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FHWA Order 4420.2

Classification Code Date Office of Primary Interest
4420.2 March 17, 1982 Office of the Secretary of Transportation (OST)

  1. PURPOSE. To transmit procedures for notifying the Office of the Secretary of Transportation (OST) of impending contract and grant funds awards.


    1. Memorandum from the Secretary, Public and Congressional Notification of Contract and Grant Awards, dated April 9, 1981.

    2. Memorandum from the Secretary, Grant and Contract Prenotification of Secretary: Amendments to Public and Congressional Notification Procedures, dated June 18, 1981.


    1. The public and congressional notification procedures are intended to enhance the OST's public and congressional notification process, ensuring that proper emphasis is placed on congressional relations. Under the prenotification procedures, the OST is advised of prospective awards at an early stage of their development, preceding announcement of them to the public and potential recipients.

    2. These procedures represent new requirements and are in addition to the notification requirements specified in Department of Transportation Order 4200.12A, Review of Proposed Contract Awards, dated December 10, 1978, whichapply to (1) selected research and development assistance projects, (2) sole source contract assistance awards exceeding $500,000, and (3) competitive awards exceeding $1,000,000. Such assistance awards and contracts will continue to be reviewed by the Assistant Secretary for Administration.

  4. APPLICABILITY. These procedures apply to the following:

    1. Public and Congressional Notification to OST of Proposed Award

      (1) Allocations of discretionary funds awards for the Federal-aid highway program exceeding $200,000.

      (2) Contracts executed at the Federal Highway Administration (FHWA) Headquarters, and direct Federal program contracts exceeding $200,000.

      (3) Annual FHWA apportionments of Federal-aid funds, determined either by legislative or administrative formula.

      (4) Direct Federal program contracts for client agency work, to the extent prescribed in paragraph 6b.

    2. Prenotification to OST of Prospective Award. Procurement requests exceeding $200,000 for new awards and contract modifications for new work exceeding $200,000.


    1. Associate Administrators

      (1) Public and Congressional Notifications. For each grant award and contract to which these procedures apply, provide information in the format shown in Attachment 1 (Proposed Award of Contract or Grant -RCS HPA-1-01). [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT]

      (2) Prenotifications. For each procurement request, contract and contract modification to which these procedures apply, provide information in the formatshown in Attachment 2 (Prenotification of Contract or Grant/Cooperative Agreement - RCS HPA-01-02). [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT]

    2. Director of Public Affairs (OPA). For public and congressional notifications.

      (1) review for sufficiency each submission describing an impending funds or contract award, and

      (2) inform the Office of the administrator and the Office of Public Affairs, Office of the Secretary (OPA-OST), of each impending award.


    1. Public and Congressional Notifications

      (1) With respect to notifications covered in paragraph 4a(1), (2) and (3) the originating office will:

      1. submit four copies of the required information in the format of Attachment 1, to the FHWA Office of Public Affairs (OPA) prior to the proposed or scheduled award announcement date; [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT]

      2. describe the project fully enough in the "Summary of Work to be Performed" section to enable preparation of a press release or a meaningful description for notifying interested person (additional narrative of up to one page may be attached to the form);

      3. attach one copy of the statement of work, if applicable; and

      4. highlight for the Administrator's consideration, as appropriate, factors which make an award especially noteworthy and which might influence the Secretary to make a congressional notification personally.

      (2) Following approval by the Administrator, the OPA will promptly forward by memorandum two copies of therequired information to the OPA-OST. One copy is provided for the OPA-OST and one copy for the Office of Congressional Affairs, OST. The covering memorandum will contain the following information, as appropriate in each case:

      1. a brief description of the contract or funds award, including in the case of a funds award whether it is discretionary or formula;

      2. a recommendation whether or not there should be a press release, and the reasons in either case; and

      3. if appropriate, why the Secretary, Deputy Secretary, Administrator, or other specific official is recommended as the spokesperson.

      (3) The award may be announced by the originating office following notification of release date from the OPA.

    2. With respect to notifications of contracts for client agency work (paragraph 4a(4)):

      (1) The originating office will complete the following information items in the format of Attachment 1 and submit three copies to the OPA: FROM: (Federal Highway Administration) ADMINISTRATOR/ DESIGNEE SIGNATURE: (Direct Federal Program Administrator)ADMINISTERED BY: (Client agency)NAME/ADDRESS OF CONTRACTOR OR GRANTEE: (Name of Contractor) AMOUNT: (Amount of Contract)

      (2) The OPA will promptly forward two copies of the information listed paragraph 6b(1) to the OPA-OST.

      (3) Announcement of the contract award does not require notification of release date from OPA.

    3. Prenotifications. The originating office will:

      (1) submit a copy of the required information to the Office of the Administrator for review;

      (2) following approval in the Office of theAdministrator, submit one copy of the information to OST (S-10); and

      (3) unless within ten working days following submission to OST (S-10) a written notification disapproving or requesting additional time for review of the proposed contract or modification has been received from that office, proceed with the release of the synopsis and the solicitation on the projected dates.


L. P. Lamm
Executive Director

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