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 submit all requests to subcontract on the form CLA-12 to receive written permission prior to subletting, selling, transferring, assigning or otherwise disposing of any portion of the contract work. A CLA-12 shall be completed for producers, manufacturers, truckers, and services when they are registered or certified as a SBE and/or DBE in order to properly track and provide applicable SBE/DBE credit for the project. A fully completed CLA-12 package with all required documents shall also be submitted whenever a new item(s) of work or change order (CO) is sublet. The Department will only approve a maximum of 3 tiers for the 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 the instructions provided below, and supplying supplementary information as instructed. There are requirements stated on this page that are supplemented by additional instructions and specific requirements accompanying the forms themselves.

A new CLA-12 - Request to Subcontract Form (rev 08-2019 -g) has been released. As of August 1, 2019, only this new CLA-12 form will be accepted. This form shall replace all previous versions of CLA-12 forms. Any CLA-12 submittal received after August 1, 2019, that do not use the new -g form version, will be returned unprocessed. The CLA-12 is updated regularly due to unanticipated Federal and State mandates, as well as due to regular enhancements and upgrades. Please, visit this site regularly (monthly) to ensure you are using the latest version.

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 mandatory inclusions are submitted with the CLA-12 submittal: 

  1. Executed Contract: An executed contract signed (wet ink, no copies) between the two parties at each respective tier being sublet. As was stated in version f, that was released in August of 2018, please note that it is mandatory that all the statements listed in Section "I" of the CLA-12 shall be listed verbatim in all contracts and Purchase Orders immediately above the signature line, as requested in the CLA-12.

  2. Pre-Award Commitment (PAC) Summary, if applicable: 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 pre-award commitment modification (PACMOD).

  3. OPM Ethics Form 6 (rev 10-01-11) (For contracts greater in dollar value than $500,000)

  1. Affirmative Action Plan Information (Required for each tier when the contract exceeds $10,000)

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

  1. New   Title VI Assurances (Required only on Federal Projects)

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

    a) CT Debarment check

    b) FED Debarment check 

Useful Documents & Links

New CLA-12 Forms for immediate and mandatory use as of August 1, 2019:
            Older CLA-12 version f forms already in transit will be processed prior to July 31, 2019. Any CLA-12s postmarked after August 1, 2019 that do not meet all requirements will be returned unprocessed.
New  CLA-12 (Rev 08-2019) Request to Subcontract Form  (Auto-Fillable Form)
                NOTE: Please save the excel file on your device before opening.
New  Instructions for Completing New CLA-12 (Rev 08-2019)  (PDF)
New  Instructional Video for completing New CLA-12 (Rev 09-2019)
 
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)

CTDOT Approved Training Flagger Program

 Construction Engineering and Inspection (CEI) Pamphlet for Consultant Engineers:

      a) August 2008 Version

      b) February 2017 version

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
Douglas K. Harz, P.E.
Transportation Engineer 3
Phone: (860) 594-2681
Christopher M. Dirga
Transportation Engineer 2
Phone: (860) 594-3122
LaVern J. Brown
Secretary 2
Phone: (860) 594-2671
 Kermit Ramdial
Transportation Engineer 2
Phone: (860) 594-2613

 


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