ConnDOT: Subcontractor Approvals

{Subcontracting Approvals}

About Us

The Subcontracting Approvals Section within the Office of Construction is responsible for ensuring that requests to Subcontract (CLA-12s) are processed in accordance with the guidelines listed below.

Subcontractor Approval Process:

In accordance with the Standard Specifications, Article 1.08.01 – “Transfer of Work or Contract”, contractors and subcontractors are required to receive written permission prior to subletting, selling, transferring, assigning or otherwise disposing of any portion of the contract work. This applies to all subcontractors and as such, contractors are required to submit all requests to subcontract on the form CLA-12. A CLA-12 shall also be completed for producers, manufacturers, truckers and services when they are a registered or certified SBE and DBE in the State of Connecticut in order to properly track and provide applicable SBE/DBE credit for the project. The Department will only approve a maximum of 3 tiers for subcontracting of work.

Requests to sublet or subcontract are approved on an individual basis for each construction project. The CLA-12 and related information must be submitted far enough in advance of the work to allow for approval prior to the date the subcontractor will start work on the project. A minimum of 30 days should be allowed for review and approval.

Prime contractors seeking to have subletting or subcontracting approved for projects are responsible for completing the applicable forms, including required subcontract language in accordance with the requirements provided on this page, and supplying supplementary information as instructed. There are requirements stated on this page which are supplemented by additional instructions and specific requirements accompanying the forms themselves.

A new CLA-12 - Request to Subcontract Form (rev 07-2018) has been released. This form is acceptable immediately however, as of October 1, 2018, only this new CLA-12 form will be accepted. This form shall replace all previous versions of this CLA-12 form. Any CLA-12 submittals received after, September 30, 2018, which do not use the new form, will be returned unprocessed.

In order to address varying payment arrangements, the CLA-12 must be completed accurately by the Prime Contractor to identify the breakout of work to subcontractors and lower tier subcontractors by item for each project and sub-project. This information must reference the appropriate Project Number(s) and other information as indicated on the Contract documents for the CLA-12 form to be approved. To assist with this, a “Line Item Category Report” will be provided to you at the beginning of each project upon a request to the CTDOT Project Engineer.

For all CLA-12 requests to be approved, the Contractor shall ensure that they are filled out accurately and completely, and that the following information is included with the CLA-12 submittal:

  1. An executed contract between the two parties at each respective tier being sublet

  2. When subletting to the SBE or DBE subcontractors that were part of the Pre-award commitment (PAC) for the Contract, a copy of the PAC shall be included to ensure quantities and items match (Department approval is required prior to any modifications or changes to the PAC)

  3. The OPM Ethics Affirmation (Form 6);

  1. OPM Ethics Form 6 (rev 10-01-11).

  1. Affirmative Action Plan Statement (AAP);

  1. Affirmative Action Plan Information

  1. The latest FHWA 1273 Form;

  1. Required Contract Provisions for Federal-Aid Construction Contracts (FHWA 1273, Rev. 5/12)

  1. A FHWA Title 6 Affirmation;

  1. Title VI Assurances

  1. The Contractor shall also ensure that all subcontractors at each tier are not listed on the following Debarment lists:

  1. CT Debarment check;

  1. http://www.ctdol.state.ct.us/wgwkstnd/wgdisbar.htm

  1. FED Debarment check;

  1. https://sam.gov/portal/SAM/#1

Useful Documents & Links

New CLA-12 Forms for immediate use and mandatory use as of October 1, 2018:
(Older CLA-12 forms already in transit will be processed. Any CLA-12s postmarked
after September 30, 2018 will be returned unprocessed.)
{New}   CLA-12 (Rev 07-2018) Request to Subcontract Form (Auto-Fillable Form)
             NOTE: Please save file on your device before opening.
{New}   Instructions for completing New CLA-12 (Rev 07-2018) (PDF)
{New}   Instructional Video for completing new CLA-12 (Rev 07-2018)
 
Bi-Monthly Report of DBE Participation (PDF 73 KB)
Prompt Payment Issues
AASHTOWare Training Guides and Videos
Certified Payrolls, in accordance with Standard Specifications, Article 1.05.12 - Payrolls (PDF 70KB).
 

Staff Contact Info

Requests for additional information can be addressed to:

Christopher G. Angelotti, P.E.
Transportation Principal Engineer
Phone: (860) 594-2672
Nelio J. Rodrigues
Transportation Supervising Engineer
Phone: (860) 594-2658
John H. Rorrio
Transportation Engineer 3
Phone: (860) 258-4643
Eric P. Belanger
Transportation Engineer 2
Phone: (860) 594-2668
Christopher M. Dirga
Transportation Engineer 2
Phone: (860) 594-3122
LaVern J. Brown
Secretary 2
Phone: (860) 594-2671

Subcontractor Approval (SE4)
CTDOT - Office of Construction
2800 Berlin Turnpike
P.O. Box 317546
Newington, CT 06131-7546
DOT.OOC.Subcontract@ct.gov