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Section 4: Required Contract Provisions – Federal-Aid Construction Projects

Form FHWA-1273, “Required Contract Provisions – Federal-Aid Construction Contracts,” must be physically incorporated in each construction contract, all subcontracts, and lower-tier subcontracts compensated with federal-aid funds.

Form FHWA 1022:

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Notice to All Personnel Engaged on Federal-Aid Highway Projects [from FHWA 1273; Section VIII False Statements Concerning Highway Projects]

18 USC 1020 reads as follows.

Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false statement, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or

Whoever knowingly makes any false statement, false representation, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or

Whoever knowingly makes any false statement or false representation as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal-aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supplemented;

Shall be fined not more than $10,000 or imprisoned not more than 5 years or both.

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Project Management and Financial Plans:

The district typically begins preparation of a project management plan (PMP) and initial finance plan (IFP) for projects that receive federal financial assistance and are designated as Federal Highway Administration (FHWA) "Major Projects" (=/> $500M). Other Federal-Aid projects at $100M to $500M may also require PMPs and FPs as well as TIFIA projects and Operationally Independent and Non-Concurrent construction projects. The Department's procurement team may also prepare the PMP and IFP if it has not been prepared by the district.

Once a PMP and IFP have been prepared and have received FHWA approval, comply with PMP and IFP guidelines and review and perform Financial Plan Annual Updates (FPAUs) and updates to the PMP as needed.

PMP and IFP requirements for FHWA Major Projects can be found on the FHWA website under "Innovative Program Delivery." Verify that the PMP includes all contract and DB contractor proposal commitments and expectations to assist with oversight and auditing. Ref the Design-Build Contract Administration Manual; Procedure 125. See Chapter 17 for a copy of Procedure 125 and FHWA's "Major Project Financial Plan Guidance".

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