23 C.F.R. PART 630—PRECONSTRUCTION PROCEDURES
Title 23 - Highways
Authority: 23 U.S.C. 106, 109, 115, 315, 320, and 402(a); 23 CFR 1.32; and 49 CFR 1.48(b).
Source: 66 FR 23847, May 10, 2001, unless otherwise noted.
The purpose of this subpart is to prescribe policies for authorizing Federal-aid projects through execution of the project agreement required by 23 U.S.C. 106(a)(2). (a) This subpart is applicable to all Federal-aid projects unless specifically exempted. (b) Other projects which involve special procedures are to be approved, or authorized as set out in the implementing instructions or regulations for those projects. (a)(1) The State transportation department (STD) must obtain an authorization to proceed from the FHWA before beginning work on any Federal-aid project. The STD may request an authorization to proceed in writing or by electronic mail for a project or a group of projects. (2) The FHWA will issue the authorization to proceed either through or after the execution of a formal project agreement with the State. The agreement can be executed only after applicable prerequisite requirements of Federal laws and implementing regulations and directives are satisfied. Except as provided in paragraphs (c)(1) through (c)(4) of this section, the FHWA will obligate Federal funds in the project or group of projects upon execution of the project agreement. (3) The State's request that Federal funds be obligated shall be supported by a documented cost estimate that is based on the State's best estimate of costs. (4) The State shall maintain a process to adjust project cost estimates. For example, the process would require a review of the project cost estimate when the bid is approved, a project phase is completed, a design change is approved, etc. Specifically, the State shall revise the Federal funds obligated within 90 days after it has determined that the estimated Federal share of project costs has decreased by $250,000 or more. (5) The State shall review, on a quarterly basis, inactive projects (for the purposes of this subpart an “inactive project” means a project for which no expenditures have been charged against Federal funds for the past 12 months) with unexpended Federal obligations and shall revise the Federal funds obligated for a project within 90 days to reflect the current cost estimate, based on the following criteria: (i) Projects inactive for the past 12 months with unexpended balances more than $500,000, (ii) Projects inactive for the past 24 months with unexpended balances of $50,000 to $500,000, and (iii) Projects inactive for the past 36 months with unexpended balances less than $50,000. (6) If the State fails to comply with the requirements of paragraphs (a)(3), (4), or (5) of this section, then the FHWA shall revise the obligations or take such other action as authorized by 23 CFR 1.36. The FHWA shall advise the State of its proposed actions and provide the State with the opportunity to respond before actions are taken. The FHWA shall not adjust obligations without a State's consent during the August redistribution process, August 1 to September 30. (b) Federal funds shall not participate in costs incurred prior to the date of a project agreement except as provided by 23 CFR 1.9(b). (c) The execution of the project agreement shall be deemed a contractual obligation of the Federal government under 23 U.S.C. 106 and shall require that appropriate funds be available at the time of authorization for the agreed Federal share, either pro rata or lump sum, of the cost of eligible work to be incurred by the State except as follows: (1) Advance construction projects authorized under 23 U.S.C. 115. (2) Projects for preliminary studies for the portion of the preliminary engineering and right-of-way (ROW) phase(s) through the selection of a location. (3) Projects for ROW acquisition in hardship and protective buying situations through the selection of a particular location. This includes ROW acquisition within a potential highway corridor under consideration where necessary to preserve the corridor for future highway purposes. Authorization of work under this paragraph shall be in accord with the provisions of 23 CFR part 710. (4) In special cases where the Federal Highway Administrator determines it to be in the best interest of the Federal-aid highway program. (d) For projects authorized to proceed under paragraphs (c)(1) through (c)(4) of this section, the executed project agreement shall contain the following statement: “Authorization to proceed is not a commitment or obligation to provide Federal funds for that portion of the undertaking not fully funded herein.” (e) For projects authorized under paragraphs (c)(2) and (c)(3) of this section, subsequent authorizations beyond the location stage shall not be given until appropriate available funds have been obligated to cover eligible costs of the work covered by the previous authorization. (f)(1) The Federal-aid share of eligible project costs shall be established at the time the project agreement is executed in one of the following manners: (i) Pro rata, with the agreement stating the Federal share as a specified percentage; or (ii) Lump sum, with the agreement stating that Federal funds are limited to a specified dollar amount not to exceed the legal pro rata. (2) The pro-rata or lump sum share may be adjusted before or shortly after contract award to reflect any substantive change in the bids received as compared to the STD's estimated cost of the project at the time of FHWA authorization, provided that Federal funds are available. (3) Federal participation is limited to the agreed Federal share of eligible costs actually incurred by the State, not to exceed the maximum permitted by enabling legislation. (g) The State may contribute more than the normal non-Federal share of title 23, U.S.C. projects. In general, financing proposals that result in only minimal amounts of Federal funds in projects should be avoided unless they are based on sound project management decisions. (h)(1) Donations of cash, land, material or services may be credited to the State's non-Federal share of the participating project work in accordance with title 23, U.S.C., and implementing regulations. (2) Contributions may not exceed the total costs incurred by the State on the project. Cash contributions from all sources plus the Federal funds may not exceed the total cost of the project. [66 FR 23847, May 10, 2001, as amended at 71 FR 4995, Jan. 31, 2006] (a) The STD shall prepare a project agreement for each Federal-aid project. (b) The STD may develop the project agreement in a format acceptable to both the STD and the FHWA provided the following are included: (1) A description of each project location including State and project termini; (2) The Federal-aid project number; (3) The work covered by the agreement; (4) The total project cost and amount of Federal funds under agreement; (5) The Federal-aid share of eligible project costs expressed as either a pro rata percentage or a lump sum as set forth in §630.106(f)(1); (6) A statement that the State accepts and will comply with the agreement provisions set forth in §630.112; (7) A statement that the State stipulates that its signature on the project agreement constitutes the making of the certifications set for in §630.112; and (8) Signatures of officials from both the State and the FHWA, and the date executed. (c) The project agreement should also document, by comment, instances where: (1) The State is applying amounts of credits from special accounts (such as the 23 U.S.C. 120(j) toll credits, 23 U.S.C. 144(n) off-system bridge credits and 23 U.S.C. 323 land value credits) to cover all or a portion of the normal percent non-Federal share of the project; (2) The project involves other arrangements affecting Federal funding or non-Federal matching provisions, including tapered match, donations, or use of other Federal agency funds, if known at the time the project agreement is executed; and (3) The State is claiming finance related costs for bond and other debt instrument financing (such as payments to States under 23 U.S.C. 122). (d) The STD may use an electronic version of the agreement as provided by the FHWA. (a) When changes are needed to the original project agreement, a modification of agreement shall be prepared. Agreements should not be modified to replace one Federal fund category with another unless specifically authorized by statute. (b) The STD may develop the modification of project agreement in a format acceptable to both the STD and the FHWA provided the following are included: (1) The Federal-aid project number and State; (2) A sequential number identifying the modification; (3) A reference to the date of the original project agreement to be modified; (4) The original total project cost and the original amount of Federal funds under agreement; (5) The revised total project cost and the revised amount of Federal funds under agreement; (6) The reason for the modifications; and, (7) Signatures of officials from both the State and the FHWA and date executed. (c) The STD may use an electronic version of the modification of project agreement as provided by the FHWA. (a) The State, through its transportation department, accepts and agrees to comply with the applicable terms and conditions set forth in title 23, U.S.C., the regulations issued pursuant thereto, the policies and procedures promulgated by the FHWA relative to the designated project covered by the agreement, and all other applicable Federal laws and regulations. (b) Federal funds obligated for the project must not exceed the amount agreed to on the project agreement, the balance of the estimated total cost being an obligation of the State. Such obligation of Federal funds extends only to project costs incurred by the State after the execution of a formal project agreement with the FHWA. (c) The State must stipulate that as a condition to payment of the Federal funds obligated, it accepts and will comply with the following applicable provisions: (1) Project for acquisition of rights-of-way. In the event that actual construction of a road on this right-of-way is not undertaken by the close of the twentieth fiscal year following the fiscal year in which the project is authorized, the STD will repay to the FHWA the sum or sums of Federal funds paid to the transportation department under the terms of the agreement. The State may request a time extension beyond the 20-year limit with no repayment of Federal funds, and the FHWA may approve this request if it is considered reasonable. (2) Preliminary engineering project. In the event that right-of-way acquisition for, or actual construction of, the road for which this preliminary engineering is undertaken is not started by the close of the tenth fiscal year following the fiscal year in which the project is authorized, the STD will repay to the FHWA the sum or sums of Federal funds paid to the transportation department under the terms of the agreement. The State may request a time extension for any preliminary engineering project beyond the 10-year limit with no repayment of Federal funds, and the FHWA may approve this request if it is considered reasonable. (3) Drug-free workplace certification. By signing the project agreement, the STD agrees to provide a drug-free workplace as required by 49 CFR part 29, subpart F. In signing the project agreement, the State is providing the certification required in appendix C to 49 CFR part 29, unless the State provides an annual certification. (4) Suspension and debarment certification. By signing the project agreement, the STD agrees to fulfill the responsibility imposed by 49 CFR 29.510 regarding debarment, suspension, and other responsibility matters. In signing the project agreement, the State is providing the certification for its principals required in appendix A to 49 CFR part 29. (5) Lobbying certification. By signing the project agreement, the STD agrees to abide by the lobbying restrictions set forth in 49 CFR part 20. In signing the project agreement, the State is providing the certification required in appendix A to 49 CFR part 20. Source: 43 FR 58564, Dec. 15, 1978, unless otherwise noted.
The purpose of this subpart is to prescribe Federal Highway Administration (FHWA) procedures relating to the preparation, submission, and approval of plans, specifications and estimates (PS&E), and supporting documents for Federal-aid projects. The provisions of this regulation apply to all highway construction projects financed in whole or in part with Federal-aid highway funds and to be undertaken by a State or political subdivision. [69 FR 7118, Feb. 13, 2004] (a) The contents and number of copies of the PS&E assembly shall be determined by the FHWA. (b) Plans and specifications shall describe the location and design features and the construction requirements in sufficient detail to facilitate the construction, the contract control and the estimation of construction costs of the project. The estimate shall reflect the anticipated cost of the project in sufficient detail to provide an initial prediction of the financial obligations to be incurred by the State and FHWA and to permit an effectice review and comparison of the bids received. (c) PS&E assemblies for Federal-aid highway projects shall be submitted to the FHWA for approval. (d) The State highway agency (SHA) shall be advised of approval of the PS&E by the FHWA. (e) No project or part thereof for actual construction shall be advertised for contract nor work commenced by force account until the PS&E has been approved by the FHWA and the SHA has been so notified. Source: 39 FR 26414, July 19, 1974, unless otherwise noted.
The purpose of this subpart is to prescribe procedures for conducting geodetic control surveys when participation with Federal-aid highway funds in the cost thereof is proposed and to encourage inter-agency cooperation in setting station markers, surveying to measure their position, and preserving the control so established. (a) Geodetic surveys along Federal-aid highway routes may be programmed as Federal-aid highway projects. (b) All geodetic survey work performed as a Federal-aid highway project will conform to National Ocean Survey (NOS) specifications. NOS will, as the representative of FHWA, be responsible for the inspection and verification of the work to ascertain that the specifications for the work have been met. Final project acceptance by FHWA will be predicated on a finding of acceptability by NOS. All projects shall be coordinated by the FHWA Division Administrator, the State highway department and the National Ocean Survey. (a) Highway purposes may best be served by the establishment of station markings for horizontal control along Federal-aid highway routes at spacings of three to eight kilometers (about 2 to 5 miles) and station markers for vertical control of spacings no closer than one kilometer. These requirements may be waived only with the approval of the Administrator. (b) Projects should be of sufficient scope to permit efficient use of field parties. Projects should extend at least 30 kilometers. Projects may be coordinated with adjoining States to attain greater efficiency. (c) Where geodetic station markers cannot be established inititally at points readily accessible from the Federal-aid route, or where unavoidable circumstances result in their being established within construction limits, supplemental projects may later be approved to set and survey markers at satisfactory permanent points, preferably within the right-of-way but at points where their use does not introduce traffic hazards. Source: 60 FR 36993, July 19, 1995, unless otherwise noted.
The purpose of this subpart is to prescribe procedures for advancing the construction of Federal-aid highway projects without obligating Federal funds apportioned or allocated to the State. (a) The State Highway Agency (SHA) may proceed with a highway substitute, congestion mitigation and air quality improvement program, surface transportation program, bridge replacement and rehabilitation, or planning and research project in accordance with this subpart, provided the SHA: (1) Has obligated all funds apportioned or allocated to it under 23 U.S.C. 103(e)(4)(H), 104(b)(2), 104(b)(3), 104(f), 144, or 307, as the case may be for the proposed project, or (2) Has used all obligation authority distributed to it, or (3) Demonstrates that it will use all obligation authority distributed to it. (b) The SHA may proceed with a National Highway System (NHS) or Interstate project in accordance with this subpart without regard to apportionment or obligation authority balances. Interstate projects include Interstate construction and Interstate maintenance. (a) An advance construction project shall meet the same requirements and be processed in the same manner as a regular Federal-aid project, except, (1) The FHWA authorization does not constitute any commitment of Federal funds on the project, and (2) The FHWA shall not reimburse the State until the project is converted under §630.709. (b) Project numbers shall be identified by the letters “AC” preceding the regular project number prefix. [60 FR 36993, July 19, 1995, as amended at 68 FR 60033, Oct. 21, 2003] (a) The SHA may submit a written request to the FHWA that a project be converted to a regular Federal-aid project at any time provided that sufficient Federal-aid funds and obligation authority are available. (b) Subsequent to FHWA approval the SHA may claim reimbursement for the Federal share of project costs incurred, provided the project agreement has been executed. If the SHA has previously submitted a final voucher, the FHWA will process the voucher for payment. Source: 39 FR 36474, Oct. 10, 1974, unless otherwise noted.
The purpose of this subpart is to prescribe procedures for the construction and financing, by an agency of the Federal Government, of public highway bridges over dams constructed and owned by or for the United States. A proposed bridge over a dam, together with the approach roads to connect the bridge with existing public highways, must be eligible for inclusion in the Federal-aid highway system, if not already a part thereof. A State's application to qualify a project under this subpart will include: (a) A certification that the bridge is economically desirable and needed as a link in the Federal-aid highway system. (b) A statement showing the source and availability of funds to be used in construction of the roadway approaches. (c) A statement of any obligation on the part of the agency constructing the dam to provide such bridge or approach roads to satisfy a legal liability incurred independently of this subpart.
Link to an amendment published at 69 FR 54569, September 9, 2004. Source: 43 FR 47140, Oct. 12, 1978, unless otherwise noted.
The purpose of this subpart is to provide guidance and establish procedures to assure that adequate consideration is given to motorists, pedestrians, and construction workers on all Federal-aid construction projects. Part VI of the manual on uniform traffic control devices (MUTCD)1 1 The MUTCD is available from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402. It is incorporated by reference at 23 CFR 655, subpart F. [43 FR 47140, Oct. 12, 1978, as amended at 51 FR 16834, May 7, 1986] It is the policy of the Federal Highway Administration that each highway agency shall develop and implement procedures consonant with the requirements of this regulation that will assure the safety of motorists, pedestrians, and construction workers on Federal-aid highway construction projects. The procedures shall be consistent with the provisions of the MUTCD. Highway agencies should be encouraged to implement these procedures for non-Federal-aid projects and maintenance operations as well. The FHWA Division Administrator shall review and approve the highway agency's implementation of its procedures at appropriate intervals. The FHWA shall take appropriate action to assure that the highway agency's procedures are being followed and achieve the results intended. Major revisions in established procedures shall be submitted to the FHWA Division Administrator for information. The agency's procedures shall include, but not necessarily be limited to the following: (a) Traffic control plan (TCP). (1) A traffic control plan is a plan for handling traffic through a specific highway or street work zone or project. These plans may range in scope from a very detailed TCP designed solely for a specific project, to a reference to standard plans, a section of the MUTCD, or a standard highway agency manual. The degree of detail in the TCP will depend on the project complexity and traffic interference with construction activity. (2) Traffic control plans shall be developed for all projects and be included in plans, specifications, and estimates (P.S. & E.'s) and shall be consistent with part VI of the MUTCD. (3) The scope of the TCP should be determined during planning and design phases of a project. (4) Provisions may be made to permit contractors to develop their own TCP's and use them if the highway agency and FHWA find that these plans are as good as or better than those provided in the P.S. & E. (5)(i) Two-lane, two-way operation on one roadway of a normally divided highway (TLTWO) shall be used only after careful consideration of other available methods of traffic control. Where the TLTWO is used, the TCP shall include provisions for the separation of opposing traffic except: (A) Where the TLTWO is located on an urban type street or arterial where operating speeds are low; (B) Where drivers entering the TLTWO can see the transition back to normal one-way operation on each roadway; or (C) Where FHWA approves nonuse of separation devices based on unusual circumstances. (ii) Center line striping, raised pavement markers, and complementary signing, either alone or in combination, are not considered acceptable for separation purposes. (b) Responsible person. The highway agency shall designate a qualified person at the project level who will have the primary responsibility and sufficient authority for assuring that the TCP and other safety aspects of the contract are effectively administered. While the project or resident engineer may have this responsibility, on large complex projects another person should be assigned at the project level to handle traffic control on a full-time basis. (c) Pay items. The P.S. & E. should include unit pay items for providing, installing, moving, replacing, maintaining, and cleaning traffic control devices required by the TCP. Suitable force account procedures may be utilized for traffic control items. Lump-sum method of payment should be used only to cover very small projects, projects of short duration, contingency, and general items. Payment for traffic control items as incidental to other items of work should be discouraged. (d) Training. All persons responsible for the development, design, implementation, and inspection of traffic control shall be adequately trained. (e) Process review and evaluation. (1) A review team consisting of appropriate highway agency personnel shall annually review randomly selected projects throughout its jurisdiction for the purpose of assessing the effectiveness of its procedures. The agency may elect to include an FHWA representative as a member of the team. The results of this review are to be forwarded to the FHWA Division Administrator for his review and approval of the highway agency's annual traffic safety effort. (2) Construction zone accidents and accident data shall be analyzed and used to continually correct deficiencies which are found to exist on individual projects, and to improve the content of future traffic control plans. [43 FR 47140, Oct. 12, 1978, as amended at 47 FR 21780, May 20, 1982]
Title 23: Highways
PART 630—PRECONSTRUCTION PROCEDURES
Section Contents
§ 630.102 Purpose.
§ 630.104 Applicability.
§ 630.106 Authorization to proceed and project monitoring.
§ 630.108 Preparation of agreement.
§ 630.110 Modification of original agreement.
§ 630.112 Agreement provisions.
§ 630.201 Purpose.
§ 630.203 Applicability.
§ 630.205 Preparation, submission, and approval.
§ 630.401 Purpose.
§ 630.402 Policy.
§ 630.403 Initiation of projects.
§ 630.404 Standards.
§ 630.701 Purpose.
§ 630.703 Eligibility.
§ 630.705 Procedures.
§ 630.707 [Reserved]
§ 630.709 Conversion to a regular Federal-aid project.
§ 630.801 Purpose.
§ 630.802 Applicability.
§ 630.803 Procedures.
§ 630.1002 Purpose.
§ 630.1004 Background.
§ 630.1006 Policy.
§ 630.1008 Implementation.
§ 630.1010 Contents of the agency procedures.
Subpart A—Project Authorization and Agreements
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§ 630.102 Purpose.
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§ 630.104 Applicability.
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§ 630.106 Authorization to proceed and project monitoring.
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§ 630.108 Preparation of agreement.
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§ 630.110 Modification of original agreement.
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§ 630.112 Agreement provisions.
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Subpart B—Plans, Specifications, and Estimates
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§ 630.201 Purpose.
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§ 630.203 Applicability.
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§ 630.205 Preparation, submission, and approval.
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Subpart C [Reserved]
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Subpart D—Geodetic Markers
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§ 630.401 Purpose.
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§ 630.402 Policy.
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§ 630.403 Initiation of projects.
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§ 630.404 Standards.
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Subparts E–F [Reserved]
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Subpart G—Advance Construction of Federal-Aid Projects
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§ 630.701 Purpose.
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§ 630.703 Eligibility.
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§ 630.705 Procedures.
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§ 630.707 [Reserved]
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§ 630.709 Conversion to a regular Federal-aid project.
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Subpart H—Bridges on Federal Dams
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§ 630.801 Purpose.
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§ 630.802 Applicability.
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§ 630.803 Procedures.
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Subpart I [Reserved]
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Subpart J—Traffic Safety in Highway and Street Work Zones
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§ 630.1002 Purpose.
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§ 630.1004 Background.
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§ 630.1006 Policy.
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§ 630.1008 Implementation.
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§ 630.1010 Contents of the agency procedures.
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