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

Federal Regulations Federal aid projects are subject to the provisions of Federal Regulation: 23 CFR Highways 49 CFR Transportation http://www.gpo.gov/fdsys/search/home.action

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

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

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

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

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

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.

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

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

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

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

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

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

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

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.

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

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.

Preliminary Engineering Includes: Consultant Selection Contract Documents Environmental document ROW and Utility Certification "Brooks Act“Selection of Architects and Engineers § 1101. 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. § 1102. 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. § 1103. 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. § 1104. 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.

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

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.

Contract Documents Contract Provisions Competitive bidding requirements Prevailing wages DBE requirements Contractor Compliance with EEO 23CFR635.104 – 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. 23CFR635.121 – 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 23CFR635.410 – Buy America, Steel and Iron products including all processes are required to be performed domestically. 23CFR635.411 – 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)

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 23CFR635.104 – 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. 23CFR635.121 – 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 23CFR635.410 – Buy America, Steel and Iron products including all processes are required to be performed domestically. 23CFR635.411 – 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.

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 23CFR635.104 – 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. 23CFR635.121 – 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 23CFR635.410 – Buy America, Steel and Iron products including all processes are required to be performed domestically. 23CFR635.411 – 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.

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 635.109: Differing site conditions Suspensions of work ordered by the engineer Significant changes in the character of work Changed Conditions: 23CFR635.109 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.

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.

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. 23CFR635.112.

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: 23CFR635.113 – bids are publicly opened and announced. Lowest Responsive Bid: 23CFR635.114 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).

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

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.

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

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

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

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

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

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.”

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

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