HomeMy WebLinkAboutContract 41333.
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PROJECT MANUAL CITYSECRETAR~\ \?:-::?3
CONTRACT NO. !:::l ~ -
' FOR
LANCASTER A VENUE PEDESTRIAN BRIDGE
IN THE CITY OF FORT WORTH
2010
District: Fort Worth
County: Tarrant
Project: STP 2008(560)MM
CSJ: 0902-48-698
MIKE MONCRIEF
MAYOR
DALE A. FISSELER, P.E.
CITY MANAGER .
WILLIAM VERKEST, P.E.
DIRECTOR,
TRANSPORTATION AND PUBLIC WORK S
PREPARED BY:
il FREESE •1 ~NICHOLS
4055 !nt<)rnational Plaza, Suite 200
Fort Worth, TX 76109-4895
Phone: (817) 735-7300
Fax: (817) 735-7491
JUNE2010
PLEASE DO NOT
DISASSEMBLE
OFF•C!Al RECORD
CI TY ~~~:<rl'f ARY
FT. WORTH, TX
,. •
M&CReview Page 1 of 3
Official site of the City of Fort Worth, Texas
CITY COUNCIL AGENDA ~
COUNCIL ACTION: Approved on 12/7/2010 -Ord. No. 19473-12-2010 & 19474-12-2010
DATE:
CODE:
12/7/2010
C
REFERENCE NO.: C-24635
TYPE: NON-
CONSENT
LOG NAME:
PUBLIC
HEARING:
80TILLEYBRI DGE
NO
SUBJECT: Authorize the City Manager to Execute a Construction Contract with Rebcon, Inc., in the
Amount of $2,403,179.90 for the Construction of the Phyllis J . Tilley Memorial Bridge,
Authorize Acceptance of a Monetary Donation in the Amount of $200,000.00 from
Streams and Valleys , Inc., Adopt Ordinance Finding Conditions have Materially Changed
so that $50,000 .00 in Unspecified Park Development Capital Improvement Program
Funds Designated for Use Within Council District 7 Should be Used Towards the Design
and Construction of the Phyllis J. Tilley Memorial Bridge and Adopt Appropriation
Ordinance (COUNCIL DISTRICTS 7 and 9)
RECOMMENDATION:
It is recommended that the C ity Council:
1. Authorize the City Manager to execute a construction contract with Rebcon, Inc., in the amount of
$2,403,179.90 for the construction of the Phyllis J. Tilley Memorial Bridge;
2. Authorize acceptance of a monetary donation in the amount of $200,000.00 from Streams and Valleys,
Inc .;
3. Adopt the attached appropriation ordinance increasing estimated receipts and appropriations by the
amount of $200,000.00 in the Parks Improvements Fund; and
4. Adopt the attached ordinance finding that conditions have materially changed so that the $50,000 .00 in
Unspecified Park Development funds from the 2004 Capital Improvement Program (CIP) designated for
Council District 7 should be used for the Phyllis J. Tilley Memorial Bridge , which will benefit residents in
District 7.
DISCUSSION:
The purpose of this M&C is to take steps necessary to move forward with the construction of the Phyllis J.
Tilley Memorial Bridge.
Reprogramming 2004 CIP Funds
The "Summary of Proposed Projects" pamphlet distributed to the public in advance of the 2004 CIP election
identified proposed projects to be funded under the parks, recreation, and community services ballot
proposition. Included among the projects was "General Park Development Unspecified by Council District"
which allocated "$50,000 .00 for parks projects in each Council District."
Councilmember Burdette has indicated that he wishes to use the $50,000.00 allocated to District 7 for the
proposed pedestrian bridge in Trinity Park, which is located outside Council District 7, but draws citizens
from throughout the City. Because the proposed bridge is located within the boundaries of Trinity Park and
will integrate into the existing citywide hike and bike trail system, it is the opinion of the Law Department
that use of the unspecified park development funds for the pedestrian bridge project is within the voted
purposes of the bonds.
To summarize, in approving this M&C, Council would be (i) adopting an ordinance that makes a finding that
conditions have materially changed so that bond funds designated for use within District 7 should be used
for the pedestrian bridge project, which is located outside of the district boundaries but will benefit the
residents of District 7; (ii) finding that the proposed project is within the voted purpose of the parks and
recreation bonds, and (iii) reprogramming $50,000 .00 in General Park Development Unspecified Funds
http://apps.cfwnet.org/council__packet/mc Jeview.asp?ID= 14075&councildate= 12/7 /2010 12/27/2010
M&C Review Page 2 of 3
from the 2004 CIP for use toward the design and construction of the Phyllis J. Tilley Memorial Bridge.
Accepting Donation and Authorizing Contract
In November 2001, the City was notified that the South of Seventh Street project had been selected for
funding under the Transportation -Land Use Joint Venture Grant Program established by the North Central
Texas Council of Governments. On January 28, 2003, (M&C C-19453) the City Council approved an
Economic Development Program Agreement with So 7th , L.P., outlining the proposed expenditures of those
funds . A portion of the Federal Grant funds was earmarked for the design and construction of a pedestrian
bridge connecting Trinity Park to the Downtown Central Business District. The Texas Department of
Transportation (TxDOT) was tasked to administer the Federal Grant funds for the project with a twenty
percent local match requirement consisting of a combination of cash and/or land dedication valued at
$269,561.00. The combined project funding amount of both Federal and local match totaled $1,347 ,804 .00.
In the Fall of 2005, statements of interest were solicited from various firms for the project design. Interviews
were held in February 2006 with Freese and Nichols, Inc., (FNI) selected to provide design services for this
project. On July 11, 2006 , (M&C C-21566) City Council approved award of contract to FNI in the amount of
$64 ,300.00 for the conceptual design. The conceptual design process progressed throughout the Fall of
2006 with the stressed ribbon design being selected as the preferred option by the stakeholders group,
which was comprised of representatives from Streams & Valleys, Inc ., Tarrant Regional Water District, the
Rotary Club of Fort Worth , Pier I, Downtown Fort Worth Initiatives, Inc., Cultural District Development
Initiative, Hughs Development/So 7th Development and City staff. A public meeting was held in May 2007,
for review and comment of the bridge concept design and after receipt of favorable public response , staff
entered negotiations with FNI for the final design phase. On November 6 , 2007, (M&C C-22510) City
Council approved award of contract to FNI in the amount of $348 ,501.00 for final design . Final design of
the pedestrian bridge commenced in early December 2007 .
On September 29, 2009, (M&C G-16717) the City Council adopted a resolution naming the proposed
pedestrian bridge after Phyllis J. Tilley, a founding member of Streams and Valleys, Inc., for
her instrumental role in the planning of recreational opportunities along the Trinity River.
On July 27, 2010, (M&C C-24366) City Council authorized the execution of Amendments Nos. 2 and 3 to
the Local Project Advanced Funding Agreement with TxDOT which allowed Federal Grant funds in the
amount of $1 ,350,000 .00 to be transferred from the Transportation, Community and System Preservation
{TCSP) Grant to the Phyllis J. Tilley Memorial Bridge project to reduce an anticipated project funding
shortfall.
Upon completion of the construction document review process by TxDOT in June 2010 , the project was
advertised for bid on July 1, 2010 and July 8, 2010 with the following bids received on August 5, 2010:
Bidder
Rebcon, Inc.
AUi Contracting, LLC
Austin Bridge & Road , LP
Earth Builders , LP
Base Bid
$2,403 ,179.90
$2,520,511.70
$2,778,771.00
$3 ,174,460.30
It is recommended that the Base Bid in the amount of $2,403,179 .90 as submitted by Rebcon, Inc., be
approved for award of contract. Base Bid work will include the construction of a 12 foot wide by 370 foot
long stress steel ribbon concrete deck pedestrian bridge, bridge approaches and lighting and electrical
services.
A breakout of project funding is as follows:
I
PROJECT
I AMOUNT I
PROJECT
II AMOUNT I FUNDING EXPENDITURES
So 7th Grant -$1 ,078,243.00 Pedestrian Bridge $10 ,095 .00 TxDOT Feasibility Study
TCSP Grant-$1 ,350,000.00 TxDOT Grant
I $103,686 .oo TxDOT Administration
!streams & II I Design Administration/
http://apps.cfwnet.org/council_packet/mc _review .asp ?ID= 14075&councildate= 12/7/2010 12/2 7/2010
M&CReview
Valleys, Inc.
Donation
2004 CIP CD 7
Unspecified
Funds
2002 co
2004 CIP TRV
Total
$200,000.00
$50,000.00
$200,000.00 I
$209,335.78
$3 ,087,578.78
Page 3 of3
Bid Advertisement $8 ,316.88
Design $412,801.00
Construction $2,403,179.90 ======:~======;
C t . ·o~ $149,500.00 on mgenc1es
Total I $3 ,087 ,578.78 !
The annual budget impact associated with this project is estimated at$ 2,500.00. Construction is
anticipated to begin in January 2011, and be completed by October 2011.
Rebcon, Inc., is in compliance with the City's M/WBE Ordinance by committing to 36 percent participation.
The City's goal on this project is 22 percent.
The Phyllis J. Tilley Memorial Bridge is located in COUNCIL DISTRICT 9 and serves the entire City.
FISCAL INFORMATION/CERTIFICATION:
The Financial Management Services Director certifies that upon approval of the above recommendations
and adoption of the attached appropriation ordinance, funds will be available in the current capital budget,
as appropriated in the Park Improvements Fund and that funds are available in the current operating
budget, as appropriated, of the Grants Fund.
TO Fund/Account/Centers
3) C280 488104 801580033580 $200 ,000.00
3) C280 541600 801580033580 $200.000.00
Submitted for City Manager's Office by:
Originating Department Head:
Additional Information Contact:
ATTACHMENTS
80TILLEYBR1 DG A O.doc
Finali zed Tilley B ridg e Findi ng -Ordinan c e.do c
FROM Fund/Account/Centers
1) GR76 541200 080302898010 $607.721.00
1) GR76 541200 006302898030 $1 .292 .355 .00
1) C182 541200 080182050010 $200 .000.00
1)C280 541600 801580033580
Susan Alanis (8180)
Richard Zavala (5704)
Mike Ficke (5746)
$303.103.90
http://apps.cfwnet.org/council _packet/me _review .asp?ID= 1407 5&councildate= 12/7/2010 12/2 7/2 010
ADDENDUM NO. 1
CITY OF FORT WORTH
PARKS AND COMMUNITY SERVICES DEPARTMENT
LANCASTER AVE../ PHYLLIS J. TILLEY MEMORIAL BRIDGE
PRO.JECT: STP 2008 (560) MM
CSJ: 0902 -48 -698
Issue Date: July 27, 2010
·n11s addendum fi rms part of the Co ntract Documents referenc ed above and modifi es th e
origiLnal-C ntract Doc uments. AcknO\ led ge receipt of thi s Addendum by signing in the
s pace below and! attaclhi i11 g it to tlhe Contract Documents (inside). Note receipt of the
ddendlilm in th e Bid Propo sa l, and on the outer enve lope of your bid .
1. NOTICE TO BIDDERS -CHANGE bid opening date from Ju ly 29 2010 to August 5,
20110.
2. SPECIAL INSTRUCTIONS TO BIDDERS
a. item o. I-PR.EQUALlFICATION REQUIREMENTS -DELETE and refer to
otice to B idders -Jtem 3. Prime Bidder Qualification Requirements
b. fte m o. 4 -\ age Rates and General Notes -City of Fort Worth Highwa y
(Hea ) Co ns"ttrnct ion Prevailing Wage Rates for 2008
Bidders note thatthe General Notes -City of Fort Worth Highway (Hea y)
Co 11,struct i·on Pre aiJ ling Wage Rates for 2008 are to be DELETED and use
ONLY the Federal age Rates
c. fterm No .. l f. -M . OR ITY AND, OMEN S BUSlNESS ENTERPR ISES
d ..
CLARIFICATION -A ll documentat ion is to be submitted to the Department of
T ran portati:on and Public Works located on the so utheast 2"d floor in City Hall.
AL PAYMENT, ACCEPTANCE AND WARRAN T Y -ADD
the foHowin g:
h. The Contracto r shall be re ponsible for defects in thi s project s du e to foully
w0Jikn:J1anship m rn ateiia ls or both, for a period of two (2 ) years beginning as of
th e d'ate that the final punch li s t ha s been comp leted and the proj ect accepted b
th e Ci , a f the date the final punch list ha s bee n comp leted , as e idenced b , a
wri1Ue n staitern.ent signed b the Contractor and the City . T he Contractor will be
requi·red' to repllace, af O\ n expense any part, or all , of thi s proj ec t, hich
becomes defective due to these cau ses .
3. PROPOSAL
a. Page B-1 -M ODIFY and ADD the following:
·OR: LA CASTER.AVE./ PHYLLI S J . TILL EY MEM ORI AL BRID GE
CON STR ' CT10
CSJ 09 02 -4 S: -698
G R 76 / 54 1600 I 08030 2 8980 IO (C2 92 / 54 1600 I 801 5800035 80)
DOE N O. 6 5 10
b. Page B-2
1. Elena 16 l-20 1A COMPO ST MANU F TOPSOIL (BO S OR PB) (4 ')-
MODIFY pay quantity to 73 08 S Y.
i:1. fte m 1.64-2025 CELL FBR MULCH SEED (P ERM) (URBAN )
(SAN DY )-MODIFY pay quantity to 73 08 SY .
iii . fte m 16 8-200 1 V EGETATfV E WA TE RI N G -MODIFY pay quantity to
123 .0 M G .
c .. Page B~4
1. Item 5049-2 003 B[ODGRD E ROSJO N CO NT ROL LOG S (1 2" DI A)-
MOD IFY pa quantity to 900 LF .
4. P ERFORMANCE B OND -REMOVE ex is ting and REPLACE with attached
Perfo1 rrnaAc.e Bo nd
5. P YMENT BONO,-REMO VE existing and REPLA CE with a t1 ach ed Pay me nt Bo nd .
6. MAINTENANCE BOND -R EMOVE exi st in g and REPLACE , ith attach ed
Mainte na nc e Bo nd
7. CONSTR , CTION CO T RA CT -REMOVE ex is tin g and REPLACE with attached
Co nsfructi·o n Co nt ract
8. TXDO'T SPECIA L PR OVJSJO NS
a.. Spec ia l Pf" · is fon 00 0-00 4 Noti ce o f Require ment for Affimrnti e Action , pg. 5-5
-CLARIFICATION : Th e C ity of Fort Wo11h ha s establi s hed a DB E
pai:t ic iil:)'art ion. goal of 22% fo r thi s proj ec t, which s up e rs ed es th e 18.2% goal li s ted
here fo r Tarrant Co un , .
b. S pecia l Prov i io1a 0 00 -1493 ch edul e of Liquid ated Dama ges pg . 1-1 :
CHANGE th e mou nt o f Daily Contra ct Admini strn t ion Liquid ated Dama ges
per ' or kinl'.!. Dav to Calendar Da y
c. Specia l! Pro is i'on 002-01 7 In st ru ction s to Bidd ers
1. 2 .2 El i:gibili t · f B idd e rs, pg . 1-8 -DELET E
u . 2.6 Prepa rin g t he Bid , pg. 2-8:
DELETE -Prepare the bid o n th e fo rm furni s hed by the Department.
Bi.di form s may be printed or e lectrgnic. Informationa l form s w ill not b e
accepted,,
ADD -"Prepare the bid on the Proposal prov id ed and submit to the
Purch as ing Department as noted on th e Proposa l fom1 . ·
n1.. 2 .6. B. -El'ectronic Bid Fonn s, pg. 3-8 -DELETE
2 .8 -Bid Guaranty, pg. 4-8 -Electronic b id bonds will not be accepted
2.9.B-E lectronicall y S ubmitted Bids, pg. 5-8 -DELETE
11. 2.1:0.B -E feclronica ll S ubmitted Bid s, pg. 5-8 -DELETE
i i. 2. l LB -E lectronicall y S ubmitted Bids, pg . 5 -8 -DELETE
m:. 2 . 12 -Opening and Reading of B id s, pg . 5-8 -D ELETE' read
e l'ectron ica:ll y submitted bids."
9. TXDOT S:PECJAL SPECrFfCATIONS
a:. Special Spec ifi:catiron 4488 S tress Ribbo n - 2 .B Mate rial s, Stress Ribbon Stee l -
CJIANGE "ASTM A 580 " to read "ASTM A 852".
10. SHEETS
a . S hed]
1. GeneraJ ote #5 -REPLACE \ ith the fo ll ow in g:
5. DIMENS IO NS AND QUANTITIES OF R EJNFO RCJ NG STEEL
SHOWN ON THE DRAWJNGS DO NOT INCLU D E SPLJCE
LENGTHS R ADJUSTMENTS FOR BLOCKOUTS .
· ONTRACTOR SHALL BE RESPONSIBLE FOR DETAILJNG ALL
REF ,FOR ¥NG ON FABRICATOR'S SHO P DRAWINGS , WHJCH
SHALL BE SUBM IITED FOR R EV IEW.
i i. , o ncre.te -A DD the followi ng note:
9. R EI FOR E ALL PR ECAST CONC RETE DECK PANELS WITH
T\ OMATS0F#4 AT 12 " EACH WAY,2 lNCH CLEAR COVER
TOI?' AND BO'D"OM. AROlJND EACH GUARDRAIL
TI CHME T PROVIDE #3x3 6" BENT "Y" BAR ON TOP OF THE
TOP A D BOITOM MA TS .
lfl. Foundation Note #4 -REPLACE w ith the following:
4. BORE.N G B-2 !NDIC TES TH E PRES ENCE OF FAT CLAY (CH
OR GE BROWN AND UGI-IT GRAY). REMOVE FAT CLAY
BELOW FOUN DAT ION AB UT MENT S , B ENTS , A ND TI E B EAM S
AS R EQUf:R ED TO A MAXJMUM D E PT H O F FO UR FEET .
JE C AVATE D FAT CLAY LO ATED DlRE CTLY BE LO \
FOUNDATI ON EL EMENTS S HALL B E RE PLACED WITH
COMPACTED O NS !TE L EA N C LAY S (CL, DARK BROWN A N D
B ROWN) .. R EFER T O T H E G EO TECHN JCA L R E PORT A S
R EQU IRED. EXCAVATED FA T C LAYS S HA LL B E US ED TO C P
L EAN C LAYS. COMPACT TO 9 5% MAXIMUM DRY DEN SJTY
PER ASTM D 698 STA N DARD PROCTOR), AT-0% T O +3% OF
OPTIMUM MOISTU R E C O NTENT.
w . Strncturn ll Steel
I . Note #9'-ADD t he fo ll owing sente nc e al th e beginnin g :
PROVIDE ALL R EQUIR ED ACCESS AN D 4 8 HOU R
NOT ff JCA TfON TO TH E OWN ER lN ORDE R THAT TH E
OWNER MA Y PE RFORM THE F OLLOWING WELD
EN .PJE.C fIO NS .
2 . CLARIFICATION -A U we ld s o f s tress ribbon to be fu ll
pe111etrn fio n we ld s as th e ribbons a re fu ll y s t resse d in te ns ion .
We !cls of t he stress ribb o n a re to b e g round s mooth .
Constm c t ron a'.ild Ribbo n Stress in g Sequ e nce
L CLARIFICATION -Dri ll ho les in s tress ribbon s in t he un-
s tresse d s tate . T he overall elo n gat io n of th e ribbons is 2 -3
im ch.es on each s ide of th e arc h. Th is le ad s to e lo nga t ion of th e
stres s ri1b lbo n be t,.vee n hol es of a s in g le pa ne l as s hm n be low:
Wes t of Arch Ce nte rline
+~.(i)i2J.in belwee n hol es of s in g le pa ne l
f.a t o f A rc h Cente rline
+0.022in be t, een ho les o f s in g le pa n e l
2. REPLACE e ntire not es s ect ion , it.h the fo ll ow ing :
Ii. CONSTRUCT FOUNDATJONS .
2. SURV EY BRlDG E ABUT MENT S AN D BENTS. EA C H
POIN T fNITI ALLY SURVE Y E D S HA LL BE RESURV E Y E D
TH ROUG HO UT T H E EN TIRE PROJECT A S NOTED
BELOW . AT A M IN IMU M PROVIDE 10 POJ NTS: ONE AT
EA CH BACK CORNER OF EACH ABUT M EN T , TWO A T
E A C H UP PE R E DG E OF EACH B EN T A N D ONE A T THE
P E AK Of EACH ARC H . PROVIDE A DDJT!ONA L PO I TS
A S RE QutR.ED TO V E RIFY THAT PROJ ECT
R EQUlREMENTSffOLE RANCE S A RE B EING MET.
J _ UFTARCH INTO PLACE AN D fA STEN TO B E T #2
AN D B ENT #3 . ST R ES S A NCHOR RODS T O TH E LOAD
S:P IEC tflED. R ESU RVEY ALL POI N T S .
PLACE STRESS R IBBONS OVE R A RCHE S AN D
ABUTMENT S. T ENS ION BOTH RJ BBON S
SIMULTANEO US LY ACC ORD IN G TO THE TABLE
BELOW. SU RVEY TH E G E OM ETRY FOR THE VA LU ES
SHOWN BE LOW AN D I N T H E ORA W I NG S. R E PORT
DfiSC RE PAN 1ES TO TH E EN G INEER . S TRESS BOT H
RIBBONS S !M U L TANT E O US L Y .
West Si d e Eas t S id e
B efor e U eck P lacement
Ten s ion (kip) 390 -43 0 5 10 -560
Delita Z (in ) +2 0.0i n at 70ft from + J 0.9in at 53 11
ax is 1 from a x is S
A ft e r Deck Placem e nt
Tens ion (k ip ) 925 -1020 880 -97 0 -
Geo me tr y Acco rdi ng to
IJrnwin gs
5. l1NST ALL P R ECAST C ONCRETE DECK P ANELS .
ST A RT T HE JNSTALLATJON OF THE PAN ELS AT THE
CENTER OF E A CH S PAN , E A C H S IDE OF THE ARC H.
PJLACE PAN ELS ON E AC H SPAN S IMULTAN E OU LSY .
PLACEM ENT SHALL PROCEED EQ U ALLY O UT F ROM
EACH S £D E OF E ACH S PA N CENTE RLI NE. RES RVEY
ALL POINTS. ADDITIONALLY , SURVEY T HE T OP O F
DECK A S R EQU IRE D T O VERJF Y THE 5% MA XIMUM
SLOPE AS S HO \VN ON S HEET 19 .
6. INSTALL HAN DRA IL AND CABLIN G. RESURVEY ALL
PO IN TS . ADDITIONALL Y , SURV EY THE TOP OF DECK
AS l~EQUI RED TO V E RffY THE 5% MA X IM UM SLOPE S
SHO WN ON SHE ET J 9.
7 . VER ffY THAT D ECK C URVATU R E JS EQUAL TO OR
LESS THAN T H E 5% MAXIM UM SLOPE SPE ClFIED .
PROVID E ADD ITION AL STRESSlN G AS REQU IRED TO
MEET 5% MAXl MUM S LOPE RE QUIREMEN T. ANY
A IDnrnONA L STRESSIN G REQU IR E D S HALL N OT
EXCEED 15%.
S. W ALTERN ATE SEQUENC IN G PROCEDU RE IS
DESI.RED, T HEN SU BM IT FOR APPROV A L PRI O R T O
FABR ICATION OR CONSTRUCTJON.
91_ ON E YEAR AFTER OPEN ING THE BRIDGE FOR
PUBUC USE, RESURVEY ALL POINTS ANDS RVEY
T HE DECK PROFJLE AS REQUlRED TO VERJFY THE
DEC K S LOPE. SUBM IT FOR REVIEW . RESTRESSING OF
THE RIBBONS MAY BE REQUIRED. 1F RESTRESSJNG IS
R.EQUfRED, THEN REMOVAL AND REPLACMENT OF
BRIDGE A PPROACH SLABS W ILL BE REQUJRED.
vi. trnc tma [ C oatilllg
L N ote #3 -REPLACE w ith the fo ll owin g:
J. T HE COATTNG CORROSJON WARRANTY SHALL BE
T O A MAXIMUM ALLOW ABLE BREAKDOWN OF Rl 2 AS
DEFINE D l THE APPROPRIATE ISO STANDARD A 10
BE IN PL ACE FOR 10 YEARS. THE COATING
WARRANTY JS ONLY REQUIRED FOR THE MATERIAL.
2 . N ote# IO -REPLACE vvith the following:
10. ALL BOLTS TRANSPORTED TO THE S ITE MUST
INCLUDE CORROS ION PROTECTlON . PER A IS C,
GALVAN IZING OF A490 BOLTS JS NOT PERMITTED.
CORROSION PROTECTION OF A490 BOLTS PERMITTED
BY:
I . TWO-LA YER EPOXY COATI NG (PEN DING
PROCESS APPROVAL), OR BY
2 . DACROMET COATING P ER ASTM F 11 36
3 . N o te #12c-ADD th e following:
f fN A L C OATING SHA LL BE APPLIED ON-SlTE IN ORDER
TO ADEQUATELY COVER FIELD WELDS.
41 . ADD the following notes:
13 . ALL SURF ACE FIN !SHES FOR CONCRETE SHALL BE
IN A C CORDAN CE WITH TXDOT SPECIFICATION ITEM
427 EXCEPT AS MODJFlED BY T HESE NOTES.
li4 . \, ALKJiNG SURF ACE OF APPROACH SLABS AND
PRE-FABRICATED DECK UNJTS SHALL HAVE LIGHT
BROOM flN ISH AND NO OTHER COATING.
15. CON CRETE RIPRAP SHALL HA VE A LIGHT BROOM
F INI S H AN D A CONCRETE PA[NT/HEAVY STA IN .
C O LOR SHALL BE FEDERAL STANDARD COLOR 3 77 78.
16. A LL OTHER CON C RETE SURFACE AREAS EXPOS E D
TO VI EW (J N CLUDIN G SIDES OF ABUTMENTS AN D
b.
C .
Sheet 4
L.
ii•.
iii.
I V.
heet 5
, ..
STEEL ARCH CONCRETE FOUNDAT IONS TO 12" BELO\
Flil'HSHED GRADE, EXPOSED ENDS OF PRE-
FABRICATED DECK UNITS, AND ENTTR.E UNDERSIDE
O f PRE-FABRICATED DECK UNITS) SHALL HAVE A N
Off-THE-FORM SURFACE FIN ISH AND BE COATED
WITH A C ONCRETE PAJNT/HE AVY STAfN. COLOR
SHA LL BE FEDERAL STANDARD COLOR 27875 .
I7. C ONCRETE PAfNT/HEAVY STAIN SHALL BE
S HE RWIN -WILLIAMS "BRIDGE AND H IGHWAY WB
ONCR E T E PAfNT/HEAVY STA IN B97-300 SER.JES " OR
EQUJV ALEN T AS APPROVED IN WRITJNG BY
ENG INE ER.
18 . APPLY C ONCRETE PA INT/HEAVY STAIN COATrNG
O N A DRY SURFACE IN TWO (2) FULL COATS EACH
AND AT A RATE AND MANNER AS SPECJFJED BY
MANUFACTURER . DO NOT THIN MATERIAL UNLESS
RECOMMENDED BY MAN UFACTURER AND APPROVED
fN WRITING BY ENGINEER . APPLY WHEN AMBIENT
TEMPERATURE IS IN RANGE SPECIFIED BY
MANUFACTURER.
19. FINAL PA INT COLOR OF STEEL ARCHES AND
STRESS RIBBONS SHALL BE FEDERAL STANDARD
COLOR 27925. FlNAL COA TJNG SHALL BE APPLIED O -
S ffE IN ORDER TO ADQUA TELY COVER FIELD WELDS.
ft.em !61-2014 C OMPOST MANUF TOPSOIL (BOS OR PB) (4")-
MODIFY paiy quantity to 7308 SY.
ftem 164-202 5 CE LL FBR MULCH SEED (PERM) (URBAN)
{SA N DY)-MODIFY pay quantity to 7308 SY .
tte'm 168-2001 VEGETATIVE WATERlNG -MODIFY pay quantit_ to
!23 .0 MG.
hem1 504 9 -?003 BIODGRD EROS ION CONTROL LOGS ( 12" DlA) -
MODIFY pay quantity to 900 LF .
Extend al lowabl e temporary con s truction area on the ea st bank of the
ri e r to i,ndude add itiona I 917 SY s outh of th e parking lot, wes t of Fore st
Park Bl d .
ii-. ADD Note 11 5 a s follows :
5 . PROTECT EXISTING TREES FROM DA MA GE.
d. Sheet l [. Sec tion 2 Notes Note #2 -REPLACE with the following:
2. AIPTE R COMPLETION OF STR.ESSTNG RIBBONS PROTECT RJBBON
T ·IL\.. ITH TYPICAL COATlNG SYSTEM . PROVIDE CEMENT BO RD
S EALED TO OUTS ID E FACE OF ABUTMENT TO PREVENT B CKF JLL
1A TER1 -LFROM ENTERING STRESS RIBBON ANCHORAGE.
IB A CKflLL AROUND RIBBON TAIL AS REQUJRED WITH SAND FO R
EA E OF FUTURE ACCESS.
e . Sheet 12 Sect1 11 l -MODIFY Rebar coupler note at top of 3 0 ' diameter post-
ten s ioned pier as fo nO\ s :
MECH NfCAL SPUCE PER ACI 318 (AS REQ 'D)
f. 'heet 15, Sectio n 2 No tes , Note #2 -REPLACE with th e folio, in g:
2. FTE R COMPLET lON OF STRESS ING RIBBON S PROT ECT RIBBO N
T AIL \ rn1 TVP'J:CALCOATING SYSTE M. PROVlDE CE M ENT BOARD
SEALED TO O UTSm E FACE OF ABUTMENT TO PREV ENT BACKFILL
MATE RIAL FROM ENTE RING ST RESS RIBBON ANCHORAGE.
BACKFILL ROUND RIBBON TA IL AS REQUIRED WJTH SAND FOR
EAS£ OF FUTU RE ACCESS.
g. S heet 16 , eci ion: l -M ODfFY Rebar co upl er note at lop o f 3 0 " diameter post-
tensioned pi.er as follo, s:
MECHA · ,[CAL SPUCE PER ACJ 3 18 (AS REQ 'D)
h. Sh eetl.2_, Plan V iew -REPLACE "a nti -s lip coa tin g' with "li ght bro om fini sh·
1. Shed 32 -34 -CLARIF[CATION -Cas t j o int bet, ee n pr ecas t panels is to be
Cfeated us ing Si:ka Level 340 or equivalent. Prepa re s urfa ces per manu fac ture r 's
recornmendiatiot.11 . Jioi1nt is to bind to one pan e.I only. Jn se rt foil against su rfa ce of
oppo ite panel to pre ent cracki ng.
J. S hed 33, Prefabricated Deck Dela ii -REPLACE "anti -s lip coa tin g" with "li ght
broom fin is h"
k. Sheet 40 -CLARIFICATION -The existin g City elect ric meter in g point is
located approximate! 30 feet from th e nea rest railroad track. The C ity w ill
pro ide train traffic information upon request.
L S heel 4 1 -CLARIFJCATION -T he I,, li g htin g conduit runnin g down th e
cente r o.ftbe 1:H:il:l ge ma · be acce ss ed by drilling through the arc h. A seco nd
conduit w ill: not be added.
lL CLARIFICATIONS
a . H docum entation for thi s project is to be s ub mitt ed to th e De partment of
Tran s po rta tion and Pub li c Works located on th e so uth east 2"d floor in ity Hall.
b. C ity b u ifdim:g pe in:n it · \ ill be re quire d. Fees w ill be, a i e d.
c. Construct i on ins pection ,. iU be performed by C ity s taff.
d . Fn specti:on. of w elds and c oatin gs , il l be p rovided by th e Owner .
e . T he p re-construct.ion conference will be he ld approximately three (3) months
after b id o pening.
f . E.lectroiriic C ADD fil es wi ll be pro id e d to the Contracto r by the E ng in eer after
b id ai ardl for use in d esigni ng forms.
g . S:uir e o r must be l:i:cen sed i'l1 the S tate of Texas .
h1. We l'de rs, irn ust be certified.
A If o th e r p10 'i sionis of !he con tract d ocu me nts , p lans and s p ec ifi cati o ns s ha ll rem a in un ch a nged .
Fa ilu re to return a signed copy of the a dde nd um w ith th e Pro p osa l s hall be g ro und s for re nd erin g
t he bid non-resp ns i e. A siigned CO!)Y of t hi s add e ndum s ha ll be pl ace d into th e P ro posa l a t th e
t ime of bid submittal.
RECEIPT ACKNOWLEDGED:. \l/illiam A. Ye rk es!, P.E .
D1R ECTOR
TRANSPORTATJ ON AND PU BLIC \: ORKS
D EPA RTMENT
By :
M ike F ic ke, RLA
Pa rk s a nd Communi ty Se1 ices D e pt.
PROJECT MANUAL
FOR
LANCASTER A VENUE PEDESTRIAN BRIDGE
IN THE CITY OF FORT WORTH
2010
District: Fort Worth
County: Tarrant
Project: STP 2008(560)MM
CSJ: 0902-48-698
MIKE MONCRIEF
MAYOR
DALE A. FISSELER, P.E.
CITY MANAGER
WILLIAM VERKEST, P .E.
DIRECTOR,
TRANSPORTATION AND PUBLIC WORKS
PREPARED BY:
FREESE
iNICHOLS
4055 International Plaza, Suite 200
Fort Worth, TX 76109-4895
Phone: (817) 735-7300
Fax: (817) 735-7491
JUNE2010
PLEASE DO NOT
DISASSEMBLE
FREES E A D NICHOLS, INC.
TEXAS REG ISTERED
ENGINEER IN G F IRM
F-2144
TABLE OF CONTENTS
PART A
NOTICE TO BIDDERS
SPECIAL INSTRUCTIONS TO BIDDERS
PARTS
DISADVANTAGED BUSINESS ENTERPRISE SPECIFICATIONS
PROPOSAL
PARTF
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
PARTH
SPECIFICATION LIST
TXDOT GENERAL NOTES
TXDOT SPECIAL PROVISIONS
TXDOT SPECIAL SPECIFICATIONS
USDOT SPECIAL PROVISIONS
APPENDIX A
LOCAL GOVERNMENT PROJECT PROJECT PRODEDURES (CONTRACT COMPONENTS)
PART A
-
NOTICE TO BIDDERS
NOTICE TO BIDDERS
Sealed Proposals for the follow ing :
(Project)
PROJECT NO.
TPWNO.
Lancaster Ave. / Phyllis J. Tilley Memorial Bridge
Construction
GR76 / 080302898010 (C292 / 541600 I 801580003580)
6510
Addressed to the City of Fort Worth , Purchasing Division , 1000 Throckmorton Street,
Fort Worth , Texas 76102-6311 and received at the Purchasing Office until 1 :30 p .m .,
Thurs., July 29 , 2010 and then publicly opened and read aloud at 2:00 p.m. in Council
Chambers 2nd floor-N.E . corner of City Hall . Contract documents , including plans and
specifications for this project may be obtained on-line by visiting the City of Fort Worth 's
Purchasing Division website at http ://www.fortworthgov.org/purchasing/ and clicking on
the project link . This link will take you to the adver;tised project fo lders on the C ity 's
Buzzsaw site , where the plans and contract documents may be downloaded , viewed
and printed by interested contractor and / or suppliers .
Hard copies of plans and contract documents are available at the office of the design
engineer, Freese & Nichols , Inc ., at 4055 International Plaza , Suite 200 at a cost of
$80 .00 per plan set (non refundable). Please contact Mark McCoy,P.E. at 817-735-7479
for assistance .
1. Wage Rates: 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 the
prevailing wage rates , and City Ordinance No . 7278 , as amended by City Ordinance
No . 7400 (Fort Worth City Code, Section 13-A-21 through 13-A-29) proh ibiting
discrimination i n employment practices.
2. Disadvantaged Business Enterprise Participation Goals: In accordance with the
City of Fort Worth Ordinance No. 15530, the City of Fort Worth has goals for the
participation of disadvantaged business enterprises in City contracts . A copy of the
Ordinance can be obtained from the M/WBE Office or from the Office of the City
Secretary. The bidder shall submit the DBE UTILIZATION FORM , SUBCONTRACTOR
/ SUPPLIER UTILIZATION FORM, PRIME CONTRACTOR WAIVER FORM , GOOD
FAITH EFFORT FORM and/ or the JOINT VENTURE FORM ("Documentation) as
appropriate and must be received no later than 5:00 P.M., five (5) City business days
after the bid opening date , exclusive of the bid opening date . The bidder (a) shall submit
documentation at the reception area of the managing department, Department of
Engineering , 2nd floor, City Hall, and shall obtain a receipt in person . Such receipt shall
be evidence that the documentation was received by the City. (b) Electronic submittal
of DBE documentation will not be accepted . Failure to comply with (a) and (b) shall
render the bid non-:responsive .
The following list is provided to assist bidders in obtaining the services of DBE vendors
qualified to provide such services/materials for this project. A listing of qual ified DBE
vendors may be obtained at the City of Fort Worth M/WBE office , 3rd floor City Hall.
Services/materials for this project are as follows :
demolition/site prep
bridge construction
steel rebar
electrical
clearing/grubbing
concrete
earthwork
grad ing/earthwo rk
seeding
asphalt
The City's minimum DBE goal on this project is 22 % of the total dollar value of this
contract.
3. Prime Bidder Qualification Requirements: The City will evaluate all submitted bids
based on criteria and qualifications to determine award of contract as noted in Item 14 . -
Bidder's Statement Of Qualifications -Special Instructions To Bidders , and upon receipt
of Bidder's Statement Of Qualifications form included in this construction document. In
general:
• The Prime Bidder, as general contractor or sub-contractor, must demonstrate
similar project scope experience on three (3) projects within the last three (3)
years . All subcontractors intended for use on this project shall also demonstrate
similar project scope experience necessary to successfully perform on their
respective portion of work on this project.
• The Prime Bidder must provide a list the surety company(s) which issued bonds
for projects listed above. Additionally , the Prime bidder shall list the surety
company intended for use on this project.
• The Prime Bidder must submit a current certified financial statement prepared by
an independent Certified Public Accountant.
• The Prime Bidder shall perform work its own organization and with the
assistance of work crews under its superintendence work of a value not less than
fifty percent (50%) of the project scope of work as per Section 8 .1 of the standard
specifications for Street and Storm Drain Construction for the City of Fort worth.
[J idder's Qualifications are to be submitted and received by the Parks and Community
Service Department Project Manager no later than 5:00 P.M ., five (5) City business
ays after the bid opening date , exclusive of the bid opening date .
4. Bid Addendum: Bidders are responsible for obtaining all addenda to the contract
documents and acknowledging receipt of the addenda by initialing the appropriate
spaces on the Proposal form . Bids that do not acknowledge receipt of all addenda may
be rejected as being non-responsive . All addenda will be made available on-line with
the contract documents . Contractors and/or suppliers are requested to register as plan
holders on-line (on Buzzsaw site) in order to receive notifications regarding th~ issuance
of addenda. It shall be the bidding contractor's sole responsibility to verify they have
rece ived and considered addenda prior to submitting a bid .
5. Pre -Bid Conference: An optional pre-bid conference will be held with prospective
bidders at the Parks and Community Services Department, 4200 South Freeway, Suite
2200 , Fort Worth , Texas 76115-1499 , Conference Room #2 on July 15, 2010 at 9:00
a .m.
6. Award of Contract
The City reserves the right to reject any or all bids and waive any or all formalities .
The City will award one contract with a combination of base bids and/or alternates
which is most advantageous to the City.
No bid may be withdrawn until the expiration of 70 calendar days from the day bids are
opened. The award of contract, if made , will be within 70 calendar days after the
opening of bids , but in no case will the award be made until all necessary investigations
are made as to the responsibility of the bidder to whom the contract will be awarded.
RICHARD ZAVALA, DI RECTOR
PARKS AND COMMUNITY SERVICES DEPARTMENT
By:
Mike Ficke
Project Manager
(817) 871-5746
mike . ficke@fortworthgov.org
Advertisement Dates:
Thursday July 1, 2010
Thursday July 8, 2010
DALE A.FISSELER, P.E.
CITY MANAGER
MARTY HENDRIX
CITY SECRETARY
SPECIAL INSTRUCTIONS TO BIDDERS
ECIAL INSTRUCTIONS TO BIDDERS
1) ION REQUIREMENT&--AII contractors submitting bids are required to be
the F Worth "'} ter Department prior to submitting bids/ This
prequalific on proce will estat)Hs h a bid l~it based on /.'.a ' technical ev t ation and
financial nalysis of e contrac .efr . It is the iclder 's respop sibility to sub ·t the following
docum tation : current fi ncial state ent, an ~c e ptable expe ·ence record , an
acceptable equ· ment sche le and an other docu , ents the De artment may deem
;tlecessary , to e Director the Water epartment at; east seven (1 calendar days prior to
the date of t 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 valid 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 subm itted 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 qua lify 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 re insurer 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 Condi ti ons is deleted and replaced w ith the following :
(a) The contractor shall com ply w it h al l re uireme _oJ_Gba Qter 2258 , Texas
GC _oveC Bidders note tbat t he General Notes -City of Fort Worth Highway {Hef!YY) ,rm ined by the
ity Construction Prevai ling Wage Rates for 2008 are to be DELETED and use :cordance with
Chapl ONLY the Federal Wage Rates ire included in
these
(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 D-3 Right
to Audit pertain to this inspection.
(c) The contractor shall inc lude 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.
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 th is contract to a nonres ident bidder unless the nonres ident'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 t he Proposa l must be filled out by all nonresident bidders in orde r
for the bid to meet spec ifications. The failure of a nonres ident 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 w ithin
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 connect ion with the employment, advancement or discharge of employees
or in connection with the terms , condit ions 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
occupat ional qualificat ion , retirement plan or statutory requirements .
Contractor warrants it w ill fully comply with the policy and will defend , indemnify and hold
City harmless against any claims or allegations asserted by third parties or subcontractor
aga inst 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 Disabil it ies Act of
1990 ("ADA"), Contractor warrants that it and any and all of its subcontractors will not
unlawfully discriminate on the bas is 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 C ity 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 rece ipt from the appropriate
employee of the managing department to whom delivery was made . Such receipt shall be
evidence that the documentation 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 performed by a Minority Business Enterprise (MBE) and/or women
business enterprise (WBE) on the contract and payment thereof. Contractor further agrees
to perm it 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 m isrepresentation) 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 negligent 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:
13 .
a. The contractor will rece ive 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
becoming 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 regarding (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 ev e nt of a dispute regarding either final quantities or liquidated damages , the
_ part ies shall attempt to re solve the differences w ithin 30 calendar days .
b. The Contractor shall be responsible fi d fi . . .
workmanship or material s or both for aor ~ ~ct} lll thts projects due to fau lty
the date that the final unch list 1 ' . ' per10 ° two (2) years beginning as of
the City as of the date~he fina l p~~:c~e,:;t ~1::~leted and :i1e ~roject ~1ccepted by
;:~i~~:d~!~t;~np~:!:iga.1t1e
0
dwby the Contractor and~~:~~;~:~~: c:;1::~~~~~~il b?e a
' n expense any part or a ll f th. . . becomes defective due to these cau~es. , , o is proJect which
project. Federal
stances , different
es any federal or
federal and state
.tate requirements
will prevail if the comra cL 111vv,v "'"' ...,, .. , -·-·-. ___ . -.... .st between federal
and state requirements, federal requirements will prevail for those contracts involving federal
funds . Contracts for projects on the state highway system funded entirely with local funds
not deposited in the state treasury and where work is performed by the LG are subject to
TxDOT design requirements and local contracting 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 requ irements associated with an individual project.
PARTB
MINORITY & WOMEN'S BUSINESS ENTERPRISES
SPECIFICATIONS
·--
FORT WORTH
"'-,-. ,, -A
City of Fort Worth
Disadvantaged Business Ent_erprise Specifications
SPECIAL INSTRUCTIONS FOR BIDDERS
APPLICATION OF POLICY
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 services 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 current Disadvantage
Business Enterprise Program apply to this bid .
DBE PROJECT GOALS
The City's DBE goal on this project is 22 % of the base bid value of the contract.
COMPLIANCE TO BID SPECIFICATIONS
On City contracts of $25,000 or more, bidders are required to comply with the intent of the City 's DBE program by either
of the following:
1. Meet or exceed the above stated DBE goal, or;
2. Good Faith Effort documentation, or;
3. Waiver documentation, or;
4. Joint Venture.
SUBMITTAL OF REQUIRED DOCUMENTATION
The applicable documents must be received by the Managing Department , within the followin
for the entire bid to be consic;lered responsive to the specifications .
1. Subcontractor Utilization Form, if
oal is met or exceeded :
received by 5:00 p.m ., five (5) City business days after the bid
o enin date, exclusive of the bid o enin date.
2. Good Faith Effort and Subcontractor
Utilization Form, if participation is
less than stated oal:
3. Good Faith Effort Form, if no
artici ation :
4. Prime Contractor Waiver Form:
5 . Joint Venture Form, if goal is met or
exceeded :
received by 5:00 p:m., five (5) City business days after the bid
opening date, exclusive of the bid opening date.
Any questions, please contact the M/WBE Office at (817) 392-6104.
Rev. 11/11/05
10RTW°ORTH -----·w· ~ -
PRIME COMPANY NAME:
PROJECT NAME:
PROJECT NUMBER:
I CITY'S DBE PROJECT GOAL:
CITY OF FORT WORTH
Disadvantaged Business Enterprise
~~OIi\ I ~l-.
srPUXJ8 (~~6).MM
22 %
Please read the following statements prior to executing this form.
ATIACHMENT 1A
Page 1 of 3
Schedule of Subcontractors/Suppliers
D DBE
BID DATE : __ B-'-/-~ ...... /_(_~--
j Prime's DBE GOAL COMMITMENT : SZ, S %
Rev. 5-30-03
bRTW°ORTH ---.., 9 a ,-,, -
CITY OF FORT WORTH
SCHEDULE OF SUBCONTRACTORS/SUPPLIERS
ATTACHMENT 1A
Page 2 of 3
:heck this box ~any subcontractor/supplier is a Sole Source and identify by writing sole source by the subcontractor/supplier name.
NAMES AND ADDRESSES OF
SUBCONTRACTORS/SUPPLIERS
Name: leV\vt (h\ ""'4-V\lm...\ S ~"'° N"dS
Address: P,e>. f>oX goot;f,i
t~WA Sp<t"'jS" 11X 751 $0
Phone:('/1Z.) "fJ'J, '{OO(c
Fax: (tl~) Z$l -'(O~O
Email: J4.t@ ~S'i't.Ce(Z)S(Ovt .CO\.oV1
Contact Person: J,,..y
Name: 1~xa.5 5k..!Pts"
Address: f.O. ,SoY. 7fZIS
/;,~ Wd.(~ 7x ,Grr'f
Phone: (~11j 'lfO, /tfOtf
Fax: li11) l.{$1-~6~
Email: r raol@ -~IIV'.
Contact Person: _ f?oof ....,
TYPE OF WORK TO BE PERFORMED
Type of Work:
~\ Sv~~l'( l ~~f\C~t\OV\ 1 (¢..'ln.'1--5<;
~~Ch.~ I (~~~\,
$ AMOUNT: 't.(g
1
06() ._g.!!.
Type of Work: !'.lu.mCA.\ f'2-r I lo.IA-->
$ AMOUNT: I ( 'f 1 56 t..J ~
$ AMOUNT: ,z., ~'Z-S -~
Type of Work: On l\c~~
1
~e b~r 1"yt ~ ,
G,~ f'l~~'t"/ t~'6.'11..t\.~
$ AMOUNT: ~~/ 16t.f
Specify
Tier
\
CERTIFIED DBE
FIRM
Yes /No -
Certified By~
NCTRCA _
TXDOT -Other _please
attach DBE certification
Yes ~0-
Certified By /
NCTRCA _
TXDOT -Other _please
attach DBE certification
/
Yes /No -
Certified By:
NCTRCA --TXDOT -Other _please
attach DBE certification
Yes No/ -
Certified By :
NCTRCA -TXDOT --Other _please
attach DBE certification
PREVIOUS YEAR'S
ANNUAL GROSS
RECEIPTS ( check one)
_ less than $SOOK
_ $SOOK to $2M
_¥$2M to $SM
_ more than $SM
_ less than $SOOK
_ $SOOK to $2M
_ $2M to $SM
/more than $SM
less than $SOOK
~OOK to$2M
_ $2M to $SM
_ more than $SM
_ less than $SOOK
_ $SOOK to $2M
_ $2M to $SM
/more than $SM
Rev. 5-30-03
)
----·----·----------.,
FORTW°ORTH .. ...... . _,. -
? IJ CITY OF FORT WORTH
SCHEDULE OF SUBCONTRACTOR/SUPPLIERS
NAMES AND ADDRESSES OF
SUBCONTRACTORS/SUPPLIERS
Name:
Address :
Phone :
Fax:
Ema i l :
Contact Person :
Name:
Address:
Phone:
Fax:
Email:
Contact Person:
Authorized SignaffJre
Pre.~idevt -r
Title
~~t'tJY1 (11t C ,
Company Name
/$GS t.k.sr
Address
f?,d( ~ ', 1'Jt-I
City/State/Zip Code
I
1~'l-U)
TYPE OF WORK TO BE PERFORMED Specify CERTIFIED DBE
Tier FIRM
Type of Work: Yes -No -
Certified By:
NCTRCA -TXDOT -
$AMOUNT:. Other _please
att ac h DBE certific ati on
Type of Work:
Yes No - -
Certified By :
NCTRCA -
$AMOUNT : TXDOT -Other _please
attach DBE certifica ti on
Printed Signature
Contact Name and Title (if different)
C rtt) '1'1'1 -iz ~o
Phone Number
J?-,c,~@ (lebcot.f. Ce M
Email Address
afto(ro
Date
ATIACHMENT 1A
Page 3 of 3
PREVIOUS YEAR'S
ANNUAL GROSS
RECEIPTS ( check one)
-less than $SOOK
_ $SOOK to $2M
_ $2M to $SM
_ more than $SM
_ less than $SOOK
_ $SOOK to $2M
_ $2M to $SM
_ more than $SM
Fax Number
Rev. 5-30 -0 3
·FORT WORTH
. .._,, . ,.--~ • a CITY OF FORT WORTH
Disadvantaged Business Enterprise Office
PRIME COMPANY NAME: IZ4bcan l11t.
PROJECT NAME:
PROJECT NUMBER:
I CITY'S DBE PROJECT GOAL: 22 %
Please read the following statements prior to executing this form.
ATIACHMENT 1A
Page 1 of 3
Schedule of Subconsultants/Suppliers
D DBE D MWBE ~N-M/W/DBE
BID DATE:--~_,_/_$-+(_{_('.) __
I Prime's DBE GOAL COMMITMENT: .%
Rev. 5/30/03
I
FORT WORTH ·---...., .•. ,-, .
CITY OF FORT WORTH
SCHEDULE OF SUBCONSUL TANTS/SUPPLIERS
ATIACHMENT 1A
Page 2 of 3
Check this box D if any subcontractor/supplier is a Sole Source and identify by writing sole source by the subcontractor/supplier name.
NAMES AND ADDRESSES OF
SUBCONSUL TANT/SUPPLIERS
Name: g,,.ntf(O, f 11t,.
Address: P.O. Bo)( 5'1(0&7
{)~(/tAs, T-, 1$S~'f
Phone: (Zit.() 'J$'Z ~ ft>'f I
Fax: (Z-t'f) isz. -7tJ'UJ
Email: r~ ~rt.fl" .c.o""'-
Contact ~rson: /!.ct;fJ-1" Gol>)AVI
Name: -
Address:
Phone:
Fax:
Email:
Contact Person:
Name:
Address:
Phone:
Fax:
Email:
Contact Person:
Name:
Address:
Phone:
Fax:
Email:
Contact Person:
TYPE OF WORK TO BE PERFORMED
Type of Work: Pm\Jtd!, S-\vt..dual $~\
$ AMOUNT: ~, t,/6 / H,
Type of Work:
$AMOUNT:
Type of Work:
$AMOUNT:
Type of Work:
$AMOUNT:
••••
Specify CERTIFIED DBE PREVIOUS YEAR'S
Tier FIRM ANNUAL GROSS
\
RECEIPTS ( check one)
Yes _ No / _ less than $SOOK
Certified By:
NCTRCA __
TXDOT
Other __ please
attach DBE certification
Yes_ No_
_ $SOOK to $2M
$2M to $SM
/more than $SM
_ less than $600K
Certified By: _ $SOOK to $2M
NCTRCA _. _
TXDOT _ $2M to $SM
Other __ please $
attach DBE certification -more than SM
Yes_ No_
Certified By:
NCTRCA __
TXDOT
_ less than $SOOK
_ $SOOK to $2M
_ $2M to $SM
Other __ please h $ M
attach DBE certification -more t an S
Yes_ No_
Certified By:
NCTRCA __
TXDOT
_ less than $SOOK
_ $SOOK to $2M
_ $2M to$SM
Other __ please $
attach DBE certification -more than SM
Rev. 5/30/03
FoRTWORTii
'-, .... ,.......
CITY OF FORT WORTH
ATIACHMENT 1A
Page 3 of 3
SCHEDULE OF SUBCONSUL TANTS/SUPPLIERS
NAMES AND ADDRESSES OF TYPE OF WORK TO BE PERFORMED Specify CERTIFIED DBE PREVIOUS YEAR'S
SUBCONSUL TANTS/SUPPLIERS Tier FIRM ANNUAL GROSS
RECEIPTS ( check one)
Name: Type of Work:
Yes -No_ _ less than $SOOK
Address:
Certified By: _ $SOOK to $2M
Phone: NCTRCA -_ $2M to$SM Fax: $AMOUNT: TXDOT -
Email: Other _please _ more than $SM
Contact Person: atta ch DBE certlflcatlon
Name: Type of Work:
Yes -No -. _ less than $SOOK
Address:
Certified By: _ $SOOK to $2M
Phone: NCTRCA -$2M to $SM Fax: $AMOUNT: TXDOT --
Email: Other _please _ more than $SM
Contact Person: attach DBE certification
MUST BE CERTIFIED BY THE CITY OF FORT WORTH PRIOR TO A RECOMMENDATION FOR AWARD TO THE CITY COUNCIL.
Authorized Si~nature
Pl'esik~~
Title
(r/\C.
Company Name
I ~(,g ~~~ IJ .. r/t.v.-d-~f
Address
OA.tf ,.J, 7:x 1 7SZZO
City/State/Zip Code
Printed Signature
Contact Name and Title (if different)
( f!lJ 'i 'f 'f-St ~o ( 'f?t) 'f <f 'f -$2 '3 '1
Phone Number Fax Number
I!-, C, k-@ ree ~co vt . c.c 11\..,\
Email Address/,
8 /ta1/0
I
Date
Rev . 5/30/03
Bld Date :
Project Name:
Project DOE #:
City Project #:
Project Manager:
MWBE Documentation. Received
Department of Engineering
6510
I -
Fonns submitted by : Name:
Title:
Company: £+it ffl, 1 if~. ----"--'------+/ ~L_.__.;...;,.;:..._ ____________ _
PROPOSAL
TO: Mr. Dale A. Fisseler
City Manager
Fort Worth, Tex as
PART B -PROPOSAL
FOR: LANCASTER A VE./ PHYLLIS J . TILLEY MEMORIAL BRIDGIE
CONSTRUCTION
CSJ 0902 -· 48 -698
GR 76 I 541600 I 080302898010 (C292 I 541600 / 801580003580)
DOE NO. 6510
Pursuant to the foregoing "Notice to Bidders," the undersigned has thoroughly ex amined 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 approv al of the Director, Department of
Engineering of the City of Fort Worth.
Upon acceptance of this proposa~ by the City Council , the bidder is bound to execute a contract and furnish
Performance, Maintenance Bond, and Payment Bond approv ed by the City of Fort 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
104 2015 REMOVING CONC (SIDEWALKS) SY 3.3
f_£E r~ Dollars
and /VO Cents per SY
161 2014 001 COMPOST MANUF TOPSOIL SY 6,391~
(BOS OR PB ~") 7,'308.0
tUI "' ()'NL Dollars n,ra
and_ ents per SY
164 2025 002 CELL FBR MLCH SEED SY -e,391.0 -
(PERM)(URBAN)(SANDY) 1,30'3.0
No Dollars .
and f;rly Cents per SY
168 2001 VEGETATIVE WATERING MG +em
&~"bf Dollars IZ.'>.0
and /Jt> Cents per MG
340 2011 003 D-GR HMA(METH) TY-B PG64-22 TON 52.8
o~ Hv~h·~-~ Tet,\ Dollars
and Ne. Cents per TON
400 2004 STRUCT EXCA V (BRIDGE) CY 827.9
Ne~?( Dollars
and No Cents per CY
403 2001 TEMPORARY SPL SHORING SF 3,768.0
Ott€-Dollars
and µ() Cents per SF
416 2003 DRILL SHAFT (30 IN) LF 126.0
1 W() fk.,_iJ~ I !MIAry f:t"!Dollars
and No Cents per LF
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 QT Y ONLY
416 2008 DRILL SHAFT (60 IN) LF 204.0
tz,u; {-)v~ 1¥2d f'-t.ff{ Dollars
and "10 Cents per LF
420 2027 002 CL F CONC (BENT) CY 308.0
/1 fe, 1/vtt.d('.lfd 6, r~ tJN.-Dollars
and ,J6 Cents per CY
420 2033 002 CL S CONC (APPR SLAB) CY 14.1
s \" 1-Jw.d ~ i cJ,bt!+ Dollars
and ,Jo Cents per CY
420 2087 002 CL F CONC (ABUT) CY 266.0
5'ty. Hv-.d~ Dollars
and /Jt; Cents per CY
426 2001 POST-TENSIONING (GROUTED) MKF 238.0
1f., I~ ~ C't..f.. Dollars
and tJo Cents per MKF
432 2002 RIPRAP (C ONC)(5 IN) CY 27.4
four Hv.J~ Fr?~ Dollars
and ,Jo Cents per CY
442 2005 016 STR STL (MISCELLANEOUS) LB 137,100.0
(ARCH)
Fwr Dollars
and No Cents per LB
442 2036 016 STRL STL (RAIL) LB 4,910.0
µ,~~n Dollars
and JJ/) Cents per LB
B-3
Updated 11/20/08
ITEM-C ODE
DEPT
ITEM DESC S.P. DESCRIPTI ON OF ITEMS WITH APPROX USE
ALT NO CODE NO. PRICES WRITTEN IN WORDS UNIT QTY ONLY
500 2001 005 MOBILIZATION LS 1.0
1wo Hu~J~ 1tt ,r~ 1kovSd.v)oollars
and ,Jo Cents per LS
502 2001 033 BARRICADES , SIGNS AND MO 12.0
TRAFFIC HANDLING
1 Wttl. #... f.luvJ ~ Dollars
and !,le Cents per MO
4488 2001 STRESS RIBBON STEEL LB 78 ,600.0
S.ttwl/\ Dollars
and t'\C:, Cents per LB
4490 2001 PREFABRICATED DECK UNIT SF 4 ,194.8
5t 1'.bt Dollars
and /Jo Cents per SF
4522 2001 DRILLED SHAFT (POST-LF 170.0
TENSIONED) (30 IN)
11'~ YvJ~ f~ Dollars
and Ne Cents per LF
5049 2003 BIODGRD EROSION CONTROL LF 800.0 ·
LO GS (12" DIA) 'fOO. 0
(z,tJ( Dollars
and fJo Cents per LF
8405 2001 LIGHTING AND ELECTRICAL LS 1.0
SYSTEM
0,-.e. IJu,-1~ 1\-.,~ ~'-~ollars
and Np Cents per LS
TOT AL AMOUNT BASE BID: $ 2 !> 7'1 . 10
J,4D~1\1 q .q_o
B-4
Updated 11/20/08
PART B -PROPOSAL (Cont.)
After acceptance of this Proposal , the undersigned will execute the formal 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 certified 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 referring 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 _JQ_ calendar days after issue of the work order, and to
complete the contract within 265 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
~lace of business, are not required to underbid resident bidders.
__ B. The principal place of business of our company or our parent company or
majority owner is in the State of Texas.
B-5
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. 1 (Initials) ~ Addendum No. 3 (Initials) ___ _
Addendum No. 2 (Initials) __ _ Addendum No. 4 (Initials) ----
Respectfully submitted,
By:
Title
Address
Teiephone:_(~1~?J_4_1_f~_f_2,_J_o
(Seal) / /
Date: __ 3p: ___ /f D_
B-6
Updated 11/20/08
PARTF ..
-
-
CERTIFICATE OF INSURANCE
1
CERTIFICATE OF INSURANCE Certificate# 81050
ISSUE DATE (MM /DD/YY)
416 12/20/10
MULLIS ·NEWBY· HURST LP
BONDS AND I NSURANCE
5057 Kell er Springs Road • Su ite 4 00 • Addison , Texas 7500 1
972.2 01.01 00 • www.mnhin s .com • Fax 972 .201.0123
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND
CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE
DOES NOT AMEND , EXTEND OR ALTER THE COVERAGE AFFORDED BY THE
POLICIES BELOW.
COMPANY A
LETTER
COMPANIES AFFORDING COVERAGE
Valley Forge In s urance Company (C NA)
,---------------------------< COMPANY B
LETTER Conti nental Insurance Company (C N A) INSURED
REBCON, Inc.
1868 W . Northwest Highway
Dallas , Texas 75220
COVERAGES
COMPANY C
LETTER
COMPANY D
LETTER
COMPANY E
LETTER
Great American In s urance Company
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED, NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN. THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS ,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES , LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
co TYPE OF INSURANCE POLICY NUMBER POLICY EFFECTIVE POLICY EXPIRATION LIMITS LTR DATE (MM/DD/YY) DATE (MM/DD/YY)
A GENERAL LIABILITY GENERAL AGGREGATE $ 2 ,000 ,000
X COMMERCIAL GENERAL LIABILITY 2075106141 02/18/10 02/18/11 PRODUCTS-COMP/OP AGG. $ 2 ,000 ,000
CLA IMS MADE mOCCUR PERSONAL & ADV. INJURY $ 1,000,000
OWNERS & CONTRACTORS' PROT. EACH OCCURRENCE $ 1,000 ,000
FIRE DAMAGE An one fire $ 300 ,000
MED. EXPENSE An one erson $ 10 ,000
B AUTOMOBILE LIABILITY COMBINED SINGLE
X LIMIT $ 1 ,000 ,000 ANY AUTO BUA 2075106155 02/18/10 02/18/11
ALL OWNED AUTOS BODILY INJURY $
SCHEDULED AUTOS (Per person)
X HIRED AUTOS BODILY INJURY
X (Per accident) $
NON-OWNED AUTOS
GARAGE LIABILITY
PROPERTY DAMAGE $
C EXCESS LIABILITY EACH OCCURRENCE $ 10 ,000 ,000
UMBRELLA FORM TUU6627672-06 02/18/10 02/18/11 AGGREGATE $ 10 ,000 ,000
OTHER THAN UMBRELLA FORM
WORKER"S COMPENSATION
STATUTORY LIMITS
A EACH ACCIDENT $ 1 ,000 ,000
AND WC 2071 106169 02/18/10 02/18/11 1 ,000 ,000 DISEASE-POLICY LIMIT $ EMPLOYERS' LIABILITY 1 ,000 ,000 DISEASE-EACH EMPLOYEE $
OTHER
DESCRIPTION OF OPERATIONS/LOCATIONSNEHICLES/SPECIAL ITEMS RE : Lanc as ter Avenue Pedes tria n Bridge
Project #GR76/541 600/08030 289 8010 (C292/541 600/801 580003580). The City, its officers , employee s and serva nts are incl uded as Additional Insured on Contractor's
Insurance policie s exc e pt Emp loyer's Liabili ty Insurance cove rage under Contracto r's Worker's Compe nsation Insurance policy.
CERTIFICATE HOLDER
City of Fort Worth
Parks & Community Services Bldg .
4200 S . Freeway, Ste. 220
Fort Worth , Texas
CANCELLATION
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE
EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH
THE POLICY PROVISIONS.
AUTHORIZED REPRESENTATIVE
-------------------------------~-~-"'------------------------~-~
CONTRACTOR COMPIANCE WITH WORKER'S
COMPENSATION LAW
CONTRACTOR COMPLIANCE WITH
WORKER'S COMPENSATION LAW
Pursuant to Article 8308-3.23 of Vernon's Annotated Civil Statutes , Contractor certifies
that it provides worker's compensation insurance covel;e fy all of its employees
employed on Department of Engineering D.O.E. No. r) 0
CONTRACTOR
By:/(~ 'ICE-.?,,;;
P0 ,!J
Title
Date
STATE OF TEXAS §
COUNTY OF TARRANT §
BE~~' the undersigned authority, on this day personally appeared
rf{ l. ~ , known to me to be the person whose name is subscribed to the
foregoing instrument, and acknowledged to me that he/she executed the same as the act
and deed of f p ~<=d i,t / ..,e, . for the purposes and consideration
therein expressed and in the capacity therein stated.
GIVEN UNDER MY HAND AND SEAL OF OFFICE this
A 4 ) 1".S t--, 20E__.
day of
'
I '""""'' SHOUNDA J . MILLER ~{FR~~-' 1¥~?,%., Notary Public, State of Texas
~ : : = My Commiss ion Expires ;~··. :~s M 04 2014 ~,.,,.,.,. •\\"t-~' av I ,,,,,,,f1~\,,,,,
Updated 05/16/2005
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 principal 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 obtain 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 w ill automatically disqualify that bidder. Resident bidders
must check the box in Section B.
A.
B .
Non-resident vendors in (give state), our princ ipal place of business , are required
to be percent lower than resident b idders by state law. A copy of the statute is
attached .
Non resident vendors in _____ (give state), or pr incipal place of business , are not
required to underbid resident bidders.
Our principal place of business or corporate offices are in the State of Texas.
BIDDER:
Company I
City State Zip
By :
(please print)
Signature K ~
Title: &.r1t1 ~
(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 TYPE OF WORK DATE ACCEPTED NAME AND ADDRESS OF
AWARD OWNER
List of Projects your Organization is now engaged in completing :
AMOUNT OF CONTRACT ANTICIPATED DATE OF NAME AND ADDRESS OF
TYPE OF WORK COMPLETION OWNER AWARD
List Surety Bonds in force on above incomplete work:
DATE OF CONTRACT TYPE OF WORK BOND AMOUNT OF BOND NAME AND ADDRESS OF
AWARD SURETY
EQUIPMENT SCHEDULE
List of Equipment owned by Bidder that is in serviceable condit ion and available for use :
IA\ ~ ,s ~\l\~ \:,. ~ ""'-a>v\ w~'c. ~ ~G..\I\. c Y"6.~
Portions of work Bidder proposes to sublet in case of Award of Contract including amount and type:
\)~,,\~¥-6..~ I/ ,1; aa,
PERFORMANCE BOND
Bond No. 1109029
PERFORMANCE BOND
THE ST A TE OF TEXAS §
KNOW ALL BY THESE PRESENTS :
COUNTY OF TARRANT §
That we (1) Rebcon, Inc. as Principal herein , and (2) Arch Insurance Company, a corporation
organized under the laws of the State of (3) Missouri and who is authorized to
issue surety bonds in the State of Texas, Surety herein , are held and firmly bound unto the City of Fort Worth , a
municipal corporation located in Tarrant and Denton Counties, Texas , Obligee herein, in the sum of:
Two Million, Four Hundred Three Thousand, One Hundred Seventy-nine and 90/100 ............................ .
Dollars ($2,403,179.90) for the payment of which sum we bind ourselves, our heirs, executors , administrators,
successors and assigns, jointly and severally, firmly by these present.
WHEREAS , Principal has entered into a certain written contract with the Obligee dated the ih of
December, 2010 a copy of which is hereto attached and made a part hereof for all purposes, for the construction of:
Lancaster Avenue Pedestrian Bridge
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 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 AND SEALED thi s 7th day of December ,2010.
(Principal) Seer. tary-Treasurer
Robert C Bibby
(SEAL)
Rebcon, Inc.
PRINCIPAL
BY: __ ------li'--__::,,.,!,£--.Jf--'o~---
Title : R. -----'----'"2...::...-=-=-"---'=-=-===
1868 W. Northwest Hwy
Dallas, TX 75220
Arch Insurance Company
Surety
BY :~/~~~ ..-_
AITEST, ~
I \/\/X
Secretary '
Witness as to Surety
NOTE:
Name: Robbi Morales
(Attorney-in-fact)
Address: 2711 N. Haskell Ave.,
Dallas. TX 75204
Telephone Number: 214/989-0000
(I) Correct name of Principal (Contractor).
(2) Correct name of Surety.
(3) State of incorporation of Surety
: ...-......
Suit e ~90, ,.-
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.
PAYMENT BOND
Bond No. 1109029
PAYMENT BOND
THE ST A TE OF TEXAS §
§
§
KNOW ALL BY THESE PRESENTS:
COUNTY OF TARRANT
That we (1) Rebcon, Inc. as Principal herein , and (2) Arch Insurance Company a
corporation organized and existing under the laws of the State of (3) Missouri , as surety, are held and firmly
bound unto the City of Fort Worth, a municipal corporation located in Tarrant and Denton Counties, Texas, Obligee
herein, in the amount of Two Million, Four Hundred Three Thousand. One Hundred Seventy-nine and
90/100 ............................. Dollars ($2.403.179.90) for the payment whereof, the said Principal and Surety bind
themselves and their heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these
presents :
WHEREAS, the Principal has entered into a certain written contract with the Obligee dated the 7th day of
December A.O . , 2010, which contract is hereby referred to and made a part hereof as if fully and to the same
extent as if copied at length , for the following project:
Lancaster Avenue Pedestrian Bridge
NOW, THEREFORE, THE CONDITION OF THIS 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 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 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 AND SEALED this 7th day of December, 2010.
ATTEST :
(Principal) Se etary -Treasurer
Robert C. ibby
(SEAL)
w~
A~J
Secretary
(SEAL)
~~Cmill
NOTE:
I. Correct name of Principal (Contractor).
2. Correct name of Surety .
3 . State of incorporation of Surety .
PRINCIPAL r:----Rebcon. Inc. g~
BY: )A --------,f+--~~--1,L----------
N am e: R. E. Burgett
Title : President
1868 W. Northwest Hwy
Dallas. TX 75220
Arch Insurance Company
Name: Robbi Morales
Attorney in Fact
--~---------,,... .. --
---. ........ ---
_ .. -_::
Address: 2711 N. Haskell Ave., Su it7i! 8-0 0
Dallas, TX 75204
Telephone Number: 214/989-0000
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 bond shall not be prior to date of Contract.
MAINTENANCE BOND
Bond No. 1109029
MAINTENANCE BOND
THE STATE OF TEXAS §
COUNTY OF TARRANT §
KNOW ALL MEN BY THESE PRESENTS:
That Rebcon, Inc. (Contractor), as principal , andArch Insurance Compaayeorporation organized
under the laws of the State otMissom;::l;Surety), do hereby acknowledge themselves to be held and bound to pay
unto the City of Fort Worth , a Municipal Corporation chartered by virtue of Constitution and laws of the State of
Texas , ("City") in Tarrant County, Texas the sum of Two Million, Four Hundred Three Thousand, One
Hundred Seventy-nine and 90/100 ............................. Dollars ($2,403,179.90) lawful money of the United States,
for payment of which sum well and truly be made unto said City and its successors, said Contractor and Surety do
hereby bind themselves, their heirs , executors, administrators, assigns and successors, jointly and severally.
This obligation is conditioned, however; that ,
WHEREAS, said Contractor has entered into a written Contract with the City of Fort Worth, dated the 7th
day of December 2010 copy of which is hereto attached and made a part hereof, the performance of the following
described public improvements :
Lancaster Avenue Pedestrian Bridge
the same being referred to herein and in said contract as the Work and being des ignated as project
GR76/54 l 600/080302898010 (C292/54 l 600/801580003580 and 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 construct the work that
it will remain in good repair and cond ition for and during a period of after the date of Two (2) Years after the date
of the final acceptance of the work by the City; and
WHEREAS, said Contractor binds itself to maintain said work in good repair and condition for said term of
Two (2) Years ; and,
WHEREAS , said Contractor binds itself to repair or reconstruct the work in whole or in part at any time
within said period, if in the opinion of the Director of the Water Department of the City 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 perform its said agreement to maintain , repair or
reconstruct said work in accordance with all the terms and conditions of said Contract, these_presents shall be null
and void , and have no force or effect. Otherwise this 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 WITNESS WHEREOF, this instrument is executed in §_counterparts, each one of which shall be
deemed an original , this 7th day of December. A.D . 2010.
ATTEST:
(SEAL)
Secretary -Trea rer
Robert C. ibby
ATTEST:
(SEAL)
Seer~~
Rebcon, Inc.
Contractor
By: -~~----'-,---~L..-'C. ___ _
Name : R. E. Burgett
Title : President
Arch Insurance Compan y
Surety ·. ~ . ~
Name: Robbi Mor a les "' , -::-
----------....... "" ·--...._ .. ...
Th~: Attorney -in-fact ...............
2711 N. Haskell Ave., Suite 800
Dallas, TX 75204
Address
POWER OF ATTORNEY
Know A ll Men By These Presents :
That the Arch Insurance Company, a corporation organized and existing under the laws of the State of Missouri , having its
principal office in Kansas City, Missouri (hereinafter referred to as the "Company") does hereby appo int
Don E. Cornell , Lisa M. Bonnot , Christ ine Davis , Jerry P. Rose , Robbi Morales , Ricardo J . Reyna and Luke J . Nolan , Jr. of
Dallas , TX (EACH)
its true and lawful° Attorn~y(s)'-i~-Fact, to make, execute, seal , and de liver from the date of issuance of th is power for and
on its behalf as surety, and as its act and deed :
Any and all bonds and undertakings
EXCEPTION: NO AUTHORITY is granted to make, execute, seal and deliver bonds or undertakings that guarantee the
payment or collection of any promissory note, check, draft or letter of cred it.
This authority does not permit the same obligation to be split into two or more bonds in order to bring each such bond
within the dollar limit of authority as set forth herein.
The Company may revoke this appointment at any time.
The execution of such bonds and undertakings in pursuance of these preserits :shall be as binding upon the said
Company as fully and amply to all intents and purposes, as if t.h~ same had l;>~en duly executed and acknowledged by its
regularly elected officers at its principal office in Kansas City, Mi.ssouri. · · · · · · · ·
This Power of Attorney is executed by authority of resolutions adopted by unanimous consent of the Board of Directors of
the Company on March 3 , 2003, true and accurate copies of which are hereinafter set forth and are hereby certified to by
the undersigned Secretary as being in full force and effect:
"VOTED, That the Chairman of the Board, the President, or any Vice President, or their appointees designated in writing
and filed with the Secretary, or the Secretary shall have the power and authority to appoint agents and attorneys-in-fact,
and to authorize them to execute on behalf of the Company, and attach the seal of the Company thereto, bonds and
undertakings, recognizances, contracts of indemnity and other writings , obligatory in the nature thereof, and any such
officers of the Company may appoint agents for acceptance of process."
This Power of Attorney is signed, sealed and certified by facsimile under and by authority of the following resolution
adopted by the unanimous consent of the Board of Directors of the Company on March 3, 2003:
VOTED , That the signature of the Chairman of the Board, the Pres ident, or any Vice President, or their appointees
designated in writing 'and filed with the Secretary, and the signature of the Secretary, the seal of the Company, and
certifications by the Secretary, may be aff1Xed by facsim il e on any power of attorney or bond executed pursuant to the
resolution adopted by the Board of Directors on March 3 , 2003, and any such power so executed, sealed and certified
with respect to any bond or undertaking to which it is attached, shall continue to be valid and binding upon the Company.
OOML0013 00 03 03
Page 1 of 2 Printed in U.S.A.
In Testimony Whereof, the Company has caused this instrument to be signed and its corporate seal to be affixed by their
authorized officers, this 1st day of May , 20_Q§_.
Attested and Certified
STATE OF PENNSYLVANIA SS
COUNTY OF PHILADELPHIA SS
Arch Insurance Company
I, Brian C. Kuhn, a Notary Public, do hereby certify that Martin J. Nilsen and J. Michael Pete personally known to me to be
the same persons whose names are respectively as Secretary and Vice President of the Arch Insurance Company, a
Corporation organized and existing under the laws of the State of Missouri, subscribed to the foregoing instrument,
appeared before me this day in person and severally acknowledged that they being thereunto duly authorized signed,
sealed with the corporate seal and delivered the said instrument as the free and voluntary act of said corporation and as
their own free and voluntary acts for the uses and purposes therein set forth.
CERTIFICATION
COMMONWEALTH OF PENNSYLVANfA
NOTARIAL SEAL
Brian C. Kuhn, Notary Public
City of Philadelphia, Philadelphia County
My commission expires December 06 , 2011
=--~S:::2_
Brian C. Kuhn, Notary Public -=-=
My commission expires 12-06-2011
I, Martin J. Nilsen, Secretary of the Arch Insurance Company, do hereby certify that the attached Power of Attorney '<:lated
May 1, 2008 on behalf of the person(s) as listed above is a true and correct copy and that the same has been
in full force and effect since the date thereof and is in full force and effect on the date of this certificate; and I do further
certify that the said J. Michael Pete, who executed the Power of Attorney as Vice President, was on the date of execution
of the attached Power of Attorney the duly elected Vice President of the Arch Insurance Company.
IN TESTIMONY WHEREOF, I have hereunto subscribed mr name and affixed the corpor es I of the Arch Insurance
Company on this 7th day of December , 20_0_. , ·
This Power of Attorney limits the acts of those named therein to the bonds and undertakings specifically named therein
and they have no authority to bind the Company except in the manner and to the extent herein stat_ed.
PLEASE SEND ALL CLAIM INQUIRIES RELATING TO THIS BOND TO THE FOLLOWING ADDRESS:
Arch Surety
3 Parkway, Ste. 1500
Philadelphia, PA 19102
OOML0013 00 03 03
Page 2 of 2 Printed in U.S.A.
.. >f A
. -, -.,_
..?-v .\
ARCH Insurance Company
TEXAS CONSUMER NOTICE
IMPORTANT NOTfCE .
To obtain infonnation or make a complaint
ARCH Surety
You may contact your agent at the telephone number provided on the Declarations page
of your policy.
You may contact Mike Pete, Surety, Arch Insurance Company; at the toll-free telephone
number or address provided below:
Areh-lnsuranw:Conlpany-···--··--.. ---· -. . . --· --
Attention: Mike Pete
3 Parkway Suit~ 1500·
PhiladelphiaPA 19102
1-866-472-8845
You may contact the Texas Department of Insurance to obtain .infonnation on
companies' coverages, rights or complaints at:
1-soo:.252-3439
You may write the Texas Department of Insurance:
PREMIUM OR CLAIM DISPUTES:
. p.o, Box 149091
Austin, TX. 78714-9091
FAX.ff. (612) 475-1771
· . Should you have a dispute concerning your premium or about a cf aim you should contact the
agent or the· company first If the dispµte is not resolved, you may contact the T-exas
Department of-Insurance .
AITACH THIS NOTICE TO YOUR POLICY:
This notice is for infonnation only and · does not become a part or condition of the attached
document. ·
(Ed. 6106) Printed in U.S.A.
STATEMENT OF RESIDENCY
STATEMENT OF RESIDENCY
The following information is required by the City of Fort Worth in order to comply with provisions of
state law, TEXAS GOVERNMENT CODE § 2252.001, State or Political Subdivision Contracts for
Construction, Supplies, Services; Bids by Nonresident.
I"
Every bidder 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 will avoid costly time delays in the award of bids by the City of Fort
Worth. For this reason, each bidder is encouraged to complete and return in duplicate,, with its bid,
the Statement of Residency Form, but in any event the low bidder shall submit this information within
five (5) business days after the date of receipt of notification of apparent low bidder status from the
Purchasing Division of the Finance Department. Failure to provide all require~ information within this
designated period shall result in the apparent low bidder being considered non-responsive, and the
second low bidder 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:
[(t!.' ~ (j) ,J (µ(/
I
State your business address in the space provided below if you are a Texas Resident bidder:
( ~ t g hJ, /J ~µ~ #-w 7 · :;' Qi0? fy VrX I f i----L C:> . I >
State your business address in the space provided below if you are a Nonresident bidder:
*State Purchasing & 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 the State of
Texas, that the business entity:
Has at least one permanent office located within the State of Texas, from which business activities
other than submitting bids to governmental agencies are conducted and from which the bid is
submitted, and
Has at least one employee who works in the Texas office
Form prepared by:
/( ' J <
(Name)
1s;tSJ~
(Titl~)
r 7 (Date )
Page 25 of 26
CHILD SUPPORT STATEMENT
CHILD SUPPORT STATEMENT FOR THE
TEXAS DEPARTMENT OF TRANSPORTATION
FOR NEGOTIATED CONTRACTS AND GRANTS
Under Family Code, Section 231.006, _________ (n_a_m_e_o_f_in_d_i_v_id_u_a_l) _______ _
certifies that (name of business) (vendor#)
as of (enter 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, if handwritten) Social Security Number
e.. '. Bu~ 'f(, ~ -1G -ZGl I 000-00-0000
V
000-00-0000
000-00-0000
000-00-0000
000-00-0000
000-00-0000
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 bee~ p!3id or t_he obligor is in compliance with a written repayment
agreement or court order as to any existing delinquency.
Except as provided by Fam ily Code, Section 231.302(d), a social security number is confidential and may be disclosed only for
the purposes of respond ing to a request for information from an agency operating under the provisions of Subchapters A and
D ofTitle IV of the federal Social Security Act (42 U.S .C. Sect ions 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 ofTransportation, General Services Division (GSD).
• Contract Services Section, 125 E. 11th Street, Austin, Texas 78701-2483 .
Page 1 of 1 Revised 1 /08
PARTG
I
CONTRACT
OFFICIAL RECORD
CITY SECRETARY
FT. WORTH, TX
STATE OF TEXAS §
§
COUNTY OF TARRANT §
KNOWN ALL BY THESE PRESENTS:
This Contract is made and entered into this the 7th day of December 2010, by and
between the City of Fort Worth, a home-rule municipal corporation situated in Tarrant, Denton,
Parker, and Wise Counties, Texas, hereinafter referred to as "Owner", by and through Charles
W. Daniels, its duly authorized Assistant City Manager, and Rebcon, Inc., hereinafter referred to
as "Contractor", by and through its duly authorized representative.
WITNESSETH: That said parties have agreed as follows :
1.
That for and in consideration of the payments and agreements hereinafter mentioned to
be made and performed by the Owner, and under the conditions expressed in the bond bearing
even date herewith, the said Contractor hereby agrees with the said Owner to commence and
complete the construction of certain improvements described as follows:
Lancaster Avenue Pedestrian Bridge
2.
That the Contract Documents shall consist of the written, printed, typed and drawn
instruments which comprise and govern the performance of the work. Said Contract Documents
include the notice to bidders, instructions to bidders, proposal, plans, specifications, notice of
award, special provisions, general provisions, work order(s), this Contract, and the payment,
performance, and maintenance bonds. The Contract Documents shall also include any and all
supplemental agreements approved by the Owner which may be necessary to complete the work
in accordance with the intent of the plans and specifications in an acceptable manner, and shall
also include the additional instruments bound herewith.
3.
That the work herein contemplated shall consist of furnishing as an independent
contractor all labor, tools, appliances and materials necessary for the construction and
completion of said project in accordance with the Contract Documents prepared through the
Parks and Community Services Department of the City of Fort Worth, which the plans and
specifications of the Contract Documents are hereto attached and made a part of this Contract the
same as if written herein.
4.
The Contractor hereby agrees and binds itself to commence the construction of said work
within ten (10) days after being notified in writing to do so by the Department of En i · of
the City of Fort Worth. OFFICIAL RECORD
CITY SECRETARY
FT. WORTH, TX
5.
The Contractor hereby agrees to prosecute said w ork with reasonable diligence after the
commencement thereof and to full y complete and finish the same ready for the inspection and
approval of the Department of Engineering of the City of Fort Worth and the City Council of the
City of Fort Worth within a period of265 Calendar Days from the time commencing said work.
If the Contractor should fail to complete the work as set forth in the Plans, Specifications,
and Contract Documents within the time so stipulated, plus any additional time allowed as
provided in the General Conditions, there shall be deducted from any monies due or which may
thereafter become due him, a per day charge $630 per Working Day as stipulated in these
contract documents , not as a penalty but as liquidated damages, the Contractor and his Surety
shall be liable to the Owner for such deficiency .
6.
Should the Contractor fail to begin the work herein provided for within the time herein
fi x ed or to carry on and complete the same according to the true meaning of the intent and terms
of said Plans, Specifications, and Contract Documents, then the Owner shall have the right to
either demand the Surety to take over the work and complete same in accordance with the Plans,
Specifications, and Contract Documents or to take charge of and complete the work in such a
manner as it may deem proper, and if in the completion thereof, the cost to the said City shall
exceed the Contract price or prices set forth in the said plans and specifications made a part
hereof, the Contractor and/or its Surety shall pay said City on demand in writing, setting forth
and specifying an itemized statement of the total cost thereof, said excess cost.
7.
Contractor covenants and agrees to indemnify, hold harmless and defend , at its own
expense , the Owner, its officers , servants and employees, from and against any and all claims or
suits for property loss , property damage , personal injury, including death, arising out of, or
alleged to arise out of, the work and services to be performed hereunder by Contractor, its
officers , agents , employees, subcontractors , licensees or invitees , whether or not any such
iniury, damage or death is caused, in whole or in part, by the negligence or alleged negligence
of Owner, its officers, servants, or employees. Contractor likewise covenants and agrees to
indemnify and hold harmless the Owner from and against any and all injuries to Owner's
officers , servants and employees and any damage, loss or destruction to property of the Owner
arising from the performance of any of the terms and conditions of this Contract, whether or not
any such iniury or damage is caused in whole or in part by the negligence or alleged
negligence of Owner, its officers, servants or employees ..
In the event Owner receives a written claim for damages against the Contractor or its
subcontractors prior to final payment, final payment shall not be made until Contractor either (a)
submits to Owner satisfactory evidence that the claim has been settled and/or a release from the
claimant involved, or (b) provides Owner with a letter from Contractor 's liability insurance
carrier that the claim has been referred to the insurance carrier.
The Director may, if deemed appropriate, may refuse to accept bids on other City of Fort
Worth public w ork from a Contractor against whom a claim for damages is outstanding as a
result of work performed under a City Contract.
OFFICIAL RECORD
CITY SECRETARY
FT. WORTH, TX
8.
Owner agrees and binds itself to pay, and the said Contractor agrees to receive, for all of
the aforesaid work, and for all additions thereto or deductions therefrom, the price shown on the
Proposal submitted by the Contractor hereto attached and made a part hereof. Payment will be
made in monthly installments upon actual work completed by contractor and accepted by the
Owner and receipt of invoice from the Contractor. The agreed upon total Contract amount shall
be Two Million, Four Hundred Three Thousand, One Hundred Seventy-nine and
90/100 ............................. Dollars, ($2,403,179.90).
9.
It is further agreed that the performance of this Contract, either in whole or in part, shall
not be sublet or assigned to anyone else by Contractor without the written consent of the Owner.
10.
The Contractor agrees to pay at least the minimum wage per hour for all labor as the
same is classified, promulgated and set out by the City of Fort Worth, Texas, a copy of which is
attached hereto and made a part hereof the same as if it were copied verbatim herein.
11.
It is mutually agreed and understood that this Contract is made and entered into by the
parties hereto with references to the existing Charter and Ordinances of the City of Fort Worth
and the laws of the State of Texas governing all matters affecting this Contract, and the
Contractor agrees to fully comply with all the provisions of the same.
IN WITNESS THEREOF, the parties hereto have made and executed this Contract in
multiple originals the day and year first above written, in Fort Worth, Tarrant County, Texas.
OFFICIAL RECORD
CITY SECRETARY
FT. WORTH, TX
-'7t .. V?,A-U fa,-fxµ ~ <
City Manager
RECOMMENDED :
By :_J,:::~~::::_~~=---
Rich rd Zavala, Director
Parks nd Community Services
APPROVED AS TO FORM AND
LEGALITY:
Assistant City Attorney
Rebcon, Inc.
1868 W. Northwest Hwy
Dallas TX 75220
TITLE ~ tZ;u.f' r .l) ~
ATTEST:
City Secretary
Date\ '
AUTHORIZATION
M&C (-~4-lo 3~
Approval Date: 1~}1\10
OFFICIAL RECORD
CITY SECRETARY
FT. WORTH, TX
PARTH
liiill
SPECIFICATION LIST
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 FHW A 1273 March 1994).
Standard Specifications
Items 1 to 9 Inclusive. General Requirements and Covenants
Item 104. Removing Concrete
Item 161. Compost
Item 164. Seeding for Erosion Control (162) (166) (168)
Item 168. Vegetative Watering
Item 340. Dense-Graded Hot Mix Asphalt (Method) (210) (300) (301) (320) (520) (585)
Item 400. Excavation and Backfill for Structures (110) (132) (401) (402) (403) (416) (420) (421)
Item 403. Temporary Special Shoring (423)
Item 416. Drilled Shaft Foundations ( 420) ( 421) ( 440) ( 448)
Item 420. Concrete Structures (400) (421) (426) (427) (428) (438) (440) (441) (448) (454)
Item 4 21. Hydraulic Cement Concrete
Item 426. Prestressing (420) (421) (424) (434) (440) (442) (445)
Item 432. Riprap (247) (420) (421) (440)
Item 442. Metal for Structures (441) (445) (446) (447) (448)
Item 500. Mobilization
Item 502. Barricades, Signs, and Traffic Handling
Item 506. Temporary Erosion, Sedimentation, and Environmental Controls
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 Specifications
(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---1483 Notice of Changes to U.S. Department of Labor Required Payroll Information
000---1493 Schedule of Liquidated Damages
000---1676 On-the-Job Training Program
001---011 Definition of Terms
1
--
002---017 Instructions to Bidders
003---033 Award and E x ecution of Contract
004---01 7 Scope of Work
005---004 Control of the Work
006---030 Control of Materials
007---213 Legal Relations and Responsibilities
007---639 Legal Relations and Responsibilities
008---119 Prosecution and Progress
009---009 Measurement and Payment
009---015 Measurement and Payment
161---001 Compost
164---002 Seeding for Erosion Control
166---001 Fertilizer
247---003 Flexible Base
340---003 Dense-Graded Hot-Mix Asphalt (Method)
420---002 Concrete Structures
421---035 Hydraulic Cement Concrete
424---002 Precast Concrete Structures (Fabrication)
428---001 Concrete Surface Treatment
434---003 Elastomeric Bridge Bearings
440---002 Reinforcing Steel
441---006 Steel Structures
442---016 Metal for Structures
44 7---002 Structural Bolting
448---002 Structural Field Welding
500---005 Mobilization
502---033 Barricades, Signs, and Traffic Handling
506---010 Temporary Erosion, Sedimentation, and Environmental Controls
620---001 Electrical Conductors
628---001 Electrical Services
Special Specifications
4488 Stress Ribbon (420) (426) (434) (442) (446) (447) (448)
4490 Prefabricated Deck Unit (420) (421) (424) (434) (440) (441) (442) (447)
4522 Post-Tensioned Drilled Shaft Foundations ( 420) ( 421) ( 423) ( 426) ( 440) (998)
5049 Biodegradable Erosion Control Logs (161) (506)
8405 Lighting and Electrical System (616) (618) (620) (624) (628)
USDOT Special Provisions
Required Contract Provisions Federal-Aid Construction Contracts (FHW A-1273) -March 10, 1994
2
This seal pertains to the follo w ing special specifications:
4488 Stress Ribbon
4490 Prefabricated Deck Unit
5049 Biodegradable Erosion Control Logs
FR SE AND NICHOLS, INC.
T EXAS REG ISTERED
ENGIN EE RING FIRM
F -2144
This seal pertains to the following special specification:
8405 Lighting and Electrical Sy stem
3
This seal pertains to the follow ing special specification:
4522 Post-Tensioned Drilled Shaft Foundations
F REESE AND NICHOLS, INC.
TEXAS REGIS TE RED
ENGINEERING F IRM
F -2144
4
TXDOT GENERAL NOTES
Project Number: STP 2008 (560) MM
County: TARRANT
Highway: VA
* * * * Specification Data * * * *
Basis of Estimate
*****************
Item Description
340 Hot Mix (All Types)
168 Vegetative Watering
Special Notes:
***************
Rate
Sheet A
Control: 0902-48-698
115 lb/SY/in
169,400 gal/acre
Unit
Ton
MG
Existing storm sewers and utilities are shown from the best available information. Verify the
location of all underground facilities prior to starting work.
Special note to Item 7. Legal Relations and Responsibilities.
Do not use non-certified persons to perform electrical work. See Item 7 .15 "Electrical
Requirements" for additional details.
Item 5. Control of the Work
When supplementary bridge plans, shop drawings, shop details, erection drawings, working
drawings, forming plans or other drawings, are required, the drawings shall be prepared and
submitted on sheets 8 1 /2 by 11 inches, 1 7 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 comer. The title shall include the
sheet index data shown on the lower right comer 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.
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 A
Project Number: STP 2008 (560) MM
County: TARRANT
Highway: VA
Item 7. Legal Relations and Responsibilities
Sheet B
Control: 0902-48-698
This contract requires work to be done on railroad property. Cooperate with the railroads and
comply with all of their requirements including obtaining any required training before
~ ~erforming work on railroad property.
~Submit to the Engineer, an original railroad liability insurance policy.
Do not initiate activities in a project specific location (PSL) associated with a U.S. Army Corps
of Engineers (USA CE) permit area that have not been previously evaluated by the USACE as
part of the permit review of this project. Such activities include, but are not limited to , haul
roads, equipment staging areas, borrow and disposal sites. "Associated" as defined here means
materials are delivered to or from the PSL. The permit area includes all waters of the U.S. or
associated wetlands affected by activities associated with this project. Special restrictions may
be required for such work. The contractor shall be responsible for any and all consultations with
the USACE regarding activities , including project specific locations (PSLs) that have not been
previously evaluated by the USACE. Provide the Department with a copy of all consultation(s)
or approval(s) from the USACE prior to initiating activities.
The Contractor may proceed with activities in PSLs that do not affect a USACE permit area if a
self determination has been made that the PSL is non-jurisdictional or proper USA CE clearances
hav e been obtained in jurisdictional areas or have been previously evaluated by the USACE as
part of the permit review of this project. The contractor is solely responsible for documenting
any determination(s) that their activities do not affect a USACE permit area. Maintain copies of
their determination(s) for review by the Department or any regulatory agency.
Document and coordinate with the USA CE, if required, prior to any excavation hauled from or
embankment hauled into a USA CE permit area by either (1) or (2) below.
(1) Restricted Use of Materials for Previously Evaluated Permit Areas. Document
both the project specific location (PSL) and its authorization. Maintain copies for
review by the Department or any regulatory agency. When an area within the project
limits has been evaluated by the USACE as part of the permit process for this project:
a. Suitable excavation of required material in the areas shown on the plans and cross
sections as specified in Item 110 is used for permanent or temporary fill (Item
132 , Embankment) within a USACE permit area;
b. Suitable embankment (Item 132) from within the USACE permit area is used as
fill within a USACE evaluated area; and,
c. Unsuitable excavation or excess excav ation ["Waste"] (Item 110) that is disposed
of at a location approved by the Engineer within a USACE evaluated area.
(2) Contractor Materials from Areas Other than Previously Evaluated Areas.
Provide the Department with a copy of all USACE coordination or approval(s) prior
to initiating any activities for an area within the project limits that has not been
General Notes Sheet B
Project Number: STP 2008 (560) MM
County: TARRANT
Highway: VA
Sheet C
Control: 0902-48-698
evaluated by the USACE or for any off right of way locations used for the following,
but not limited to, haul roads, equipment staging areas , borrow and disposal sites:
a. Item 132 , Embankment, used for temporary or permanent fill within a USA CE
permit area; and,
b. Unsuitable excavation or excess excavation ["Waste "] (Item 110, Excavation) that
is .disposed of outside a USACE evaluated area.
The total area disturbed for this project is 1.32 acres. The disturbed area in this project, all
project locations in the Contract, and the Contractor project specific locations (PSLs), within 1
mile of the project limits , for the Contract will further establish the authorization requirements
for storm water discharges. The Department will obtain an authorization to discharge storm
water from the Texas Commission on Environmental Quality (TCEQ) for the construction
activities shown on the plans. The Contractor is to obtain required authorization from the TCEQ
for Contractor PSLs for construction support activities on or off the ROW. When the total area
disturbed in the Contract and PS Ls within 1 mile of the project limits exceeds 5 acres, provide a
copy of the Contractor NOI for PSLs on the ROW to the Engineer and to the local government
that operates a separate storm sewer system.
Item 8. Prosecution and Progress
Working days will be computed and charged in accordance with Article 8.3.A.1 Five-Day
Workweek.
Item 110. Excavation
Review proposed waste sites to determine if any site is located in a "Base Floodplain" or
"Floodway" as defined by the Federal Emergency Management Agency (FEMA).
If waste material from this project is placed in a base floodplain as defined by FEMA, a permit
will have to be obtained from the local community responsible for enforcing National Flood
Insurance Program (NFIP) regulations. The Contractor is responsible for ensuring that the owner
of the property receiving the waste has obtained the necessary permit.
Item 161. Compost
Place approximately 4" of compost manufactured topsoil (CMT) on all cut and fill slopes ( except
drainage channels where flexible channel liners are indicated), at other locations shown in the
plans, and as directed.
General Notes Sheet C
Project Number: STP 2008 (560) MM
County: TARRANT
Highway: VA
Sheet D
Control: 0902-48-698
Where "pre-blended" CMT is specified, amend suitable soil material, as determined by the
Engineer, with 25% compost, by volume, to produce the compost manufactured topsoil. Place
the compost manufactured topsoil in a loose layer approximately 4" thick, as shown in the plans.
Item 164. Seeding for Erosion Control
Apply seeding required between December 1 and January 31 using seed types and mixtures as
shown in Item 164.2.A, Table 3. If, in the opinion of the Engineer, this does not provide an
effective vegetative cover, apply "straw or hay mulch" as specified in Item 164.3 .E as soon as
possible. After February 1 apply warm season seeding in order to establish a permanent
protective vegetative cover.
Item 168. Vegetative Watering
Furnish and install an approved rain gauge at the project site, as directed. Furnishing and
installation of the rain gauge will not be paid for directly, but will be considered subsidiary to
Item 168.
Apply vegetative watering for an establishment period of thirteen weeks following application of
seed or installation of sod, at a rate of Yz" of water depth per week (approximately 13,030 gallons
per acre), and according to the following schedule or as directed:
Apply vegetative watering twice per week for a period of four weeks following
application of seed or installation of sod, regardless of calendar month, at a rate of one-
half the weekly application rate.
For the remainder of the establishment period, apply vegetative watering once per week
during the months of January through June or September through December, at the
weekly application rate. Apply watering twice per week during the months of July and
August, at a rate of one-half the weekly application rate.
Item 301. Asphalt Antistripping Agent
Furnish a liquid antistripping agent unless directed.
Item 340. Dense Graded Hot Mix Asphalt (Method)
Include the approved mix design number on each delivery ticket.
General Notes Sheet D
Project Number: STP 2008 (560) MM
County: TARRANT
Highway: VA
Dilution of tack coat is not allowed.
Provide a PG64-22 asphalt for the base course.
Item 420. Concrete Structures
Sheet E
Control: 0902-48-698
Use the appropriate Department Excel templates to calculate and record all test data. These most
recent updated forms are available on the Department's website at
www.txdot.gov/txdot library/consultants contractors/fom1s /site manager.htm under the
SiteManager tab. Submit test results within 24 hours oftest completion by email or CD .
Include the approved mix design number on each delivery ticket.
Ut il iz e sep ara te wo rk bridges for fini sh ing and curing concrete pa\·e ment a nd bridge s la bs .
Item 421. Hydraulic Cement Concrete
Include the approved mix design number on each delivery ticket.
Use the appropriate Department Excel templates to calculate and record all test data. These most
recent updated forms are available on the Department's website at
www.txdot.!wv/txdot library/consultants contractors/fonns /site manager.htm under the
SiteManager tab. Submit test results within 24 hours oftest completion by email or CD .
The strength testing equipment for concrete will be capable of producing an electronic printout
of the test results.
Air entrainment requirements are waived for all classes of concrete except all Class S and all
Class P Concrete.
Concrete will not be rejected for low air content. Adjustment to the dosage of air entrainment
will be as directed or allowed by the Engineer.
Do not pl a ce concrete for paving . approa ch slabs. or br idge s labs \\·hen antic ip ate d we ather
Clmditions ,,.,ill re sult in a predicted ev aporatio n rate a bo\ e 0.3 ft 2/hr as determined us ing the
Po rtl a nd Ceme nt Associ ation publication Des ign and Control of Concrete f\1ixture s , Figure 13 -8.
Design a ll concret e \vi th an Optimized Ag gregate Gradati o n in acc ordance w ith Special
PrO\ision 421 ---0 13 . Us e Te st Meth od Tex -470 -A to determine t he opti mi zed a ggregate
gradation . This \vork is subsidi ary to this item.
General Notes Sheet E
Project Number: STP 2008 (560) MM
County: TARRANT
Highway: VA
Sheet F
Control: 0902-48-698
Design a nd analyze all concrete for ra\ ernent and structures using the Conc rete Works Pn.)l:,'Tam
Version 2 .0.6 (Bda) for acce plance by TxDOT. Us e fe t !\,1ethod Tex-426-A to devel o p input
for the Concrete Works Program This \hHl is su bsid ia ry to this item .
Optim ized graded aggregate concrete w ill ma"imize coarse aggregate con tent a nd minimize tine
agg regate c ontent whi le maintaining ,,,orkability. Coarse aggregate factors or packing fac tors
w ill be re -establi s hed to maximize c oar s e ag.gre g ate c onten t.
Item 432. Riprap
Provide weepholes as directed.
Provide Class B Concrete for riprap.
The quantities for riprap at the location indicated may be varied to the extent necessary to ensure
proper functioning for the purpose intended.
All concrete riprap shall be 5" (.42') in thickness, unless otherwise shown in the plans, and shall
be reinforced.
An 8 inch (.67') by 18 inch (1.5') toewall will be required at the exposed edge of all concrete
riprap, unless otherwise directed.
Locations and lengths of riprap flumes shown on the plans are approximate. Actual lengths and
locations are to be determined in the field.
Item 502. Barricades, Signs, and Traffic Handling
Permanent 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
"Standard Highway Sign Designs for Texas".
When traffic is obstructed, arrange warning devices in accordance with arrangements indicated
in the latest edition of the "Texas Manual on Uniform Traffic Control Devices".
Cover or remove any work zone signs when work or condition referenced is not occurring.
General Notes Sheet F
Project Number: STP 2008 (560) MM
County: TARRANT
Sheet G
Control: 0902-48-698
Highway: VA
Item 506. Temporary Erosion, Sedimentation, and Environmental Controls
The SW3P for this project shall consist of using the following items as directed:
a. Biodegradable Erosion Control Logs
Remove accumulated sediment and/or replace SW3P controls when the capacity has been
reduced by 50% or when the depth of sediment at the control structure exceeds one foot.
General Notes Sheet G
TXDOT
SPECIAL PROVISIONS
--, . .. , .. .. . -·-· ,,. ,. City of Fort Worth . . .. -··-.. -~ -ll,·h . \/f~'l
~
Highway (Heavy)·construction . .,
Prevailing Wage Rates For 2008 .
h" "
.. , ·--~ -~-& t< ,.
Classifications Hrly Rts 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 $12.08
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
-
-
General Decision Number : TX10 0044 05/07/2010 TX44
Superseded General Decision Number : TX20080044
State : Texas
Construction Type: Heavy
Counties : Johnson, Parker and Tarrant Counties in Texas .
Heavy Construction Projects (Including Water and Sewer Lines)
Modification Number
0
1
Publication Date
03/12/2010
05/07/2010
* PLUM0146 -002 05/01/2010
Rates
PLUMBER/PIPEFITTER ............... $ 26.06
SUTX1990 -041 06/01/1990
Rates
CARPENTER ........................ $ 10. 40
Concrete Finisher ................ $ 9.81
ELECTRICIAN ...................... $ 13 .26
Form Setter. ..................... $ 7.86
Laborers :
Common ...................... $ 7 . 25
Utility ..................... $ 8 . 09
PAINTER .......................... $ 10 . 89
Pipelayer ........................ $ 8 . 43
Power equipment operators:
Backhoe ..................... $ 11. 89
Bulldozer ................... $ 10.76
Crane ....................... $ 13.16
Front End Loader ............ $ 10 .54
Mechanic .................... $ 10. 93
Scraper ..................... $ 10.00
Re i nforcing Steel Setter ......... $ 10 .64
TRUCK DRIVER ..................... $ 7.34
Fringes
6 .81
Fringes
$3.64
3.30
3.30
WELDERS -Receive rate prescribed for craft performing
operation to which we l ding is incidental .
htt p://www.w dol.go v/w do l/scafiles/da visbacon!fX44 .dvb
Page 1 of 3
6/23/2 0 10
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
(29CFRS.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
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 cdntact, 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 followed .
With regard to any other matter not yet ripe for the formal
process described here, initial contact shoul d be with the
Branch of Construction Wage Determinations. Write to :
Br anch of Construction Wage Determinations
Wage and Hour Division
U .S . Department of Labor
200 Constitution Avenue, N .W.
Washington, DC 20210
2.) If the ans wer to the question in 1 .) is yes , then an
interested pa r ty (those a ffected by the action) can request
review and recon si deration from the Wage and Hour Administrator
(See 29 CFR P a rt 1 .8 and 29 CFR Part 7 ). Write to :
Wage and Ho u r Administrator
U.S . Department of Labor
200 Constitu tion Avenue , N .W.
Washington , DC 20210
The request should be accompanied by a full statement of the
interested party 's posit i on and by any information (wage
p ayment data , project description , area practice material ,
etc.) that the reque s tor con s iders relevant to the issue .
3 .) If the decision of the Administrator is not favorable , an
Page 2 of 3
http://www.wdol.gov/wdol /scafile s/davi sbacon/fX44 .dv b 6/23/2 010
-
liiiil
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
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2004 Specifications
SPECIAL PROVISION
000---002
Partnering
1. General. It is the intent of this provision to encourage the use of a Partnering arrangement
between the Department and the Contractor. The use of Partnering on this project is
voluntary, unless shown on the plans, and its use must be acceptable to both Department and
Contractor personnel. Partnering can be initiated by TxDOT or the Contractor. The
Partnering concept promotes an environment 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 recommended 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 part 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 arrangements 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,
bookkeepers, project engineers, etc.) to participate 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
efforts to salvage it have been unsucce~sful, either party may withdraw from the partnering
agreement by written notice to the other party. The sole remedy for non-performance of the
partnership shall be termination of the partnering agreement.
2-2 000---002
05-04
2004 Specifications
SPECIAL PROVISION
000---003
Notice to All Bidders
To report bid rigging activities call :
1-800-4 24-9071
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 DOT's continuing effort 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 anon ymity 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 participation 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
area, are 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 Part
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 effort 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 Part 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 participating
in this plan must individually comply with the equal opportunity clause set forth 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
efforts to achieve the goals contained in these provisions. Contractors or subcontractors
participating 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 concurrence
of the Department in the award. The notification shall list the names , 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 participation 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 reporting requirements that he will be expected to fulfill.
2-5 000---004
05-04
County Anderson Andrews Angelina Aransas Archer Armstrong Atascosa Austin Bailey Bandera 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 Clay Cochran Coke Coleman Collin Collingsworth Colorado Comal Comanche Table I 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 Foard 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 28.9 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
Jas per 22.6
Jeff Davis 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
Limestone
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
Morris
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
49.4
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
22.6
17.2
22.5
18.2
11.0
18.9
27.4
9.3
49.0
17.2
000 ---0 04
05-0 4
County
Randall
Reagan
Real
Red River
Reeves
Refugio
Roberts
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
Tarrant
Taylor
Terrell
Terry
Throckmorton
Titus
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
Wharton
Wheeler
Wichita
Wilbarger
Willacy
Williamson
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
States Department 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 Form 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 of North 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 Hometown Plan. Each Contractor or
Subcontractor participating 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 effort 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 efforts 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
w hich this contract resulted are ex pressed 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 uniform
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
w ith 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 opportunities. 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 carry 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 current 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 current 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
referral and was not referred back to the Contractor by the union or, ifreferred, not
employed by the Contractor, this shall be documented in the file with the reason
therefor, along with whatever additional actions the Contractor may have taken .
d. Provide immediate written notification to the Director when the union or unions w ith
which the Contractor has a collective bargaining agreement has not referred 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 Department 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
performed.
g. Review, at least annually, the company's EEO policy and affirmative action obligations
under these specifications with all employees having any responsibility for hiring,
assignment, 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 and maintained identifying the time and 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 Part 60-3.
I. Conduct, at least annually , an inventory and evaluation at least of all minority and
female personnel for promotional opportunities 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 and 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 participate 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 these 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 effort to meet its individual goals and
timetables , and 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 opportunity 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 programs 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 federall y funded or not. The factors
prohibited from serving as a basis for action or inaction w hich discriminates include race ,
color, national origin , se x, age, and handicap/disability . The efforts to prevent
discrimination must address , but not be limited to a program's impacts, access, benefits,
participation, treatment, serv ices, contracting opportunities, 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 an y person or firm debarred from
Government contracts pursuant to Ex ecutive Order 11246. ·
12. The Contractor shall carry out such sanctions and penalties for violation of these
specifications and of the Equal Opportunity Clause, including suspension, termination and
cancellation of ex isting subcontracts as may be imposed or ordered pursuant to Ex ecutive
Order 11246 , as amended, and its implementing regulations , by the Office of Federal
Contract Compliance Programs. Any contractor who fails to carry out such sanctions and
penalties shall be in violation of these specifications and E xecutive Order 11246, as
amended.
13. The Contractor, in fulfilling its obligations under these specifications, shall implement
specific affirmative 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 opportunity. If the Contractor fails to comply with the
requirements of the Ex ecutive 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 compan y EEO policy is being carried out, to submit reports
relating to the provisions hereof as may be required by the Government and to keep records.
Records shall at least include for each employee the name , address, telephone numbers ,
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 w eek 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.
I
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 ofrequirements
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 forth 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 if he has not participated in a previous contract of this type, or ifhe 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 former President's Committee on Equal Employment
Opportunity, 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 w ith contracts and subcontracts which are subject to the equal
opportunity clause . Contracts and subcontracts which are exempt from the equal opportunity
clause are set forth in 41 CFR 60-1.5. (Generally only contracts or subcontracts of $10,000 or
under are exempt.)
Currently, Standard Form 100 (EE0-1) is the only report 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 reports should note
that 41 CFR 60-l.7(b)(l) pre vents the award of contracts and subcontracts unless such contractor
submits a report 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
s
For this project, Item 000, "Department Di vision 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 information in accordance with the
specifications . Unle ss otherwise stated in the specifications, address all correspondence and
transmission of information 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 Department'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 Div ision
125 E 11th Street
Austin TX 78701-2483
Construction Section Texas Department of
Transportation
Construction Division
Construction Section
200 E . Riverside Drive
Austin TX 78704
Materials & Pav ements Section Texas Department of
Transportation
Construction Division
M aterials & Pav ements
(CP51)
125 E 11 th Street
Austin TX 78701-2483
1-2
Physical Address
Bridge Div ision
Fabrication Branch
118 E. Riverside Dr.
Austin, Texas 78704
(512 ) 416-2187
Construction Division
200 E . Riverside Dr.
l '' floor , lB.l
Austin, TX 78704
(512 ) 416-2490
1-800-687-3 525
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 11th Street
Austin, TX 78701
Texas Department of
Transportation
Traffic Operations Division
125 E 11th Street
Austin TX 78701
Texas Department of
Transportation
Traffic Operations Division
Traffic Engineering Section
125 E 11th Street
Austin TX 78701
Texas Department of
Transportation
Traffic Operations Division
Traffic Management Section
125 E 11th 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
Transportation
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. Ifthere 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 to 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 Transportation
(henceforth the "Department") that DBEs, as defined in 49 CFR Part 26, Subpart
A and the Department's DBE Program, shall have the opportunity to participate in
the performance of contracts financed in whole or in part with Federal funds. The
DBE requirements of 49 CFR Part 26, and the Department's DBE Program, 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 ofrace, color, national origin, or sex in the performance of this contract.
The contractor shall carry out applicable requirements of 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
DBEs or that the Bidder will provide acceptable evidence of good faith effort
to meet the commitment. The Department 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 holiday s, from receipt of the information outlined in this
Special Provision under Section l.A.3 , "Contractor's Responsibilities." If the
requirements of Section 1.A.3 are met, the conditional situation will be
remov ed and the contract will be forwarded to the Contractor for execution .
2. Definitions.
a. "Department" means the Tex as 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 w hole 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 Certification 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 or 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
ex pedite 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 Participation " means an y participation by a DBE through
customary competitive procurement procedures.
k. "Race-conscious" means a measure or program that is focused specificall y on
assisting only DBEs, including women-owned businesses.
I. "Tex as Unified Certification Program " or "TUCP" provides one-stop shopping
to applicants for certification , such that applicants are required to apply onl y
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 10th business day, excluding national holidays , after the
conditional award of the contract. When requested, additional time, not to
exceed 7 business day s, 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
pre bid meetings, advertising, and/or written notices) the interest of all
certified DBEs 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 DB Es are interested.
3-11 000---461
02-06
• Selecting portions of the work to be performed by DBEs in order to
increase the likelihood that the DBE goals will be achieved. This includes,
where appropriate, breaking out contract w ork items into economically
feasible units to facilitate DBE participation, even when the Contractor
might otherwise prefer to perform the work items w ith its own forces.
• Providing interested DBEs 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 DBEs 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 w ould 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 ofDBEs.
• 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 effort 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 ofDBEs 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.
b. The Contractor shall designate a DBE liaison officer who will administer the
Contractor's DBE program and who will be responsible for maintenance of
records of efforts and contacts made to subcontract with DBEs.
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 ofDBEs and DBE
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 l.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 participates 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 portion 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 for the 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
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
(3) 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 Contractor 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 for 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 absolute priority for use of
the leased trucks. Leased trucks must display the name and
identification number of the DBE.
(4) When a DBE is presumed not to be performing a CUF the DBE may
present evidence to rebut this presumption.
c. A Contractor may count toward its DBE goals expenditures for materials and
supplies obtained from a DBE manufacturer, provided that the DBE assumes
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 (1 .A.5 .c.(2)), a regular dealer is a firm that
owns, operates, or maintains a store, w arehouse, 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 asphalt without owning,
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 l .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 allow ed 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 managerial 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 customarily 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 Check Approval Form 2178 for requesting approval.
Provide copies of cancelled joint checks upon request. No DBE goal credit
will be allowed for the cost of DBE materials that are paid by the Contractor
directly to the material supplier.
e. No DBE goal 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 of time 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 adequate good faith effort when applicable.
6. Records and Reports.
a. The Contractor shall submit monthly reports, after work 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 report
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 material supply activity is completed. Form No. SMS.4903,
"DBE or HUB Progress Report," 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 Department 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 DBEs on a random basis.
9-11 000---461
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Cancelled checks and invoices should reference the Department 's project
number.
b. DBE subcontractors and/or material suppliers should be identified on the
monthly report by Vendor Number, name, and the amount of actual payment
made to each during the monthly period. Negative reports are required when
no activity has occurred in a monthly period.
c. All such records must be retained for a period of 3 years following completion
of the contract work, and shall be available at reasonable times and places for
inspection by authorized representatives of the Department or the DOT.
Provide copies of subcontracts or agreements and other documentation upon
request.
d. Prior to receiving final payment, the Contractor shall submit Form SMS.4904,
"DBE or HUB Final Report". If the DBE goal requirement is not met,
documentation supporting Good Faith Efforts, as outlined in Section l.A.3.c.
of this Special Provision, must be submitted with the "DBE or HUB Final
Report."
e. Provide a certification of prompt payment, the Prompt Payment Certification
Form 2177, to certify that all subcontractors and suppliers were paid from the
previous months payments and retainage was released for those whose work is
complete. Submit the completed form each month and the month following
the month when final acceptance occurred at the end of the project.
7. Compliance of Contractor. To ensure that DBE requirements of this DOT
assisted contract are complied with, the Department will monitor the Contractor 's
efforts to involve DBEs during the performance of this contract. This will be
accomplished by a review of monthly reports submitted to the Area Engineer by
the Contractor indicating his progress in achieving the DBE contract goal, and by
compliance reviews conducted on the project site by the Department.
The Contractor shall receive credit toward the DBE goal based on actual
payments to the DBE subcontractor. The Contractor shall notify the Area
Engineer if he/she withholds or reduces payment to any DBE subcontractor. The
Contractor shall submit an affidavit detailing the DBE subcontract payments prior
to receiving final payment for the contract.
Contractors ' requests for substitutions of DBE subcontractors shall be
accompanied by a detailed explanation which should substantiate the need for a
substitution. The Contractor may not be allowed to count work on those items
being substituted toward the DBE goal prior to approval of the substitution from
the Department.
The prime Contractor is prohibited from providing work crews and equipment to
DBEs. DBE Goal credit for the DBE subcontractors leasing of equipment or
purchasing of supplies from the prime contractor or its affiliates is not allowed.
10-11 000---461
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When a DBE subcontractor, named in the commitment under Section l .A.3 .a. of
this Special Provision, is terminated or fails to complete its work on the contract
for any reason, the prime contractor is required to make good faith efforts to find
another DBE subcontractor to substitute for the original DBE. These good faith
efforts shall be directed at finding another DBE to perform at least the same
amount of work under the contract as the DBE that was terminated, to the extent
needed to meet the contract goal.
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; to deduct the amount of DBE goal not
accomplished by DBEs from the money due or to become due the Contractor, or
to secure a refund , not as a penalty but as liquidated damages to the Department
or such other remedy or remedies as the Department deems appropriate.
B. Article B. Race-Neutral Disadvantaged Business Enterprise Participation. It is the
policy of the DOT that Disadvantaged Business Enterprises (DBE) as defined in 49
CFR Part 26 Subpart A, be given the opportunity to compete fairly for contracts and
subcontracts financed in whole or in part with Federal funds and that a maximum
feasible portion of the Department's overall DBE goal be met using race-neutral means.
Consequently, ifthere is no DBE goal , the DBE requirements of 49 CFR Part 26 , apply
to this contract as follows:
The Contractor will offer DBEs as defined in 49 CFR Part 26 , Subpart A , the
opportunity to compete fairly for contracts and subcontractors financed in whole or in
part with Federal funds . Race-Neutral DBE and non-DBE HUB participation on
projects with no DBE goal shall be reported on Form No. SMS.4903 , "DBE or HUB
Progress Report" and submitted to the Area Engineer each month and at project
completion. Payments to DBEs reported on Form SMS.4903 are subject to the
requirements of Section l.A.5, "Determination of DBE Participation."
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 out applicable requirements of 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.
11-11 000---461
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2004 Specifications
SPECIAL PROVISION
000--1483
Notice of Changes to
Federal-Aid Projects Only
U.S. Department of Labor Required Payroll Information
Do not include employee addresses and social security numbers on the payroll submissions to the
department. In lieu of the social security number, include an individually identifying number for
each employee (Example: last four digits of the individual's social security number).
Maintain the full social security number and current address of each covered employee in files
for 3 years after project completion and make the information available upon the Department's
request.
Form FHWA 1273 and optional form WH-347 will be revised in the future to reflect these
changes.
1-1 000--1483
01-09
2004 Specifications
SPECIAL PROVISION
000--1493
Schedule of Liquidated Damages
For Amount of Original Contract Amount of Daily Contract
Administration Liquidated
From More Than
$0
I00,000
500,000
1,000,000
2 ,000 ,000
5,000,000
10 ,000,000
15 ,000,000
25 ,000,000
To and Including
100,000
500,000
1,000,000
2,000,000
5,000 ,000
10 ,000,000
15,000 ,000
25,000,000
Over 25,000,000
1-1
Damages per ·werking Dey t, .. ~~6-C' \)°"1-
425
500
525
625
800
1100
1400
1550
2800
000--1493
01-09
2004 Specifications
SPECIAL PROVISION
000--1676
On-the-Job Training Program
1. Description. The primary objective of this Special Provision is the training and
advancement of minorities, women and economically disadvantaged persons toward
journeyworker status. Accordingly, make every effort to enroll minority, women and
economically disadvantaged persons to the extent that such persons are available within a
reasonable area of recruitment. This training commitment is not intended, and shall not be
used to discriminate against any applicant for training , whether or not he/she is a member of
a minority group.
2. Trainee Assignment. Training assignments are determined based on the past contract
volume of federal-aid work performed with the Department. Contractors meeting the
selection criteria will be notified of their training assignment at the beginning of the reporting
year by the Department 's Office of Civil Rights.
3. Program Requirements. Fulfill all of the requirements of the On-the-Job Training Program
including the maintenance of records and submittal of periodic reports documenting program
performance. Trainees shall be paid at least 60% of the appropriate minimum
journeyworker's rate specified in the contract for the first half of the training period, 75% for
the third quarter and 90% for the last quarter, respectively. Contractors may be reimbursed
$0.80 per training hour at no additional cost to the Department.
4. Compliance. The Contractor will have fulfilled the contractual responsibilities by having
provided acceptable training to the number of trainees specified in their goal assignment.
Noncompliance may be cause for corrective and appropriate measures pursuant to Article
8.6., "Abandonment of Work or Default of Contract," which may be used to comply with the
sanctions for noncompliance pursuant to 23 CFR Part 230 .
1-1 000--1676
07-09
2004 Specifications
SPECIAL PROVISION
001---011
Definition of Terms
For this project, Item 001, "Definition of Terms," 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 1.128. Subcontractor is voided and replaced by the following:
1.128. Subcontractor. A Subcontractor is defined as an individual , partnership, limited liability
company, corporation, or any combination thereof that the Contractor sublets, or proposes to
sublet, any portion of a Contract, excluding a material supplier, a hauling firm hauling only from
a commercial source to the project, truck owner-operator, wholly owned subsidiary, or specialty-
type businesses such as security companies and rental companies.
The following Articles are voided and not replaced.
1.97. Proposal.
1.98. Proposal Form.
1.99. Proposal Guaranty.
This Item is supplemented by the following:
1.150. Affiliates. Two or more firms are affiliated if:
• they share common officers, directors, or stockholders;
• a family member of an officer, director, or stockholder of one firm serves in a similar
capacity in another of the firms;
• an individual who has an interest in, or controls a part of, one firm either directly or
indirectly also has an interest in , or controls a part of, another of the firms;
• the firms are so closely connected or associated that one of the firms , either directly or
indirectly, controls or has the power to control another firm;
• one firm controls or has the power to control another of the firms; or,
• the firms are closely allied through an established course of dealings, including but not
limited to the lending of financial assistance.
1-2 001---011
02-09
1.151. Bid. The offer of the bidder for performing the work described in the plans and
specifications including an y changes made by addenda .
1.152. Bid Guaranty. The security furnished by the bidder as a guaranty that the bidder will
enter into a contract if aw arded .
~<.1.153. Electronic Bid Form. The bid form contained in the Department's Electronic Bidding
~ Sy stem.
1.154. Electronic Bidding System (EBS). The Department's automated sy stem that allows
bidders to enter and submit their bid information electronically.
1.155. Electronic Vault. The secure location where electronic bids are stored prior to bid
opening .
1.156. Family Member. A family member of an individual is the indiv idual 's parent, parenfs
spouse , step-parent, step-parent 's spouse, sibling, sibling's spouse , spouse , child, child's spouse,
spouse 's child, spouse 's child's spouse, grandchild, grandparent, uncle , uncle 's spouse, aunt,
aunt 's spouse , first cousin, or first cousin's spouse .
1.157. Printed Bid Form. The bidding form printed and sent to the bidder by the department or
printed by the bidder from the department 's Electronic Bidding System .
1.158. Bid Form. The form provided by the Department used by the bidder to submit a bid. The
bid form is a Department mailed bidder 's form (traditional proposal submitted manually), a
Department EBS printed bid form (submitted manually), or the bid form submitted electronically
through the Department's EBS.
2-2 001---011
02-09
2004 Specifications
SPECIAL PROVISION
002---017
Instructions to Bidders
For this project, Item 002, "Instruction to Bidders," 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.
Except for Article 2.1 the remainder ofltem 2 is voided and replaced by the following:
2.3. Issuing Bid Forms. The Department will issue a bid form to a prequalified Bidder meeting
the requirements of the bid form on request if the estimated cost of the proposed Contract is
within that Bidder's available bidding capacity. Request bid forms orally, in writing, or
electronically.
In the case of a joint venture, all joint venture participants must be prequalified. An equally
divided portion of the Engineer's estimate must be within each participant's available bidding
capacity.
The Department will not issue a bid form for a proposed Contract if one or more of the following
apply:
• the Bidder is disqualified by an agency of the federal government.
• the Bidder is suspended or debarred by the Commission, or is prohibited from rebidding
a specific proposal because of bid error or failure to enter into a Contract of the first
awarded bid.
• the Bidder has not fulfilled the requirements for prequalification.
• the Bidder or a subsidiary or affiliate of the Bidder has received compensation from the
Department to participate in the preparation of the plans or specifications on which the
bid or Contract is based.
• the Bidder did not attend an advertised mandatory pre-bid conference.
1-8 002---017
02-09
2.4. Interpreting Estimated Quantities. The quantities listed in the bid form are approximate
and will be used for the comparison of bids. Payments will be made for the work performed in
accordance with the Contract:
2.5. Examining Documents and Work Locations. Examine the bid form, plans, specifications,
and specified work locations before submitting a bid for the work contemplated. Submitting a
bid will be considered evidence that the Bidder has performed this examination. Borings, soil
profiles, water elevations, and underground utilities shown on the plans were obtained for use of
the Department in the preparation of plans . This information is provided for the Bidder's
information only and the Department makes no representation as to the accuracy of the data. Be
aware of the difficulty of accurately classifying all material encountered in making foundation
investigations, the possible erosion of stream channels and banks after survey data have been
obtained , and the unreliability of water elevations other than for the date recorded .
Oral explanations, instructions, or consideration for contractor-proposed changes in the Items of
work, specifications, plans or bid forms given during the bidding process are not binding. Only
requirements included in the bid form, associated specifications, plans and Department-issued
addenda are binding. Request explanations of documents in adequate time to allow the
Department to reply before the bid opening date ..
Immediately notify the Department of any error, omission, or ambiguity discovered in any part
of the bid form, specifications or plans. The Department will issue an addendum when
appropriate.
2.6. Preparing the Bid. ADD -"Prepare the bid on the Proposal provided and subm it to th ~
~ Purchasing Department as noted on the Proposal form ."
Specify a unit price in dollars and cents for each Item for which an estimated quantity is given.
When "Working Days" is an Item, submit the number of working days to be used to complete
the Contract, or phases of the Contract shown on the plans.
An Item left blank will constitute an incomplete bid and will be handled as prescribed in Article
2.14, "Tabulating Bids." Include unit bid prices for each Item in the Item group or alternate Item
group, except for instances when alternate Items pertain to foreign steel or iron materials.
If a bid form contains both regular bid Items for domestic and alternate bid Items pertaining to
foreign steel or iron materials the bidder must either:
• submit unit bid prices for domestic bid items only, or
• submit unit bid prices for both the alternate foreign bid items and domestic bid items.
Verify whether addenda have been issued on a proposed Contract. Acknowledge all addenda.
A. Printed Bid Forms. Make all entries and execute the bid form in ink. Acknowledge all
addenda by checking the appropriate box on the addendum acknowledgement page. Provide the
complete and correct name of the Bidder submitting the bid. A person authorized to bind the
Bidder must sign the bid form. In the case of a joint venture, provide the complete and correct
name of all Bidders submitting the bid. The bid form must be signed by person(s) authorized to
bind the Bidder(s).
2-8 002---017
02-09
As an alternative to hand writing the unit prices in the bid form, submit a computer printout
signed by the person authorized to bind the Bidder or for a joint venture the persons authorized
to bind the Bidders. As a minimum, computer printouts must contain the information in the
format shown on the "Example of Bid Prices Submitted by Computer Printout" form in the bid
form.
As an additional alternative, the bidder may prepare the bid using EBS and print out the bid
form. Execute the bid form. A person authorized to bind the Bidder must sign the bid form. In
the case of a joint venture, provide the complete and correct name of all Bidders submitting the
bid. The bid form must be signed by persons authorized to bind the Bidders.
2.7. Nonresponsive Bids. A bid that has one or more of the deficiencies listed below is
nonresponsive and will not be considered.
A. The person or, in the case of a manually submitted joint venture bid, persons did not sign the
bid form.
B. The proposal guaranty did not comply with the requirements contained in Article 2.8, "Bid
Guaranty."
C. The bid was in a form other than the official bid fonn issued to the Bidder or Bidders.
D. The bid was not in the hands of the letting official at the time and location specified in the
advertisement. For electronic bids, "in the hands of the letting official" means EBS vault
acknowledgement.
E. The bid form submitted had the incorrect number ofltems.
F. A computer printout, when used, was not signed in the name of the Bidder (or joint Bidders,
in the case of a joint venture), or omitted required Items or included an Item or Items not shown
in the bid form.
G. The Bidder was not authorized to receive a bid form under Article 2.3, "Issuing Bid Forms."
H. The Bidder failed to acknowledge receipt of all addenda issued.
I. The Bidder bid more than the maximum or less than the minimum number of allowable
working days shown on the plans when working days was an Item.
J. The Bidder modified the bid in a manner that altered the conditions or requirements for work
as stated in the bid form.
K. The Bidder did not attend a specified mandatory pre-bid conference.
The department will not accept or read any of the bids submitted on the same project by:
• a joint venture and one or more of its partners, or
3-8 002---017
02-09
• affiliated bidders.
2.8. Bid Guaranty. The bid guaranty amount is fi x ed at the amount indicated on the bid form
on the date the bid form is released to the public. Provide a bid guaranty in the amount indicated
on the bid form as follows:
• For printed bids , use either a guaranty check or a bid bond. An electronic bid bond may
be used as the guaranty for a bid form printed from EBS. (The bid bond number is printed
on the form printed from EBS and the Department verifies the bond through EBS at the
letting.)
• Fcp/ele¢onic ~ds, ~ ~le,P{ro~idf6nd t'6o/oW5e ~antwtb&krOr pnnttd bid
)ronds,,o n ele~onr i?5 . ~~c+nc... B~ t...,.11l\ v,..)r-\ae-~~~-
A. Guaranty Check. The guaranty check must be payable to the Texas Transportation
Commission and must be a cashier's check, money order, or teller's check drawn by or on a state
or national bank, a savings and loan association, or a state or federally chartered credit union
(collectively referred to as "bank"). The check must be dated on or before the date of the bid
opening. Post dated checks will not be accepted. The type of check or money order must be
indicated on the face of the instrument and the instrument must be no more than 90 days old. A
check must be made pay able at or through the institution issuing the instrument; be drawn by a
bank and on a bank; or be payable at or through a bank. The Department will not accept personal
checks, certified checks, or other types of money orders as a bid guaranty.
B. Bid Bond. The bid bond must be on the form provided by the Department, with powers of
attorney attached, and in the amount specified on the bid bond form. The bond form must be
dated on or before the date of the bid opening, bear the impressed seal of the Surety and be
signed by the Bidder or Bidders, in the case of a joint venture, and an authorized individual of
the Surety. As an alternative for joint venture Bidders, each of the Bidders may submit a separate
bid bond, completed as outlined in this Subarticle. Bid bonds will only be accepted from Sureties
authorized to execute a bond under and in accordance with state law.
C. Electronic Bid Bond. Use the most current version of the electronic bond issued by the
department. For a joint venture, the bond must be in the name of all joint venture participants.
Enter the bond authorization code into EBS. Use bond authorization codes issued by the
companies listed in most recent version of EBS .
2.9. Submittal of Bid. Bids may be submitted either manually or electronically .
A. Manually Submitted Bids.
Place the completed bid form and the bid guaranty in a sealed envelope marked to indicate the
contents.
When submitting by mail or delivery service, place the envelope in another sealed envelope and
address as indicated in the official advertisement. It is the bidder 's responsibility to ensure that
the sealed bid arrives at the location described in the official advertisement of the project on or
before the time and date set for the opening . The bid must be in the hands of the Letting Official
by that time, regardless of the method chosen for delivery , in order to be accepted.
4-8 002---017
02-09
In addition to the requirements above, all pages of a bid form printed from EBS must be
submitted.
2.10. Revising Bid Forms. Revisions to bids will be handled as follows:
A. Manually Submitted Bids.
1. Before Submission. Make desired changes to the printed bid form in ink and initial the
changes.
2. After Submission. Withdraw the bid in accordance with Article 2.11, "Withdrawing
Bids." Make desired changes to the printed bid form in ink and initial the changes. Resubmit to
the Letting Official in accordance with Article 2.9, "Delivery of Bid." The Department will not
make revisions to a bid on behalf of a Bidder.
Revisions to bids are not allowed after the time and date set for the
opening.
2.11. Withdrawing Bids.
A. Manually Submitted Bids. Submit a signed written request to the Letting Official. The
Department will not accept telephone or electronic requests, but will accept a properly signed
telefacsimile request. The request must be made by a person authorized to bind the Bidder, and
must be in the hands of the Letting Official before the time and date set for the opening. In the
case of joint venture, the department will accept a request from any person authorized to bind a
party to the joint venture to withdrawal a bid. ·
2.12. Opening and Reading of Bids. At the time, date and location specified in the official
advertisement, the Letting Official will publicly:
• open and read manually submitted bids; and
5-8 002---017
02-09
2.13. Gratuities. Do not offer Department employees benefits, gifts, or favors. The only
exceptions allowed are ordinary business lunches. Failure to honor this policy may result in the
termination of the Contract and sanctions under the Texas Administrative Code. Termination of
the Contract will be in accordance with Article 8.7, "Termination of Contract."
2.14. Tabulating Bids.
A. Official Total Bid Amount. The Department will sum the products of the quantities and the
unit prices bid in the bid form to determine the official total bid amount. Except as provided in
Section 2.14.G, "Special Item Considerations," the official total bid amount is the basis for
determining the apparent low Bidder. The total bid amounts will be compared and the results
made public.
B. Consideration of Bid Format. When a Bidder submits both an electronic bid and a properly
completed manual bid, the unit bid prices in the manual bid will be used to determine the total
bid amount. If a bidder submits an electronic bid and an incomplete manual bid, the electronic
bid will be used in the tabulation of the total bid amount.
If a bidder submits two or more manual bids, all responsive bids will be tabulated. The bid with
the lowest tabulation will be used to determine the total bid amount.
C. Rounding of Unit Prices. The Department will round off all unit bids involving fractional
parts of a cent to the nearest one-tenth cent ($0 .001) in determining the amount of the bid as well
as computing the amount due for payment of each Item under the Contract. For rounding
purposes, entries of five-hundredths of a cent ($0.0005) or more will be rounded up to the next
highest tenth of a cent, while entries less than five-hundredths of a cent will be rounded down to
the next lowest tenth of a cent.
D. Interpretation of Unit Prices. The Department will make a documented determination of the
unit bid price for tabulation purposes if a unit bid price is illegible. The Department's
determination will be final.
E. Consideration of Unit Prices. Unit bid price entries such as no dollars and no cents, zero
dollars and zero cents, or numerical entries of $0.00, will be tabulated as one-tenth of a cent
($0.001).
The Department will consider proposals where unit bid prices have been left blank incomplete
and nonresponsive. If a proposal has a regular and a corresponding alternate Item or group of
Items, the bid will be considered complete if:
• the regular Item or group of regular Items has unit prices entered, or
• the alternate Item or group of alternate Items has unit prices entered.
The bid will be considered incomplete and nonresponsive if:
• a regular Item or group of regular Items is left blank, and
• a corresponding alternate Item or group of alternate Items is left blank.
6-8 002---017
02-09
F. Consideration of Alternate Items. The Department will make two calculations using one-
tenth of a cent ($0.001) for each Item if:
• a regular Item or a group ofltems have an entry such as no dollars and no cents , zero
dollars and zero cents, or numerical entries of $0.00, and
• a corresponding alternate Item or group ofltems, have an entry such as no dollars and no
cents, zero dollars and zero cents , or numerical entries of $0.00.
The Department will select the regular Item or Items or the alternate Item or Items at the
Department's discretion if both the regular and alternate bid results in the same cost to the State .
The Department will use the unit price that is greater than zero for bid tabulation if:
• a unit price greater than zero has been entered for either a regular bid or a corresponding
alternate Item or group ofltems, and
• an entry of no dollars and no cents, zero dollars and zero cents, or a numerical entry of
$0.00 has been entered for the other corresponding Item or group ofltems.
If a unit price has been entered for both the regular Item and a corresponding alternate Item , the
Department will select the option (regular or alternate) that results in the lowest cost to the State.
The Department will select the regular Item or Items or the alternate Item or Items at the
Department's discretion if both the regular and alternate bid results in the same cost to the State .
G. Special Item Considerations.
1. Rubber Additives. For proposed Contracts without federal funds , if an alternate Item for "Hot
Asphalt-Rubber Surface Treatments" or "Hot Mix Asphalt Concrete Pavement" which contains
ground tire rubber is shown in the bid form and the Bidder bids that alternate Item, the amounts
bid for "Hot Asphalt-Rubber" and "Aggregate" or "Hot Mix Asphalt Concrete" will be reduced
to 85% of the amounts actually bid. This reduction will only be used for the purposes of
determining the lowest Bidder. To qualify, the ground tire rubber used must be produced from
scrap tire ground in a facility in Texas. Payment for "Hot Asphalt-Rubber" and "Aggregate" or
"Hot Mix Asphalt Concrete" will be at the actual unit prices bid.
2. "Buy America." For proposed Contracts where unit bid prices are submitted for both
domestic and foreign steel or iron materials, the total bid amount will be calculated using both
the domestic and foreign steel unit bid prices. If the total bid amount using the foreign steel or
iron materials is the low bid, and the lowest bid using domestic steel or iron materials exceeds
the low bid using foreign steel or iron materials by 25% or more, the apparent low Bidder will be
the bid using foreign steel or iron materials. If the difference between the low bid using foreign
steel or iron materials and the lowest bid using domestic steel or iron materials is less than 25%,
the apparent low Bidder will be the bid using domestic steel or iron materials.
3. Home State Bidding Preference. For the purpose of determining the apparent low Bidder on
proposed Contracts without federal funds , the total bid amount will be based upon the reverse
application of the non-resident Bidder's home state bidding preference, if any.
2.15. Consideration of Bid Errors. The Department will consider a claim of a bid error by the
apparent low Bidder if the following requirements have been met:
7-8 002---017
02-09
• Submit written notification to the Department within 5 business days after the date the
bid is opened.
• Identify the Items of work involved and include bidding documentation. The Department
may request clarification of submitted documentation.
The Department will evaluate the claim of an error by the apparent low Bidder by considering
the following:
• The bid error relates to a material Item of work.
• The bid error amount is a significant portion of the total bid.
• The bid error occurred despite the exercise of ordinary care.
• The delay of the proposed work will not impact cost and s·afety to the public.
Acceptance of the bid error claim by the Department will result in the rejection of all bids. The
erring Contractor will not be allowed to bid the project when it is rel et. Rejection of bids due to
the Contractor's bid error may result in the application of sanctions by the Department.
2.17. Electronic Bidding. Take responsibility for correctly installing the EBS software. Secure
the digital certificate issued by the department at all times. Promptly report compromised digital
certificates to the Department. Select an Internet Service Provider. The Department will not be
responsible for Internet unavailability. The Department will not provide a computer for
preparing, submitting, revising or withdrawing an electronic bid.
2.18. Bid Form Content. The electronic and the EBS printed bid form do not contain such
things as the special provisions, special specifications , and general notes. These documents are
included by reference. Manual bid forms (traditional proposals) will include such provisions.
8-8 002---017
02-09
2004 Specifications
SPECIAL PROVISION
003---033
Award and Execution of Contract
For this project, Item 003, "Award and Execution of Contract," of the Standard Specifications, is
amended with respect to the clauses cited below, and no other clauses or requirements of this
Item are waived or changed.
Article 3.4. Execution of Contract, Section B, Bonds. The first paragraph is supplemented by
the following:
Sample versions of the standard performance and payment bonds may be viewed on the
department's Internet site at:
http://www.txdot.gov/txdot library/consultants contractors/form s/contractors. htm
1-1 003---033
07-09
2004 Specifications
SPECIAL PROVISION
004---017
Scope of Work
For this project, Item 4, "Scope of Work," 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 4.2. Changes in the Work. The first paragraph is supplemented by the following:
The Contractor is responsible for notifying the sureties of any changes to the contract.
Article 4.2. Changes in the Work. The sixth paragraph is voided and replaced by the following:
When the quantity of work to be done under any major item of the Contract is less than 75% of
the original quantity stated in the Contract, then either party to the Contract may request an
adjustment to the unit price. When mutually agreed, the unit price may be adjusted by
multiplying the Contract unit price by the factor in Table 1. If an adjusted unit price cannot be
agreed upon, the Engineer may determine the unit price by multiplying the Contract unit price by
the factor in Table 1.
Table 1
Quantity-Based Price Adjustment Factors
% of Original Quantity Factor
> 50 and< 75 1.05
> 25 and< 50 1.15
<25 1.25
Article 4.4. Requests and Claims for Additional Compensation, Section A., Delay Claims is
voided and replaced by the following:
A. Damages. Damages occur when impacts that are the responsibility of the Department result
in additional costs to the contractor that could not have been reasonably anticipated at the
time of letting. Costs of performing additional work are not considered damages . For
contractor damages , the intent is to reimburse the Contractor for actual expenses arising out
of a compensable impact. No profit or markups, other than labor burden, will be allowed.
For damages, labor burden will be reimbursed at 35% unless the Contractor can justify
higher actual cost. Justification for a higher percentage must be in accordance with the
methodology provided by the Department, submitted separately for project overhead labor
and direct labor, and determined and submitted by a Certified Public Accountant (CPA).
Submit CPA-prepared labor burden rates directly to the Contract Letting and Contractor
Prequalification Branch of the Construction Division.
1-3 004---017
04-10
1. Delay Damages. If the Contractor requests compensation for delay damages and the
delay is determined to be compensable, then standby equipment costs and project
overhead compensation will be based on the duration of the compensable delay and will
be limited as follows:
a. Standby Equipment Costs.
• Standby costs will not be allowed during periods when the equipment would have
otherwise been idle.
• No more than 8 hr. of standby will be paid during a 24-hr. day, nor more than
40 hr. per week, nor more than 176 hr. per month .
• For Contractor-owned equipment, standby will be paid at 50% of the rental rates
found in the Rental Rate Blue Book for Construction Equipment and calculated
by dividing the monthly rate by 176 and multiplying by the regional adjustment
factor and the rate adjustment factor. For leased equipment on standby, 100% of
the invoice cost of the leased equipment will be paid . Operating costs will not be
allowed.
b. Project Overhead. Project overhead is defined as the administrative and supervisory
expenses incurred at the work locations. When delay to project completion occurs,
reimbursement for project overhead for the prime contractor will be made using the
following options:
• reimbursed at 6% (computed as daily cost by dividing 6% of the original contract
amount by the as-let number of working days) or
• actual documented costs for the impacted period.
Project overhead for delays impacting sub-contractors will be determined from actual
documented costs submitted by the Contractor.
The granting of time extensions and suspensions alone will not be justification for
reimbursement for project overhead.
c. Home Office Overhead. The Department will not compensate the Contractor for
home office overhead.
Article 4.4. Requests and Claims for Additional Compensation, Section B., Dispute or
Claims Procedure is voided and replaced by the following :
B. Dispute or Claims Procedure. Work with the Engineer to resolve or escalate all issues in
accordance with the procedures outlined at the pre-construction conference. Establish with
the Engineer an issue escalation ladder and adhere to the following:
1. Project Pledge. At a minimum, Contractor representatives at the level of foreman and
above will certify in writing they will approach the construction of this project in a
manner consistent with delivering a high quality project in a safe, cost-effective, and
timely manner, and they will be committed to not allowing personality conflicts or
personal interests to interfere with providing the public with a quality project. Failure to
uphold this commitment may result in grounds for removal from the project by the
District Engineer."
2-3 004---017
04-10
2. Issue Resolution Process. An issue is any aspect of the contract where representatives
of the participants in the contract do not agree. The individuals identified at the lowest
level of the issue escalation ladder will initiate the issue resolution process by escalating
any issue that remains unresolved within the time frame outlined in the issue escalation
ladder.
Use the Department's automated issue tracking system to submit and track issues
escalated to the area engineer or above. Do not use the automated issue tracking system
for routine issues resolved on the project.
Once the issue is recorded in the automated issue tracking system, the issue will be
escalated to the district engineer within 15 calendar days.
The district engineer will issue written direction within 7 calendar days.
Work with the district to resolve all issues during the course of the contract. In the event the
district and the Contractor cannot resolve an issue, the Contractor may file a contract claim
after the completion of the contract to be handled in accordance with the Department's
contract claim procedure. Contract claims will not be presented to the Contract Claims
Committee for consideration prior to the final payment to the Contractor. It is the
Contractor's responsibility to prove or justify all claims and requests in a timely manner.
The deadline for filing a claim in accordance with 43 TAC Section 9.2, is the earlier of 1 year
after the date of final acceptance, date of default, or date of termination except that claims for
warranty enforcement can be made up to 1 year after expiration of the warranty period.
3-3 004---017
04-10
2004 Specifications
SPECIAL PROVISION
005---004
Control of the Work
For this project, Item 005 , "Control of the Work," 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 5.2 Plans and Working Drawings, is supplemented with the following:
Submit shop drawings electronically for the fabrication of structural items as documented in the
"Guide to Electronic Shop Drawing Submittal" available on the internet at
http://www .dot.state.tx .us/publications/bridge/e _ submit_guide.pdf and as directed by the
Engineer for other items required by the standard specifications . References to 11 x 17 sheets in
individual specifications for structural items imply electronic CAD sheets.
1-1 005---004
10-06
2004 Specifications
SPECIAL PROVISION
006---030
Control of Materials
For this project, Item , Item 006 , "Control of Materials," of the Standard Specifications is
amended hereb y 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 rec yclable 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.1.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, ex cept in the case of
Section 6.10.A.l.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 w ill
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 w ork in accordance with Item 446, "Cleaning and
Painting Steel."
b. Other Contracts. For all other projects w hen an ex isting 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 w ill 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 ofby 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 Department 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---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 (TAHPR). 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 10 working days prior to initiating
demolition or renovation. If the date of actual demolition, renovation, or removal is changed, the
Department 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---639
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 wai ved 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 w ithout
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 ex cess 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 follo w ing:
B. Appurtenances.
1. Unreimbursed Repair. Except for destruction (not reusable) due to hurricanes,
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 ex ception to the abo ve
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 w ill 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---639
09-09
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 current and valid TRF
certification upon request. On July I , 2010, TEEX certifications for "TxDOT Electrical
Systems" course will no longer be accepted. All TRF 450 certifications that have been
issued for "TxDOT Roadway Illumination and Electrical Installations" course that expire
before July 1,.2010 will be accepted until July 1, 2010.
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 current 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 a test based on the NEC similar to that used by Texas licensing officials, and
• sufficient electrical experience commensurate with general standards for an unrestricted
master and unrestricted journeyman electrician in the State of Texas.
2-2 007---639
09-09
2004 Specifications
SPECIAL PROVISION
008---119
Prosecution and Progress
For this project, Item 8, "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:
For all DBE subcontracts including all tiered DBE subcontracts, submit a copy of the
executed subcontract agreement.
1-1 008---119
06-10
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 Article only, the term
subcontractor includes suppliers and the term work includes materials provided by suppliers at a
location approved by the department. Pay the subcontractors for work performed within 10 day s
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 and 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. Incorporate the provisions of this Article
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 Pay ment," 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, ex cluding 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
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 ofDMS-6360, "Compost." Material not
conforming to quality monitoring program under DMS-6360, may be used onl y when tested by
the Engineer and approved before use.
1-1 161---001
02-07
2004 Specifications
SPECIAL PROVISION
164---002
Seeding For Erosion Control
Item 164 , "Seeding For Erosion Control ," 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 164.3. Construction. The following is added after the first sentence:
Use approved equipment to vertically track the seedbed as shown on the plans or as directed by
the Engineer.
1-1 164---002
08-07
2004 Specifications
SPECIAL PROVISION
166--001
Fertilizer
Item 166, "Fertilizer," 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 166.2. Materials is voided and replaced by the following :
U s e a complete fertilizer containing nitrogen (N), phosphoric acid (P), and potash (K) nutrients
unless otherwise specified on the plans. At least 50% of the nitrogen component must be a slow-
release sulfur coated urea. Ensure that fertilizer is in an acceptable condition for distribution in
containers labeled with the analy sis. Fertilizer is subject to testing by the Texas A&M Feed and
Fertilizer Control Service in accordance with the Texas Fertilizer Law.
Article 166.3. Construction is voided and replaced by the following:
Deliver and apply the complete fertilizer uniformly at a rate equal to 60 lb. of nitrogen per acre
or at the analysis and rate specified on the plans.
Apply fertilizer as a dry material and do not mix with water to form a slurry.
Incorporate fertilizer during seedbed preparation as specified in the plans .
1-1 166---001
09-07
2004 Specifications
SPECIAL PROVISION
247---033
Flexible Base
For this project, Item 247, "Flexible Base," 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 247.2. Materials, Section A. Aggregate, Table 1. Material Requirements is replaced
by the following:
Table 1
M . IR atena equ1rements
Property Test Grade 1 Grade 2 Grade3 Grade 4 Grade 5 Method
Master gradation
sieve size
( cumulative %
retained)
2-1/2 in. -0 0 0
1-3 /4 in. Tex-110-E 0 0--10 0--10 0-5
7/8 in. 10--35 --As shown on 10--35
3/8 in. 30--50 --the plans 35-65
No.4 45-65 45-75 45-75 45-75
No.40 70--85 60--85 50--85 70--90
Liquid Limit, Tex-104-E 35 40 40 As shown on 35 %max.1 the plans
Plasticity Index , 10 12 12 As shown on 10 max .1 Tex-106-E the plans
Plasticity index, min.1 As shown on the plans
Wet ball mill, 40 45 As shown on 40 %max.2 -the plans
Wet ball mill , % max. Tex-116-E As shown on increase passing the 20 20 -the plans 20
No. 40 sieve
When When As shown on Classification, max. 3 Tex-117-E shown on shown on -
the plans -
the plans the plans
Min. compressive
strength, psi As shown on lateral pressure O psi Tex-117-E 45 35 -
the plans -
lateral pressure 3 psi ---90
lateral pressure 15 psi 175 175 -175
l. Determine the plastic index in accordance with Tex-107-E (linear shrinkage) when liquid limit is unattainable as
defined in Tex-104-E.
2. When a soundness value is required by the plans, test material in accordance with Tex-411-A.
3 . When Classification is required by the plans, a triaxial Classification of 1.0 or less for Grades 1 and 2 .3 or less for
Grade 2 is required. The Classification requirement for Grade 4 will be as shown on the plans .
1-2 247-033
03-09
Article 247.2. Materials, Section A. Aggregate, Section 3. Recycled Material, Section b.
Recycled Material (Including Crushed Concrete) Requirements, Section (1), Contractor
Furnished Recycled Materials is supplemented by the following:
Provide recycled materials that have a maximum sulfate content of 3000 ppm when tested in
accordance with Tex-145-E.
Article 247.4. Construction, Section C. Compaction is supplemented by the following:
Before final acceptance, the Engineer will select the locations of tests and measure the flexible
base depth in accordance with Tex-140-E when Complete in Place measurement is specified.
Correct areas deficient by more than 1/2 in . in thickness by scarifying, adding material as
required, reshaping, recompacting, and refinishing at the Contractor 's ex pense.
Article 247.4. Construction, Section C. Compaction, Section 2. Density Control first
paragraph is replaced by the following:
Compact to at least 100% of the maximum dry density determined by Tex-113-E, unless
otherwise shown on the plans. Maintain moisture during compaction at not less than 1
percentage point below the optimum moisture content determined by Tex -113-E. Determine the
moisture content of the material in accordance with Tex-115-E or Tex-103-E during compaction
daily and report the results the same day to the Engineer, unless otherwise shown on the plans or
directed.
2-2 247-033
03-09
2004 Specifications
SPECIAL PROVISION
340---003
Dense-Graded Hot-Mix Asphalt (Method)
For this project, Item 340, "Dense-Graded Hot-Mix Asphalt (Method)," 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 340.2. Materials, Section A. Aggregate, Section 2. RAP is voided and replaced by the
following:
2. RAP. RAP is salvaged, milled, pulverized, broken, or crushed asphalt pavement. Crush or
break RAP so that I 00% of the particles pass the 2-in. sieve.
Use of Contractor-owned RAP including HMA plant waste is permitted, unless otherwise
noted in the plans. Department-owned RAP stockpiles are available for the Contractor's use
when the stockpile locations are shown on the plans. Department-owned RAP generated through
required work on the Contract is available for the Contractor's use when shown on the plans.
Perform any necessary tests to ensure Contractor or Department-owned RAP is appropriate for
use. Unless otherwise shown on the plans, the Department will not perform any tests or assume
any liability for the quality of the Department-owned RAP .
Fractionated RAP is defined as having 2 or more RAP stockpiles whereas the RAP is
divided into coarse and fine fractions. The coarse RAP stockpile will contain only material
retained by processing over a 3/8 in. screen or 1/2 in. screen unless otherwise approved. The fine
RAP stockpile will contain only material passing the 3/8 in. screen or 1/2 in. screen unless
otherwise approved. The Engineer may allow the Contractor to use an alternate to the 3/8 in.
screen or 1/2 in. screen to fractionate the RAP. The maximum percentages of fractionated RAP
may be comprised of coarse or fine fractionated RAP or the combination of both coarse and fine
fractionated RAP. Utilize a separate cold feed bin for each stockpile of fractionated RAP used.
Determine asphalt content and gradation of RAP stockpiles for mixture design purposes.
Perform other tests on RAP when shown on the plans. Unless otherwise shown on the plans, use
no more than 10% unfractionated RAP in surface mixtures and no more than 20% unfractionated
RAP in non-surface mixtures that are placed within 8 in. of the final riding surface. Use no more
than 30% unfractionated RAP in non-surface mixtures that are placed 8 in. or more from the
final riding surface. Unless otherwise shown on the plans, use no more than 20% fractionated
RAP in surface mixtures and no more than 30% fractionated RAP in non-surface mixtures that
are placed within 8 in. of the final riding surface. Use no more than 40% fractionated RAP in
non-surface mixtures that are placed 8 in. or more from the final riding surface. "Surface"
mixtures are defined as mixtures that will be the final lift or riding surface of the pavement
structure."Non-Surface" mixtures are defined as mixtures that will be an intermediate or base
layer in the pavement structure. Do not use Department or Contractor owned RAP contaminated
with dirt or other objectionable materials. Do not use Department or Contractor owned RAP if
1-2 340---003
01-09
the decantation value exceeds 5% and the plasticity index is greater than 8. Test the stockpiled
RAP for decantation in accordance with the laboratory method given in Tex-406-A, Part I.
Determine the plasticity index using Tex-106-E if the decantation value exceeds 5%. The
decantation and plasticity index requirements do not apply to RAP samples with asphalt removed
by extraction.
Do not intermingle Contractor-owned RAP stockpiles with Department-owned RAP
stockpiles. Remove unused Contractor-owned RAP material from the project site upon
completion of the project. Return unused Department-owned RAP to the designated stockpile
location.
Article 340.2. Materials, Section A. Aggregate. is supplemented by the following:
4. Recycled Asphalt Shingles (RAS). The contractor may use post-manufactured RAS or post-
consumer RAS; however, the use of post-consumer RAS may be restricted when shown on
the plans. RAS are defined as processed asphalt shingle material from manufacturing of
asphalt roofing shingles or from re-roofing residential structures. "Post-manufactured RAS"
are processed manufacturer's shingle scrap by-product. "Post-consumer RAS," or "tear-offs,"
are processed shingle scrap removed from residential structures.
Process the RAS by ambient grinding or granulating such that 100% of the particles pass the
1/2 in. sieve when tested in accordance with Tex-200-F, Part I. Add sand meeting the
requirements of Table 1 and Table 2 to RAS stockpiles, if needed, to keep the processed
material workable. Use a maximum of 4% sand by weight of RAS. Perform a sieve analysis
on processed RAS material prior to extraction of the asphalt.
Determine asphalt content and gradation of the RAS material for mixture design purposes in
accordance with Tex-236-F. Unless otherwise shown on the plans, use no more than 5%
processed RAS of the total mixture weight. When RAS is used, whether in conjunction with
RAP or not, calculate and ensure the ratio of the virgin binder to total binder is greater than
65% in surface mixtures and 60% in non-surface mixtures. "Surface" mixtures are defined as
mixtures that will be final lifts or riding surfaces of a pavement structure. "Non-Surface"
mixtures are defined as mixtures that will be intermediate or base layers in a pavement
structure. When RAS is used in conjunction with fractionated RAP, use no more than 20%
combined RAS and RAP for surface mixtures, and no more than 30% combined RAS and
RAP in non-surface mixtures, unless otherwise shown on the plans. When RAS is used in
conjunction with un-fractionated RAP, use no more than 10% combined RAS and RAP for
surface mixtures, and no more than 20% combined RAS and RAP in non-surface mixtures,
unless otherwise shown on the plans.
Certify compliance of the RAS with specification DMS-11000, "Evaluating and Using
Nonhazardous Recyclable Materials Guidelines". If the RAS has not come into contact with
any hazardous materials, treat it as an established NRM. Do not use RAS if deleterious
materials as measured by Tex-217-F, Part I, are more than 1.5% of the stockpiled RAS.
2-2 340---003
01-09
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 the 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 fourth
paragraph is voided and replaced by the following:
A= Bp[-5.37(Sa/Ss)2 + 1 l.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---035
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 (oom)
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 (MFF A). Furnish MFF A 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:
Table2
Acceotance Criteria for Questionable Water Sunnlies
Property Test Method Limits
Compressive strength, min. % ASTM C 31, ASTM C 39 1
•
2 90
control at 7 days
Time of set, deviation from ASTMC403 1 From 1 :00 early to 1 :30 later
control , h:min.
1. Base comparisons on fixed proportions and the same volume oftest water compared to the control
mix using 100% 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.1 Coarse Aggregate. The fourth paragraph is voided and replaced by the
following:
Unless otherwise shown on the plans, provide coarse aggregate with a 5-cycle magnesium sulfate
soundness when tested in accordance with Tex-411-A of not more than 25% when air
1-7 421---035
08-09
entrainment is waived and 18% when air entrainment is not waived. Crushed recycled hydraulic
cement concrete is not subject to the 5-cycle soundness test.
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
PI = percent by weight of aggregate 1 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
lightweight 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
retained portion must meet the following requirements:
• must not exceed a wear of 40% when tested in accordance with Tex-410-A.
• must have a 5-cycle magnesium sulfate soundness when tested in accordance with
Tex-411-A of not more than 25% when air entrainment is waived and 18% when air
entrainment is not waived.
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 -(Aifa)(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
2-7 421---035
08-09
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.
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 indicated on the plans, furnish 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 is voided and
replaced by the following:
Design
Class of Strength, Maximum
Concrete Min. W/C Ratio 1
28-day f'c
(psi)
A 3,000 0.60
B 2,000 0 .60
c s 3,600 0.45
C(HPC)' 3,600 0.45
D 1,500 0.60
E 3,000 0.50
pS Note 6 0.45
F(HPC)' Note 6 0.45
H S Note6 0.45
H(HPC)' Note6 0.45
S' 4,000 0.45
Table 5
Concrete Classes
Coarse
Aggregate
Grades2,3
1--4, 8
2-7
1---6
1-6
2-7
2-5
2-5
2-5
3---6
3---6
2-5
3-7
General Usage4
Inlets, manholes, curb, gutter, curb & gutter,
cone. retards, sidewalks, driveways, backup
walls, anchors
Riprap, small roadside signs, and anchors
Drilled shafts, bridge substructure, bridge
railing, culverts except top slab of direct traffic
culverts, headwalls, wing walls, approach
slabs, concrete traffic barrier (cast-in-place)
As shown on the plans
Riprap
Seal concrete
Railroad structures; occasionally for bridge
piers, columns, or bents
As shown on the plans
Prestressed concrete beams, boxes, piling, and
concrete traffic barrier (precast)
As shown on the plans
Bridge slabs, top slabs of direct traffic culverts
421---035
08-09
Design
Class of Strength, Maximum Coarse
Concrete Min. W/C Ratio 1 Aggregate General Usage4
28-day re Grades2,3
(psi)
S(HPC)' 4 ,000 0.45 2-5 As shown on the plans
p See Item 360 0.45 2-3 Concrete pavement
DC' 5,500 0.40 6 Dense cone. overlay
CO' 4 ,600 0.40 6 Cone. overlay
LMC' 4,000 0.40 6-8 Latex-modified concrete overlay
SS5 3,600 7 0.45 ~ Slurry displacement shafts, underwater drilled
shafts
K; Note 6 0.45 Note 6 Note 6
HES Note 6 0.45 Note6 Note6 .. 1. Maxnnum water-cement or water-cement1t1ous ratio by weight.
2. Unless otherwise permitted, do not use Grade 1 coarse aggregate except in massive foundations with
4-in. minimum clear spacing between reinforcing steel bars. Do not use Grade 1 aggregate in drilled
shafts.
3. Unless otherwise approved, use Grade 8 aggregate in extruded curbs.
4. For information only .
5 . Structural concrete classes.
6 . As shown on the plans or specified.
7 . 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 following:
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. Unless otherwise shown on
the plans, acceptance of concrete loads will be based on a tolerance of± 1.5% from the target air
content. If the air content is more than 1.5 but less than 3.0% above the target air, the concrete
4-7 421---035
08-09
may be accepted based on strength tests. For specified concrete strengths above 5,000 psi, a
reduction of I% is permitted.
Article 421.4.A Table 7 Air Entrainment is voided.
Article 421.4.A.6. Mix Design Options. The first and second paragraphs are 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.
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 1, 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; Tex-440-A, "Initial Time of Set of Fresh Concrete" is performed
during mi x 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 follo w ing:
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.f. Option 6 is voided and replaced by the following:
f. Option 6. Use lithium nitrate admixture at a minimum dosage determined by testing conducted
in accordance with Tex-471-A, "Lithium Dosage Determination Using Accelerated Mortar Bar
Testing." Before use of the mix, provide an annual certified test report signed and sealed by a
licensed professional engineer, from a laboratory on the Department's List of Approved Lithium
Testing Laboratories, certified by the Construction Division as being capable of testing
according to Tex-471-A, "Lithium Dosage Determination Using Accelerated Mortar Bar
Testing."
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 ex ceed 3.5 lb. per cubic y ard of concrete when calculated as
follows:
lb. alkali per cu. yd. = (lb. cement per cu. yd.) (% Na2 0 equivalent in cement)
100
5-7 421---035
08-09
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 Sources Excluded from Option 7 ASR Mitigation.
Article 421.4.A.6.h. Option 8 is voided and replaced by the follow ing:
h. Option 8. For any deviations from Options 1-5, perform annual testing on coarse,
intermediate, 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 0.08% expansion at
14 days.
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:
• 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 mix ing 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 one set of design strength specimens, consisting of two 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 following:
Table9
Measurement Tolerances -Non-Volumetric Mixers
Material
Cement, wt.
SCMwt.
Cement + SCM (cumulative weiiming), wt.
Water, wt. or volume
Fine aggregate, wt.
Coarse aggregate, wt.
Fine + coarse aggregate (cumulative wei!!hing ), wt.
Chemical admixtures , wt. or volume
6-7
Tolerance(%)
-1 to +3
-1 to +3
-1 to +3
±3
±2
±2
±1
±3
421---035
08-09
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 allowed as long as the requirements of Section 421.4.A.5, "Slump" and Section 421.4.E,
"Mixing and Delivering Concrete" are met.
7-7 421---035
08-09
2004 Specifications
SPECIAL PROVISION
424---002
Precast Concrete Structures (Fabrication)
For this project, Item 424, "Precast Concrete Structures (Fabrication)," 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 424.3. Construction, Section B. Fabrication, Section 4. Quality of Concrete. The first
paragraph is voided and replaced by the following:
Provide concrete in accordance with Item 421 , "Hydraulic Cement Concrete," except for the
following:
• Air-entrained concrete will not be required in precast concrete members , unless otherwise
shown on the plans.
• Use a minimum of25% Class F fly ash with mix design Option 1 from Section 421.4.A.6 ,
"Mix Design Options," for all precast concrete members.
• Do not use mix design Options 6, 7, or 8 from Section 421.4.A.6., "Mix Design Options" for
all precast concrete members.
For each type of structure or unit, use the class of concrete shown on the plans or in the pertinent
Item .
1-1 424---002
06-09
2004 Specifications
SPECIAL PROVISION
428---001
Concrete Surface Treatment
For this project, Item 428, "Concrete Surface Treatment," 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 428.3. Construction, Section B. Surface Treatment Class II. The second paragraph is
voided and replaced by the following:
• Clean the concrete surfaces using shot or abrasive blasting, unless otherwise restricted,
followed by vacuuming and air-blasting as needed, to remove all visible curing
compound, oils, and any other contaminants that retard or prevent penetration of the
mixture before treatment application. Completely remove all spent abrasive media.
Demonstrate the method of cleaning to the Engineer.
Do not damage the concrete surface to the point that the coarse aggregate is exposed. Acceptance
of the entire cleaned surface by the Engineer is required before the application of the treatment
material.
1-1 428---001
09-08
2004 Specifications
SPECIAL PROVISION
434---003
Elastomeric Bridge Bearings
For this project, Item 434, "Elastomeric Bridge Bearings," 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 434.1. Description. The third bullet is voided and replaced by the following:
• Sliding Elastomeric Bearings. Consisting of a steel top (sole) plate with a stainless steel
facing (upper component) bearing on a lower component. The lower component may be
either a layer of polytetrafluoroethylene (PTFE) bonded to a preformed fabric pad or a
layer of PTFE recessed and bonded to a steel plate that is vulcanized to the top of a
laminated elastomeric bearing pad with or without special components (steel guide bars
and bottom plate).
Article 434.2. Materials, Section A. Plain and Laminated Elastomeric Bearings, Section 1.
Elastomer. The fifth paragraph is voided and replaced by the following:
Plain sample bearings must measure 9 in. 19 in. 1 in. with 70-durometer hardness.
Laminated sample bearings must measure 9 in. 14 in. 1-1/2 in. with the following
number of steel laminates:
• 50 durometer--3 steel laminates,
• 60 durometer--2 steel laminates, and
• 70 durometer--2 steel laminates.
Article 434.2. Materials, Section A. Plain and Laminated Elastomeric Bearings is
supplemented by the following:
5. Coatings. Provide coating materials as required in accordance with Item 445,
"Galvanizing," and Item 446, "Cleaning and Painting Steel."
Article 434.2. Materials, Section B. Sliding Elastomeric Bearings, Section 1. Lower
Component, Section b. PTFE. The second sentence is voided and not replaced.
Article 434.2. Materials, Section B. Sliding Elastomeric Bearings, Section 1. Lower
Component is supplemented by the following:
c. Laminated Elastomeric Bearing Pad. Furnish laminated elastomeric bearing pads
produced by a manufacturer prequalified by the Construction Division. Provide elastomer
for laminated elastomeric bearing pads in accordance with Section 434.2.A.l, "Elastomer."
Provide steel laminates for laminated elastomeric bearing pads in accordance with Section
434.2.A .2, "Steel Laminates." Provide steel plates for laminated elastomeric bearing pads in
accordance with Section 434.2.A.3, "Steel Top Plates."
1-4 434---003
01-06
Article 434.2. Materials, Section B. Sliding Elastomeric Bearings is supplemented by the
following:
4. Coatings. Provide coating materials as required in accordance with Item 445,
"Galvanizing," and Item 446, "Cleaning and Painting Steel."
Article 434.3. Construction, Section A. Plain and Laminated Elastomeric Bearings, Section
4. Field Methods. The second paragraph is voided and replace by the following:
Field-weld as required in accordance with Item 448, "Structural Field Welding." Do not
damage the elastomer when welding near bearings. Replace bearings damaged by field
welding at the Contractor's expense.
Article 434.3 Construction, Section B. Sliding Elastomeric Bearings is voided and replaced
by the following:
B. Sliding Elastomeric Bearings. Before fabrication of sliding elastomeric bearings,
prepare and submit clear and legible shop drawings for the complete assembly in accordance
with the plans and Section 441.3.A.6.b(2), "Non-Bridge Structures." Provide a bearing
layout with the shop drawings.
Attach the stainless steel sheet to the steel top (sole) plate by continuous fillet-welding
around the edges with an approved welding electrode. Do not extend the weld above the
sliding surface. Protect the sliding surface from weld spatter. Provide the finished stainless
surface flat to a tolerance of 1/32 in. After attachment to the steel plate, polish the stainless
steel sheet to a bright mirror finish less than 20 micro-in . rms, and solvent-clean to remove
traces of polishing compound.
For lower components with laminated elastomeric bearing pads, fabricate the laminated
elastomeric bearing pads according to Section 434.3.A, "Plain and Laminated Elastomeric
Bearings." Vulcanize the laminated elastomeric bearing pad to the PTFE faced steel plate.
Machine the steel plate recessed surface flat to a tolerance of 1/32 in. and within 1/32 in. of
required depth. Bond the PTFE material to the steel plate recessed surface with an approved
adhesive. Fit the PTFE material into the recessed surface with not more than 1/32-in. gaps
around the perimeter.
For lower components with preformed fabric pads, provide preformed fabric pads within the
following tolerances from plan dimension:
• length and width: + 1/4 in., -0 in., and
• thickness: +/-5% .
. Bond the PTFE material to the preformed fabric pad using approved adhesive methods or by
vulcanizing through an appropriate polychloroprene interlayer.
Perform required welding in accordance with Item 441 , "Steel Structures." Manufacture
guide bars when required so that adjacent top and bottom bar surfaces are parallel to within
1/16 in. in the assembled position. The tolerance for diameter of anchor bolt holes is
+1/8 in., -0 in. The maximum deviation for flatness of steel top (sole) plates, except at
stainless steel attached surfaces, is 1/16 in. in any 24 in .
2-4 434---003
01-06
1. Markings. Mark the bearing type on the surface of each sliding elastomeric bearing.
The marking must remain legible until placement in the structure. Permanently mark
the laminated elastomeric bearing pad with the information specified in Section
434.3.A.1, "Markings ."
2. Testing and Acceptance. For lower components with laminated elastomeric bearing
pads, test a minimum of 10% of the sliding elastomeric bearing assemblies to an
average compressive strength of 2,250 psi or a stress approved by the Engineer. Provide
calibrated equipment per ASTM E 4 for this compression testing. No tested sliding
elastomeric bearing may show visible damage to the PTFE or stainless steel surfaces
nor evidence of bond failure between the :
• PTFE faced steel plate and laminated elastomeric bearing pad,
• steel laminates and elastomer within the laminated elastomeric bearing pad, and
• steel plate and PTFE.
Perform check tests if necessary on the steel, laminated elastomeric bearing pads,
preformed fabric pads, or PTFE material to verify the properties required under
Section 434.2.B, "Sliding Elastomeric Bearings."
Bearings represented by test specimens passing the requirements of this Item will be
approved for use in the structure subject to on-site inspection by the Engineer for visible
defects.
a. Lower Component. Manufacture 1 additional bearing lower component for testing
purposes. After bearings have been manufactured for a project, notify the
Construction Division, which will sample a bearing lower component at random
from the lot. The Construction Division will perform a 90° peel test (adhesion test)
to ensure that the sample meets a minimum required peel strength of:
• 20 lb. per inch between the PTFE material and steel plate when tested per
Tex 601-J, and
• 25 lb. per inch between the PTFE material and preformed fabric pad when tested
per ASTM D 429, Method B.
The Construction Division will also determine adhesion between the PTFE
faced steel plate and laminated elastomeric bearing pad per Tex-601-J.
b. Documentation. Furnish copies of certified mill test reports for the steel top (sole)
plate, stainless steel, PTFE faced steel plate, and any required steel special
components. Provide a manufacturer's certification that the preformed fabric pad
and PTFE material meet the requirements of this Item. Furnish certified laboratory
test results on the elastomer properties of each batch or lot of compound for
laminated elastomeric bearing pads.
3. Storage. Store sliding elastomeric bearings horizontally in a dry, sheltered area.
Provide moisture-and dust-resistant wrapping maintained in good condition until
installation. Lift bearings only from the undersides. Protect bearings from damage, dirt,
oil, grease, and other foreign substances.
3-4 434---003
01-06
4. Field Methods. Provide concrete surfaces for bearing areas under sliding elastomeric
bearings in accordance with Section 420.4.H, "Treatment and Finishing of Horizontal
Surfaces Other Than Bridge Slabs ."
Field-weld as required in accordance with Item 448 , "Structural Field Welding." Avoid
damage to the laminated elastomeric bearing pad or preformed fabric pad when welding
near bearings. Bearings damaged by field welding will be replaced by the Contractor at
the Contractor's expense.
Article 434.5. Payment, Section B. Sliding Elastomeric Bearings is voided and replaced by
the following:
B. Sliding Elastomeric Bearings. 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 "Sliding Elastomeric Bearing" of the type specified. This price is full
compensation for the stainless steel faced top plate, the PTFE faced steel plate vulcanized to
the top of a laminated elastomeric bearing pad or the PTFE faced preformed fabric pad , the
steel special components, the anchor bolts required to connect the bearing between
superstructure and substructure; installation ; and tools, equipment, labor, and incidentals .
4-4 434---003
01-06
2004 Specifications
SPECIAL PROVISION
440---002
Reinforcing Steel
For this project, Item 440, "Reinforcing Steel," 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 440.2. Materials, Section G. Mechanical Couplers is vo ided and replaced by the
following:
When mechanical splices in reinforcing steel bars are shown on the plans, use couplers of the
type specified in DMS-4510, "Mechanical Couplers," under the section "General Requirements."
Furnish only couplers that have been produced by a manufacturer that has been prequalified in
accordance with DMS-4510. Do not use sleeve-wedge type couplers on coated reinforcing.
Sample and test couplers for use on individual projects in accordance with DMS-4510 . Furni sh
couplers only at locations shown on the plans.
Article 440.3. Construction, Section D. Splices. The fifth bullet is voided and replaced by the
following:
• For box culvert extensions with less than 1 ft. of fill, lap the ex isting longitudinal bars
with the new bars as shown in Table 5. For extensions with more than 1 ft . of fill , lap at
least 1 ft . 0 in.
1-1 440---002
06-09
2004 Specifications
SPECIAL PROVISION
441---006
Steel Structures
For this project, Item 441 , "Steel 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 441.3, "Construction," Section A, "General Requirements," Section 1, "Applicable
Codes," is voided and replaced by the following:
Perform all fabrication in accordance with AASHTO/NSBA Steel Bridge Collaboration S2.l ,
including fabrication of non-bridge members. Follow all applicable provisions of the appropriate
A WS code (Dl.5 or Dl.1) ex cept as otherwise noted in the plans or in this Item. Weld sheet steel
(thinner than 1/8 in.) in accordance with ANSI/A WS Dl.3, Structural Welding Code-Sheet
Steel. Unless otherwise stated, requirements of this Item are in addition to the requirements of
S2.l. In case of a conflict between this Item and S2.1 , follow the more stringent requirement.
Perform all bolting in accordance with Item 447, "Structural Bolting."
Article 441.3, "Construction," Section A, "General Requirements," Section 5,
"Qualification of Plant, Laboratories, and Personnel," Section b, "Nondestructive
Examination (NDE)," is voided and replaced by the following:
Personnel performing NDE must be qualified in accordance with the applicable A WS code.
Current certification in accordance with ASNT SNT-TC-lA is required for an inspector to be
considered qualified. Testing agencies and individual third-party contractors must also
successfully complete periodic audits for compliance, performed by the Department. In addition ,
ultrasound technicians must pass a hands-on test administered by the Construction Division . A
technician who fails the hands-on test must wait 6 months before taking the test again .
Qualification to perform ultrasonic testing for the Department will be revoked when the
technician 's employment is terminated, and recertification based on a new hands-on test will be
required.
Article 441.3, "Construction," Section A, "General Requirements," Section 9, "Inspection."
The second paragraph is voided and replaced by the following:
Provide the Inspector with the helpers and equipment needed to move material to allow
inspection. QC is solely the responsibility of the Contractor. The Contractor must have a QC
staff qualified in accordance w ith the applicable AWS code. Welding inspectors must be current
A WS Certified Welding Inspectors. The QC staff must provide inspection of all materials and
workmanship prior to inspection by the Department.
1-2 441---006
02-10
Article 441.3, "Construction," Section B, "Welding," Section 5, "Nondestructive
Examination (NDE)," Section c, "Magnetic Particle Testing." The first sentence is voided
and not replaced.
Article 441.3, "Construction," Section D, "Dimensional Tolerances," Section 2, "Flange
Straightness." The second sentence is voided and replaced by the following:
Rolled material must meet this straightness requirement before being laid out or worked.
Article 441.3, "Construction," Section D, "Dimensional Tolerances," Section 3, "Alignment
of Deep Webs in Welded Field Connection." The first sentence is voided and replaced by the
following:
For girders 48 in . deep or deeper, the webs may be slightly restrained while checking compliance
with tolerances of S2. l for lateral alignment at welded field connections.
Article 441.3, "Construction," Section D, "Dimensional Tolerances," Section 4, "Bearings,"
Section c, "Shoes," is supplemented by the following :
• For a pin and rocker type expansion shoe, the axis of rotation coincides with the central axis
of the pin.
• When the shoe is completely assembled, as the top bolster travels through its full anticipated
range , no point in the top bolster plane changes elevation by more than 1/16 in. and the top
bolster does not change inclination by more than 1 degree, for the full possible travel.
Article 441.3, "Construction," Section D, "Dimensional Tolerances," Section 4, "Bearings,"
is supplemented by the following:
d. Beam supports. Fabricate beam support planes true to the box girder bearing to 1/16 in. in
the short direction and true to the vertical axis of the nesting girders to 1/16 in.
Article 441.3, "Construction," Section G, "Shop Assembly," Section 1, "General Shop
Assembly." The first paragraph is voided and replaced by the following :
1. General Shop Assembly. Shop-assemble field connections of primary members of trusses,
arches , continuous beam spans, bents, towers ( each face), plate girders , field connections of floor
beams and stringers (including for railroad structures), field-bolted plate diaphragms for curved
plate girders and railroad underpasses , and rigid frames. Field-bolted crossframes and rolled-
section diaphragms do not require shop assembly. Complete fabrication, welding (except for
shear studs), and field splice preparation before members are removed from shop assembly.
Obtain approval for any deviation from this procedure. The Contractor is responsible for accurate
geometry.
2-2 441---006
02-10
2004 Specifications
SPECIAL PROVISION
442---016
Metal for Structures
For this project, Item 442 , "Metal for 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 442.2, "Materials," Section A, "Structural Steel," Section 1, "Bridge
Structures." The third sentence is voided and not replaced.
Article 442.5, "Payment," is voided and replaced by the following:
442.5. 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
"Structural Steel " of the type (Rolled Beam, Plate Girder, Tub Girder, Box Girder, Railroad
Through-Girder, Railroad Deck-Girder, Miscellaneous Bridge, Miscellaneous Non-Bridge)
specified. This price is full compensation for materials, fabrication, transportation , erection,
paint, painting, galvanizing, equipment, tools, labor, and incidentals.
1-1 442---016
02-10
2004 Specifications
SPECIAL PROVISION
447---002
Structural Bolting
For this project, Item 447, "Structural Bolting," 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 447. Section 4. Construction, Section C. Preparation of Faying Surfaces. The second
paragraph is voided and replaced by the following:
Perform blast-cleaning or painting of fa y ing surfaces in accordance with Item 446 , "Cleaning
and Painting Steel." Provide an SSPC-SP 10 blast cleaning prior to shipment if surfaces to be in
contact after final bolting will be left unpainted. Do not wire-brush uncoated faying surfaces.
Roughen galvanized faying surfaces by hand wire-brushing . For main girder splices, perform a
brush-blast to provide an SSPC-SP 6 finish not sooner than 48 hours prior to assembling the
connection unless otherwise approved.
Article 447.4 . Construction, Section D. Bolt Installation, Section 3. Tension Bolts is
supplemented by the following:
Tension all bolts in a connection within 10 days of installation. Bolts not tensioned within
10 days of installation are subject to field R-C testing. Relubricate or replace any installed bolts
that do not have sufficient lubrication as determined by the field R-C test.
Article 447.4. Construction, Section E. Bolt Tensioning, Section 1. Turn-of-the-Nut
Method, Table 2. Note 1 below Table 2 is voided and replaced by the following:
1. Nut rotation is relative regardless of the element (nut or bolt) being turned. The tolerance is
-0°, +30° for bolts installed by 1/2 tum or less and-0°, +45 ° for bolts installed by 2/3 tum or
more.
1-1 447---002
10-05
2004 Specifications
SPECIAL PROVISION
448---002
Structural Field Welding
For this project, Item 448 , "Structural Field Welding," of the Standard Specifications, is hereb y
amended with respect to the clauses cited below, and no other clauses or requirements of this
Item are waiv ed or changed hereby .
Article 448.3 Equipment is voided and replaced by the following:
Provide electrode drying and storing ovens that can maintain the required temperatures specified
in Section 448.4.C.1 , "Electrode Condition." Each oven must have a door that is sealed and can
be latched. Each oven must have a small port that may be opened briefly to insert a thermometer
or the oven must be equipped with a thermometer that allow s for direct reading of temperature
inside the oven without opening the oven. Provide equipment able to preheat and maintain the
temperature of the base metal as required and as shown on the plans. Provide approved
equipment, temperature indicator sticks, infrared thermometer, etc., for checking preheat and
interpass temperatures at all times while welding is in progress. Provide welding equipment
meeting the requirements of the approved welding procedure specifications (WPS), if required ,
and capable of making consistent high-quality welds.
Article 448.4.B.2.Certified Steel Structures Welder. The second bulleted item is voided and
replaced by the following:
• Use metal for test plates that meets Item 442, "Metal for Structures," with a minimum
yield point of 36 ksi. The minimum width oftest plate must be sufficient to accommodate
the radio graph inspection of 6 continuous inches of the weld, not counting the ends of the
weld.
Article 448.4.C.5. Welding Practice. The second paragraph is voided and replaced by the
following:
Use the stringer-bead technique where possible for groove welds. In vertical welding passes ,
progress upward using a back-step sequence keeping the end of the low-hydrogen electrode
contained within the molten metal and shield of flux, unless the electrode manufacturer 's
specifications indicate otherw ise
Article 448.4.C.7. Radiographic Inspection is supplemented by the following:
Meet the requirements specified in Section 441.3 .B.5.a, "Radiographic Testing" for radiograph
film quality.
1-1 448---002
06-09
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 F is 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 re spect 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 follo w ing:
Sieve#
4
100
200
Table 1
Sand Gradation
1-1
Retained(% by Wei2ht)
MAXIMUM3%
MINIMUM80%
MINIMUM95%
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
2004 Specifications
SPECIAL PROVISION
628---001
Electrical Services
For this project, Item 628, "Electrical Services," 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 628.5. Payment, A. Installation is voided and replaced by the following:
A. Installation. Except as provided for in the following paragraph, this price is full
compensation for paying all fees, permits, and other costs; making arrangements with the utility
company for all work and materials provided by the utility company; furnishing, installing, and
connecting all components including poles, service supports, foundations, anchor bolts, riprap,
enclosures, switches, breakers, conduit (from the service equipment including the elbow below
ground), fittings, conductors (from the service equipment including the elbow below ground),
brackets, bolts, hangers, and hardware; and equipment, labor, tools, and incidentals.
Costs for utility-owned power line extensions, connection charges, and meter charges will be
paid for by the Department. The Department will reimburse the contractor only the amount
billed by the utility plus bond cost. No additional compensation will be paid for overhead,
superintendence, profit, administrative costs, or supervision of the utility's work.
1-1 628---001
08-09
TXDOT
SPECIAL SPECIFICATIONS
2004 Specifications
SPECIAL SPECIFICATION
4488
Stress Ribbon
CSJ 7107-09-004
1. Description. Furnish, store, and handle post-tensioning materials and perform post-
tensioning of stress ribbon steel. For this Item, the following definitions apply:
• Post-Tensioning. The application of post-tensioning force to the stress ribbon
steel after the stress ribbon steels are in place and securely anchored to the
supporting structures .
• Stress Ribbon Steel. A steel plate used to apply post-tensioning force to support
the precast deck units.
• Post-Tensioning System. A complete stress ribbon steel w ith bearing plates, butt
plate, splice plates, flange plates, steel shims, built-in parts , neoprene pads,
structural bolts, coating materials, and all other necessary hardware . Stressing
sequence of post-tensioning system shall be in accordance to the plans.
2. Materials. Unless noted otherwise on the plans, furnish materials that meet
requirements of the following Items:
• Item 420, "Concrete Structures"
• Item 434, "Elastomeric Bridge Bearings"
• Item 442 , "Metal For Structures"
• Item 446, "Cleaning and Painting Steel"
• Item 447, "Structural Bolting"
• Item 448 ; "Structural Field Welding"
A. Post-Tensioning Hardware. Furnish post-tensioning hardware that meets the
manufacturer 's specifications and requirements as specified on the plans.
B. Stress Ribbon Steel. Furnish stress ribbon steel conforming to the following
type: ,4<;'fM A t5l.
• 1 '-8 " x 1 %'' ASTM A 5 gQ , grade 70 steel plate.
No alternative material is allowed unless approved by the engineer of record.
C. Post-Tensioning System. Furnish a post-tensioning sy stem as required b y this
Item and the plans. The system must provide the magnitude and distribution of
post-tensioning force and ultimate strength required by the plans without
ex ceeding allowable temporary stresses of the steel plates and the supporting
structures .
1-4 4488
09-09
3. Equipment.
Post-Tensioning Equipment. Unless noted otherwise on the plans, provide post-
tensioning equipment, as required, in accordance with Item 426, "Prestressing."
Construction. Before stressing, furnish certified copies of load calibration curves on
all jacks and gauge systems to be used in the work.
A. Required Submittals. Submit the post-tensioning details on 11 in. 17 in.
sheets. Design calculations may be on standard letter-size sheets. Submit 7 sets
of the post-tensioning details and 3 sets of design calculations for approval.
1. Design Calculations. Provide design procedures, coefficients, allowable
stresses, and stress ribbon steel details in accordance with the AASHTO
LRFD Bridge Design Specifications unless otherwise shown on the plans.
Submit sufficient calculations to support the proposed system and method of
post-tensioning including friction loss and seating loss diagrams. When the
required jacking force is furnished as shown on the plans, do not submit
design calculations except to adjust for conditions different from those
shown on the plans.
2. Post-Tensioning Details. Provide drawings with details of steel ribbon with
bearing plates, butt plate splice plates, flange plates, steel shims, built-in
parts, neoprene pads; jacking forces; lubrications; seating loss; end
anchorage systems; stress steel ribbon profile; total elongation; measurable
elongation; and other information necessary to complete the work. Adjust
calculations for elongation based on the modulus of elasticity given for the
stress ribbon steel or, when a bench test is specified, the apparent modulus
derived from the bench test.
Submit a numbered layout and a step-by-step stressing sequence for the
stress ribbon steel. Make complete provisions for each stressing operation
beginning with stress ribbon steel installation and ending with removal of
any excess material. Furnish all stress ribbon stressing data for each
structure in tabular form.
Include in the post-tensioning details the final profile of the stress ribbon
steel.
Submit post-tensioning details reflecting the following general tensioning
procedure, modified for this particular installation:
• Do not allow the modulus of elasticity to vary by more than 1 %
• Tension the stress ribbon steel in the sequence designated in the approved
post-tensioning details.
• Apply initial tension, to take the slack out of the stress ribbon steel,
between 10% and 20% of the final load.
• Reference-mark the tendons to determine elongation after the initial
tensioning.
• Measure the elongations to determine stress ribbon steel acceptance after
tensioning to the specified jacking force. Anchor stress ribbon steel after
acceptance.
2-4 4488
09-09
B. Project Samples.
1. Stress Ribbon Steel Samples. Unless otherwise shown on the plans, the
Department will sample and test stress ribbon steel for ultimate strength.
These samples will be taken according to Tex-710-1. Submit a certification
stating the manufacturer's guaranteed ultimate tensile strength and modulus
of elasticity with each stress ribbon steel sample . If the test results indicate
the need for check tests, furnish additional samples without cost to the
Department.
C. Packaging, Storing, and Handling of Stress Ribbon Steel. Protect stress
ribbon steel against physical damage and rust or other results of corrosion, from
manufacture to final installation. Stress ribbon steel with physical damage and
rust or other results of corrosion will be rejected.
Package stress ribbon steel in containers or shipping forms for protection from
physical damage and corrosion during shipping and storage. A corrosion
inhibitor must be:
• placed in the package or form,
• incorporated in a corrosion inhibitor carrier type packaging material, or
• applied directly to the steel when permitted.
The corrosion inhibitor must not have deleterious effect on the steel, concrete,
Inhibitor carrier-type packaging material must conform to the provisions of
federal specification MIL-PRF-3420G. Immediately replace damaged
packaging or forms, or restore them to original condition.
Have the shipping package or form clearly marked with the corrosion inhibitor
type, packaging date, and a statement that the package contains high-strength
stress ribbon steel.
Handle stress ribbon steel carefully to avoid abrading, nicking, or kinking.
Protect stress ribbon steel from damage and corrosion by storing it above the
ground on platforms, skids, or other approved supports. Any pitting or tightly
adhering rust on stress ribbon steel will be cause for rejection of the steel. Do
not weld or torch-cut near any stress ribbon steel, so that it is not exposed to
weld spatter, direct heat, or short-circuited current flow.
D. Installation for Stress Ribbon Steel. Field weld stress ribbon steels. Weld
materials and size shall be according to the plans. Unless otherwise noted on the
plans, welds shall be inspected per Item 448, "Structural Field Welding".
Securely tie stress ribbon steel in position, and carefully inspect and repair as
necessary before stressing. After stressing, the final ribbon profile shall be in
vertical and horizontal tolerance of ±1/4 in, after adjusted for dead load
deflections from the bridge deck. If an additional post-tensioning force of more
than 15% of specified initial post-tensioning force is required, approval from
engineer of record is required.
E. Stress Ribbon Steel Coating. Unless otherwise noted on the plans, provide
coating materials, as required, in accordance with Item 446, "Cleaning and
Painting Steel."
3-4 4488
09-09
F. Field Welding. Unless otherw ise noted on the plans, field welding of stress
ribbon steel, as required, shall be in accordance with Item 448 , "Structural Field
Welding."
5. Measurement. This Item w ill be measured by the pound of Stress Ribbon Steel
furnished and placed in a complete structure not including the weight of end
anchorages, bearing plates, bolts, paint, or weld metal, which are considered
subsidiary to this pay item . This is a plans quantity measurement Item. The quantity
to be paid is the quantity shown in the plans. Additional measurements or
calculations will be made if adjustments of quantities are required. The maximum
percent variance from the plans quantity for which no adjustment will be made will
be as shown in Table 1. If the Engineer approves requests for increases in sizes or
w eights of members, measurement will be made on the sizes or weights shown on the
revised plans.
Table 1
Percent Variance
Plans Quantity
> 1,000 ,000 lb
100,000 lb-1 ,000,000 lb
< 100 ,000 lb.
Percent
1/2
1
1-1/2
6. 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 "stress ribbon steel ". This price is full compensation for stress ribbon steel,
fabrication , transportation, erection, post-tensioning, end anchorages, bearing plates,
equipment, labor, materials, tools, and incidentals. Materials furnished for testing will
not be paid for directly.
4-4 4488
09-09
2004 Specifications CSJ 0902-48-698
SPECIAL SPECIFICATION
4490
Prefabricated Deck Unit
1. Description. Fabricate and install prefabricated deck units on stress ribbon s .
2. Materials. Use materials that meet requirements of the following Items:
• Item 420 , "Concrete Structures"
• Item 421 , "Hy draul ic Cement Concrete"
• Item 424, "Precast Concrete Structures (Fabrication)"
• Item 434, "Elastomeric Bridge Bearings"
• Item 440 , "Reinforcing Steel"
• Item 442 , "Metal for Structures"
• Item 447, "Structural Bolting"
3. Design. The deck unit details are shown on the plans. If the details are altered , the
contractor is responsible for the new design and the cost associated with it. The new design
shall be signed and sealed by a professional engineer registered in the State of Texas. In such
case, shop drawing shall be submitted and approved by the engineer of record.
4. Fabrication. Fabrication shall be in accordance with Item 424.
5. Construction. Install the prefabricated deck unit in accordance w ith the following Items:
• Item 420 , "Concrete Structures"
• Item 424, "Precast Concrete Structures (Fabrication)"
• Item 441 , "Steel Structures"
6. Measurement. This Item will be measured by the square foot of the deck units installed.
7. Payment. The work performed and materials furnished in accordance with this Item and
measured under "Measurement" w ill be paid for at the unit price bid for "Prefabricated Deck
Unit" of the area specified. This price is full compensation for de sign, fabrication , transport,
installation and final finishing ; and for equipment, labor, tools, and incidentals. Installation
includes but not limited to anchor plates, anchor bolts, neoprene strips, grout, locking screw
and built-in parts.
1-1 4490
09-09
2004 Specifications CSJ 0902-48-698
SPECIAL SPECIFICATION
4522
Post-Tensioned Drilled Shaft Foundations
1. Description. Construct foundat ions consisting of reinforced concrete post-tensioned drilled
shafts with or without bell footings .
2. Materials. Use materials that meet the requirements of the follo w ing Items:
• Item 421 , "H ydraulic Cement Concrete"
• Item 440 , "Reinforcing Steel "
• Item 426 , "Prestressing"
Unless otherwise shown on the plans, use concrete for drilled shafts that meets the
requirements of Table 1.
Table 1
Concrete for Drilled Shafts
Drilled Shaft T e Concrete
Reinforced and Post-Tensioned Class F
Use coarse aggregate Grade 2 , 3 or 4 for drilled shaft concrete.
Use a water-reducing, retarding admixture in accordance with DMS-4640, "Chemical
Admixtures for Concrete," in all concrete when using casing that will be pulled or when
placing shafts underwater or under slurry.
Use concrete w ith slump that meets the requirements of Table 2 as determined by
Tex-415-A.
Table 2
SI R ump eQU1rements
Minimum Recommend Maximum
Acceptable ed Design Acceptable Placement Type Placement and Placement
Slump, in. Placement Slump, in. Slump, in.
Dry 5-1/2 6-1/2 7-1/2
Underwater and 7 8 9 under slurry
When casing is to be pulled or when concrete is to be placed underwater or under slurry ,
perform a slump loss test in accordance with Tex-430-A before beginning work. Provide
concrete that will maintain a slump of at least 4 in. throughout the entire anticipated time of
concrete placement. Time of concrete placement is described in Sections 998.3.F,
"Concrete," and 998.3 .G, "Additional Requirements for Slurry Displacement or
Underwater Concrete Placement Methods." Note the temperature of the concrete mi x at the
beginning of the slump loss test.
1-6 4522
02-10
If concrete temperature at the time of placement into the drilled shaft is more than 10°
higher than the slump loss test temperature, do not place the concrete. Use ice or other
concrete cooling ingredients to lower concrete temperature, or run additional slump loss
tests at the higher temperatures. Slump loss testing will be waived if anticipated time of
concrete placement is less than 90 minutes.
Use drilling slurry that meets the requirements of Table 3, as determined by Tex-130-E.
SI urry
Before
Introduction into
the Excavation
Specific Sand
Gravity Content
~ 1.10 . ~ 1%
Table 3
R eqmrements
Sampled from the Bottom of
the Excavation before
Con cretin£
Specific Viscosity Sand
Gravity (seconds Content
)
~ 1.15 ~45 ~6%
Use mineral slurry consisting of processed bentonite or attapulgite clays mixed with clean
fresh water. Do not use PHP A (partially hydrolized polyacrylamide) polymeric slurry or
any other fluid composed primarily of a polymer solution.
Before placing concrete, sample slurry from the bottom of the hole, and test it in
accordance with Tex-130-E. Use a pump or air lift to remove slurry that does not meet the
requirements of Table 3 while adding fresh clean slurry to the top of the hole to maintain
the slurry level. Continue this operation until the slurry sampled from the bottom of the
hole meets the requirements.
3. Construction. Place the shaft to within the following tolerances.
• Vertical plumbness -1 in. per 10 ft. of depth.
• Center of shaft located under column -1 in. of horizontal plan position.
• Center of shaft located under footing -3 in. of horizontal plan position.
Complete the embankment at bridge ends before installing drilled shafts that pass through
the fill. Refer to Item 423, "Retaining Walls," for provisions for drilled shafts passing
through the structural volume of retaining walls.
A. Excavation. The plans indicate the expected depths and elevations for encountering
satisfactory bearing material. Excavate as required for the shafts and bell footings
through all materials encountered to the dimensions and elevations shown on the plans or
required by the site conditions. Removal of man-made obstructions not shown on the
plans will be paid for in accordance with Article 9.4, "Payment for Extra Work." If
satisfactory founding material is not encountered at plan elevation, adjust the bottom of
the shaft or alter the foundation, as determined by the Engineer, to satisfactorily comply
with design requirements. Blasting is not allowed for excavations .
If caving conditions are encountered, stop drilling and adopt a construction method that
stabilizes the shaft walls .
Do not excavate a shaft within 2 shaft diameters ( clear) of an open shaft excavation, or
one in which concrete has been placed in the preceding 24 hours .
2-6 4522
02-10
Dispose of material excavated from shafts and bells and not incorporated into the finished
project. Dispose of excavated material in accordance with the plans and with federal,
state, and local laws.
Provide suitable access, lighting, and equipment for proper inspection of the completed
excavation and for checking the dimensions and alignment of shafts and bell excavation.
B. Core Holes. If directed, take cores to determine the character of the supporting
materials . Use a method that will result in recovery of an intact sample adequate for
judging the character of the founding material. Such cores should be at least 5 ft. deeper
than the proposed founding grade or a depth equal to the diameter of the shaft, whichever
is greater. Take these cores when the excavation is approximately complete.
C. Casing. Use casing when necessary to prevent caving of the material or to exclude
ground water. Provide casing with an outside diameter not less than the specified
diameter of the shaft. Use casing strong enough to withstand handling stresses and
pressures of concrete and of the surrounding earth or water, and that is watertight,
smooth, clean, and free of accumulations of hardened concrete.
Drill the portion of the shaft below the casing as close as possible to the specified shaft
diameter. The portion of shaft below the casing may be as much as 1 in. smaller than the
specified shaft diameter.
Use construction methods that result in a minimal amount of disturbed soil being trapped
outside the casing. This does not apply to temporary undersized casings used to protect
workers inside shafts or to drilled shafts designed for point bearing only .
Do not leave any casing in place unless authorized or shown on the plans. Do not extract
casing until after placing the concrete to an appropriate level. Maintain sufficient
concrete in the casing at all times to counteract soil and water pressure. Before and during
concrete placement, rotate or move the casing up or down a few inches if necessary to
facilitate extraction of the casing.
D. Requirements for Slurry Displacement Method. Unless otherwise shown on the
plans, the slurry displacement method may be used to construct drilled shafts. Use this
method to support the sides of the excavation with processed mineral slurry that is then
displaced by concrete to form a continuous concrete shaft.
Do not use casing other than surface casing. Do not use surface casing longer than 20 ft.
without approval. Do not extract the surface casing until after placing the concrete.
For slurry mixed at the project site, pre-mix it in a reservoir of sufficient capacity to fill
the excavation and for recovery of the slurry during concrete placement. Do not mix
slurry in the shaft excavation or other hole. Allow adequate time for hydration of the
slurry prior to introduction into the excavation.
During and after drilling maintain a head of slurry in the shaft excavation at or near
ground level or higher as necessary to counteract ground water pressure.
Just before placing reinforcing steel , use an air lift or proper size cleanout bucket to
remove any material that may have fallen from the sides of the excavation or
accumulated on the bottom after the completion of drilling. Use a cleanout bucket if
material is too large to be picked up with an air lift.
If concrete placement is not started within 4 hours of the completion of the shaft
excavation, reprocess the hole with the auger as directed. Then clean the bottom with an
air lift or clean out bucket, and check the slurry at the bottom of the hole for compliance
with the slurry requirements of Article 998 .2, "Materials."
3-6 4522
02-10
If the slurry forms a gel before concrete placement, agitate the congealed slurry to
liquefaction just before concrete placement and whenever directed.
Recover and dispose of an slurry as approved by the Engineer, and in accordance with all
federal, state, and local laws. Do not discharge slurry into or in close proximity to streams
or other bodies of water.
E. Reinforcing Steel. Completely assemble the cage of reinforcing steel and post-
tensioning tendon, and place it as a unit immediately before concrete placement. The
cage consists of longitudinal bars and lateral reinforcement (spiral reinforcement, lateral
ties, or horizontal bands).
If the shaft is lengthened beyond plan length, extend the reinforcing steel cage as follows,
unless directed otherwise:
• 2 '-6" diameter post-tensioned drilled shaft may be spliced with threaded re bar
coupler as required. Install reinforcing and post-tensioning as indicated in the drawings.
Do not weld reinforcing.
Tie spiral reinforcing to the longitudinal bars at a spacing of at most 24 in., or as required
for a stable cage . Lap splice spiral reinforcing a minimum of 48 bar diameters, as
required. Provide spiral reinforcing per the drawings.
Center the reinforcing steel cage in the excavation using approved centering devices. Use
enough devices to hold the cage in position along its entire length. Do not use square
concrete spacer blocks in cased shafts.
Support or hold down the cage to control vertical displacement during concrete
placement or extraction of the casing. Use support that is concentric with the cage to
prevent racking and distortion of the steel.
Check the elevation of the top of the steel cage before and after concrete placement or
after casing extraction when casing is used. Movement of cage shall not occur during
extraction.
F. Concrete. Perform all work in accordance with requirements ofltem 420, "Concrete
Structures ." Mass concrete placement requirements do not apply to drilled shafts.
Form portions of drilled shaft that project above natural ground.
Remove loose material and accumulated seep water from the bottom of the
excavation before placing concrete. If water cannot be removed, place concrete using
underwater placement methods.
Place concrete as soon as possible after all excavation is complete and reinforcing steel is
placed. Provide workable concrete that does not require vibrating or rodding. Vibrate
formed portions of drilled shafts.
Place concrete continuously for the entire length of the shaft. For dry shafts of 24 in. or
smaller diameter, limit free fall of concrete to 25 ft. Use a suitable tube or tremie to
prevent segregation of materials . Use a tube or tremie in sections to provide proper
discharge and to permit raising as the placement progresses. For dry shafts over 24 in.
diameter, concrete can be allowed to free fall an unlimited distance if it does not strike
the reinforcing cage or sides of the hole during placement. When free fall is used, provide
a hopper with a minimum 3-ft.-long drop tube at the top of the shaft to direct concrete
vertically down the center of the shaft. Do not use a shovel or other means to simply
deflect the concrete discharge from the truck.
For cased shafts, maintain a sufficient head of concrete at all times above the bottom of
the casing to overcome hydrostatic pressure. Extract casing at a slow, uniform rate with
the pull in line with the axis of the shaft.
4-6 4522
02-10
Monitor the concrete level in the casing during extraction. Stop the extraction and add
concrete to the casing as required to ensure a completely full hole upon casing removal.
The elapsed time from the mixing of the first concrete placed into the cased portion of the
shaft until the completion of extraction of the casing must not exceed the time for which
the concrete maintains a slump of over 4 in. in accordance with Article 998.2 ,
"Materials." If the elapsed time is exceeded, modify the concrete mix, the construction
procedures, or both for subsequent shafts.
Cure the top surface and treat any construction joint area in accordance with Item 420 ,
"Concrete Structures."
G.Additional Requirements for Slurry Displacement or Underwater Concrete
Placement Methods. Place concrete on the same day that the shaft is excavated and as
soon as possible after all excavation is complete and reinforcing steel is placed. Use· an
air lift or clean out bucket of the proper size to clean the bottom of the excavation prior to
placing the reinforcing steel cage and concrete. Place concrete through a closed tremie or
pump it to the bottom of the excavation. Initially seal the tremie or pump line to
positively separate the concrete from the slurry or water. Place concrete continuously
from the beginning of placement until the shaft is completed. If using a tremie, keep it
full of concrete and well submerged in the previously placed concrete at all times. Raise
the tremie as necessary to maintain the free flow of concrete and the stability of any
casing used. If using a pump, keep the discharge tube submerged in the previously placed
concrete at all times. Place additional concrete to ensure the removal of any contaminated
concrete at the top of the shaft. At the completion of the pour, allow the top portion of
concrete to flush completely from the hole until there is no evidence of slurry or water
contamination. Do not attempt to remove this concrete with shovels, pumps or other
means. Level the top of shaft with hand tools as necessary.
Use a sump or other approved method to channel displaced fluid and concrete away from
the shaft excavation. Recover slurry and dispose of it as approved. Do not discharge
displaced fluids into or in close proximity to streams or other bodies of water. For pours
over water, provide a collar or other means of capturing slurry and the top portion of
concrete flushed from the shaft.
If concrete placement is interrupted due to withdrawal of the submerged end of the tremie
or pump discharge tube before completion, remove the tube, reseal it at the bottom,
penetrate with the tube into the concrete already placed by at least 5 ft., and recharge it
before continuing.
The elapsed time from the mixing of the first concrete placed until the completion of
concrete placement, including extraction of the casing, must not exceed the time for
which the concrete maintains a slump of over 4 in. in accordance with Article 998.2,
"Materials." If the elapsed time is exceeded, modify the concrete mix, the construction
procedures, or both for subsequent shafts.
H. Test Load. Not required.
4. Measurement.
Drilled Shaft. Drilled shaft foundations will be measured by the foot to the bottom of the
shaft.
Core Hole. Core holes will be measured by each .core hole drilled.
5. Payment. The unit prices bid for the various classifications of drilled shafts and bell
footings will be full compensation for excavation; furnishing , placing, and removing
casing; furnishing, processing, and recovering slurry; pumping; furnishing , and placing
5-6 4522
02-10
reinforcing steel; furnishing and placing concrete, including additional concrete required to
fill an oversize casing or oversize excavation; conducting slump loss tests; backfilling;
disposing of cuttings and slurry; and materials, tools , equipment, labor, and incidentals.
When the bottom of a drilled shaft is placed at an elevation below plan grade, no direct
payment will be made for extra reinforcement placed to support the cage. The extra
reinforcement will be considered subsidiary to the price bid per foot of shaft. No extra
payment will be made for casings left in place.
No payment will be made for "Bell Footing" or "Drilled Shaft" until the concrete has been
placed.
Drilled Shaft. 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
"Drilled Shaft (Post-Tensioned)" of the specified diameter, subject to the limitations for
overruns authorized by the Engineer given in Section 998.5 .A.1, "Overrun."
1. Overrun. Payment for individual completed shaft lengths up to and including 5 ft. in
excess of the maximum plan length shaft, as defined in Section 998.5 .A.2, "Maximum
Plan Length Shaft," will be made at the unit price bid per foot of the specified diameter.
Payment for the portion of individual completed shaft length in excess of 5 ft. and up to
and including 15 ft. more than the maximum plan length shaft, as defined in this Item,
will be made at a unit price equal to 115% of the unit price bid per foot of the specified
diameter.
Payment for that portion of individual completed shaft length in excess of 15 ft. more
than the maximum plan length shaft, as defined in Section 998.5.A.2, will be made at a
unit price equal to 125% of the unit price bid per foot of the specified diameter.
2. Maximum Plan Length Shaft. Payment described above is subject to the following
provisions for extra depth drilling:
•For bridge structures, the maximum plan length shaft is the maximum length shaft,
regardless of diameter, for any drilled shaft on that specific bridge.
Core Hole. Core holes will be paid at $125 each.
6-6 4522
02-10
2004 Specifications
SPECIAL SPECIFICATION
5049
Biodegradable Erosion Control Logs
1. Description. Furnish , install, maintain, and remove biodegradable erosion control logs as
shown on the plans or as directed.
2. Materials.
A. Core Material. Furnish core material that is biodegradable or recyclable. Except
where specifically called out in plans, material may be compost, mulch, aspen
excelsior wood fibers , chipped site vegetation, agricultural rice or wheat straw,
coconut fiber , I 00% recyclable fibers , or any other acceptable material. No more
than 5% of the material is permitted to escape from the containment mesh.
Furnish compost, meeting the requirements of Item 161 , "Compost."
B. Containment Mesh. Furnish containment mesh that is 100% biodegradable,
photodegradable or recyclable such as burlap, twine , UV photodegradable plastic,
polyester, or any other acceptable material.
i. Furnish biodegradable or photodegradable containment mesh when log
will remain in place as part of a vegetative sy stem.
ii. Furnish recyclable containment mesh for temporary installations.
C. Size. Furnish biodegradable erosion control logs with diameters shown on the
plans or as directed. Stuff containment mesh densely so logs do not deform .
3. Construction. Install biodegradable erosion control logs near the downstream perimeter
of a disturbed area to intercept sediment from sheet flow. Incorporate the biodegradable
erosion control logs into the erosion control measures used to control sediment in areas of
higher flow. Install, align, and locate the biodegradable erosion control logs as specified
below, as shown on the plans, or as directed.
A. Anchoring. Secure biodegradable erosion control logs in a method adequate to
prevent displacement as a result of normal rain events and to the satisfaction of
the Engineer and such that flow is not allowed under the logs .
B. Maintenance. Inspect and maintain the biodegradable erosion control logs in
good condition (including staking, anchoring , etc.). Maintain the integrity of the
control, including keeping the biodegradable erosion control logs free of
accumulated silt, debris, etc ., until permanent erosion control features are in place,
or the disturbed area has been adequately stabilized. Perform in accordance with
Section 506.4.C , "Installation, Maintenance and Removal Work." Stabilize the
areas damaged by the remo val process using appropriate methods as approved.
1-2 5049
1-05
Repair or replace damaged biodegradable erosion control logs as required and as
directed. Temporarily remove and replace biodegradable erosion control logs as
required to facilitate w ork. Remo ve sediment and debris when accumulation
affects the performance of the devices , after a rain , and w hen directed. Dispose of
sediment and debris at an approved site in a manner that will not contribute to
additional siltation .
C. Removal. Remove biodegradable erosion control logs when directed .
4. Measurement. This Item will be measured by the linear foot along the centerline of the
top of the control logs .
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
"Biodegradable Erosion Control Logs," of the size specified. This price is full
compensation for furnishing , .placing, maintaining, temporaril y removing and replacing
as required to facilitate construction operations, and removing of the biodegradable
erosion control logs and for all other materials, labor, tools , equipment, and incidentals.
Removing accumulated sediment deposits, as described under "Maintenance," will be
measured and paid for under Item 506, "Temporary Erosion, Sedimentation, and
Environmental Controls."
Stabilization (as described under "Maintenance") will be measured and paid for under the
various pertinent bid items.
2-2 5049
1-05
2004 Specifications CSJ 0902-48-698
SPECIAL SPECIFICATION
8405
Lighting and Electrical System
1. Description. Furnish materials, equipment and incidentals necessary to install lighting and
electrical sy stem for the Lancaster A venue Pedestrian Bridge.
2. Materials. Provide new materials that comply with the details show n on the plans, the
requirements of this Item, and the pertinent requirements of the following Items:
• Item 616 , "Performance Testing of Lighting Systems"
• Item 618 , "Conduit"
• Item 620 , "Electrical Conductors"
• Item 624 , "Ground Boxes"
• Item 628 , "Electrical Services"
Provide new materials from manufacturers prequalified by the Department as shown on the
Texas Department of Transportation 's (TxDOT) material producer list. Category is "Roadway
Illumination and Electrical Supplies." No substitutions will be allowed for materials found on
this list.
A. Electrical Service. Furnish new materials that meet NEC requirements and comply
with DMS-11080 , "Electrical Services."
B. Conduit. Furnish new materials that comply with DMS-11030 , "Conduit".
C. Electrical Conductors. Furnish new materials that comply with DMS-11040 ,
"Electrical Conductors."
D. Ground Boxes. Furnish new materials that comply with DMS-11070, "Ground
Box es."
E. Grounding. Provide ground rods, grounding conductors and fittings as required and
sized per the NEC :
• Ground conductor shall be bare tinned copper grounding conductor and sized per
NEC requirements .
• Ground rods shall be 1 O' copper-clad with minimum of 3/4" diameter.
F. Light Fixtures. Provide light fixtures and accessories:
1. Fixture Type "A". Fixture shall be one of the following approved manufacturer
catalog numbers. Provide mounting hardware as recommended by the fi xture
manufacturer.
• TILTLED-30-200CM-CW-240V-CHP as manufactured by Schreder
1-2 8405
11-09
• iW Reach Po wercore 4000K, Half Unit, 40° Spread as manufactured by Phillips
• LT2412W25DRDVCSS as manufactured by Holophane
2. Fixture Type "B". Fi xture shall be one of the following approved manufacturer
catalog numbers . Provide mounting hardw are as recommended by the fi xture
manufacturer.
• NOCTIS/LINEA-DIRECT-40CM-CW-240VOLT as manufactured by Schreder
• ETRl 49 -LED as manufactured by WE-EF Lighting USA
• LT246WW45DSDVFA6 LT6912GRS LTILC as manufactured by Holophane .
G. Electronic Timer: Provide an Astronomic 7-day time switch capable of switching two
circuits independently. The timer shall operate on 120V, 60Hz. The lighting circuits
shall be installed in such a manner that the photocell switches the lights per TxDOT
light level specifications during the active park hours. The electronic timer shall switch
off the lights during hours when the park is closed . Coordinate with the Owner 's
representativ e for exact switching schedule.
H. Equipment Mounting: Provide galvanized steel plate and galvanized steel unistrut
supports as required for mounting equipment as indicated on plans.
3. Construction. Perform w ork and install new material in accordance with the details shown
on the plans , and the requirements of this Item. Ensure components of the electrical system meet
the requirements of the Electrical Detail Standards. Follow the NEC and local utility company
requirements when installing the electrical equipment. Coordinate the utility companies' work
for providing service
4. Measurement. This item will be measured as a lump sum.
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 "Lighting
and Electrical System". This price is full compensation for furnishing and installing the
electrical service, astronomical 7-day time switch, photocell, conduit, conductors, ground boxes,
ground rods, all Ty pe "A " and Type "B " light fixtures , all materials, equipment, labor, tools, and
incidentals necessary to provide a fully functional lighting and electrical system as shown on the
plans.
2-2 8405
11-09
USDOT
SPECIAL PROVISIONS
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
Page
I. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . t
ll. Nondilcrmnatlon ..................... , , ,' . . . . . 1
Ill . ~ FacilitiN . .. .. .. . .. .. . . . .. .. .. .. 3
IV. Payment of PreclltemirWd Minimum Wage . . . . . . . . . . . 3
V. ~sand Payrolls ....................... , 6
VI. Rec:«d ofMltnllt, Suppllll, and Labor . . . . . . . . . . . . 8
VII. Subltilting or Aaslgning t!le Contract .. . .. . . .. .. .. . . . 7
VIII . Safaty: Accident Pr9wntion . .. .. . . . .. .. . . . .. . .. .. 7
IX . r11N Stataments Concerning H!Qhwa,' Prcjlcts . . . . . . . 7
X. hnpllllMllbClon at CINn A ir Act -'Cl Fedn
Water Pallutlon Control Act .. . .. . .. . .. .. .. .. . . . .. II
XI. Ceitlftca!Jon Regarding l)ebarment, &Jspenalon,
lnlligtbilily, and Valunlllry Exduaion . . . . . . . . . . . . . . . . 8
Xll. C.rttrlcat1on Regarding UN of Contract Funds for
Lobbying .... " ... " " " " .. . .. . . .. .. . .. . . . . . . . 5l
ATTACHMENTS
I, GENERAL
1 . Tlw conlrac:I prcM1iona lhall apply to dwortc pe1fc:c ii ,eel on the
contract t,v lhl contractor'• own arganiZatlon and with the IIMlattnca of
'Mlrlcarl under the CCll.nc:tar'I Immediate suparrnndence and to Ill
wor'lr pertormed on the contraot by pleQMan{, lbltilx1 wtn:, or by
IUbc:ontract .
2. Eiapt • otherWiae pn;,vided for In wll section, the contractot
at-.11111..t In IKtl IUbconlnct II of the ltlpulltlonl contained In thae
Reqi.irad Cornet Provilllcnl, and further requira tnelr inelulion in 1/'i
loww lier u,comac:t or~ order that may h tum be mlde. The
Required Contract Provllllonl 1h11 not be lncorparattd by raference in
..,., cae. The prime corb'adof l9tlllA 1:11 rnponsllll for complience by
My IUbcol mctor or 1oMr t1w tubc:Ol itractor wttt, th-Requncl
Ccriract Provi8iona.
3. A breach ol alff of the ltlpl.llldiona contand In theH Required
Ccnrect Provisions shll be sufflcient grtl!.nda kif twmineticn of the
CCll"llnlcl
4 . A breach of the folawlng clauul of the Reqwed Contracl
Pl'GYialon8 ffllY no be grounds for deblnnlnC n prcMded in 29 CFR
5.12:
Section '· parlgl'lilJh 2; Section IV, pngraphs 1, 2, 3, 4, and 7;
Section V, .-.s,llpha 1 and 211 lhrough 2g.
S. D18pna lftslna ou1 of the labor atandarda prOYlllons ol Section
IV (except paragraph 5) and Sactlon V of thne Reqund Connet
PnMelona lhlll nal be IUbjKt lo the general dlaplaaa clause of this
canlJact. SUch dlapulN MIii be ni8Glv9cl In ~ Mh the
~ d 1he U.S. Depertmn of Labor (DOl) N Ht Cath In 29
CFR 5, 8, and 7. Dlsput• w1tnin the meaning of 1h18 clause Include
dlspulN betweenthecotmcla' (or q of llseubcontrac:ttn) and the
conlractlng agency , the COL, t11 the contractor'• employeN or their
nipmentatlYN.
----------
8 Selection of Llbor. D\Aing the performance of this contract , the
contractor lhlli not
1. dilcrimNte againal labor from any otn.r State , poesesliOn ,
er tfflitory of the United States (ocept for employment preferenc. for
Ap~achilln contracts , when applicable , n specified In Attachmert A),
Of
b. employ convict labor ror any purpose wMhn the limit!! of the
project unless l ii labor performed by convldl Who are on pll'Dle,
auperviMd rele ... , OI' pl'Obatlon ,
L NONDISCRIMINATION
(Applicable to d Faderal-aid construction conncta and to IY related
subcontracts of $10,000 or more .)
I . l!qual EmploylMnt Oppartunily: Equal empioyrnn opportu-
nity (EEO) requiwnentl not to dlacrimlnal9 and to tak9 afflrmetivt1
action to nauni equal ~nity n Ht fOl1h under laws, executive
ordera, Nle8 , r.gulltions (28 CFR 35, 29 CFR 1830 and 41 CFR 90)
and orders of the Secretary of Labor • modfled by the provision•
pmert)ed herein , and lmpoeed pursuant to 23 U.S.C. 140 shal
constitule the EEO and specific lfflrmltlve action standm'ds for the
contrlctor's project ICtivllN underltria c;cntnlCt The Equal Oppoctunity
Cc:ntructlon Contn.ct Spedffcltlons HI forth lnMI' 41 CFR fiCM .3 and
the pml&lons of !he American Dlubilitin Act of 1990 (42 U.S.C .
12101 ~ !!9.) Nt lorth !rider 28 CFR ~ and 29 C'FR 1830 art
lncorpcnled b¥ niJeNnce In this contract . In the axecullon of this
connct, the conlrlclor
1
1gn1N to comply with the folowing minimum
apeciflc requlremert actlvtln or EEO:
a. The concractorwlllwoncWllhttieStlt• highway agency (SHA)
and lhe Federal Gowrnmenl In c:anying cxl EEO obligations and nthelr
r8Yllw of his/her activities under the contnic:t .
b. The cantra<:torwlll aet:ep( .. hi• operating policy the following
statement:
'11 IS the policy of !hit Company to .-n lnlt 1pplclnts .-e
employed, arid that employeee are truted during ~.
wittKu regard to their race, rlllgion, NX, color, nation II origin, age
or dlublllly. Such actlan shell Inch.Ide : employment, upgradilg,
demotion, or transfer, recruitment or rtc:Nitl'nent lldwrllw,g; layoff
cr l•11 •tat1un : rates or pay or olher forms of compenutlon; end
Mlection for training, lncludlng appn11'1tk*hlp , pmpprentlce8tiip ,
and/or on-lhe-job trairil'l9 . •
2. EEO Officer. The cutt,actor wil dllllgnllte and INQ known to
the SHA ccntnlctlng offlcers en EEO Omc.who Wl l llr.oe lhe respor,51-
billty kif and must be C8')8ble of effectlvely administering and promotilg
an active contractor program of EEO a who must be nsigned
~· 1Ulhoftly and responslblllty lo do eo.
3 . DtsNffllnlltlon of Polley: Al members or the contractor's ltl!T
Vttlo.,. authorized to hire, aupr,,IN, promote. and dilldllrga lffll)loy-
.... or who recommend 1\ICh action, cr whO n substantially I~
in auch ac.tlon , wil be mlCle fulty ~ of, and 'Mii impllmert, the
contracto(s EEO pollc:y ll'ld contrac:tual ~ to prlMde EEO
in each grade and CIHSificltlDn of empoyment. To enture that the
ltlove agreement wHI be rT19t, the followlng actlon8 wi1 be taken U I
miniml.m:
a. Periodic mwtinga of IUf*WIOIY and P"'IOI • lel office
ernplayea will be conducled ~ore the alal1 of work and then not less
oftan than once fMfY lhc inonths, at which time the contractora EEO
policy and tis ~atian wit be l1l't'illMd and llCplllMd. Thi
meetings will be conducted by the EEO Officer.
b. AU new supervtacwy ot penal •Ill office ll1lpOyNS Ml be ;ivwn
a thorough lndOdrinatian by 1M EEO Officer, CCMmQ .. map npecta
of the coriractor'a EEO obllgation9 within thirty days rallowlng their
reporting for !My with the c:cnrac:t«.
e. Al paraonnll whO are eng1oect in direct 111CJUitment for the
project will be instructed by the EEO Officer In the oontractar'1
procedures for looating and hiring minority ;roup ernployNI.
d . Notices and posters Ntttng rorth the eontnic:tor's EEO policy
win be placed in ar111 readiy aecNllbll ID em~. ~ for
employmm and potential ,mployNa.
e. The contractor's EEO policy and lhe pn,c:edlns to Implement
such poky wil be brought lo the attention of employNI by mea,s of
meeting•. ernplOyff handt,ookl, or ati1ef' appropriate .-..
4. R.cndlment When lldv9t1lslng for employ9n, Iha COi itraclorwlll
nckld9 in••~ for emptoyal the notation : "An Eqlial
Opportunity E~.· All IYCh ecMrtiNments wlll be p11Ced In
~ having I "'9e circulation among minority llfoupa in ttle fta
from which the project wart( force would nomoally be dlmed.
a. The contradol wll, ~ precluded by I valld bargaining
llgfWMf'lt, conduct systarnaac and clracC racrullment ttwough publlC
and prwat. an,ployN rtfel'l'ai IOUl'CN llcaly ID yi.ld qllllffld rt*lorlty
group appb r11. To mNt this fWCl'*eiMnl. the canlract« wtll ldanllfy
aaurca of patientlal rrmortty group em~. and elllbhh witt1 suet,
idlntifled sourc. prucadUfn wtllNby minority 9'0U9 applicants may
be refernd lo the coc llrador for emplOymel'II coi laidllation.
b . In the eYlnt the c:ontrac:tor hH a valid t.rgainlng agreement
proridi\Q fot eicckalve hiring hal l"lferrlla,.,. la e,cpected to obseM the
prOYltions of that lg! NIT1ltlt to the Dtl!ft that lhe system permltl the
cormc:tor's compliance w1t1 EEO cornet pnwialona. (The DOL has
t'lllld lhaC where lmplernnation °' such agreement• have the effect of
dilcrlminating against rnN)rlllea qr women , or obllgatn the COi ,ti actar
lo do the Mfflll, such lmplameutation vlalates Exec"1ve Omer 112-i6,
-~-)
c . Toe contractor wil encoinge nil .,,._. employeea to refer
minority group applicants for employment. lnformlllon Ind poeeckRII
wilt! 111g11'd to raferring rnlnOrtty group appllc.a. .ta wll be diec:• iaed wlh
en,ploy9es.
5. Pwsonnal ActloM: WagN, working conditions, and employN
beneflla ahal be established and adrninlllered, and .,....,. .... actions
or werv type, including hiring, upgradng, pcot, .octon, nnater. damollon.
layoll, and IMn* lltlai, lt1IIII be taar'I wiltlCU ragard to race, c:okJJ,
religion , MX, l"llltioral origin,. ot disability. The falcMing proceclns
lhlll be followlld :
I . The cormc:lor'Mil conduct periodic lnapectlonsof ptOjed sin
to lnsu9 that womng COi dloll8 and employee ~ do not indicate
dl9criminatory treatment of project m parwnnel.
b. The COlltl'acla .. petioclicaly ..... Iha lpl'WI af-.gn
paid wilhi'I nch daaiflc:atlon to dallmin•..,, evtclera af dlscrtrnlna-
tory wage practices.
"-1• 2
e. The COlillKIDI wilt l*iodicatf review &elllctld personnel
aetiona in deplt, ta detlfn Iii le whether !!we ii evidence of ditcrm-
Mtion. Where IYldence ii foo.nt , !he conlrat1or wll promptly take
corrective lldian. If the rlYiew ~ that the discriminlillon may
mll9nd ~ the action• r~. IUCh corrlldMI action shlll lnclu<le
al affected peraona .
d. Th•~ Ml promptly ~al~ nf
alleged dllcr1minallan iTlllde to the connc:1or in C01 a 1ectlol I with his
obllgltion1 'Jfldel' thl& conlrld, wtll lltempt to raaoiv. such complaints,
and will t.ke approprln carrecthle action wfthln a rMIOMble time . If
lhe lnveltigltian indiclta that tt1e diacrimination may alf9Ct persons
other than !tie complain-,t, sucn corredMI action shall ~lude suen
other ~-Upon completion of NCh irwe9tigatlon, 1h11 contractor
will inform every complainant of a1 of Na awnues of ~·-
e. Trllninf and Promotion:
a. Theeornc1orwlll nlilt In locating. qualfyi,g, and increning
lhe *ill or minority group and women ~•. and applicant9 for
e,npk,ylMnt.
b. COl'lliat9nt with the COi llndor'S wor1t Force requirelMnta and
• plfflliUibl9 under Federal and State reg,.Allona, the COi itractot shll
make ful UM of trmlng programa, I.e., apprenClceahf), and on-th•job
\rllnlng ;in:igrarn. tor 'cha geog,.,-itlt .,. at c:artrac:t performance.
Whet9 -.ib4e, 25 percent of aqnntic:a « trainen in ead'I occ:upa-
taor, 1h11 be In their Int yur of app •dicdShip or ninlng. In the eYent
a lf*ill p,oYision for trainl'lg ii providld under this contract, this
l'lbparagrapl'i wl be aupneded .. indlc:at.d In the special pnwlsion.
c. The contractDr will acMM ernpio¥eN and appllcant. for
.mployrnelit of availacil lrlinil1 prograns Ind entrance requnmenta
for each.
cl The eormctor wll perlo*llly review the trming and
promottan potwtlll of minority group and women employ9a 1nd will
encourage eligible employees to apply for 11.JCh training and promotion .
7. U"6ona: If the COl'llrlCtDI l'9lln In whole or in part upon Ul'liCnS N
1 aource of ernployH9, the contrlc:tor wll UN his/her best etrorta to
obtain the ooopentlon of IUCh unions to increae opportunitiel far
mtnarly i,oup1 Ind women within the unions, and to effect reflf'l'lls by
1uch Lilien of rrndy and femlle employMI. Actiona by 1h11
contractor either dndly or through a contractor's anoclafion acting as
ager"lt wl1 nc:lude the PfOC*M'• Ht forth below:
I . The CCI 'ilrldol wil UN bnt llffona to dewlap, in cooperatiar,
Wlttl the uniOnl, jainl training pN:9lfflS limed toward qualifying more
rrinarly i,cq, nwrnbers Ind won.n for mernberwip in the unions and
incrusing the skila ot rnmr1ty group emplo,-s and women so that
tt1ey may~ for higher~ employment.
b. The contlac;tur wll use belt effOf1I to iicarpc,rate an EEO
c:lauH Into NCh union agreemant to the end that auch union Witl be
contradUllly bol.nd ta A"9t appllcants without regard to their race, color ,
religiOn, .., l'llitionlll origin, age or dlslblliy.
C. The ccntl actor Is to obtain information n to the referral
practlcN and paliciN d !he labor union m:ept that lo the tldflnt such
it1farmalon la wlhln the DCkllivw pollftlion of the labor union and
9UCf'I labor I.non ref\JMS lo fwniltl such lnfarrnltion to tne cantrector,
tne cantrador lt1al ao c.uty to the SHA and ahall 91!1 fol1h what tffartl
i.. !*II made to obtain IUCh inlonnation.
d. In the IV9l1I the union la unabla to prO'IICll lhl comactor with
• rusonabl9 now ot mmrly and women rlf9mla Within the timl imit
ut for1h in thl cdledM batgall,~,u .......,,.11, the contractor wll,
tl\n,ugh •pendent rec:n.ittmer,t 1ffortl, fll the ~ii vacanciel
wlthoul ~rd lo l'ICI, c:olar, J'lllgion , Ill(, l'llllionll origin, age a,
dlublly; ~ ful elTOrta to Oblllln quaifled and/or qualillabla minorty
group ptqaN and WOfflll'I . (The COL tin Mid that II lhlll be no
m:iaa M the union Yt4lh wtiGh the contnictor t,u ii collktlw
bargaining lgl'llment providing for excluaiYe "'-'Ill flilld to refer
minority em~.) tn thtl .wnt th1 union referrtl practice pments
the conlraetor from mN!lng ltil otJ4igalions puraulllt ID~ Ofder
112-te, • amended , and theN special pn:,viaions , such contractor shal
Immediately notify the SHA
8 . Salectlon of lubeDntrectors, PrOCla'lllllflt of M1twlal1 and
Le11ing of Equipment: The contractor shall not diserlminate on the
grounda ol race, cot«, rallgion , MX, i"iltlonll origin , age or dlnbility in
the Nledlon and rllantion ol aubcol ltr'Kmrl, including procurarnent of
mat.Ills and .._ of equipnll'il.
a. The contractor wl notify ,a potential IUbc:onnctors and
auppllerl of hislh« EEO obligltlonl undlr lhiS comact.
b. Dludvantaged buslnNI anterprtee, (DBE), n defined In 49
CFR 23, at-.1 have equal opportunity to comptte for and perform
&ilCOn!nlQI which the c:ontractar ent«a Into ~ to this connct.
The COlltl'acbA wil UM In bnt .rrortl to IOlcl bids from and lo Ulb
DBE 1ubco11tt liCICll'I Of 9Ubconlnidon wMtl mnningful mlnorty group
and female reprnenllltiDn among their emplD)'NS. Contractors lhal
obtain Ii.ti of DBE conltruction firms from. SHA J)lr'SClflMI.
C. The conndor'WIII UN hill belt lffortl to ..,_.I IUbCOl i!I ICtor
complln:e wtth their EEO obligltlons.
a. Recont1 and Raports: Thi contraetaf 1h11 keep IUCh rlCOl'dl
al nec.aary to doc:uln9fi ~ win lhl EEO requirernantl.
Such recotdl 1h11 bl retained for • paf1od d three yars folowlng
compllClon ol lhl contract work and 1hall bl avaftlble at rs111onabte
tlmeS Ind j)llCN for IMptctlDn by authorized r.pFesentltlVH of th•
SHA and the FH'WA .
1 . Thi records apt by the contractor shal document the
tollowlng:
(1) Thi number al mrorlty and non-tnlnortly group memblrl
and women lfT1Plo¥ed In eaeh work cluaiflclllton on the pro;ect;
(2) Thi pros,ns and affOl!s being made in eoope, allof, with
unionl, when epplclble, to lncrlm employmllil opporiunillea for
mincdtes Ind women;
(3) Thi progresa and 9ffort1 bltng made In locat*,g , hiring,
lr'liMlg, ~ ll'ICI UP!Jadlng mnc,rtty and flffllle ~yees; and
{4) The progrna and lfforta being made In NCUrlng the
NMCn of OBE aubcol.traclora or IIUbcontrlc:toR with meaningful
mlnarlty Ind flmlle r......,iaaon among their~.
b. The conlrac*n wll lUbrrllt an annual report ta the SH~ IICh
JIAy for thl «Mallor1 af Iha prajlct, indiclllw,g the number of rrinarly I
women, ~ non-minorty i,oup ~ currently engaged In uch
wart( ctanitlcllion ~ bythl c:ontract work. Thil Information ,. to
bl flf)Orted an Form FHWA-1391. If on-the-job training II being
i'9qlftd by apecilll provision , lhe c:ontr.ctor will be required ta collect
and repo,1 lnliM,g data.
a NONS!GMOAnt> FACUTIES
(Applicable to 1111 F •ral-aid construction contracta Ind to All rtllted
IUbcorbac:ts of S10,000 or more.)
1. By subminlon of this bid, tt. •-=ullDn of thla concract Dr
ilUbcDntnc:t, or the coneummatlon of thia mmnal auppty lgrNITlel't or
purchNe order, n appop'llte, tf1e bidder, FldeniHlid conatructton
contractor, subcontrlctor, ITIICerill supplier, or v.ndor, n appl'Qprilte ,
c«tiflea that the rnn does not maintain or provide for Ila employees any
seureveted facffltlft at 9/r/ Df h ntltlhhmenta, and lhll the firm does
not permit its emJJloyNs lo perform their MtVi ca at any location, under
its contrDI, where searegated flciltia.,. maintained. The firm agrNS
that a bfllllCh of this c:efllllcatlon 11 a violation of the EEO prtM1ion1 of
this cDnlract. The frm further certlflN that no employee wrn be denied
1cees1 to adequate facilitia on the ball Df sax or d i11blllty.
b. As uaed in 1h11 certitleation, lhl term "segregated facilities"
-Jfff waiting room•. work are11, rHtroom1 and wntvoom.,
rntaurant. and aher ntlng •••. tlmeelocka, locker rooms. and other
1tor9 or drelling ar111, parking lots, dl'1nklng fDU!llalns, 111Cralion or
enteltllnment IIUS, lranlportlllon, and housing facilities provided for
employNs which •• Ngregatld by ~ dlrKl!ve, or are, in fact,
segregated on the balls of race, color, ,..iglon, niltlonal origin, age or
disabiVty, becauM of habit, local custi:im, or otherwlae. The DrVof
•~on wtl be for 1M disabled when the demands for acc111ibility
oven1de (e .g. chatlltd pandng).
c . Thi COntradOf egrNS that It haa obbilMd or wil obtul
icllntlcll certification from propoud aubcontractcn or mllterillaupplert
prior to Nard of~ or conaummatlon of matllrial s"l)ply
ai,eements cf $10,000 or men and that it wit r.taln such certifications
In h fflll.
I
IV. PAYMENT OF PREDETERMINED WNIMUM WAGE
(Applicable to ai Federal-lid con1tn..ction contracts 1KC1eding
$2 ,000 and to al retated aubcontracta, PCepl for projects localed on
roadways ctauiftld u local rold1 or rural minor cohctcn, which are
e,cemp .)
, . Oenerlll:
1. All mechanics and labor..-• employed or working upon the lie
of Ille work wil be paid unconctitlonaly end not le9a often thin onc:e I
WNk and without subuquent deduc:tiDn or rebate on ..,., KCOUnt
[e>cc..,i IUch payrol dl<tJclionl n n pa,rmnld byregulltiOna (2a CFR
3) luuad by the Secretary ol labonmer the Copeland Act ( -40 U.S. c .
27ec)J tt11 M amcxrn °' weoea ane1 baNI 1\de fringe beneftta (ar cnh
aqu1va1em lhlnol) u at &111 of payment The ~ 1t111 tie
computed at wage rates not leas lhe1'i tl'lou contained in the waa•
dltwmlnlllon of the Secretary of Labar (hereinaftw "the wage determl-
nltian") which i9 llta:hed hereto and made• part hereof, regard\lls al
any eontractual ratatlcmshlp which may be alleQed lo llllill betWNn the
comactor or h IUbc1Jnlraclan and IUCh lloortn and mecfllnicl. The
wage determination (lnclu<llng 9fr/ ICIClllonll dnllftcltlonl and Wlg4I
rat• conformed under ~ 2 of this Section IV and the DOL
poeter (WH-1321) or Form FHW.t.-1 ~ shll be polled at Ill tlmel by
the connclor and its ~ di actors al the sill cl the wctk In I
prominent and ICCeSsible plac. where It can bl H9ily seen by the
workers. For the purpo91 of this Section, conlr1bl6:lns made or cmts
renonably anticipated for bona fide fringe banefts under Sedlon
t(b)(2) of the O.V.Bacon Act (o40 U .S.C. 27ea) on bttlllf ol llborera
or rnec:hlnic:a are considered wagn paid to auc:h labcnrl or ffl1Ch1n-
ic:a, subjac:t. to the proYlliDns of Sec:tion N, ~ 3b, tw.Df. Al9D,
for ttll pu.rpou of this Section , regular eontlbJtielna made or DDsts
lnCUn'ed for men thin I WNldy perioCI (but not leu often lhe1'i quarterly)
undar pllrw, f\rdS, or programa, which caw, the pa,ticular weekly
period, n deemed to bl conatruc:tNlly made
or 1na.rred during such IIINkly period. Such abOrefS Ind mecheniea
lhall be !)lid lhe app,ap iate wage na ane1 fMlle benenta on thl -oe
~ tor the claaitlcltian of W'Ofk ~ performed, wlh!M
r.,s to lill, except• provided Ill~· 4 a,c1 5 of lt1ia s..:tion
IV .
b. Labcnrl or mecr. itc:e petfonning woit In more than one
cllslificatlon ffllY be compll ... d at the ratl ~fied fcl Heh
~ tor tn. time 1IC,tUllly worked therein, Jl"M(led, Iha ltle
1mplo)W'1 payrol rlCOl'da accurately set forth the lime ,pent In Heh
c:lallfflcation In ~h Mn is performed.
c . Al rulings and lnterpntllllons ol the 01vis-8acon Act laid
related 1Ct1 coraned in 29 CFR 1, 3, and 5 ;n l'lerein incol pcnted by
rl'9renC9 In lhia contract.
2. ClaHiftcatlon:
1 . The SHA contrac:ting offlcar Mal recp1 that any clnl of
labor~ or mechanic• IIT1ploywd und« the ccntract, lltlid1 i9 not listed
in the wage dlwrnrimon, IN! be cllaifild In~ With tht
wage dalaiminatlon.
b. The contradlng officer 9tld appnwe en llddilional cl1Aiflce.
lion, W9gll ralt and fringe banefitl odf WMn the follc,wtng cnteria have
belrl met
(1) the -it to ba pe!1onned by 11w addllonal dlSlliflcatlon ,....lid is r,ul performed by I cluaillcatlon In lha~ d«ermiflltion ;
(2) the adcllional claaiffc:allon II utlllzed 11'1 Ile .,_ by the
constr\11:tian industry,
(3) thl prapoNd MGti rate, including any bona ride rnnge
banefh, ben I rnaonat,le rellhlnltlip lo the wag1 rlNS ccnlalned in
th• wage cltarrnnltlon ; and
(4) with rwspec;t to halper1, wt., IUCII a ctaasmcltlon
prevails in h area in Which the work II J*fcmned.
c . lfh i;.or,tractor or subcomactorl, 11 appropriate, lhetabcnrs
and mechanics (If kna#n) to be employed in 11\e additional tlll8fficatlon
or their ~a, and lhe eo1 ltrldW'9 omc.r agr.. on the
cinlificltion anc1 wave me (""1Cludlng the '"10Unt deel9nat9d '°' frtng•
~fb ""'*• appropriate), • rl'j)Qrt of the don tabn lhal be wt try
the contnlcting officer to the DOL, Adminlstratcf oftha waoe e,,c1 H°"'
0Ni9ion, E~ Slanderdl Adminiatration, Wuhington, O.C .
2021 O. The WIIJ/8 and How Admlnistmor, or an authorized repreunta-
itve, wil !lpp'CM, modify, Ot diappnwe every addtiolllll c:luaification
don~~~deyl~~~and•acMMlhecontractingofflceror
wll notif'/ the~ afflc:er within the 30,day periOd ltlat lddltJonal
timll ls nteeuary.
d . In the elffllt the co11lrac:tor or 1ubccdractr:n, • app,opriatl,
lhe labor.-a or mktianics lo be~ 111 IN llddillonlll clnaillcation
Of their ~ dll llatiVN, ar,d the CCII hdinG offlcer do not lgtae on lt19
prGpClled dlsliflcatlon and waga .... (lncludinG the amout dealgnetad
ftlJ lringa benetlls, ~ a,ppop11t1), the c:a11nc:t111g officer shall rafw
the questiclM, induding the Yt.M DI al lnllrNted partiN and the
19QDffll'Nfmllon af the ~ officer, lo the WIIJe end HN'
Adnllnistrlllof for delennlnatlon. Said A ....... llOi, or an NhDriz1ld
r~. will iaue a dltamlnallan .tlhin 30 day. ol rtclipt and
so ldvlN the contrading ol'l'ic:er or wll rd1fy the contrw:tiftg ol'llcer
~ the 30-day period M eddillonlll time ii nec:..-y
•. The wage rate (including fringe belMllla whn llppnlflria\l)
determined purauant to paragraph ~ ar 2d of thla Stctlon IV 1h11 be
pal<! lo .. ~ pwforming wor1t In h additionll c:tenlficltion
Pail••
3. Paynwnt of FMP IIMelih:
•. Whlnewer the minimum wage tlle presc:ribed in !he contract
for I clns ol l.tiorerl or rnec:hlnlc9 "1cludN a fringe beneft which is
rd uprNMd • an hourly rate, the COfCradClf or ~s. H
approp!ilt9, tnal either pay the bentfl .. SIited In U'le wage de!~
tlon Of 11'11111 pay another bani Ilda fringe bMlefll or an hculy CIM
equiVll6f'll thar«Jf.
b . If tha ~ Of $utlcoi ltl'ICICr , •• •pp~. ~ net
rMI<• paym.ts to 11rvl1N 01 ott11r third person, he/the may c:ontlder
u • p.rt of the wages of 1111V i.t,ore, or mechanic the lfflOU'II of any
cost• reaaonably antic:if,ated In pravidlng bona fide fringe benefits '-'ldel"
a plllnorprogrwn,provlded, thlttheSec:rmryoflaborhnfound, upon
the 'Mittan~ of the comactor, that th• appl icable ltlndanis of tt,1
Oam-Sacon ~ hJYI been met. T~ Seereca,y cl Lam-may require
the comactor to NI uide in a separate accOll!lt HMtl for the meelilig
of obtigltiona undef the plan or program
4 . Apprenlicas and Trainee. (Programs or the U.S. OOl.) and
Helpen:
•. Apprenticel:
(1) .Aprnntlca viii! be permitted to worlc at Ian than the
prldetermin.:I rm tar the wort1 tt1iY pertorm.d 'ftf1wi lhly •• emplcJVed
pursuant to and indM<IUlllly regisltrld in I bona Me apprw,ticnhip
program ragllt«tcl..,the OOl, ~ and Tf1nn11 Admimtra-
tion, 9'.feeu ol( .-PJWltldcN.nlp and Tf'linlng, Of"wllha Slate apprentice-
ship ~ racognlUd by the Bureau, or if • pet'IOI\ i. lmplay9d in
hillhlr tlnlt 90 iays of probationary 111 ~ n an l!)Pfentice in
luch an apprtrlliceal\ip pn,gram, ~ ii not indMdually r.gistered in the
program. tu who ha been c:,rtified by the BureMI of Apprnicesh1p
and Tralringar a SbQ ~Ip IQlnCJ {where appropnat.) to be
e4iglble for probltlonary e"'*'ymeclt n 111 appqntice .
(2) The allowllbi. ratio of lll)pfric:es to joumeyman..Jevel
empla~ on Iha job 111 In any cnift classlliclltion "1al not be grHt9r
lhlln the ratio p«mlt'led to Iha corbactor • to a,e dire work force
under the ~ed pro!JWTI. Any empoyae htwd on • payrol II an
apprnx:. ~ nM, who ii not regilt9r9d ar other.vile ~ 11
stattd llbo¥e, lhel be paid not lea than the applicable wage rat, listed
m the wage de191minaticl\ for the Clblificatlon of work ac:tulffy ~-
formed . In lddltilln, any tippWitice P«forming wor1t on the job de in
ucas of thl ratio pamiltld undertha regllWed program shall be paid
not laa thin lt1e appicabll wage rate or, lhe wage detarmination for IN
WON actually ptrformld. wi.e • c:onlra;tar or aubcontnic1or ii
pemminQ construdiOn an• pro;.ct i'l a lDCllity ottw lhln that i'I which
ltl pn,gram is reglltetld, the rltio5 and wage rates (e,q,,cRICI 11
J)lr1*Qgel of the ~ hcurty ral•l 9'*1!1ed In the
contradlx'I or -..»coi1hct(ll"1 r119iat"9CI program stllll bll obNrled.
(3) E~ epJnfttica muet bl paid at net leea than the rate
epec:iftedlnlhl rtgil19'1d program f«tl'II apprentica's lw&lof prograss,
IIICpt'9IMCI .. II parcern119 Df IN jol.mayman-lewl hcurtynite specilltd
in the applicable wage determination . Apprw,Hell Shall be peid fmQe
tJIMfq In accordanc:e Witt, the ~ of the apprenti~
P'OIJ'all . lflne apprentletship ~doet not epecify fringl beneflls.
apprwnllceS mu.a bl paid the fuR arnounl of rnnge benelib blld on 1M
WIIIPf dltarmnation far the~ C 3 'fcation . If the Administrator
for tne W9 and Hour Olviaion ~ that • dilfer.nt pn1ctice
pr.-. for lhl apl)licaoll epp,91 llleednliflclltion, fm9n ... be ?Bid
in accordance Witt! lhlt d9lsminallon.
(4) Ir, tn.1¥"11 the !ur..u of Apprwilleelhi,I and Training ,
DI' I St* apprwwllc91hip ~ r.cogiiad by the 8'nlu, w1thdrlwl
1pprD'III of an 1ptnnllcfthip proarlffl, the conltldor « IUtlc.cnractor
wil no longw be permilted to utillz9 lflPllllticel II lela lhlin tnt
•pplable ~ ..... for .,,. CGffl9a'able worlc ptt1otmed by
r9111111r 11npioy.. unlll an acceptable program it appnwad .
b. Tlllinel9:
(1) ~•provided In 29 CFR 5 .15, traineetwlll not be
permitted ll> wor1( ...... than the pr1d11ttnnl111d rm, for th• wane
performed ..,... they ar• emc,toyld l)lnUanl IO and indlllidualty
rtgl9!9rld 11'1 a program Which ha& recaivld prior llflPFD"II, ~ by
fom1al certif!Cllion by thl OOL , Employment Ind TralNng ~a-
tion .
(2) The ratio of trllMN to )oumeymen-~I ~ an
the jab 1h shall not be grem, tnan permitted Linder !M plan epprcwed
by the E~ and Tniinlng AdmWltnlllon. Any 1mployM liatld
on the payroll It I train• rate who Is not ,...cl and panicipeting in
a trli1lng plan appn,Yed t,ytti. Employmanl and Training Administration
wl bl paid not Ina than !hi ll)pllcllblewage 11111 on the wage d9lwml-
nali0n for the clllauication of W011t actulll)' perfolmed . In adlttlon , any
lrlinel pertarming war1c on the job lit.I In 9JCICtU al the rdo permitted
under tn. ragi91ered program lhall be paid not 1 ... then the applable
wage rwl9 on the wage datermlnation for the wont ac:tually performed.
(3) Every trainee must be paid at not la• thin the rate
apecll\ed In the apprvved pn,gr1m for hi.Jher hMI of progren,
eicp,eaMCI NI pen:entllge ollhe joumaymln-lMII hour1y 11H specttied
in the applicable wag• delll'ml11a1ion. TralnNI shll be paid fringe
banelltl In ICCORllnce wtlh thl pravialana of lhl lnllnN program. If tht
trllnM program don nd menllon fringe banelitS. lrlinNS shall be paid
the fuN lll'IOIM'lt of fringe btneftts lllled on the wage dalerminltion un6lsl
the Administrator of 1tw Wage and HOii OMSIOn determines thlt !tin
t1 an apprenllCalnlp prognm auociated wth the corrnpc,nclng
J~ wage rltt an the wage dllarmlnatlon Which proyldM
for lea than ful trtnga beneNa tor apprentlcn, In which cau such
lrltneN ., .. recai¥w In. Ami frlngl ben.ntl 1$ apprenticn.
(4) In the event the Employment and Tl'linlng Admlniatratlon
wtthclnlM approytl of a training progrwn, lhe canlnctDr or aubc:ontrac-
tor wlH no longer be pe,mlltld to uti1IZe ll'lineft It 1 ... than lh1 applica-
ble pred.termined rat, for the wor1c perfom,ect untH an acceptable
program la approlllld .
C. Helpers:
Halpn wtl be pwmlltlld to work on t prafeCt If the helper
clalalflcation ii specified and defined on the l?l)licl0!1wagedeMmina-
tlon or la approYld pursuant lo the conformance P"JCIIUI Ml bth in
Sectlon IV.2. Any wor1c.-llltld on I payrall at. helper wage m. 'MIO
ii not I helper under I IPl)fO'ied definition, 1hllt be paid not Ilsa thin
lhe applicablt wage ration lhl wage deilm.i.allon for Iha ctaaiftcaian
Gf ...it ac:tually performed.
S. AppNllttca and Tralnln (Programs of tM U.8. DOT):
Al)flfflrtlcet ll!ld trllnNa WUftdng under appraritk:at1'3 111d sklll
trakmg pro;reme whic:h 118W bletl mifled by Iha Secr9lary of
T~ n pumalt'lg EEO i"I c:iomection wiltl Faderll..id
hlgtlwer conttruc:1lon Pf09l'Ml8 n "°' aubjlc:t to 1hl requiraments cl
~ 4 °' 1h11 Sedion IV . TIie etra9'1 tim9 hcMtr wage ..-tea for
appratllicwMdnlnNeunctw-=tl ~'Will beatlbhh«I bythe
panlculaf prograrM. Thi l'llio of apprentlc4e and trainen lo jOur'My-
men shall not be a,.lttr thin ~ by 111 1erms of the plf1leular
i:iroc,am.
Cl . Withholding:
The SHA shall upon ila own action or upon written request of an
authorizlcl r1~eottt,e DOL witt,t,old, or cauee to be withheld,
from the contr1ctor or subcontractor uncw thla contTllC:t or any other
Federal con1nlct with the ume priTle c:ontrtetor, or1nyother Fedenilly-
allilled cootrlCI subject to CIIYis-Bacon PflYIIIHng W1Q11 T9q11Amenl1
which ii held by the same pnma contractor , 11 much of the accruld
payments or advancn • ,n-v be conlldtr9d n~lo pay~
and mechanics, nctudlng apprentices, ll'llnNs, 1nd helpers, ~Id
by lhe COfltrletor or any SUbCortrlctor the M llfflOUnt of wagn rtqUirlcl
by the contract. In the IY9l1t of flilur11 to pey any laborer ot mech11n1e ,
including IIT'f apprentice, trainee, or helper, employed or working on the
sita of the work, all or pan of th• MIii" requred by the contract, the
SHA con!raeting offlcer may , afterwrltln notlee to the corbactor, Ilk•
such ICtion •maybe neceaa,yto caYSe the llJspension of any Mtner
payment , 1dvence, or r,uarantee ot l"unds until .uch Yiolatlona have
ceased.
7. OVertima Requnrnenta:
No comractor 01 aubcontrKtor contnlcting for any pert of fhe
comract wgrlc whidl mey r~ or involve the emr,IOyment of IIIO<nn,
mechenic1, Wltchme!'I , or guard• (i"cfuding apprenticft. train"9, V1d
h~ dncribed In paragnpt,a • and 5 atxN•) .ti.ii r.qun or permit
any labonlr, machanlc. ~. or vuard In..., W'Ol1Meek In which
~ la amplo)'9d on lucfl work . to work In•-=--ol «> hOl.n in IUCh
worttweek uni•• .u.h laborer, rrtechlnic, IWtchman, or ~d reeelWs
compen11tl0n It t rate not i..1 than or,•and-me-h.it' tin1ft Na/her
bMie rata of pay ror al hours warked 111 acne af ~ hours in 1\lctl
WOOM'Nk.
8. Vlolatlon:
Uabllty for Unpaid W1g11 ; Llquldlll..:I Demlgn: In the IWnt af
anyvlollllon of the c:Jause Ht fOl1n in pei 19'11Ph TabcMI . the contt'ldor and-, aubcontr.ctor r"ponelbll ther9of shal be liabll to tne 1ff1etld
employN fo, Mlher ur,ptld wegn . In tddittOn . sucl\ eonlrac:tor and
sutlcontnctor thal be liat,lt to Iha United statts {11'1 IN can o1 war1r
dona und• contiaet for u,. Oislrlct of Col\lmbla or I territory , to such
District or to auctt tlfftory) for liquidffld darnagll . Suen liquidated
damagN ahll N ~ ~mf)Uled with respect to •ecn indlv~ labor.r .
mechlnie, watctvnan . or l7JITd 1mpll)y9d in vlolatiol1 of !he clalaa HI
forth in peraw-ph 7, in the sum of $10 for eech calendar day on wh ic h
such ernp1oye, wn required or pennltt!d to wonc In exc111 of the
l1andlrd workwetJk or 40 ~ without payment ot the overtime w1ge1
r.qund by u. clauH Mt '°'1h in paragrapt, 7 .
SI . Wlttlholdlng h>f UfttNlid WagN Ind Liquidated DlmlDN:
n,, SHA shllll upon it& cwn action or upon wntten ~ of any
lMhoriZld repreaenlat!ve ol the OOL withhold. or CIIUH to be wihheld,
from .,,.,. monies pay1ble an ICCO\rt of wor1c performed by the contrac-
tor or tubcontraetor und« any auch conlrac:t or any other Flderal
contract wtth the ume prime contractor, or ar,yott,w F ~Sliltad
~ subjlClto the Contract Worft. Hean and Safety~ Act ,
vw!'liCn IS held by lhl ume pr;m. contractor , auch suns II may bl
CINrmined to be necesury lo ~ -, lllbllilln of luc:l'I contrac:tor
or SUlCOntractor for unpaid wages and liquidated damages II provid9d
in !he clauu set forth in paragraph 8 ebcM.
V. STATEMENTS AND PAYROLLS
(Applicabl1to1IIFedanll-aidconstructionconlradsexc:MdingS2,000
and to al related IUbcontract!I , except for projeds located on ~
claaified • loc:II roads o, IUTlll co41ectors , which ar. nempt.)
1 . CamplM!Ce wllh Copetand Regulatloftll (2t CFR 1):
The contractor 1h11 ccmply wlh the Copeland R1gullliioM ol thf
Seawtary of Labar which ... hwiln i iCOipol ad by rer.r.nc..
2. Payroh and Payrol RKards:
I . P1yrok and bale reoarda rellltlng lharlto 1h11 be mlln-
tained bytfle contractor and w:t, IUbcotlb aeta during the COUJ'N ofttw
work and preteMld '°' 1 period of 3 yars from the me. of c:ompietian
of th1 ccriract fol' al laborlnl, mectlanicl. apprentices, trainees ,
Wllehmln, helpers, and guards WMtng ,t !he lb of lhl wor'lc.
b. Th• payroll l'IICOfda lhall conlain thl name. social NCUrit'f
fl\lfflblf, and actdren of eac:h IUCh ernplayN; his or her correct
ellslificltion; hourly rates of Wllgll paid (i1cludlng ,.. of comit>u·
lions or c01ts anetj)lted for bani fide fnngl benefta OI enh equivalent lhereO' !hi type1 dnl;ribad in Section 1 (b)(2){8) of the Davis 8ICOrl
Act); dally ind ~ number of hours wor1clld ; deduetlon• made ; and
adual wages paid. In addition , ror Appalachian oontracta, IN payroll
records shall contlin • nctltlon Indicating whllthlr the «npq,N dON,
ar ~net,~ ..... In h \abar.,... ~ In ~thichmwit
A, paragraph 1. Whenev9r the Slcr9lary of Labor, purlUlf1t to s.ctloll
lV, ~ 3b, has found that the wag.a ol any llbafW °' mechanic:
include the amount of any cost• ru9CXTably ll1tiClpad in pfOYidin9
benelb undlf I plan or p,ogram delcrlb9d ~ Sldlan 1 (b){2)(9) of the
OIVla Bacon Ac:I, ttie c:onlrador 111d Net, subc:ol llrlCtol alllll maintain
r«:an11 whld\ SI\Ow !hit the commllmer'lt ID prCNldl IUCI\ benefb ii
enforeelble, thal the plan or provam II fl!\IIICially raapanslble, that the
plan 01 program hn bNn cornmunic.i.d i'I ~ to !hi ilborets ol
medwnlcs affected, and lhow IN COit 1ntlcipalld or the actual coat
lnc\llNd in providing benllb. Cocllrattorl or IUbcontrlCtOrS ~
lpp!'lntica or tnll'IIIS undlr 1ppl'OV9d ptogrlfflS lhall ffllirain wrlbn
evidence Df tne regiwtrillkJl1 of app~ and tninell, and ratios .-id
waga 111t• prw:ribld it the lppleltAI p191ffi*.
c . Each con1r1ctDr and lubcol ltractor 8h11 fumilh, nch -.le ill
wtliCII any contrld wurk ls perfcrmed, to the SHA rlllderi eng ineer a
peyrol of wages paid Heh of Ill employees (lnc:ludlng 1pprentlca,
traiMN, and helpers , dncribed in Sac:tion IV , paragraphl 4 Ind S, and
walctVnln rd guards ar,ge;ld on wort!: dl61ng 11'19 pracedlng WHklY
pa)'OII period). Thi payroll IUbmittld shall Mt out ICCUl'ltlly and
complltlly all of the information requil'ld to be rnaintlinld unct.r
par.graph 2b of this Section V. Thil information may be IUbmllted In
any form dNlrld. Optional Fonn WH-347 II avai\lDII for this purpc,11
and m1y be p.rchned from thl Supe i"lt8ndlrt of Oocumlnts (Fedlral
stock number 029-005-0014-t), U.S. GoYlmmlnt Pl1rir,g Office,
Wnllington, 0.C. ~. Thi prime c:ontractDr Is r.ll)Olllible lot' thl
IUbrMaion of copies cl payroi19 by II stJbCOntnctcn.
d. Eac:h payrol submln.d shall be ICCOfflpanied by a "Statlfflll'II
of ~.· llgr'8d by the contractor or ~ or hillhtl'
agent 'l'Alo ~ or IUl)eMaea lhl peymwt of Iha Plf'W1S employed
undlt h contract Ind .... cartify the follawlng:
( 1) that the ~ far the payroll period contains !hi
Wormation raqund to bl malntaiMd undll' pm-agraph 2b dlhis Section
V Ind that such information ii corr9d and campllte;
(2) !hilt 9UCh laborer or mecliallic (lnclUdlng MCti h._,.,
apprantice, ft tninH) ~ DI\ the conlnlct utng lhl payroll
period NII bl«, paid the fUII Wllldywagea 11mld, wlhcM l'lb9tl, eiCtl«
dnc:1tj or irdt'ectty, -S \hal na dldudlons hw.le bewl mada ellhtf
dll'ldt;' or h:irectty from the ful wages -,nee!, auw thin permlssibll
dlduc:tlons .. Mt foltti in the R~. 29 CFR 3;
(3) thateacll llbcnr OI' mecll.antc: haa bNn !)lid notleu ltlal
the applicable wage l1ltl sld frln;e blMftla oc cuh ~ fa, IN
ctaAification of wat1led perfonnad, n apecified In Iha appl~ wage
dlterminltlon Ir ,w porltecl Into the conlrlct.
I . Thi Wllkly IUbrniMiOn of I pnlp9f1y e>*\ltldcertitlcltion Ht
for1h on 1M reva-u Iida of Optional Form WH-347 911111 satisfy the
raqulrement for ltOTllalon of the "Stat.ement of Complianc;e" r.qurrecl
by pa~ 2d of lhil Sec:ticn V.
f . The falalflcation of any of !hi llbow certlficatrons may ...
the contrlctor tocMI Ot Climinal prl)NCWOn under 18 u.s.c . 1001 and
31 u.s.c . 231.
g. The contractor or subCOntrector st\11 rnakl the reeords
required wmr ~ 2b of this Section v IWillble for ~.
copying, or lrlnlcriptlon by IUthoriZed reprnantatlves of the SHA , the
FHWA, ar the DOL. and shall permit such represerrta!lvn to intemew
employM9 CM1ng W'ClridnSI hours on !hi job. 1r the contr..:tOI' or
suboontractor fail• lo eubmit the reqund f'ICOrd• or to make tt,em
avalable, lhl SHA , the Fl-fNA, IN DOL, or al may, after wribn natice
\o the eo,a.aar, t.penlCr, ~. er owner, lakli 'I\ICh actione H
may be n1CftU1Y to CIUM the ~ of any fucther payment ,
advance , or glJlrllniN of fullds . Furtlwmor•. failure to llubmlt the
r9q1.lir1ld rlCOrds upon raqunt or to make such recorcn IYlillble may
be grounds for dltlll'rnent ICttcn pursuanl to 29 CFR !5.12.
V!. Rl!CORD OF MATERW.S, SUPPLIES, AND LABOR
1. On all Fedenl-eid contrac:tl on !hi National Hipl,lly System,
ucept those wtl!Gh ~ .allt# far CM il\StdlitiQn ~ ~
~ • railroad grade c:n>aingl, thON whietl •• Conetrucll!d on a
force acco.n or dtr9ct labor bni1, highway beautificltian eonncts, and
CCll'llrlds for whicrl the loll! .llnal tlGNINCtion COit for roect.wy and
bridge 19 less than $1,000,000 (23 CFR e3S) IN conhctor shall:
a. BICOIM fanilar wllh the lilt of -,iedf'lc meterlals and
rruppHee contained in Form FHWA-47, "Statament of Materials and
Labor UMd by Contractor of Highway Conetruction lnvoMng Fedlfal
Funds," prior to tt,e commancement ol work under this contrlct.
b. Maintain I record oflhltctal cost of dmaterills and supplies
purchned for 11111 incorporaed in thl work, arid 111o of the quant1t111
oftnoae specific materllls and IUflPles listed on Form FHWA-47, and
In lhl units llhown on Form FHWA-47.
c. Fumiah, upon thl ccmpletlon of the contract, to the SHA
rwldltnt engneer on Form FHWA-47 togmhef wlhthe data reqwad in
~ 1 b r'lllltfY9 to rnalariall and auppliea. I final llbot SlfflnlrY
of al conlraet WOl1c nclcatlng !hi total hourS womd Ind the talal
arncu,t .-nld.
2. N. the priml conlrlc:tol'I option, eitlwr I "'-report COYlrtng Ill
COfltr1lct worlc or Mpanle reports for !hi contrlc1or and for each
subcorlbact shall be aubmllled .
VI.. SUBLETTING OR ASIIGNINCI THE CON"TRACT
1 Thi co11tr1ctor llt1II perform wllh Its awn organization contract
work~ to not IIN tt\11'1 30 perc:enl (ot a~ psceta,ge If
~ .....,,,,.,. In \he Clriraa) of \he tctaA original contract pnca,
e&luding any specilly ilems delignlled by IN Stal9. Specilly bms
Ny be ptllformld ~ IUbcOI net and the lfflOUl1l of WTy such spacl1lly
llams parformed l1IIY bl daductld from lhl .. original contract pric•
beforl ~ the mount of work raqund to be pe,formld by the
conlnctor'a OM1 orgarizatlan (23 CFR 635).
I . "ltl CIMI organization" 111111 b9 conttrued ta lnc:fuda only
wor1clr9 lfflpioyad and paid cllrlClly by !ht prim• contradar and
lql,ipmlnt owned 01 IWiild b¥ the pnme COi mc1or, with Qf without
opnlorl. Such term dDel nal lncludl lfflPIGY"I ot equlpmert of I
IWCOntractor , nlignM, or agll'II DI IN prime cantraclor.
b. "Specidy Items" IMII bl conltn.led ta tie lmltld lo wor1< that
rlqllil'N ~ apeclaizad lcnoWledga, abilitlel, or equipment not
ordnft/ avalllble In the type of contracting organlZat!ona qullifted and
e,cpldec:t lo bid on the eonnd •• 1 wnol• Md in ga,,erll are to be
lmltld ta minor eomponer,11 aftheO\llnlll contract .
2 . The concrac:I amount upon wNch the requirln,9nta set forth in
p1J191P11 T of Se<:tion VII is COf11Mld lncludll IN cost of material Ind
manufactured product1 which .. to be purchned ot prodUCed by the
~ under th• oontract prgvisionl.
3. The con1rld0r shall f\lrniatl (a) 1 campata t supertntendenl °'
~ wtio is employ9d by the firm , hn hJI 9Ul'1ority to dud
performanc. of the work In aocordance wilt'! the contract ~-
lflCI Is In ct,ar;• of al conatruction ~· (regart1111 of who
performs the wortc) lffld (b) suet, oth• of Ill own organizatillnal
rncuc:el (~, management , and engln.-lng MMCN) H the
SHA contl ldW,g ornc. dlterminn ii necesury to nlUl'I the perfor-
mance of lhl connc:t.
,. No portion of !he contract shel be aubltt, aaigned or ~
dllpoted of~ With the Wl'llan consenl of IM SHA contracting
offlclr, orluthOnad r~. and IUCh conHntwhwn given shal
not be contffllld to ,..,. the conlr9ClDI' of any mpon1ibiity ror the
full'llmllnt of the conlract. Wrtlen C011N111 wll 119 ;!Yen only after the
SHA hM 111urld that .-ch IUbconlrl~ Is 9Yldel1cecl !11 writing and that
I containa all f*1iW,t pnwllllons and ~ of the pnme
contrlct.
VII. SAFETY: ACCIDENT~
1. In the performance of this contract the c:~ shllll complywlth
dappllcal* Fed9ral, Stal, andlocallaWsg~lngNf.ty, halth, and
1anbllon (23 CFR 835). The oontracco, ll\al pRMOI d safeguards,
Hflty devie8' tnd prottetivl aqulpment and tlkll arr, dher needad
ICltcn • it dltermlnN, or • the SHA contradWlg officer may
dlt•miie, to be *aanlbly Mc;HSary lo praleet the Ufe and health of
11np1oywt on the job and the Aflty of the public and to protKt ~
in CCJ1 w llettor1 with the l)lffonTllnce of the work COYenld t,y the conlrad .
2. 1111 I oondltlon of this contrlet, and lhaR be fflldl I condition of
wet! .ubcontract, wt,tct, lh9 contractor nars Into pur9UIC'II to 1M
~ lhlt !ht connctor and ,,,, IUbcontrac:tor shill not p61mil any
emplcly9a, In 1*formanc1 ol ttll contract. to WOl1I: In IUfTOUndlnga ar
Ul'IQIW ~ which are unMllltary, huardow or dlngeroua to
his,,-hellh or uflly, u determined lftW oanstruction alfaty and
llelllth ltw'ldardl {29 CFR 1928) promulgad by U. Secrmry of l..llbor .
In ICCClrdm wilt! Section 107 ofthl Contract Wor1t Houn and Safety
Standaods Act{«> U.S .C. 333).
3. ~ to 29 CFR 1929.3, I ia I condition ol this conlncl that
the Secretary ot Labor or dlolDd reprNentallw thereof, eh.ii have
rtgtt ot .,vy lo ll1Y ... or connct ~ to lnwpect or ffifttiga
tilt matter of ccmpianel wlll\ the con9'7uction Aflly and hHlttl
andll'd1 and to carry DIA lhl dlJllls of thl Stcr*y und• Sdon 107
or the ContnlCt Wor1t Hour. and Saf.ty Slanda di Act. (<IOU . S.C . 333).
IX. FALSE STATEME:NTI CONCl!MNG HIGHWAY PROJECTS
In order to IMUla hlQtl qudy and~ construction in canformty
wlhapp,CNld plana and tr*iflcallotlt Ind I ltlgtl dlgrN of rellabfty on
llal9menla and ,....r,tltlon1 midi by
englneerl , coi llr.c:tors, supphrs, and worx•rs on Federal-1icl ~hw9y
pn,jecta. it ii tlsenllal that al persona concwnec:1 ~ the project
perform !her functions n Clr9Ulv , thoroughly, 111d llonestly n
ponible. W!Wful falsification, dia1ort!On, or milr91Q11nlatlon with
relped to any fac:ta rllaed to the projacl is a vlolltlon ot F lderal law.
To prevent any ~demanding reowdlna ffle ~snaa o, ttiese
and emtlat acts , lhl folowing notice anal be poll9d on wc:h F ect«al-aid
hi11hway projlCt (23 CFR 635) in one or mar• pfacH wher1 it i1 rudily
IYlil1ble to d persons conc•n9d with the project :
NOTICE TO AU. PERSONNEL ENQMEJ ON FEO£RAL-AIO
H10HWAY PROJECTS
1B U.S.C . 1020 r111Cb n follows :
"mio.l'lf. ~ an omc.r. llgti1t. Dl'emp/OyH olftla Un ited States,
arol r,ny srn rx Territory, orw/11, • .,,.,., WMfMr • person , n.oci11K>n,
m . or co,por1tlon. knowlnfiy makff 1111 fl/» st1tem111t. flls•
rep,H1nt1tlort. or l'alM rtport •s to the ch1r1cttr, qullty, quentlty, w
cast Of lltff m*'-~ed or to b• und, or the qu,ntity or quilt'/ of th•
worlr perfomled or to be ,,.rforrn.d. or tn1 cost thw9of In conn9C&ul
wifll the auOml'Sllorl ol pl111s, t:n•PS. specillcdons. contracts, or com
of cOflstNcflon Cir! lflY hlghwey orrelat.d projKt submltttd forepprovel
to the SICl9ta,y of TraMpO,t•tlon ; or
Who•VW'llnow/ngly m11cts 1ny hll• st.tement. false repr,seflt•tion ,
,.. r.polt or flllSI claim with flsp«l to (M chancttr, quelty,
qu111tity , or cost ol 111y worlf ,-formed or to be pwformed. orm«tlrt..
fUrnlshed or to t>• rtll'IIISll9d, /ti COltlltcfon with th• construdo/1 of ,ny
highwey arf'fll1'8d p,o}Kt 1pprov.ct &y me S•cr.tr,ry ofTrarT$pO/tatlon,
or
WhaallW knowingly rn,k .. any fMSfl sflfwMnf or fal:11 ,..,,,.
santdon n to ~ fltf In •ny srer.ment. c1rtllk1t•. or 1lpOrl
submitted pu,suent ta provisions ot · a,. ~d9rll-MJ Roads Act
•J1PfUV9d Jul'/ f, 191d, (38 Stat. 3.55}, IUl'l'l9ffded Etd ~pplemt11fld;
Shll be fftlld not mo11 ttlal S fO, OfJtJ or imprl$0nld not mew than 5
years or bath.•
X, IMPLEMENTATION 0, CLE.AH AIR ACT AND FEDERAL
WATER POLLUTION CONTROt. ACT
(Applicabl• IO IN Federal-aid construction comaets and lo II related
subcontracts of $100.000 or min)
By 1ubmiMion of tNs bid or the IP9CUtion of thia contract. or subcor,.
~. H tppl'Opriat1 , thl bidder, Fldl!lllHld construction contractot, or
9'1bc:Ol,lrlctor , •• appropriate , wit bl dllffllCI to haw slf!Mated •
follows :
1. TI!at any flCIRy that II or Will be utUind In the pe, ftN,, a ia. of this
contrac:1 , unlfta .ucn c«ttract Is hlfflPI under ti. CINn Air Act, n
amandft (42 u.s c. 1857!!_!!9., namendldbyPub.L. i1~).lll'ld
ullder the Fldn Wat.r Po1M1on Conlrol Act, a amended (33 U.S.C .
1251 !! !!9., •• amlnded by Pub .L. a2-500), E.ac:utlve Ordal' 11738,
and regulalms ,n impllmematlon th9reof ( «> CFR 15) is not llated, DII
the d$ at contract award , on the U.S . Erwtronmental ProttctiOn
Agency (EPA) LiS1 of Vlolati~ Flcilltles pinu1nC lo 40 CFR 15 .2Cl
2. Thll lhe firm ~ 11> comply and remain in complance wlh al th•
raqunrnenta of Section 1 14 of h Cll111 All' Ad and s.:lion 308 of lh9
Fedlnll Water Polution CDntrol Act and al~ snd ~
listed lheNlunder.
3. Thal h lln'n Ind promptly notify the SHA of the receipt of any
communiCatlOn from h Dlredar, Office oC Fedlnl ActMtlea, EPA,
indicating lhlt • lacllly tPllt la 0, wlll bl utllnd for the conlrlct la under
conaidenllon to bl llatad on lhe EPA Ust rA Vldlllng FICilltles.
I
!!!
•
I
4. That thll firm ag,-to include or cause to bl included the requlf-.
mera of ~-.,h 1 ~ , of this s.dlon X in every l"IOl'IBanpt
swcon11 act. en<1 fuT1ha ._. to take IUCh action a the government
mwy dnct NI rnelf\W of~ such rwqunments.
lU. CERTIACATION MGNU>INO DEBARMENT, SUSPENSION,
INEUOBUTV AND VOLUNTARY EXCLUSION .
1. lnatruction& tar c~ • Primary Covwed Trannc:-
11ona:
(Applicable ID al Flldarll-aid conlrac:ta -4Q CFR 29)
a . By signing and &ubmilti1'Q this pn,JIOAI , the prospectiw
primlry participant 1, providing the cerlification 9l!t out belcw.
b. The inability of • person to prc,vidl #le ~ Mt 1M
belt1N will not nee ... rily r'NUII in denial or par1icipation in tin COYef-.d
transaction . The proepectlY9 parllcipant "'81 submi ..... nation Gf
'M1Y It cannot provid9 the c:artillcltion ,et out ~-The certiflcnan "'
~ wll bl ~ in connection with !he dlpatrnant ot
aganey1 csetennlnltlorl wt,etner to enlel" into 1h11 nnuction. H~.
failure of the ~ plTIWY pertlcipert to Jumiah a ceetlllcttion OI
an ecp11nat1an shd cs.qudfy such • perlOl1 from par11cipa11Dn In lhitl
transaction .
c. The cartiflcltion in thi8 ciaUM 11 • m1P1111 repreaeratlOn of
fad upon which reliwlce -placed when the dapa1mant Of agar,cy
dlltenniMd to erll• i'tto 1h19 tranuction. If It IS lar dlRnnlMd tNt ltle
proapec:tlY9 primary participant kncMlrlgly renderad an erroneous
c:wtiliclltion, in addition to ottier ramedles available to the Fedanl
~, .ent, the depel1rnent or agency may tlm'llnat. thiS tranudion
for CIUM ~ d9fl\lll
c,. The ~ primary participant lllall prwlde lmmldlate
wri11tn natic4I to the depstmlnt « agar,q, to whom lhil proposal 1,
submiltad if any time the prospediWl primary partlc'*1 leams that ll9
eerttllcallon wn arrCIMCUI when IUbmitld Of haa become efTOOIIOUI
by ranon of changed c:italfflStances.
,. The tllTM "C!WINld transaction," "deblmlcl," ~.·
"Ineligible," "lower tier C0\181'ed trlnactlon." "participlri," "pert0n;
"primary eover9d trln&letiOn,. "pnncipll," "pr~; and "YOllnattly
~.-.. uNd in thiS Claule, ,..... the mer4ngs set out In the
O.ftnlliana and Co,,ar1191 MCttona of r'*9 Implementing ElltlCUtive
order , ~-YOAJ mr, contact the clepertment or agency to Which ltlil
propoul Is submlttad for aaistance In ctJtalninQ I c:opy of lhoM
l'lgUlatioM.
f . The~ primary plfticiplnt llgNft bJ ~ 1M
pl'Of)OUI that, llhould 1h11 propoMd co\lenld ~ be .-.cl '"'°·
it shall not knowingly erller Into any loMI' lier coverad ~ we,
I per10n who is debarred, 8USpllnded, decllrwd ineigibllt, Df vd\mtlrily
ftCluded from perticipallon in thil COfflwd trlnNction. Utllen llllno-
riad by lhe depa1'tlnn or agency emrtng lnlo In lnl'llacuon.
g. The praspectM primlly ~ fla1IW .... by
aubmAting tnia proposal 1h11 n wll lnclm the clMlN llllild ·c.m-lCltion
Regarding Debwmn, Sulpenaion, lneligibiltyand VouuyExcluslon-
LOMrTIM' Covered Tranl8Ctlan,• provided~ the department or agency
tf'itemg Wo lhia cowred transaction, withed modification, in Ill lowll"
11111' COffnld tranuc:tlDn9 and In al IOllcltallDnS for lower tier COYW'9CI
lt'IMlc:tiona.
t,. A partlc:.,.nt in a ~ lrw1Ndlon may l1lly \"30" I
cartiftcatlon ol a pruapldiYe pe ~ in • iow.-tier c:cwsld tranw:-
tlon 11a • nae dlblrT9d, ~. IMllgible, or YOlw'arty 9llduded
from lhe covered tranuc:tion, LSIINa it knows that the ctrtiflcltion ia
erraneoua. A pa,ticipant m., d«m lhe n'IIChod and
frequerq by which it <Miternw.s the tigibility d b pmc1pals . Each
participant may, but ii nc,t r-.quired lo, ct,eclr the nonpl'OC\.nrnen
portion of the "List• of Plltia Elduded From Fedetll P!'oeuremant or
N~ ~-(Nanptocurement l.lat) which la compiled
by the Ganar• Sirk .. Adrnnsttation.
i . ~ coruncl In the foregoing shall be COMtruedto requra
establthmef,t of• 1ymem of NC«ds In Meler to rends in good faith the
c.elillcatioi, required b't lhia clll.lM. The knowledge and information of
participant II not requind ID exceed 11'111 which ill normaly polNIMd
by I prUdst petaon ii\ IN ordlnlry COll'N af buliinau dullngs .
j. E-.,t for tranuclian& MJlhoriad 1N11' peragraph f of these
inatrul:liolw , if • participant In • ~ transaction knowingly ent.-s
into I lower tier OO¥lt'9d lrlnalction wtlh I par90f\ wl1o is SUlpellded ,
debarred, lneloble, or voluntarily excluded frcm participltion in tt,i$
cran11ctlon, In addition to olher ramldlN availabl9 to the Federal
Gcwernrnert, the d-.,.rtrnent or aoe,,cy may terminm this tfanMCtion
t« cause or dtflul.
eerunc.tlon ~ ~ SulplftSlon. lne..,..Y
and Voluntary !xc:lulkNI-Primary COYWed TransactlonS
1 . The prOIPflCtive primary pal1ielpant c«1lfln to the l>esl Of ils
~ Ind bef.ef, that 1t and 111 princ\plla:
I . Afl nd Jrilently dablrfed, suapwlded, propoaed for
detlarmert, daclarad ineligible, or 'f'Ollnarlly etdudld from covered
trlnNC1iona by any Feclerll depel1rnn Of apncy;
b. t-taw nae wiltiin • 3-..,._ period ~ 11a propoa1 i-..
conYic1ld of OI' hacf I c:lw J~ rendnd against thlln for
canmuion of fraud or , c:mvnei off9rlN in COMICtion with obtaning,
atta14,Ait,g IO obtain, Of performing I publle (Fedenll, State Of lacal)
lranACtlon or cornet imcler I put,llc tranuclion; violaticn ofFlderal or
state ll'ltllrult stat\Aff DI' cllfflfflislion ol embezzleme,i, theft, forgery,
brilery, falsiflcallDn or dHlruction of records, making falle statements,
0( J'ICeivlng stole" prupllty;
c. Are nd preeenlly Indicted for or cl1WwlN crinlnaly or civily
charged by• gownvnental entily (Flldarll. State« local) with commis-
sion ol eny of tht offenlll erunerated In ~tptl , b of 1h11 certifica-
tion; Ind
cl Have not within I 3-..-r partod precadlllg NII apple•
ticlnlpnlpola hid one or more public tranMcllons (Fldnl. ~ or
tocal) tarmllltld for CIUlil or dafault.
. ....
2 . lnstruc:Uons far Certilc:ation -Lower Tlfl Covem Traft&ac-
tlons:
(.Apabll lo 11 sutx:onbadll, ~ ord-. and athlr lower tier
tranAc:tluna of $25,000 or more • -49 CFR 29)
a. By signing and ~ ttq proposal. tne p,ospectlYe loWet'
tier la prtNidinlJ lt1I cer1if\caliun .. out b9IGW .
b. The~ in this ctaLIN .. I materlal 1'9prff«ltlti0n of
flcl upon Which l'llance WII ~ wnlll lhil lrlnllctlon WN entered
ll'IID. If It la Iller d.i.rmlnecs that the praapectM lawar tier p1n1c1pn
knawlngly ,.,.clll'9d II\ emneoi.a CIIUllcltlon, In lddlllon to Dtl\et
,."*"-~ to lhe F..,., ~. IN deplfflNl't, or
agancy wlh which !Na tranuction origlnllad ~ purau• avdlble
ramedln, ~ ..-pension tnd/or ~-
c . n.. pn,apadil/9 IIJWlf tier paltlclplnt shall pnMde lmmtc:lilt•
wrm.n r,ot1c;s to the peraon 1.c which 1h11 pn,paul '* submitted if at any
time the proapectlv• lowwtler participant INffls !Nit ill certification WH
erroneout by l'NIOn of chllnglld circumstances.
d . The ttrma "COYll'ed transaction; "deblfftc:I," "suspended,"
"lnetlglbl•, • "primary co...erecs lrlnsactton; "plrtk:lpant," "person,"
"prineipa ,··~111: and~axcluded, • nuudinthlsclauM,
1111/e 1M meanings .. cu In the Oetlnalonl and COYnge NCtlomi of
nJleS lrnplernan1lng ~ Ord• 1~. You may conta~ lh•
P9f10t1 to Which thla ptOpOMI ls lUbmlted fDr aul-.nc. In obtlinilg a
COJIY of thoN regullll!Ona .
•. Th•~ iowertter ~ag,IM bysubmillingthi9
prapoMI that, lhoutd the propoud co-..red tranuction ba ..-.d lnlo ,
It tnal nol knOWlngly enter '"'° "" lower tier cO*'ed ~ with
• pe,-.cn who i. dabarracl, au.pend~ deci..d tMliglble , or voluntarily
ecllcled from participation In lhil C0¥9f9CI tnnuctlon, unJen autho-
rized by tt,a department or agency With Vll11ld'l lhil tnnuction originated.
t. The proapectlve lower tllr pal1lcipn further agr11n by
IUbmlttlngthls propollll thllt ltwll tnctudelhis clauHllled~C9ftif'IClltion
Aagatding CabarrMnt, SUiplll'1lllon, Ineligibility and Voltlrary Elcclulion-
LOWlf Tl• COYltld TtlnMCtlon," with~ modification, In d lower liar
CCMNd tranuctlona and In • solicbtlona ror lower tier COYW8d
traMIIC:CloM .
g. A participant In I CO'Ned transaction may 1'91y upon 1
certfflcatlaC'I ol I prospac1MI pmticlpant In a laww u.. covered transac-
tion that la not debarred, suepended, inelgbl•. or volunmil'J excluded
from tt,a covfflCl trannctlon, unlns It knows It'll! the certiflellion Is
emnoua. A ~int may daclde the method and frequency by
which it dltarminel the 111gt'bilty of itJI principals. Each p1rticiplf'lt may,
but Is nat rwqund to , chec'k tt,1 Nonprocurwment Ult.
h . Nolhlng conlalned In ttie toregolng al'III be conl1rued to
require Ntablilhmlnt of I system uf rlCIW9 in orcw to refl<* in pd
faith the certification requncl by lhl1 clauN. Th• lalowlld;e and
infOffllltion of participant la not~ to uceed ht wtliQ'I;. normely
posseaMd by I prudent parlOI\ in lhl ordlmNy CGurH of O\JVIIQ
dealnga .
I. Except for tranactlons Nthorizld und9r ~ e Qf !heM
inltructiona, If I participant In• covered tranNc:llon knoiwlngly entera
Into I loWer liar COV9fed tranaac:tiOn with • pnon who is slllJ)90dld,
debarred, inellglble, or voluntarily lllctudld from plrtlclpallon in thia
tranucllon, In addlllon ta cller rlfflldln available to !M Fadlrll
Gorolemrn9P'lt, the department 0, agency wilt, ~ this lrlNaetlon
orlglnlttd mayp.nua available r.medies, including 1Ulf*'llion anci'or
dlbalment.
Cattlftc:aaon Regarding Debanmnt, SuspeM!on, lnellglbllty
and Voluntary Elldumn-Linrter Tier CO¥wed Tran••ctlons:
1 . The prospec:ttve lower ti« participant certifies, by IUbmlUiun of
this propoul, that nelthw it nor Ill pnnciplle es preuntty clebllrr9d,
suapended, propoeed f« dlbannert, dectaf9d IM4i;tble, Of voluntarily
ncluded from pe~ in this transaction by 1ny F~ ~-
rnent or~.
2. Where the JlfOI~ ia--ti • p1rticipv,t i1 IM\Mll9 to~ to
¥f'f of the stalements in ttti. certification, such prosptdlve psticipant
shaN lttlCh 11'1 i,xpllnat/0!1 to lh it proposal .
XU. CERTIFICATION REGARDING USE Of' CONTMCT FUNDS
FOR LOBBYING
{Applicable lo al Fld9rwl-11d comtruction ~rac\'s and to 1111 relatad
IUbCOntrlcta which BIIC8ld 1, 00,000 • 49 CF~ 20}
1. Th• proapectMI pal11c'*" c9111f1N, by .igftlng ,NI ~
this bid or propoul, to 1h• best or his or her knc7w'lldot and btaef, !hat:
a. No F edefll 1ppl'Opflatld lunds h1v1 bNn peld or will bl paid,
by or on bel'lllf or Iha~. to "1'f/ person for lnflutnelnQ or
attempting to in"'--i~ an oft"icer or employM of ,rr, F6daral agency,•
Member of Congreu, an omc. or employee of Congren, or en
employee of I Member of COflVJ"I in connection With lne awarding of
any Federal contract, ttie making of~ Federal~ the makinQ of any
Federll loan, ll'1e entering Into of iny cooperl!Ne agreement, and Iha
extension, conlnllllioo, ren9MI , 11mendment, or modification of arr,
Federal contract , ~ant. loan, Of Cooptfltivl agreement.
b. Ir any fund• ottw than Federal appropnaa:t foods haw blen
paid or wit be paid to any l)lfaon for lnfklencing or lb'npti,g to
Influence an officer or employee of any Federal agency , • Member or
CO!lgr .... .,, officer or em~ of Congma, or an employ• of •
Member of Congress in connection with this Fedam contnic:t, grant,
loan. or cooperative agrff!Tlent. the underslgned lhaR complete and
IUtlmit standard Form-LLL, ~Dlsclosure Form to Report Lobbying," in
ICCQl'danet with Its instructionl.
2. This c:«titlcation is a material repreaentatlon of fact upon which
relianu was placed when thl1 trwlslctlon WIii made or entlt'ld Into
Submission ot this clrtiflcation is a praraquialte for making or entering
into this ll'IMldion Imposed by 31 u.s.c. 1352. Any pnon who fails
to fll• the reqund c•rtiflcltlon shall be subject to I civil penalty of not
teu than S10,000 ar,d nat more than $100,000 f« Heh IUCh fun.
3 The p,ospactt,,t participant alao agren by 1ubrnittlng Ilia or Ml'
bid« proposal tNt he or she sha~ raquire that th• language ol lhis
c«tiflcation tie included in al IO'NW tier ~bcontreets, which e,cCNd
$100,000 and tnat an 1uc:h recipients shllH certify and lisclose accord-
ingly.
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APPENDIX-A
TXDOT
LOCAL GOVERNMENT CONTRACT PROCEDURES
(SECTION 3 -CONTRACT COMPONENTS)
Module 11 -Construction
Section 3 -Local Government (LG) Contract
Components
Section 3
Local Government (LG) Contract Components
The following is a detailed discussion of the required contract components of LG contracts.
These components are listed according to the contract stage (Bid Document Preparation,
Letting and Award, Contract Execution, and Contract Administration). Many of these LG
contract components appear in more than one of the contract stages. The format for each
contract component includes:
• General
• Federal Regulations
• State Regulations
• Required Practices
• LG Responsibilities
• TxDOT District Responsibilities
A. BID DOCUMENT PREPARATION
Bonding
General A LG may include provisions for bid guaranties or bonds, or warranty bonds in
invitations for receipt of bids. Bonding is grouped into five basic classifications; bid bonds,
performance bonds, payment bonds, retainage bonds and warranty bonds.
A 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.
A performance bond is a bond executed in connection with a contract to assure fulfillment
of all the contractor's obligations under the contract.
A 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.
A retainage bond is a bond executed in connection with a contract to assure that any monies
owed to the owner by the contractor are recoverable (A retainage bond is used instead of
actually withholding a percent of the contractor 's payments.), and
A 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.
Local Government Project Procedures 11-15 TxDOT 02 /2009
Module 11 -Construction
Federal Regulations
Section 3 -Local Government (LG) Contract
Components
a. 23 CFR 635.110-The procurement or contract documents may not contain
criteria that restrict competition.
State Regulations
a. Local Government Code 252.044 -A municipality must require the successful
bidder to execute a good and sufficient bond. The bond must be executed with a
surety company authorized to do business in Texas.
b. Local Government Code 262.032 - A county may require the successful bidder to
provide a performance bond. The bid bond must be executed with a surety
company authorized to do business in Texas.
c. Government Code 2252.064 - A contractor is required to execute a performance
bond issued by a surety company authorized to do business in this state in an
amount determined by the contracting state agency, but not to exceed the contract
price. (TxDOT only. NIA to RMA or RTA)
d. Government Code 2253.021 -A contractor is required to execute a performance
bond if the contract is in excess of $100 ,000 and a payment bond if the contract is
in excess of $25,000. (State or local government)
e. Transportation Code 223.205 (Comprehensive Development Agreement by
TxDOT) - A private entity is required to provide a performance and payment
bond or an alternative form of security in an amount equal to the cost of
constructing or maintaining the project.
f. Transportation Code 370.308 (Comprehensive Development Agreement by
RMA) - A private entity is required to provide a performance and payment bond
or an alternative form of security in an amount equal to the cost of constructing or
maintaining the project or an amount sufficient to ensure performance and protect
the beneficiaries.
Required Practices
a. All Texas governmental entities have a statute that requires contractors to execute
bonds. The type of the bond may vary, but all provide that the bond be issued by
a surety company authorized to do business in Texas. When state or federal funds
participate in the contract, TxDOT wants assurance that their funds are protected.
Accordingly, the LG must either adopt TxDOT's bonding process or submit their
own process for TxDOT approval if the project has state funds in any amount.
b. For projects that do not have any state or federal funds, the administrating entity
is expected to follow the applicable statutes for their condition. TxDOT will
neither review and approve bonding processes nor monitor implementation. This
policy applies to projects both on and off the state system.
LG Responsibilities
a. The LG must get advanced TxDOT approval of procedures to bond
contractors.
b. Include approved procedures in contract documents.
Local Government Project Procedures 11-16 TxDOT 02/2009
Module 11 -Construction
Section 3 -Local Go vernment (LG) Contract
Components
TxDOT District Responsibilities
a. General
1. For projects with state and/or federal funds , review LG bonding process
for compliance. Submit questions and non-compliance issues to CST for
final determination. If the bond requirements are different than the
TxDOT's, submit bond procedures and requirements to CST for approval.
ii. There is no monitoring on projects without federal or state funds.
b. Design-bid-build -For projects with state and/or federal funds , assure bonding
provisions are in specifications before sending PS&E to Design Division.
c. Design-build -For projects with state and/or federal funds , assure that Request
for Proposals contains language requiring that the successful proposer provide a
performance and payment bond or an alternative form of security.
d. Concessionaire -For projects with state and/or federal funds , assure that the
concessionaire agreement requiring the concessionaire provide a performance and
payment bond or an alternative form of security.
Buy America
General. 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 regulations regardless of the percentage they
comprise in a manufactured product or the form they may take. The regulations allow
bidders and the LG some latitude through minimum use, waivers and alternate bids.
As previously mentioned, all manufacturing processes must take place 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 include rolling,
extruding, machining, bending, grinding, drilling and coating. Coating includes epoxy
coating, galvanizing, painting, 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 at the FHW A website
(http://www.fhw a.dot.gov/programadmin/contracts/032495.cfm) 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.
The manufacturing process for a steel/iron product is considered complete when the product
is ready for use as an item (e.g., fencing , posts, girders , pipe, manhole cover, etc.) or could
be incorporated as a component of a more complex product through a further manufacturing
process (e .g., the case for a traffic signal head). The final assembly process does not need to
Local Government Project Procedures 11-1 7 TxDOT 02/2009
Module 11 -Construction
Section 3 -Local Government (LG) Contract
Components
be accomplished domestically so long as the steel/iron component is only installed and no
manufacturing process is performed on the steel/iron component.
Example : Shapes produced domestically from foreign source steel billets are not acceptable
under Buy America since 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 iron/steel 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
required 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 remain in place at the contractor's
convenience.
The practice of making otherwise eligible items non-participating for the purpose of
circumventing the Buy America requirements is unacceptable and will not 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 material 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
FHWA for all federally funded projects. The FHWA may grant a waiver of the Buy
America requirements for specific projects if the LG can demonstrate either of the ·
following:
a . Compliance with the requirements is inconsistent with the public interest; or
b . Insufficient quantities of satisfactory quality domestic products are available.
Materials delivery delay will not be considered as grounds for a waiver. The cost differential
between domestic and foreign products is also not grounds for a waiver.
An LG may apply for a waiver of the Buy America provisions if it believes that a waiver is
warranted. The LG must submit the waiver request with supporting information through
Local Government Project Procedures 11-18 TxDOT 02/2009
Module 11 -Construction
Section 3 -Local Government (LG) Contract
Components
TxDOT to FHW A sufficiently in advance of need to allow time for proper review and
action.
Alternative Bidding Procedures. An alternative bidding procedure may be used to justify the
use of foreign steel or iron. Under this procedure, the total project is bid using two
alternatives: one which is based on foreign source products, and the second, using domestic
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 using 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.
Federal Regulations
a. 23 CFR 635 .410 -All iron and steel products must be of domestic origin.
Waivers may be approved by FHWA.
b. 23 CFR 636.119 Design-build -TxDOT must ensure compliance with Buy
America regardless of the form of FHW A funding.
State Regulations
a. Transportation Code 223.045 -A contract awarded by TxDOT on the state
highway system without federal aid must contain the same preference provisions
for steel and steel products that are required under federal law for a federally
funded project. There is no specific requirement for other entities to follow this
statute.
Required Practices
a. Projects with federal funds comply with the Buy America statute.
b. Concessionaire projects administered by TxDOT must comply with ITC 223.045.
TxDOT executing an agreement with a concessionaire is considered the same as
TxDOT awarding a contract.
LG Responsibilities
a. The LG must prepare any requests for waivers and submit the request through
TxDOT to FHW A for approval prior to advertisement for receipt of bids.
b. The LG must include contract provisions that address Buy America.
TxDOT District Responsibilities
a. The District must assure that Buy America provisions are included in all
procurement documents for federally funded projects and that the provisions of
Local Government Project Procedures 11-19 TxDOT 02 /2009
Module 11 -Construction
Section 3 -Local Government (LG) Contract
Components
Transportation Code 223.045 are included in concessionaire projects administered
byTxDOT.
Change Orders
General. TxDOT 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. Project designers should be diligent and exercise due care
in developing the plans. However, 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 designs and respond to needed changes.
TxDOT must formally approve proposed major extra work or major changes in the contract
plans and provisions before work begins. However, when emergency or unusual conditions
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
discretion.
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 is a change
that:
• reduces the geometric design or structural capacity below project design criteria (any
reduction in geometric design which would normally have required a design exception)
• increases the contract by 25% of the original contract or by $300,000 whichever is less
• changes project limits
• any change in the Traffic Control Plan (TCP), which reduces the capacity as shown on
the plans for the through traffic or the traffic on major cross streets
• settlement of a dispute or
• changes the access on a controlled access highway
Early coordination between the LG and TxDOT is essential in the review of change orders.
There are four basic components that TxDOT will consider during its review of change
orders. These considerations are:
a. 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.
b. Eligibility. The FHW A 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.
Local Government Project Procedures 11-20 TxDOT 0212009
Module 11 -Construction
Section 3 -Local Government (LG) Contract
Components
c. Consultant Design Errors. Federal policy regarding participation in consultant
design errors is that the consultant should pay for the cost of the new design, but
is generally not held responsible for additional construction costs resulting from
such errors, as long as the errors are not a result of gross negligence or
carelessness. If gross negligence or carelessness is determined, neither State nor
Federal funds can be used to pay for needed design or construction.
d. Basis of Payment. The LG must perform and suitably document the cost analy sis
for each negotiated work change order. The method and degree of analysis are the
LG's decision; however, the process should be acceptable to Tx.DOT. Force
account procedures should only be used as a last resort when agreement cannot 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 reasonable
degree of accuracy.
e. Time Extensions. The change order should also provide the time needed to
accomplish the work. Contract time extensions granted by an LG that affect
project costs or liquidated damages shall be subject to the concurrence ofTx.DOT
and will be considered in determining the amount of Federal participation.
Federal Regulations
a. 23 CFR 635.120 Design-bid-build -All changes to projects on the National
Highway System must be approved by the FHW A. Tx.DOT assumes this
responsibility for projects administered under the provisions of the
Tx.DOT/FHWA Stewardship/Oversight Agreement for Design and Construction.
The bid documents should include language describing administration of change
orders.
b. Design-build -Since design and construction are performed under the same
contract it is not anticipated that change orders for plan errors or omissions would
be approved. (This is a matter of FHWA policy. See FHWA Contract
Administration Core Curriculum Participant 's Manual). However, Tx.DOT may
direct changes to a design-build contract after work begins, in which case a
change order may be appropriate.
State Regulations
a . Local Government Code 252.048
1. The governing body of the municipality may approve changes.
ii. The total contact price may not be increased unless there are available
funds.
iii. The original contract price may not be increased by more than 25%.
1v. The original contract price may not be decreased by more than 25%
without the consent of the contractor.
b. Local Government Code 262.031 -County Commissioner's Court has authority
to make changes. The total contract cost may not be increased unless there are
available funds.
Local Government Project Procedures 11-21 TxDOT 02/2009
Module 11 -Construction
Section 3 -Local Government (LG) Contract
Components
c. Local Government Code 271.060-A governing body may approve change orders
ifthere are available funds.
Required Practices
a. For all projects on the state system , TxDOT must approve all changes to the types
of safety appurtenances, geometric design criteria, and structural design of
pavements and structures (including drainage structures) before the LG gives the
contractor authority to proceed with the change. This policy applies regardless of
whether there are state funds in the project.
b. Changes on all projects with state or federal funds must be approved by TxDOT.
Failure to coordinate with TxDOT before issuing a change order may jeopardize
TxDOT participation.
c. For all projects with state or federal funds , TxDOT approval of changes will be
governed by the type and extent ofTxDOT funding. Details will be covered in
the funding agreement. There are several possible scenarios:
i. TxDOT participates in a fixed amount based on a percentage of the
estimated contract cost and additional TxDOT funding is not sought.
1. If the contract price as awarded is less than the fixed amount,
TxDOT will approve all change orders for participation until their
fixed amount is reached. The change orders must be within the
scope of the agreement with TxDOT. The LG should not consider
additional work just to "use up" the available funds. Subsequent
change orders do not require TxDOT approval except as outlined
in 3.a.
2. If the contract price is equal to or greater than estimated, change
orders do not require TxDOT approval except as outlined in 3.a.
11. TxDOT participates in a percentage of the contract and there is an upper
limit to TxDOT financial participation.
1. Change orders will require TxDOT approval for participation until
the upper limit is reached. Subsequent change orders do not
require TxDOT approval except as outlined in 3 .a.
iii. TxDOT participates in a percentage of the contract and there is no upper
limit to TxDOT financial participation.
1. All change orders will require TxDOT approval for participation.
d. For projects with state and/or federal funds, TxDOT follows FHW A Texas
Division policy guidance for participation. Participation in change orders is NOT
permitted for additional costs for delays in purchasing right-of-way, adjusting
utilities, and other delays that are not the responsibility of the contractor.
Participation is also not permitted for the cost to correct design errors.
e. Change orders on projects that are either not on the state system or anticipated to
be on the state system and do not have state or federal funds do not need to be
submitted to TxDOT for approval.
f. Design-build -Since design and construction are performed under the same
contract it is not anticipated that change orders for plan errors or omissions would
be approved. However, TxDOT may direct changes to a design-build contract
after work begins, in which case a change order may be appropriate.
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a. TxDOT retains approval authority over all change orders and time extensions.
This authority also determines Federal participation limits .
b. The LG must submit changes for TxDOT approval in accordance with "Required
Practices".
TxDOT District Responsibilities
a. For projects with state or federal funds, the District must approve all change
orders in accordance with the above policy statements . Submit questions to CST
for interpretation.
b. For all projects on the state highway system, the District must approve all changes
to the types of safety appurtenances, geometric design criteria, and structural
design of pavements and structures (including drainage structures) regardless of
source of funds.
c . There is no monitoring on projects without state or federal funds off the state
system.
Child Support Documentation
General. In accordance with 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 , Family Code, the vendor or applicant certifies that the
individual or business entity named in this 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 recei ve
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 attorne y 's
fees, the costs necessary to complete the contract, including the cost of advertising and
awarding a second contract, and any other damages provided by law or contract.
Federal Regulation
a. No comparable statute
State Regulation
b. Family Code 231 .006 -Applies to recipients of state funds and state contracts.
i. Requires inclusion of a verbatim certification in bid documents.
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ii. Requires bidders to include the name and social security number of
individuals with at least a 25% ownership.
m. Requires collection of the names and social security numbers of certain
individuals with the successful bidder.
Required Practices
a. All projects with federal and state funds must meet statutory requirements.
LG Responsibilities
a. The LG must include the certification required by Family Code §231.006 in all
bid documents. In addition, the LG must collect and maintain the name and social
security number of all affected contractor owners of the successful bidder as
required by Family Code §231.006 .
TxDOT District Responsibilities
a. For projects with state or federal funds , the District must assure that the
certification is included in proposals and requests for proposals, as appropriate .
b. There is no monitoring on projects without state'or federal funds.
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 if reviews 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.
Federal funds can participate in interest associated with a claim if three conditions 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
determination 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
I Texas Government Code §225 1.042 all ows payme nt of interest in vol v ing a claim if the claim is resol ved in fav or of the contractor.
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claims, are reimbursable. Such costs are reimbursable at the same participation rate as the
related construction project.
The FHW A does not participate in anticipated profit because this is in the realm of the
contractor's risk.
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 days 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 hearing 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 Government Code §2001.058.
Federal Regulations
a. 23 CFR 635.124 Design-bid-build-Federal participation is determined on a case-
by-case basis to the extent the claim is supported by the facts and is founded in
the contract.
b. Design-build -For design-build projects the likelihood of a claim is greatly
reduced since the designer is also the constructor. (This is a matter ofFHWA
policy. See FHWA Contract Administration Core Curriculum Participant's
Manual)
State Regulations
a. Government Code Chapter 2001, Subchapter C -Procedures for contested cases.
To be followed if the procedures in Transportation Code 201 do not result in
satisfactory resolution. Applies to state agencies but not other entities.
b. Transportation Code 201.l 12(a)-Allows Commission to establish rules for
informal resolution of claims.
c. Transportation Code 20 l .112(b) -Allows a person to file for formal resolution
under Government Code Chapter 2001 if they are dissatisfied with the informal
process.
Required Practices
a. Claims on projects with federal or state funds must be approved by TxDOT to
assure TxDOT participation. Failure to coordinate with TxDOT before settling
the claim will jeopardize TxDOT participation. TxDOT participation in claims
will be governed by the type and extent ofTxDOT funding. Details will be
covered in the funding agreement. There are several possible scenarios:
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1. TxDOT participates in a fixed amount based on a percentage of the
estimated contract cost and additional TxDOT funding is not sought.
1. If the contract price is less than estimated, TxDOT may approve
claims for participation until their fixed amount is reached. The
claim must be within the scope of the agreement with TxDOT.
Subsequent claims do not require TxDOT approval since TxDOT
participation limits have been reached.
2. If the contract price is equal to or greater than estimated, claims do
not require TxDOT approval.
ii. TxDOT participates in a percentage of the contract and there is an upper
limit to TxDOT financial participation.
1. TxDOT may approve claims for participation until the upper limit
is reached. Subsequent claims do not require TxDOT since
TxDOT participation limits have been reached.
n1. TxDOT participates in a percentage of the contract and there is no upper
limit to TxDOT financial participation.
1. TxDOT must approve all claims for participation.
b. For projects with state and/or federal funds, TxDOT follows FHW A Texas
Division policy guidance for participation. Participation in claims is NOT
permitted for additional costs for delays in purchasing right-of-way or adjusting
utilities. Participation is also not permitted for the cost to correct design errors.
Further, claims must be supported by the facts, must have a basis in the contract,
and be settled under applicable statutes.
c. Claims on projects that do not have state or federal funds do not need to be
submitted to TxDOT for approval.
d. Design-build -For design-build projects the likelihood of a claim is greatly
reduced since the designer is also the constructor.
LG Responsibilities
a. Include language in the contract outlining conditions for which a claim may be
filed.
b The LG must keep TxDOT involved in the process of settling claims if they
anticipate requesting State or Federal participation in settlement costs.
c. Any hearing associated with a contract claim must be conducted in accordance
with Government Code Chapter 2001 Subchapter C (see TxDOT procedures).
T:xDOT District Responsibilities
a. For projects with state or federal funds , review the procurement documents for
inclusion of conditions under which a claim may be filed.
b. For projects with state or federal funds, work with the LG following notification
of a pending claim to assure that the LG understands the requirements for
maximum TxDOT participation.
c. For projects with state or federal funds, review the claim and transmit with a
recommendation for participation to CST.
d. There is no monitoring on projects without state or federal funds.
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Contract Time
General. The term of the contract is an important part of every construction project. Too
little contract time may result in higher construction costs, while too much contract time may
encourage inefficiencies, increased user costs, and potentially delays and inconvenience to
the public.
The LG must have an acceptable procedure for determining contract time. This procedure
should include a comparison of the actual construction time against the estimated completion
time for several projects to ascertain whether their procedures result in appropriate contract
times. The goal should be to strive for the least practical number and duration of traffic
interruptions during highway construction.
Federal Regulation
a. 23 CFR 635.121-For federally funded projects on the National Highway
System, recipients should have adequate procedures for determining contract
time.
State Regulation
a. No comparable state statutes specifically address contract time determination.
Each entity has broad authority to determine procedures to deliver projects,
including methods to determine contract time.
Required Practices
a. Where required by federal regulations, the LG should gain TxDOT concurrence
that their contract time determination process is adequate. This should occur prior
to submission of the PS&E for TxDOT approval.
b. For all other projects, the LG may follow local practice.
LG Responsibilities
a. Gain TxDOT concurrence in time determination process.
b. For design-build this is normally one factor in considering proposals.
TxDOT District Responsibilities
a. For federally funded, design-bid-build projects on the National Highway System ,
review the LG's time determination process and concur that the process is
adequate. If needed, request assistance from DES.
b. There is no monitoring on all other projects.
Debarment Certification
General 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
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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 (Excluded Parties List)
may be accessed at https ://www .epls.gov/.
Federal Regulation
a. 49 CFR 29 -Contractors and subcontractors that are debarred by any federal
agency are prohibited from participating in federally funded projects.
State Regulation
a. Texas Administrative Code, Title 43 §9.106-Provides for contractor sanctions
by the Executive Director ofTxDOT. May include contractors that are debarred
by federal agencies. A current list of debarred contractors is listed on the TxDOT
web site (pending update).
b. Government Code 2155.077 -Allows the Texas Building and Procurement
Commission to bar a vendor from participating in state contracts .
Required Practices
a. For all projects, the LG must check the current list of debarred contractors and
suppliers at both the federal Excluded Parties List System and the TxDOT web
sites before awarding any contracts or approving an y subcontracts.
b. Bid documents for federally funded projects must include the verbatim
certification required by the regulations.
LG Responsibilities
a. The LG should insure that plans and specifications are not furnished to federal
suspended or debarred bidders or TxDOT debarred bidders.
b. The LG must include the certification in all bid documents for projects with
federal funds .
c. The LG must check for the contractor 's certification as part of the bid opening
process.
d. Check proposed subcontractors against federal suspended or debarred and
TxDOT debarred lists.
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a. For design-bid-build and design-build projects with state or federal funds:
1. Check the bid proposal or the request for proposals to assure the
certification is part of the package.
ii. Verify that the bidder to which the contract is to be awarded is not on the
debarred bidders list.
iii. Spot check subcontractors on the project against the debarred bidders list.
Submit questions and non-compliance issues to CST for action.
b. There is no monitoring on projects without state or federal funds .
Designated Material Sources / Disposal Sites
General. The contractor must furnish all materials to be incorporated into the work.
However, the LG can either furnish materials or require the contractor to use designated
sources of materials under certain conditions. 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 sources 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 the public interest to require the contractor to use materials
furnished by the LG or from sources designated by the LG. The exception policy can best be
understood by separating LG-furnished materials into the categories of manufactured
materials and local natural materials.
Manufactured Materials. When the use of LG-furnished manufactured materials is approved
based on a public interest 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 the
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
designated 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 surplus 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 ofTxDOT, 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 as the basis for the public interest
finding.
Summarizing Federal policy for the mandatory use of borrow or disposal sites:
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Mandatory use of either requires that the LG develop a public interest finding and gains
Tx.DOT'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 environmental
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.
Federal Regulation
a. 23 CFR 635.407 -Use of materials made available by a public agency
State Regulation
1. Contractors must be permitted to select sources of materials. One
exception is when there is a determination that it is in the public interest to
require use of material from designated source.
ii. Material that meets specification requirements may be made an optional
source without a public interest determination.
iii. Except for natural materials, designated materials must be acquired by
competitive bidding as a condition of federal participation. Other
procurement methods may be approved ifthere is an approved public
interest determination.
a . No comparable statute.
Required Practices
a. For all federally funded projects and all projects on the state highway system,
Tx.DOT approves all specifications for materials to be incorporated in the project
regardless of funding source. This approval includes any mandatory materials
sources and required disposal sites.
b. For projects off the state highway system that do not have any federal or state
funds , the LG may follow their own practices for material quality and sources.
LG Responsibilities
a. If the LG wants to furnish material to a contractor, designate a source 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 .
b. The public interest determination must have Tx.DOT concurrence.
c. Submit materials specifications to Tx.DOT for approval , including any designated
source
TxDOT District Responsibilities
a. For federally funded projects, transmit the LG's public interest request to DES for
formal action.
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b. For projects on the state highway system, specifications will be submitted to DES
for approval as part of the project development process. DES will review and
approve all materials specifications.
c. There is no monitoring on projects off the state highway system without state or
federal funds.
Differing Site Conditions
General. 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 costs for risks 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. 112(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 materially 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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[LG] within seven calendar day s ofreceipt of the notice to resume work. Recovery of
profit on costs resulting 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 highway construction (i.e .,
material sampling and testing ; approval of shop draw ings, material sources, etc.; and other
reasonable and customary suspensions necessary for the supervision of construction by the
contracting agency). In addition , an adjustment under this clause is not allowed if the work
is suspended for other reasons or 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 term "significant
change "shall be construed to apply only to the follo w ing 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 quantity performed).
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. Both parties may
initiate an adjustment and both must be in agreement before the work is performed. As with
the suspension of work provision, this clause does not preclude the recognition of
constructive suspensions or delays.
Federal Regulations
a. 23 CFR 635.109 Design-bid-build
1. Requires specific language be incorporated verbatim into all construction
contracts. The language covers: 1) differing site conditions, 2)
suspensions of work ordered by the engineer, and 3) significant changes in
the character of work. There are provisions for alternate language.
ii. A non-regulatory supplement to 23 CFR 635 Subpart A advises that the
"differing site condition" clause must be made part of the contract unless
prohibited by state law.
b. 23 CFR 635.109(c) Design-build-Administering agencies are strongly
encouraged to use "suspensions of work ordered by the engineer" clauses and
may consider "differing site conditions" and "significant changes in the character
of work" clauses appropriate for the risks and responsibilities shared with the
private entity .
State Regulations
a. Local Government Code 271.195.(l)(B)-On design-build projects the local
government assumes the risks and costs assoc iated with unknown or differing site
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conditions unless otherwise provided for in the request for proposals and final
contract.
Required Practices
a. For all projects with federal or state funds, the LG will be required to follow the
same procedures as for federally funded projects. This language minimizes risk
to both the contractor and the administrator of the contract.
b. For projects with no state or federal funds , use of this language is not mandatory.
LG Responsibility
a. For design-bid-build projects, ensure that the contract language contained in CFR
635.109 is included verbatim in the bid document.
b. For design-build projects, consider using applicable clauses appropriate to relative
risk of all parties .
TxDOT District Responsibilities
a . For state and federally funded design-bid-build projects, assure that the verbatim
language is in the bid proposal.
b. There is no monitoring on all other projects.
Disadvantaged Business Enterprises (DBE), Historically Underutilized Businesses (HUB),
and Small Business Enterprises (SBE)
General. 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 (US DOT) for approval. US DOT 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 TxDOT's
Office of Civil Rights (OCR) at (512) 486-5510 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 (OSDBU).
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".
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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 Program. The LG
should solicit the advice ofT:xDOT in resolving these issues as needed.
If the LG decides to use their own program, the DBE Specifications and contract provisions
must include the following:
• 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
• Award Documentation and Procedures
• Post Award Compliance Provisions
• Records and Reporting Requirements
The US DOT on February 2, 1999 published in the Federal Register (Federal Register/ Vol.
64, No. 21 / Tuesday) its final rule, 49 CFR Part 26, entitled "Participation by
Disadvantaged Business Enterprises in Department of Transportation Programs". This final
rule became effective on March 4, 1999. 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 changes 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. Transportation agencies (including LGs) must set
their goals based on local evidence of the actual availability of qualified DBEs.
• LGs must provide for a public participation process in establishing their overall goals.
Once goals are established, LGs must maximize race-neutral methods, such as
technical assistance and outreach, to meet as much of their overall goals as possible,
the reminder of the overall goal will be met through race-conscious measures such as
contract goals. There is no requirement that contract goals be applied to all contracts.
• To participate in the DBE program a businesses must not exceed small business size
standards or individuals must not exceed $750,000 personal net worth cap. To be seen
as a small business, a firm must meet SBA size criteria as defined by current size
standard(s) found in 13 CFR part 121 AND average annual gross receipts as defined
by SBE regulations (see 13 CFR 121.402)
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• One-stop shopping certification programs are to be established in Texas so that
businesses may obtain certification as a DBE to apply for contracts in highway , transit
and airport agencies. The Texas Unified Certification Program (TUCP) came into
effect in October 2002. The Texas Unified Certification Program is a certification
process for the Federal Disadvantaged Business Enterprise (DBE) Programs in Texas.
A business ' DBE certification is valid at any Texas entity that receives U.S .
Department of Transportation (DOT) funds and has a DBE Program.
• Contractors will not be penalized if they fail to meet contract DBE goals as long as
they "make good faith efforts to meet a DBE contract goal"
• Contractors who fail to meet DBE goals and fail to make a good faith effort may be
penalized. The penalty may consist of
• the termination of the contract,
• the deduction of the dollar amount of DBE goal not accomplished ,
• or such other remedy or remedies as deemed appropriate.
Federal Regulations
a. 49 CFR Part 26 Design-bid-build -The DBE program may not restrict
competition or provide in-state or other local preference.
b. 23 CFR 635.107(b) Design-build-The provisions of 49 CFR Part 26 and the
receiving agency 's approved DBE plan applies. IfDBE goals are set, DBE
commitments above the goal must not be used as a proposal evaluation factor in
determining the successful proposer.
State Regulations
a. Texas Administrative Code, Chapter 43 , §9.54 -Requires that TxDOT establish
overall HUB participation goals and assign individual project goals to achieve
overall goal. Note that the Comptroller of Public Accounts (CPA) certifies HUBs
and provides that the CPA recognize some TxDOT-certified DBEs as HUBs.
Requires that provisions addressing HUBs be included in TxDOT contracts
funded entirely with state and local funds. Does not apply to contracts with
federal funds.
b. Texas Administrative Code, Chapter 43, §9.55 -Requires that TxDOT establish
annual SBE contracting goals. Notes that the TxDOT maintains an SBE directory
and provides that TxDOT-certified DBEs and HUBs also meet SBE requirements
without having to apply for SBE eligibility. Allows provisions addressing SBEs
be included in TxDOT contracts funded entirely with state and local funds. The
SBE requirements do not apply to contracts with federal funds.
c. Texas Government Code 2161 -Historically Underutilized Business (HUB)
program applicable to state agencies and institutions of higher learning. Includes
certification of HUBs and maintenance of a directory of certified HUBs. Does
not apply to local or other entities.
d. Texas Government Code 2252 Subchapter E-Defines general requirements for a
contractor (including a subcontractor) claiming status as a Disadvantaged or
Historically Underutilized Business. Applies to all agencies and entities . No
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language concerning requirements for agencies to consider DBEs or HUBs in
contract administration .
e. Texas Transportation Code 201. 702 -Requires that TxDOT set goals for
awarding state or federall y funded contracts to disadvantaged businesses. The
goals must approx imate the federal requirement for federal funds.
f. Texas Transportation Code 366.184 -Requires that Regional Tollway Authorities
set goals for disadvantaged businesses consistent with general law.
g. Texas Transportation Code 370.183 -Requires that Regional Mobility
Authorities set goals for disadvantaged businesses consistent with general law.
Required Practices
a. For projects with federal funds , if the LG does not adopt TxDOT's program, the
LG must submit a DBE program through TxDOT to FHW A for submission to the
USDOT for approval. The proposed program will cover issues such as goal
setting, submission of commitments, counting DBE participation, commercially
useful function, and final report submission. The LGs that adopt TxDOT's
program must use the most current Version ofTxDOT DBE special provisions for
federally funded projects .
b. For projects with state funds, the LG will be required to follow the provisions of
Transportation Code 201.701 and Texas Administrative Code, Chapter 43, §9.54
(HUB) and §9.55 (SBE). The LG must submit project goals to TxDOT for
approval before advertising for receipt of bids. Contractors must select DBEs,
HUBs, and SBEs from TxDOT-approved or maintained sources. The LG will
report final accomplishments to TxDOT for credit to overall program goals.
c. For projects with no state or federal funds , the LG must follow statutes for their
particular program. LGs are encouraged to use DBEs, HUBs, and SBEs from
TxDOT-approved or maintained sources. The LG must also report final
accomplishments to TxDOT for credit to overall project goals.
LG Responsibilities
a. The LG must develop their own program (in accordance with 49 CFR Part 26)
and submit through TxDOT to FHW A and USDOT for approval. As an alternate ,
the LG may adopt TxDOT's approved DBE program.
b. Establish project goal and include in bid document.
c. Include DBE provisions in bid document.
d. Ensure DBEs are certified under the Texas Unified Certification Program.
e. Review DBE participation to ensure contract goals are satisfied in accordance
with provisions in the bid document prior to contract award.
f. Monitor progress during construction to assure goal is met or good faith efforts
are made.
g. For design-build projects, in addition to the above , do not consider commitments
in excess of the specified goal in the evaluation of proposals .
TxDOT District Responsibilities
a . DBE accomplishments on all projects will be credited to the TxDOT overall DBE
goal. Submit final DBE accomplishment reports to OCR.
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b. For projects with federal funds, submit the LG's DBE Program to OCR for further
submission to FHW A for USDOT approval.
c. For projects with state or federal funds, the LG has primary monitoring
responsibility , but the District will spot check compliance during periodic visits to
the project. Submit questions and non-compliance issues to OCR for assistance.
d. For projects with state or federal funds, assure that the applicable special
provisions are included in procurement documents.
e. Spot check the contractor 's progress and commercially useful function during
periodic inspections of projects with federal funds. Spot checks are not required
on state funded projects.
f. There is no additional monitoring on projects without state or federal funds other
than reporting final DBE accomplishments to OCR.
Equal Employment Opportunity
General. The Texas Department of Transportation, as a contracting agency, has a
responsibility to ensure that all Federal-aid contractors, subcontractors, vendors, and
material suppliers do not discriminate in employment and contracting practices based on
race, color, religion (in the context of employment), sex, national origin, age or disability .
As a recipient of federal funds , the department has the responsibility to ensure that
required equal opportunity requirements are included in direct federal and federal-aid
contracts and that contractors are in compliance with those requirements under the
department's authority (The department has no authority under Executive Order 11246 to
ensure compliance with or enforce Office of Federal Contract Compliance Programs
(OFCCP) requirements).
A contractor's minimum equal opportunity requirements are set forth in the Required
Contract Provisions Federal-aid Construction Contracts (FHWA-1273) and are applicable
to contractors and subcontractors who hold Federal or Federal-aid contracts of $10,000 or
more. This is a standard document containing required federal EEO contract provisions
and proposal notices physically required to be incorporated in each direct federal and
federal-aid highway construction contract and subcontract (at any tier) of $10,000 or
more.
The department imposes specific nondiscrimination and affirmative action obligations on
federal-aid highway contractors relating to their employment practices under the following
authorities:
Federal Regulations
a. Title VI of the Civil Rights Act of 1964
b. The Civil Rights Restoration Act of 1987
c . The Age Discrimination Act of 1973
d. The Rehabilitation Act of 1973
e. 23 U.S.C. Section 140-324
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f. 49 CFR Part 21: Nondiscrimination in Federally-Assisted Programs of the
Department of Transportation
g. 23 CFR Part 200: Title VI Program and Related Statutes -Implementation and
Review Procedures
h. 23 CFR Part 230: FHW A External Program Regulations
1. 23 CFR Section 1.9 and 1.36
j. 23 CFR Section 635.117(d) and (e): Labor and Employment
k. Form FHWA -1273
I. FHWA Order 4710.8: Clarification ofFHWA and State Responsibilities under
Executive Order 11246 and Department of Labor Regulations in 41 CFR Chapter
60
State Regulations
a. Texas Administrative Code, Title 43 §9.4 -Requires TxDOT to monitor
recipients of federal funds for Title VI activities.
b. Texas Labor Code, Title 2, Subtitle A , Chapter 21 , Subchapter B-Prohibits
employer discrimination on the basis of race , religion , sex, color, national origin,
age or disability .
Required Practices
a. To effectuate a sound and effective Equal Opportunity Contractor Compliance
Program on Federal and Federal-aid projects, there must be cooperation,
coordination and communication between the major partners: the Federal
Highway Administration (FHWA), Texas Department of Transportation
(TxDOT), the Local Government (LG), and the contractor(s). Each partner has a
critical role to play and responsibility to ensure that Federal Equal Employment
Opportunity, nondiscrimination, and Equal Opportunity objectives are achieved.
b. The contractor has a fundamental role and responsibility to take all reasonable and
necessary steps to ensure that the equal opportunity terms and conditions of its
contract are fully met. This includes but is not limited to its employment policy
and its selection and retention of subcontractors, material suppliers and vendors
void of discrimination. The contractor is responsible for having in place and
implementing an equal opportunity policy that ensures equal access to
employment, training , and business opportunities to minorities and women.
c. The contractor is required to fully cooperate with the LG , TxDOT and the FHW A
in meeting the EEO requirements of the Federal and federally assisted contracts
including providing ready access to all files and records and submitting all
required and requested reports to assist them in determining compliance.
d . All entities will ensure compliance with applicable provisions of the Civil Rights
Act. For guidance in compliance matters , TxDOT's Office of Civil Rights may be
contacted at 1-866-480-2518.
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LG Responsibilities
a. Adopt TxDOT's EEO program or submit alternate program proposal for Federal
Highway Administration approval.
b. Include federal EEO requirements language in bid document.
c. In accordance with 23 CFR Part 230 and Form 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 follo w ing:
i. 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 emplo yment, 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, pre-apprenticeship, and/or on-the-job
training."
ii. Ensure that all contractors and subcontractors designate and identify an EEO
Officer.
iii. Ensure that all contractor and subcontractor personnel authorized to hire ,
supervise, promote and discharge employees are full y cognizant of, and will
implement, the EEO policy.
1v. 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 such as utilizing public and private
employee-referral services and employee referrals.
d. Monitor contractor compliance with program
e. Ensure that the contractor displays the following federal posters and notices on
project-site bulletin boards. The government referral line for questions regarding
required posters is 1-800-688-9889.
1. Equal Opportunity is the Law required by 41 CFR 60-l.4(b )(1)
ii. EEOC-P/E-S (Spanish Version) or call 1-800-669-3362
iii. Contractor 's EEO Policy statement required by Form FHWA-1273-EEO
officer name and phone number.
f. Ensure that all contractors and subcontractors submit annually, FHWA Form-
1391 reflecting the racial and gender utilization of their workforce on their
federal-aid highway construction projects. The report is a summary of laborers on
their last payroll period before the end of July. The form is submitted each August
for projects under construction during the month of Jul y . The LG keeps copies of
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the forms in its respective project file. The LG forwards the reports to the
appropriate TxDOT district office.
g. Provide technical assistance and training to contractor. This can consist of
meeting with individual contractors to provide "one-on-one" assistance on
developing an effective EO/EEO program or more specific areas such as
recruiting and hiring minorities and women.
TxDOT District Responsibilities
a. Ensure the LG includes approved EEO language in bid proposals or request for
proposals.
b. Distribute the Form 1391 to the LG for them to give to their contractors. The
contractor must submit the completed original Form 1391 to the TxDOT district
office by the established deadline. The district office will then submit the original
Form 1391 to the TxDOT Office of Civil Rights. The LGs, contractors and
district offices are required to maintain a copy of the Form 1391s for a period of
three years past the project completion date.
c. The Form 1391 data is to be compiled into the Form 1392 by the district office
and the originals submitted to the Office of Civil Rights, Contract Compliance
Section (OCR-CSS). The Form 1392 will be due as indicated in the
memorandum sent to each district by the director of the Office of Civil Rights.
d. Ensure that local let project inspectors are periodically checking Federal-aid
project site bulletin board requirements for display of the above referenced
federally required EEO posters and notices.
TxDOT Office of Civil Rights Responsibilities
a. Conduct EO compliance reviews to ensure contractor compliance with federal
contract EEO requirements.
b. Serve as a resource for preferred EEO program practices.
Equipment Rental Rates
General Federal regulations address participation 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. Ineligible costs included use of
contingencies, replacement cost escalator factors , and premium rental rates for rental periods
less 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
permits 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 FHWA policy.
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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 guide . 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. Maps
at the beginning of each Blue Book equipment section indicate adjustment factors based on
climate and regional costs. Rate adjustment tables indicate adjustment factors based on
equipment age. The adjustment factors in the maps and tables are to be applied when
determining 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.
Standby Equipment Rates: The contractor continues to incur certain ownership costs when
equipment is required to be on standby. The use of a standby rate is appropriate when
equipment has been ordered to be available for force account 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 FHWA 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
usage hours as established 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
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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 rates .
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.
Federal Regulation
a. Non-regulatory Supplement to 23 CFR 635.120 -Equipment Rental Rates
i. Requires actual costs be used for extra work payments.
State Regulation
ii. Allows predetermined rate guides be used for equipment rates for
contractor-owned equipment in lieu of actual cost. Blue Book is
acceptable guide .
m . Allows reimbursement ofreasonable rental cost if contractor leases
equipment.
a. Texas Administrative Code, Title 43 , §26 .33(g)(l) -Specifications for projects
administered by a Regional Mobility Authority must conform to TxDOT Standard
Specifications.
b . Texas Administrative Code, Title 43 , §27.56(C)(3)(A)-Specifications for
projects administered by a Regional Toll Authority must conform to TxDOT
Standard Specifications as a condition of state fund participation.
Required Practices
a. Equipment rental rates for all projects with federal or state funds must comply
with TxDOT standard specifications. (See Article 9, Section 5)
i. Develop rates and submit for TxDOT approval if state or federal funds
sought for added work.
b. The LG may use equipment rental rates in accordance with their own practices if
federal or state funds are not sought for the added work.
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c. The LG may use equipment rental rates for projects with no federal or state funds
in accordance with their own practices.
LG Responsibilities
a. Adopt TxDOT specifications for equipment rental rates or develop procedures
based on 48 CFR 31. If the LG develops their own rental rates, TxDOT must
review and approve the rates for compliance with the policy before including the
rates in a contract proposal.
TxDOT District Responsibilities
a. For projects with state or federal funds, ensure that the LG advises potential
bidders that Blue Book rates will be used for rental equipment in force account
work. Verify that force account change orders use Blue Book rates.
b. If the LG develops their own rental rates , TxDOT must review and approve the
rates for compliance with the policy before including the rates in a contract
proposal.
c. There is no monitoring on projects without state or federal funds.
FHW A Final Rule on Temporary Traffic Control Devices
General. This Final Rule is intended to reduce the likelihood of fatalities and injuries to
road users, and to workers who are exposed to motorized traffic (vehicles using the highway
for purposes of travel) while working on Federal-aid highway projects.
Beginning December 4, 2008 , the Final Rule will provide new and supplemental regulations
concerning the use and payment of uniformed law enforcement officers, positive protection
measures between workers and motorized traffic, and temporary traffic control devices on
construction, maintenance, and utility work zones. The regulations apply to all Federal-Aid
highway projects, but state agencies are encouraged to adopt these on other types of projects
as well.
Agencies are to establish processes, procedures, and/or guidance to systematically consider
the use of the following:
1. Positive protection devices to prevent the intrusion of motorized vehicles into the
work space and other hazardous areas of the work zone. The use of positive
protection devices must be based on an engineering study. An engineering study may
be used to develop positive protection guidelines, or to determine appropriate
measures for an individual project. The engineering study should be based on
consideration of factors and characteristics such as:
• Project scope and duration,
• Anticipated traffic speeds through the work zone,
• Anticipated traffic volume,
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• Distance between traffic and workers , and extent of worker exposure,
• Escape paths available for workers to avoid a vehicle intrusion into the work
space,
• Time of day ( e.g., night work),
• Etc.
2. Exposure control measures to avoid or minimize worker ex posure to motorized
traffic, and road user exposure to work activities. Exposure control measures should
be considered to avoid or minimize exposure for workers and road users. Examples
of exposure control measures include:
• Full road closures,
• Ramp closures,
• Median crossovers,
• Full or partial detours or diversions,
• Protection of work zone setup and removal using rolling road blocks,
• Performing work at night or during off-peak periods ,
• Etc.
3. Uniformed law enforcement and other traffic control measures to reduce work zone
crashes. Each agency, in partnership with the FHW A, shall develop a policy
addressing the use of uniformed law enforcement on Federal-aid highway projects .
The policy may consist of processes, procedures, and/or guidance. In general, the
need for law enforcement is greatest on projects with high traffic speeds and volumes,
and where the work zone is expected to result in substantial disruption to or changes
in normal traffic flow patterns. In addition, if law enforcement is used, they must be
trained as required in 23 CFR 630.1008( d). Specific project conditions should be
examined to determine the need for or potential benefit of law enforcement, such as
the following:
• Frequent worker presence adjacent to high-speed traffic without positive
protection devices ,
• Traffic control setup or removal that presents significant risks to workers and
road users,
• Complex or very short term changes in traffic patterns with significant
potential for road user confusion or worker risk from traffic exposure,
• Night work operations that create substantial traffic safety risks for workers
and road users ,
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• Existing traffic conditions and crash histories that indicate a potential for
substantial safety and congestion impacts related to the work zone activity,
and that may be mitigated by improved driver behavior and awareness of the
work zone,
• Work zone operations that require brief stoppage of all traffic in one or both
directions ,
• Etc.
4. Safe exit and entry of work vehicles into and out of the work area from the travel
lanes. The agency processes, procedures, and/or guidance should also address safe
means for work vehicles and equipment to enter and exit traffic lanes and for delivery
of construction materials to the work space, based on individual project
characteristics and factors.
In addition to the preceding four traffic control considerations, the Final Rule also includes
requirements for:
5. Payment for traffic control features & operations. Payment for traffic control features
and operations shall not be incidental to the contract, or included in payment for other
items of work not related to traffic control and safety. Separate pay items shall be
provided for major categories of traffic control devices , safety features, and WZ
safety activities. For method-based specs, unit price pay items, lump sum pay items,
or a combination thereof may be used. Specs should include provisions to require
and enforce compliance with implementation and maintenance of the project TMP
and related traffic control items.
6. Traffic Control Quality guidelines. Each agency shall develop and implement quality
guidelines to help maintain the quality and adequacy of the temporary traffic control
devices for the duration of the project. A level of inspection necessary to provide
ongoing compliance with the quality guidelines shall be provided.
Federal Regulations
a. 23 CFR 630 Subpart K.
b. 23 CFR 630.1008(d)
State Regulations
a. No comparable statute.
Required Practices
a . Requirements of 23 CFR 630 Subpart K applies to all projects with federal funds.
LG Responsibilities
a. Adopt TxDOT's program or submit an alternate for approval.
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b. Include bid items for traffic control features and operations, and if used, law
enforcement in the bid documents.
c. If law enforcement is used, ensure they have the required training.
d . Monitor contractor compliance with program.
TxDOT District Responsibilities
a. If the LG submits an alternate to Tx.DOT's Temporary Traffic Control program ,
review the program for compliance with the applicable regulations.
b. For projects with federal funds , review bid documents for required provisions.
c. For projects with federal funds , ensure the LG 's maintain the quality and
adequacy of the temporary traffic control devices .
d. There is no monitoring on projects without federal funds.
Form FHW A-1273
General. The Form FHWA-1273 , Required Contract Provisions , is a convenient collection
of contract provisions and proposal notices that are required by regulations promulgated by
the FHWA and other Federal agencies. The provisions contained in Form FHWA-1273 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.
Federal Regulation
a. 23 CFR 633 -Required contract provisions must be physically incorporated into
all contracts and appropriate subcontracts and purchase orders.
State Regulation
a. No comparable statute.
Required Practices
a. Inclusion of Form FHWA-1273 is not required on projects with no federal funds.
LG Responsibilities
a. 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 .
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a. For projects with federal funds , review bid proposals or requests for proposal for
inclusion of Form FHWA-1273. For design-build and concessionaire projects,
reference to Form FHW A-1273 in the local agency agreement will suffice and no
further TxDOT monitoring is required as it is the LG 's responsibility to assure
inclusion in bid documents.
b. There is no monitoring on projects without federal funds.
Liquidated Damages
General. Liquidated damages are required as a means 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 completion. 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.
Most of the contracting agencies use a liquidated damage 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 its own liquidated damages
rates that will cover, as a minimum , the LG's average daily construction engineering (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 y ears 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
cases , 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 costs.
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.
Federal Regulation
a. 23 CFR 635.127 -Overruns in contract time (applicable to projects on the
National Highway System)
i. Requires entities to develop liquidated damage rates. As a minimum, the
rate should include the average daily cost of construction engineering.
n. Allows other costs to be included in liquidated damage rates.
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State Regulation
iii. Allows incentive/disincentive provisions to be included in the contract, but
must be separate from liquidated damages.
a. Transportation Code 223.012 -Requires that TxDOT develop a schedule of
liquidated damages.
b. Texas Administrative Code, Title 43 , §26 .33(g)(l)-Specifications for projects
that connect to a state highway administered by a Regional Mobility Authority
must conform to TxDOT Standard Specifications.
c. Texas Administrative Code, Title 43 , §27.56(C)(3)(A) -Specifications for
projects administered by a Regional Toll Authority must conform to TxDOT
Standard Specifications as a condition of state fund participation.
Required Practices
a . For all projects with federal and/or state funds , the LG must foilow TxDOT policy
on liquidated damages and incentive/disincentive. The LG must develop
liquidated damage rates based on the LG 's anticipated construction engineering
cost.
b. For projects with no federal or state funds , the LG may follow their own practices.
LG Responsibilities
a. The LG must develop liquidated damage rates that recover the cost of
construction engineering. TxDOT will approve the rate.
b. Submit liquidated damage schedule to TxDOT for approval.
c. Submit other desired provisions, such as incentive/disincentive to TxDOT for
approval.
d. Include appropriate language in bid documents
e. Assess damages in accordance with bid documents.
TxDOT District Responsibilities
a. Design-bid-build
i. For projects with state or federal funds, review LG 's liquidated damage
schedule, incentive/disincentive rates, and implementing specifications for
conformance with TxDOT policy. Submit to DES through CST for
approval.
ii. Assure approved rates and provisions are included in bid proposals.
iii. Assure liquidated damages are properly assessed at final inspection.
iv. There is no monitoring on projects without state or federal funds.
b. Design-build and concessionaire
1. For projects with state or federal funds , ensure the LG implements
provisions of the request for proposals or the concessionaire agreement.
n. There is no monitoring on projects without state or federal funds.
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Lobbying Certification
General. Section 319 of Public Law 101-121 (31 USC 1352) prohibits Federal funds from
being expended to influence, or attempt to influence, a Federal agency or Congress in
connection with the award of any Federal contract or grant. This prohibition applies 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 ex empt from the
disclosure requirement.
Federal Regulation
a. 23 CFR 635.l 12(g)
i. The administrating entity must include the lobbying certification in the bid
documents (by virtue of putting Form FHWA-1273 into the contract).
n. By signing a bid document that includes Form FHW A-1273 , the bidder
certifies that they meet lobbying requirements of 49 CFR 20.
m. The prime contractor must include lobbying certification in all lower tier
contracts in excess of $100,000.
b. 49 CFR 20 -New restrictions on lobbying
1. Requires recipients of federal funds in excess of $100 ,000 to file a
disclosure form with FHW A.
ii. Contains details of the certification.
State Regulation
a. No comparable statutes .
Required Practices
a. None
LG Responsibilities
a . Include FHWA-1273 in bid document.
b. Require contractor to include language in lower tier contracts.
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a . For projects with federal funds , ensure the lobbying certification is included in all
bid documents , including proposals, requests for proposals, and concessionaire
agreements.
b . There is no monitoring on projects without federal funds.
Local Hiring Preference
General. The LG may not include any contract provisions that require a contractor to give
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.
Federal Regulation
a. 23 CFR 635.117(b)-Prohibits including provisions in contract documents that
requires or encourages that a contractor give preference in hiring on any project
that includes federal funds. 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.
State Regulation
a. Transportation Code 223.043 -For projects on the state highway system, TxDOT
may require that a citizen of the United States and of the county in which the
project is being proposed be given preference in employment to perform manual
labor.
Required Practices
a. No hiring preferences will be allowed on any projects that includes federal funds.
b. For any projects with state funds , the LG must gain TxDOT approval before using
contract or agreement language mandating hiring preference.
c. For any projects with no state or federal funds , the LG may follow their own
practices on hiring preferences.
LG Responsibilities
a. For projects with federal funds, do not include any State or local hiring
preferences in bid documents or request for proposals.
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b . For projects with state funds but no federal funds , request TxDOT approval to
require hiring preferences if desired
TxDOT District Responsibilities
Materials
a . For projects with federal funds , review all bid proposals, requests for proposals ,
and concessionaire agreements to ensure hiring preference language is not
included.
b . For projects with state funds , submit the LG 's request to use hiring preference
clauses to CST.
c. There is no monitoring on projects without state or federal funds.
General. Plans and specifications need to clearly define the types , locations construction
requirements in detail to facilitate the construction, the contract control and the estimation of
construction costs of the project. The estimate must reflect the anticipated cost of the project
in sufficient detail to provide an initial prediction of the financial obligations to be incurred
by the LG, State or FHWA and to permit an effective review and comparison of the bids
received.
Federal Regulation
a. 23 CFR 630.205 -The plans and specifications must describe construction
requirements in sufficient detail to facilitate construction.
b . 23 CFR 636B -Solicitations for design-build projects describe evaluation factors ,
which may include particular material quality requirements or design performance
criteria (i.e., pavement design life).
c. 23 CFR 63 7B describes a program to determine specification compliance for
materials incorporated into the project. See the project requirement "Quality
Assurance Program" for more details.
State Regulation
a. Local Government Code 262.025 -A notice for receipt of competitive bids must
include specifications describing the item to be purchased. This applies to
counties.
b. Local Government Code 271.025 -Governmental entity advertising for
competitive bids must include information that describes the work.
c. Local Government Code 271.188 -For design-build projects, the LG must
provide or contract for material engineering, testing and verification testing that is
independent from the design-build firm.
d. Texas Administrative Code, Title 43, §26 .33(g)(l) -Specifications for projects
that connect to a state highway administered by a Regional Mobility Authority
must conform to TxDOT Standard Specifications.
e. Texas Administrative Code, Title 43 , §27.56(C)(3)(A) -Specifications for
projects administered by a Regional Toll Authority must conform to TxDOT
Standard Specifications as a condition of state fund participation.
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f. Transportation Code 221 .003( d) - A County Commissioners Court may not make
improvements to the state highway system until the plans and specifications have
been approved by TxDOT.
g. Transportation Code 366.185 -Contracts by Regional Tollway Authorities must
be procured by a competitive bid procedure.
h. Transportation Code 370.306 - A Regional Mobility Authority that uses a
Comprehensive Development Agreement for procurement must publish criteria
used to evaluate proposals. The criteria may include materials requirements.
Required Practices
a. For projects with state or federal funds and projects on the state highway system,
TxDOT must approve the plans and specifications prior to advertising for
competitive bids or a request for proposals. The LG must either adopt TxDOT's
Standard Specifications or develop alternate specifications and submit to TxDOT
for approval. For alternate specifications, the material requirements must fulfill
the purpose of the approved design and must be in general conformance with
TxDOT material quality standards. Proposed changes to material requirements
must have TxDOT approval before the LG implements the change.
b. For projects off the state highway system and no state or federal funds , the LG
may use their own material requirements without TxDOT approval.
c. If a concessionaire agreement includes long-term maintenance ( 40 years or more),
the concessionaire may use any material that meets performance requirements of
the project at their discretion without TxDOT approval.
LG Responsibilities
a. Adopt TxDOT Standard Specifications or submit alternate, comparable
specifications to TxDOT for approval.
b. Request TxDOT approval of changes to material specifications before
implementation.
c. For design-build, submit evaluation criteria to TxDOT before issuing request for
proposals
TxDOT District Responsibilities
a. For projects with state or federal funds and all projects on the state system, review
proposed specifications and evaluation criteria for conformance to TxDOT
material specifications. Submit questions and clarification concerns to CST for
final determination.
b. There is no monitoring on projects without state or federal funds or
concessionaire projects with a long-term maintenance component.
Method of Construction ( or Method of Bidding)
General. 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
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competitively to the contractor that submits the lowest responsive bid. This mandate is set
forth in 23 U.S .C. 112 and reinforced b y 23 CFR 635.l 14(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 STD [TxDOT] .... "
The act of an LG negotiating with an apparent low bidder prior to award is defined as "bid
rigging in reverse" and is ex pressly prohibited by 23 CFR 635.1 B(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.
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 ofrailroad 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, FHW A 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
as :
" .... 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".
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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.
Federal Regulation
a. 23 CFR 635.104-Construction work must be performed by competitive bids
unless some other method is more cost effective or an emergency exists.
b. 23 USC 112(b)(3) -Allows design-build as an acceptable contracting method for
federally funded projects .
c. 23 CFR 636 -Implementing language on design-build contracting.
State Regulation
a. Local Government Code 252.021 -Municipalities must use competitive sealed
bids for contracts in excess of $50,000.
b. Local Government Code 262.023 -Counties must use competitive bidding
procedures for purchases over $25,000.
c. Local Government Code 271.006-A municipality must comply with the
requirements of Chapter 252 and a county must comply with the requirements of
Subchapter C, Chapter 262.
d. Local Government Code 271.192 -For design-build projects the LG must select a
design-build firm using a combination of technical qualifications and cost.
e. Transportation Code 223.201-TxDOT may enter into agreements for a
comprehensive development agreement with a private entity to design, develop,
finance, construct, maintain, repair, operate, extend roadways.
f. Transportation Code 366.185 -Contracts let by a Regional Tollway Authority
must be let by a competitive bidding procedure.
g. Transportation Code 370.185 _: Contracts let by a Regional Mobility Authority
may be let by a competitive bidding procedure.
h. Transportation Code 370.305 -A Regional Mobility Authority may use a
comprehensive development agreement with a private entity.
Required Practices
a. For projects with state or federal funds, the LG must obtain TxDOT approval for
any procurement method other than competitive bidding unless the alternate
procurement method is allowed by state or federal statute. If competitive bidding
is the method used, the LG must submit their process to TxDOT for approval.
The process must meet the requirements of Transportation Code 223.
b. For projects with no state or federal funds, the LG may use their own procurement
methods without prior TxDOT approval.
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LG Responsibilities
Section 3 -Local Government (LG) Contract
Components
a. Submit competitive bidding process to TxDOT for approval or written cost-
effective justification or emergency condition if procurement other than
competitive bidding is desired.
b . For design-build projects, include language in RFP outlining selection criteria
based on technical qualifications and cost.
c. For concession projects, follow terms of agreement with TxDOT
TxDOT District Responsibilities
a. General -The agreement between TxDOT and the LG will indicate whether the
project will be procured through a design-bid-build , design-build , or
concessionaire process. The District will work with the LG during project
development to assure that procurement meets the terms of the agreement.
b. For design-bid-build projects with state or federal funds, forward the LG 's request
to deviate from the competitive sealed bid process to CST for coordination with
other Divisions and TxDOT approval. Include the LG's cost-effective or
emergency justification if the project has federal funds.
c. For design-build projects ensure the LG procures the design-build firm based on
technical q4alifications and cost.
d. There is no monitoring on projects without state or federal funds.
Non-collusion Statement
General. The submission of a non-collusion statement protects the integrity of the Federal-
aid highway program by serving as a deterrent to bid rigging activities. The certification also
becomes evidence in prosecuting cases involving construction contract bid rigging. A non-
collusion 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
non-collusion statement with their bid. The FHW A, in consultation with the U. S.
Department of Justice (USDOJ), has concluded that the non-collusion statement may be
either an unsworn 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 non-collusion 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 http://oig.state.gov/hotline/. This may be based on a suspicion or actual
evidence of fraud, waste and abuse in any project funded by FHW A.
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Federal Regulation
a. 23 CFR 635.112(£)-For all projects with federal funds , a non-collusion statement
is required from each bidder and is to be submitted as part of the bid package . If
not submitted, the bid is non-responsive.
State Regulation
a. No comparable state statute .
Required Practices
a. The LG must comply with federal statutes.
LG Responsibilities
a. The LG must insure that all bidders submit a non-collusion statement. If a bidder
fails to submit the statement, their bid may not be opened, read and considered for
contract award.
b. Include non-collusion statement in bid package or in the request for proposal for
design-build projects.
c. Assure statement is submitted before reading bid.
d. Retain statement for all bidders.
TxDOT District Responsibilities
a. For projects with federal funds, ensure that the non-collusion statement is
included in the bid proposal , request for proposals, or concessionaire agreement,
as applicable.
b . There is no monitoring on projects without state or federal funds .
Non-discrimination against Persons with Disabilities
General. Discrimination on the basis of disability by public entities is prohibited. The
prohibition extends to all activities of state and local governments participating in federally
assisted programs. There are three federal laws that require accessible planning, design and
construction, and actions to integrate people with disabilities into mainstream society. The
Americans with Disabilities Act (ADA) prohibits discrimination against people with
disabilities in all aspects of life , including transportation , public services, employment,
housing , public accommodations, education, communication, worship , recreation and health
services, regardless of funding source. Section 504 of the Rehabilitation Act of 1973 (as
amended by the Civil Rights Restoration Act of 1987) addresses compliance with Federal
design standards for accessibility. The Architectural Barriers Act of 1968 requires access to
facilities designed, built, altered, or leased with federal funds.
In addition, the Texas Architectural Barriers Act of 1969, as amended , requires that each
building and facility subject to the Act be accessible to and functional for persons with
disabilities. Subject facilities include facilities used by the public that are constructed,
renovated, or modified, regardless of funding source . The law requires compliance with the
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Texas Accessibility Standards and the rules promulgated by the Texas Department of
Licensing and Regulation (TDLR) in Title 16, Texas Administrative Code, Chapter 68.
LG must ensure that accessibility for individuals with disabilities is provided in the
construction of all new transportation facilities. When altering existing transportation
facilities , the LG must also ensure that the alterations are made in such a way as to provide
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".
Federal Laws and Regulations
a. 29 USC 794, et seq.-Section 504 of the Rehabilitation Act of 1973 (as amended
by the Civil Rights Restoration Act of 1987).
b. 42 USC 3, et seq . 12111 -Americans with Disabilities Act (Title II).
c. 28 CFR Part 35 -Nondiscrimination on the Basis of Disability in State and Local
Government Services.
d. 49 CRF Part 27 -Nondiscrimination on the Basis of Disability in Programs or
Activities Receiving Federal Financial Assistance ..
e. Public Law 100-259; 102 Stat. 28 -Civil Rights Restoration Act of 1987.
f. 23 CFR Part 652 -Pedestrian & Bicycle Accommodations and Projects.
g. 23 CFR Part 1235 -Uniform System for Parking for Persons with Disabilities.
h. 23 CFR 450.220(a) (4)-ADA Requirements to be Certified into Statewide
Planning.
1. 23 CFR 450.316(b)(3)-ADA Requirement for Metropolitan Planning.
j. 23 CFR 771.105(±)-ADA Requirements for NEPA.
k. Public Law 109-59-Safe, Accountable, Flexible, Efficient Transportation Equity
Act: A Legacy for Users (SAFETEA-LU) of 2005.
State Regulations
a. Texas Occupations Code, Chapter 51 -Establishes the Texas Department of
Licensing and Regulation (TDLR).
b. Texas Government Code 469 -Ensures that public buildings and facilities are
accessible to and functional for persons with disabilities.
1. Section 469 .105 -Requires inspection of buildings and facilities covered
by the statute by TDLR or Registered Accessibility Specialist.
Pref erred Practices
a. All projects must comply with the provisions of the cited statutes.
b . The LG is responsible for coordination ofTDLR inspection and for paying all
fees assessed by TDLR.
LG Responsibilities
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a. Ensure all new and ex isting transportation facilities are designed and constructed
to comply with the provisions of all cited statutes
b. Request final inspection from TDLR
c. Implement ADA Program to include:
i. Notice of Nondiscrimination requirements -The LG will inform the public
that they do not discriminate on the basis of disability in their programs,
services and activities.
ii.Methods of Notification of Nondiscrimination Requirements-The LG will
post their notice in local papers, magazines, bulletins, announcements,
handbooks, pamphlets, brochures recruitment materials, application forms
and any other publication they distribute.
m. Self-Evaluation -The LG will conduct a self-evaluation to ensure their
policies and practices comply with ADA.
iv. Transition Plan-If the LG employs 50 or more persons, the LG will
develop a transition plan for making structural changes to existing facilities
so that they are accessible to individuals with disabilities. The transition
plan must meet the requirements of28 CFR 35.150(d).
v. Designation of an ADA/504 Coordinator-The LG will designate at least
one employee to coordinate ADA/504 programs. Contact information will
be made available to the general public.
vi. Provision of Reasonable Accommodations for Employment-The LG
will comply with the provisions of Title I and II of the ADA.
vii. Adopting Grievance/Complaint Procedures for Disability Discrimination
Complaints -The LG will adopt a grievance procedure to address all
complaints dealing with ADA/504 provisions .
viii. Provision of Accessible Programs, Services and Activities -The LG will
ensure that no individual with a disability is excluded from any service,
program or activity.
ix. Provision of Accessible Communications -The LG will provide
auxiliary aids and services to ensure that all communications with
individuals with disabilities is effective.
x. Monitoring/Enforcement -The LG will maintain all program records and
make them available for review by federal officials.
xi. Maintenance of Accessible Features-The LG will ensure that facilities
are properly maintained and readily accessible to individuals with
disabilities.
xii . Other Program Requirements -The LG will comply with the "Pedestrian
and Bicycle Accommodations and Projects" and the "Uniform System for
Parking for Persons with Disabilities."
TxDOT District Responsibilities
a. For projects with state or federal funds and all projects on the state highway
system, the LG will submit a certification sealed by an engineer licensed in Texas
that construction standards have been met (see Inspection). The District will
conduct a final inspection before issuing final payment to the LG (see Progress
Payment). The District should make the LG aware of any accessibility concerns
noted during periodic inspections during construction.
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b. The District must verify that TDLR has conducted their final inspection and has
approved the project. If the TDLR inspection noted any deficiencies, obtain the
LG's certification that the deficiencies were corrected before recommending
TxDOT final acceptance of the project. If state or federal funds are used, final
payment to the LG will not be made until TDLR has inspected the project and all
issues noted have been corrected.
c. There is no monitoring on projects without state or federal funds off the state
system.
Non-resident Bidder and Texas Preference
General 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 non-resident
bidder unless the non-resident 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 non-resident bidder to obtain a
comparable contract in the state in which the non-resident'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.
Federal Regulation
a. 23 CFR 635.1 lO(b)-There may not be any procedures which prohibit
consideration of a bid by any responsible contractor, whether a resident or non-
resident of a state in which the work will be performed.
b. 23 CFR 635.1 lO(f)(l)-For design-build projects, there may not be any
procedures that give geographical preference in the selection process.
State Regulation
a. Government Code 2252.002 -Prohibits governmental entities from awarding a
contract to a non-resident bidder unless the non-resident bidder underbids the
lowest resident bidder by a reciprocal percentage.
Required Practices
a. For projects with federal funds , non-resident preference provisions will not be
allowed.
b. For projects with no federal funds , the LG must follow the state statute.
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a. The LG will need to contact the Texas Secretary of State's Office to obtain a list
of States with a preference requirement.
b The Texas bidding preference statute is not applicable to federal-aid projects .
c. For projects with no federal funds:
i. Include language to implement Texas statute in bid document, request for
proposals, or concessionaire agreement.
ii. Obtain list of states with reciprocity statutes from Texas Building and
Procurement Commission web site.
m. Apply reciprocity in contract award if applicable.
iv. Inform the department in the request for award concurrence if a bidding
preference was applied in the determination of contract award.
TxDOT District Responsibilities
a. For projects with federal funds, review bid proposals, requests for proposals, and
concessionaire agreements to ensure there are no resident preference provisions.
b. For projects with state funds, review bid proposals, requests for proposals and
concessionaire agreements to ensure provisions to implement Texas statute are
included.
c. There is no monitoring on projects without state or federal funds.
Non-Responsive Bid
General. The subject of a non-responsive bid is briefly discussed under the Bid Opening
and Tabulation section. A list ofreasons for a bid to be considered non-responsive must be
included in the bid document in conjunction with 23 CFR 635.l 12(h). The reasons must be
clearly defined.
Careful thought should be given in determining the reasons for not accepting a bid. The
FHW A h~s determined that the reasons for a bid being non-responsive listed 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.
Federal Regulation
a. 23 CFR 635.l 12(h)-Bid documents must contain requirements with which a
bidder must comply to make the bid responsive. Failure to comply with these
requirements makes the bid non-responsive and not eligible for award.
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State Regulation
a. Local Government Code 271.0245 -A county must provide all bidders with the
opportunity to bid on the same items on equal terms and have bids judged
according to the same standards as set forth in the specifications.
b. Texas Administrative Code, Title 43, §26.33(g)(l) -Specifications for projects
that connect to a state highway administered by a Regional Mobility Authority
must conform to TxDOT Standard Specifications.
c. Texas Administrative Code, Title 43, §27.56(C)(3)(A) -Specifications for
projects administered by a Regional Toll Authority must conform to TxDOT
Standard Specifications as a condition of state fund participation.
d. Transportation Code 370.306(c) -For projects acquired by Comprehensive
Development Agreement, a Regional Mobility Authority must include criteria
used to evaluate proposals in the request for proposals.
Required Practices
a. For projects with state or federal funds, the LG must adopt Article 2.7 of
TxDOT's Standard Specifications or submit alternate definitions of a "non-
responsive bid" for TxDOT approval.
b. For projects with no state or federal funds, the LG should follow their statutes and
practices. TxDOT approval is not required.
LG Responsibilities
a. On design-bid-build, adopt Article 2.7 ofTxDOT Standard Specification or submit
alternate for TxDOT approval.
b. On design-build, gain TxDOT approval ofreasons that make a proposal non-
responsive and list in request for proposals
c. List reasons that make a bid non-responsive in bid documents or in the request for
proposal in design-build projects.
d. Check submitted bids or proposal for compliance with reasons.
e. Do not consider non-responsive bids for award.
f. List reasons that make a proposal non-responsive in request for proposals.
g. Do not consider non-responsive proposals.
h. For concession projects, require concessionaire to include appropriate language in
any competitive bidding the concessionaire may pursue.
TxDOT District Responsibilities
a. Design-bid-build
i. Ensure that the bid proposal contains either TxDOT Specification Article
2.7 or comparable language that defines conditions under which a bid will
not be considered. Submit questions and non-compliance issues to CST
for final determination.
11. Attend bid opening and spot check bid proposals to verify that LG does
not read non-responsive bids.
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b. Design-build
i. Review requests for proposals for inclusion of language that makes a
proposal non-responsive.
ii. Spot check proposals for compliance with the language in the request for
proposals.
c. Concessionaire -If there are federal funds , spot check proposals for proposed
contracts to be let by concessionaire for compliance with the contract language.
d. There is no monitoring on projects without state or federal funds.
Non-segregated Facilities
General. The contractor cannot discriminate against any person by having segregated
facilities. By entering into the contract, the contractor certifies that they maintain non-
segregated facilities that conform to the requirements of 41 CFR 60.1.8. This certification is
included in Form FHWA 1273. The prime contractor is required to obtain a similar
certification from each subcontractor and supplier, as applicable .
One exception to the non-segregated facilities provision is for the disabled when the
demands for ac~essibility override (e.g., disabled parking). In addition , single-user or
separate bathrooms or dressing facilities are also allowable for privacy purposes.
Federal Regulation
a. 23 CFR 633A--Contractors and subcontractors must certify that they do not
discriminate by providing segregated facilities or prohibiting minorities access to
facilities. Does not prohibit providing access to the disabled and single-user or
separate bathrooms or dressing facilities for privacy.
b. 41 CFR 60.1.8 -Provides the basis for the non-segregated facilities certification.
State Regulation
a. No comparable statutes.
Required Practices
a. LGs must comply with the federal statute on all projects with federal funds.
LG Responsibilities
a. Include Form FHWA 1273 in bid documents.
b. Advise potential bidders that submission of a bid constitutes the certification.
c. Assure the contractor gets a certification from all subcontractors and materials
suppliers more than $10 ,000
TxDOT District Responsibilities
a. For projects with federal funds , review bid proposals, requests for proposals, and
concessionaire agreements to ensure they contain certification language.
b. There is no monitoring on projects without federal funds.
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On-the-Job Training (OJT)
Section 3 -Local Government (LG) Contract
Components
General. Within the areas of construction and trade employment, several important laws
have been passed to improve workforce equality, including Title VII of the Civil Rights Act
of 1964. In conjunction with this important federal law, FHWA regulations have also
focused on improving workforce equality. The first FHWA regulation to address equal
employment opportunity in the external workforce was introduced in 1975 under Title 23
Code of Federal Regulations, Highways, Part 230. This regulation addresses special
requirements for on-the-job training (OJT) as well as supportive services that support such
training programs.
The objective of the OJT program 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.
Federal Regulation
a. 23 CFR230
State Regulation
i. Requires compliance with the Federal-Aid Highway Act of 1968 [23
U.S.C. §140].
ii. Mandates implementation of a program to develop skill improvement
opportunities to assure the increased participation of minorities, women ,
and disadvantaged persons in all phases of the highway construction
industry.
n1. OJT program requirements apply to all federal-aid projects.
a. No comparable statute.
Required Practices
a. While the TxDOT Office of Civil Rights (OCR) has overall training program
oversight responsibility, the LG should designate an EEO officer with adequate
authority and responsibility to ensure training program compliance through
interviews with trainees, maintenance and submittal of records and reports to
TxDOT upon request.
LG Responsibilities
a. Adopt TxDOT's OJT program or submit an alternate program proposal for
approval by the Department of Labor.
b. Include TxDOT's OJT Program Training Special Provision 000---1001 (or latest
version) in the selected Federal-aid project's bid document.
c. On federal-aid projects, the LG must monitor the progress of any identified trainee
formally enrolled in a training program to ensure contractor compliance with the
training program.
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d. The LG may request a copy ofT:xDOT's OJT program manual by contacting the
TxDOT Office of Civil Rights at 866-480-2518.
TxDOT District Responsibilities
a. For projects with federal funds:
i. Submit questions and non-compliance issues to OCR for clarification and
resolution.
b. There is no monitoring of OJT on projects with no federal funds.
TxDOT Office of Civil Rights Responsibilities
a. For selected projects with federal funds , ensure federal-aid bid documents include
the OJT special provision 000---1001 ( or latest version).
Patented/ Proprietary Products
General. Federal funds may not participate in a premium or royalty on any patented or
proprietary product. However, there are provisions that allow specifying brand names under
certain conditions. The following are conditions under which FHWA may participate in
payment for patented or proprietary materials, specifications or processes specifically 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 proprietary or patented item is essential 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 listed. The licensing of several suppliers to produce a product does not change the
fact that it is a single product and should not be specified to the exclusion of other equally
suitable products.
Below are examples of conditions under which patented or proprietary materials may be
used on Federal-aid projects.
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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 ex isting
traffic signal systems. The existing controller(s) is part of an existing sy stem that is not
compatible with any other sy stem hardware. To convert the overall system w ould 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.
Case III. The LG certifies that there is no equally suitable alternate. TxDOT must reasonably
verify this situation. Based on a public interest finding , with TxDOT's concurrence, 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 research and
evaluation (work plan) for the product. The work plan may also be used to develop
specifications in order to provide a basis for future competition with other materials. TxDOT
must approve the work plan with, or prior to , PS&E approval. The specifications may then
require the proprietary item .
Federal Regulation
a. 23 CFR 635.411 -With a few exceptions, federal funds cannot participate in
premiums or royalties for patented or proprietary products . Brand names cannot
be used in plans and specifications unless either a public interest determination is
approved or a reasonable number of equal product names are listed.
b. 23 CFR 635.41 l(e)-For design-build projects, brand names cannot be
specifically set forth on the Request for Proposals
State Regulation
a. Government Code 2155.067 -A written justification must be provided to the
Texas Building and Procurement Commission for products that are proprietary to
one vendor.
Required Practices
a. LGs must comply with the federal statute for projects with federal funds.
b. For projects with state funds , the LG must submit a written justification for
TxDOT approval before specifying proprietary products.
c. For projects with no state or federal funds , the LG may use their own practices.
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LG Responsibilities
Section 3 -Local Government (LG) Contract
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a. The LG must not specify patented or proprietary products in their contracts
without prior written approval from TxDOT.
b. For design-build projects, the LG prepares the RFP, and the RFP cannot have
patented or proprietary items unless supported by an approved public interest
finding as per 23 CFR 635.41 l(a). However, once the design-build firm is
selected, the successful design-builder can require patented or proprietary
products and not be in violation of the regulations
TxDOT District Responsibilities
a. For projects with state or federal funds, submit LG-developed public interest
determinations to DES for approval.
b. There is no monitoring on projects without state or federal funds.
Prequalification
General An LG may include provisions for prequalification in invitations for receipt of
bids . 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 evaluation 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 should not
be used to limit competition or discourage the submission of a bid by an otherwise
responsible contractor.
AASHTO recommends the following information be required 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 I 0
percent or more of the firm's assets.
The FHW A does not require that an LG implement procedures or requirements for _
prequalification on federal-aid projects . However, if an LG has these procedures or
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requirements, they must conform to the FHW A competitive bidding policy and not restrict
competition.
The procedures and requirements 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 Tx.DOT 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 Tx.DOT.
No procedure or requirement for prequalification, qualification or licensing of contractors
shall be approved which, in the judgment of Tx.DOT, may operate to restrict competition ,
prevent submission of a bid, or prohibit consideration of a bid submitted by any responsible
contractor, whether resident 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.
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 must
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
local contractors, the clause violates the Federal open competition requirements and
therefore, 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
insurance for domestic partners; or small business set-asides.
Please refer to Tx.DOT's Letting Manual for further guidance related to contractor
prequalification and bonding.
Federal Regulations
a. 23 CFR 635.110 Contains the following provisions.
1. For design-bid-build projects
1. It is not allowed to restrict competition or provide in-state
preference.
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State Regulations
2. It is not allowed to require that a contractor be licensed before
submitting a bid or before consideration of a bid. However, an
entity may require licensing of the successful bidder if the
requirement is consistent with competitive bidding practices; i.e. it
is applied uniformly to all contractors.
ii. For design-build projects
1. Geographic location may not be part of the selection criteria.
2 . It is allowed to require successful offeror to establish a local office
after award.
a . Texas Administrative Code 43, Part 1, Rule 9.12 -Requires potential bidders to
be prequalified by TxDOT as a condition of submitting a bid. Includes waiver
provisions for small projects, maintenance projects, and specialty projects.
b. Local Government Code 271.189 -For design-build projects a LG must solicit
qualifications outlined in this Section.
Required Practices
a. For projects with state or federal funds, the LG must require that potential bidders
be prequalified by TxDOT. This policy also applies to projects on the state
system with no state or federal funds. If the LG wants to use qualification criteria
in addition to those prescribed by TxDOT, the criteria must be approved by
TxDOT before becoming part of the bid documents.
1. Design-bid-build -The bidder must send a letter to the LG allowing
TxDOT to release "available bidding capacity" to the LG. The LG will
forward the letter to TxDOT. TxDOT will respond and the bidder may
then submit a bid.
ii. Design-build and concessionaire -This provision does not apply.
b. For projects off the state system and with no state or federal funds, the LG is
encouraged to use TxDOT-prequalified contractors but may use their own
qualification process.
LG Responsibilities
a. For projects with federal or state funds , require that bidders be prequalified by
TxDOT.
1. Submit any additional, desired qualifying / licensing procedures to
TxDOT for approval.
11. Do not include a requirement for a contractor to obtain a license as a
condition of submitting a bid.
iii. May require the successful bidder to obtain a license if applied across the
board.
TxDOT District Responsibilities
a. General
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i. For projects with state or federal funds ,and all projects on the state system,
assure that the LG has access to TxDOT's current list of prequalified
contractors.
11. If the LG wants to use an alternate qualifying procedure or additional
qualification criteria, forward the criteria through DES to CST for
approval. Submit questions and non-compliance issues to CST (CL&CP)
for final determination. Return approved criteria to the LG.
iii. For design-bid-build projects, coordinate submission of the request for
TxDOT to release available bidding capacity with CST.
iv. For design-build projects review the LG's solicitation for compliance with
Local Government Code 271.189.
v. There is no monitoring on projects without state or federal funds not on
the state system.
b. Design-build -For projects with federal funds, review evaluation criteria to
assure that in-state preference is not one of the evaluation factors.
Prevailing Minimum Wage
General. The payment of predetermined minimum wages for certain job classifications
used on Federal-aid contracts is derived from the Davis-Bacon Act of 1931 (40 U.S.C.
Section 276a et seq.) (40 USC 3141) and is prescribed by 23 U.S.C. 113. 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 (including painting and decorating) of public buildings or public works. Davis-Bacon
was enacted as a means to prevent contractors from importing cheap labor from outside the
area, thereby, keeping capital at home with the local labor force where it would do the most
good. Davis-Bacon provisions are covered in Form FHW A-12 73 as discussed in the
following sections:
+ Section IV .1. 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
responsible 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 appropriate,
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 thefr web page.
• Section IV.3. This section sets forth requirements for paying fringe benefits.
• Section IV.4. The provisions of this section set forth the requirements for paying less
than the full specified wage rate for employees who are registered in USDOL approved
apprenticeship and trainee programs or for those who are classified as helpers.
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• Section IV.5. This section clarifies that the US Department of Transportation ,
apprenticeship and trainee programs are not subject to the DOL program provisions
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 taken 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 may be
determined necessary, to pay the liquidated damages and to pay employees of the
contractor the overtime wages required by Section IV.8.
• Section V .2. Each contractor and subcontractor must furnish the LG copies of payrolls
each week during which work was performed. 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
Payrolls submitted must conform to the requirements 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 related documents associated
with the contract a minimum of three years from the date of project completion. All project
payroll records must be available to LG, TxDOT, FHW A or USDOL representatives for
inspections, 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
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records available for review , the LG , TxDOT, FHWA or USDOL may, after written notice
to the contractor, suspend further payment under the contract. Furthermore, failure to submit
the required payrolls or make such records available for review may be grounds 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
y ears 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 , Davis-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 mechanics" ... employed directl y upon the site of the work." Since 1972 , the
DOL and the courts have been addressing various aspects of the applicability ofDavis-
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 dedicated exclusively and in proximity to the actual construction site
29 CFR 5.2 (1)(1) states:
"The site of the work is the phy sical 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 ex ample 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 offsite, the LG should attempt to include the wage
determinations covering potential offsite location in the bid proposal.
29 CFR 5.2 (1)(2) also indicates other work areas not located on the site of permanent
construction Gob headquarters , tool yards, batch plants, borrow pits, etc.), may be part of the
site of the work " .... provided they are dedicated exclusively, or nearly 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 G)((l)(iv) provides that transportation between locations which are included 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 the work.
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The USDOL has made the determination that when transportation will take place in more
than one wage determination area, the applicable wage determination will be the wage
determination for the area in which the construction w ill remain when completed. This
determination will appl y to all bidders, regardless of where they propose to construct
significant portions of the project.
FHW A has taken the position that while this is the USDOL's program, it is inappropriate for
FHWA to provide guidance in this area. FHWA encourages LGs to work jointly 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 discussion on the
following can be found in the USDOL's Field Operations Handbook (FOH). This handbook
is available from FHW A's Office of Program Administration (202-366-1558).
Exploratory drilling services -Subsurface utility engineering or utility location services are
considered to be ex ploratory 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.
Flaggers -The DOL has determined that the duties of flaggers are manual or physical in
nature and therefore are covered by the Davis-Bacon Act. See USDOL FOH 15e09(a).
Employees of traffic service companies that rent equipment and perform only incidental
functions at the work site in conjunction with the del ivery of equipment are not covered. See
USDOL FOH 15e09(b ).
Force Account Work by Public Agencies -In some circumstances, an LG may be authorized
to perform the construction work using their own forces. Davis-Bacon provisions do not
apply to governmental agencies and states. Public agencies are not considered "contractors"
or "subcontractors" within the meaning of the Davis-Bacon Act. See USDOL FOH
15b05(a). However under Government Code §2258.021, workers employed by the LG, or
other public entity, are covered and must be paid the appropriate prevailing wage rates
stipulated by Government Code Chapter 2258.
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Helpers -Helpers are permitted on covered contracts if the helper classifications 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 15e13.
Materialmen and Suppliers -The manufacturing and delivery of supply items such as sand,
gravel and ready-mixed concrete at the work site, when performed by companies serving the
general public, are generally not activities covered by Davis-Bacon. See USDOL FOH
15e15 .
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
payrolls should show the names of the truck owner-operator with the notation "Owner-
operator" but need not list 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 prov isions apply w hen 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 .
Survey Crews -The actual duties of the survey crewmembers must be considered. Generally
speaking, instrument persons, party chiefs and rod persons are not considered laborers or
mechanics and therefore are not covered. However, a crewmember that primarily does
manual work (clearing brush) is covered for the time so spent. See USDOL FOH 15e19.
Transportation Enhancement {TE) Projects -Davis-Bacon only applies to projects located on
highways functionally classified as Federal-aid highways (not local roads , rural minor
collectors or projects not located on a highway sy stem). Therefore, Davis-Bacon does not
apply to TE projects that are not on Federal-aid highways unless they are tied to a Federal-
aid highway project. Further guidance is available from FHW A's Transportation
Enhancements Overview . However, please be aware that under Government Code
§2258.021 , workers employed by the LG, or other public entity , are covered and must be
paid the appropriate prevailing wage rates stipulated by Government Code Chapter 2258.
Truck Drivers (not truck owner operators) -After 10 years in the courts, in May 1991 , the
Court of Appeals for the District of Columbia reached a final decision in the case of the
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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 employees of the construction contractor or construction subcontractor" in the
definition of work covered by the Davis-Bacon Act. The Court ruled that this regulation is
inconsistent with the Act and that it conflicts with the statutory objective of the Act. In the
Court's view , the Act covers only mechanics and laborers who work on the site of the
Federally-funded projects and does not cov er those employ ed off-site, such a suppliers and
material delivery truck drivers. In its review of the legislative history of the Act, the Court
concluded that Congress clearly intended the Act to apply only to on-site workers. Thus , the
Court ruled that truck drivers who come onto the site of the work to drop off construction
materials are not covered by the Act, even if the contractor employ s them.
Warranty Work -Davis-Bacon coverage applies to warranty or repair work if it is provided
for in the original construction contract. This is true regardless of whether there is a pay item
for the work. If an employee spends more than 20% 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 y ears after the contract execution.
Federal Regulation
a. 23 USC 113 -Requires that laborers and mechanics be paid wages at rates not
less than those prevailing on the same type of work on similar construction in the
immediate locality as determined by the Secretary of Labor. This provision
applies to all projects with federal funds that are on roadways functionally
classified above a Rural Minor Collector.
b. 40 USC 3141 -Davis-Bacon Act of 1931
c. 40 USC 276(c)-Copeland Act, workers are protected from paying "kickbacks"
to employers for the "privilege" of being employed.
d 23 CFR 633.102-Form FHWA-1273 must be included in all construction
contracts that have federal funds.
e 23 CFR 635.309(f) Minimum wage rates determined by the Department of Labor
in accordance with the provisions of 23 U.S.C. 113, are in effect and will not
expire before the end of the period within which it can reasonably be ex pected
that the contract will be awarded.
f 23 CFR 636.119-Projects developed under a public-private partnership must
comply with all non-procurement provisions of 23 USC.
g 29 CFR 1,2,5 Procedures for Predetermination of Wage Rates, Copeland Act and
enforcement provisions.
State Regulation
a. Government Code 2258.021-Requires that a worker employed on a public work
by or on behalf of the state or a political subdivision of the state shall be paid:
1. not less than the general prevailing rate of per diem wages for work of a
similar character in the locality in which the work is performed ; and
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ii. not less than the general prevailing rate of per diem wages for legal
holiday and overtime work.
b. Government Code 2258.022(a)-The public body must determine the general
prevailing rate of per diem wages in the locality in which the public work is to be
performed for each craft or type of worker needed to execute the contract and the
prevailing rate for legal holiday and overtime work.
c . Government Code 2258.023 -Provides for penalties assessed a contractor or
subcontractor who violates the statute.
d. Government Code 2258.024 -Specifies records to be maintained by the
contractor and subcontractor.
e. Government Code 2258 , Subchapter C -Describes enforcement actions for
violations of the statute.
Required Practices
a. For federally funded projects functionally classified above Rural Minor Collector,
the LG must use US Department of Labor wage rates.
b. For federally funded projects functionally classified Rural Minor Collector or
Local Road , and for all projects with state funds , the LG must use TxDOT-
published wage rates or submit wage rates for TxDOT approval that were
developed in accordance with state statutes.
c. For projects with no state or federal funds, the LG must comply with state
statutes, but may follow their own procedures. TxDOT approval of wage rate
determinations is not required.
LG Responsibilities
a. Include FHW A-1273 provisions, including Davis-Bacon wage rates in contract,
request for proposals , or concessionaire agreement
b . Assure provisions are included in all contracts and subcontracts exceeding
$2 ,000.00
c. Assure wage rates are posted at the site of work
d. Request additional classifications as necessary
e. Assure workers are paid appropriate wage for work classification
f. Assure contractor pays overtime for work in excess of 40 hours in a work week
Work with USDOL to resolve any violations
TxDOT District Responsibilities
a. General -For projects with state or federal funds , review the LG 's proposed
process to assure compliance with the applicable statutes. Submit questions and
non-compliance issues to CST for approval.
b. There is no qionitoring on projects without state or federal funds .
c . For projects with federal funds:
i. Review bid proposals, requests for proposals, and concessionaire
agreements to ensure Form FHWA-1273 and appropriate wage rates are
included.
ii. Assist the LG in obtaining additional wage classifications if requested.
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iii. Spot check that wage rates are posted at the job site during routine
inspections.
d. For projects with state funds, review bid proposals, requests for proposals, and
concessionaire agreements to ensure the appropriate wage rates are included.
Prison Produced Materials
General There are limitations on using materials produced by convict labor in a Federal-
aid Highway project. Materials 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. prison 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.
Federal Regulation
a. 23 CFR 635.417 -Materials produced in a prison facility or by prison labor may
not be used on federally funded projects for roadways functionally classified
above a Rural Minor Collector.
State Regulation
a. No comparable state statute.
Required Practices
a. The LG must follow the federal statute.
LG Responsibilities
a. Develop contract language that prohibits use of prison-produced materials and
include the contract language in bid documents.
TxDOT District Responsibilities
a. For projects with federal funds on roadways functionally classified above a Rl!,ral
Minor Collector, review bid proposals, requests for proposal, and concessionaire
agreements to ensure that they do not contain language allowing material
produced in a prison facility.
b. There is no monitoring on federally funded projects on roadways functionally
classified Rural Minor Collector or Local Road, and on all projects without
federal funds.
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Publicly-owned Equipment
Section 3 -Local Government (LG) Contract
Components
General 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.
Federal funds may participate in the costs associated with the use of publicly owned
equipment provided that:
+ The PS&E submittal clearly sets forth the proposed use;
+ The specifications indicate the items of equipment that are available, the rates to be
charged, and the point(s) of availability or delivery; and
+ The specifications include the express condition that the contractor has the option to
rent all or part of the available equipment, or to provide the equipment.
The LG cannot benefit from the rental of its own equipment by virtue of a Federal-aid
contract. Accordingly, the rental rates must reasonably represent the cost of providing the
equipment or there shall be a lump sum credit to Federal reimbursement on the project equal
to the amount of profit on rental that the agency receives.
Federal Regulation
a. 23 CFR 635.106-Prohibits publicly-owned equipment from competing with
privately-owned equipment on a project to be let to contract. There are limited
exceptions when justified in writing as being in the public interest.
State Regulation
a. No comparable statute.
Required Practices
a. On projects with Federal funds, the LG may not require that a contractor use
equipment owned by the local government. Limited exceptions may be granted
by TxDOT in unusual circumstances.
b. On projects with no federal funds, the LG is not bound by the federal statute.
LG Responsibilities
a. Do not include contract provisions requiring use of LG equipment unless
approved in writing by TxDOT.
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TxDOT District Responsibilities
a. For projects with federal funds , review bid proposals, requests for proposals, and
concessionaire agreements to ensure they do not contain language requiring use of
equipment owned by the LG.
i. Transmit LG request to CST for action.
b. There is no monitoring on projects without federal funds.
Railroad Insurance Provision
General. 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 below 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.
646.109(b) (4).
(b) Coverage shall include:
1. Death of or bodily injury to passengers of the railroad and employees of the railroad
not covered by State workmen's compensation laws ;
2. Personal property owned by or in the care, custody or control of the railroads;
3. The contractor, or any of his agents or employ ees who suffer bodily injury or death
as the result of acts of the railroad or its agents , regardless of the negligence of the
railroad;
4. Negligence of only the following 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 contractor; 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.
The amounts of coverage required by 23 CFR 646.111 is as follows:
(a) The maximum dollar amounts of coverage to be reimbursed from Federal funds with
respect 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 separately to each
annual period except as provided in paragraph (b) of this section.
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(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 practices
upon approval ofTxDOT.
Federal Regulation
a . 23 CPR 646 -Requires that a construction contractor carry public liability and
property damage insurance when working on railroad right-of-way.
State Regulation
a. No comparable statutes.
Required Practices
a. On projects with federal funds, the LG must follow the federal statute. In
addition , the LG must coordinate work on railroad right-of-way and include those
provisions in the contract.
LG Responsibilities
a Coordinate with railroad.
b. Include provision for contractor's railroad liability insurance and other railroad
provisions in bid documents, request for proposals, or concessionaire agreement.
c. Assure liability insuranc~ is in force and is maintained.
TxDOT District Responsibilities
Retainage
a. For design-bid-build projects with federal funds , review bid proposals for
inclusion of the insurance provision.
b. There is no monitoring on design-build or concessionaire projects with federal
funds and all projects without federal funds.
c. While the railroads require insurance , TxDOT will not monitor insurance or other
provisions the railroad may require of the LG or their contractor.
General. Chapter 223 .010 of the Transportation Code allows five percent of the contract
price to be retained until the entire improvement has been completed and accepted. However,.
Federal concerns over prompt pay (49 CPR 26.29) for subcontractors require that one the
following three options be used if Federal funds are utilized. These options are:
(1) You may decline to hold retainage from prime contractors and prohibit prime
contractors from holding retainage from subcontractors.
(2) You may decline to hold retainage from prime contractors and require a contract
clause obligating prime contractors to make prompt and full payment of any retainage
kept by prime contractor to the subcontractor within 30 days after the subcontractor's
work is satisfactorily completed. The 30 days are changed to 10 days by Government
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Code Chapter 2251.022. The federal government allows states to be more restrictive.
Therefore the 10 day requirement prevails.
(3) You may hold retainage from prime contractors and provide for prompt and regular
incremental acceptances of portions of the prime contract, pay retainage to prime
contractors based on these acceptances, and require a contract clause obligating the
prime contractor to pay all retainage owed to the subcontractor for satisfactory
completion of the accepted work within 30 days (Changed to 10 days by Government
Code Chapter 2251.022.) after your payment to the prime contractor.
If retainage is kept, 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 otherwise
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.
Federal Regulation
a. While there is no federal statute that addresses retainage , FHW A policy allows
recipients of federal funds to set retention rates from progress payments to protect
the federal interest.
b. 49 CFR 26.29-As part of the DBE program, there must be a contract clause to
require that prime contractors pay all subcontractors for satisfactory performance
of their contracts no later than 30 days (Changed to 10 days by Government Code
Chapter 2251.022.) from receipt of each payment you make to the prime
contractor. Retainage may only be withheld if the contract provides for
incremental acceptance of work with retainage paid to the prime contractor based
on this partial acceptance. The prime must then pay all retainage to the
subcontractor within 30 days (Changed to 10 days by Government Code Chapter
2251.022.) after the prime contractor receives pay ment for satisfactory
completion of the accepted w ork.
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State Regulation
Section 3 -Local Government (LG) Contract
Components
a. Texas Administrative Code, Title 43, Chapter 26.33(g)(l) -A Regional Mobility
Authority must use specifications that conform to the latest TxDOT Standard
Specifications on projects that connect with the state highway system.
b. Texas Administrative Code, Title 43, Chapter 27.56(c)(3)-A Regional Tollway
Authority must use specifications that conform to the latest TxDOT Standard
Specifications on projects with state fund participation.
c. Government Code 2252.032 -Requires that a governmental entity deposit
retainage in an interest-bearing account for contracts that exceed $400,000 and
have a retainage clause of more than 5%. The interest must be paid to the
contractor.
d. Transportation Code 223.009-Allows partial payments to a contractor.
e. Transportation Code 223.010-Allows but does not requires a 5% retainage until
a project is complete and accepted. Provides for deposit of the retained amount
be deposited under a trust agreement if requested by the contractor and approved
by TxDOT and the Comptroller.
Required Practices
a. For projects with federal or state funds, the LG must adopt Article 9.6 of the
TxDOT Standard Specifications with the applicable special provision approved
by FHW A or submit an alternate option complying with 49 CFR 26.29 to TxDOT
for approval by FHW A.
b. For projects with no state or federal funds, the LG may follow agency practice.
LG Responsibilities
a. If retainage is not kept, adopt TxDOT spec Article 9.6 including FHWA-approved
special provision and include in bid documents, request for proposals, or
concessionaire agreement.
b. If retainage is kept, make incremental final acceptance of subcontracted work.
c. Follow retention schedule including release of retainage.
TxDOT District Responsibilities
a. For projects with state or federal funds, if retainage is not kept, review bid
documents to assure applicable TxDOT specifications and latest approved special
provisions are included. ·
b. For projects with state or federal funds, ifretainage is kept, review bid documents
to assure incremental final acceptance of subcontracted work will be done.
c. For projects with state or federal funds, have the LG investigate complaints from
sub-recipients of failure to release retainage. Submit questions and non-
compliance issues to CST for final determination.
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Safety: Accident Prevention (OSHA)
General Provisions 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 representatives right of
entry to projects that use Federal-aid funds. Specific subsections of the Form FHW A-1273
include:
+ Section VIII. I. The provisions of this section require the contractor to comply with all
applicable Federal , State and local laws governing safety, health and sanitation. The
contractor is required to provide all safeguards, 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 ofUSDOL 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 responsible agencies regarding serious violations
and provide full cooperation and assistance as required.
Federal Regulation
a. 23 CFR 635.108-Contracts must include provisions to insure full compliance
with all applicable Federal , State, and local laws governing safety, health and
sanitation and to require that the contractor provide all safeguards, safety devices ,
and protective equipment. This is implemented in Section VIII of Form FHWA-
1273.
b. 29 USC Chapter 15 -Describes establishment and implementation of standards
employers are to follow for the safety of their employees.
c. 29 CFR 1910 and 1926-Contains health and safety standards for construction.
State Regulation
a. Labor Code 411.103 -Requires employers to:
1. Provide and maintain employment and a place of employment that is
reasonably safe and healthful for employees ;
11. Install, maintain , and use methods , processes, devices, and safeguards,
including methods of sanitation and hygiene , that are reasonably necessary
to protect the life, health , and safety of the employer's employees; and
m. Take all other actions reasonabl y necessary to make the emplo yment and
place of employment safe.
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Required Practices
Section 3 -Local Government (LG) Contract
Components
a. All private employers are to follow OSHA standards.
LG Responsibilities
a. Include provisions in contract to implement OSHA
b. Cooperate with OSHA as necessary
TxDOT District Responsibilities
a. For projects with state or federal funds , review bid proposal , request for proposal,
or concessionaire agreement for language requiring compliance with OSHA.
State or Local Preference
General. 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.
This policy also applies to preference actions against materials of foreign origin, except as
otherwise permitted by Federal law. Thus, the LG cannot give preference to in-State
material sources over foreign material sources. Under the Buy America provisions, the state
or LG is permitted to expand the Buy America restrictions provided that the state or LG is
legally authorized under State law to impose more stringent requirements.
Federal Regulation
a. 23 CFR 635.409 -There may not be any contract provisions which require the
use of or provide a price differential in favor of articles or materials produced
within the State.
State Regulation
a. Government Code 2155.444 -State agencies must give preference to goods
produced in Texas if the cost and quality are equal.
b. Government Code 2155.449 -State agencies must give preference to goods
produced in economically depressed or blighted areas if the cost and quality are
equal.
c. Transportation Code 223.045 -provides that contracts for the state highway
system without federal funds must contain the same preference provisions for
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steel and steel products that are required under federal law for an improvement
made with federal funds.
Required Practices
a. For projects with federal funds, the LG must comply with federal statute.
b. For projects with state funds , but no federal funds, bid documents must contain
provisions to assure compliance with Government Code 2155.444 and 2155.449.
Use of contract requirements with preference for local materials must be approved
byTxDOT.
c. For projects with no state or federal funds , the LG may follow their own
procedures.
d. For projects with no federal funds but with state funds , the same preference
provisions for steel and steel products that are required under federal law for an
improvement made with federal funds .
LG Responsibilities
a. If federal funds are used, the LG must assure there are no State or local preference
provisions in their contracts.
b. If state funds are used:
i. Send contract provisions to implement TGC 2155 for TxDOT
concurrence.
11. Request TxDOT approval of local material preference if desired .
TxDOT District Responsibilities
a. For projects with federal funds , review bid proposals, requests for proposals, and
concessionaire agreements to ensure they do not contain language giving state or
local material preference.
b. For projects with state funds , transmit LG contract provisions implementing state
statutes to DES for approval.
c. There is no monitoring on projects without state or federal funds.
Subcontracting
General. 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). Subcontracting 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 highly
specialized knowledge, abilities or equipment not ordinarily available in the type of
contracting organization qualified and expected to bid on the contract.
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+ 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 shall be
based on satisfactory evidence that each subcontract is in writing and contains all the
pertinent provisions, including insuring that the provisions of FHWA-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.
Employee lease agreements have raised some issues. When a contractor enters an agreement
with a firm to lease employees, does this constitute a subcontract and thus be subject to the
30% subcontract limitation? Employee lease arrangements are acceptable for Federal-aid
projects if the leased employees are under the direct supervision 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 control over the supervision of the day-to-day activities
of the leased employees ;
2. The prime contractor remains responsible for the quality of 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 supervision 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 FHWA 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 FHWA 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.
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Federal Regulation
a. 23 CFR 633 -Contractors are required to include Form FHWA-1273 in all
subcontracts.
b. 23 CFR 635.116
i. Contractors must perform at least 30% of the work on a contract.
ii. Subcontractors are not allowed to perform work on a project until the
subcontract has been approved in writing by the contracting entity.
c. 23 CFR 63 5 .116( d) -Applies to design-build contracts
i. The contracting entity may establish a percentage of work that must be
performed by the design-builder. The 30% limitation does not apply.
ii. The only goals that maybe prescribed are those relating to the DBE
program.
State Regulation
a. Texas Administrative Code, Title 43 , Chapter 26.33(g)(l)-A Regional Mobility
Authority must use specifications that conform to the latest TxDOT Standard
Specifications on projects that connect with the state highway system.
b. Texas Administrative Code, Title 43 , Chapter 9.54(c)(6)(A) - A HUB contractor
or subcontractor may not subcontract more than 75% of a contract. The HUB
shall perform not less than 25% of the value of the contract work.
c . Texas Administrative Code, Title 43 , Chapter 27.56(c)(3)-A Regional Mobility
Authority must use specifications that conform to the latest TxDOT Standard
Specifications on projects with state fund participation.
d. Local Government Code 271.185 -A local governmental entity may use the
design-build method for the construction, rehabilitation , alteration , or repair of a
civil works project.
Required Practices
a . For all projects with federal funds, the LG must adopt the TxDOT Standard
Specification Article 8.8, including 30% limitation, Form FHW A-1273, prompt
pay, and other policies. The LG will include TxDOT's "Contractor's Assurance"
document in all contract documents.
b. For all projects with state funds , the 30% subcontracting limitation is reduced to
25% for HUB firms.
c. For projects with state or federal funds , the LG may not approve subcontracts
with firms on the state or federal debarred list.
d. For design-build projects, the 30% subcontracting limitation does not apply.
e. For projects with no state or federal funds , the LG may follow their own
procedures.
LG Responsibilities
a. Adopt TxDOT Standard Specification Article 8.8
b. Include FHW A-1273 in contract
c. Include Contractor 's Assurance in bid documents
d. Approve subcontracts in writing
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e. Assure subcontractor is not debarred
f. Monitor 30% or 25% limitation
TxDOT District Responsibilities
a . For projects with state or federal funds:
1. Review bid proposals for design-bid-build projects to ensure all applicable
contract requirements are included.
11. Spot check LG's subcontract approvals for compliance with
subcontracting limitation and debarred status. Submit questions and non-
compliance issues to CST for final determination.
b. There is no monitoring on projects without state or federal funds.
Termination of Contract
General. Federal-aid contracts exceeding $10 ,000 must contain suitable provisions for
termination by the LG. The provisions 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 Tx.DOT concurred in the award, the
LG shall consult with and receive the concurrence ofTxDOT. 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. AASHTO lists 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
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paid for completed work, for work necessary to preserve and protect the completed work
and for materials stockpiled for the project.
Termination for Default. Terminations for default are for circumstances that are deemed to
be under the contractor's control. The AASHTO guide specifications include the following
as circumstances for termination for default:
+ Failure to begin work under the 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,
+ Discontinuance 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 10 days, to respond or to proceed with the work. If that period expires
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 pay ing 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 ofFHWA or Tx.DOT 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.
Federal Regulation
a. 23 CFR 635.125 -Contracts ex ceeding $10 ,000 must contain provisions for
termination of a contract, including the manner by which the termination will be
effected and the basis for settlement. In addition, such contracts must describe
conditions under which the contract may be terminated for default as well as
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conditions where the contract may be terminated because of circumstances
beyond the control of the contractor.
b . 23 CFR 635.125-Termination of a contract requires prior FHWA concurrence.
State Regulation
a. Texas Administrative Code, Title 43, Chapter 26.33(g)(l) -A Regional Mobility
Authority must use specifications that conform to the latest TxDOT Standard
Specifications on projects that connect with the state highway system.
b. Texas Administrative Code, Title 43, Chapter 27.56(c)(3)-A Regional Mobility
Authority must use specifications that conform to the latest TxDOT Standard
Specifications on projects with state fund participation.
Required Practices
a. All projects with state or federal funds must have termination language in the
contract to protect the state or federal interest. The LG must adopt TxDOT
Standard Specification Article 8.7 or submit alternate contract language for
TxDOT approval.
b. For project with no state or federal funds, the LG may use agency procedures.
LG Responsibilities
a. Adopt Article 8.7 ofTxDOT Standard Specs or develop comparable contract
language for termination of contract and include in bid documents, request for
proposals, or concessionaire agreement.
b. Request TxDOT approval of any termination action .
TxDOT District Responsibilities
a. For projects with state or federal funds:
i. Transmit LG's alternate contract language to CST for approval.
11. The LG will take the termination action. Transmit LG's request to
terminate a contract to CST for concurrence and determination of extent of
participation.
b. There is no monitoring on projects without state or federal funds.
Time Extensions
General. Contract time extensions granted by an LG that affect project costs or liquidated
damages shall be subject to the concurrence ofTxDOT and will be considered in
determining the amount of Federal participation.
Events that are normally considered to be under the control of the contractor and, therefore,
do not warrant a time extension includes:
• Shutdowns for maintenance,
+ Breakdowns,
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+ Suspensions or stop work orders for violation of safety or pollution regulations,
+ Shutdowns for construction accidents , and
+ Material delays.
The FAPG (Non-regulatory Supplement 23 CFR 635A) provides further guidance on
materials delays. The contractor is responsible for the timely order and delivery of materials
for the project. A delay in delivery of materials does not in itself generally support 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 basis
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 than the rule.
Federal Regulation
a. 23 CFR 635.121 -Time extensions for projects on the National Highway System
are subject to approval by the FHW A and will be considered in the extent of
federal participation.
State Regulation
a. No comparable state statutes
Required Practices
a. For federally funded projects on the National Highway System (NHS), the LG
must have TxDOT approval of time extensions before granting the extension to
the contractor.
b. For all other projects, the LG may follow agency practice.
LG Responsibilities
a. Gain TxDOT concurrence in time extensions.
b. For concession projects, follow terms of agreement with TxDOT.
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TxDOT District Responsibilities
a. For projects with state and federal funds on the NHS , review and approve time
extension requests.
b. There is no monitoring on all other projects.
Title VI Compliance
General. Title VI of the Civil Rights Act of 1964 is the federal law that states "No person in
the United States shall, on the grounds of race, color, or national origin be ex cluded from
participation in , be denied the benefits of, or be otherwise subjected to discrimination under
any program to which this part applies." Additional regulations and statutes broadened non-
discrimination to include religion , sex, age, retaliation and disability.
The two main authorities enabling Title VI implementation, compliance and enforcement
are the Civil Rights Act of 1964 and the Civil Rights Restoration Act of 1987. Various
other statutes, laws and regulations , executive orders and the United States Constitution
provide guidance for the effective execution of the objectives of Title VI. These include , but
are not limited to the:
+ Federal-Aid Highway Act of 1973
+ Section 504 of the Rehabilitation Act of 1973
+ Americans with Disabilities Act of 1990
+ Age Discrimination Act of 1975
• Executive Order 12898: Federal Actions to Address Environmental Justice in Minority
Populations and Low-Income Populations
+ Executive Order 13166: Improving Access to Services For Persons With Limited
English Proficiency
Pursuant to Title VI of the Civil Rights Act of 1964 , as amended, the Restoration Act of
1987 and other nondiscrimination authorities , it is the policy of the Texas Department of
Transportation that discrimination based on race , color, national origin, sex, age or disability
shall not occur in connection with any of its programs or activities. Any recipient or sub-
recipient receiving Federal financial assistance shall adopt this assurance or provide one in
accordance with 49 CFR Part 21. 7 and follow all applicable laws, regulations and guidance
including 49 CFR Part 21 and 23 CFR Part 200.
Federal Regulations
a. 49 CFR Part 21: Nondiscrimination in Federally -Assisted Programs of the
Department of Transportation
b. 23 CFR Part 200: Title VI Program and Related Statutes -Implementation and
Review Procedures
State Regulations
a. Texas Administrative Code, Title 43 §9.4: Civil Rights--Title VI Compliance
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a. Pursuant to 23 USC 302, the FHWA's primary recipient is the State Highway
Transportation Agency. In Texas, TxDOT is that primary recipient. TxDOT and
its subrecipients and contractors, irrespective of tier, are required to prevent
discrimination and ensure nondiscrimination in all programs and activities
whether they are federally funded or not.
b. Subrecipients of federal financial assistance include , but are not limited to cities,
counties, contractors, consultants, suppliers, universities, colleges and planning
agencies. TxDOT and/or the FHW A will address any discovered instance of
discriminatory distribution of program access to or use of services and benefits.
Program, facility, and records access shall be granted at any time to TxDOT, the
State Auditor's Office, the USDOT and other federal agencies to assure
compliance with these regulations.
c. A Title VI complaint may be filed by any individual or individuals who allege
they have been subjected to discrimination or adverse impact under any TxDOT
program or activity based on race, color, national origin, sex, age, religion or
disability. The complaint must be filed within 180 days of the date of the alleged
act of discrimination. A "Discrimination Complaint Form" may be obtained
online by visiting http://www.txdot.gov/services/civil rights/ or by contacting the
TxDOT Office of Civil Rights at 866-480-2518.
LG Responsibilities
LG recipients should provide methods of administration designed to ensure that they and all
subrecipients comply with Title VI and remedy any existing compliance problems. The
minimum components of this requirement are:
a. Develop specific outreach plan for notifying subrecipients through meetings,
written documents of the Title VI requirements that apply to the federally-funded
State program.
b. Provide training for local program staff, subrecipients in the Federal agency's
nondiscrimination policies and procedures.
c. Establish procedures for processing complaints, notifying.TxDOT and the
FHWA, and informing beneficiaries of their right to file an external complaint of
discrimination.
d. Develop a program to assess and report on the status of their Title VI compliance.
e. Establish plans for bringing discriminatory programs into compliance within a
specified time period.
f. Assist the TxDOT Office of Civil Rights in the Title VI review of the LG and
subrecipient contractor program areas and activities. Revise where applicable,
policies and procedures and directives to include Title VI requirements.
g. Distribute policy statement which expresses the LG's commitment to the
nondiscrimination provisions of Title VI. The policy statement shall be circulated
throughout the recipient's organization and to the general public. Such
information shall be circulated where appropriate in languages other than English.
h. Take affirmative action to correct any deficiencies found by the Federal Highway
Administration within a reasonable time period, not to exceed 90 days, in order to
implement Title VI compliance.
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i. Process complaints of discrimination consistent with the LG' s procedures.
External complaints of discrimination shall be forwarded to TxDOT's Office of
Civil Rights for investigation . Investigations shall be conducted by the Office of
Civil Rights personnel trained in discrimination complaint investigations.
J. Collect statistical data (race, color, national origin, sex, age, disability) of
participation in, and beneficiaries of the programs and activities conducted by the
recipient.
k. Participate in training program on Title VI and related statutes.
I. Prepare a yearly report of Title VI accomplishments for the past year and goals
for the next y ear.
m. Distribute T itle VI information for dissemination to the general public and when
appropriate, in languages other than English.
n. Establish procedures to identify and eliminate discrimination when found to exist.
o. Provide LG's program to TxDOT for review.
TxDOT District Responsibilities
a. TxDOT may perform compliance reviews to determine if the LG is adequately
adhering to the conditions set forth under 23 CFR 200.9.
Trench Safety
General According to OSHA, dozens of people are killed each y ear and hundreds are
injured. OSHA has established several trench safety requirements such as:
• Trenches 5 feet deep or more require a trench protection system.
• Trenches 20 feet deep or more require that the trench protection system be designed by a
registered professional engineer.
• Allowable trench protection systems include:
i. Sloping protects workers by cutting back the trench wall at an angle inclined
away from the excavation.
ii. Shoring protects workers by installing aluminum hydraulic or other types of
supports to prevent soil movement.
iii . Shielding protects workers by using trench boxes or other types of supports to
prevent soil cave-ins.
• OSHA standards require that trenches be inspected daily and as conditions change by a
competent person prior to worker entry to ensure elimination of excavation hazards.
To assure that trench safety receives the attention it deserves, Health and Safety Code, § 756
outlines several construction project requirements.
Federal Regulation
a. No comparable statute. There is no federal requirement for there to be a bid item
for trench safety. However, various trench safety measures are required by
OSHA. Refer to the contract requirement "Safety: Accident Prevention
(OSHA)."
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State Regulation
a. Health and Safety Code, § 756 .022. Trench Excavation in State requires that any
bid documents (if bid documents are used) and the construction contract contain
the following provisions for any trench excavation exceeding a depth of 5 feet.
1. A reference to the Occupational Safety and Health Administration
standards for trench safety,
11. A copy of special shoring requirements, if any, of the state or of a political
subdivision in which the construction project is located, with a separate
pay item for the special shoring requirements,
iii. a copy of any geotechnical information that was obtained by the LG for
use in the design of the trench safety system; and
iv. a separate pay item for trench excavation safety protection.
b . Health and Safety Code, § 756.023. Trench Ex cavation for Political Subdivision
requires the same bid and contract provisions as § 756 .022 plus additional
requirements for cities and counties.
Required Practices
a. Requirements of Health and Safety Code, § 756.022 applies to all projects with
state or private funding whether on-system or off-system.
b . Requirements of Health and Safety Code, § 756.023 applies to all projects with
city or county funding whether on-system or off-system.
c. Impose Health and Safety Code, § 756 .022 regardless of funding.
Responsibilities
a. Include the required provisions in the bid documents.
TxDOT District Responsibilities
a. Review bid documents for required provisions.
Warranties and Warranty Clauses
General. With certain limitations, warranties may be specified. Prior to 199 l, 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, FHWA 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 and became
23 CFR 635.413 .
The LG may include warranty provisions in NHS construction contracts in accordance with
the following:
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+ Warranty provisions shall 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 Federal 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 asphaltic 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.
Federal Regulation
a . 23 CFR 635.413 -For projects on the National Highway System , warranty
provisions may be used for a specific product or feature. Warranties for the entire
project are not acceptable. Contractors may not be required to warrant items over
which they do not have control.
b. 23 CFR 635.413(e)-For design-build projects on the National Highway Sy stem,
regulatory changes are appropriate:
1. General project warranties may be used with limitations.
ii. Contracting entities may allow proposers to submit alternate warranty
proposals for determination of best value .
State Regulation
a. No comparable state statute.
Required Practices
a. For projects with state or federal funds , the LG must submit warranty procedures,
including contract language, for TxDOT approval.
b. For projects with no state or federal funds, the LG may use agency procedures.
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LG Responsibilities
a. Submit warranty procedures to TxDOT for approval.
b. For concessions, follow terms of agreement.
TxDOT District Responsibilities
a. For design-bid-build and design-build projects with state or federal funds, submit
the LG 's warranty process and contact language to CST for approval.
b. There is no monitoring on projects without state or federal funds and
concessionaire projects.
B. LETTING AND AW ARD
Addenda
General. 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 expeditiously 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 LG 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, TxDOT 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.
Federal Regulation
a. 23 CFR 635.l 12(c)
1. Addenda which contain a major change to the plans and/or specifications
must be approved by FHW A!fxDOT prior to release to prospective
bidders.
11. Minor addenda must be identified prior to , or with the request for
concurrence in award.
m . Addenda must be sent to all bidders.
iv .' Bidders must acknowledge receipt of all addenda. Failure to acknowledge
addenda renders a bid non-responsive.
b . 23 CFR 635.112(i)(3) -design-build
1. Addenda that result in major changes to the Request for Proposals must be
approved by FHW AffxDOT prior to release to offerors.
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11. Addenda must be sent to all offerors.
iii. The LG must provide assurance that all offerors received all addenda prior
to requesting concurrence in award.
c. CFR 635.114 (b)
1. FHWA must formally concur in the award of all Federal-aid contracts.
State Regulation
This is a prerequisite to Federal participation in construction costs and is
considered as authority to proceed with construction, unless specifically
stated otherwise. Concurrence in award shall be formally approved and
shall only be given after receipt and review of the tabulation of bids.
a. Local Government Code 271.0065 -All bidders must have the opportunity to bid
on the same items on equal terms. (Applies to municipalities, counties, and other
local governments)
b. Transportation Code 366.185 - A Regional Tollway Authority must develop
competitive bidding procedures to award contracts to the lowest responsible
bidder that complies with the authority's criteria.
c. Transportation Code 370.184 and .185 -A Regional Mobility Authority must
adopt rules governing award of contracts. A contract may be let by a competitive
bidding procedure to the lowest responsible bidder that complies with the
authority's criteria.
Required Practices
a. For projects with federal funds, TxDOT must concur in the award.
b. For all projects on the state system, projects with federal or state funds , or projects
administered by a Regional Mobility Authority, all addenda must have TxDOT
approval prior to award of the contract. "Major" addenda must be approved by
TxDOT prior to release to prospective bidders/offerors. "Minor" addenda may be
approved by TxDOT after release to bidders but prior to award of contract. Minor
addenda includes minor quantity changes and correction of obvious errors , but
does not include changes to geometric features , approved specifications, or safety
appurtenances. The LG should verbally advise TxDOT of any proposed addenda
before release to prospective bidders/offerors to avoid potential participation
issues.
c. For projects that do not have state or federal funds , are not on the state sy stem , the
LG should follow their own procedures . The LG does not have to get TxDOT
approval of addenda.
d. For concessionaire projects that include long-term maintenance by the
concessionaire (20 years or more), major addenda do not have to be approved by
TxDOT prior to release. All addenda must be approved by TxDOT before award
of contract.
LG Responsibilities
a. Request formal concurrence in award from TxDOT. The request must include the
tabulation of bids .
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b. Secure TxDOT approval of "major" addenda prior to release.
c. Assure all addenda available to all bidders/offerors.
d. Secure TxDOT approval of "minor" addenda prior to contract award.
TxDOT District Responsibilities
a. For project with federal finds, forward the LG's request for concurrence in the
award to the Design Division .
b. For all projects requiring TxDOT approval of addenda, reach agreement with the
LG on the process to submit addenda to the District. This process should be
understood by both the District and the LG before advertising for bids or issuing a
request for proposals.
c. Fax or e-mail addenda to DES as soon as practical following receipt from the LG.
d. There is no monitoring on projects that do not require TxDOT approval of
addenda.
Advertising
General. An advertisement is the official announcement inviting bids 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 only advertise a project following TxDOT's approval of the PS&E package.
TxDOT authorization will be based on the assurances prescribed in 23 CFR 635.309, which
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 families , when applicable;
+ Assurances that the public hearing process and location and design approval
requirements have been met; and
• Assurances, where applicable , that required area-wide agency reviews have been
accomplished.
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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.
The minimum advertisement period is three weeks. With approval by TxDOT, exceptions are
permitted where circumstances warrant. For large or complex projects, the 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 address prospective
contractors concerns and questions is considered good industry practice.
The LG shall continue to accept bids or proposals or other applicable expressions of interest
for the contract for at least 21 calendar days after the date the LG first posted notice of the
contract in accordance w ith the requirements listed above , or 14 calendar days after the date
the LG first posted the entire bid or proposal solicitation package . 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 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 newspaper 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 newspaper 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.
The Government Code §2155.083 requires that all contracts involving more than $25,000 be
posted in the in Electronic State Business Daily maintained by the Office of the Comptroller.
The LG must post in the business daily either the entire bid or proposal solicitation package
or a notice that includes all information necessary 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 applicable 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
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• 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.
Federal Regulation
a . 23 CFR 635.112 contains the following requirements:
i. Projects may not be advertised for receipt of bids until a Letter of Authority is
issued by the FHW A.
ii. The advertisement and the approved PS&E must be available a minimum of
three weeks before bid opening.
iii.For design-build, FHWA's approval of the Request for Proposals has the same
significance as PS&E approval.
State Regulation
a. Local Government Code 252.041 (municipalities) -The Municipality must place
a weekly advertisement in a newspaper published in the municipality at least two
weeks before bid opening.
b. Local Government Code 262.025 (counties)-The County must place a weekly
advertisement in a newspaper of general circulation in the county at least two
weeks before bid opening.
c. Local Government Code 271.025 (municipalities, counties, and other local
governments)-Governmental entities must advertise for bids. If no other law
prevails, the advertisement must be published in a newspaper of general
circulation in the area at least twice on or before the tenth day before the first date
bids may be submitted ..
d. Local Government Code 271.184 -Design-build projects must be advertised
including time and place of bid opening according to any manner prescribed by
law.
e. Government Code 2155.083 -Procurements over $25 ,000 by all state agencies
must be placed on the Comptroller 's Electronic State Business Daily web site a
minimum of 21 days prior to bid opening.
f. Transportation Code 223.002 -For projects let by TxDOT. This statute does not
apply to other entities.
i. Advertise the place and time bids are to be opened and read.
11. For contracts estimated at $300 ,000 or above, advertisements in
newspapers need to be in the county in which the work is to take place,
and in two other newspapers (total of three newspapers). For contracts
estimated to be less than $300 ,000 , advertisements should be published
twice in the county where the work is to take place.
m. The newspaper advertisements must be placed at least two weeks prior to
bid opening and run each week.
1v. If a newspaper is not published in the county in which the work is to be
done , advertisements need to be published in a newspaper published in the
county:
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1. Nearest the county seat of the county in which the work is to be
done;and
2. In which a newspaper is published .
g. Transportation Code 223.203(c) -For design-build, TxDOT must publish a notice
advertising a request for competing proposals and qualifications in the Texas
Register. This Regulation does not apply to other entities.
h. Transportation Code 366. l 85(b) -Regional Tollway Authorities must adopt rules
governing award of contracts through competitive bidding .
i. Transportation Code 370 .184 -A Regional Mobility Authority must adopt rules
governing award of contracts.
Required Practices
a . For projects with state or federal funds, the LG may not advertise for receipt of
bids until so authorized by TxDOT. If the project has federal funds , authorization
from TxDOT will be after FHWA issues a Letter of Authority.
b . For projects with federal or state funds, the LG is encouraged to follow the
provisions of Transportation Code 223 and Government Code 2155.083.
(Electronic State Business Daily, number and location of newspapers)
c. For projects with no federal or state funds, the LG may follow their own
advertising procedures. The LG is encouraged to use the Electronic State
Business Daily.
d. Concessionaires will follow TxDOT practices on projects where TxDOT is the
administrator.
LG Responsibilities
a. Advertising must be after TxDOT authorization.
b. Advertise a minimum of 3 weeks in advance of bid opening .
c. Use three newspapers and consider using the Electronic State Business Daily.
d. For design-build follow provisions in the approved solicitation .
TxDOT District Responsibilities
a. General
1. For projects with state or federal funds, review the LG 's process for
advertising for compliance with the applicable statutes and policy
statements. Submit questions and non-compliance issues to CST for final
determination .
II. For projects with state or federal funds , check that the advertisement is not
listed in the Electronic State Business Daily, newspapers , or other
advertising medium before the LG receives authorization from TxDOT.
m. There is no monitoring on projects without state or federal funds.
b. Design-bid-build -For projects with state or federal funds , spot check newspaper
advertisements for compliance with statutes ( content of advertisement, number of
newspapers, and area of circulation).
c. Concessionaire -M~nitor advertising for compliance with the concessionaire
agreement.
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Bid Analysis and Contract Award
General. 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 used in the most effective manner.
Contract award is the commitment to go forward with the project.
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 excessive 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 635.l 14(c), is an examination of the unit bid
prices for reasonable conformance with the engineer's estimated prices. Beyond the
comparison of prices, other factors that a bid analysis may consider include:
• Number of bids,
• Distribution or range of the bids,
• Identity and geographic location of the bidders,
• 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.
Not all of these factors need to be considered for bids that indicate reasonable prices or show
good competition. However, 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?
• Would re-advertisement result in higher or lower bids?
• Was there an error in the engineer's estimate?
Unbalanced Bids. Perform an analysis of the tabulations and the project estimate to
determine the presence of unbalanced bids. As defined in 23 CFR 635.102, the two types of
unbalanced bids are:
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+ 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 materially unbalanced 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.
The LG must obtain TxDOT concurrence on the determination of whether or not a bid is
unbalanced.
To detect 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. The degree of unbalancing of a bid may depend
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 creates reasonable doubt that award would
result 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.
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.
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 basis of the lowest responsive
bid submitted by a bidder meeting the criteria of responsibility as may have been
established by the STD [LG] in accordance with 23 CFR 635.110. Award shall be
within the time established by the STD [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
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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 635.114(±) requires
that:
"If the SDT [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."
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 [TxDOT] for
concurrence , accompanied by adequate justification."
To insure the sanctity of the low-bid system, the FHWA Contract Administration Core
Curriculum states "The act of a contracting agency negotiating with an apparent low bidder
prior to award is defined as "bid rigging in reverse," and is expressly prohibited by 23 CFR
635.l 13(a)."
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 ex planation to all bidders of how the alternates
will be used to determine the low bidder and contract award.
Federal Regulation
a. 23 CFR 635.l 13(a)
i. Negotiation with contractors, during the period following the opening of
bids and before the award of the contract shall not be permitted.
b. 23 CFR 635.114
i. Contracts must 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 in accordance with Sec. 635.110.
11. Award is subject to the prior concurrence ofFHWA (TxDOT may act on
behalf ofFHWA on certain projects). Prior concurrence is a condition of
federal participation.
m. Bids shall be evaluated for conformance with the engineer's estimate.
Extreme variations and obvious unbalancing shall be thoroughly evaluated
to assure good competition and the lowest possible price was received.
iv. The request to concur in award of an unbalanced bid must be supported by
written justification.
v. Decisions to either award to other than the low bidder or reject all bids
must be have prior FHW A (TxDOT) concurrence.
c. 23 CFR 635.l 14(k)-Design-build contracts shall be awarded in accordance with
the Request for Proposals.
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d. 23 CFR 636 -Design-Build
State Regulation
i. Subpart B lists acceptable procedures for selection and award of design-
build projects .
11. Award is based on "best value" evaluated using the criteria established in
the Request for Proposals.
a . Texas Administrative Code Title 43, §9.I5(e)-Requires that TxDOT examine
low bids for reasonable conformance with TxDOT's estimate. Bidders found to
have submitted a materially and mathematically unbalanced bid will not be
allowed to submit future bids on the same project.
b. Texas Administrative Code Title 43, §26.33(g) -Requires that a Regional
Mobility Authority use TxDOT specifications or approved alternate specifications
for projects that connect to , or are on, the state highway system.
c. Tex as Administrative Code Title 43, §27.56(c)(3) -Requires that requestors use
TxDOT specifications or approved alternate specifications for toll projects that
include state funds. TxDOT may consider alternative specifications, including if
a project is not intended to become part of the state highway system or otherwise
under TxDOT jurisdiction.
d. Transportation Code 223.0041 -TxDOT contracts shall be awarded to the lowest
bidder.
e. Transportation Code 223.209 -TxDOT must develop rules governing selection of
a developer for a comprehensive development agreement.
f. Local Government Code 252.043 -Requires a municipality to award a contract to
the bidder that provides the best value. Includes factors that may be considered in
"best value" determination.
g. Local Government Code 252.0435 -Allows a municipality to consider a bidder's
safety record if:
1. The governing body has adopted a written definition and criteria for
accurately determining the safety record of a bidder;
ii. The governing body has given notice to prospective bidders in the bid
specifications that the safety record of a bidder may be considered in
determining the responsibility of the bidder; and
m. The determinations are not arbitrary and capricious.
h. Local Government Code 252.0436 -Allows a municipality to refuse award of a
contract to a bidder indebted to the municipality .
i . Local Government Code 262 .027 -Requires a County commissioner's court to
award contract to "lowest and best" bid or reject all bids and publish a new notice.
J. Local Government Code 262.0271 -Allows a County to give preference to a
bidder who provides health insurance comparable to health insurance for county
employees.
k. Local Government Code 262.0275 -Allows a County to take into account the
safety record of the bidder if:
i. The commissioners court has adopted a written definition and criteria for
accurately determining the safety record of a bidder;
ii. Prospective bidders are given notice in the bid specifications; and
iii . The determinations are not arbitrary and capricious.
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1. Local Government Code 262.0276 -Allows a County to refuse award of a
contract to a bidder indebted to the county.
m. Local Government Code 262.0305 -Allows a County to negotiate modifications
after award if in the best interest of the county.
n. Local Government Code 271.0065 -Requires a County to provide potential
bidders the opportunity to have their bid judged to the same standards.
o. Local Government Code 271.027 -Requires a County to award contracts to the
lowest responsible bidder. Also allows a bidder to demonstrate responsibility
after opening and before award to another bidder.
p. Local Government Code 271.192 -For design-build projects the LG must select a
design-build firm using a combination of technical qualifications and cost.
q. Transportation Code 366.185 -A Regional Tollway Authority must award
contracts by a competitive bidding procedure where the contract is awarded to the
lowest responsible bidder that meets the Authority's criteria.
r. Transportation Code 370.184 -A Regional Mobility Authority must adopt rules
governing award of contracts.
s. Transportation Code 370.312 -A Regional Mobility Authority must adopt rules
governing selection of private partnerships.
Required Practices
a. For all projects with federal and/or state funds and all projects on the state
highway system, the LG must have TxDOT concurrence in award before
awarding a contract. Since TxDOT does not reimburse on Pass-Through Finance
projects (also called Pass-Through Toll projects) until the project is open and it is
accepted at completion, TxDOT concurrence is not required. If an issue occurs at
letting, the LG should be informed the issue jeopardizes reimbursement and
therefore the LG should remedy the issue.
b . For all projects with federal and state funds , the LG must develop specific criteria
for determining a "responsible/ responsive bidder". The language must address
statutory options, such as "best bid", "best value", and "safety record". TxDOT
approval of the criteria is required and the criteria must be included in bid
documents. In addition , the LG must have a procedure satisfactory to TxDOT to
determine and evaluate "materially and mathematically unbalanced bids ".
c. For projects with federal and state funds , the provisions of Local Government
Code 271.027 allowing a bidder to demonstrate responsibility after bid opening
does not apply since 3.b. provides for developing contract language before
advertising a contract for receipt of bids .
d. For projects with no federal or state funds , the LG may award contracts without
prior TxDOT concurrence following their applicable procedures.
LG Responsibilities
a. Develop definition of responsible / responsive bidder for TxDOT approval and
include in bid documents.
b. Establish low bid criteria if add alternates are used.
c. Evaluate bids.
d. Determine lowest responsible / responsive bidder.
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e. Obtain Tx.DOT concurrence on the determination of whether or not a bid is
unbalanced.
f. Request concurrence in award (except for Pass-Through Finance projects).
g. Proceed with contract execution after notification of concurrence
h. For design-build, submit procurement procedures to Tx.DOT for approval.
i. For design-build, evaluate offers for compliance with rules.
j. Request Tx.DOT concurrence in award.
k. For off-sy stem projects with no federal or state funds , follow local procedures.
TxDOT District Responsibilities
a. General
i. For projects with state or federal funds, review the LG's process for bid
analysis and contract award for compliance with the applicable statutes
and policy statements. Submit questions and non-compliance issues to
CST for final determination.
11 . For projects with state or federal funds and for projects on the state
system , the LG must request Tx.DOT concurrence in award prior to
awarding a contract (except for Pass-Through Finance projects). The
District must review the LG's request and forward to CST for formal
Tx.DOT concurrence.
iii . There is no monitoring on projects with local or private funds that are not
on the state highway system.
b. Design-bid-build
1. Assure that definitions for "responsible/responsive bidder", "best value ",
"best bid", and "safety record" are acceptable and are included in the bid
proposal. In addition, review the LG 's process for determining
"materially and mathematically unbalanced bids" is acceptable and
appropriate language is in the bid proposal. Submit questions and non-
compliance issues to CST for final determination.
ii. Notify the LG of the Tx.DOT Administration 's concurrence or rejection.
c . Design-build
i. Assure that the proposal evaluation factors comply with the applicable
state and policy statements.
ii. Notify the LG of the Tx.DOT Administration 's concurrence or rejection.
d. Concessionaire
i. Review the concessionaire's procurement process for compliance with
statutes and policy statements.
ii. Notify the LG of the Tx.DOT Administration's concurrence or rejection.
Bid Opening and Tabulation
General. The bid opening is a public forum for the announcement of all bids , and is that
point in time where the bids are opened and read aloud. Bid tabulations provide a means of
evaluating bids and as a mechanism for tracking construction costs .
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Bid opening. FHW A policy requires all bids to be opened publicly and read aloud either
item-by-item, or by total amount.
Reasons for not reading a bid include the bid itself being unresponsive, often called
"irregular", or the bidder is determined not responsible . 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 sign 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 good
faith efforts to do so, or
+ Inclusion of conditions or qualifications not provided for in the specifications.
The above examples do not include all possible bidding irregularities. The LG's
specifications will define what constitutes a bidding irregularity. Therefore, the LG's bidding
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 low 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
Excluded Parties List System , the LG is highly encouraged to develop a procedure for
verifying the eligibility of participants prior to the award of the contract.
Additional guidance related to unresponsive 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.
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While FHW A does not have specific policies on how a bid opening should be conducted,
the competitive bidding policy relies on the phrase in 23 CFR 635 .113 that " ... all 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 specific details of the advertisement and bid opening procedures 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.
Transportation Code §223.004 requires that all bids be sealed and filed with the LG. The bids
must be opened in a public meeting allowing attendance by all interested bidders. All bids
must be opened in the presence of any interested bidders.
Federal Regulation
a. 23 CFR 635 .113 -design-bid-build
1. All bids received must be publicly opened and read. If a bid ' is received
and not read, the bidder's name must be identified and the reason for not
reading the bid must be announced.
ii. Negotiating with contractors between bid opening and contract award is
prohibited.
iii. For projects on the National Highway System, a tabulation of bids must be
submitted to FHW A.
b. 23 CFR 635.113 -design-build
State Regulation
1. All proposals received must be opened and reviewed in accordance with
the terms of the solicitation.
11. For projects on the National Highway System, a post-award tabulation of
proposal prices must be submitted to FHW A.
a. Local Government Code 252.041 -A municipality must publish a notice that
contains the time and place bids will be publicly opened and read.
b. Local Government Code 252 .0415 - A municipality may receive bids
electronically if the municipality adopts rules to assure confidentiality until
opening.
c. Local Government Code 262.025 - A county must publish a notice that contains
the time and place bids will be received and opened. (Does not mention public
opening).
d. Local Government Code 262.026 - A county official must open bids on the date
specified in the notice. All bids must be opened at the same time.
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e. Local Government Code 271.026 - A county may open bids only at a public
meeting or in a County office.
f. Local Government Code 271.184 -Design-build projects must be advertised
including time and place of bid opening according to any manner prescribed by
law.
g. Local Government Code 271.192 -For design-build projects the LG must select a
design-build firm using a combination of technical qualifications and cost.
h. Tex as Administrative Code Title 43 , §26.33(g) -Requires that a Regional
Mobility Authority use TxDOT specifications or approved alternate specifications
for projects that connect to , or are on, the state highway system.
i. Texas Administrative Code Title 43 , §27.56(c)(3) -Requires that requestors use
TxDOT specifications or approved alternate specifications for toll projects that
include state funds. TxDOT may consider alternative specifications if a project is
not intended to become part of the state highway system or otherwise under
TxDOT jurisdiction.
j. Transportation Code 223.004-TxDOT must open bids at a public meeting.
k. Transportation Code 223.154-TxDOT must open proposals in a manner that
does not disclose their contents to competing offerors during negotiations.
1. Transportation Code 366.184 -Regional Tollway Authorities must adopt rules
governing award of contracts through competitive bidding.
m. Transportation Code 3 70.184 -Regional Mobility Authorities must adopt rules
governing award of contracts.
n. Transportation Code 3 70.185 -A Regional Mobility Authority may award
contracts using a competitive bidding
o. Transportation Code 370.306 -For Comprehensive Development Agreements , a
Regional Mobility Authority must evaluate proposals based on criteria in the
notice.
Required Practices
a. For all projects with federal or state funds using other than a design-build process,
the LG must open and read bids in a public forum.
b. For all design-build projects with federal or state funds , the LG must open
proposals in accordance with the solicitation.
c. For all projects with federal and/or state funds and all projects on the state
highway system, the LG must submit bid tabulation (post-award tabulation of
proposed prices for design-build) to TxDOT as part of a request for TxDOT to
concur in award.
d. For projects with no federal or state funds , the LG may use their own procedures
for opening bids and proposals.
LG Responsibilities
a. Submit procedure to assure public opening of bids.
b. Open and read bids in public forum .
c. Submit bid tab to TxDOT.
d. For design-build , open proposals in accordance with solicitation .
e. For design-build, forward post-award tabulation to TxDOT.
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TxDOT District Responsibilities
a. General
i. For projects with state or federal funds, the LG must submit a bid
tabulation to the District. The District will use the bid tabulation as part of
their recommendation to CST to concur in award.
ii. There is no monitoring on projects without state or federal funds .
b. Design-bid-build and concessionaire -The District must attend the public bid
opening and monitor the process for compliance with the regulations.
c. Design-build -The District is not required to monitor receipt and evaluation of
responses to Requests for Proposals, but must assure that the LG submits a
tabulation of proposed prices If the project is performed by a Regional Mobility
Authority, forward the tabulation to TIA.
Distribution of Bid Documents
General The advertisement and approved plans and specifications must be available to
bidders a minimum of three weeks prior to opening of bids in accordance with 23 CFR
635.112. Shorter periods may be approved by TxDOT's in special cases when justified.
Federal Regulation
a. 23 CFR 635.112-Design-bid-build
i. Bid documents must be available to bidders a minimum of 3 weeks before
bid opening.
ii. Shorter periods may be approved in special cases where justified.
b. 23 CFR 635.112 -Design-build
State Regulation
1. FHWA's approval of the Request for Proposals constitutes approval to
release the document.
11. The administering entity may determine the appropriate distribution
schedule.
a. Local Government Code 262.025 (counties)-The advertisement must include a
statement where specifications may be obtained.
b. Local Government Code 271.025 (municipalities, counties, and other local
govemments)-The advertisement must state the location where bid documents
may be examined.
c. Local Government Code 271.184 -Design-build projects must be advertised
including time and place of bid opening according to any manner prescribed by
law.
d. Texas Administrative Code, Title 43, §9.13 -TxDOT must give bid documents to
bidders meeting prequalification requirements on request of the bidder.
e. Government Code 2155.083 (state agencies)-Part of the notice in the Electronic
State Business Daily must include all information necessary for a bidder to make
a successful bid.
f. Transportation Code 366.185 -Regional Tollway Authorities must adopt rules
governing competitive bidding.
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g. Transportation Code 370.184 -Regional Mobility Authorities must adopt rules
governing procurement of projects.
Required Practices
a. Distribution of bid documents will be to all prequalified bidders in accordance
with the advertisement or request for proposals.
LG Responsibilities
a. Assure approved bid documents are available at least 3 weeks before bid opening.
b. For design-build, follow approved Request for Proposals.
c. For concessions, follow provisions of agreement with TxDOT.
TxDOT District Responsibilities
a. For projects with state or federal funds, conduct spot checks to ensure required
procedures are followed.
b. There is no monitoring on projects without state or federal funds.
C. CONTRACT EXECUTION
Workers Compensation Insurance
General. Government Code §406.906 requires that contractors and subcontractors
performing on a building or construction contract with a governmental entity must provide
written certification that workers' compensation insurance coverage is provided for each
individual employed on the public project.
Federal Regulation
a. No provision
State Regulation
a. Labor Code 406.096 -A governmental entity that enters into a building or
construction contract shall require the contractor to certify in writing that the
contractor provides workers' compensation insurance coverage for each employee
of the contractor employed on the public project.
Required Practices
a. For all projects, LG must require the contractor to provide written certification the
workers' compensation insurance coverage.
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a. Prior to contract execution, the LG must require the contractor to provide written
certification that workers' compensation insurance coverage is provided to each
contractor and subcontractor employee working on the project.
T:xDOT District Responsibilities
a. For all projects in which Tx.DOT must concur in award, ensure that the required
certification is received before recommending concurrence in the award.
b. There is no monitoring during construction as this is the LG's responsibility.
See the following project requirements from Bid Document Preparation section :
+ Bonding
+ Child Support Documentat ion
+ Disadvantaged Business Enterprises (DBE), Historically Underutilized Businesses
(HUB), and Small Business Enterprises (SBE)
+ Railroad Insurance
D. CONTRACT ADMINISTRATION
Americans with Disabilities Act
General. The Americans with Disabilities Act (ADA) is codified at United States Code
(USC) Title 42 Chapter 126 and requires equal opportunity for individuals with disabilities .
Title II of the ADA governs public facilities including 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 qualified 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 ex isting 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 3 7 .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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Federal Regulation
Section 3 -Local Government (LG) Contract
Components
a. 28 CFR 35 -Prohibits discrimination on the basis of disability by public entities.
It extends the prohibition of discrimination in federally assisted programs
established by section 504 of the Rehabilitation Act of 1973 to all activities of
State and local Governments, including those that do not receive Federal financial
assistance.
b. 49 CFR 37 -Prohibits discrimination against an individual with a disability in
connection with the provision of transportation services . It also provides
requirements placed on the Construction or Alteration of transportation facilities
by public entities. Applies to federally funded projects.
State Regulation
a. Occupations Code, Chapter 51 -Establishes the Texas Department of Licensing
and Regulation (TDLR).
b. Government Code 469 -Ensures that public buildings and facilities are accessible
to and functional for persons with disabilities .
i. Section 469.101 -Requires plan and specification approval by TDLR for
buildings and facilities covered by the statute when the estimated
construction cost is in excess of $50 ,000.
11. Section 469 .105 -Requires inspection ofbuildings and facilities covered
· by the statute byTDLR or Registered Accessibility Specialist.
Required Practices .
a. All projects on public right-of-way with in excess of $50,000 in pedestrian
elements, the LG must submit plans to TDLR for review and approval.
b. All projects on public right-of-way must comply with the provisions of the cited
statutes.
c. The LG is responsible for coordination ofTDLR inspection and for paying all
fees assessed by TDLR.
LG Responsibilities
a. Ensure all transportation facilities with in ex cess of $50,000 in pedestrian
elements are in compliance.
b. Submit plans to TDLR
c. Request final inspection from TDLR
TxDOT District Responsibilities
a. For projects with state or federal funds and all projects on the state highway
system, the LG will submit a certification sealed by an engineer licensed in Texas
that construction standards have been met (see Inspection). The District will
conduct a final inspection before issuing final payment to the LG (see Progress
Pay ment). The District should make the LG aware of any ADA concerns noted
during periodic inspections during construction.
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b. The District must verify that TDLR has conducted their final inspection and have
the LG's certification before recommending TxDOT final acceptance of the
project and final payment to the LG (if state or federal funds are used).
c. There is no monitoring on projects without state or federal funds off the state
system.
Contractor Purchase of Equipment for LG
General Equipment, as defined in 49 CFR 18.3, means "tangible, nonexpendable, personal
property having a useful life of more than one year and an acquisition cost of $5,000 or more
per unit." All other tangible personal property is considered to be "supply". When an LG
must 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 either
as a direct cost or an indirect cost. Indirect cost rates must be approved by TxDOT prior to
reimbursement. Please refer to FHW A memorandum dated September 24, 1998 for more
information.
LGs requesting federal participation in direct costs must amortize the equipment's cost over
its useful life. Federal-aid funds will participate only in that portion of the amortized cost
attributable to the time the equipment is used on a specific Federal-aid project(s).
Federal Regulation
a. 23 USC 302 -States (and other governmental agencies) must be suitably
equipped to discharge their duties.
b. 23 CFR 140 -States (and other governmental agencies) may be reimbursed for
eligible construction engineering costs, railroad and audit work.
State Regulation
a. No comparable statute.
Required Practices
a. FHW A issued a policy memorandum on May 5, 1993 clarifying federal
participation in equipment purchased by the contractor for the LG to discharge
their construction engineering responsibilities. Federal participation is limited to
the cost of the equipment amortized for the time it is used on the project.
b. As a matter of policy, TxDOT will limit state fund participation in accordance
with FHWA policy.
c. On projects with no federal or state funds , the LG may follow their own practices.
LG Responsibilities
a. Submit amortization schedule to TxDOT for approval.
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TxDOT District Responsibilities
a. For projects with state or federal funds, review the LG's amortization schedule
and concur if the schedule is reasonable.
b. There is no monitoring on projects without state or federal funds.
Convict (Inmate) Labor
General There are limitations on using convict labor on a Federal-aid Highway project.
FHW A's regulation 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.
The principle behind the prohibition of convict labor is that use of convict labor restricts
competition since convict labor can be furnished at rates well below market labor costs 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 either 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.
Federal Regulation
a. 23 CFR 635.117(a) -Prohibits the use of convict labor for projects on roadways
functionally classified above a rural minor collector.
State Regulation
a. Transportation Code 223.044 -Allows TxDOT to contract with a criminal justice
agency for the provision of inmate labor on a state highway improvement project.
Required Practices
a. The LG must gain TxDOT concurrence before allowing convict or inmate labor in
the following conditions:
1. Federal funds on a roadway functionall y classified as rural minor collector
or local road and on the state sy stem.
ii. State funds on the state system.
b. The LG may use their own practices in the following conditions:
i . Federal funds on a roadway functionally classified as Rural Minor
Collector or Local Road and off the state system.
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ii. State funds off the state system.
iii. Projects with no federal or state funds.
LG Responsibilities
a. For projects on all functional classes above Rural Minor Collector, ensure that the
contractor does not use convict labor.
b. For all functional class of rural minor collector, local road, if state funds are used
on-system, gain TxDOT concurrence for use of convict (inmate) labor if on state
system.
TxDOT District Responsibilities
a. For federally funded projects on roadways functionally classified above a Rural
Minor Collector, review the PS&E, Request for Proposal , or Concessionaire
Agreement to assure there are provisions to prohibit convict labor.
b. If the LG wants to require or allow convict labor in the following conditions,
transmit the LG 's request to CST for concurrence:
i. Federal funds on a roadway functionally classified as Rural Minor
Collector or Local Road and on the state sy stem.
ii. State funds on the state system .
c. There is no monitoring on the following projects:
i. Federal funds on a roadway functionally classified as Rural Minor
Collector or Local Road and off the state system.
ii. State funds off the state system.
iii. Projects with no federal or state funds.
Environmental Concerns
General. Environmental commitments are often made during the environmental process.
These commitments must be carried forward to the construction plans. For more
information, please refer to the Environmental Module of the LGPP Manual.
Federal Regulation
a. 23 CFR 635.309U)-The authorizing entity must make a determination that
appropriate measures have been included in the bid documents to ensure that
conditions and commitments made to mitigate environmental harm are
implemented.
b. 23 CFR 77I.109(b)-Commitments made during the environmental process must
be implemented.
c. 23 CFR 636.109 -For design-build projects, the Request for Proposals must
address how environmental commitments and mitigation measures will be
implemented.
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State Regulation
a. Texas Administrative Code, Title 43 , §2.1 -TxDOT policy statement on the
environment.
b. Texas Administrative Code, Title 43, §2 .l(e)-Transportation projects using state
funds must comply with applicable state and federal environmental laws.
c. Texas Administrative Code, Title 43 , §26.35 -For projects on the state highway
system, the Regional Mobility Authority must agree to be responsible for
implementing all environmental commitments.
d. Texas Administrative Code, Title 43 , §27.3 -For projects on the state highway
system, proposers under a comprehensive development agreement must comply
with NEPA.
e. Texas Administrative Code, Title 43, §27.44 -For projects on the state highway
system, Regional Tollway Authorities must comply with Texas Administrative
Code, Title 43, Chapter 2, Subchapter C.
Required Practices
a. All projects will comply with TxDOT policy to protect, preserve and, when
practicable, enhance the environment.
LG Responsibilities
a. Include environmental commitments in bid documents.
b. Evaluate environmental commitments before approving changes to contract.
c. For design-build include environmental commitments in RFP.
d. For concession projects follow as outlined in agreement with TxDOT.
TxDOT District Responsibilities
a. All projects must have environmental clearance from TxDOT before starting
construction. For projects requiring TxDOT approval of bid documents or
requests for proposals, ensure that all environmental commitments are included.
1. Design-bid-build -Environmental clearance is prior to letting.
ii. Design-build -Environmental clearance before construction. Requests for
proposals may be issued before environmental clearance if specifically
approved by FHW A.
m. Concessionaire -Refer to concessionaire agreement.
b. For projects requiring TxDOT approval of change orders, check the
environmental document to ensure that the changed work is part of the approved
environmental document.
c. Submit questions and non-compliance issues to ENV for final determination.
False Statements
General. The following notice is contained in 23 CFR 635.119 and must be posted on each
Federal-aid highway project in one or more places where it is readily available to and
viewable by all personnel concerned with the project.
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Notice to All Personnel Engaged on Federal-Aid Highway Projects
United States Code, Title 18, Section 1020, which reads as follows:
Whoever, being an officer, agent, or employee of the United States, or of any State
or Territory, or whoever, whether a person, association, firm, or corporation,
knowingly makes any false statement, false representation, 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 costs thereof in
connection with the submission of plans, maps, 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 materials furnished or to be furnished, in
connection with the construction of any highway or related 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
provisions of the Federal-aid Road Act approved July 11,1916 (39 Stat. 355), as
amended and supplemented, Shall be fined not more than $10,000 or imprisoned
not more than five years, or both.
Federal Regulation
a. 23 CFR 635 .119 -Requires that a False Statements notice be posted on all
federally funded projects. Form FHWA-1022.
State Regulation
a. No comparable statutes
Required Practices
a. Posting the notice is not required on projects with no federal funds.
LG Responsibilities
a. Ensure Form FHWA-1022 is posted on job site.
b. Report to TxDOT incidents involving False Statements.
TxDOT District Responsibilities
a. For projects with federal funds, spot check posting the False Statements poster
during routine project inspections.
b. There is no monitoring on projects without federal funds.
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Inspection
Section 3 -Local Government (LG) Contract
Components
General. The LG and TxDOT have certain inspection responsibilities. All Federally funded
projects must be completed in accordance with the approved plans, 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 approval process. Once authorized, the project
must be built to follow the PS&E. Any changes must be approved before Federal funds can
participate.
Some projects have direct FHW A involvement, meaning that FHW A is part of all approval
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 TxDOT, 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 chosen, the firm's services must be secured in
compliance with 23 CFR 172B.
One often-overlooked principle is that contract administration issues are also important. For
example, a specification implementing Davis-Bacon wages and the associated monitoring
and reporting requirements has as much validity as a specification on concrete quality . To
assure full contract compliance 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."
23 CFR 635.105 states:
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"The STD (TxDOT) has responsibility for the construction of all Federal-aid
projects, and is not relieved of such responsibility by authorizing performance of
the work by a local public agency. The STD (TxDOT) shall be responsible 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 SDT (TxDOT)
does not have legal jurisdiction, or when special conditions warrant, the SDT
(TxDOT), 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."
Federal Regulation
a. 23 USC 114 -Requires that federally funded projects be constructed under the
direct supervision of the state transportation agency (TxDOT).
b. 23 USC 302 -States must have a transportation department with adequate powers
and be suitably equipped and organized to carry out the duties required by this
title.
c. 23 CFR 635.105 -Supervising agency
State Regulation
i. For projects under a local public agency's jurisdiction, TxDOT may allow
the local public agency to directly manage projects ifTxDOT has
assurance that LG staffing and inspection is adequate. This means:
1. All Federal requirements shall be met.
2. The local public agency must be adequately staffed and suitably
equipped to undertake and satisfactorily complete the work
3. When the local public agency elects to use consultants for
construction engineering services (inspection), the local public
agency must provide a full-time employee of the agency to be in
responsible charge of the project.
11. Procurement of consultant inspection staff must be procured using the
provisions of23 CFR 172.
a. Texas Administrative Code, Title 43, Chapter 9, Subchapter C
1. Allows TxDOT to contract for construction engineering and inspection
services.
ii. Provides selection criteria that comply with state law and 23 CFR 172.
b. Government Code 2254 -Provides for procurement of professional services by
all governmental entities.
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c. Local Government Code 271.188 -For design-build projects, the LG must
provide or contract for inspection services that are independent from the design-
build firm.
d . Occupations Code 1001.003 -Includes "review of the construction or installation
of engineered works to monitor compliance with drawings or specifications" in
the definition of "practice of engineering".
e. Occupation Code 1001.407 -Requires engineering construction of public works
be performed under the supervision of an engineer. Applies to all political
subdivisions in Texas.
Required Practices
a. For all federally and state funded projects, and all projects on the state highway
system, the LG must:
i. Ensure that projects will be constructed in conformance with the approved
plans and specifications.
ii. Name a full time employee in responsible charge of the project and advise
TxDOT of any changes in personnel.
iii. Make inspection staff accessible for periodic reviews and inspections by
TxDOT.
iv. Provide a certification sealed by an engineer licensed in Texas that
specified material quality and construction standards were met.
b. For projects off the state system and no federal or state funding, assure project is
constructed under supervision of a professional engineer licensed in Texas .
LG Responsibilities
a. Name full time employee of agency to be in responsible charge
b. Provide adequate project supervision and inspection.
c. Assure supervision of inspection staff by licensed professional engineer.
d. Procure consultant services per TAC , Title 43 if needed.
TxDOT District Responsibilities
a. General-All projects have an executed agreement between the LG and TxDOT.
Part of the agreement is delineation ofroles and responsibilities. One of the LG 's
roles is to name a "Responsible person in charge" of the project. The District is to
also name a "Responsible person in charge" who should develop a relationship
with the LG 's "responsible person " with the goal of establishing trust and
confidence that the project is properly prosecuted.
b. For projects with state or federal funds and all projects on the state system,
conduct periodic inspections during the life of the project. Monitor the level of
inspection and discuss inspection concerns with the LG in view of their
responsibilities as outlined in the agreement with TxDOT . If there are unresolved
concerns, request assistance from CST.
c . For projects with state or federal funds , review and approve all proposed
agreements between the LG and private inspection firms to ensure compliance
with the provisions of Texas Administrative Code, Title 43. Submit questions and
non-compliance issues through CST to DES for final determination.
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d. There is no monitoring on projects without state or federal funds that are not on
the state system.
Progress Payments
General Progress payments are compensation to the prime contractor for the value of work
performed during a covered period. Payments should be based 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 FHW A 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 payments to
the contractor by the LG must go through TxDOT.
Stockpiled Materials: When the contract provisions provide for stockpiled materials, Federal
participation is based on the appropriate value of approved specification materials delivered
by the 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.
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 contracts as follows:
• Prime contractors to pay subcontractors for satisfactory performance of their contracts
no later than 30 days (NOTE, Government Code §2251.022 requires a contractor to pay
a subcontractor not later than 10 days after receiving payment for a governmental entity.
This supersedes the 30 days.) from receipt of each payment by the prime2
; and
+ Prompt return ofretainage payments within 30 of days (NOTE, Government Code
§2251.022 requires a contractor to pay a subcontractor not later than 10 days after
receiving payment for a governmental entity. This supersedes the 30 days.) after the
subcontractor's work is satisfactorily completed.
2 Texas Government Code §2251 .022 requires a contractor to pay a subcontractor not later than IO days after receiving payment for a
governmental entity
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Final Payment: By statute (23 U.S.C. 121(b)), FHWA cannot make final payment for a
project until TxDOT approves the completion 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 controls which demonstrates that the LG is properly exercising its
internal controls.
Government Code Chapter 2251 Subchapter B stipulates that payment from the LG to the
contractor is considered late on the 31st_ day after:
+ 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 Government Code 2251.025.
Federal Regulation
a. 23 USC 121(a)-Authorizes periodic payment of construction costs incurred.
Payment may include the value of stockpiled material not yet incorporated into
the project.
b. 23 USC 121 (b) -Final payment may be made after project completion.
c. 23 CFR 635.122 -Further defines periodic progress payments and requirements
for federal participation in stockpiled material.
d. 23 CFR 635.122(c)-For design-build projects, procedures for making progress
payments on lump sum contracts must be defined in the request for proposals.
e. 49 CFR 26.29-The US Department of Transportation's DBE regulation requires
that the prime contractor must pay subcontractors for satisfactory work
performance within 30 days of receipt of payment from the contracting agency.
State Regulation
a. Texas Administrative Code, Title 43 , Chapter 26.33(g)(l)-A Regional Mobility
Authority must use specifications that conform to the latest TxDOT Standard
Specifications on projects that connect with the state highway system.
b. Texas Administrative Code, Title 43, Chapter 27.56(c)(3)-A Regional Tollway
Authority must use specifications that conform to the latest TxDOT Standard
Specifications on projects with state fund participation.
c. Government Code §2251.021 -Requires payment to a contractor within 30 days
or interest will accrue.
d. Government Code §2251.042 allows payment of interest involving a claim if the
claim is resolved in favor of the contractor.
e. Government Code §2251.022 requires a contractor to pay a subcontractor not later
than 10 days after receiving payment from a governmental entity
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Required Practices
Section 3 -Local Government (LG) Contract
Components
a. For all projects with federal and state funds , the LG must request payment
through Tx.DOT in sufficient time to assure payment to prime contractor complies
with state and federal statutes.
b. For projects with state or federal funds , a Regional Mobility Authority and a
Regional Tollway Authority must adopt Tx.DOT specification articles 9.6 through
9.8 or develop comparable contract language for Tx.DOT approval regardless of
sy stem.
c. For projects with no state or federal funds , the LG should pay the contractor in
accordance with the terms of the contract.
d. For all projects on the state system with no state or federal funds , the LG must
notify Tx.DOT when all work is satisfactorily complete to give Tx.DOT the
opportunity to conduct a final inspection.
LG Responsibilities
a. Adopt Tx.DOT specification articles 9.6 through 9.8 or submit alternate
specification to Tx.DOT for approval.
b. Pay contractor within 30 days.
c. Request periodic payment of completed work through Tx.DOT to FHW A.
d. Request Tx.DOT final inspection when all work is satisfactorily completed.
e. Assure subcontractors receive payment from prime contractor within 10 days.
f. For design-build, include procedures for making progress payments on lump sum
contracts in the request for proposals, if applicable .
g. For concessions, pay concessionaire in accordance with agreement.
TxDOT District Responsibilities
a. There is no monitoring on projects without state or federal funds or for projects
where monthly estimates are not submitted to Tx.DOT for reimbursement (i.e.
pass-through tolls).
b. For projects with state or federal funds, submit LG requests for payment to CST
for processing.
i. Review approximately 10% of the LG's estimates per project to ensure
work billed has been performed.
Quality Assurance Program
General In conjunction with 23 CFR Part 637, Subchapter B , the LG must implement a
quality assurance (QA) program to ensure that the materials and workmanship incorporated
into each contract involving federal participation are in conformance with the requirements
of the approved plans and specifications, including any approved changes. This QA Program
(QAP) must include an acceptance program and an independent assurance (IA) program
consisting of the following components:
Acceptance Program
• Frequency guide schedules for v erification sampling and testing ;
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• Identification of the verification sampling and testing locations;
• Identification of the desired finished product quality attributes; and
• Dispute resolution sy stem , when quality control sampling and testing 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 its own QA Program, or adopt the appropriate TxDOT QA Program
pertinent to the type of project delivery method used:
• Quality Assurance Program for Design-Bid-Build Projects
• Quality Assurance Program for Design-Build Projects
A statewide TxDOT QAP for Concession projects currently does not exist; therefore, the LG
must submit a project-specific QAP through TxDOT to FHW A for approval.
Any program developed by the LG must receive approval from TxDOT prior to use.
Federal Regulation
a. 23 CFR 637B -For projects on the National Highway System, the contracting
agency must have a Quality Assurance Program approved by the Federal
Highway Administration. The program must provide for an acceptance program
and an independent assurance program and is intended to assure the quality of
materials used in construction.
b. 23 CFR 637B , Appendix A-Provides a certification that materials incorporated
into a project on the National Highway System are in conformity with the
approved plans and specifications.
c. 23 CFR 637.207(a)(l)(iv)-For design-build projects, warranties may be used
where appropriate.
d. 23 CFR 637.207(b)-For design-build and concession projects, requirements for
a Quality Assurance Program still apply. The Program shall meet FHW A
Technical Advisory 6120.3 in addition to 23 CFR 637.207(b). For concession
projects , as required in Book 2 of the Comprehensive Development Agreement
documents under Section 2, "Project Management -PMP Chapter 2B -
Construction Quality Management", the Developer shall submit a comprehensive
Quality Management Plan to TxDOT for approval. The Quality Management
Plan shall be consistent with ISO 9001 , 2000 version , or more current versions as
updated by the International Standards Organization. The Developer may elect to
obtain formal ISO 9001 certification, but will not be required to do so. There is
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some added flexibility to use the design-builder 's quality control testing, but there
must be independent verification of those results.
State Regulation
a. Local Government Code 271 .116 -A municipality or county governmental entity
shall provide or contract for, independently of the contractor, the inspection
services, the testing of construction materials engineering, and the verification
testing services necessary for acceptance of the facility or project by the
governmental entity.
b. Local Government Code 271.188 -For design-build projects, the LG must
provide or contract for material engineering, testing and verification testing that is
independent from the design-build firm.
c. Texas Administrative Code, Title 43, Chapter 26.33(g)(l)-A Regional Mobility
Authority must use specifications that conform to the latest TxDOT Standard
Specifications on projects that connect with the state highway system.
d. Texas Administrative Code, Title 43 , Chapter 27.56(c)(3)-A Jlegional Mobility
Authority must use specifications that conform to the latest TxDOT Standard
Specifications on projects with state fund participation.
Required Practices
a. For all projects with state or federal funds and all projects on the state highway
system, the LG must either adopt the TxDOT Quality Assurance program or
submit an equivalent program to TxDOT for approval. The program must
provide reasonable assurance that the materials incorporated into the project
substantially meet specification requirements.
b. For all projects with state or federal funds and all projects on the state highway
system, the LG must submit a letter of certification sealed by a licensed engineer
that all materials incorporated into the project are in conformity with the approved
plans and specifications.
c. For projects off the state highway system and funded by local or private funds, the
LG may use their own Quality Assurance program.
LG Responsibilities
a. Adopt the appropriate TxDOT Quality Assurance Program for the project delivery
method used or submit a program through TxDOT to FHW A that meets the
requirements of23 CFR 637B .
b. For design-bid-build, design-build, and concession projects where the developer
(contractor) is responsible for QA tests, the LG is to employ an independent lab to
verify the developer's (contractor's) QA tests in accordance with FHW A
Technical Advisory 6120.3. TxDOT has an electronic data and materials
management sy stem that supports meeting the requirements of Technical
Advisory 6120.3 and may be licensed from TxDOT.
c. Assure compliance with approved program.,
d. Submit letter of certification sealed by a licensed engineer that all materials
incorporated into the project are in conformity with the approved plans and
specifications to TxDOT when construction is complete.
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e. For concession projects, see Required Practices "a" if there is a long-term
maintenance component.
TxDOT District Responsibilities
Records
a. For design-bid-build projects with state or federal funds and projects on the state
system regardless of funding source:
i. Submit the LG's Quality Assurance Program to CST-M&P for approval.
This step is not required for concessionaire projects with a long-term
maintenance component unless it is required in the concessionaire
agreement. The LG's Quality Assurance Program shall include
requirements addressing item b. under LG Responsibilities above.
ii. Spot check compliance with the approved program during periodic
inspections.
m. Receive LG' s letter certifying materials conformity and retain with official
project records. Do not recommend final acceptance and payment until
the certification is received.
b. For design-build projects where the design-builder is responsible for QA tests, the
District is to employ an independent lab to verify the design-builder's QA tests in
accordance with FHWA Technical Advisory 6120.3 .
c. There is no monitoring on projects without state or federal funds off the state
system.
General. 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 635.123 states ,
"The STD (LG) shall have procedures in effect which will provide adequate
assurance that the quantities of completed work are determined accurately and on a
uniform basis ... All such determinations and all related 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.
FHWA does not specify the content and format of job records. However, FHWA approves
TxDOT 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 TxDOT concurrence. The
goal is to give TxDOT a level of comfort when they certify to FHW A that a project has been
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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.
Federal Regulation
a. 23 CFR 635.123 -Requires that procedures be in place to provide adequate
assurance that quantities of completed work are accurately and uniforml y
determined. Such determinations and source documents are a matter of record.
b. 49 CFR 18.42 -Project records must be kept for 3 years after the date of
acceptance of the project by TxDOT and must be made available for review by
federal and state officials.
State Regulation
a. Various
Required Practices
a. For projects with state or federal funds and projects on the state highway system
regardless of funding source , the LG must use TxDOT's Records Retention
Manual (available from TxDOT) or submit an alternate procedure for TxDOT
approval. This approval must be received before work on the project begins.
b. For projects with no state or federal funds that are not on the state highway
system , the LG may follow their own practices.
LG Responsibilities
a . Adopt TxDOT Records Retention Manual or submit record management sy stem
to TxDOT for approval.
b. Retain records for 3 years after final project acceptance by TxDOT.
TxDOT District Responsibilities
a. For projects with state or federal funds and all projects on the state system
regardless of funding source :
i. If the LG does not adopt TxDOT's Records Retention Manual , submit
LG 's proposed records retention system to CST for approval.
ii. Spot check project records for compliance with the approved system
during periodic inspections.
b. There is no monitoring on projects without state or federal funds off the state
system.
Salvage Credits
General. Salvaged materials associated with a contract must be disposed of in accordance
with the state statute requirements located at Government Code Chapter 2175 , Surplus and
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Salvage Property . The Texas Facilities Commission rules related to these 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.
Federal Regulation
a. 49 CFR 18.36 -Non-state agency grantees w ill use their own procurement
procedures which reflect applicable State and local laws and regulations, provided
that the procurements conform to applicable Federal law and the standards
identified in 49 CFR 18.
b. FHW A Policy Memorandum dated October 3, 1988 -Requires a credit for
material salvaged from the project unless the state agency has a procedure in
place that does not require salvage credit. The process to determine salvage credit
is described .
State Regulation
a . Texas Administrative Code, Title 1, Chapter 126 -Describes a process for
disposal of surplus property owned by a state agency.
b . Government Code 2151 -Describes procedures used by the Texas Building and
Procurement Commission for sale of ex cess state property.
Required Practices
a. For projects on the state system with state and federal funds , the LG must follow
the procedures described in 1 TAC Chapter 126.
b. For all projects, the contract documents must be clear on ownership of material
found on the project. For contract work, the contractor's bid price will reflect the
cost of disposal or ownership .
LG Responsibilities
a. Follow provisions of 1 TAC, Chapter 126 through contact with Texas Facilities
Commission
TxDOT District Responsibilities
a. For projects on the state sy stem with state or federal funds , review plans and
change orders for disposal of surplus property for compliance with the Texas
Administrative Code.
b. There is no monitoring on projects without state or federal funds unless specified
in the agreement with TxDOT.
Specification Compliance
General. Once authorized , the project must be built to follow the PS&E. Any changes must
be approved before Federal funds can participate.
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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".
One often-overlooked principle is that contract administration issues are also important. For
example, a specification implementing Davis-Bacon wages and the associated monitoring
and reporting requirements has as much validity as a specification on concrete quality.
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."
Federal Regulation
a. 23 CFR 635.105 -TxDOT has responsibility for the construction of all federally
funded projects, and is not relieved of such responsibility by authorizing
performance of the work by a local public agency. Compliance with
specifications is part of that responsibility.
State Regulation
a. No comparable statute
Required Practices
a. On projects where TxDOT participates with state or federal funds or projects on
the state system, the LG must:
i. Secure written TxDOT approval of any changes to the specifications
before being incorporated into the project,
ii. Afford TxDOT reasonable access to the project for inspection,
iii. Provide a written certification that the completed project substantially
complies with the plans and specifications as approved by TxDOT. The
certification must be signed by a representative of the LG with the
authority to sign the certification. The certification must also be notarized.
b. For projects with no state or federal funds off the state system, the LG may
determine specification compliance in accordance with their own procedures.
c. The agreement between the LG and TxDOT will establish that projects meet
specifications and will discuss compliance with specifications.
LG Responsibilities
a. Follow provisions of agreement with TxDOT.
b. Gain TxDOT approval of specification changes.
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c. Accommodate TxDOT inspection.
d. Provide notarized certification of compliance to TxDOT.
TxDOT District Responsibilities
a. For projects with state or federal funds or on the state system:
i. Conduct periodic inspections during construction.
ii. Review and approve all change orders. (See Change Order module).
m. Retain LG's written certification of compliance with the plans and
specifications as part of the official project records.
b. There is no monitoring on projects without state or federal funds off the state
system.
Statements and Payrolls
General. Under the Copeland Act, workers are protected from paying "kickbacks" to
employers for the "privilege" of being employed.
Form FHWA-1273 includes the following sections related to payrolls:
• 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 completeness and certification, and then
"spot-check" items , such as: classification, hourly rate, authorized deduction, fringe benefits,
overtime hours and rate, and net wages paid. The LG must also conduct employee
interviews that are cross-referenced to classifications and hourly rates in the payroll. While
minor discrepancies may be resolved with the contractor, the LG should refer any apparent
violations to ~he Office of Inspector General.
The USDOL's Davis-Bacon and Related Acts requirement for payment of prevailing wages
may be found in 29 CFR Part 5. Enforcement provisions are addressed in Section 5.6. It
states in part the following:
"The Federal agency shall cause such investigations 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 necessary to
assure compliance." It further states: "Such investigations shall include interviews
with employees ... examination of pay roll 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 necessary to insure
that all laborers and mechanics employed by contractors and subcontractors on the
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construction work performed on highway projects on the Federal-aid highways ... be
paid wages at rates not Jess than those ... as determined by the Secretary of Labor ... "
For purposes of this guide, the LG is considered the "contracting agency". 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". TxDOT 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.
Federal Regulation
a. 23 USC 113 -Requires the Secretary of Transportation to take all steps necessary
to assure laborers and mechanics working on federally funded projects are paid no
less than the prevailing wage for similar work.
b. 40 USC § 3141 et seq -Requires the Secretary of Labor to implement regulations
including a provision that each contractor and subcontractor shall furnish weekly
a statement with respect to the wages paid each employee during the preceding
week.
c. 29 CFR 3 .1 -Requires contractors and subcontractors to submit weekly
statements of wages paid on work covered by Davis-Bacon.
d. 29 CFR 5.6(a)(3)-Requires recipients of federal funds to conduct investigations
at a frequency necessary to assure compliance. The investigations must include
employee interviews and examination of payroll data.
e. 23 CFR 635.118 -For all projects, copies of payrolls and statements of wages
paid, filed with the State as set forth in the required contract provisions for the
project, are to be retained by the STD for the time period pursuant to 49 CFR part
18 (3 years) for review as needed by the Federal Highway Administration, the
Department of Labor, the General Accounting Office, or other agencies.
f. 23 CFR 636.119(c)-Design-build projects must conform to all non-procurement
requirements, including Davis-Bacon.
g. Form FHWA 1273
State Regulation
1. Section V.1. incorporates the Department of Labor regulations in the
Copeland Act (anti-kickback provisions)
n. Section V.2. requires weekly, certified payroll submissions by the
contractor and subcontractors.
a. Government Code 2258.024-Describes records to be kept by contractor and
subcontractor concerning minimum wages paid. The records must be made
available to inspection by the contracting entity.
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b. Government Code 2258.026-Allows a contractor to accept a certification from a
subcontractor in lieu of actual records.
c. Government Code 2258.051 -Requires the public entity investigate complaints
and withhold payment for violations .
Required Practices
a. For all projects with state or federal funds, the LG must adopt TxDOT's
procedures for monitoring wage rate compliance or submit an alternate program
for TxDOT approval.
b. For projects with no state or federal funds , the LG does not have to submit their
monitoring procedures for TxDOT approval.
LG Responsibilities
a. Include FHWA-1273 in contract.
b. Adopt TxDOT monitoring program or submit alternate program for TxDOT
approval.
c. Monitor compliance according to approved program.
TxDOT District Responsibilities
a. For projects with federal funds:
i. Transmit LG's proposed program to monitor wage rate compliance to CST
for approval.
ii. Review at least one payroll per project to ensure compliance.
iii. Submit questions and non-compliance issues to CST for final
determination.
b. There is no monitoring on projects without federal state funds.
Supervision and Staffing
General. 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 TxDOT be suitably equipped and organized to carry out the Federal-aid program.
Therefore, TxDOT 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. FHW A and TxDOT are the
two parties to the agreement.
When a Federal-aid project is to be constructed on a facility that is not under TxDOT's
jurisdiction, TxDOT may allow the Local Government having jurisdiction to perform the
work with its own forces, or by contract, provided that all of the following conditions are
met:
• All Federal requirements, including those prescribed 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 CFR 635 Subpart B,
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• The Local Government is adequately staffed and suitably equipped to undertake and
satisfactorily complete the work, and
• The Local Government shall provide a full-time employee of the agency to be in
responsible charge of each Federal-aid project, including those that employ consultants
for construction engineering services.
This arrangement does not relieve TxDOT of overall responsibility for the project. While 23
CFR 1.1 l(b) allows TxDOT to:
"utilize, under its supervision, the services of well-qualified and suitably equipped
engineering organizations of other governmental instrumentalities for making
surveys, preparing plans, specifications and estimates, and for supervising the
construction of any project,"
23 CFR 1.11 ( e) clearly states that TxDOT is not relieved of its responsibilities under Federal
law and the regulations in 23 CFR if it chooses to use the services of other governmental
engineering organizations.
Supervision of construction engineering consultants or construction management firms. The
LG's responsibilities for contract administration and construction inspection are not
terminated should a consultant provide construction engineering and inspection services.
While a consultant may provide daily inspection, the LG must assign a full-time employee
to be in responsible charge of the project at all times, although the engineer need not be
assigned solely 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 decisions about changed conditions which require change
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 Part 172.
Federal Regulation
a. 23 CFR 635.105 -For projects under a local public agency 's jurisdiction, TxDOT
may allow the local public agency to directly manage projects ifTxDOT has
assurance that LG staffing is adequate
State Regulation
a. Occupation Code 1001.407 -Requires engineering construction of public works
be performed under the supervision of an engineer. Applies to all political
subdivisions in Texas. ·
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b. Transportation Code 201.113 -Allows TxDOT to enter into an agreement with a
Regional Tollway Authority for projects on the state highway system.
c. Transportation Code 223.201 -Allows TxDOT to enter into a comprehensive
development agreement with a private entity.
d. Transportation Code 370.302(a)-TxDOT may enter into an agreement with a
Regional Mobility Authority to implement, operate, and ·maintain a project on
behalf ofTxDOT.
e. Transportation Code 370.302(b)(l)-A Regional Mobility Authority may
negotiate with private entities through a Comprehensive Development
Agreement. The negotiations may include financing.
Required Practices
a. The agreement or contract will include assignment of duties and responsibilities.
This will include designation of a "LG responsible person in charge". Prior to
executing the agreement, the LG must assure TxDOT that the projects will be
staffed to TxDOT's satisfaction. Changes to that assurance must be approved by
TxDOT prior to implementation.
LG Responsibilities
a. Assure TxDOT that the project will be staffed to TxDOT's satisfaction
b. Advise TxDOT of any changes in staffing
c. Assure construction is under supervision of PE registered in Texas
d. Comply with terms of agreement with TxDOT
TxDOT District Responsibilities
a. Become familiar with terms of the LG 's agreement with TxDOT in the area of
"Responsible person in charge " and staffing commitments.
b. Conduct periodic inspections of the project to ensure LG complies with terms of
the agreement.
c . Submit questions and non-compliance issues to CST for final determination.
See the following from Bid Document Preparation section:
• Change Orders
• Claims
• Differing Site Conditions
• Disadvantaged Business Enterprises (DBE), Historically Underutilized Businesses
(HUB), and Small Business Enterprises (SBE)
• Equal Employment Opportunity
• Equipment Rental Rates
• Liquidated Damages
• Local Hiring Preference
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• Non-segregated Facilities
• Prevailing Minimum Wage
• Retainage
• Subcontracting
• Termination of Contract
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