1. Phil Pratt, PE Highway Engineer FHWA, Wyoming Division
Federal Requirements
Phil Pratt, PE
Highway Engineer
FHWA, Wyoming Division

2. Federal Regulations
Federal aid projects are subject to the provisions of Federal Regulation:
23 CFR Highways
49 CFR Transportation

3. Cooperative Agreement Preliminary Engineering
LPA Project Timeline
Project Application
Cooperative Agreement
Preliminary Engineering
Contract Documents
Construction
Project Acceptance

4. Cooperative Agreement Preliminary Engineering
LPA Project Timeline
Project Application
Cooperative Agreement
Preliminary Engineering
Contract Documents
Construction
Project Acceptance

5. Project applications are reviewed against Program Requirements –
Project Eligibility
Project applications are reviewed against Program Requirements –
Type of Work and
Highway System (if applicable)

6. Transportation Alternatives (TAP)
Purpose
Enhance transportation environment
Provide for multimodal transportation
Must be related to surface transportation

7. Transportation Alternatives (TAP)
Eligible Activities
Provision of pedestrian and bicycle facilities
Provision of safe routes for non-drivers
Conversion railroad corridors to trails
Turnouts, overlooks and viewing areas
Control or removal of outdoor advertising
Roadside vegetation management
Rehabilitation of historic transportation facilities
Archaeological activities relating to transportation impacts
Stormwater management
Reduce vehicle-caused wildlife mortality

8. Safe Routes to School (SRTS)
Program Purpose
Enable and encourage children, including those with disabilities, to walk and bicycle to school;
Make bicycling and walking to school a safer and more appealing, thereby encouraging a healthy and active lifestyle from an early age; and
Improve safety and reduce traffic, fuel consumption, and air pollution in the vicinity of schools.
Subset of Transportation Alternatives program.

9. Safe Routes to School (SRTS)
Eligible Activities
Planning
Education and Encouragement
Sidewalk Improvements
Pedestrian Crossing Improvements
On-Street Bicycle Facilities
Traffic Diversion Improvements
Off-Street Bicycle or Pedestrian Facilities
Traffic Calming and Speed Reduction
Traffic Education and Enforcement

10. Congestion Mitigation/Air Quality (CMAQ)
Program Purpose
Improve air quality by addressing Transportation-induced regulated pollutants

11. Congestion Mitigation/Air Quality (CMAQ)
Eligible Activities
Roadway dust suppression
Gravel roadway paving
Congestion reduction & traffic flow improvements
Street sweeping equipment
Diesel retrofit or idle reduction program
Other programs to reduce VMT and transportation emissions

12. Bridge Off System (BROS)
Program Purpose
Replace structurally deficient bridges
Public roadways
Local roads
Rural minor collectors

13. Bridge Off System (BROS)
Eligible Activities
Replacement or rehabilitation of a deficient bridge
Preliminary Engineering
Right of Way
Construction
Construction Engineering

14. Cooperative Agreement Preliminary Engineering
LPA Project Timeline
Project Application
Cooperative Agreement
Preliminary Engineering
Contract Documents
Construction
Project Acceptance

15. Cooperative Agreement
Project requirements are detailed in the agreement–including applicable design standards and oversight requirements

16. Project Responsibility
Supervising Agency
WYDOT retains overall project responsibility
Local Agency to provide a full-time employee to be in responsible charge
Regardless of whether the project is administered by the STA or another agency, the person designated as being in "responsible charge" is expected to be a public employee who is accountable for a project. This person should be expected to be able to perform the following duties and functions:
Administers inherently governmental project activities, including those dealing with cost, time, adherence to contract requirements, construction quality and scope of Federal-aid projects;
Maintains familiarity of day to day project operations, including project safety issues;
Makes or participates in decisions about changed conditions or scope changes that require change orders or supplemental agreements;
Visits and reviews the project on a frequency that is commensurate with the magnitude and complexity of the project;
Reviews financial processes, transactions and documentation to ensure that safeguards are in place to minimize fraud, waste, and abuse; and
Directs project staff, agency or consultant, to carry out project administration and contract oversight, including proper documentation.
Is aware of the qualifications, assignments and on-the-job performance of the agency and consultant staff at all stages of the project.

17. Cooperative Agreement Preliminary Engineering
LPA Project Timeline
Project Application
Cooperative Agreement
Preliminary Engineering
Contract Documents
Construction
Project Acceptance

18. Project Authorization
Project authorization by FHWA is required before expenses can be incurred and reimbursed
All Federal-aid projects must be authorized before work is started.
The authorization is issued using a project agreement, and its execution creates an obligation of Federal funds.
Before the agreement is executed, the applicable prerequisite requirements of Federal laws and implementing regulations and directives must be satisfied.

19. Preliminary Engineering
Includes:
Consultant Selection
Contract Documents
Environmental document
ROW and Utility Certification
"Brooks Act“Selection of Architects and Engineers
§ Policy (Formerly 40 U.S.C. § 541) The policy [of the Federal Government] is to publicly announce all requirements for architectural and engineering services and to negotiate contracts for architectural and engineering services on the basis of demonstrated competence and qualification for the type of professional services required and at fair and reasonable prices.
§ Definitions (Formerly 40 U.S.C. § 542) Architectural and engineering services.--The term "architectural and engineering services" means--
professional services of an architectural or engineering nature, as defined by state law, if applicable, that are required to be performed or approved by a person licensed, registered, or certified to provide the services described in this paragraph;
professional services of an architectural or engineering nature performed by contract that are associated with research, planning, development, design, construction, alteration, or repair of real property; and
other professional services of an architectural or engineering nature, or incidental services, which members of the architectural and engineering professions (and individuals in their employ) may logically or justifiably perform, including studies, investigations, surveying and mapping, tests, evaluations, consultations, comprehensive planning, program management, conceptual designs, plans and specifications, value engineering, construction phase services, soils engineering, drawing reviews, preparation of operating and maintenance manuals, and other related services.
§ Selection procedure (Formerly 40 U.S.C. § 543)
In general.--These procedures apply to the procurement of architectural and engineering services by an agency head.
Annual statements.--The agency head shall encourage firms to submit annually a statement of qualifications and performance data.
Evaluation.--For each proposed project, the agency head shall evaluate current statements of qualifications and performance data on file with the agency, together with statements submitted by other firms regarding the proposed project. The agency head shall conduct discussions with at least 3 firms to consider anticipated concepts and compare alternative methods for furnishing services.
Selection.--From the firms with which discussions have been conducted, the agency head shall select, in order of preference, at least 3 firms that the agency head considers most highly qualified to provide the services required. Selection shall be based on criteria established and published by the agency head.
§ Negotiation of contract (Formerly 40 U.S.C. § 544)
In general.--The agency head shall negotiate a contract for architectural and engineering services at compensation which the agency head determines is fair and reasonable to the Federal Government. In determining fair and reasonable compensation, the agency head shall consider the scope, complexity, professional nature, and estimated value of the services to be rendered.
Order of negotiation.--The agency head shall attempt to negotiate a contract, as provided in subsection (a), with the most highly qualified firm selected under section 1103 of this title. If the agency head is unable to negotiate a satisfactory contract with the firm, the agency head shall formally terminate negotiations and then undertake negotiations with the next most qualified of the selected firms, continuing the process until an agreement is reached. If the agency head is unable to negotiate a satisfactory contract with any of the selected firms, the agency head shall select additional firms in order of their competence and qualification and continue negotiations in accordance with this section until an agreement is reached.

20. Cooperative Agreement Preliminary Engineering
LPA Project Timeline
Project Application
Cooperative Agreement
Preliminary Engineering
Contract Documents
Construction
Project Acceptance

21. Contract Documents Describes location and design features
Indentifies construction requirements
Includes an estimate of costs
Contract Documents are those plans, specifications, and contracting provisions developed to describe, in detail, all work (labor, materials, equipment) needed to complete a project and are made available at time of the public advertisement for contract bids; and are often referred to as PS&E (Plans, Specifications, & Estimate).
Plans and specifications must describe the location and design features and the construction requirements in sufficient detail to allow for accurate bids, to facilitate the construction and to enable the STA to control the contract.
plans, specifications and estimate (PS&E) must be approved prior to advertisement of the project.
PS&E include all detailed plan sheets, specifications, and required contracting provisions. Detailed plan sheets include: title sheets, plan and profile sheets, typical sections, quantity summaries, specific detail sheets, cross-sections, and standard plans.
An estimate of project cost, referred to as an Engineer’s Estimate (EE), is developed based on contract plan quantity summaries. The intent of an EE is to establish the monetary value of the project to the County. The EE should consider numerous factors including bid item cost history, current market price and price trends, project size and location, work type and specialty work required.

22. Contract Documents Contract Provisions
Competitive bidding requirements
Prevailing wages
DBE requirements
Contractor Compliance with EEO
23CFR – Construction work is to be performed by contract awarded through competitive bidding; Agency shall assure opportunity for free, open, and competitive bidding including adequate advertisement.
23CFR – Provisions for Contract Time: Contract time is defined as the maximum time allowed in the contract for completion of all work contained in the contract documents. Contract time becomes a public relations issue when the traveling public is inconvenienced for no apparent reason. While a project may be dormant for a variety of reasons, the cause can be frequently traced to excessive contract time or poor contractor scheduling. Insufficient contract time may result in higher bid prices, safety problems, increased time overruns, and claims. On the other hand, excessive contract time may result in increased inefficiencies, equating to increased costs, to the STA and contractor as well as increased user costs to the public. In addition, delay and inconvenience to the public and the hazard of driving through a work zone may be unnecessarily extended.
23CFR633 - FHWA 1273
23CFR – Buy America, Steel and Iron products including all processes are required to be performed domestically.
23CFR – Patented/proprietary materials are to be competitively bid with equally suitable items.
the item is purchased or obtained through competitive bidding with equally suitable unpatented items,
the STA certifies item is essential for synchronization with existing 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.
Local Hiring Preference (not allowed)
FHWA 1273 (physically incorporated in contracts and subcontracts)

23. Contract Documents FHWA 1273 Nondiscrimination
Non-segregated Facilities
Davis-Bacon and Related Act Provisions
Contract Work Hours and Safety Standards Act Provisions
Subletting or Assigning the Contract
Safety: Accident Prevention
False Statements Concerning Highway Projects
Clean Air Act and Federal Water Pollution Control Act
Government-wide Suspension and Debarment Requirements
Certification Regarding Use of Contract Funds for Lobbying
Physically incorporated in contracts and subcontracts
23CFR – Construction work is to be performed by contract awarded through competitive bidding; Agency shall assure opportunity for free, open, and competitive bidding including adequate advertisement.
23CFR – Provisions for Contract Time: Contract time is defined as the maximum time allowed in the contract for completion of all work contained in the contract documents. Contract time becomes a public relations issue when the traveling public is inconvenienced for no apparent reason. While a project may be dormant for a variety of reasons, the cause can be frequently traced to excessive contract time or poor contractor scheduling. Insufficient contract time may result in higher bid prices, safety problems, increased time overruns, and claims. On the other hand, excessive contract time may result in increased inefficiencies, equating to increased costs, to the STA and contractor as well as increased user costs to the public. In addition, delay and inconvenience to the public and the hazard of driving through a work zone may be unnecessarily extended.
23CFR633 - FHWA 1273
23CFR – Buy America, Steel and Iron products including all processes are required to be performed domestically.
23CFR – Patented/proprietary materials are to be competitively bid with equally suitable items.
the item is purchased or obtained through competitive bidding with equally suitable unpatented items,
the STA certifies item is essential for synchronization with existing 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.

24. Contract Documents Material requirements Buy America (Steel and Iron)
Patented/Proprietary Products
Not allowed except where certified as:
Obtained through competitive bidding with equally suitable unpatented items
Essential for synchronization with existing facilities
Item used for research
23CFR – Construction work is to be performed by contract awarded through competitive bidding; Agency shall assure opportunity for free, open, and competitive bidding including adequate advertisement.
23CFR – Provisions for Contract Time: Contract time is defined as the maximum time allowed in the contract for completion of all work contained in the contract documents. Contract time becomes a public relations issue when the traveling public is inconvenienced for no apparent reason. While a project may be dormant for a variety of reasons, the cause can be frequently traced to excessive contract time or poor contractor scheduling. Insufficient contract time may result in higher bid prices, safety problems, increased time overruns, and claims. On the other hand, excessive contract time may result in increased inefficiencies, equating to increased costs, to the STA and contractor as well as increased user costs to the public. In addition, delay and inconvenience to the public and the hazard of driving through a work zone may be unnecessarily extended.
23CFR633 - FHWA 1273
23CFR – Buy America, Steel and Iron products including all processes are required to be performed domestically.
23CFR – Patented/proprietary materials are to be competitively bid with equally suitable items.
the item is purchased or obtained through competitive bidding with equally suitable unpatented items,
the STA certifies item is essential for synchronization with existing 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.

25. Contract Documents Contract Time Standard Changed Condition Clauses
Insufficient time may result in higher bid prices and time overruns.
Excessive time may result in cost inefficiencies, public inconvenience and extend safety concerns.
Standard Changed Condition Clauses
Incorporated from 23 CFR :
Differing site conditions
Suspensions of work ordered by the engineer
Significant changes in the character of work
Changed Conditions: 23CFR
Differing site conditions
Suspensions of work ordered by the engineer and
significant changes in the character of work.
DBE Specifications and contract provisions should include the following:
DBE Program Policy
DBE Contract Goal
Good Faith Effort Provisions
Determination Procedures on Counting DBE participation towards the DBE Goal
WYDOT currently reports DBE participation and may require LPAs to do the same in the future.

26. Contract Documents Other Contract Provisions Non-Collusion Statement
Lobbying Certification
Suspension and Debarment Certification
EEO
The submission of a noncollusion statement protects the integrity of the Federal-aid highway program by serving as a deterrent to bid rigging activities. Noncollusion statement required from all bidders, which is to be submitted as part of the bid proposal package. The noncollusion statement may be either an unsworn declaration made under penalty of perjury under the laws of the U.S., or a sworn affidavit executed and sworn before a person who is authorized to administer oaths by the laws of the State. Failure to submit the required certification will result in the bid being considered as non-responsive and ineligible for award consideration.
Lobbying limitations prohibit Federal funds from being expended to influence, or attempt to influence, a Federal agency or Congress in connection with the awarding of any Federal contract or grant.
The prime contractor and subs are required to 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 maintains a government-wide list of excluded parties.

27. Contract Documents Approved by WYDOT (Construction Authorization)
Project advertisement by local agency
Minimum 3 weeks
WYDOT requirements
Federal requirement to advertise a minimum of three weeks prior to bid opening. 23CFR

28. Contract Advertisement, Bid Opening, and Award
Local Bid Opening
Public Opening and Announcement
Award to Lowest Responsive & Responsible Bidder
Responsive bid: meets all the requirements of the advertisement and proposal
Responsible bidder: physically organized and equipped with financial wherewithal to complete contract
WYDOT Concurrence
Bid Opening: 23CFR – bids are publicly opened and announced.
Lowest Responsive Bid: 23CFR
After bid opening, the unit bid prices of the apparent low bidder should be reviewed in conformance with the engineer’s estimate. Wide variations should be thoroughly evaluated. Unbalanced bids should be scrutinized to determine if they are mathematically and materially unbalanced. Mathematically unbalancing of bids may be awarded. Mathematically and Materially unbalanced bids need to be rejected to protect the public’s interest (would result in awarding of a contract to the apparent but not true low bidder).

29. Cooperative Agreement Preliminary Engineering
LPA Project Timeline
Project Application
Cooperative Agreement
Preliminary Engineering
Contract Documents
Construction
Project Acceptance

30. Construction Subcontracts-require formal approval
Submission of Payrolls
Contract Changes and Extra Work
Method of Measurement/ Basis of Payment
WYDOT approval of subcontractors.
Contractors, and subcontractors, are required to furnish weekly certified payroll statements to the STA. The weekly payroll statement is to include information on employees and wages in order that compliance with the Davis-Bacon requirement of Section IV can be verified.
Compliance with classification, hourly rate, authorized deduction, fringe benefits, overtime hours and rate, and net wages paid.
The construction industry recognizes that it is unrealistic to expect that a construction project could be built without deviating from the project plans. Although project designers should be diligent and exercise due care in developing the plans, they are not omniscient. There are many peculiarities (e.g., unforeseen site conditions, utility conflicts, changes in the geology, etc.) that can arise during construction and virtually every project should expect changes. Only the construction engineer is in a position to judge the adequacy of the project's design and respond to needed changes.
Frequently, change orders are used to make the design a better fit for the actual field conditions. Also, a change order may result in a better product at no substantial increase in cost or time, or an equivalent product with savings in cost, time, or both. Generally, change orders are classified by purpose:
plan changes,
specification changes,
change in cost (+/ ), and
change in time (+/ ).
There are four basic components to consider in change orders:
Federal aid eligibility,
within/related to the original "scope of the work," for the project
basis of payment, and
time adjustments.
As a highway construction project progresses, the STA may request that FHWA reimburse the STA for the Federal share of the estimated costs for completed work. The progress payments may be monthly, semi-monthly, or even weekly.
Certifications - from material’s supplier;
In-Place Measurement - field measurement or plan quantity;
Inspection - from General or Supplementary Conditions, Authority of Inspector;
Sampling and Testing - in accordance with Specifications and including Quality Control and Assurance.

31. ADA Requirements Min. 5 ft. wide sidewalks
4 ft. w/ 5 ft. passing zones
6 ft. 8 in. min, vertical clearance
WYDOT Standard Plans

32. ADA Requirements Min. 4 ft. wide ramps Max. 8.3% slope (1/12)
4 ft. level landing at top of ramp
Max. 10% flared sides when in path on sidewalk
Detectable warning device

33. ADA Requirements
Max. 2% cross-slope (1/48)
Driveway approaches

34. ADA Transition Plan
Identification of physical obstacles and their location
Method used to make facility accessible
Schedule for making the respective modifications
Official responsible for implementing this item of the plan

35. Cooperative Agreement Preliminary Engineering
LPA Project Timeline
Project Application
Cooperative Agreement
Preliminary Engineering
Contract Documents
Construction
Project Acceptance

36. Project Acceptance
Local agency accepts the contract work and certifies materials incorporated into the project
Formal project acceptance by WYDOT
FHWA cannot make final payment for a project until after approving the completion of construction.
Final inspection of the project should determine whether the actual construction conforms with the approved plans and specifications.
The final inspection may be an actual on-site inspection performed at or near project completion. The level of effort put into the final inspection should be based on the size, complexity and importance of the project, as well as the level of previous oversight. The final inspection shall be documented on the FHWA-1446A, "Construction Inspection Report.”

37. WYDOT Approvals Project Application Contract Documents
Cooperative Agreement Developed
Contract Documents
Concurrence-In-Award
Project Acceptance

38. Federal-aid Essentials Videos
Federal-aid program
Finance
Right-of-way
Environment
Civil rights
Project development
Project construction & contract administration