extensions of working days will not be granted for activities related to
handling hazardous material delivered by the Contractor.
A. Painted Steel Requirements. As shown on the plans, existing paint on steel may
contain hazardous materials . Perform work in accordance with the following :
1. Removing Paint from Steel.
1-2 006---030
01-07
a. Cleaning and Painting Steel. For contracts that are primarily for painting
existing steel, perform the work in accordance with Item 446, "Cleaning and
Painting Steel."
b. Other Contracts. For all other projects when an existing paint must be removed
to perform other work, perform paint removal work in accordance with Item 446,
"Cleaning and Painting Steel" unless the paint is shown or determined to contain
hazardous materials. If the paint is shown or determined to contain hazardous
materials, the Department will provide for a separate contractor to remove paint
prior to or during the Contract to allow dismantling of the steel for the
Contractor's salvaging, reuse, or recycling or where paint must be removed to
perform other work. For steel that is dismantled by unbolting, no paint stripping
will be required. Use care to not damage existing paint. When dismantling is
performed using flame or saw-cutting methods to remove steel elements coated
with paint containing hazardous materials, the plans will show stripping locations.
Coordinate with the separate contractor for stripping work to be performed during
the Contract.
2. Removal and Disposal of Painted Steel. For Contracts where painted steel is to be
removed and disposed of by the Contractor, painted steel may be reused or disposed
of at a steel recycling or smelting facility. If the paint is shown or determined to
contain hazardous materials, maintain and make available to the Engineer invoices
and other records showing the reuse owner or for recycling, records obtained from the
recycling or smelting facility showing the received weight of the steel and the facility
name. Painted steel to be retained by the Department will be shown on the plans.
B. Asbestos Requirements. The plans will indicate locations or elements where asbestos
containing materials (ACM) have been found. At these locations or at locations where
previously unknown ACM has been found, the Department will arrange for abatement by
a separate contractor during the Contract. For work at these locations, notify the Engineer
of proposed dates of demolition or removal of structural elements with ACM at least 60
days before work is to begin to allow the Department sufficient time to abate the
asbestos.
When the work by a separate contractor for removal of paint or asbestos abatement is to be
performed during the Contract, provide traffic control as shown on the plans and coordinate and
cooperate with the separate contractor. Continue other work detailed in the plans not directly
involved in the paint removal or asbestos abatement work. Coordinate with the Depa1iment the
timing of the separate contractor's work in advance in order to allow the Department to schedule
work with the separate contractor. Work for the traffic control and other work will not be paid
for directly but will be subsidiary to pertinent Items.
2-2 006---030
01-07
2004 Specifications
SPECIAL PROVISION
007---001
Legal Relations and Responsibilities
For this project, Item 007, "Legal Relations and Responsibilities," of the Standard Specifications,
is hereby amended with respect to the clauses cited below, and no other clauses or requirements
of this Item are waived or changed hereby. ·
Article 7.4. Insurance and Bonds is supplemented by the following:
In addition to the forms of insurance required under Table 1, obtain insurance coverage in the
following kinds and amounts shown in Table 2. Provide ce1iification of the Commercial General
Liability and Protective Liability policies and the original Railroad Protective Liability policy to
the Depaiiment.
Table 2
1 10na nsurance eqmremen s Add'f I I R t
Type of Insurance Amount of Coverage
Commercial General Liability Insurance l$2 ,000,000 combined single limit
Railroad Protective Liability:
Bodily Injwy, Property and Physical
Damage $2,000,000 each occwTence
$6,000 ,000 combined single limit
Protective Liability $2,000,000 combined single limit
Do not work on the Railroad Company's prope1iy until the Department has been provided the
insurance certifications and original policies required in Table 2.
Pay all deductibles stated in the policy. Subcontractors must meet the requirements of Table 2
.either through their own coverage or through the Contractor 's coverage.
Except for the Railroad Protective Liability requirement, the coverage listed in Table 2 must
remain in force until final acceptance . Carry the Railroad Protective Liability insurance until all
work on the railroad right of way has been completed and all temporary grade crossings are no
· longer used. Stop all work if the insurance lapses for any reason. Provide the Department new
certifications and new policies of the insurance.
Policies issued for Railroad Protective Liability coverage listed in Table 2 must be issued for and
in behalf of the Railroad .
The following requirements also apply to the Railroad Protective Liability insurance policy to be
provided the Department.
1-2 007---001
05-04
a. Where one Railroad Company is involved, provide one insurance policy in the name of
the Railroad Company. However, if more than one grade separation is involved on the
project at entirely separate locations on the line or lines of the same Railroad Company
provide separate policies, each in the amounts shown in Table 2 . Dual lane structures at
the same highway location will be considered as one structure and only one policy will be
required.
b. Where more than one Railroad Company is operating on the san1e right of way or where
several Railroad Companies are involved and operate on their own separate rights of way,
provide separate insurance policies in the name of each Railroad Company.
c. If, in addition to a grade separation, other work is proposed on a Railroad Company's
right of way at a location entirely separate from the grade separation, include coverage
for the work in the policy covering the grade separation.
d. If no grade separation is involved but other work is proposed on a Railroad Company's
right of way, all such other work may be covered in a single policy for that railroad even
though the work may be at two or more separate locations.
If other work is proposed on two or more Railroad Companies' rights of way or where other
work is proposed involving two or more Railroad Companies operating on the same right of way,
separate insurance policies must be provided for each Company.
No direct compensation will be made to the Contractor for providing the insurance policies
required herein as the costs involved shall be included in the unit prices bid for the several pay
items of the proposal.
2-2 007---001
05-04
2004 Specifications
SPECIAL PROVISION
007---213
Legal Relations and Responsibilities
For this project, Item 7, "Legal Relations and Responsibilities" of the Standard Specifications, is
hereby amended with respect to the clauses cited below, and no other clauses or requirements of
this Item are waived or changed hereby.
Article 7.19. Preservation of Cultural and Natural Resources and the Environment is
supplemented by the following:
G. Asbestos Containing Material. In Texas, the Department of State Health Services (DSHS),
Asbestos Programs Branch, is responsible for administering the requirements of the National
Emissions Standards for Hazardous Air Pollutants, 40 CFR, Subpart M (NESHAP) and the
Texas Asbestos Health Protection Rules (T AHPR). Based on EPA guidance and regulatory
background information, bridges are considered to be a regulated "facility" under NESHAP.
Therefore, federal standards for demolition and renovation apply.
Provide notice of demolition or renovation to the structures listed in the plans at least 30 calendar
days prior to initiating demolition or renovation of each structure or load bearing member.
Provide the scheduled start and completion date of structure demolition, renovation, or removal.
When demolition, renovation, or removal of load bearing members is planned for several phases,
provide the start and completion dates identified by separate phases.
DSHS requires that notifications be postmarked at least IO working days prior to initiating
demolition or renovation. If the date of actual demolition, renovation, or removal is changed, the
Depa1iment will be required to notify DSHS at least 10 days in advance of the work. This
notification is also required when a previously scheduled (notification sent to DSHS) demolition,
renovation or removal is delayed. Therefore, if the date of actual demolition, renovation, or
removal is changed, provide the Engineer, in writing, the revised dates in sufficient time to allow
for the Department's notification to DSHS to be postmarked at least 10 days in advance of the
actual work.
Failure to provide the above information may require the temporary suspension of work under
Article 8.4, "Temporary Suspension of Work or Working Day Charges," due to reasons under
the control of the Contractor. The Department retains the right to determine the actual advance
notice needed for the change in date to address post office business days and staff availability.
1-1 007---213
02-06
2004 Specifications
SPECIAL PROVISION
007---445
Legal Relations and Responsibilities
For this project, Item 7, "Legal Relations and Responsibilities" of the Standard Specifications, is
hereby amended with respect to the clauses cited below, and no other clauses or requirements of
this Item are waived or changed hereby.
Article 7.8. Hauling and Loads on Roadways and Structures is supplemented by the
following:
D. Stockpiling of Materials. Do not store or stockpile material on bridge structures without
written permission. If required, submit a structural analysis and supporting documentation by a
licensed professional engineer for review by the Engineer. Permission may be granted if the
Engineer finds that no damage or overstresses in excess of those normally allowed for occasional
overweight loads will result to structures that will remain in use after Contract completion.
Provide temporary matting or other protective measures as directed .
Article 7.14. Contractor's Responsibility for Work, Section B. Appurtenances is voided and
replaced by the following:
B. Appurtenances.
1. Unreimbursed Repair. Except for destruction (not reusable) due to hun-icanes,
reimbursement will not be made for repair of damage to the following temporary
appurtenances, regardless of cause:
• signs,
• barricades,
• changeable message signs, and
• other work zone traffic control devices.
Crash cushion attenuators and guardrail end treatments are the exception to the above
listing and are to be reimbursed in accordance with Section 7 .14.B .2, "Reimbursed
Repair."
For the devices listed in this section, reimbursement may be made for damage due to
hurricanes. Where the contractor retains replaced appurtenances after completion of
the project, the Department will limit the reimbursement to the cost that is above the
salvage value at the end of the project.
2. Reimbursed Repair. Reimbursement will be made for repair of damage due to the
causes listed in Section 7 .14.A, "Reimbursable Repair," to appurtenances (including
temporary and permanent crash cushion attenuators and guardrail end treatments).
1-2 007---445
02-08
Article 7.15. Electrical Requirements, Section A. Definitions, Section 3. Certified Person is
voided and replaced by the following:
3. Certified Person. A certified person is a person who has passed the test from the TxDOT
course TRF450, "TxDOT Roadway Illumination and Electrical Installations" or other courses as
approved by the Traffic Operations Division. Submit a cunent and valid TRF certification upon
request. All TEEX certifications that have been issued for "TxDOT Electrical Systems" course
will be accepted until January 1, 2010. On January 1, 2010 , all TEEX certifications for "TxDOT
Electrical Systems" course will expire.
Article 7.15. Electrical Requirements, Section A. Definitions, Section 4. Licensed
Electrician is voided and replaced by the following:
4. Licensed Electrician. A licensed electrician is a person with a cunent and valid unrestricted
master electrical license, or unrestricted journeyman electrical license that is supervised or
directed by an unrestricted master electrician. An unrestricted master electrician need not be on
the work locations at all times electrical work is being done, but the unrestricted master
electrician must approve work performed by the unrestricted journeyman. Licensed electrician
requirements by city ordinances do not apply to on state system work.
The unrestricted journeyman and unrestricted master electrical licenses must be issued by the
Texas Department of Licensing and Regulation or by a city in Texas with a population of 50,000
or greater that issues licenses based on passing a written test and demonstrating experience.
The Engineer may accept other states' electrical licenses . Submit documentation of the
requirements for obtaining that license. Acceptance of the license will be based on sufficient
evidence that the license was issued based on:
• passing the NEC Block Test or the NEC Southern Building Code Test and
• demonstrating sufficient electrical experience commensurate with general standards for an
unrestricted master and unrestricted journeyman electrician.
2-2 007---445
02-08
2004 Specifications
SPECIAL PROVISION
008---084
Prosecution and Progress
For this project, Item 008, "Prosecution and Progress," of the Standard Specifications, is
hereby amended with respect to the clauses cited below, and no other clauses or
requirements of this Item are waived or changed hereby.
Article 8.8. Subcontracting, is supplemented with the following:
If the DBE goal amount for this project is greater than zero , submit a copy of the
executed subcontract agreement with the request for subcontractor approval for all DBE
subcontracts, including all tiered DBE subcontracts.
1-1 008---084
01-08
2004 Specifications
SPECIAL PROVISION
009---009
Measurement and Payment
For this project, Item 009, "Measurement and Payment," of the Standard Specifications, is
hereby amended with respect to the clauses cited below, and no other clauses or requirements of
this Item are waived or changed hereby.
Article 9.6. Progress Payments, Section A, Retainage is voided and replaced by the following:
A. Retainage. Retainage will not be withheld on this project.
Article 9.6. Progress Payments, Section B, Payment Provisions for Subcontractors is voided
and replaced by the following:
B. Payment Provisions for Subcontractors. For the purposes of this Aliicle only, the term
subcontractor includes suppliers and the term work includes materials provided by suppliers at a
location approved by the depaiiment. Pay the subcontractors for work perfo1111ed within 10 days
after receiving payment for the work performed by the subcontractor. Also, pay any retainage on
a subcontractor's work within 10 days after satisfactory completion of all of the subcontractor's
work. Completed subcontractor work includes vegetative establishment, test, maintenance,
performance, and other similar periods that are the responsibility of the subcontractor.
For the purpose of this Section, satisfactory completion is accomplished when:
• the subcontractor has fulfilled the Contract requirements.of both the Department ai1d the
subcontract for the subcontracted work, including the submittal of all information required
by the specifications and the Department; and
• the work done by the subcontractor has been inspected, approved, and paid by the
Department.
The inspection and approval of a subcontractor's work does not eliminate the Contractor's
responsibilities for all the work as defined in Article 7.14, "Contractor's Responsibility for
Work."
The Department may pursue actions against the Contractor, including withholding of estimates
and suspending the work, for noncompliance with the subcontract requirements of this Section
upon receipt of written notice with sufficient details showing the subcontractor has complied
with contractual obligations as described in this Article.
These requirements apply to all tiers of subcontractors. Incorpqrate th~ prqvisions of this Aliicle
into all subcontract or material purchase agreements.
1-1 009---009
04-06
2004 Specifications
SPECIAL PROVISION
009---015
Measurement and Payment
For this project, Item 9, "Measurement and Payment," of the Standard Specifications, is hereby
amended with respect to the clauses cited below, and no other clauses or requirements of this
Item are waived or changed hereby.
Article 9.5. Force Account, B. Insurance and Taxes is replaced by the following:
B. Labor Burden. An additional 55% of the labor cost, excluding the 25% compensation
provided in Section 9 .5.A, "Labor," will be paid as compensation for labor insurance and
labor taxes including the cost of premiums on non-project specific liability (excluding
vehicular) insurance, workers compensation insurance, Social Security, unemployment
insurance taxes, and fringe benefits.
1-1 009---015
12-07
2004 Specifications
SPECIAL PROVISION
100---002
Preparing Right of Way
For this project, Item 100, "Preparing Right of Way," of the Standard Specifications, is hereby
amended with respect to the clauses cited below, and no other clauses or requirements of this
Item are waived or changed hereby.
Article 100.4. Payment. The second paragraph is voided and replaced by the following:
Total payment of this Item will not exceed 10% of the original contract amount tmtil final
acceptance. The remainder will be paid on the estimate after the final acceptance under Article
5.8, "Final Acceptance ."
1-1 100---002
10-07
2004 Specifications
SPECIAL PROVISION
161---001
Compost
For this project, Item 161, "Compost," of the Standard Specifications, is hereby amended with
respect to the clauses cited below, and no other clauses or requirements of this Item are waived
or changed hereby. ·
Article 161.2. Materials. Table 1 is voided and replaced by the following:
Furnish compost that meets the requirements of DMS-6360, "Compost." Material not
conforming to quality monitoring program under DMS-6360, may be used only when tested by
the Engineer and approved before use.
1-1 161---001
02-07
2004 Specifications
SPECIAL PROVISION
420---002
Concrete Structures
For this project, Item 420, "Concrete Structures," of the Standard Specifications, is hereby
amended with respect to the clauses cited below, and no other clauses or requirements of this
Item are waived or changed hereby.
Article 420.4. Construction, Section I, "Finish of Bridge Slabs". The tenth paragraph is
supplemented with q1e following:
For bridge approach slabs the carpet drag, burlap drag, or broom finish may be applied either
longitudinally or transversely.
Article 420.4. Construction, Section I, "Finish of Bridge Slabs". The first sentence of the
fourteenth paragraph is voided and replaced by the following:
Unless noted otherwise , saw-cut grooves in the hardened concrete of bridge slabs, bridge
approach slabs, and direct-traffic culverts to produce the final texturing after completion of the
required curing period.
Article 420.4. Construction, Section I, "Finish of Bridge Slabs". The fourteenth paragraph is
amended by the following:
When saw-cut grooves are not required in the plans, provide either a carpet drag or broom finish
for micro-texture. In this case insure that an adequate and consistent micro-texture is achieved by
applying sufficient weight to the carpet and keeping the carpet or broom from getting plugged
with grout. For surfaces that do not have adequate texture, the Engineer may require corrective
action including diamond grinding or shot blasting.
Article 420.4. Construction, Section J. Curing Concrete. The first sentence of the fourth
paragraph is voided and replaced by the following:
For upper surfaces of bridge slabs, bridge approach slabs, median and sidewalk slabs, and culvert
top slabs constructed using Class S concrete, apply interim curing using a Type 1-D curing
compound before the water sheen disappears but no more than 45 minutes after application of
the evaporation retardant. Do not allow the concrete surface to dry before applying the interim
cure, and do not place the interim cure over standing water.
1-2 420---002
09-05
Article 420.6 Payment. The pay adjustment formula given in the sixth bullet of the fomth
paragraph is voided and replaced by the following:
A= Bp[-5.37(Sa/Ss)2 + 11.69(Sa/Ss) -5.32]
Where:
A = Amount to be paid
Sa= Actual strength from cylinders or cores
Ss = Specified design strength
Bp = Unit bid price
2-2 420---002
09-05
2004 Specifications
SPECIAL PROVISION
421---031
Hydraulic Cement Concrete
For this project, Item 421, "Hydraulic Cement Concrete," of the Standard Specifications is
hereby amended with respect to the clauses cited below, and no other clauses or requirements of
this Item are waived or changed hereby.
Article 421.2.D. Water, Table 1. Chemical Limits for Mix Water is voided and replaced by
the following:
Table 1
Chemical Limits for Mix Water
Contaminant Test Method Maximum Concentration (ppm)
Chloride (Cl) ASTMC 114
Prestressed concrete 500
Bridge decks and superstructure 500
All other concrete 1,000
Sulfate (S04) ASTMC 114 2 ,000
Alkalies (NA20 + 0.658K20) ASTMC 114 600
Total Solids ASTM C 1603 50,000
Article 421.2.B. Supplementary Cementing Materials (SCM) is supplemented with the
following:
6. Modified Class F Fly Ash (MFFA). Furnish MFFA conforming to DMS-4610, "Fly
Ash."
Article 421.2.D. Water, Table 2. Acceptance Criteria for Questionable Water Supplies is
voided and replaced by the following:
Table 2
A cceptance c · ntena or uest10na e · ater f Q bl w s [' upp 1es
Prope,·ty Test Method Limits
Compressive strength, min.% ASTM C 31, ASTM C 39'·2 90
control at 7 days
Time of set, deviation from ASTMC403 1 From I :00 early to l :30 later
control, h:min.
I. Base compansons on fixed proporttons and the same volume oftest water compared to the control
mix using l 00% potable water or distilled water.
2· Base comparisons on sets consisting of at least two standard specimens made from a composite
sample .
Article 421.2.E.2 Fine Aggregate. The fifth paragraph is voided and replaced by the following:
Acid insoluble(%)= {(Al)(Pl)+(A2)(P2)}/100
where:
Al= acid insoluble(%) of aggregate 1
A2 = acid insoluble(%) of aggregate 2
1-6 421---031
01-08
PI = percent by weight of aggregate I of the fine aggregate blend
P2 = percent by weight of aggregate 2 of the fine aggregate blend
Article 421.2.E.2. Fine Aggregate. The final paragraph is voided and replaced by the
following:
For all classes of concrete, provide fine aggregate with a fineness modulus between 2.3 and 3 .1
as determined by Tex-402-A.
Article 421.2.E. Aggregate is supplemented by the following:
4. Intermediate Aggregate. When necessary to complete the concrete mix design, provide
intermediate aggregate consisting of clean, hard, durable particles of natural or 1 ight-
weight aggregate or a combination thereof. Provide intermediate aggregate free from
frozen material and from injurious amounts of salt , alkali, vegetable matter, or other
objectionable material, and containing no more than 0.5% clay lumps by weight in
accordance with Tex-413-A.
If more than 30% of the intermediate aggregate is retained on the No. 4 sieve , the amount
retained on the No . 4 sieve must either meet the requirements of or come from a source
that meets the requirements of a wear not more than 40% when tested in accordance with
Tex-410-A and a 5-cycle magnesium sulfate soundness of not more than 18% when
tested in accordance with Tex-411-A .
If more than 30% of the intermediate aggregate passes the 3/8" sieve, the portion passing
the 3/8" sieve must not show a color darker than standard when subjected to the color test
for organic impurities in accordance with Tex-408-A and must have an acid insoluble
residue, unless otherwise shown on the plans, for concrete subject to direct traffic equal
to or greater than the value calculated with the following equation :
where:
Alia? 60 -(Alfa)(Pfa)
(Pia)
Alfa = acid insoluble(%) of fine aggregate or fine aggregate blend
Pfa = percent by weight of the fine aggregate or fine aggregate blend as a
percentage of the total weight of the aggregate passing the 3/8" sieve in the
concrete mix design
Pia = percent by weight of the intermediate aggregate as a percentage of the total
weight of the aggregate passing the 3/8" sieve in the concrete mix design
Article 421.2.F. Mortar and Grout is supplemented by the following:
Section 421.4.A.6, "Mix Design Options," does not apply for mortar and grout.
Article 421.3.A. Concrete Plants and Mixing Equipment is supplemented by the following:
When allowed by the plans or the Engineer, for concrete classes not identified as structural
concrete in Table 5 or for Class C concrete not used for bridge-class structures , the Engineer may
inspect and approve all plants and trucks in lieu of the NRMCA or non-Department engineer
sealed certifications. The criteria and frequency of Engineer approval of plants and trucks is the
same used for NRMCA certification.
2-6 421---031
01-08
Article 421.3.A.2. Volumetric Mixers is supplemented by the following:
Unless allowed by the plans or the Engineer, volumetric mixers may not supply classes of
concrete identified as structural concrete in Table 5.
Article 421.4 .A Classification and Mix Design. The first paragraph is voided and replaced by
the following:
Unless a design method is ind icated on the plans, furn ish mix designs using ACI 211, "Standard
Practice for Selecting Proportions for Normal, Heavyweight, and Mass Concrete," Tex-470-A, or
other approved procedures for the classes of concrete required in accordance with Table 5.
Perform mix design and cement replacement using the design by weight method unless
otherwise approved. Do not exceed the maximum water-to-cementitious-material ratio.
Article 421.4.A. Classification and Mix Design, Table 5 Concrete Classes voided and
replaced by the following:
Design
Class of Strength,
Concrete Min.
28-day f'c
(psi)
A 3,000
B 2 ,000
cs 3,600
C(HPCf 3,600
D 1,500
E 3,000
Fs Note 6
F(HPC/ Note 6
HS Note 6
H(HPC/ Note 6
S' 4 ,000
S(HPC)5 4,000
p See Item 360
DC' 5,500
CO ' 4,600
LMC 5 4,000
sss 3,6007
Ks Note 6
HES Note 6
Maximum
W /C Ratio 1
0 .60
0 .60
0.45
0.45
0.60
0.50
0.45
0.45
0.45
0.45
0.45
0.45
0.45
0.40
0.40
0.40
0.45
0.45
0.45
Table 5
Concrete Classes
Coarse
Aggregate General Usage4
Grades2
'
3
Inlets, manholes , curb, gutter, curb & gutter,
1--4, 8 cone. ret a rds, sidewalks, driveways, backup
walls , anchors
2-7 Riprap , small roadside signs, and anchors
Drilled shafts, bridge substructure, bridge
1-6 rail ing, culverts except top slab of direct traffic
culverts , headwalls, wing walls, approach
slabs, concrete traffic barrier (cast-in-pl ace)
1-6 As shown on the pl ans
2-7 Riorap
2-5 Seal concrete
2-5 Railroad structures; occasionally for bridge
1piers , columns, or bents
2-5 As shown on the plans
3-6 Prestres sed concrete beams, bo xes, piling, and
concrete traffic barrier (precast)
3-6 As shown on the plans
2-5 Bridge sl a bs , top slabs of direct traffic culverts
2-5 As shown on the plans
2-3 Concrete pavement
6 Dense cone. overlay
6 Cone. overlay
6-8 Latex-modified concrete overlay
4-6 Slurry displacement shafts, underwater drilled
shafts
Note 6 Note 6
Note 6 Note 6 .. 1• Maximum water-cement or water-cement1t1ous ratio by weight.
2 Unless otherwise pem1itted, do not use Grade I coarse aggregate except in massive foundations with
4-in. minimum clear spacing between reinforc ing steel bars. Do not use Grade I aggregate in drilled
shafts.
3-6 421---031
01-08
Design
Class of Strength, Maximum Coarse
Concrete Min. W/C Ratio 1 Aggregate
28-day f'c Grades2
'
3
(psi)
J . Unless otherwise approved, use Grade 8 aggregate m extruded cm bs .
4· For infom1ation only .
5· Structural concrete classes .
6. As shown on the plans or s pecified .
General Usage4
1· Use a minimum cementitious material content of 650 lb/cy of concrete. Do not apply Table 6 over
design requirements to Class SS concrete.
Article 421.4.A. Classification and Mix Design, Table 6 Over Design to Meet Compressive
Strength Requirements. Footnote 3 is supplemented by the following:
For Class K and concrete classes not identified as structural concrete in Table 5 or for Class C
concrete not used for bridge-class structures, the Engineer may designate on the plans an
alternative over-design requirement up to and including 1,000 psi for specified strengths less
than 3,000 psi and up to and including 1,200 psi for specified strengths from 3,000 to 5,000 psi .
Article 421.4.A.1. Cementitious Materials is supplemented by the following :
The upper limit of 35% replacement of cement with Class F fly ash specified by mix design
options 1 and 3 may be increased to a maximum of 45% for mass placements, high performance
concrete, and precast members when approved .
Article 421.4.A.3. Chemical Admixtures is supplemented by the following:
When a corrosion-inhibiting admixture is required, use a 30% calcium nitrite solution. The
corrosion inhibiting admixture must be set neutral unless otherwise approved. Dose the
admixture at the rate of gallons of admixture per cubic yard of concrete shown on the plans .
Article 421.4.A.4 Air Entrainment is voided and replaced by the follov-1ing:
Air entrain all concrete except for Class B and concrete used in drilled shafts unless otherwise
shown on the plans. Unless otherwise shown on the plans, target an entrained air content of 4.0
% for concrete pavement and 5.5 % for all other concrete requiring air entrainment. To meet the
air-entraining requirements, use an approved air-entraining admixture. If the air content is more
than 1-1/2% below or 3% above the required air, the load of concrete will be rejected . If the air
content is more than 1-1/2 but less than 3% above the required air, the concrete may be accepted
based on strength tests. For specified concrete strengths above 5,000 psi, a reduction of 1 % is
permitted.
Article 421.4.A Table 7 Air Entrainment is voided.
Article 421.4.A.6. Mix Design Options. The first paragraph is voided and replaced by the
following :
For structural concrete identified in Table 5 and any other class of concrete designed using more
than 520 lb . of cementitious material per cu . yd., use one of the mix design Options 1-8 shown
below, unless otherwise shown on the plans.
4-6 421---031
01-08
Article 421.4.A.6. Mix Design Options. The second paragraph is voided and replaced by the
following:
For concrete classes not identified as structural concrete in Table 5 and designed using less than
520 lb. of cementitious material per cu. yd., use one of the mix design Options 1-8 shown below,
except that Class C fly ash may be used instead of Class F fly ash for Options I, 3, and 4 unless
sulfate-resistant concrete is shown on the plans .
Do not use mix design options 6 or 7 when High Performance Concrete (HPC) is required .
Option 8 may be used when HPC is required provided: a minimum of20% of the cement is
replaced with a Class C fly ash; test method Tex-440-A, "Initial Time of Set o f Fresh Conc rete"
is performed during mix design verification; the additional requirements for permeability are
met; and the concrete is not required to be sulfate -resistant.
Article 421.4.A.6.b. Option 2 is voided and replaced by the following:
b. Option 2. Replace 35 to 50% of the cement with GGBFS or MFFA.
Article 421.4.A.6.c. Option 3 is voided and replaced by the following :
c. Option 3. Replace 35 to 50% of the cement with a combination of Class F fly ash , GGBFS ,
MFFA, UFFA, metakaolin, or silica fume . However, no more than 35% may be fly ash, and no
more than 10% may be silica fume.
Article 421.4.A.6.g. Option 7 is voided and replaced by the following:
g. Option 7. When using hydraulic cement only, ensure that the total alkali contribution from the
cement in the concrete does not exceed 4.00 lb. per cubic yard . of concrete when calculated as
follows:
lb . alkali per cu . yd . = (lb . cement per cu. yd .) x (% Na20 equivalent in cement)
100
In the above calculation , use the maximum cement alkali content reported on the cement mill
certificate.
Do not use Option 7 when any of the aggregates in the concrete are listed on the Department's
List of Aggregate So urces Excluded from Option 7 ASR Mitigation.
Article 421.4.A.6.h. Option 8 is voided and replaced by the following:
h. Option 8. For any deviations from Options 1-5, perform testing on both coarse and fine
aggregate separately in accordance with ASTM C 1567 . Before use of the mix, provide a
certified test report signed and sealed by a licensed professional engineer, from a laboratory on
the Department's List of Approved ASTM C 1260 Laboratories, demonstrating that the
ASTM C 1567 test result for each aggregate does not exceed 0.10% expansion.
Do not use Option 8 when any of the aggregates in the concrete are listed on the Department's
List of Aggregate Sources Excluded from Option 8 ASR Mitigation. When HPC is required,
provide a certified test report signed and sealed by a licensed professional engineer
demonstrating that AASHTO T 277 test results indicate the permeability of the concrete is less
than 1,500 coulombs tested immediately after either of the following curing schedules :
5-6 421---031
01-08
• Moist cure specimens 56 days at 73°F.
• Moist cure specimens 7 days at 73°F followed by 21 days at 100°F.
Article 421.4.B. Trial Batches is supplemented by the following:
Once a trial batch substantiates the mix design, the proportions and mixing methods used in the
trial batch become the mix design of record.
Article 421.4.B. Trial Batches. The fourth sentence of the second paragraph is voided and
replaced by the following:
Test at least 1 set of design strength specimens, consisting of 2 specimens per set, at 7-day, 28-
day, and at least one additional age.
Article 421.4.D. Measurement of Materials, Table 9 is voided and replaced by the fo!lowing:
Table 9
Measurement Tolerances -Non-Volumetric Mixers
Material Tolerance(%)
Cement, wt. -1 to+ 3
SCM wt. -1 to+ 3
Cement+ SCM (cumulative weighing), wt. -1 to+ 3
Water, wt. or volume ±3
Fine aooregate, wt. ±2
Coarse airn:regate, wt. ±2
Fine+ coarse aggregate (cumulative weighing), wt. ±1
Chemical admixtures, wt. or volume ±3
Article 421.4.E. Mixing and Delivering Concrete. The first paragraph is supplemented with the
following:
Do not top-load new concrete onto returned concrete.
Article 421.4.E.3. Truck-Mixed Concrete. The first paragraph is voided and replaced by the
following:
Mix the concrete in a truck mixer from 70 to 100 revolutions at the mixing speed designated by
the manufacturer to produce a uniform concrete mix . Deliver the concrete to the project in a
thoroughly mixed and uniform mass and discharge the concrete with a satisfactory degree of
uniformity. Additional mixing at the job site at the mixing speed designated by the manufacturer
is allo\ved as long as the requirements of Section 421.4.A.5, "Slump" and Section 421.4.E,
Mixing and Delivering Concrete" are met.
6-6 421---031
01-08
2004 Specifications
SPECIAL PROVISION
500---005
Mobilization
For this project, Item 500, "Mobilization," of the Standard Specifications, is hereby amended
with respect to the clauses cited below, and no other clauses or requirements of this Item are
waived or changed hereby.
Article 500.1. Description is supplemented by the following:
Work for this Item includes submissions required by the Contract.
Article 500.3. Payment, Section A is voided and replaced by the following:
A. Payment will be made upon presentation of a paid invoice for the payment, performance, or
retainage bonds, and required insurance. The combined payment for bonds and insurance will be
no more than 10% of the mobilization lump sum or 1% of the total Contract amount, whichever
is less .
Article 500.3. Payment, Section Fis voided and replaced by the following:
F. Upon final acceptance, 97% of the mobilization lump sum bid will be paid. Previous
payments under this Item will be deducted from this amount.
Article 500.3. Payment is supplemented by the following:
G. Payment for the remainder of the lump sum bid for "Mobilization" will be made after all
submittals are received, final quantities have been determined and when any separate vegetative
establishment and maintenance, test and performance periods provided for in the Contract have
been successfully completed.
1-1 500-005
03-08
2004 Specifications
SPECIAL PROVISION
502---033
Barricades, Signs, and Traffic Handling
For this project, Item 502, "Barricades, Signs, and Traffic Handling," of the Standard
Specifications, is hereby amended with respect to the clauses cited below, and no other clauses
or requirements of this Item are waived or changed hereby.
Article 502.4. Payment, Section C. Maximum Total Payment Prior to Acceptance is voided
and replaced by the following:
C. Maximum Total Payment Prior to Acceptance. The total payment for this Item will not
exceed 10% of the total Contract amount before final acceptance in accordance with Article 5.8,
"Final Acceptance." The remaining balance will be paid in accordance with Section 502.4.E,
"Balance Due."
1-1 502---033
10-07
2004 Specifications
SPECIAL PROVISION
506---010
Temporary Erosion, Sedimentation, and Environmental Controls
For this project, Item 506, "Temporary Erosion, Sedimentation, and Environmental Controls," of
the Standard Specifications, is hereby amended with respect to the clauses cited below, and no
other clauses or requirements of this Item are waived or changed hereby.
Article 506.2. Materials. Section I. Sandbags. Table 1 is replaced with the following:
Sieve#
4
100
200
Table 1
Sand Gradation
1-1
Retained(% by Weight)
MAXIMUM3%
MINIMUM 80%
M1NIMUM95%
506---010
05-07
2004 Specifications
SPECIAL PROVISION
620---001
Electrical Conductors
For this project, Item 620, "Electrical Conductors," of the Standard Specifications, is hereby
amended with respect to the clauses cited below, and no other clauses or requirements of this
Item are waived or changed hereby.
Article 620.2 Materials. The fourth and fifth paragraphs are void and replaced by the
following:
Use white insulation for grounded (neutral) conductors, except that grounded conductors
A WG No. 4 and larger may be black with white tape marking at every accessible location. Do
not use white insulation or marking for any other conductor except control wiring specifically
shown on the plans.
Ensure that insulated grounding conductors are green except that insulated grounding conductors
A WG No. 4 and larger may be black with green tape marking at every accessible location. Do
not use green insulation or marking for any other conductor except control wiring specifically
shown on the plans.
1-1 620---001
09-04
-
TXDOT
SPECIAL SPECIFICATIONS
-
2004 Specifications
SPECIAL SPECIFICATION
1014
Landscape Amenity
1. Description. Install landscape amenity as shown on the plans or as directed.
2. Materials and Construction Methods. Furnish materials and use construction methods in
accordance with the plans.
3. Measurement. This Item will be measured by the each.
4. 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 bid for
"Landscape Amenity" or "Landscape Amenity" of type specified. This price is full
compensation for furnishing all materials, equipment, labor, and incidentals.
1-1 1014
12-04
16521
ROADWAY ILLUMINATION ASSEMBLIES
1 Description.
• Installation. Furnish, fabricate, and erect roadway illumination assemblies.
• Removal. Remove existing roadway illumination assemblies.
2 Materials. Provide new materials that comply with the details shown on the plans, the
requirements of this Item, and the pertinent requirements of the following Items:
• Item 442, "Metal for Structures"
• Item 446, "Cleaning and Painting Steel"
• Item 449, "Anchor Bolts"
• Item 620, "Electrical Conductors."
Furnish light fixtures from new materials that comply with DMS-110 I 0, "Roadway
Illumination Light Fixtures."
Provide light fixtures from manufacturers prequalified by the Department. The Traffic
Operations Division maintains a list of prequalified roadway illumination light fixture
manufacturers.
Provide shop drawings of the complete assembly in accordance with the plans .
Paint poles, when shown on the plans, in accordance with Item 446 , "Cleaning and
Painting Steel."
3 Construction. Perform work in accordance with the details shown on the plans and
the requirements of this Item. Sample fixtures for testing in accordance with
Tex-1110-T.
Use established industry and utility safety practices when installing, relocating , or
removing poles or luminaires located near overhead or underground utilities. Consult
with the appropriate utility company before beginning work.
Stake, install, and align each roadway illumination assembly as shown on the plans. The
Department may shift an assembly's location, if necessary, to secure a more desirable
location or to avoid conflict with utilities.
A. Installation. Fabricate and install roadway illumination assembly components in
accordance with the details, dimensions, and requirements shown on the plans . Do
not use screw-in type foundations. Install anchor bolts and coat anchor bolt threads in
accordance with Item 449, "Anchor Bolts." Erect structures after foundation concrete
has attained its design strength as required on the plans. Tighten anchor bolts for
poles with shoe bases in accordance with Item 449, "Anchor Bolts." Do not place
grout between base plate and foundation. Test installed roadway illumination
assemblies in accordance with Item 616, "Performance Testing of Lighting Systems ."
B. Removal. Remove roadway illumination assembly components in accordance with
established industry and utility safety practices.
Remove transformer bases from transformer base poles. Remove luminaires and mast
arms from the pole shaft . Stockpile pole shafts, mast arms, and assembly hardware at
a location designated by the Department. Pole shafts, mast arms, and assembly
-
hardware will remain Department property unless otherwise shown on the plans or
directed .
Disconnect and remove conductors from abandoned circuits. Remove abandoned
conduit and ducts to a point 6 in. below final grade. Destroy existing transformer
bases to prevent reuse.
Remove abandoned concrete foundations to a point 2 ft. below final grade. Backfill
the hole with material that is equal in composition and density to the surrounding
area. Replace surfacing material with similar material to an equivalent condition. Do
not remove existing concrete bridge lighting brackets.
Accept ownership of unsalvageable materials and dispose of in accordance with
federal , state, and local regulations.
4 Measurement. This Item will be measured as each roadway illumination assembly
installed, relocated, or removed.
5 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 bid for
"Install Roadway Illumination Assemblies" of the types specified, or "Remove
Roadway Illumination Assemblies" of the types specified. The Depaiiment will pay for
electrical energy consumed by the lighting system .
New drilled shaft foundations will be paid for under Item 416, "Drilled Shaft
Foundations ." New concrete riprap placed around foundations will be paid for under
Item 432, "Riprap." New conduit will be paid for under Item 618, "Conduit." New
conductors, except the conductors internal to the pole, will be paid for under Item 620,
"Electrical Conductors ." New duct cable will be paid for under Item 622, "Duct Cable."
New ground boxes will be paid for under Item 624, "Ground Boxes." New electrical
services will be paid for under Item 628, "Electrical Services."
A. Installation. This price is full compensation for furnishing , installing, and testing
luminaires; ballasts, poles , lamps, anchor bolts, anchor plates , internal conductors,
and connections; system performance testing ; and equipment, labor, tools, and
incidentals.
B. Removal. This price is full compensation for removing , salvaging, disassembling,
and stockpiling lighting assemblies; salvaging and relocating existing conduit and
conductors; removing existing foundations; backfilling and surface placement ;
splicing existing conductors; disposal of unsalvageable material; and equipment,
labor, tools, and incidentals.
USDOT
SPECIAL PROVISIONS
3. That the firm shall promptly notify the SHA of the rece ipt of
any communication from the Director, Office of Federal Activi-
ties, EPA, ind icat ing that a facil ity that is or will be utilized for
the contract is under cons ideration to be li sted on the EPA List
ofViolating Facilities.
4 . That the firm agrees to include or cause to be included the
requirements of paragraph 1 through 4 of this Section X in
every nonexempt subcontract, and further agrees to ta ke such
act ion as the government may d irect as a means of enforcing
such requ irements .
XI . CERTIFICATION REGARDING DEBARMENT,
SUSPENSION ,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1. Instructions for Certification -Primary Covered
Transactions :
(App li cable to all Federal-aid contracts -49 CFR 29)
a . By signing and submitting th is proposal, the
prospective primary participant is provid ing the certification set
out below.
b . The inability of a person to provide the certification set
out below will not necessarily result in den ial of participation in
this covered transaction . The prospective participant shall
subm it an explanation of why it cannot provide the certifica tio n
set out below. The certificat ion or explanation will be
considered in connection w ith the department or agency's
determination whether to enter into this transaction . However,
failure of the prospective primary participant to furn ish a
certification or an explanatio n shall disqualify su:h a person
from participation in this transa cti on .
c. The certification in th is clause is a material
representation of fact upon which reliance was placed when the
department or agency determined to enter into th is transa ction .
If it is later determined that the prospective primary participant
knowing ly rendered an erroneous certificat ion , in addition to
other remed ies available to the Federal Government, the
department or agency may term inate this transaction for cause
of default.
d . The prospective primary participant shall provide
immediate w ri tten notice to the department or agency to whom
this proposal is subm itted if any time the prospective primary
particpant learns that its certificat ion was erroneous when
subm itted or has become erroneous by reason of changed
circumstances .
e . The terms "covered transaction ," "debarred ,"
"suspended," "inelig ible ," "low er tier covered transaction,"
"participant," "person ," "primary covered transaction,"
"principal," "proposal," and "voluntarly excluded ," as used in
this clause, have the mean ings set out in the Definit ions and
Coverage sections of rules implementing Executive Order
12549. You may contact the department or agency to which
this proposal is submitted for assistance in obtaining a copy of
those regulations .
f. The prospective pri mary participant agrees by
submitting this proposal that , should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction w ith a person who is debarred,
suspended , declared ineligib le, or voluntarily excluded from
participation in this covered transaction , unless authorized by
the department or agency enteri ng into th is transa ction .
g . The prospective primary partici pant further agrees by
submitting this proposal that it will include the clause titled
"Certifcation Regarding Debarment, Suspens ion, Ineli gib il ity
and Voluntary Exclusion-Lower Tier Covered Transaction ,"
provided by the departm ent or agency entering into this
cove red transaction , w ithout mod ificat ion, in all lower tier
covered transacti ons and in all sol icitations for lower tier
covered transac lions .
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction t hat is not debarred, suspended , ine li gible , or vo lun-
ta rily excluded from the covered transaction , unless it knows
that the cert ification is erroneous . A participant may decide the
method and frequency by which it determines the elig ibility of its
pri ncipals. Each participant may, but is not required to, check
the nonprocurement port ion of the "Lists of Part ies Excluded
From Federal Procurement or Nonprocurement Programs"
(Nonprocurement List) which is compiled by the General
Services Administration .
i. Nothing contained in the fo rego ing shall be construed
to require establishment of a system of records in order to
rende r in good faith the certification required by this clause .
The knowledge and information of participant is not required to
exceed that which is normally possessed by a prudent person
in the ord inary course of bus iness dealings .
j . Except fo r transactions autho ri zed under paragraph f
of these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred , ineligible, or voluntarily
excluded from participation in this transaction, in add ition to
other remedies availab le to the Federal Government , the
department or agency may terminate th is transact ion for cause
or default.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion--Primary Covered
Transactions
1. The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
a . Are not presently debarred , suspended , proposed for
debarment, decla red inelig ible , or vo luntarily excluded from
covered transactions by any Federa l department or ag e ncy;
b . Have not within a 3-year period preceding th is
proposa l been convicted of or had a civil judgement rendered
against them for commission of fraud or a crim inal offense in
connection w ith obtaining, attempti ng to obtain , or performing a
public (Federal , State or local) transaction or contract under a
public transaction ; violation of Federa l or State antitrust statutes
or commiss ion of embezzlement, theft , forgery , bribery,
fals ification or destruction of records, making false statements ,
or rece iving stolen property ;
c. Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in
paragraph 1 b of this certification ; and
d. Have not within a 3-year period preceding this
application/proposal had one or more public transactions
(Federal, State or local) terminated for cause or default.
2. Where the prospective primary participant is unable to
certify to any of the statements in th is certification, such
prospective participant shall attach an explanation to this
proposal.
2. Instructions for Certification -Lower Tier Covered
Transactions:
(Applicable to all subcontracts, purchase orders and other
lower tier transactions of $25,000 or more -49 CFR 29)
a. By signing and submitting this proposal , the
prospective lower lier is providing the certification set out below.
b. The certification in this clause is a material
representation of fact upon which reliance was placed when
this transaction was entered into . If ii is later determined that
the prospective lower tier participant knowingly rendered an
erroneous certification, in addition to other remedies available
to the Federal Government, the department, or agency with
which this transaction originated may pursue available
remedies, including suspension and/or debarment.
c. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower lier participant
learns that its certification was erroneous by reason of changed
circumstances.
d. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "primary covered transaction,"
"participant," "person," "principal," "proposal ," and "voluntarily
excluded," as used in this clause, have the meanings set out in
the Definitions and Coverage sections of rules implementing
Executive Order 12549. You may contact the person to which
this proposal is submitted for assis lance in obta ining a copy of
those regulations.
e. The prospective lower lier participant agrees by
submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntari ly excluded from
participation in this covered transaction, unless authorized by
the department or agency with which this transaction originated .
f. The prospective lower tier participant further agrees by
submitting this proposal that ii will include this clause titled
"Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion-Lower Tier Covered Transaction,"
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions .
g. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or volun-
tarily excluded from the covered transaction, unless it knows
that the certification is erroneous . A participant may decide the
method and frequency by which ii determines the eligibility of its
principals . Each participant may, but is not required to, check
the Nonprocurement List.
h. Nothing contained in the foregoing shall be construed
to require establishment of a system of records in order to
render in good faith the certification required by this clause .
The knowledge and information of participant is not required to
exceed that which is normally possessed by a prudent person
in the ordinary course of business dealings .
i. Except for transactions authorized under paragraph e
of these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government , the
department or agency with which this transaction originated
may pursue available remedies, including suspension and/or
debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Lower Tier Covered
Transactions:
1. The prospective lower tier participant certifies , by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in
this transaction by any Federal department or agency.
2. Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
XII. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS
FOR LOBBYING
(Applicable to all Federal-aid construction contracts and to all
related subcontracts which exceed $100,000 -49 CFR 20)
1. The prospective participant certifies, by signing and
submitting this bid or proposal, to the best of his or her
knowledge and belief, that:
a. No Federal appropriated funds have been paid or will
be paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any
Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal , amendment, or
modifJCation of any Federal contract, grant , loan, or cooperative
agreement.
b. If any funds other than Federal appropriated funds
have been paid or will be pa id to any person for influencing or
attempting to influence an officer or employee of any Federal
agency, a Member of Congress , an officer or employee of
Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
2. This certification is a material representation of fact upon
which reliance was placed when this transaction was made or
entered into . Submission of this certification is a prerequisite
for making or entering into this transaction imposed by 31
U.S .C. 1352. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100 ,000 for each such failure.
3. The prospective participant also agrees by submitting his
or her bid or proposal that he or she shall require that the
language of this certification be included in all lower tier
subcontracts, which exceed $100,000 and that all such
recipients shall certify and d isclose accordingly .
APPENDIX-A
LOCAL GOVERNMENT CONTRACT PROCEDURES
(Pages 14 -74)
Module 11
Section 4 -Local Government (LG) Contract
Com p one nts
Section 4
Local Government (LG) Contract Components
The following is a discussion of the required components of LG contracts listed in
alphabetical order according to topic. Both federal and state requirements are included for
each component. Many of these LG contract components appear in more than one of the
tables li sted previously.
Advertising
An advertisement is the official announcement inviting bid s for construction work. Certain
requirements must be fulfilled before the official advertisement is issued. In Texas ,
advertisement of a contract proposal legally takes the form of a classified advertisement.
Advertisements must be in the county in which the work is to take place and in two other
newspapers, and run weekly at least two weeks prior to bid opening . If the contract is
estimated to involve less than $300,000, notice may be published in only two successive
issues of a newspaper published in the county in which the improvement is to be made.
Other forms to announce upcoming projects may include advertisements in trade journals ,
bulletins and mailed notices to potential bidders. These other forms of advertisement can
attract greater attention and, thereby , enhance competition. However, the notice in a
newspaper is considered the legal advertisement.
The LG may on ly advertise a project following TxDOT's approval of the PS&E package.
TxDOT authorization will be based on the assurances prescrib ed in 23 CFR 635.309, wh ich
include:
+ PS&E approval;
+ Assurances that all right-of-way clearances (including encroachments on the right-of-
way), utility, and railroad work have been completed, or that arrangements have been
made for coordination during construction with proper notice provided in the bid
proposal;
+ Assurances for relocation of individuals and fami li es, when applicable;
• Assurances that the public hearing process and locati on and design approval
requirements have been met; and
• Assurances, where applicable, that required area-wide agency reviews have been
accomplished.
The LG 's advertising policy and practices must assure free and open competition. This .
policy includes issues concerning licensing, bonding, prequalification, and bidding , as well
as , the announcement itself in relation to Title VI Nondiscrimination, with regard to age,
race , religion, color, sex, national origin, disability, etc .
Local Government Project Procedures (LGP P)
Construction Page 14 of74 October, 2003
Modul e 11
Sec tion 4 -Local Gove rnm ent (L G) Contract
Compon ents
The minimum advertisement period is three we eks . With approval by Tx.DOT , excepti o ns
are permitted where circumstances warrant. For lar ge or complex projects , th e advertisement
period should be greater than three weeks to permit prospective bidders adequate time to
prepare a responsive bid proposal. Scheduling a pre-bid meeting to addre ss prospective
contractors concerns and questions is considered good industry practice.
Addenda. All bidders must bid the project on the same or comparable basis , so that no
particular advantage or disadvantage accrues to any potential bidder or to the LG. Since an
addendum issued during an advertisement period could have a profound impact, not just on
bid prices, but also on the basis for bid comparisons , all prospective bidders must be made
aware of any addendum as expeditious ly as possible.
The definition of "expeditious," in terms of an adequate time frame to get an addendum out
to all prospective bidders prior to the bid opening, is subjective. Each case should be judged
on the complexity of the addendum. The most important consideration in an addendum
process is to give all potential bidders enough time to fully evaluate the effect of the changes
and to adjust their bid accordingly. The LP A should develop policy guidance that identifies
an adequate time frame.
Since an addendum constitutes a deviation from the TxDOT-approved PS&E, the obligation
of Federal-aid funds may be impacted by the change. Therefore, Tx.DOT must approve an
addendum prior to release to the prospective bidders. Any approval or concurrence will be
based on the LG's assurance that all potential bidders will receive the approved addendum .
The Texas Government Code §2155.083 requires that all contracts involving more than
$25 ,000 be posted in the in State Business Daily maintained by the Texas Department of
J Commerce. The LG must post in the busines s daily either the entire bid or proposal
solicitation package or a notice that includes all information nece ssary to make a successful
bid, proposal, or other applicable expression of interest for the procurement contract,
including at a minimum the following information for each procurement that the state
agency will make that is estimated to exceed $25 ,000 in value:
+ A brief description of the goods or services to be procured and any applicable state
product or service codes for the goods and services;
+ The last date on which bids, proposals, or other applicab le expressions of interest will
be accepted;
+ The estimated quantity of goods or services to be procured;
+ If applicable, the previous price paid by the state agency for the same or similar goods
or services;
+ The estimated date on which the goods or services to be procured will be needed; and
+ The name, business mailing address, and business telephone number of the state agency
employee a person may contact to inquire about all necessary;
+ Information related to making a bid or proposal or other applicable expression of
interest for the contract.
Local Government Project Procedures (LGPP)
Construction Page 15 o/74 October, 2003
Module 11
Section 4 -Local Governm ent (LG) Contra ct
Co mponents
The LG shall continue to accept bid s or proposals or othe r applicable expressions of interest
for the contract for at least 21 calendar days after the date the LG first p os ted notice of th e
contract in accordance with the requirements listed above , or 14 calendar days after the date
the LG first posted the entire bid or proposal solicitation p ackage . The minimum posting
requirements do not apply in an emergency requiring the LG to make the procurement more
quickly to prevent a hazard to life , health, safety, welfare or property or to avoid undue
additional cost.
The Texas Transportation Code §223.002 stipulates that notice of the time and place at
which bids will be opened for a contract and the contract awarded be published in a
newspaper published in the county in which the improvement is to be made once a week for
at least two weeks before the time set for awarding the contract and in two other newspapers
that the LG may designate . If the LG estimates that the contract involves an amount less
than $300 ,000, notice may be published in two successive issues of a n ewspaper published
in the county in which the improvement is to be made; no further advertisement is needed. If
a newspaper is not published in the county in which the improvement is to be made , notice
shall be published in a newspap er published in the county nearest the county seat of the
county in which the improvement is to be made; and in which a newspaper is published.
Summary -The LG must not advertise for receipt of bids before TxDOT has approved the
PS&E. Once approved, advertisement must be published in accordance with State statute.
The LG must also have TxDOT approval of any addenda before they are issued to
prospective bidders . All bidders must have access to the addenda.
Americans with D isabi lities Act (ADA)
T he Americans with Disabilities Act (ADA) is codified at United States Code (USC) Title
42 Chapter 126 and requires equal opportunity for individuals with di s abilitie s. Title II of
the ADA governs public facilities in cluding roads and sidewalks. Such opportunity prohibits
discrimination against individuals with disabilities in government services, public
accommodations, transportation and telecommunications. Further, "reasonable
accommodation" must be provided to qua lified individuals with disabilities.
Federal regulation located at 49 CFR 37.41 provides that the construction of any new
transportation facility shall afford ready accessibility and utilization by individuals with
disabilities. 49 CFR 32.43 also requires that when altering any existing transportation
facility, the LG must ensure that the alterations are made in such a way as to afford
maximum opportunity to provide ready access and utilization by individuals with
disabilities. 49 CFR 37.3 defines a facility as:
" ... all or any portion of buildings, structures, sites , complexes, equipment, roads,
walks, passageways, parking lots, or other real or personal property, including the
site where the building, property , structure , or equipment is located'.'.
Technical assistance concerning Title II's requirements may be obtained from the U.S.
Department of Justice and the U .S . Access Board.
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Summary -The LG must ensure that th e constructio n of a new transportation facility or the
revi s io n of an existing transportation facility complies with the requirements set forth in 49
CFR Part 37 .
Bid Ana lysis and Contract Award
Bid analysis is the basis for justifying contract award or rejection of the bids . A proper bid
analysis helps to ensure that funds are being use d in the m os t effective manner. Contract
award is the commitment to go forward with the proje ct.
Bid Analysis. The Engineer's Estimate is part of the PS&E . One of the purposes of the
estimate is to serve as·a guide to analyze bids . The estimate should be accurate, credible and
based on realistic data. TxDOT maintains written procedures for justifying the award of a
contract, or rejection of the bids, when the low bid appears excess ive or rejection is being
considered for other reasons (please refer to TxDOT's Letting Manual for more
information).
The bid analysis process , pursuant to 23 CFR 63 5 .114( c ), is an examination of the unit bid
prices for reasonable conformance with the engineer's estimated price s. Beyond the
comparison of prices, other factors that a bid analysis may consid er include :
+ Number of bids,
+ Di stribution or range of the bids,
+ Id entity and geographic location of the bidd ers,
+ Urgency of the project,
+ Unbalancing of bids ,
+ Current market conditions and workloads ,
+ Comparison of bid prices with similar projects in the letting,
+ Justification for significant bid price differences ,
+ Potential for savings if the project is re-advertised , and
+ Other factors as warranted.
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Not all of these factors ne ed to be considered for bids that indicate reasonable prices or show
goo d competition. Howev er, when the low bid differs from the engineer's estimate by an
unreasonable amount, a thorough analysis of all bids should be undertaken to justify award
of the contract. In order to justify award of a contract under these circumstances, the
following questions should be considered:
+ Was competition good?
+ Is the timing of the project award critical?
+ Would deferral be contrary to the public interest?
+ Wo uld re-advertisement re s ult in higher or lower bid s?
+ Was there an error in the engineer's estimate?
Unbalanced Bids . TxDOT will perform an analysis of the tabulations and the project
estimate to determine the presence of unbalanced bids. As defin ed in 23 CFR 63 5 .102, the
two types of unbalanced bids are:
+ A mathematically unbalanced bid is a bid that contains lump sum or unit bid items that
do not reasonably reflect the actual costs (plus reasonable profit, overhead costs , and
other indirect costs) to construct the item, while
+ A materiall y unbalanc ed bid is a bid that generates reasonable doubt that award to that
bidder would result in the lowest ultimate cost to the Government. A materially
unbalanced bid should not be awarded.
To detec t mathematical unbalancing, the unit bid items will be evaluated for reasonable
conformance with the engineer's estimate and compared with the other bids received . There
are no definitive parameters ( e.g., an amount or percent of variance from the engineer's
. estimate) that constitute an unbalanced bid. Th e degree of unbal ancing of a bid may dep end
on the reason for the unbalancing .
There may be situations where the quantity of an item could vary due to inaccuracies in the
original quantity or cost estimating, errors in the plans, changes in site conditions or design,
etc. In these situations, the bids will be further evaluated to determine if the low bidder
would ultimately yield the lowest cost. If unbalancing create s reaso nable doubt that award
would re sult in the lowest ultimate cost, the bid is materially unbalanced and TxDOT will
recommend rejection or other steps to be taken to protect the government's interest.
Additional information related to unbalanced bid determination is available in TxDOT's
Letting Manual.
Texas Transportation Code §223 .0041 stipulates that award of a contract must be made to
the lowest bidder. This award is however, subject to the federal Buy America provisions in
accordance with Transportation Code §223.045.
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Concurrence in Award. Concurrence in contract award is not just a formality; it is the
authorization to proceed with construction. The LG must formally request concurrence by
TxDOT in the award of contracts. The basic policy is explained in 23 CFR 635 .114( a):
"Federal-aid contracts shall be awarded only on the basi s of the lowe st responsive
bid submitted by a bidder meeting the criteria of re sponsibility as may have been
established by the SHA [LG] in accordance with 23 CFR 635.110. Award shall be
within the time established by the SHA [LG] and subject to the prior concurrence
of the Division Administrator [TxDOT]."
The regulations , 23 CFR 635 .114(b), further state that:
"Concurrence in award ... is a prerequisite to Federal participation in construction
costs and is considered as authority to proceed with construction, unless
specifically stated otherwise."
TxDOT' s concurrence shall be formally documented in writing and shall include any
qualifying statements concerning the concurrence. Verbal concurrence in award must be
avoided and should only be used in unusual circumstances. Verbal concurrence must be
documented and should be followed by a written concurrence in award that reflects the date
of verbal concurrence.
When the LG determines that the lowest bidder is not qualified, 23 CFR 635.l 14(f) requires
that:
"If the SHA [LG] determines that the lowest bidder is not responsive or the bidder
is not responsible, it shall so notify and obtain the Division Administrator's
[TxDOT's] concurrence before making an award to the next lowest responsible
bidder."
Finally , 23 CFR 635.l 14(h) covers the situation when the LG makes a decision to reject all
bids :
"Any proposal by the STA [LG] to reject all bids received for a Federal-aid
contract shall be submitted to the Division Administrator [LG] for concurrence,
accompanied by adequate justification."
Add Alternates. Many architectural projects use the concept of "add or deductive alternates".
This concept allows the owner to maximize available funding. While the concept is not
normally associated with Federal-aid Highway projects, it may be used if the alternates are
listed in the proposal in priority order, with an explanation to all bidders of how the
alternates will be used to determine the low bidder and contract award.
Summary -The LG must evaluate all bids and base contract award on the lowest
"responsive" and "responsible" bid. The definitions of responsive and responsible must be
included in the bidding documents and must have TxDOT approval. The LG must also
obtain written TxDOT concurrence in the award of all contracts.
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Co mpon ents
Bid Opening and Tabu lation
The bid opening is a public forum for the announcement of all bid s, and is that point in time
where the bids are opened and read aloud. Bid tabulations provide a means of evaluating
bids and a s a me chanism for tracking construction costs.
Bid opening. FHW A policy requires all bids to b e opened publicly and re ad aloud either
item-by-item, or by total amount. If a bid is not r ead , the bidder is to be identifi e d and the
reason for not reading the bid announced.
Reasons for not reading a bid include the bid itself being unresponsive , often called
"irregular", or the bidder is determined not responsibl e . The differences between a
responsive bid and responsible bidder"are as follows:
• A responsive bid is one that meets all the requirements of the advertisement and
proposal, while
· • A responsible bidder is one who is physically organized and equipped with the financial
wherewithal to undertake and complete the contract.
Some reasons for not reading a bid due to bidding irregularities may include:
• Failure to s ign the bid ,
+ Failure to furnish the required bid bond,
+ Failure to include a unit bid price for each item,
+ Failure to acknowledge all addenda,
+ Failure to include a total amount for the bid ,
• Failure to submit a non-collusion affidavit,
+ Failure to commit to the achievement of the DBE contract goals or demonstrate goo d
faith efforts to do so, or
+ Inclusion of conditions or qualifications not provided for in the s pecifications .
The above examples do not include all possible bidding irreg ularities. The LG's
specifications will define what constitutes a bidding irre g ularity. Therefore , the LG's biddin g
documents must clearly identify those requirements with which the bidder must comply to
have a responsive bid .
Just as the bid may be rejected for being irregular or unresponsive, an apparent l9w bid may
also be rejected on the grounds that the bidder is not a responsible bidder. A bidder may be
deemed not responsible because of past unsatisfactory performance, as evidenced by failure
to meet the LG's qualification requirements, or because of State or Federal
suspension/debarment action. A determination of non-responsibility by the LG should be
documented in writing and the contractor should be given "due process" to respond to such
charges . A determination of non-responsibility should be done prior to the receipt of bids .
While 49 CFR 29 .51 O(b )(2) indicates that participants may not be required to check the non-
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procureme nt li st, the LG is hi gh ly enc ouraged to dev e lop a procedure for verifying the
eligibility of p artic ip ants pri or to the award of the contract.
Additional g uidance related to unr es ponsive and irregular bid determination may be
obtained in TxDOT's Letting Manual.
In summary, a successful bid opening should identify the responsible bidder submitting the
lowest, responsive bid.
While FHW A does not have specific policies on how a bid opening should be conducted,
th e competitive bidding policy relies on the phrase in 23 CFR 635.113 that" ... [a]ll bids ...
shall be publicly opened and announced ... ". In common terms, "publicly opened" means
being opened in front of the "public" -particularly those people who are stakeholders in the
letting. The sp ecific details of the advertisement and bid opening procedure s are governed
by State statute.
Bid tabulations . As a basis for tracking current construction costs and forecasting future
construction costs , the LG must provide bid tabulation data to TxDOT.
Combined Certifications/Signature Sheets . Frequently, bids are rejected as non-responsive
because the contractor inadvertently failed to sign one of the many certifications required. In
an effort to maximize competition, some entities use either a combined certification sheet or
include in the bid proposal packet a detailed listing of the certifications that are required and
their location within the packet.
Texas Transportation Code §223.004 requires that all bids be sealed and filed with the LG.
The bid s must be opened in a public meeting allowing attendance by all interes ted bidders.
All bids must opened in the presence of any interested bidders.
S u mmary -The LG must have an approved procedure to in sure that all bid s are publicl y
opened and read. The procedures and specifications must give definitions for "responsible"
and "responsive" bids, listing reasons why a bid will not be considered.
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Bonding and Prequalification
Sectio n 4 -Loc al Governm ent (LG) Contract
Components
An LG may include provis ions for prequalification, bid guaranties or bonds , or warranty
bonds in invitations for receipt of bids. Texas Government Code Chapter 2253 Subchapter B
and Texas Transportation Code §223 .00 6 require a performance bond if the contract is in
excess of $100,000. A payment bond is also required if the contract is in ex cess of $25,000.
Bonding is grouped into four basic classifications , each of which is defined below.
1. Bid Bond, or proposal guaranty, is a bond, certified check, cashier's check or other
negotiable instrument which is submitted with the bid as assurance that the bidder will,
upon acceptance of his bid, execute such contractual documents as may be required
within the time specified,
2. Performance Bond is a bond executed in connection with a contract to assure fulfillment
of all the contractor's obligations under the contract,
3. Payment Bond is a bond executed in connection with a contract to assure payment, as
required by law, to all persons supplying labor and material in the execution of the work
provided for in the contract, and
4. Warranty Bond is a bond executed in connection with a contract to assure that a
warranted item survives the warranty period in the prescribed condition.
Prequalification. The American Association of State Highway and Transportation Officials
(AASHTO) defines prequalification as a means of predetermining job experience and work
capacity and to identify individuals and organizations from whom the agency may accept a
bid. The AASHTO has also encouraged the use of prequalification procedures in its 1981
Suggested Guidelines for Strengthening Bidding and Contract Procedures.
Generally, prequalification consists of an evaluation of the contractor's experience,
personnel, equipment, financial resources and performance record. The evalu ation is
normally performed annually. The information required for prequalification may be
extensive, however, the prequalification process should be relatively short so that it may be
completed during the project advertising period. An LG's prequalification process shou ld not
be used to limit competition or discourage the submission of a bid by an otherwise
responsible contractor.
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Components
AASHTO reco mm end s the fo ll ow in g in fo rmation be re quired for prequalification :
+ Detailed financial statement,
+ Resident agent,
+ Capacity and control classification,
+ Experience and performance,
+ Ownership or control,
+ Equipment, and
+ Updated information when there is corporate or affiliate change or reduction of 10
percent or more of the firm's assets.
The FHW A does not require that an LG implement procedures or requirements for
prequalification, qualification, bonding, or licensing on federal-aid projects. However, if an
LG has these procedures or requirements , they must conform to the FHW A competitive
bidding policy and not restrict competition. State statute does , however , requite performance
and payment bonds.
The procedures and n;:quirements an LG proposes to use for qualifying and licensing
contractors and determining who may bid, be awarded, or perform Federal-aid contracts
shall be submitted to TxDOT for advance approval. Only those procedures and requirements
so approved shall be effective with respect to Federal-aid highway projects. Any changes in
approved procedures and requirements shall likewise be subject to approval by TxDOT.
No procedure or requirement for bonding, in surance , prequalification, qualification or
licensing of contractors shall be approved which, in the judgment of TxDOT, may operate to
re strict competition, prevent submission of a bid, or prohibit consideration of a bid
submitted by any responsible contractor, whether re s ident or nonresident of the State or
local area.
No contractor shall be required by law, regulation, or practice to obtain a license before a
submission of a bid or before the bid may be considered for award of a contract. Contractor
prequalification may be required as a condition for submission of a bid or award of contract
only if the period between the date of issuing a call for bids and the date of opening of bids
affords sufficient time to enable a bidder to obtain the required prequalification rating.
However, an LG may require licensing of contractors after the bids are opened if the
requirement is consistent with competitive bidding principles. In other words, the
requirement must be applied uniformly to all contractors.
The FHW A regulations on licensing do not specifically address subcontractor-licensing
issues.
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Section 4 -Local Gov ernm ent (LG) Contract
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Although an LG may have a compelling reason (e.g., State or local law ) to utilize a
procedure that differs from acceptable Federal-aid practice , the procedure may not be
applied to a Federal-aid project. 23 CFR 635.l 12(d) specifically requires that the LG mu st
inform bidders of contract provisions which do not apply to Federal-aid projects. This
information must be included in the advertisement, specifications, special provisions or
other governing documents as appropriate.
An example of an inappropriate provision would be a State or local preference clause in the
standard specifications. Since the clause provides some competitive advantage for in-state or
loc al contractors, the clause violates the Federal open competition requirements and
therefo re , could not be applied to a Federal-aid project. Other examples would be a
restriction on products or services from specific foreign countries; a requirement to provide
in surance for domestic partners; or small business set-asides.
Please refer to TxDOT's Letting Manual for further guidance related to contractor
prequalification and bonding.
Sum mary -The LG must get advance TxDOT approval of procedures to bond and/or
prequalify contractors.
B uy America
All steel and iron products must be of domestic origin . All manufacturing processes must
take place domestically . Current regulations require the use of domestic steel and iron in
federally funded highway construction. All foreign steel and iron materials and products are
covered by Buy America regardle ss of the percentage they comprise in a manufactured
p ro duct or the form they may take. The regu lations allow bidders and the LG some latitude
throu g h minimum use, waivers a nd alternate bids .
All manufacturing processes must take p lace domestically . Manufacturing begins with the
initial melting and mixing, and continues through the coating stage. Any process that
modifies the chemical content, the physical size or shape, or the final finish is considered a
manufacturing process. These processes iriclude rolling, extruding, machining, bending,
grinding, drilling and coating. "Coating "includes epoxy coating, galvanizing, pa inting , or
any other coating that protects or enhances the value of the material.
Buy America does not apply to raw materials (iron ore and alloys), scrap, pig iron or
processed, pelletized, and reduced iron ore . Insufficient domestic supplies of raw materials
caused FHW A to issue a nationwide waiver allowing foreign source supplies of these items .
The waiver may be found in the August 23, 1994 Federal Register on page 59 FR 43376 . If
domestically produced steel billets or iron ingots are shipped overseas for any
manufacturing process, and then returned to the U.S., the resulting product does not conform
to the Buy America requirements.
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Th e manufacturing process for a steel/iron product is considered complete when the product
is read y fo r u se as an item (e .g., fencing, p osts, g irders , pipe , manhol e cover, etc.) or could
be incorporated as a component of a more comp le x product through a further ma nufacturing
process (e.g., the case for a traffic s ignal head). The final assembly process does not need to
be accomplished domesticall y so long as th e steel/iron component is only installed and no
manufacturing proce ss is p erformed on th e steel/iron component.
Example: Shapes produced dome stically from foreign source steel billets are not acceptable
under Buy America s ince the initial melting and mixing of alloys to create the steel occurred
in a foreign country.
Example: All welding must take place domestically since the welding rod itself is typically
an iro n/s tee l product and the welding process substantially alters the rod.
Buy America does not apply to minimal use of iron/steel materials provided that the total
cost of all foreign source items used in the project, as delivered to the project site, is less
than $2,500 or one-tenth-of-one-percent (1/10 of 1 %) of the contract amount, whichever is
greater. If a supplier or fabricator wishes to use a partial fabrication process where domestic
and foreign source components are assembled at a domestic location, the "as delivered cost"
of the foreign components should include any transportation, assembly and testing costs
require d to install them in the final product.
For the Buy America requirements to apply, the steel or iron product must be permanently
incorporated into the project. Buy America does not apply to temporary steel items (e.g.
temporary sheet piling, temporary bridges, steel scaffolding and falsework, etc.) Further,
Buy America does not apply to materials that re main in place at the contractor's
convenience.
The practice of makin g otherwise eligible items non-parti c ip atin g for th e purpose of
circumventing the Buy America re quirements is unacceptable and will n ot be approved.
There is no clear-cut rule for resolving an after-the-fact discovery of an inadvertent
incorporation of an excess amount of foreign materials into a project. Each situation should
be resolved on a case-by-case basis. FHW A retains the authority to resolve all Buy America
issues.
Buy America provisions apply to all materi a l incorporated in a Federal-aid project, even if
an item is rendered as a "donated material" in accordance with 23 U .S.C. 323 -Donations
and Credits. While the LG may receive a credit for donated material, this material must
generally comply with Buy America.
-
Waivers. Approval authority for waivers of Buy America requirements is retained by
FHW A for all federally funded projects . The FHW A may grant a waiver of the Buy
America requirements for specific projects if the LG can demonstrate either of the
following:
1. Compliance with the requirements is inconsistent with the public interest; or
2. Insufficient quantities of satisfactory quality domestic products are available.
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Section 4 -Local Government (LG) Contract
Compone nts
Materials deliv ery delay will not be considered as grounds for a waiver. The cost differential
betwee n domestic and foreign products is also not grounds for a waiver.
An LG may apply for a waiver of the Buy America prov ision s if it believes that a waiver is
warranted. The LG must submit the waiver reque st with s upportin g informati on through
Tx.DOT to FHW A sufficiently in advance of need to allow time for proper rev iew and
action.
Alternative Biddin g Procedures. An alternative biddin g procedure may be used to justify the
use of foreign steel or iron. Under this procedure , the tota l project is bid using two
alternatives: one which is based on foreign source products , and the second, using dome st ic
products . The use of foreign products may be justified if the lowest total bid based on
domestic steel or iron products is 25 percent more than the lowest bid us ing corresponding
foreign steel or iron products. The 25 percent differential applies to the total bid for the
entire project, not just the bids for the steel or iron products.
Enforcement. The LG is responsible for enforcing the Buy America provisions. The contract
provisions should require the contractor to provide a definitive statement about the origin of
all products covered under the Buy America provisions . An alternate procedure is to use step
certification for products. Under step certification, each handler of the product (supplier,
fabricator, manufacturer, processor, etc.) certifies that his or her step in the process was
domestically performed.
Summary -The LG must prepare any requests for waivers and submit the request through
Tx.DOT to FHW A for approval prior to advertisement for receipt of bids. Further, the LG
mu st include contract provisions that address Buy America .
Change Orders and Time Extensions
Tx.DOT must approve all changes to the contract. The construction industry recognizes that
it is unrealistic to expect that a construction project could be built without deviating from the
project plans. Although project designers should be diligent and exercise due care in
developing the plans, they are not omniscient. There are many peculiarities ( e.g., unforeseen
site conditions, utility conflicts, changes in the geology, etc.) that can arise during
construction and virtually every project should expect changes . Only the construction
engineer is in a position to judge the adequacy of project design s and respond to needed
changes.
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Section 4 -Lo cal Government (LG) Co ntract
Compo n ents
Frequently, change orders are us ed to make the design a better fit for the actual field
conditions. Al so, a change order may re sult in a better product at no substantial incre ase in
cost or time , or an equiv alent product with savings in cost, time , or both. Generally, chang e
orders are class ifi ed by purpose:
• Plan changes
• Specification changes
• Change in cost(+/-)
• Change in time(+/-)
TxDOT must formally approve proposed major extra work or major changes in the contract
plans and provisions in advance . However, when emergency or uriusual condition s justify ,
the TxDOT may give advance verbal approval and confirm such approval with formal
approval, as soon as practical. Non-major changes and non-major extra work also require
formal approval. However, such approval may be given retroactively at TxDOT's discreti on .
The LG, with TxDOT concurrence, should establish and document specific parameters for
non-major change and non-major extra work. The definition of a major change or major
extra work, as included in 23 CFR 635.102, is as follows:
"Major change or major extra work means a change that will s ignificantly affect the
cost of the project to the Federal government or alter the termini, character or scope
of work".
Early coordination between the.LG and TxDOT is essential in the review of change orders.
There are four basic components that TxDOT will consider durin g its review of change
orders. These considerations are:
+ Federal-aid eligibility,
+ Impact on the original "scope of the work"
+ Basis of Payment, and
+ Time Adjustments .
Impact on the Original "Scope of the Work" Typically , if the proposed change falls within
the previously authorized scope of work, then Federal and State participation follows .
Eligibility. The FHWA is often asked to approve change orders to correct work because of a
design or construction engineering error. Federal-aid participation in errors that may
reasonably be expected to occasionally occur ( despite the exercise of normal diligence) may
be justified, as long as the LG's carelessness , negligence , incompetence or under-staffing
were not contributing factors .
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Section 4 -Loca l Gove rnm ent (LG) Contract
Co mpon ents
Consultant Des ign E rrors. Federal p o licy r egarding participati on in consultant de sign err ors
is that the consultant should p ay for th e cost of th e new de sign, but is generally not held
res ponsibl e fo r additional construction co sts res ultin g from such errors , as long as th e errors
are not a result of gross negli ge nce or carele ss ness.
Basis of Payment. The LG must perform and suitably document the co st analysi s for each
negotiated work change order. The method and degree of anal ys is are the LG's deci sion ,
however, the process should be acceptable to TxDOT. Force account procedures should only
be used as a last resort when agreement canno t be reached on the price of a new work item ,
or when the extent of the work is unknown or of such character that a price cannot be
determined to a reaso nable degree of accuracy .
Time Extensions. The change order should al so provide the time need ed to accomplish the
work. Contract time extensions granted by an LG that affect project costs or liquidated
damages shall be subject to the concurrence of TxDOT and will be considered in
determining the amount of Federal participation .
Events that are normally considered to be under th e control of the contractor and, therefore ,
do not warrant a time extension include:
+ Shutdown s for maintenance ,
+ Breakdowns,
+ Su spensions or stop work orders for violation of safety or pollution regulations,
+ Shutdown s for construction accidents, and
+ Material d e la ys.
The FAPG (NS 23 CFR 635A) provides further guidance on mat erials delays . The
contractor is responsible for the timely order and delivery of materials for the proj ect. A
delay in delivery of materials does not in itself generally s upport an extension of contract
time. However, if an unusual market condition (i.e ., an industry-wide strike, natural disaster
or area-wide shortage) occurs , a time extension may be in order.
Delays due to inclement weather should be expected and should generally not be the basi s
for a change in contract time. Weather should be factored into the original contract time
determination.
Federal policy also covers granting time extensions due to utility, railroad and right-of-way
(ROW) clearance delays. Because of the assurances required from the LG prior to TxDOT
project authorization, the policy generally does not permit participation in time extensions
for such delays . Whenever the railroad or utility is permitted to adjust its facilities
coincidentally with contract operations, such activities must be clearly addressed in the
contract provisions. All parties should understand that any interference by the railroad or
utility to the contractor's operations generally would not constitute an allowable delay. In
general, an extension of contract time due to ROW delays is very unusual and is the
exception rather thap the rule .
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Summary -TxDOT retain s approval authority over all change orders and tim e ex ten s ion s.
This authority also de termin es Federal part icipation li _mits.
Child Support Documentation
In accordance with Texas Family Code §231.006, a contractor's bid for a contract must
include the name and social security number of the individual or sole proprietor and each
partner, shareholder, or owner with an ownership interest of at least 25 percent of the
business entity submitting the bid . The following language must be included in the bid
document verbatim:
"Under Section 231.006, Fa~ily Code, the vendor or applicant certifies that the
individual or business entity named in thi s contract, bid, or application is not
ineligible to receive the specified grant, loan, or payment and acknowledges that
this contract may be terminated and payment may be withheld if this certification is
inaccurate."
At the time of contract execution and award , the LG must collect and maintain a list of all
the names and social security numbers of the individuals, partners , shareholders or owners
with an ownership interest of at least 25 percent for the successful bidder. If the LG
determines that an individual or business entity holding a contract is ineligible to receive
payment due to ineligibility , the contract may be terminated. In addition if the required
certification listed above is shown to be false, the contractor is liable to the LG for attorney's
fees , the costs necessary to complete the contract, including the cost of advertising and
awardin g a second contract, and any other damages provided by law or contract.
Summary -The LG must include the certification re quire d by Te xas Family Code §231.006
in all bid documents . In addition, the LG must collect a nd maintain the name and social
security number of all affected contractor owners of the successful bidder as required by
Texas Family Code §231.006 .
Claims
A claim is a continued demand for payment by a contractor if it has been previously denied
under the LG's normal procedures for change approval. Both the LG and the contractor share
in the responsibility for claims. Many claims could be avoided ifreviews of the contract
documents were more thorough, both in preparation of the project and in bidding the project.
Problems occur most often when an LG rushes a project with incomplete or inadequate
plans through the letting process.
If the LG is diligent and pursues resolution of a claim through the courts or arbitration
boards (including appeals), consulting with and keeping TxDOT fully informed throughout
the process, Federal funds may participate in the cost of settlement.
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Sec tion 4 -Lo cal Governm ent (LG) Contract
Compon ents
F ederal funds can participate in intere st associated with a claim if three conditio ns are met :
+ The interest must be allowable by State statute or specification 1,
+ The interest is not the result of delays caused by dilatory action of the LG, State or
contractor, and
+ The interest rate does not exceed the rate provided for by statute or specification .
Contractors' attorney fees are not eligible for Federal participation. The basis for this
detennination is that there is no statutory authority for the payment of attorney fees.
However, the LG's administrative costs, including attorney fees related to the defense of
claims, are reimbursable . Such costs are reimbursable at the same participation rate as the
related construction project.
The FHW A doe s not participate in anticipated profit because this is in the realm of the
contractor's risk .
Texas Government Code Chapter 2001 Subchapter C provides that each party involved in a
claim must be afforded an opportunity for a hearing . The LG must provide the contractor
with a written notice of a scheduled hearing involving a claim within a reasonable time , but
not less than 10 day s from the scheduled hearing date. Such written notice must include:
+ A statement of the time , place, and nature of the hearing;
+ A statement of the legal authority and jurisdiction under which the h earing is to be held;
+ A reference to the particular sections of the statutes and rules involved; and
+ A short, plain statement of the matters asserted.
Informal disposition of a claim may be made by stipulation, agreed settlement, consent
order, or default. Hearings, if conducted, must be administered by the State Office of
Administrative Hearings in conjunction with Texas Government Code §2001.058.
Sum mary-The LG must keep Tx.DOT involved in the process of settling claims if they
anticipate requesting Federal participation in settlement costs . Any hearing associated with a
contract claim must be conducted in accordance with Texas Government Code Chapter 2001
Subchapter C.
Contract Time
The term of the contract is an important part of every construction project. Too l_ittle time
may resu lt in higher construction costs, whi le too much contract time may encourage
inefficiencies, increased user costs, and potentially delays and inconvenience to the public .
I Texas G overnment Cod e §2251.042 all ows payment of intere st in volving a claim if the claim is resolved in fa vor of the co ntractor.
Local Government Project Procedures (LGPP)
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Components
The LG must have an acceptabl e pro ce dure for determining contract time . This proc edu re
should include a comparis on of the ac tual construction tim e ag ainst the estimated
completion time for several projects to ascertain wheth er their procedures result in
appropriate contract time s. The go al should be to strive for the least practical number and
duration of traffic interrupti ons durin g hi ghway con struction.
Summary -The LG must get TxDOT concurrence in their procedure s for determinin g
contract time.
Contractor Purchase of Equipment for LG
Equipment, as defined in 49 CFR 18.3 , means "tangible, nonexpendable, personal property
having a useful life of more than one year and an acqui s ition co st of $5 ,000 or more per
unit." All other tangible personal properiy is considered to be "supply". When an LG mu st
purchase equipment to adequately meet the construction engineering requirements of a
Federal-aid project, how the equipment is purchased (e.g. by the LG directly or by a
construction contractor with ownership transferred to the LG) is irrelevant to Federal-aid
participation. A LG has two options for requesting Federal-aid participation for eligible
program costs. Most costs incurred by LGs are eligible for Federal-aid reimbursement eit her
as a direct co st or an indirect co st. Indirect cost rates must be approved by TxDOT p rio r to
reimbursement. Please refer to FHW A me morandum dated September 24, 1998 for more
information.
LGs reque sting federal participation in direct costs must amortize the equipment's co st over
its useful life. Federal-aid fund s will participate only in that portion of the amortized co st
attributable to the time the equipm ent is use d on a specific Federal-aid project(s).
Summary -In order to receive federal participation for a the purchase of equipment, the LG
must amortize the equipment co st over it s useful life with only the portion directly
attributable to the cost of the project(s) eli g ible for reimbursement.
Convict Labor
There are limitations on using convict labor on a Federal-aid Highway project. FHWA's
re gul ation states:
"No construction work shall be performed by convict labor at the site or within the
limits of any Federal-aid highway construction project from the time of award of
the contract or the start of work on force account until final acceptance of the work
by the State Transportation Agency (TxDOT) unless it is labor performed by
convicts who are on parole, supervised release , or probation."
This same principal applies to projects administered by an LG.
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Se ction 4 -Lo cal Governm e nt (LG) Contract
Compon ents
The principle behind the prohibition of convict labor is that use of convict labor restricts
competition s ince convict labor can be furnish e d at rates well be lo w market labor cos ts or
force account rates.
The terms "parole, supervised release, or probation" refer to the status of a person who has
completed the condition of imprisonment. "Supervised release" does not include inmates
currently serving their imprisonment terms while performing supervised work eith er inside
or outside the walls of the incarcerating facility. Thus it is not acceptable to have inmates
who are currently serving the terms of their incarceration performing work on a project
where convict labor is prohibited .
Summary -The LG must not allow convict labor on their projects .
Debarment Certification
Contractors are not allowed to participate in federally funded projects if they are suspended
or debarred. The prime contractor is required to certify as to their current eligibility status.
Certification is also required of all prospective participants in lower tier transactions. This
includes subcontractors, material suppliers, vendors , etc .
Each participant must certify:
" ... that it and its principals are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered transactions
by any Federal department or agency .... and that they have not been convicted or
had civil judgment rendered within the past three years for certain types of
offenses."
The General Services Administration (GSA) has the responsibility to compile, maintain , and
distribute the list of suspended and debarred parties that are excluded from all Federal
procurement and non-procurement programs. The GSA list is distributed to all FHW A field
offices and is provided to TxDOT to assure that suspended or debarred parties are not
awarded federal-aid highway projects. GSA's list of debarred firms may be accessed at
www.arnet.gov:8000/epls/owa/epls.search menu.
Summary -The LG should insure that plans and specifications are not furnished to
suspended or debarred bidders. In addition, the LG must check for the contractor's
certification as part of the bid opening process.
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Designated Material Sources/ Disposal Sites
Sec tio n 4 -Lo ca l Governm ent (LG) Co n tra ct
Co mponents
The contractor mu st furni sh all materials to be incorporated into the work. However, the LG
can either furni sh materials or require th e contractor to us e desi gnated sources of material s
under certain conditi ons . FHW A policy requires that the contractor must furnish all
materials to be incorporated in the work , and the contractor shall be permitted to select the
so urces from which the materials are to be obtained. Exceptions to this requirement may be
made when there is a definite finding by the LG, with TxDOT's concurrence , that it is in th e
public interest to require the contractor to use materials furnished by the LG or from sources
d es ignated by the LG . The exception policy can best be understood by separating LG-
furnished material s into the categories of manufactured m aterials and local natural material s.
Manufactured Materials . When the use of LG-furni shed manufactured materials is approved
base d on a public intere st finding , such use must be made mandatory. The optional use of
LG-furnished manufactured materials is in violation of Federal policy prohibiting public
agencies from competing with private firms . Manufactured materials to be furnished by th e
LG must be acquired through competitive bidding, unless there is a public interest finding
for another method with which TxDOT has concurred.
Local Natural Materials . When the LG owns or controls a local natural materials source,
such as a borrow pit or a stockpile of salvaged pavement material,-the materials may be
d es ignated for either optional or mandatory use ; however, mandatory use will require a
public interest finding and TxDOT's approval. In order to permit prospective bidders to
properly prepare their bids, the location , cost and any conditions to be met for obtaining
materials that are made available to the contractor shall be stated in the bidding documents .
Mandatory Disposal Sites. Normally , the disposal site for s urplu s excavated materials is to
be of the contractor's choosing; although , an optional site(s) may be shown in the contract
provisions. A mandatory site shall be specified when there is a finding by the LG, with the
concurrence of TxDOT, that such placement is the most economical or that the environment
would be substantially enhanced without excessive cost. Discussion of the mandatory use of
a disposal site in the environmental document may serve a s the basis for the public interest
finding.
Summarizing Federal policy for the mandatory use of borrow or disposal sites:
Mandatory use of either requires that the LG develop a public interest finding and gains
TxDOT's concurrence prior to advertising for receipt of bids. Mandatory use of either may
be based on environmental considerations, where the environment will be substantially
enhanced without excessive additional cost. Where the use is based on environm~ntal
considerations , the discussion in the environmental document may be used as the basis for
the public interest finding .
Factors to justify a public interest finding should include such items as cost effectiveness,
system integrity and local shortages of material.
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Sec ti on 4 -Local Government (LG) Co n trac t
Compo nents
Summary -If the LG wants to either furnish materi a l to a contractor, designate a so urce of
material for the contractor, or require the contractor to use designated disposal sites , the LG
must make a formal finding that it is in the public's interest to do so. The public intere st
determination must have Tx.DOT concurrence .
Differing Site Conditions
In accordance with federal regulations , differing site or changed condition clauses must be
included verbatim in the contract. Due to the nature of highway construction and the
conditions under which work is performed, designers cannot always accurately determine
and describe the conditions existing at project sites. Consequently , actual conditions
encountered during construction may differ from those indicated in the contract documents,
resulting in a change in construction costs. Also, situations may develop during construction
that require the contracting agency to order the contractor to slow down or stop construction
through no fault of the contractor. These slow downs or stoppages in the work may cause a
change in construction costs.
There also may be situations encountered during construction that require the contracting
agency to make alterations to the design. In addition to changing the amount of contract
work, such alterations could significantly affect the contractor's production costs.
In theory , the use of the standardized changed condition clause takes the risk of differing
subsurface conditions out of the bidding process. Bidders need not consider the cost and
difficulty of taking their own borings and compare that with the risk of a differing site
condition .. They need not consider the amount of a contingency to be included in the bid.
Theoretically, with a standardized changed condition clause, contractors will receive no
windfalls nor suffer a disaster from a changed condition. The owner will benefit from more
competitive bidding as the bidders will not inflate co sts for ri sks that may not happen. And
finally , the use of the standardized changed condition clause is meant to provide uniformity
across state lines.
The standardized changed condition clauses in 23 U.S.C. l 12(e) must be included verbatim
in all contracts. The regulation requires the use of three different clauses:
1. Differing Site Conditions Clause -This clause provides for the adjustment of the
contract terms if the contractor encounters:
• Subsurface or latent physical conditions that differ materially from those indicated
in the contract, or
• Unknown physical conditions of an unusual nature that differ materiallx from those
ordinarily encountered and generally recognized as inherent to the work.
2. Suspensions of Work Ordered by the Engineer [LG] ~ This clause provides for the
adjustment of the contract terms if the performance of all or a portion of the work is
suspended or delayed by the Engineer [LG], in writing, for an unreasonable period of
time (not originally anticipated, customary, or inherent to the construction industry).
The contractor is required to submit a request for adjustment, in writing, to the Engineer
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Compo nents
[LG] within sev en calendar d ays of receipt of the not ice to res um e work. Recovery of
profit on costs re sultin g from suspensions of work is not allowed.
To qualify for an adjustment , suspensions must be for unreasonable periods and do not
include brief, customary suspensions for reasons inherent to hi ghway construction (i.e.,
material sampling and testing; approval of shop drawings , material sources, etc.; and other
reasonable and customary suspensions neces sary fo r the supervision of construction by the
contracting agency). In addition, an adjustment under this clause is not allowed if th e work
is suspended for other reasons o r if an adjustment is provided for , or excluded, under other
terms or conditions of the contract.
3. Material Changes in the Scope of the Work -This clause provides for the adjustment of
the contract terms if the Engineer [LG] orders, in writing, an alteration in the work or in
the quantities that significantly change the character of work. The tem1 "significant
change "shall be construed to apply only to the following circumstances:
• The altered character of the work differs materially from that of the original
contract, or
• A major item of work, as defined in the contract, is increased or decreased by more
than 25 percent of the original contract quantity (adjustments shall apply only to
that portion in excess of 125 percent of original contract quantity, or in case of a
decrease, to the actual qu·antity perform ed).
This clause provides for adjustments resulting from formal change orders by the Engineer,
in writing, to the extent that the impacted work is part of the contract. Either party may
initiate an adjustment and both must be in agreement before the work is performed . As with
the suspension of work provision, thi s clause do es not preclude the recognition of
constructive suspensions or delays .
Design-Build Projects
Many states are evaluating design-build contracts under FWHA's Special Experimental
Project No. 14 -Innovative Contracting. In Section 1307 of the TEA-21, Congress included
a provision requiring FHW A to develop design-build regulations for the highway program .
Congress specifically said that FHW A's standardized changed condition clauses are not
necessary for design-build contracts .
Does this mean that such clauses should not be used on design-build contracts? Most owners
would probably say that modified changed condition clauses are necessary for design-build .
Depending on the amount of risk and responsibility transferred to the owner, con!racting
agencies should consider using modified versions of standardized clauses that are
appropriate for their circumstances.
Summary-The LG must include the contract language in 23 U.S.C. 112(e) verbatim in all
contracts.
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Module I I
Disadvantaged Business Enterprise (DBE)
Sec tion 4 -Local Gov ernm ent (LG) Con tract
Compon ents
The DBE Program is the U. S. government's response to diversity in the highway
construction industry.
All Federal-aid projects are subject to the DBE requirements. An LG has the option of
operating under TxDOT's DBE program or submitting its own program through TxDOT
and FHW A to the US Department of Transportation for approval. FHW A must approve
each State's DBE program and its annual goals to ensure compliance with all DBE Program
requirements. US DOT approval of an LG's DBE program is required before an LG can
advertise a project for receipt of bids. LGs are encouraged to contact the TxDOT's
Construction Division, Business Opportunities Section at (512) 486-5530 or the FHW A's
Texas Division office at (512) 536-5900 to discuss these options. Guidance may also be
found at the U.S. Department of Transportation (USDOT) Office of Small and
Disadvantaged Business Utilization Office (OSDB!l).
By regulatory definition, a DBE is" .... a for-profit small business concern" (1) That is at
least 51 percent owned by one or more individuals who are both socially and economically
disadvantaged or, in the case of a corporation, in which 51 percent of the stock is owned by
one or more such individuals; and (2) Whose management and daily business operations are
controlled by one or more of the socially and economically disadvantaged individuals who
own it".
The DBE participation requirements in Federal-aid highway contracts are contract
provisions like any other contract provisions and should be administered as such. DBE
administrative issues that will require review and attention may arise during a project. These
issues will require the LG to have an adequate background of the DBE Prograrn. The LG
should solicit the advice of TxDOT in resolving these issues as needed.
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Secti on 4 -Lo ca l Gov ernm ent (LG) Contr a ct
Compon en ts
If the LG decides to u se their own pro gram , the DBE Specifications and contract provisions
must include the foll owin g :
+ DBE Program Policy
+ Definitions
+ DBE Contract Goal
+ Eligibility Criteria
+ Good Faith Effort Provisions
+ DBE Obligations
+ Sanctions on Failure to Comply with DBE Requirements
+ Determination Procedures on Counting DBE participation towards the DBE Goal
+ A ward Documentation and Procedures
+ Post Award Compliance Provisions
+ Records and Reporting Requirements
The U.S . Department of Transportation issued a final rule on March 4, 1999 regarding its
Disadvantaged Business Enterprise (DBE) regulations . This rule implements a requirement
that all Federal agencies "narrowly tailor" their affirmative action programs to "meet a
compelling Government interest". The final rule contains a number of significant change s to
the DBE program. Some of the more significant changes are described below.
+ The rule changed the way recipients (any contracting agency receiving funds under the
USDOT) set and attain DBE goals. The ten-percent national goal is neither a floor nor a
ceiling for recipients . It repre sents an "aspirational goal" for the nation. Transportation
agencies (including LGs) must set their goals based on local evidence of the actual
availability of qualified DB Es. (Section 26.45)
+ LGs must provide for a public participation process in establishing their overall goals
(Section 26.45). Once goals are e stablished, LGs must use race -neutral methods, such as
. technical assistance and outreach, to meet as much of their overall goals as possible .
There is no requirement that contract goals be applied to all contracts. (Section 26.51)
+ Businesses exceeding small business size standards or individuals exceeding a $750,000
personal net worth cap will be excluded from the program. (Sec .26.67)
+ On August 29, 2000, the USDOT determined the maximum ceiling for DBE firms to be
$17,420,000 in annual gross receipts, averaged over a three-year period.
+ One-stop shopping certification programs are to be established in each State so that
businesses may obtain certification as a DBE to apply for contracts in highway, transit
and airport agencies. (Section 26.81) The Texas Unified Certification Pro2:ram (UCP)
will be effective in October 2002 .
+ Contractors will not be penalized if they fail to meet numerical efforts as long as they
"make good faith efforts to meet a DBE contract goal". (Section 26.53)
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Construction Contracting Related Changes
Section 4 -Local Government (LG) Contract
Components
LGs adopting their own program must create and maintain a bidders list consisting of all
firms bidding on prime contracts and bidding or quoting subcontracts on DOT-ass isted
projects. The Final Rule requires the following information, but does not mandate how an
LG will obtain this information : (Section 26 .11)
+ Firm name ,
+ Addre ss,
+ DBE or non -DBE status ,
+ Age of the firm, and
+ Annual gross receipts.
LGs must initiate prompt payment mechanisms on all subcontracts on federally assisted
contracts. The clauses must: (Section 26 .29)
+ Require prime contractors to pay subs for satisfactory performance of their contracts no
later than a specific number of days from receipt of each payment by the prime.
+ Require prompt return of retainage payments _within a specific number of days after the
subcontractor's work is satisfactorily completed.
The final rule differs from Part 23 in requiring DBE prime contractors to meet goals and
make goo d faith efforts on the same basis as other prime contractors. (Section 26.53).
Co ntrary to previous FHWA policy , when a contractor find s it necessary to replace a DB E
subc ontractor, the contractor must only be concerned with the original contract goal
established by the recipient for the procurement (not the DBE commitment at the time of
award). (Section 26 .53).
The narrow tailoring emphasis has revised existing policy to only allow credit for work
actually being performed by DBEs themselves. The value of work performed by DBEs
themse lves is deemed to include the cost of materials and supplies purchased and equipment
leased by the DBE from non-DBE sources, provided the supplies or leased equipment is not
from the prime contractor. (Section 26.55).
A DBE trucking firm must own at least one truck and one driver. It must control all trucking
operations for which it seeks credit. It can lease both trucks and drivers, including owner-
operators; however, it will only receive DBE credit for its own and DBE leased
drivers /trucks. It may receive DBE credit for the fees or commissions it receives for
arranging the services of non-DBE leased drivers/trucks. (Section 26.55).
DBE credit is only counted toward goals when actual payments are made to the DBE firm.
(Section 26.37).
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Section 4 -Local Governm ent (LG) Contract
Components
DB E prime bidders must meet the req uirements of 49 CFR Part 26 as any other bidder (meet
the goa l or provide a good faith effort). Recipients may only count work performed by
DBEs regardle ss of whether the prime is a DBE or no n-DBE. (Section 26.53 (g)).
Summary -The LG must either adopt TxDOT's DBE pro gram or submit their own
program to the US Department of Transportation through TxDOT's Construction Di visi on
andFHWA.
Di stri bution of bid documents
The advertisement and approved plans and specifications must be available to bidders a
minimum of three weeks prior to opening of bid s in accordance with 23 CFR 63 5 .112 .
Shorter periods may be approved by TxDOT' s in special cases when justified.
Summary -The LG must insure that the required advertisement, as well as approved p la ns
and specifications, are available to bidders at least three weeks prior to the bid opening date.
Environmental concerns
Environmental commitments are often made during the environmental process . The se
commitments must be carried forward to the construction plan s . For more information,
please refer to the Environmental chapter of the LGPP Manual.
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Equal Employment Opportunity
Sec tion 4 -Lo ca l Governm ent (LG) Contract
Components
In accordance with 23 CFR Part 200 and Fom1 FHWA-1273, the LG must ensure that all
Federal-aid construction contractors and subcontractors with contracts of $10,000 or more
do not discriminate and will take affirmative action to assure equal employment opportunity
for all persons attendant to the contract. To assure nondiscrimination, the LG must do the
following:
+ Ensure all contractors and subcontractors accept the following as their operating EEO
policy verbatim:
"It is the policy of the Company to assure that applicants are employed, and that
employees are treated during employment, without regard to their race, religion,
sex, color or national origin, age or disability. Such action shall include:
Employment, upgrading, demotion, or transfer; recruitment or recruitment
advertising; layoff or termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship, preapprenticeship, and/or on-the -
job training."
• Ensure that all contractors and subcontractors designate and identify an EEO Officer.
• Ensure that all contractor and subcontractor personnel authorized to hire, supervise,
promote and discharge employees are fully cognizant of, and will implement, the EEO
policy.
+ Ensure that all contractors and subcontractors, when recruiting for employees, include
in all advertisements for employees the notation: "An Equal-Opportunity-Employer".
Contractors and subcontractors must also implement additional recruitment efforts su ch
as utilizing public and private employee-referral services and employee referrals.
+ Ensure that all contractor and subcontractor personnel actions are administered without
regard to race, color, religion, sex or national origin, age or disabil ity .
+ Ensure that all contractors and subcontractors assist in locating, qualifying and
increasing the skills of minority group and women emp loyees , and applicants for
emp loyment.
+ Ensure that all contractors and subcontractors do not discriminate on the grounds of
race, color, religion, sex, national origin, age or disability in the se le ction and retention
of subcontracts, material suppliers and leasing companies.
Summary -The LG must ensure that contractors and subcontractors do not discriminate
with regard to race, color, religion, sex, or national origin, age or disability in any
employment opportunities and at any tier in the contracting activity .
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Module II
Equipment Rental Rates
Section 4 -Local Gove rnm ent (LG) Co ntract
Co mpon ents
Federal regulations address participati o n in equipment owned or rented by the contractor
and used in force account work. Specified cost accounting principals must be used to
develop the rates . In 1986 , an Office of the Inspector General (OIG) audit of rental rates
found that a significant number of contractors were being reimbursed for equipment usage
based on rates that included ineligible costs. Ineli g ible costs included use of contingencies,
replacement cost escalator factors, and premium rental rates for rental periods les s than one
month.
Federal policy requires that actual costs be used to determine extra work payments ;
however, actual equipment costs are usually not readily available. Therefore, the FHW A
p e rmits an LG to specify the acceptable rate guides in construction contracts. The LG may
also include any equipment rate schedules developed in conformance with the Federal cost
principles and the FHW A policy.
The Federal cost principles applicable to rental rates for contractor furnished equipment are
contained in 48 CFR, Part 31. The provisions in 0MB Circular 87 apply when LG-owned
equipment is used.
Rental Rate Guides: An LG may, subject to TxDOT concurrence, adopt the Blue Book or
other industry rate guide, or it may develop its own g uide. The LG must make the
determination that the equipment rental rates developed or adopted fairly estimate a
contractor's actual cost to own and operate the equipment within its jurisdiction. TxDOT
must review and approve the LG 's rates for compliance with the policy before including the
rates in a contract proposal.
Adjustment Factors: Equipment is not expected to operate for 12 consecutive months. M ap s
at the beginning of each Blue Book equipment section indicate adjustment factors base d on
climate and regional costs. Rate adjustment tables indicate adjustment factors based on
equipment age. 'fhe adjustment factors in the maps and tables are to be applied when
d e termining the eligible rate.
Maximum Rate: The Blue Book adjusted rates cover all eligible equipment related costs.
Therefore, they are considered to be the maximum eligible rates for Federal-aid participation
purposes .
Hourly Rates: The developer of the Blue Book accumulates all contractor costs for owning a
piece of equipment on an hourly basis. The monthly rate displayed in the rental guide is
determined by multiplying the accumulated hourly costs by the monthly standard_ of 176
hours . Therefore, for periods of equipment use less than the standard 176 hours per month,
Federal-aid participation shall be limited to the hourly rate obtained by dividing the monthly
rate by 176. Premium rates contained in the rate guides shall not be used.
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Sectio n 4 -Local Governm e nt (LG) Contract
Components
Standby Equipment Rates: The contractor continues to incur certain ownership costs when
equipment is required to be on standby. The us e of a standby rate is appropriate when
equipment has been ordered to be available for forc e ac count work but is idle for reasons
that are not the fault of the contractor. While an industry standard does not exist for standby
rates, it has been the normal practice of the courts to reduce published ownership rental
guide rates by 50 percent for standby rate usage. Therefore, the FHW A will accept 50
percent of the ownership rental rates of an approved guide as the standby rate in lieu of a
contractor's actual standby costs. There should be no operating costs included in the rate
used and standby time should not exceed 8 hours per day, 40 hours per week, or the annual
u s age hours as establi s hed by the rate guide.
Mobilization: The costs required to mobilize and demobilize equipment not available on the
project are eligible for reimbursement. Standby rates should be used for equipment while
being hauled to and from the project. This will be in addition to applicable rates for the
hauling equipment. All costs associated with the assembly and disassembly of the equipment
for transport should also be considered in the mobilization costs.
Overhead: Equipment overhead includes such items as insurance, property taxes, storage ,
licenses and record keeping. The Blue Book rates include all equipment overhead costs.
Therefore, if a contractor proposes to apply project or home office overhead to a Blue Book
rate, the LG must assure that it contains no equipment overhead cost factors. TxDOT will
determine the reasonableness of such a rate.
Profit: There is no provision for equipment rental profit in the Blue Book published rate s .
Federal regulations do not prohibit the addition of an amount for profit. If an LG has a
policy for the payment of profit, it should be followed on Federal-aid contracts. If a profit
amount is used, TxDOT will determine reasonableness based on experience.
Contractor Leased Equipment: When a contractor obtains equipment through a third party
rental agreement for use in a force account situation, the cost will normally be the invoice
cost. The invoice cost should be comparable with other rental rates of the area. The
Associated Equipment Distributors (AED) Rental Rate and Specifications may be used to
evaluate the costs for such equipment rental. Since rental agreements vary , the specific
operating costs included in the rental agreement may need to be determined. The contractor
may be reimbursed for additional eligible operating costs not covered by the agreement (i.e.,
fuel, lubrication, field repairs, etc), however, equipment standby time will not be
reimbursed. ·
The AED book is not acceptable as a rate guide for contractor owned equipment. The AED
rates are based on national averages of rates charged by equipment distributors and do not
reflect the contractor's cost of owning and operating the equipment.
Summary-The LG must specify the method to be used for potential force account work.
TxDOT will approve the rate as part of their approval of the plans and specifications.
Local Government Project Procedures (LGPP)
Construction Page 42 of74 October, 2003
Module II
Section 4 -Local Government (LG) Co ntract
Compone nts
False statements
The following notice is contained in 23 CFR 635.119 and must be posted on each Federal-
aid hi ghway proj ect in one or more places where it is readil y available to and viewable by all
perso nnel concerned with the project.
+ Notice to All Personnel Engaged on Federal-Aid Highway Projects
+ United States Code, Title 18, Section 1020 , which read s as follows:
Whoever, bein g an officer, age nt, or employee of the United States, or of any State
or Territory, or whoever, whether a perso n, association , firm , or corporation,
knowingly makes any false statement, false repres entation , or false report as to the
character, quality, quantity , or cost of the material used or to be used , or the
quantity or quality of the work performed or to be performed, or the co sts thereof in
connection with the submission of plans, map s, specifications, contracts, or costs of
construction of any highway or related project submitted for approval to the
Secretary of Transportation; or
Whoever , knowingly makes any false statement, false representation , false report ,
or false claim with respect to the character, quality , quantity , or cost of any work
performed or to be performed, or material s furnished or to be furnished , in
connection with the construction of any hi ghway or rel ated project approved by the
Secretary of Transportation; or
Whoever, knowingly makes any false statement or false representation as to a
material fact in any statement, certificate , or report submitted pursuant to the
provi s ions of the Federal-aid Road Act approved July 11 ,1916 (39 Stat. 355), as
ame nded and supplemented, Shall be fin ed not more than $10 ,000 or impri soned
not more than five years, or both.
Summary -The LG must post the noti ce as outlined above .
Form FHWA-1273
The Form FHWA-1273, Required Contract Provi sions , is a convenient collection of contract
provisions and proposal notices that are required by reg ulations promulgated by the FHW A
and other Federal agencies. The provisions contained in Form FHW A-12 73 are generally
applicable to all Federal-aid construction projects and must be made a part of, and physically
incorporated into, all contracts, as well as all appropriate subcontracts and purchase orders.
The LG is not permitted to modify the provisions of Form FHWA-1273. Minor additions
covering other requirements may be included in a separate supplemental specification,
provided they do not conflict with State or Federal laws and regulations and do not change
the intent of the required contract provisions.
Summary-The LG must include Form FHWA-1273 verbatim into all contracts and must
insure that the prime contractor incorporates the provisions into all subcontracts and
purchase orders .
Local Government Project Procedures (LGPP)
Construction Page 43 of 74 October, 2003
Module 11
Inspection
Sec tion 4 -Local Government (LG) Con tract
Components
The LG and Ix.DOT have certain insp ec tion responsibilities . All Federally funded proj ec ts
must be completed in accordance with the approved plan s, specifications and authorized
changes. FHWA has the responsibility of assuring proper stewardship of Federal funds .
Projects must meet minimum design standards before Federal funds can be authorized. This
is one function of the PS&E approv a l process . Once authorized, the project must be built to
follow the PS&E . Any changes must be approved before Federal funds can particip ate.
Some projects have direct FHW A involvement, meanin g that FHW A is p art of all appro va l
actions. For the majority of Federal-aid projects , TxDOT assumes FHWA's approval
authority. One approval action required on all projects is acceptance of the completed work.
When accepted, TxDOT certifies that the completed project meets all approval criteria.
Complete confidence that a project meets all approved criteria can be accomplished only by
full-time involvement in all phases of the project. For Tx.DOT, this is neither practical nor
desirable. By executing an agreement with TxDOT, the LG assures that it has the staff to
manage all project functions. TxDOT verifies the LG 's actions by conducting periodic
inspections. However, it is the LG's day-to-day responsibility to determine compliance with
the approved plans , specifications and contract administration requirements .
Compliance with the plans , specifications and contract administration requirements have
many parts. One part is assuring that the contractor meets all material and construction
requirements . This can be summarized as "quality of the construction". If the LG is not
adequately staffed to assure quality construction, it can retain the services of an engineering
or architectural firm. If this option is cho se n, the firm 's services must be secured in
compliance with 23 CFR 172B.
One often-overlooked principle is that contract admini stration iss ue s are al so important. For
example, a specification implementing Davis-Bacon wages and the associated monitorin g
and reporting requirements has as much validity as a specification on concrete quality. To
assure full contract compliaqce and Federal participation, the LG is responsible for day-to-
day inspection . When the LG executes an agreement with TxDOT, the LG is providing
assurance that they are staffed to manage the project and are capable of managing all
requirements, including contract administration responsibilities.
23 CFR 1.36 states:
"If the (Federal Highway) Administrator determines that a State (or LG) has
violated or failed to comply with the Federal laws or the regulations in this part
with respect to a project, he may withhold payment to the State (or LG) of Federal
funds on account of such project, withhold approval of further projects in the State
( or to the LG), and take such other action that he deems appropriate under the
circumstances, until compliance or remedial action has been accomplished by the
State ( or LG) to the satisfaction of the Administrator."
Local Government Project Procedures (LGPP)
Construction Page 44 of 74 October, 2003
M o dule II
2 3 CF R 635.105 state s:
Secti on 4 -Local Govern me nt (L G) Co ntra ct
Compone nts
"The SHA (Tx.DOT) has re sponsibility for the constructi o n o f all Federal -aid
projects , and is not relieved of such respon sibility by authori z in g performance of
the work by a local public agency. The SHA (Tx.DOT) shall be re sp o nsible for
insuring that such projects receive adequate supervision and inspection to insure
that projects are completed in conformance with approved plans and specifications.
When a project is located on a street or highway over which the SHA (Tx.DOT)
doe s not have legal jurisdiction, or when special conditions warrant, the SHA
(Tx.DOT), while not relieved of overall project responsibility, may arrange for the
Local Government having jurisdiction over such street or highway to perform the
work with its own forces or by contract provided the following conditions are met:
+ When the work is to be performed under a contract awarded by a local public agency ,
all Federal requirements shall be met.
+ The Local Government is adequately staffed and suitably equipped to undertake and
satisfactorily complete the work; and
+ In those instances where a Local Government elects to use consultants for construction
engineering services , the Local Government shall provide a full -time employee of the
agency to be in responsible charge of the project."
Summary-The LG must provide day-to-day inspection and oversight of the contractor's
activities. Tx.DOT will provide periodic inspection to:
+ Asses s LG procedures and controls for assuring that projects are completed in
rea sonably close conformance with the approved plans, specifications, authorized
chang es and, if neces sary, need ed identifi ed improvements to SHA activities ;
+ Monitor the quality of construction; and
+ Assure consistency with the terms of the LG/Ix.DOT agreement.
Summary -The LG must assure TxDOT they have an adequate process to document the
various features of the project. This process must be acceptable to TxDOT.
Liquidated Damages
Liquidated damages are required as a mean s of recovering , at a minimum, construction
engineering costs from a contractor. Contract time is an essential element of the contract and
it is important that the work be pressed vigorously to completio~. The cost to the contracting
agency for the administration of the contract, including engineering, inspection and
supervision, increases as the contract time increases. Likewise, the road user costs also
increase as the completion date of the contemplated facility is extended. The liquidated
damages contract provision provides a mechanism for the contracting agency to recover
these costs associated with the contract time overrun . TxDOT is required to have the LG
incorporate liquidated damages provisions into their Federal-aid contracts as a condition of
the project agreement.
Local Government Project Procedures (LGPP)
Construction Page 45 of 74 October, 2003
Module 11
Section 4 -Loca l Go vernm ent (LG) Co ntra ct
Components
Mo st of the contracting agencies use a liquidated dam ag e rate schedule based on a range of
contract amounts. However, some use a daily rate that is calculated specifically for the
particular project. The LG is required to develop and maintain it s own liquidated damages
rates that will cover, as a minimum, the LG's average daily construction e ng ineering (CE)
costs attributable to a contract time overrun. The rates are subject to verification and
approval by TxDOT. The LG must also review the rate every two years and adjust it if
necessary.
In addition to CE costs, the LG may include the costs of project-related delays or
inconveniences, to the LG or to the public, in their liquidated damage provisions. In such
case s, costs recovered in excess of the actual CE costs shall be deducted from the
construction costs in proportion to the Federal participation on the project. Costs recovered
in excess of the actual CE costs shall be deducted from the construction co sts.
Incentive/disincentive amounts are to be shown separately from the liquidated damage
amounts and are to be based on road user costs. In addition , the LG may include provisions
for consequential damage when tolls are involved.
Additional guidance may be obtained from TxDOT's
Accelerated Construction Strategies Guideline.
Summary -The LG must develop liquidated damage rates that recover the cost of
construction engineering. TxDOT will approve the rate . The LG must also include contract
provisions to assess damages .
Lobbying Certification
Section 319 of Public Law 101-121 prohibits Federal funds from being expended to
influence , or attempt to influence , a Federal agency or Congres s in connection with the
award of any Federal contract or grant. This prohibition appli es to all recipients , including
lower tier subrecipients of a Federal contract or grant. Prior to receiving funds in excess of
$100,000 per contract/grant, the LG must submit to the TxDOT a certification that it has not
and will not make any prohibited payments for lobbying. By signing a contract or
subcontract, a prime contractor or subcontract is certifying that it will comply with lobbying
restrictions .
The LG certification is to be retained by TxDOT. Likewise, lower tier certifications are to be
retained by the next higher tier (i.e., prime contractors retain their subcontractors'
certifications, etc.)
Any participant that has made, or agreed to make, payments for lobbying activities using
non-Federal funds , is required to disclose such activities. Payments of non-Federal funds to
regularly employed officers or employees of the agency or firm are exempt from the
disclosure requirement. All disclosure forms, including those by lower tier recipients, are to
be forwarded to the FHWA through TxDOT.
Local Government Project Procedures (LGPP)
Construction Page 46 of 74 October, 2003
Module 11
Section 4 -Lo ca l Government (LG) Contra ct
Components
Summary -The LG must certify that it has n ot u sed Federal funds for lobbying activities. It
must also receive , and reta in , similar certifications from the prime contractor and insure that
the prime contractor include s similar assurances in lower tier agreements.
Local Hiring Preference
The LG may not include any contract provisions that require a contractor to g ive any
preference in hiring. Some states and local public agencies have implemented policies that
encourage or mandate the use of local employment or local contracting. In such cases,
Federal-aid contracts (including invitations for bids or request-for-proposal documents) must
contain specific provisions that state that such preferences are not applicable to contracts
funded by FHW A. Compliance with local preference provisions will not be a condition of
responsiveness in the consideration of bids or a condition of responsibility prior to the award
of contract.
While the state and local governments are precluded from enacting such preference
requirements , this requirement does not apply to the Federal Government. Therefore ,
Federal hiring preference requirements, such as EEO/Affirmative Action, Appalachian
Preference, and Indian Preference are not in conflict with this policy.
Summary -The LG must not allow State or local hiring preferences on projects.
Materials
See Patented/Proprietary materials and Prison produced materials.
Method of Construction ( or Method of Bidding)
Construction contracts are to be awarded by competitive bid. One of the most basic tenets of
Federal-aid contracting is that construction contracts are to be awarded competitively to the
contractor that submits the lowest responsive bid. This mandate is set forth in 23 U.S.C. 112
and reinforced by 23 CFR 635.114(a) which requires that:
"Federal-aid contracts shall be awarded only on the basis of the lowest responsive
bid submitted by a bidder meeting the criteria of responsibility as may have been
established by the SHA [Tx.DOT] .... "
The act of an LG negotiating with an apparent low bidder prior to award is defined as "bid
rigging in reverse" and is expressly prohibited by 23 CPR 635.113(a). Adding alternates
may be considered after bids are opened only if the contract contains the priority order in
which alternates are to be considered.
Local Government Project Procedures (LGPP)
Construction Page 4 7 of 74 October, 2003
Module II
Section 4 -Local Governm ent (LG) Contrac t
Components
There may be situations that support the use of a contracting method other than competitive
bidding. Noncompetitive construction contracting or other unusual methods of construction
may be approved under one of two conditions:
+ The option is proven to be more cost effective, or
+ An emergency exists and time is a critical factor .
23 CFR 635 Subpart B allows that "rare" circumstances may justify the use of force account,
negotiated contract or other unusual method of construction. The regulations clearly indicate
that in the absence of an emergency situation circumstances are unlikely to justify the use of
other methods of construction. Therefore , the consideration of any noncompetitive
construction contract method requires a cost effectiveness determination as well as an
evaluation that demonstrates that the circumstances are unusual and unlikely to recur.
A cost effectiveness finding is required for the TxDOT approval of any LG proposal to use a
non-competitive method of contracting. Title 23 CFR 635.205 cites the following situations
as possible reasons for the use of noncompetitive construction contracting:
+ When the rights or responsibilities of the community are so affected as to require a
special course of action, including situations where there is a lack of competition or
unreasonable bids , it may be determined to be cost effective to use force account.
+ When by reason of the inherent nature of the operation , it is deemed cost-effective to do
minor adjustments of railroad and utility facilities (major work still to be accomplished
by competitive bidding) by force account.
Under the first circumstance the use of force account may be found cost-effective when
properly documented . Under the second circumstance, FHWA has determined that the use
of force account is always cost-effective, and therefore, no additional documentation is
required .
Force account work using LG forces is discussed in 23 CFR 635 Subpart Band is defined
a s :
" .... the direct performance of highway construction work by an LG by use oflabor,
equipment, materials, and supplies furnished by them and used under their direct
control".
Force account contracts with a private contractor are an exception to normal construction
contracting procedures and should rarely be approved.
Circumstances that justify a negotiated construction contract should be even more of an
exception, making approvals of such contract methods extremely rare.
Summary -If an LG wants to pursue construction by means other than a contract awarded
to the lowest responsible, responsive bidder, they must gain written TxDOT approval. These
situations should be very rare.
Local Government Project Procedures (LGPP)
Construction Page 48 of 74 October, 2003
Module 11
Non-collusion Statement
Sectio n 4 -Local Governm ent (LG) Contract
Compon ents
The submission of a noncollusion statement protects th e integrity of the Federal-aid highway
program by servin g as a deterre nt to bid rigging acti vities. The certification also becomes
evidence in prosecuting cases involving construction contract bid riggin g . A noncollusion
statement is required from all bidders and is to be submitted as part of the bid proposal
package . Failure to submit the required certification will result in the bid being considered as
non-responsive and ineligible for award consideration.
The LG must include provisions in the bidding proposals that require all bidders to include a
noncollusion statement with their bid . The FHW A , in consultation with the U. S.
Department of Justice (USDOJ), has concluded that the noncollusion statement may be
either an unswom declaration made under penalty of perjury under the laws of the United
States, or a sworn affidavit executed and sworn before a person who is authorized to
administer oaths by the laws of the State.
All noncollusion certifications shall be retained by the LG in accordance with the retention
policy of 49 CFR 18.42. These certifications could serve as important evidence in the event
that collusion or bid rigging is discovered at a later date.
If for any reason , a person feels that fraud has occurred, they should contact the nearest
USDOT Office oflnspector General (OIG) office. The OIG maintains a fraud hotline at 1-
800-424-9071 or hotline @oig .dot.gov. This may be based on a suspi'cion or actual evidence
of fraud, waste and abuse in any project funded by FHW A.
Summary -The LG must insure that all bidders submit a noncollusion statement. If a
bidder fails to submit the statement, their bid may not be opened, read and considered for
contract award.
Non-resident bidder
State laws that provide a bidding preference for resident bidders are not applicable to
federal-aid contracts .
For state funded projects, the Legislature enacted statute regarding non-resident bidders.
Government Code §2252.002 states :
"A governmental entity may not award a governmental contract to a nonresident
bidder unless the nonresident underbids the lowest bid submitted by a responsible
resident bidder by an amount that is not less than the amount by which a resident
bidder would be required to underbid the nonresident bidder to obtain a comparable
contract in the state in which the nonresident's principal place of business is
located."
The department refers to this law as the "Reciprocity Requirement." Information about
States that have bidding preference laws may be obtained form the Texas Secretary of
State's Office.
Local Government Project Procedures (LGPP)
Construction Page 49 o/74 October, 2003
Module 11
S ec tio n 4 -Local Government (LG) Co ntra ct
Com ponents
Summary -The Texas biddin g prefe rence statute is not applicable to federal-aid proje cts .
The LG will need to contact the T exas Secretary of State's Office to o btain a li st of States
with a preference requirement. Inform the department in the reque st for award concurrence
if a biddin g preference was applied in the determinati on of contract award.
Non-responsive Bid
The subject of a non-responsive bid was briefly discu ssed earlier under the Bid Opening and
Tabulation se ction. A list of reason s for a bid to be considered non-responsive mu st be
included in the bid document in conjunction with 23 CFR 635. l 12(h). The reasons mu st be
clearly defined.
Careful thought should be given in determining the reasons for not accepting a bid . The
FHW A has determined that the reasons for a bid being non-responsive li sted in the proposal
cannot be "waived ." Therefore , common provisions allowing an LG to waive technicalities
determined to be in its best interest cannot be invoked regarding a non-responsive bid .
The inclusion of reasons that a bid "may" be declared non-responsive must not be included.
The FHW A has stressed that the use of potential subjective reasons must be eliminated; the
bid is either responsive or non -responsive .
Summary-The LG mu st include in the bid document a list of reasons for a bid to be
consider~d non -responsive. The list must be clear and not include any "may" reasons. The
reasons for a non-responsive bid cannot be "waived ."
Non-segregated Facilities
The contractor cannot di scriminate against any person by having segregated facilitie s. By
entering into the contract, the contractor certifies that they maintain nonsegregated facilities
that conform to the requirements of 41 CFR 60.1.8. The prime contractor is required to
obtain a similar certification from each subcontractor and supplier, as applicable .
One exception to the nonsegregated facilities provision is for the disabled when the demands
for accessibility override ( e .g., disabled parking). In addition, single-user or separate
bathroom s or dressing facilities are also allowable for privacy purpo ses.
Summary-The LG must include contract language that advises the contractor of their
certification . This certification is contained ·in Form FHWA-1273, Section III
(Nonsegregated Facilities).
Local Government Project Procedures (LGPP)
Construction Page 50 of 74 October, 2003
Module 11
Patented / Proprietary Products
S ection 4 -Lo cal Go vernm ent (L G) Contract
Components
Federal funds may not participate in a premium or royalty on any patented or proprietary
product. However, there are provisions that allow sp e cifying brand names under certain
conditions. The following are conditions under which FHW A may participate in payment
for patented or proprietary materials, specifications or processes sp e cifically set forth in the
plans and specifications :
+ The item is purchased or obtained through competitive bidding with equally suitable
unpatented items ,
+ The LG certifies either that the propri etary or patented item is e ssential for
synchronization with the existing highway facilities or that no equally suitable
alternative exists , or
+ The item is used for research or for a special type of construction on relatively short
sections of road for experimental purposes .
The primary purpose of the policy is to have competition in selection of materials and allow
for development of new materials and products . The policy further allows that materials and
products that are judged to be equal may be bid under generic specifications. If only
patented or proprietary products are acceptable, they must be bid as alternatives with all, or
at least a reasonable number, of acceptable materials or products listed .
Trade names are generally the key to identifying patented or proprietary materials. Products
identified by their brand or trade name may not be specified without an "or equal" phrase.
Further, all, or at least a reasonable number, of acceptable "equal" materials or products
must be li sted . The licensing of several suppliers to produce a product does not change the
fact that it is a s ingle product and should not be specified to the exclusion of other equall y
suitable products .
Below are examples of conditions under which patented or proprietary materials may be
used on Federal-aid projects.
Case I. The item is identified by the contract specifications along with a listing of other
acceptable products and the list includes a reasonable number of acceptable products.
Federal funds may then participate in the cost of a patented or proprietary item since it is
acquired competitively.
Case II. The LG certifies, and TxDOT agrees, that the product is essential for
synchronization. This is particularly appropriate when upgrading or expanding existing
traffic signal systems. The existing controller(s) is part of an existing system thaCis not
compatible with any other system hardware. To convert the overall system would be more
expensive than to add to what is already there. Thus, it is in the public interest to require the
compatible proprietary item. Upon TxDOT's concurrence, the item may be specified.
Local Government Project Procedures (LGP P)
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Section 4 -Local Gove rnm e nt (LG) Co ntrac t
Com pon ents
Case III. The LG certifies that th ere is no equally suitable a lt e rnate. Tx.DOT must reas onably
verify thi s s ituation . Base d on a public interest findin g, with TxDOT's concun-ence , the item
may be specified.
Case IV. Products appear from time to time that are new and innovative (i.e. research item
or experimental feature). Based on the developer's claim, manufacturer's claim, or because
of certain local conditions, there may be sufficient justification to evaluate the product in
actual highway usage. The LG may then elect to submit a detailed plan of re search and
evaluation (work plan) for the product. The work plan may also be use d to develop
sp ec ifications in order to provide a basis for future competition with other material s. TxDOT
must approve the work plan with, or prior to, PS&E approval. The specifications may then
require the proprietary item.
Summary -The LG must not specify patented or proprietary products in their contracts
without prior written approval from Tx.DOT.
Prevailing Minimum Wage
Job classification minimum wage rate provisions are to be included in construction
contracts. These wages also ~nclude the cost of any benefits provided by the employer. The
payment of predetermined minimum wages for certain job class ifications used on Federal-
aid contracts is derived from the Davis-Bacon Act of 1931 (40 U.S.C . Section 276a et seq.)
and is prescribed by 23 U.S .C. 11 3 . The Davis-Bacon Act requires the payment of locally
prevailing wages and fringe benefits to laborers and mechanics employed on Federal
contracts in excess of $2 ,000 for construction, alteration, or repair (includin g painting and
decorating) of public buildings or public works. Davis-Bacon was enacted as a mean s to
prevent contractors from importing cheap labor from outside the area, there by, keeping
capital at home with the local labor force where it would do th e most good. Davis-Bacon
provi sions are covered in Form FHWA-1273 as discu ssed in the following sections:
+ Section IV. I. This section sets forth the general requirements for the contractor, and
subcontractors , to pay employees working at the site at least the minimum wage rate
and fringe benefits specified for the classification of work performed. The LG is
re sponsible for incorporating the applicable wage rate decision into each Federal-aid
contract. The US Department of Labor (DOL) requires that an amendment for a general
wage rate determination be incorporated into a Federal-aid contract if notification of the
change is published in the Federal Register 10 days or more prior to the opening of bids.
+ Section IV.2. All employees covered by Section IV are to be classified in conformance
with the wage rate determination. If an additional classification is deemed agpropriate ,
either DOL ·approval or a DOL determination for the classification is required. In this
case, the LG should submit Standard Form SF-308 -"Request For Wage Determination
and Response to Request." Detailed procedures for submitting this form to the US DOL
are provided on their web page.
+ Section IV .3. This section sets forth requirements for paying fringe benefits .
Local Government Project Procedures (LGPP)
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Module 11
Section 4 -Local Government (LG) Co ntract
Co mponents
+ Section IV.4. The provisions of thi s section set forth the requirements fo r paying le ss
than the full specified wage rate for employees who are registered in USDOL approved
apprenticeship and trainee programs or for th os e who are classified as helpers .
+ Section IV .5. This section clarifies that the US Department of Transportation .
apprenticeship and trainee programs are not subject to the DOL program provi sions
stated in Section IV.4 .
+ Section IV.6. The LG has authority to withhold funds from the contractor, as may be
determined necessary, to pay employees of the contractor the full amount of wages
required by the contract. Withholdings are maintained by the LG until restitution is
evidenced. These withholding provisions also apply to wage underpayment by a
subcontractor; however, the actual withholding is tak;en from progress payments to the
prime contractor.
+ Section IV. 7. The contractor is required to pay overtime at the rate of one-and-one-half
times the employee's basic pay rate for all hours worked in excess of 40 hours per week.
+ Section IV.8. This section provides for the assessing and withholding of liquidated
damages for days on which the contractor did not pay overtime in accordance with
Section IV . 7. This withholding is a liability assessment against the contractor or
subcontractor of $10 per day for each employee that was underpaid. The liquidated
damages are furnished to the DOL for its overall enforcement activities. Liquidated
damages should be forwarded through TxDOT to FHW A for deposit into the United
States Treasury.
+ Section IV .9. The LG has authority to withhold funds from the contractor, as ma y be
determined necessary , to pay the liquidated damages and to pay employees of the
contractor the overtime wage s required by Section IV.8.
+ Section V .2. Each contractor and subcontractor must furnish th e LG copies of payroll s
each work during which work was p erformed . Payrolls must include the following
information for each employee:
• Name;
• Social security number;
• Address;
• Work classification;
• Hourly rate of pay;
• Daily and weekly number of hours worked;
• Deductions made; and
• Actual wages paid
Local Government Project Procedures (LGPP)
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Module 11
S ec tion 4 -Local Government (L G) Contra ct
Com ponents
Payroll s submitted mu st confonn to the requirem ents ofUSDOL form WH-347 , including
the required "Statement of Compliance" outlined in Form FHWA-1273 Section V.2.d .
Contractors and subcontractors must maintain the payrolls and re lated documents associated
with the contract a minimum of three years from the date of proj ect completion. All project
payroll records mu st be available to LG, TxDOT , FHWA or USDOL representatives for
in spections , copying or transcription.
The submission of subcontractor payrolls is the responsibility of the prime contractor. If the
prime contractor or subcontractor fails to submit the required weekly payrolls or make such
records available for review , the LG , TxDOT, FHW A or USDOL may , after written notice
to th e contractor, suspend further payment under the contract. Furthermore, failure to submit
the required payrolls or make such records available for review may be ground s for
debarment in accordance with 29 CFR 5 .12.
The USDOL has responsibility for enforcing these statutes and determining the prevailing
wage rates. The USDOL establishes the prevailing wage rates by either a determination,
based on an in-house review of payroll data , or by a survey based on wage data from active
projects . Notices of wage rate decisions are published in the Federal Register. After many
years of operating a subscription service for the publication of prevailing wage rates, the
USDOL is now posting this information on the Internet. As of March 2, 2001 , Davi s-Bacon
wage rates are available electronically at the USDOL web site (see Davis-Bacon).
Applicability of Davis-Bacon -Site of Work. The Davis-Bacon Act limits coverage to
laborers and mechanic s " ... employed directly upon the site of the work." Since 1972 , the
DOL and the courts have been addressing various aspects of the applicability of Davis-
Bacon requirements to site-of-work facilities.
The USDOL's implementing regulation , 29 CFR 5.2(1)(2), extends coverage to off-site
facilities that are dedic ated exclusively and in prox imity to the actual construction site. In
the 1990's, USDOL's regulation was challenged in the court system and two U.S. Di strict
Courts issued decisions against the USDOL.
29 CFR 5 .2 (1)(1) states:
"The site of the work is the physical place or places where the building or work
called for in the contract will remain ; and any other site where a significant portion
of the building or work is constructed, provided that such site is established
specifically for the performance of the contract or project .... "
One example would be a casting or fabrication yard for a segmental concrete bridge which is
specifically established for a project after the award of contract. The LG should contact the
USDOL Regional Offices regarding a determination of what percentage of the work would
constitute a "significant portion" and the potential coverage of such sites . If a significant
portion of the work is to be constructed off site, the LG should attempt to include the wage
determinations covering potential offsite location in the bid proposal.
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Section 4 -Local Government (LG) Contract
Compo nents
29 CFR 5 .2 (1)(2) also indicates other work are as not lo cated on th e s ite of perman ent
construction Qob headquarters, to o l yards , batch plants , borrow pits , etc.), may be part of the
site of the work " .... provided they are dedicated exclusively , or nearl y so, to performance of
the contract or project, and provided they are adjacent or virtually adjacent to the site of the
work." Permanent, previously established facilities are not covered, even where the
operations for a period of time may be dedicated exclusively, or nearly so, to the
performance of the contract.
29 CFR 5.2 U)((l)(iv) provides that transportation between locations which are in cluded in
the "site of the work" are covered . This includes transportation between the permanent
location of construction and covered sites where a "significant portion" of the work will be
accomplished or covered sites that are dedicated exclusively and adjacent or virtually
adjacent to the site of th·e work.
The USDOL has made the determination that when transportation will take place in m o re
than one wage determination area, the applicable wage determination will be the wage
determination for the area in which the construction will remain when completed. This
determination will apply to all bidders, regardless of where they propose to construct
significant portions of the project.
FHWA has taken the position that while this is the USDOL's program , it is inappropr iate fo r
FHWA to provide guidance in this area. FHWA encourages LGs to workjointly with
TxDOT and the FHW A division office and the USDOL regional offices to resolve "site of
work" issues.
Applicability of Davis-Bacon to Specific Work Types. Additional di sc ussion on the
following can be found in the USDOL's Field Operations Handbook (FOH). This ha ndb ook
is available from FHWA's Office of Pro gram Administration (202-366-1558).
Exploratory drilling services -Sub surface utility engineering or utility location servi ces are
considered to be exploratory drilling services. These contracts provide the location of
utilities for engineering or planning purposes . Davis-Bacon does not cover them . See
USDOL FOH 15d03(b ).
Ferryboat Projects -The building, alteration, and repair of ships under government contracts
is work performed upon 'public works' within the meaning of the Davis-Bacon Act. Wage
determinations are issued only if the location of contract performance is known when bids
are solicited. See DOL FOH 15d08. If Davis-Bacon is not included in a ferryboat project,
the USDOL requires that the contract provisions include:
+ A statement clause that explains why the wage rate determinations are not included,
+ A reminder that the contractor must pay at the very least the Federal minimum wage
rate,
+ A reminder that the contractor must submit weekly certified payroll statements, and
+ A reminder that the contractor must comply with all other DOL labor standards.
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Section 4 -Lo cal G o vernm ent (LG) Contract
Components
Flaggers -The DOL has determined that the dutie s of flag ge rs are manual or phy sic a l in
natu re and th erefo re are covered by the Davis -Bacon Act. See USDOL FOH 15e09 (a).
Employees of traffic service companies that rent equipm e nt and perform only incid ental
functions at th e work site in conjunction with the delivery of equipment are not covered. See
USDOL FOH 15e09(b).
Force Account Work by Public Agencie s -In some circumstances, an LG may be authorized
to perform the con struction work using their own force s. Davis-Bacon provi s ions do not
apply to governmental agencies and states. Public agencies are not consid e red "contractors "
o r "subcontractors" within the meaning of the Davis -Bacon Act. See USDOL FOH
15b05(a). However under Texas Government Code §2258.021 , workers employed by the
LG, or other public entity, are covered and must be paid the appropriate _prevailing wage
rate s stipulated by Texas Government Code Chapter 2258.
Helpers -Helpers are permitted on covered contracts if the helper class ification s are
specified in the applicable wage rate determinations . See USDOL FOH 15e04.
Inspectors -The contractor's employees who make inspections for quality and contract
compliance (including quality control or quality assurance) are not usually considered to be
laborers or mechanics and therefore, are not covered . See USDOL FOH 15el3 .
Materialm en and Suppliers -The manufacturing and delivery of supply items such as sand ,
gravel and read y-mixed concrete at the work site, when perfom1ed by companies serving the
ge neral public, are ge nerally not activities covered by Davi s-Bacon. See USDOL FOH
15 e l5.
Owner-operators of Trucks and Other Hauling Equipment -As a matter of policy, the DOL
exempts truck owner-operators from Davis-Bacon coverage. The contractor's certified
payroll s should show the names of the truck owner-operato r with the notation "Owner-
operator" but n ee d not li st hours worked or rates paid. This policy does not pertain to owner-
operators of other equipment such as bulldozers , scrapers, backhoes , etc. See USDOL FOH
15e16.
Project Engineers -The contractor's project engineers are generally not considered to be
laborers or mechanics and therefore are not covered. See USDOL FOH 15e06.
Railroad and Utility Adjustments -Davis-Bacon provisions are not applicable to: 1) the
relocation work done by a public utility or railroad forces , or 2) the relocation done by a
contractor engaged by the utility or railroad . This has been a long-standing FHW A policy
and has a basis in a May 15, 1985 legal opinion from FHW A's Chief Counsel. However,
Davis-Bacon provisions apply when utility relocation work is part of a highway construction
project to be performed by the highway construction contractor and/or subcontractor.
Summer Youth -The USDOL has strict requirements for the employment and payment of
summer youth. See USDOL FOH 15e03.
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S ection 4 -Local Governm e nt (LG) Contra ct
Compone nts
Survey Crews -The actua l duties of the surv ey crewmemb ers mu st be considered. Generally
speaking, in strum ent persons, party chiefs and rod persons are not considere d la borers or
mech anic s and therefore are not covered. However, a crewmemb er that primaril y doe s
manual work (clearin g bru sh) is cove red for the time so spent. See USDOL FOH 15 e l9 .
Transportati on Enhancem ent (TE) Projects -Davis -Bacon only applies to projects locate d on
highways functionally cl ass ified as Fe deral-aid highways (not local roads , rural minor
collectors or proj ects not locate d on a hi ghway system). Therefore, Davis-Bacon do es not
apply to TE projects that are not on Federal-aid hi ghways unless they are tied to a Federal-
aid hi ghway proj ec t. Further g uid ance is available from FHW A's Transportatio n
Enhancements Overview. However, please be aware that under Texas Government Code
§2258.021, workers employed by the LG, or other public entity , are covered and must be
paid the appropriate prevailin g wage rates stipulated by Texas Government Code Chapter
2258.
Truck Drivers (not truck owner operators) -After 10 years in the courts, in May 1991, the
Court of App eals for the District of Columbia reached a final decision in the case of the
Building and Construction Trades Department vs. Midway. The regulation in question , 29
CFR 5.2G), included the "transporting of materials and supplies to or from the building or
work by the emp loyees of the construction contractor or construction subcontractor" in the
definition of work covered by the Dav is-Bacon Act. The Court ruled that this regulation.is
inconsistent with the Act and that it conflicts with th e statutory objective of the Act. In the
Court's view, the Act covers only mechanic s and laborers who work on the site of the
Federally-funded projects and do es not cover those employed off-site, such a suppliers and
material delivery truck driv ers. In it s review of the leg is lative history of the Act, th e Court
concluded that Congress clearl y intended th e Act to apply only to on-site workers. Thus, th e
Court rul ed that truck drivers who come onto the s ite of the work to drop off construction
materials are not covered by the Act, even if th e contractor employs th em.
Warranty Work -Davis-Bacon coverage applies to wa rranty or repair work if it is provi ded
for in the original construction contract. Thi s is tru e re gardle ss of whether there is a pay item
for th e work. If an employee spends more than 2 0% of his/her time in a workweek engaged
in such activities on the site of the original work, he/she is covered for all time spent on the
site. The contract minimum wage rates apply regardless of whether the work is done five,
ten or even 20 years after the contract execution.
Compliance
Enforcement of the provisions in Section IV of the Form FHWA-1273 is the LQ's
responsibility. In addition to withholdings and liquidated damages, as provided for by
Sections IV.7. and IV.8 ., the following actions may be considered for continued violations :
+ Termination of the contract, or
+ Legal prosecution and debarment for more serious violations.
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Sec ti on 4 -Local Governme nt (LG) Co ntra ct
Co mpo nents
In acc ordance with FHWA 's April 13 , 1998 memo randum , th e LG must submit Form
FHW A-1494, "Semiannual Labor Compliance Enforcement Report ". Th e LG should submit
the required Form FHW A-1494 directly to the USDOL with copies submitted to both
TxDOT and FHWA. Electronic submittals may be sentto USDOL at
mailto:os p(a),fenix.2 .dol-e sa.go v. Hard copies may be sent to: USDOL Wage and Ho ur
Division , Office ofEnforcementPolicy, Government Contracts Team, Room S-3018 , 200
Constitution Avenue, NW, Washington, D.C. 20210 .
Texas Government Code Chapter 2258 also stipulates that certain prevailing wag e rate s are
paid on public work projects, which is defined as :
" ... a building , highway , road, excavation , and repair work or other project
development or improvement, paid-for in whole or in part from public fund s,
without regard to whether the work is done under public supervi s ion or direction".
Prevailing wages are established under state statute by either conducting a survey of the
wages received by classes of workers employed on projects of a character similar to the
contract work in the area in which the contract is to be performed ; or using the prevailing
wage rate as determined by USDOL in accordance with the Davis-Bacon Act, if the survey
used to determine that rate was conducted within a three-year period preceding the date the
public body calls for bids for the public work.
SB 31 L 77th Legislature , amended Texas Government Code §2258.022 to require that
additional calculations be conducted for counties adjacent to the United Mexican States or
counties adjacent to counties adjacent to the United Mexican States (henceforth referred to
as "border area"). Wage surveys are to be conducted both statewide and in the political
subdivision of the state in which the contract is to be performed. Prevailing wage rat es in the
border will be determin ed based on the higher of:
+ The rate determined from the survey conducted in the political subdivision;
• The arithmetic mean between the rate determined from the survey conducted in the
political subdivision and the rate determined from the statewide survey; and
+ If applicable, the arithmetic mean between the rate determined from the survey
conducted in the political subdivision and the rate determined by the United State s
Department of Labor.
The LG may either adopt the border area wage rates determined by TxDOT, or conduct its
own survey and establish wage rates in accordance with SB 311 Section 14.05.
Summary-The LG is responsible for including Davis-Bacon provisions and wage rates
into construction projects. The LG is also responsible for monitoring contractor and
subcontractor compliance with Davis-Bacon . For those projects in the border area, the LG
may either adopt wage rates determined by TxDOT or develop its own border area wage
rates in accordance with the requirements contained in Texas Government Code §2258.022
as amended by SB 311, 77th Legislature.
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Module I I
Prison Produced Materials
Section 4 -Local Go vernm ent (LG) Con tract
Compone nts
There are limitation s on us ing material s produced by convict lab or in a Federal-aid Highway
project. Material s produced after July 1, 1991 by convict labor may only be incorporated in
a Federal-aid highway construction project if:
+ Such materials have been produced by convicts who are on parole, supervised release,
or probation from a prison; or
+ Such material has been produced in a qualified prison facility (e.g. pri so n industry , with
the amount produced during any 12-month period) for use in Federal-aid projects, not
exceeding the amount produced, for such use , during the 12 -month period ending July
1, 1987. Texas does not have a qualified prison facility meeting the requirements of the
regulation.
Summary-The LG must not allow convict-produced materials in their projects.
Progress Payments
Progress payments are compensation to the prime contractor for the value of work
performed during a covered period. Payments should be base d on estimates, prepared by the
engineer, of the value of the work performed and materials delivered or stockpiled in
accordance with the contract. As a highway construction project progresses, the LG may
request that FHWA reimburse the LG for the Federal share of the estimated costs for
completed work. The progress payments are generally made monthly, but can be more
frequently with TxDOT concurrence. All requests for Federal reimbursements of paym e nts
to th e contractor by the LG must go through TxDOT.
Stockpiled Materials : When the contract provisions provide for stockpiled materials , Fe deral
participation is base d on the appropriate value of approved specification materials delivered
by th e contractor to the project site, or other designated location in the vicinity of such
construction, provided that:
+ Stockpiled material is stored in such manner that security and the inventory can be
maintained ,
+ The material is supported by a paid invoice or receipt for delivery, with the contractor
furnishing the paid invoice within a reasonable time after receiving payment from the
LG,
+ The material conforms with the requirements of the plans and specifications,
+ The materials have not been delivered or stockpiled prematurely in advance of the
contractor's schedule of operations, and
+ The quantity of the material eligible for participation does not exceed the quantity
required by the project, nor does the value exceed the appropriate portion of the contract
item in which the material is to be incorporated.
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Sec tio n 4 -Loc al Governm ent (LG) Co ntr act
Components
Retention for Subcontract Work-The US DOT's DBE regulation at 49 CFR 26.29 requires
recipients to include a "prompt pay clause" in all Federally-funded contract s as follows:
• Prime contractors to pay subcontractors for satisfactory performance of their contracts
no later than a specific number of days from rece ipt of each paym ent by the prime2 ; and
• Prompt return of retainage payments within a specific number of days after the
subcontractor's work is sati sfact orily completed .
Fina l Pavment: By statute (23 U.S.C. 12I(b)), FHWA cannot make final payment for a
project until TxDOT approves th e comp letion of its construction . A final inspection of the
project should determine whether the actual construction conforms to the approved plans
and specifications, including all approved changes. TxDOT's final inspection may be an
actual" on -site inspection performed at or near project completion , an in-depth review of the
LG's project records at or near project completion or a finding that is based on a process
review of the LG's internal project contro ls which demonstrates that the LG is properly
exercising its internal controls.
Texas Government Code Chapter 2251 Subchapter B stipulates that payment from the LG to
the contractor is considered late on:
• The date the governmental entity receives the goods under the contract ;
• The date the performance of the service under the contract is completed; or
+ The date the governmental entity receives an invoice for the goods or services .
Late payments to the contractor will be subject to the appropriate interest as determined by
the comptroller in accordance with Texas Government C ode Chapter 2251 Subchapter B .
S umma ry -The LG can requ e st reimburs ement of its ex penditures to the co ntractor through
TxDOT. The LG must assure that subcontractors ar e paid within a reasonable time after th e
prime contractor is paid. TxDOT mu st accept the project as meeting the approved plans ,
specifications and authorized changes before final Federal reimbursement.
Publicly-owned Equipment
Equipment owned by the LG may not compete with privately owned equipment. Publicly
owned equipment is :
" .... equipment previously purchased or otherwise acquired by the public agency
involved for use in its own operations".
Publicly owned equipment should not normally compete with privately owned equipment on
a contracted project. However, in exceptional cases, a showing that it would clearly be cost
effective to use publicly owned equipment may be justified. When supported by a public
interest finding, TxDOT may approve the LG's proposal to use publicly owned equipment.
2 Texas Governm ent Code §2251 .022 requires a co ntractor to pay a s ub contractor not later than IO day s after re ce iving pay ment for a
governmental entity
Local Government Project Procedures (LGPP)
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Module II
Sectio n 4 -Local Gove rnment (LG) Contract
Compon ents
Fede ral f und s may p arti cip ate in th e costs assoc iate d w ith the use of publicl y own ed
equipme nt pro vid ed that:
+ The PS&E submitta l cl earl y set s fo rth the pro p osed use;
+ Th e specification s indi cate th e item s of equipm ent that are availa ble , the rates to be
charged, and th e po int(s) of availabili ty o r d eliv ery ; and
+ The specifications in clud e the express co nditi on that th e co ntra ctor has the opt ion to
rent all or part of the available equipment, or to pro v id e th e equipment.
The LG cannot benefit from th e rental of its own equipment by v irtu e of a Federal-aid
contract. According ly, the rental rates must reasonably repre sent th e cost of providing the
equipment or there shall be a lump sum credit to Federal reimbursement on the project equal
to the amount of pro fit on rental that the agency rece iv es .
Summary -The LG may not include contract provi sions requirin g a contractor to us e LG-
owned equipment without written TxDOT appro val.
Quality Assurance Program
In conjunction with 23 CFR Part 637 , Subchapter B , the LG mu st implement a qua lity
assurance (QA) program to en sure that the material s and workma nship incorporated into
each contract involving federal participation are in conformance with the requirements of
th e approved plans and sp ecifications , including an y approved change s. This QA Program
must include an acceptance pro gram and an indepe ndent as suran ce (I A) pro gram con sistin g
of th e follo w ing components:
Acceptance Program
+ Frequency guide schedules for v erifi cation sampling and t es tin g;
+ Idetification of the verification sampling and te stin g locations;
+ Identification of the desired finished product quality attributes; and
+ Dispute resolution system, when quality control samplin g and t es ting results are used as
part of the acceptance decision.
IA Program
+ Schedule of frequency for IA evaluation ;
+ Sampling procedures ;
+ Testing procedures; and
+ Testing equipment.
The LG may develop their own QA Program, or adopt TxDOT's QA Program . Any program
developed by the LG must receive approval from TxDOT prior to use.
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Sectio n 4 -Local Government (LG) Contract
Com p onents
Summary -The LG mu st a dopt and ad mini ste r a QA Program confonning to the
requirements located at 23 CFR Part 63 7, Subpart B . If the LG opt s to devel op it s own QA
Pro gram, approval must be obtained fr om TxDOT prior to us e.
Railroad insurance
Contractors are required to purchase railroad protective liability insurance when work under
the contract is located in whole or in part within railroad right-of-way. The insurance is for
the benefit of the railroad. The requirement to provide the insurance is located at 23 CFR
646.107. The standards for railroad protective insurance established at 23 CFR 646.109 and
646.111 must be adhered to the extent permitted by the insurance laws of the State.
Listed be low are the types of coverage required by 23 CFR 646 .109:
(a) Coverage shall be limited to damage suffered by the railroad on account of occurrences
arising out of the work of the contractor on or about the railroad right-of-way,
independent of the railroad's general supervision or control, except as noted in Sec.
646.I09(b) (4).
(b) Coverage shall include:
1. Death of or bodily injury to pas se ngers of the railroad and employees of the railroad
not covered by State workmen's compensation laws;
2. Perso nal property owned by or in the care, custody or control of the railroads;
3 . T he contractor, or any of hi s agents or employees who suffer bodily injury or death
as th e result of acts of the railroad or its agents , regardless of the negligence of the
railroad;
4 . Negligence of only the fo ll owing classes of railroad employees:
(i) Any supervisory employee of the railroad at the job site;
(ii) Any employee of the railroad while operating, attached to, or engaged on,
work trains or other railroad equipment at the job site which are assigned
exclusively to the c o ntractor; or
(iii) Any employee of the railroad not within (b )( 4) (i) or (ii) who is
specifically loaned or assigned to the work of the contractor for prevention of
accidents or protection of property, the cost of whose services is borne
specifically by the contractor or governmental authority.
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Sec ti on 4 -Local Governm ent (LG) Contract
Co mponents
The amounts of coverage req uir ed by 23 CFR 646.111 are as follows:
(a) The max imum dollar amounts of coverage to be re imbursed from Federal fund s with
re spect to bodily injury , death and property damage is limited to a combined amount of
$2 million per occurrence with an aggregate of $6 million applying se parately to each
annual period except as provided in paragraph (b) of this section.
(b) In cases involving real and demonstrable danger of appreciably higher risks, higher
dollar amounts of coverage for which premiums will be reimbursable from Federal
funds shall be allowed. These larger amounts will depend on circumstances and shall be
written for the individual project in accordance with standard underwriting practice s
upon approval of Tx.DOT.
Summary-The LG must include a requirement in the bidding documents for the contractor
to provide railroad in surance when wo rk is to be performed in whole or in part on the
railroad right-of -way. The requirement must specify the types and amounts of coverage
required by the CFR.
Records
Project records support payment of contract work. Project records fall into many categories,
such as documentation of pay quantities , test reports supporting that the materials used meet
specification requirements and a variety of contract administration documentation. For
example, 23 CFR.123 states,
"The SHA (LG) shall have procedures in effect which will provide adequate
as surance that the quantities of cqmpleted work are determined accurately and on a
uniform basis ... All such determination s and all re lated source documents upon
which payment is based shall be made a matter of record. Initial source documents
pertaining to the determination of pay quantities are among those records and
documents which must be retained pursuant to 49 CFR part 18 . "
The non-regulatory supplement to 23 CFR 637 Subpart B defines verification/check samples
and tests as those samples and tests performed by State (LG) personnel to verify the results
of certified tests or the manufacturers' certifications or specification compliance for
manufactured materials. There must be documentation to demonstrate specification
compliance.
FHW A does not specify the content and format of job records . However, FHW A approves
Tx.DOT manuals and procedures used on Federal-aid projects . The LG has the option of
adopting TxDOT' s job record process or submitting its own for Tx.DOT concurrence. The
goal is to give TxDOT a level of comfort when they certify to FHW A that a project has been
completed in substantial conformity with the approved plans and specifications , including
authorized changes.
Additional guidance may be obtained from TxDOT's Contract Administration Handbook for
Construction Projects .
Local Government Projec t Procedures (LGPP)
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Mo dule 11
Retainage
S ection 4 -Local Governm en t (LG) Contract
Co mp onents
Chapter 223.010 of the Texas Transportation Code requires that five pe rcent of the contract
price be retained until the entire improvement has been completed and accepted. The
Chapter contains two exceptions.
1. Four percent of the contract price will be retained until the entire improvement has been
completed and accepted on any contract that includes the use of recycled materials .
2. A portion of the retainage may be released before the entire improvement is accepted
when a contract provides for a separate vegetative establishment, maintenance or
performance period following the completion of the improvement. An amount sufficient
to ensure compliance with the contract must be retained until the improvement is
accepted.
The contractor may request that the amount retained be deposited under a trust agreement
with a state or national bank selected by the contractor that has its main office or a branch
office in this state. The LG and the comptroller must approve the request.
The LG will provide a trust agreement, approved by TxDOT that protects the interests of the
LG and the state.
The bank selected by the contractor will act as an escrow agent. The contractor may instruct
the bank to reinvest the retained amount in a certificate of deposit, bank time deposit, or
other similar investment prescribed by the trust agreement. A state or national bank that has
its main office or a branch office in this state must issue the certificate of deposit.
Interest earned under the trust agreement is paid to the contractor unless specified otherwi se
under the trust agreement.
The bank is responsible under the trust agreement for all investments and amounts resulting
from the deposits of the retained amount until released.
The contractor is responsible for paying all expenses incident to the deposit and all charges
made by the bank for custody of the securities and forwarding of interest on those securities.
Expenses or charges paid may not be applied to the contract or the state.
Summary -The LG must withhold retainage from progress payments. The retained
amounts may be deposited in a bank if the LG approves the request of the contractor. Partial
release of retainage may occur under certain circumstances.
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Safety: Accident Prevention (OSHA)
Section 4 -Lo cal Government (LG) Contract
Co mpo nents
Pro v ision s of the Occupational Safety and Health Administration (OSHA) apply. The
administration of the national program for occupational safety and health rests with the
Occupational Safety and Health Administration (OSHA) of the USDOL.
The FHW A is required by law to ensure compliance with construction safety standards.
Section VIII.3. of Form FHWA-1273 specifically grants USDOL repre sentatives right o f
entry to projects that use Federal-aid fund s. Specific subsections of the Form FHW A-127 3
includ e:
+ Section VIII. I. The provisions of this section require the contractor to comply with all
applicable Federal, State and local laws governin g safety , health and sanitation. The
contractor is required to provide all safe g uards , safety devices and protective equipment
and is required to take such actions , as deemed necessary , to protect the life and health
of employees and the safety of the public and property .
+ Section VIII.2. The contractor or subcontractor may not require or permit a laborer or
mechanic to perform work under conditions that are unsanitary, hazardous or dangerous
to health or safety as determined by construction safety standards.
+ Section VIII.3. This section sets forth the right of entry of USDOL representatives to
any site of contract performance for the inspection or investigation of compliance with
OSHA standards.
The LG has enforcement responsibilities of any applicable State standards. In addition, the
LG should cooperate with and alert other re sponsible agencies regarding se rious violations
and provide full cooperation and assistance as required.
Summary -The LG must include Form FHWA-1273 into th e contract and mu st cooperate
with agencies responsible for monitoring contractor compliance.
Salvage credits
Salvaged materials associated with a contract must be disposed of in accordance with the
state statute requirements located at Texas Government Code Chapter 2175, Surplus and
Salvage Property. The Texas Building and Procurement Commission rules re lated to the se
statutory requirements are located at 1 TAC Chapter 126 . The disposition of property must
be made through competitive bidding or auction to the highest bidder.
Summary -The LG must dispose of salvage property through competitive bid or auction.
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Sma ll Business Enterprise (SBE)
Section 4 -Local Governm ent (LG) Contract
Co mponents
SBE re quirements apply only to contracts that do not involv e federal funds . DBE
requirements , discu ssed previously , apply to all contracts involving federal participation .
SBE requirements are codified at Texas Administrative Code §9.5 5 . For tho se contracts
inv olving state transportation with no federal participation, the LG must do the following:
+ The LG may assi gn contract SBE goals based on the availability of qualified SBEs
certified by TxDOT, work site location , dollar value of the contract, and type of work
specified in the contract.
+ For all contracts not assigned a SBE goal, the LG mu st include provisions in the
contract that:
• encourage the use of histori call y und erutilized busine sses and small business
enterprises in subcontracting and material supply activities; and
• prohibit discrimination.
• For all contracts assigned a SBE goal, the LG must require that the contractor submit a
SBE commitment within the time specified in the contract or proposal. The SBE
commitment must include the information required by Title 43 Texas Administrative
Code §9.55(c)(2).
+ If requested by the department, the LG must provide data related to the participation of
SBEs on applicable contracts.
S ummary -For those contracts involving only state transportation funds , the LG must
ensure that all state SBE requirements are followed.
Specification Compliance
See Inspection section.
State or Local Preference
There cannot be any contract provisions that give bidders from a State or other political
subdivision preference in bidding projects . The LG shall not impose any requirement or
enforce any procedure that operates to require the use, or provides a price differential in
favor, of articles or materials produced within a State or other political subdivision . This
includes requirements that prohibit, restrict or discriminate against the use of articles or
materials shipped from or prepared, made or produced in any State, territory or possession
of the U.S.
Materials produced within a designated area shall not be favored to the exclusion of
comparable materials produced outside of the area . State and local preference clauses give
particular advantage to the designated source and thus restrict competition. Therefore,
preference provisions shall not be used on any Federal-aid construction projects .
Local Government Project Procedures (LGP P)
Construction Page 66 of 74 October, 2003
Module 11
Section 4 -Local Government (LG) Contrac t
Co mponents
Thi s po li cy a lso app li es to preferenc e action s aga inst mate rial s of fore ign origin, except as
othenvise permitted by Federa l law. Thus, the LG cannot g ive preference to in-S tate
materia l so urc es over fo reign material so urc es . Under the Buy America provis ions, th e state
o r LG is p ermitted to exp an d the Buy America re strictions provided that th e state or LG is
le gall y authorized under State law to impose more stringent requirements.
Summary -The LG must assure there are No State or local prefere nce provi s ions in th e ir
contracts.
Statements and Payrolls
Under the Cope land Act, workers are protected from paying "kickbacks" to employers for
the "privil ege " of being employed.
Form FHWA-1273 includes the following sections re lated to payro ll s:
+ Section V .1. The Department of Labor regulations that implement the Copeland Act are
incorporated by reference in the Form FHWA-1273.
+ Section V .2. The regulations require that the contractor, and subcontractors, furnish
weekly certified payroll statements to the LG . The weekly payroll statement is to
include information on employees and wages so that compliance with the Davis-Bacon
requirement of Section IV may be verified .
The LG must review the payroll statements for compl eteness and certification, and then
"spot-check" item s, such as: class ificati on, hourly rate, authorized deducti on , fringe benefits,
overtime hours and rate, and net wages paid. The LG mu st also conduct employee
interviews that are cross-referenced to class ifications and hourl y rates in the payro ll. While
minor di screpanci es ma y be re so lve d w ith th e contractor, the LG should refe r any appare nt
violations to the OIG.
The USDOL's Davis-Bacon and Related Acts requirement for payment of prevailing wages
may be found in 29 CFR Part 5 . Enforcement provi sion s are addressed in Section 5.6. It
states in part the following:
"The Federal agency shall cause such inve sti gation s to be made as may be
necessary to assure compliance with the labor standards clauses required by 5.5 ... ".
Also: "Investigations shall be made ... with such frequency as may be neces sary to
assure compliance ." It further states: "Such investigations shall include interviews
with employees ... examination of payroll data ... "
-
The FHWA's implementation of the USDOL requirement is found in Title 23, U.S .C.
Section 113. Section 113 states in part:
"(a) The Secretary [USDOT] shall take such action as may be nece ssary to insure
that all laborers and mechanics employed by contractors and subcontractors on the
construction work performed on highway projects on the Federal-aid highways ... be
paid wages at rates not less than those ... as determined by the Secretary of Labor ... "
Local Government Project Procedures (LGPP)
Construction Page 67 o/74 Octob er, 2 003
Module 11
Sec tion 4 -Local Govern ment (LG) Contr act
Components
F or purpo ses of thi s guide, the LG is con sidered the "contracting age nc y". The LG is
required to ensure:
+ A representative sampling of employees is interviewed to verify contractor compliance ,
and
+ Contractor and subcontractor payroll records are reviewed on a sampling basis.
The regulation does not require 100% coverage; it requires coverage frequency " ... as may
be necessary to assure compliance". Tx:DOT and the LG must agree on what coverage is
appropriate. All contractors and subcontractors on the project must be included in the spot-
check. Contractors or subcontractors with violations must be reviewed in more detail.
S u mmary -The LG must insure that the contractor and subcontractor submit weekly
payrolls on all projects involving Federal participation . They must check the payrolls for
compliance with the regulations and include wage rate interviews a s part of the review
process.
Subcontracting
Federal regulations impose limitations on the amount of work than can be subcontracted.
This provision prohibits a prime contractor from "brokering" (subletting all contract work).
Subco ntracting limitations are included in Form FHWA-1273. The following sections
address the various parts of the regulation:
+ Section VII. I. The contractor is required to perform work amounting to not less than 30
percent of the original contract amount, excluding specialty items , with his own
organization. Specialty items are to be designated by the LG and include items that
require highly specialized knowledge, abilities or equipment. These items require hi ghly
specialized knowledge , abilities or equipment not ordinarily available in the type of
contracting organization qualified and expected to bid on the contract.
+ Section VII.2. This section clarifies that the contract amount indicated in Section VII. I.
includes the cost of materials and manufactured products that are purchased or produced
by the contractor.
+ Section VII.3. The provisions of this section require the contractor to provide competent
supervision of the project. The contractor must employ a superintendent or foreman
who will have full authority to direct the work and be in charge of the operation.
+ Section VII.4. No portion of the work may be sublet, assigned or otherwise
subcontracted without the written consent of the LG. Subcontract approval 1,hall be
based on satisfactory evidence that each subcontract is in writing and contains all the
pertinent provisions, including insuring that the provisions ofFHWA-1273 are
physically a part of each subcontract. The approval of a subcontract does not relieve the
contractor of responsibility for fulfillment of the contract.
Local Government Project Procedures (LGPP)
Construction Page 68 o/74 October, 2003
Module 11
Section 4 -Local Governm ent (LG) Contra ct
Compo nents
Employee lease ag ree ments have rais ed some issues. Wh en a contractor enters an agreement
with a firm to lease employees , does this con st itute a subcontract and thus be subject to the
30% subcontract limitation ? Employee lease arrangements are acceptable for Federal-aid
projects if the lease d employees are und er th e direct supervi s io n and control of the
contractor's superintendent and/or supervisor. Leased employees may be considered to be
part of the prime's "own organization" if:
1. The prime contractor maintains contra I over the supervision of the day-to-day activities
of the leased employees;
2. The prime contractor remains responsible for the quality o f the work of the leased
employees;
3. · The prime contractor retains all power to accept or exclude individual employees from
work on the project; and
4. The prime contractor remains ultimately responsible for the payment of predetermined
minimum wages, the submission of payrolls, statements of compliance and all other
Federal regulatory requirements.
The key issue is supervi sion and control of any leased personnel. If the leased personnel are
treated as employees of the prime contractor and would be considered as such but for their
actual employment by a leasing agency, then for purposes of23 CFR Section 635. l 16(a)
they should be considered employees of the prime contractor's organization.
The FHW A requires each subcontract to be approved in writing by the LG. This allows
some control to screen subcontractors that are not qualified or that may be ineligible (e .g.,
debarred). It also assures that all Federal and State requirements will be included in the
subcontract. In order to reduce the amount of paper flow, the FHW A Division Administrator
may permit the LG to satisfy the subcontract approval requirement by instituting a
certification process. This process must require the contractor to certify that each
subcontract arrangement will be in the form of a written agreement containing all the
pertinent provisions and requirements of the prime contract. The LG must demonstrate that
it has an acceptable plan for monitoring such a certification.
Summary -The LG must approve all subcontracts in writing. The LG must also monitor
the amount subcontracted. Specialty items must be designated in the contract and should
have Tx:DOT concurrence before being designated "specialty".
Supervision and Staffing
An LG must be suitably equipped and staffed before they can be given authority to manage
Federal-aid Highway projects within their jurisdiction. 23 CFR 635.105 requires that
Tx:DOT be suitably equipped and organized to carry out the Federal-aid program. Therefore,
Tx:DOT is responsible for design, contract administration and construction inspection of all
Federal-aid construction projects. This responsibility is formalized by the project agreement
that is executed for each Federal-aid project. FHWA and Tx:DOT are the two parties to the
agreement.
Local Government Project Procedures (LGPP)
Construction Page 69 of 74 October, 2003
--
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Section 4 -Local Governm ent (LG) Contract
Components
When a Federal-aid project is to be constructed on a fac ili ty that is not und er TxDOT's
jurisdicti on , TxDOT may allow the Local Government h avi ng jurisdiction to perfo rm the
work with its own forces, or by contract, provided that all of the following conditions are
met:
• All Federal requirements , including those pres cribed in 23 CFR 635 Subpart A, are
satisfied on work performed under a contract awarded by a local public agency,
+ Force account work shall be in full compliance with 23 CF R 635 Subpart B ,
+ The Local Gt.vernment is adequately staffed and suitably equipped to undertake and
sat isfactorily Jcomplete the work, and
+ The Local Gqv ernment shall provide a full-tim_e employee of the agency to be in
responsible c~arge of each Federal-aid project, including those that employ consultants
for constructibn engineering services.
This arrangement ~oes not relieve TxDOT of overall responsibility for the project. While 23
CFR 1.11 (b) allows TxDOT to:
"utilize, undel\ its supervision, the services of well-qualified and suitably equipped
engineering o ganizations of other governmental in strumentalities for making
surveys, prep ring plans, specifications and e stimate s, and for supervising the
construction t any project,"
23 CFR 1.11 (e) cl f rly states that TxDOT is not relieved of its respons ibilities under Federal
law and the regula ions in 23 CFR if it choo ses to use the services of other governmental
engineering organi ations.
Supervision of con truction engineering consultants or construction management firms. The
LG's responsibilities for contract administration and construction inspectio n are not
terminated should a consultant provide construction engineering and inspection serv ice s .
While a consultant may provide daily inspection, the LG must assign a full-time engineer to
be in responsible charge of the project at all times, althoug h the engineer need not be
assigned so lely to that project. "Responsible charge "means the LG engineer is:
+ Aware of the day-to -day operations on the project;
• Aware of and involved in deci s ions about changed conditions which require ch a nge
orders or supplemental agreements;
+ Aware of the qualifications, assignments , on-the-job performance, etc., of the consultant
staff at all stages of the project; and
+ Visiting the project on a frequency that is commensurate with the magnitude and
complexity of the project.
If the LG uses the services of a consulting engineering or construction management firm , the
services must have been procured in compliance with 23 CFR 635. l 05.
Local Government Project Procedures (LGPP)
Construction Page 70 o/74 October, 2003
Module 11
Section 4 -Lo cal Gove rnment (LG) Contract
Co mponents
Summary -The LG mu st have pri o r TxDOT written approval befo re given the authority to
manage a project. The LG must outline their proces s to insure compliance with the approved
plans , specifications and Federal requirements. Use of a con s ultant or construction
man age ment firm req uire s TxDOT concurrence in the procurement procedure.
Termination of Contract
Federal-aid contracts exceeding $10,000 must contain suitable provi sions for termination by
the LG. The provi sions must identify the manner by which the termination will be effected
and the basis for settlement. Termination is an action taken by the contracting agency to
cancel a contract. There may be a number of grounds to warrant termination , including
termination for cause, termination for convenience and termination for default.
Prior to termination of a Federal-aid contract for which TxDOT concurred in the award, the
LG shall consult with and receive the concurrence of TxDOT . Federal -aid participation in a
terminated contract is decided by the individual merits of the particular case. However, in no
instance will Federal funds participate in any allowance for anticipated profits on work not
performed.
If the LG awards a contract for completion of a Federal -aid contract previously terminated
for default, FHW A policy limits the amount eligible for Federal participation . The amount
eligible is the lesser of the original contract or the sum of the new contract plus the payments
made under the original contract.
Termination for Cause or Convenience. Terminations for cause or for convenience are for
circumstance beyond the contractor's control. The AASHTO li sts the following conditions
as grounds for termination for cause:
+ Executive orders of the President for war, national defense or national emergency,
+ Restraining orders or injunction obtained by third party action, or
+ "Acts of God".
Grounds for termination for convenience include circumstances for which it is in the best
interest of the contracting agency to cancel the contract.
In terminating a contract for cause or for convenience, the LG gives written notice to the
contractor, relieving him or her from further contractual obligation. The contractor will be
paid for completed work, for work necessary to preserve and protect the completed work
and for materials stockpiled for the project.
Local Government Project Procedur es (LGPP)
Construction Page 71 of 74 October, 2003
Module II
S ection 4 -Local Government (LG) Contract
Components
Tennination for Default. Terminations for default are for circumstances that are deemed to
be under the contractor's control. The AASHTO guide spec ifications include the following
as circumstances for termination for default:
+ Failure to begin work under th e contract within the time specified in the "Notice to
Proceed",
+ Failure to perform the work with sufficient workmen and equipment or sufficient
materials to assure the prompt completion of the project,
+ Performance of the work not in conformance with the contract requirements or refusal
to remove or replace rejected materials or unacceptable work,
+ Discontinuan~e of the work,
+ Failure to resume work which has been discontinued within a reasonable period of time
after notice to resume,
+ Committal of any act of bankruptcy or insolvency ,
+ Allowing any final judgment to remain unsatisfied,
+ Making an assignment for the benefit of creditors, or
+ Failure to comply with contract requirements regarding payment of minimum prevailing
wages or EEO.
The specifications typically require notice to the contractor and surety of default
considerations by the LG. The notice gives the contractor and the surety a specified period
of time, such as IO days, to respond or to proceed with the work. If that period ex pires
without response, the LG may declare the contractor in default and notify the contractor and
surety that the contractor is in default and the contract is void. The surety is then liable under
conditions of the performance bond and must provide funds to complete the project, up to
the full value of the bond. To avoid paying the bond, the surety may elect to assign another
contractor to complete the work. However, if the surety is unable or unwilling to assign
another contractor, the funds will be transferred to the LG.
If the surety awards a second contract, no action is required of FHW A or TxDOT since the
surety's contract is considered an extension of the original contract. However, if the LG
awards a contract to complete the work covered by a defaulted Federal-aid contract, normal
Federal-aid procedures for PS&E advertising and award must be followed. The Federal -aid
funding for the project will be limited to the lesser of the original contract value or the
amount spent under the defaulted contract plus the second contract.
Sum mary -The LG must include contract language addressing termination of c-ontracts. In
addition, the LG must involve TxDOT in certain decisions affecting completion of
terminated work.
Local Government Project Procedures (LGPP)
Construction Page 72 of 74 October, 2003
Module I I
Testing
Sec tio n 4 -Local Go vernm ent (L G) Contra ct
Components
See Pate nted/Proprietary materials and Pri son produced material s sections
Transportation Enhancement Projects
Federal regulations allow certain flexibility in procuring Transportation Enhancement
projects. Transportation Enhancements (TE) are transportation-related activities that are
designed to strengthen the cultural, aesthetic and environmental aspects of the Nation's
intermodal transportation system. The TE program provides an opportunity to implement a
wide variety of non-traditional projects. Eligible projects range from the restoration of
historic transportation facilities, to bike and pedestrian facilities , to landscaping and scenic
beautification , and to the mitigation of water pollution from highway runoff.
Summary -The LG must follow the procurement procedures in this guide. TxDOT must
approve any deviations in advance .
Warranties and Warranty clauses
With certain limitations, warranties may be specified. Prior to 1991 , the FHW A had a
longstanding policy that restricted the use of warranties on Federal-aid projects to electrical
and mechanical equipment. The rationale for the restriction was that such contract
requirements may indirectly result in Federal-aid funds participating in maintenance costs.
The use of Federal-aid funds for routine maintenance is prohibited by law .
On August 25, 1995, FHW A published an Interim Final Rule (IFR) for warranties related to
projects on the National Highway System. The IFR states that warranty provisions shall be
for a specific construction product or feature. Routine maintenance items are still ineligible.
The warranty Final Rule was published in the April 19 , 1996 Federal Register.
Local Government Project Procedures (LGPP)
Construction Page 73 o/74 October, 2003
Module 11
S ec tion 4 -Local Governm e nt (L G) Contrac t
Compon e nts
The LG may include warranty provisions in NHS con struction contracts in accordance with
the following:
+ Warranty provisions s hall be for a specific construction product or feature. A general
warranty for the entire project is unacceptable since the contractor does not control the
design process or make decisions during that phase .
+ Warranties may not cover items of maintenance ineligible for Federa l participation. An
example of this might be a warranty for guardrail construction where it would be
inappropriate to warrant routine damage done to the guardrail by vehicle impacts .
+ Contractors are not to be required to warrant items over which they have no control. An
example of this might be a warranty for aspha lti c concrete pavement. It would be
appropriate for the contractor to warrant the smoothness of the pavement or the rutting
performance, but inappropriate to warrant reflective cracking that might occur due to
preexisting underlying layers regardless of how well the contractor constructs the new
pavement.
+ All warranty requirements and subsequent revisions shall be submitted to TxDOT for
advance approval.
+ The LG may follow TxDOT procedures regarding the inclusion of warranty provisions
in non-NHS Federal-aid contracts.
Currently the regulations do not restrict the duration of the warranty. However, practical
experience has shown that two to five year warranties are common, and warranties beyond
five years may not be as cost effective due to bonding and/or surety concerns . Warranty
provisions have been used for asphalt concrete pavements, bridge painting, traffic striping
and bridge expansion joints.
S ummary -The LG may include warranty provis ion s in their contracts involving Federal
participation if approved in advance by TxDOT.
Workers' Compensation Insurance
The Texas Government Code §406.906 requires that contractors and subcontractors
performing on a building or construction contract with a governmenta l entity must provide
written certification that workers' compensation insurance coverage is provided for each
individual employed on the public project.
Summary-The LG must require the contractor to provide written certification the workers'
compensation insurance coverage is provided to each contractor and subcontractor employee
working on the project.
Local Government Project Procedures (LGPP)
Construction Page 74 o/74 October, 2003
APPENDIX-B
CONTRACTOR TEMPORARY RIGHT OF ENTRY
FORT WORTH & WESTERN RAILROAD
A Tarantula Corporation Company
March 13, 2007
Marc A. Ott
Assistant City Manager
The City of Fort Worth
1000 Throckmorton
Fort Worth , TX 76102
Dear Mr .. Ott:
Enclosed are two original copies ·of the Contractor's Right of Entry Agreement for
constructing the sidewalks at Museum Way . Please have the contractor fill in the
necessary information , sign and return to FWWR two originally executed copies
of the agreement, along with proof of insurance as detailed in the Permanent
Public Street Crossing, Sanitary Sewer and Railroad Warning and Safety
Devices Easement (Museum Way) between the Fort Worth & Western Railroad
Company and the City of Fort Worth, dated February 2, 2005.
Upon receipt of the above , I will notify our Chief Engineer that the contractor can
enter onto the railroad right--0f-way .
Very truly yours ,
A~N~
/~dra Y. Nations
VP , Administration
6300 Ridglea Place, Suite 1200, Fort Worth, IX 76116
Phone 817-763-8297 Fax 817-738-9657
CONTRACTOR TEMPORARY RIGHT OF ENTRY
THIS AGREEMENT, dated , is made by and between
FORT WORTH & WESTERN RAILROAD COMPANY located at 6300 Ridglea
Place , Suite 1200, Fort Worth , Texas 76116 (hereinafter "FWWR"), and
located at _______ _
(hereinafte r "Contractor") ..
Subject to the prov1s1ons hereof and the Permanent Public Street
Crossing, Sanitary Sewer and Railroad Warning and Safety Devices Easement
(Museum Way) between the Fort Worth & Western Ra ilroad Company and the
City of Fort Worth , dated February 2 , 2005 , and for a period not to exceed
beyond (enter date) FWWR hereby permits Contractor to
enter onto the railroad right-of-way to construct sidewalks as described and
shown on Exhibit "E ", Job No . C-04-143 dated December 22, 2004 hereto
attached and made a part of this Agreement.
Contractor shall :
1 : Perform that portion of the work in accordance with plans and
specifications · approved by FWWR and in such manner and at such times as
shall not endanger or interfere with FWWR's representatives
2 . Notify FWWR at least seventy-two (72) hours before commencing work on
FWWR pr·emises for safety purposes and coordination .
3 . Keep all equipment, tools and materials stored at least 25 feet from the
cente r line of any operable track.. Explosives or other highly inflammable
substances or any hazardous materials regulated pursuant to federal or state
regulation will not be stored on premises .
4 . Remove all of Contractor's tools , equipment and materials from premises
promptly upon completion of work , restoring premises to the same state and
condition as when Contractor entered thereon .
5 . Reimburse FWWR for all costs and expense incurred by FWWR in
connection with said work, including without limitation the expense of furnishing
such inspectors, watchmen and flagmen as FWWR deems necessary r . the
installation and removal of false work and restoration of FWWR's property to the
same condition as when Contractor entered thereon.
6 . Contractor and subcontractors hereby agree, in the conduct of its
operations hereunder, to abide by and comply with all applicable laws, statutes,
rules and regulations -of any federal, state or municipal authority, or any other
1
public body having jurisdiction, including , without limitation , laws , ord inances and
governmental regulations controlling air, water, noise, solid wastes and other
pollution , and environmental damages, and to file all reports or statements
required in connection with the conduct of its business Contractor and
subcontractors shall and does hereby indemnify and hold harmless FWWR from
any and all loss , cost or expense whatsoever, incurred by reason of any violat ion
of such rules and regulations .
7 . CONTRACTOR AGREES TO RELEASE , DEFEND AND INDEMNIFY
FWWR FROM AND AGAINST ALL LOSS , DAMAGE, CLAIMS , COSTS ,
EXPENSES, INCLUDING ATTORNEY'S FEES , AND LIABILITY FOR BODILY
INJURY TO OR DEATH OF ANY PERSONS AND LOSS OF USE THEREOF
(INCLUDING BUT NOT LIMITED TO EMPLOYEES SUBCONTRACTORS ,
AGENTS, INVITEES AND THE PROPERTY OF EACH PARTY HERETO)
ARISING OUT OF OR IN ANY WAY CONNECTED WITH THE WORK UNDER
SAID AGREEMENT UPON OR ADJACENT TO PROPERTY, WHETHER OR
NOT CAUSED OR CONTRIBUTED TO BY THE PRESENCE OR OPERATION
OF FWWR TRAINS, ENGINES, CARS OR OTHER EQUIPMENT,
STRUCTURES OR FACILITIES OF FWWR OR ANY OTHER PART, OR BY
THE NEGLIGENCE OR ALLEGED NEGLIGENCE ON THE PART OF FWWR,
OR ANY OF FWWR'S AGENTS, EMPLOYEES, CONTRACTORS ,
SUBCONTRACTORS OR INVITEES . IN THE EVENT ANY PART OF THE
PROVISIONS OF THIS SECTION ARE DETERMINED BY ANY STATUTORY
ENACTMENT OR JUDICIAL DECISION TO BE VOID OR UNENFORCEABLE ,
THEN THIS SECTION SHALL NOT FAIL IN ITS ENTIRETY BUT WILL BE
ENFORCEABLE TO THE EXTENT PERMITED BY LAW.
8 . PERSONAL PROPERTY WAIVER -ALL PERSONAL PROPERTY,
INCLUDING, BUT NOT LIMITED TO, FIXTURES , EQUIPMENT, OR RELATED
MATERIALS UPON THE PREMISES WILL. BE AT THE RISK OF
CONTRACTOR ONLY, AND FWWR SHALL NOT BE LIABLE FOR ANY
DAMAGE THERETO OR THEFT THEREOF , WHETHER OR NOT DUE IN
WHOLE OR IN PART TO THE NEGLIGENCE OF FWWR..
9. Subcontractors shall be deemed agents of Contractor and are subject to
the terms of this Agreement..
1 O. It is further agreed that the execution of this Agreement shall not constitute
a waiver by FWWR, with respect to third party claims asserted against Contractor
and/or its subcontractors, of any defense allowed by law ..
11 . Neither termination nor expiration will release either party from any liability
or obligation under this Agreement , whether of indemnity or otherwise, resulting
from any acts , omissions or events happening prior to the date of termination or
expiration .
2
12 . All questions concerning the interpretation or appl ication of provis ions of
th is Agreement shall be decided according to the substantive laws of the State of
Texas w ithout regard to conflicts of law.
13. To the maximum extent possible, each provision of th is Agreement shall
be interpreted in such manner as to be effective and valid under applicable law,
but if any provision of this Agreement shall be prohibited by, or held to be inva lid
unde r, applicable law, such provision shall be ineffective solely to the extent of
such prohibition or invalidity , and this shall not invalidate the remainder of such
provision or any other provision of this Agreement.
14 . In the event that Contractor consists of two or more parties , all the
covenants and agreements of Contractor herein contained shall be the joint and
several covenants and agreements of such parties .
15 . The waiver by FWWR of the breach of any provision herein by Contractor
shall in no way impair the right of FWWR to enforce that provision for any
subsequent breach thereof
IN WITNESS WHEREOF , the parties hereto have caused these presents to be
executed in duplicate the first day and year first above written .
Contractor:
By:
Printed Name : ------
Title :
FWWR:
Robert C Roberson
Chairman and CEO
3
I j :.
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EQUIPMEN T ARE APPROXI MATE AND
MAY VARY OVE TO ACTUAL FIELD
CONDITIONS.
2.) ME/ISUREM(NlS f OR APPROACHES
S1AR1 AT TRACK WIR E CONNECTIONS ..
l) ISLAND TIE Po11i Ts MUST BE MINIMUM
120' BETWEEN BOOTLEGS.
REVISION
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_____ ---1 __
FOR T WORTH & WESTERN R.R.
2NO SUOO,VJSION
LOCATION: MUSEUM WAY
f'OR T WORTH, TX FW&W sn r LAYOUT
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JOB NO.: C-04--143
DAT E: 12/22/2004
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