DOT 23 CFR PART 630-2011 PRECONSTRUCTION PROCEDURES.pdf

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1、159 Federal Highway Administration, DOT Pt. 630 procedures should provide for the iden-tification of candidate projects for VE studies early in the development of the States multi-year Statewide Transpor-tation Improvement Program. (1) Project selection. The program may, at the States discretion, es

2、tab-lish specific criteria and guidelines for selecting other highway projects for VE studies. (2) Studies. Value engineering studies shall follow the widely recognized sys-tematic problem-solving analysis proc-ess that is used throughout private in-dustry and governmental agencies. Studies must be

3、performed using multi-disciplined teams of individuals not personally involved in the design of the project. Study teams should con-sist of a team leader and individuals from different speciality areas, such as design, construction, environment, planning, maintenance, right-of-way, and other areas d

4、epending upon the type of project being reviewed. Individ-uals from the public and other agencies may also be included on the team when their inclusion is found to be in the public interest. (i) Each team leader should be trained and knowledgeable in VE tech-niques and be able to serve as the coor-d

5、inator and facilitator of the team. (ii) Studies should be employed as early as possible in the project develop-ment or design process so that accept-ed VE recommendations can be imple-mented without delaying the progress of the project. (iii) Studies should conclude with a formal report outlining t

6、he study teams recommendations for improving the project and reducing its overall cost. (3) Recommendations. The program should include procedures to approve or reject recommendations and ensure the prompt review of VE recommenda-tions by staff offices whose speciality areas are implicated in propos

7、ed changes and by offices responsible for implementing accepted recommenda-tions. Reviews by these offices should be performed promptly to minimize delays to the project. (4) Incentives. The program may in-clude a VE or cost reduction incentive clause in an STDs standard specifica-tions or project s

8、pecial provisions that allows construction contractors to sub-mit change proposals and share the re-sulting cost savings with the STD. (5) Monitoring. The program should include procedures for monitoring the implementation of VE study team rec-ommendations and VE change proposal recommendations subm

9、itted by con-struction contractors. (b) State VE coordinators. Individuals knowledgeable in VE shall be assigned responsibilities to coordinate and mon-itor the STDs program and be actively involved in all phases of the program. (c) Use of consultants. Consultants or firms with experience in VE may

10、be re-tained by STDs to conduct the studies of Federal-aid highway projects or ele-ments of Federal-aid highway projects required under 627.1(a) of this part. Consultants or firms should not be re-tained to conduct studies of their own designs unless they maintain separate and distinct organizationa

11、l separation of their VE and design sections. (d) Funding eligibility. The cost of per-forming VE studies is project related and is, therefore, eligible for reim-bursement with Federal-aid highway funds at the appropriate pro-rata share for the project studied. (e) In the case of a Federal-aid de-si

12、gn-build project meeting the project criteria in 23 CFR 627.1(a), the STDs shall fulfill the value engineering anal-ysis requirement by performing a value engineering analysis prior to the re-lease of the Request for Proposals doc-ument. 62 FR 6868, Feb. 14, 1997, as amended at 67 FR 75924, Dec. 10,

13、 2002 PART 630PRECONSTRUCTION PROCEDURES Subpart AProject Authorization and Agreements Sec. 630.102 Purpose. 630.104 Applicability. 630.106 Authorization to proceed. 630.108 Preparation of agreement. 630.110 Modification of original agreement. 630.112 Agreement provisions. Subpart BPlans, Specificat

14、ions, and Estimates 630.201 Purpose. 630.203 Applicability. VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00169 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-1

15、60 23 CFR Ch. I (4111 Edition) 630.102 630.205 Preparation, submission, and ap-proval. Subpart C Reserved Subpart DGeodetic Markers 630.401 Purpose. 630.402 Policy. 630.403 Initiation of projects. 630.404 Standards. Subparts EF Reserved Subpart GAdvance Construction of Federal-Aid Projects 630.701 P

16、urpose. 630.703 Eligibility. 630.705 Procedures. 630.707 Reserved 630.709 Conversion to a regular Federal-aid project. Subpart HBridges on Federal Dams 630.801 Purpose. 630.802 Applicability. 630.803 Procedures. Subpart I Reserved Subpart JWork Zone Safety and Mobility 630.1002 Purpose. 630.1004 Def

17、initions and explanation of terms. 630.1006 Work zone safety and mobility pol-icy. 630.1008 State-level processes and proce-dures. 630.1010 Significant projects. 630.1012 Project-level procedures. 630.1014 Implementation. 630.1016 Compliance date. Subpart KTemporary Traffic Control Devices 630.1102

18、Purpose. 630.1104 Definitions. 630.1106 Policy and procedures for work zone safety management. 630.1108 Work zone safety management measures and strategies. 630.1110 Maintenance of temporary traffic control devices. AUTHORITY: 23 U.S.C. 106, 109, 112, 115, 315, 320, and 402(a); Sec. 1501 and 1503 of

19、 Public Law 10959, 119 Stat. 1144; Public Law 105178, 112 Stat. 193; Public Law 10459, 109 Stat. 582; Public Law 97424, 96 Stat. 2106; Public Law 90495, 82 Stat. 828; Public Law 85767, 72 Stat. 896; Public Law 84627, 70 Stat. 380; 23 CFR 1.32 and 49 CFR 1.48(b). Subpart AProject Authorization and Ag

20、reements SOURCE: 66 FR 23847, May 10, 2001, unless otherwise noted. 630.102 Purpose. The purpose of this subpart is to pre-scribe policies for authorizing Federal- aid projects through execution of the project agreement required by 23 U.S.C. 106(a)(2). 630.104 Applicability. (a) This subpart is appl

21、icable to all Federal-aid projects unless specifically exempted. (b) Other projects which involve spe-cial procedures are to be approved, or authorized as set out in the imple-menting instructions or regulations for those projects. 630.106 Authorization to proceed. (a)(1) The State transportation de

22、-partment (STD) must obtain an au-thorization 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 author-ization to proceed eithe

23、r through or after the execution of a formal project agreement with the State. The agree-ment can be executed only after appli-cable prerequisite requirements of Fed-eral laws and implementing regula-tions and directives are satisfied. Ex-cept as provided in paragraphs (c)(1) through (c)(4) of this

24、section, the FHWA will obligate Federal funds in the project or group of projects upon execution of the project agreement. (3) The States request that Federal funds be obligated shall be supported by a documented cost estimate that is based on the States best estimate of costs. (4) The State shall m

25、aintain a proc-ess 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 VerDate Mar2010

26、 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00170 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-161 Federal Highway Administration, DOT 630.106 within 90 days after it has

27、determined that the estimated Federal share of project costs has decreased by $250,000 or more. (5) The State shall review, on a quar-terly 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

28、 for the past 12 months) with unexpended Federal obligations and shall revise the Federal funds obli-gated for a project within 90 days to re-flect the current cost estimate, based on the following criteria: (i) Projects inactive for the past 12 months with unexpended balances more than $500,000, (i

29、i) 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 t

30、he 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 States consent during t

31、he August redistribution process, August 1 to September 30. (7) For design-build projects, the exe-cution or modification of the project agreement for final design and physical construction, and authorization to pro-ceed, shall not occur until after the completion of the NEPA process. How-ever, prel

32、iminary design (as defined in 23 CFR 636.103) and preliminary engi-neering may be authorized in accord-ance with this section. (b) Federal funds shall not partici-pate in costs incurred prior to the date of a project agreement except as pro-vided by 23 CFR 1.9(b). (c) The execution of the project ag

33、reement shall be deemed a contrac-tual obligation of the Federal govern-ment under 23 U.S.C. 106 and shall re-quire that appropriate funds be avail-able at the time of authorization for the agreed Federal share, either pro rata or lump sum, of the cost of eligi-ble work to be incurred by the State e

34、xcept as follows: (1) Advance construction projects au-thorized under 23 U.S.C. 115. (2) Projects for preliminary studies for the portion of the preliminary engi-neering and right-of-way (ROW) phase(s) through the selection of a lo-cation. (3) Projects for ROW acquisition in hardship and protective

35、buying situa-tions through the selection of a par-ticular location. This includes ROW ac-quisition within a potential highway corridor under consideration where necessary to preserve the corridor for future highway purposes. Authoriza-tion of work under this paragraph shall be in accord with the pro

36、visions of 23 CFR part 710. (4) In special cases where the Federal Highway Administrator determines it to be in the best interest of the Fed-eral-aid highway program. (d) For projects authorized to proceed under paragraphs (c)(1) through (c)(4) of this section, the executed project agreement shall c

37、ontain 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 sec-tion, subsequent authorizations beyond the locat

38、ion stage shall not be given until appropriate available funds have been obligated to cover eligible costs of the work covered by the previous au-thorization. (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 follo

39、wing manners: (i) Pro rata, with the agreement stat-ing 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 ex-ceed the legal pro rata. (2) The pro-rata or lump sum share may be adjusted before o

40、r shortly after contract award to reflect any sub-stantive change in the bids received as compared to the STDs estimated cost VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00171 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo r

41、eproduction or networking permitted without license from IHS-,-,-162 23 CFR Ch. I (4111 Edition) 630.108 of the project at the time of FHWA au-thorization, provided that Federal funds are available. (3) Federal participation is limited to the agreed Federal share of eligible costs actually incurred

42、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, fi-nancing proposals that result in only minimal amounts of Federal funds in projects should be avoided unless they

43、 are based on sound project manage-ment decisions. (h)(1) Donations of cash, land, mate-rial or services may be credited to the States non-Federal share of the par-ticipating project work in accordance with title 23, U.S.C., and implementing regulations. (2) Contributions may not exceed the total co

44、sts 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; 72 FR 45336, Aug. 14, 2007 630.108 Preparation of agreement. (a) The STD shall prepar

45、e 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 loca-tion including State and project ter-mini; (2) The Federal-aid project num

46、ber; (3) The work covered by the agree-ment; (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 ac-cepts and

47、will comply with the agree-ment provisions set forth in 630.112; (7) A statement that the State stipu-lates 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 exec

48、uted. (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

49、 of the normal percent non-Federal share of the project; (2) The project involves other ar-rangements 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 agree-ment is executed; and (3) The State is claiming finance re-lated costs for bond and other debt in-strument financing (such as payments to States under 23 U.S.C.