Subpart 12-16.4-Forms for Advertised Construction Contracts

§ 12-16.401 Forms prescribed.

In addition to the standard forms prescribed for use in FPR 1-16.401, Standard Form 30 shall be used to amend a construction solicitation or modify a construction contract.

§ 12-16.450 Other forms.

DOT forms prescribed for use in connection with construction contracts are prescribed or referenced in DOTPR Subpart 12-16.8.

Subpart 12-16.8-Miscellaneous Forms

§ 12-16.800 Scope of subpart.

This subpart prescribes miscellaneous forms for use in procurement. The forms are illustrated in DOTPR Subpart 12-16.9.

§ 12-16.804-3 Standard Form 37, Report on Procurement by Civilian Executive Agencies.

The semiannual SF-37 required by FPR 1-16.804-3(f) shall be submitted to the Office of Installations and Logistics, TAD-60, by May 1 and November 1, for consolidation and submission to the General Services Administration.

§ 12-16.850 Small purchase summary.

DOT Form F 4230.1 titled "Small Purchase Summary" is an optional form which may be used to satisfy the small purchase documentation requirements set forth in FPR 1-3.603-2. 8 12-16.851 Procurement request forms.

(a) General. The procurement request forms listed in paragraph (c) of this section shall be used to request the procurement of supplies, services, or construction, and may be used, if appropriate, to request items obtained through FEDSTRIP, MILSTRIP, or similar single- or multi-line requisitioning methods.

(b) Description of forms. The forms are issued in units of "PAD". Each pad contains 100 sheets of "no carbon required" type paper.

DOT Form F 4220.2 titled "Contractor's Release" shall be used to obtain a release from the contractor for:

(a) All cost type contracts.

(b) Construction contracts, where a release is required by the contracting officer (see paragraph (e) of Clause 7 of Standard Form 23-A).

(c) Any other type of contract when the contracting officer determines its use appropriate.

§ 12-16.856 Labor forms.

§ 12-16.856-1 Labor standards interviews. DOT Form F 4220.5 shall be used to record the results of interviews with contractor employees working at the construction site. (Section 5.6(a)(3) of the Labor Department regulations (29 CFR) requires Federal agencies to make such investigations as are deemed necessary to insure compliance with the labor standards provisions contained in the contract. These investigations include interviews with employees to ascertain whether laborers and mechanics are being or have been properly classified and paid.)

§ 12-16.856-2 Employee claim for wage restitution.

DOT Form F 4220.7 shall be used by contractor employees to file claim for unpaid wages when contract funds have been transferred to the General Accounting Office to cover such underpayment. (Even though contract funds have been transferred to GAO to cover the underpayment, GAO requires that a claim be submitted before it will make payment directly to the employee. See Comptroller General Decision B-3368 of 3-19-57.)

§ 12-16.856-3 Summary of labor standards investigation report.

DOT Form F 4220.6 shall be used as the first page of reports on special labor standards investigations to summarize the findings of the investigation.

§ 12-16.856-4 Summary of underpayments.

DOT Form F 4220.8 shall be used to summarize the findings of wage underpayment and liquidated damages and shall be included in the investigation report when a special labor standards investigation is made.

§ 12-16.856-5 Establishment of additional wage rates.

(a) Except as provided in paragraph (b) of this section, DOT Form F 4220.10 shall be used by the contractor to obtain the contracting officer's approval or disapproval of the contractor's proposed classification and wage rate for any category of laborers or mechanics not listed in the contract wage determination but needed in performance of the contract work. Procedures shall be established to assure contracting officer approval of additional classifications and rates prior to their use by the contractor.

(b) FHWA Form PR-1140 may be used by the Federal Highway Administration for direct Federal contracts and Federal-aid contracts in lieu of DOT Form F 4220.10.

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to continue its normal function in an uninterrupted manner without resulting in added expense to the Government.

§ 12-18.112 Construction contracts with

design-engineers (A-E).

No contract for construction of a project shall be awarded to a firm or person that designed the project except with approval of the Secretary. The A-E shall be informed of this restriction prior to the commencement of negotiations for his services.

§ 12-18.151 Preconstruction conference.

(a) When the contracting officer considers such action warranted, he shall arrange a preconstruction conference with the contractor and such subcontractors as the contractor may designate to assure that there is a clear understanding of the contract requirements (including labor standards provisions) and of the rights and obligations of the parties.

(b) DOT Form F 4220.3 titled "Preconstruction Conference Agenda and Checklist," or a similar checklist, shall be used as the agenda of or checklist for the preconstruction conference.

Subpart 12-18.2-Formal Advertising

§ 12-18.201-50 Types of contracts.

When unit prices are used, the Variation in Estimated Quantities clause set forth in DOTPR 12-7.651-7 shall be included in the contract.

§ 12-18.202 Preinvitation notices.

Standard Form 20 may be used as a preinvitation notice providing it is clearly identified as such.

§ 12-18.203-51 Fee for plans and specifications.

When a flat, nonrefundable fee is to be charged in accordance with DOTPR 12-2.203-1(b), a statement reading substantially as follows shall be included in the solicitation:

Nonrefundable fee for plans and specifications. A fee of $ is required for the plans and specifications referenced in this solicitation. Send check or money order to The fee is not re

fundable. Plans and specifications need not be returned.

§ 12-18.203-52 Inquiries from bidders.

A statement similar to the following shall be included in each solicitation:

For information call (insert name, telephone number). Submit written requests in accordance with paragraph 1 of Standard Form 22.

Subpart 12-18.3-Negotiations

§ 12-18.301 Limitation on authority to negotiate contracts.

§ 12-18.301-50 Coast Guard negotiation citations.

For limitation of Coast Guard authority to negotiate construction contracts see DOTPR 12-3.252.

PART 12-26-CONTRACT MANAGEMENT

Subpart 12-26.4-Novation Agreements and Name Change of Agreements

§ 12-26.450 Processing novation agreements and change of name agreements. (a) When only one Administration or the Office of the Secretary of Transportation has outstanding contracts with the contractor or contractors seeking a novation or change of name agreement, the documents pertaining thereto shall be forwarded to the appropriate addressee in (b) below. This addressee may authorize the procuring activity of its Administration (or OST) having the largest unsettled (unbilled plus billed but unpaid) dollar balance with the contractor or contractors to process and execute the agreement.

(b) When more than one Administration (including OST) has outstanding contracts with the contractor or contractors seeking a novation or change of name agreement, a single agreement covering all such contracts shall be executed by the Administration having the largest unsettled (Unbilled plus billed but unpaid) dollar balance with the contractor or contractors. Such agreements shall be ex

ecuted by a duly authorized official of the appropriate office listed herein. Federal Aviation Administration, Director, Logistics

Service, 800 Independence Avenue SW., Washington, D.C. 20591. Federal Highway Administration, Office of Associate Administrator for Administration, 400 7th Street SW., Washington, D.C. 20590.

U.S. Coast Guard, Commandant (G-F), 400 7th Street SW., Washington, D.C. 20590. Federal Railroad Administration, Office of Associate Administrator for Administration, 400 7th Street SW, Washington, D.C. 20590.

St. Lawrence Seaway Development Corporation, Administrative Services Officer, 800 Independence Avenue SW., Washington, D.C. 20591.

Office of the Secretary of Transportation, Director of Administrative Operations, 400 7th Street SW., Washington, D.C. 20590.

Transportation Systems Center, Office of Administration, Kendall Square, Cambridge, Mass. 02142.

Urban Mass Transportation Administration, Director, office of Procurement and Third Party Review, 400 7th Street SW., Washington, D.C. 20590.

National Highway Traffic Safety Administration, Office of Associate Administrator for Administration, 400 7th Street SW., Washington, D.C. 20590.

(c) The Administration processing a proposed novation agreement shall promptly provide notice of the proposed agreement, including the list of contracts as required by FPR 126.402(c)(2) to the other Administrations (and OST, if applicable) having contracts with the contractor or contractors concerned. Such notice shall be transmitted to the appropriate addressee listed in (b) above. Within 30 days after receipt of such notice, the Administration(s) may submit comments to the processing Administration, which comments shall be considered prior to execution of the proposed agreement. The absence of comment from an administration within 30 days after its receipt of notice of a proposed novation agreement shall be construed as approval by that Administration. When only a single Administration is concerned, the procuring activity processing a proposed novation agreement shall give similar notice of it to all other interested procuring activities in that Administration.

(d) Where substantial alterations or additions to the formats set forth in FPR 1-26.402 and FPR 1-26.403 are considered appropriate by the Administration processing the proposed agreement, that Administration shall coordinate the agreement with the other Administrations prior to execution. Any objection shall be resolved before the agreement is executed.

(e) A signed copy of the executed novation agreement or change of name agreement shall be forwarded to the contractor, a signed copy shall be retained in the Administration executing the agreement, and where more than one Administration is involved, two copies of the agreement shall be distributed to the appropriate addressee listed in DOTPR 12-26.450(b).

(f) After execution and distribution of an agreement, an administrative change (Standard Form 30) shall be prepared by the processing activity incorporating a summary of the agreement and attaching thereto a complete list of the contracts affected. For single Administration agreements, three copies of the Standard Form 30 shall be furnished for each contract to the procuring activities concerned, and for multi-Administration agreements, to the appropriate addressee listed in DOTPR 12-26.450(b).

(Sec. 205(c), 63 Stat. 389; 40 U.S.C. 486(c), 10 U.S.C. 2301-2314)

[42 FR 45256, Sept. 8, 1977]