Most of this content was superseded by the December 19, 2013 memo "Stewardship and Oversight Agreement Implementation Guidance"
| SUBJECT | USC | CFR | OTHER LAWS | Applicability | REMARKS | ||
|---|---|---|---|---|---|---|---|
| Construction Contracts | Non-Highway Construction or "Service Contracts"* | ||||||
| NHS | Non-NHS | ||||||
| Prohibition Against Use of Local Hiring Preferences (FHWA-1273 - Sec 1-6) | 635.117(b) | Yes | Yes | No | |||
| Prohibition Against the Use of Convict Labor (FHWA-1273 - Sec 1-6) | 23 USC 114(b) | 23CFR 635.117(a) | Yes | Yes** | No | **Prohibition only applies to projects on Federal-aid highways | |
| Nondiscrimination (FHWA-1273 - Sec II) | 23USC 140, 23 USC 324, 49 USC 322, 42 USC 12101-12213, 42 USC 3601-3619 | 23 CFR 200, 23 CFR 230D, 23 CFR 635.17 28 CFR 35 29 CFR 1630 41 CFR 60 49 CFR 21, 23 28 CFR 50.3 49 CFR 25 | *The Civil Rights Act of 1964, Title VI *The Age Discrimination and Employment Act of 1967 *The Age Discrimination of 1975 *The American Disabilities Act of 1990 | Yes | Yes | Yes | All contracts and subcontracts of $10,000 or more |
| Non-segregated Facilities (FHWA-1273 - Sec III) | 23 CFR 633A 41 CFR 60.1.8 | Title VI | Yes | Yes | Yes | All contracts and subcontracts of $10,000 or more | |
| Payment of Predetermined Minimum Wage (FHWA-1273 - Sec IV) | 23 USC 113, 40 USC 276 (a) & (c) | 23 CFR 635, 309(f), 29 CFR 1, 3, 5 | Davis-Bacon Act Copeland Anti-Kickback Act | Yes | ** | ** | **All Construction contracts on a Federal-aid Highway exceeding $2,000 |
| Statements and Payrolls (FHWA-1273 - Sec V) | 40 USC 276 (a) & (c), 18 USC 874 | 23 CFR 635.118 29 CFR 3, 5 | Davis-Bacon Act Copeland Anti-Kickback Act | Yes | ** | ** | **Same as above |
| Record of Material, Supplies and Labor (FHWA 47) (FHWA-1273 - Sec VI) | 23 CFR 635.126 | **Yes | No | No | **Applies to NHS projects > $ 1M (excl. FA, Beaut, RR etc.) | ||
| Subletting or Assigning the Contract (FHWA-1273 - Sec VII) | 23 CFR 635.116 | Yes | No | No | |||
| Safety: Accident Prevention (OSHA compliance) (FHWA-1273 - Sec VIII) | 40 USC 333 | 23 CFR 635.108 29 CFR 1926 | OSHA | Yes | Yes | Yes | All construction projects |
| False Statements Concerning Highway Projects (FHWA-1273 - Sec IX) | 18 USC 1020 | 23 CFR 633A, 23 CFR 635.119 | Yes | Yes | Yes | All construction projects | |
| Implementation of the Clean Air Act and Federal Water Pollution Control Act (FHWA-1273 - Sec X) | 33 USC 1251 42 USC 1857 | 23 CFR 633A 40 CFR 15 | Yes | Yes | Yes | All contracts and subcontracts of $100,000 or more | |
| Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion (FHWA-1273 - Sec X1) | 23 CFR 635.112(g) 49 CFR 29 | Yes | Yes | Yes | Contracts and subcontracts of $100,000 or more | ||
| Certification Regarding the Use of Contract Funds for Lobbying (FHWA-1273 - Sec X11) | 49 USC 322A | 23 CFR 635.112(g) 49 CFR 20 49 CFR 29 | Yes | Yes | Yes | Contracts and subcontracts exceeding $100,000 | |
| Appalachian Contract Employment Preference | 40 USC Appendix 201 | 23 CFR 633B | Appalachian Regional Development Act | ** | ** | ** | Only APD funded contracts |
| Buy America | STAA Section 165 ISTEA Section 1041(a) & 1048(b) | 23 CFR 635.410 | Yes | Yes | **Yes | **All projects funded under Title 23 | |
| Disadvantaged Business Enterprise | 23 USC 140(b) | 23 CFR 200 & 230B, C, D 49 CFR Part 26 (DBE) 49 CFR Part 21 (Title V1) | **Yes | **Yes | **Yes | **Applicable as necessary to meet State DBE program goals | |
| Indian Preference on Federal-aid Projects (Labor & Employment) | 23 USC 140 42 USC 2000e-2i | 23 CFR 635.117 | ** | ** | ** | **Any project meeting "guidance criteria (see text) | |
| Non-Collusion Certification | 23 USC 112 | 23 CFR 635.112(f) | Yes | Yes | No | ||
| On-the-Job Training | 23 USC 140(a) & (b) | 23 CFR 230A | Yes | ** | ** | **Projects designated by STA in setting State goals | |
| Standardized Changed Conditions Contract Clauses | 23 USC 112(e) | 23 CFR 635.109 | Yes | Yes | No | ||
| Drug - Free Workplace | 49 CFR 29 | ** | ** | ** | DFW certification applies to direct recipients (not construction contractors) | ||
| Publicly Owned Equipment | 23 CFR 635.106 | OMB Circular A-87 | Yes | Yes | No | ||
| Contractor Purchased Equipment for State Ownership | 23 USC 302 | 23 CFR 140 49 CFR Part 18 49 CFR Section 18.3 | Yes | Yes | No | ||
| Equipment Rental Rates | 48 CFR Part 31 | OMB Circular A-87 FAPG NS 23 CFR 635.120 | Yes | Yes | No | ||
| Foreign Contractor and Supplier Restriction | 49 CFR 30 | Yes | Yes | No | |||
| Prohibition Against Convict Produced Materials | 23 USC 114(b) (2) | 23 CFR 635.417 | Yes | ** | No | ** Prohibition only applies to projects on Federal-aid highways | |
| Patented / Proprietary Products | 23 USC 112 | 23 CFR 635.411 | Yes | Yes | No | ||
| State Preference | 23 USC 112 | 23 CFR 635.409 | Yes | Yes | No | ||
| State Owned / Furnished/ Designated Materials | 23 USC 112 | 23 CFR 635.407 | Yes | Yes | No | ||
| Public Agencies in Competition with the Private Sector | 23 USC 112 | 23 CFR 635.112(e) | Yes | Yes | No | ||
| Salvage Credits | 49 CFR 18.36 | Yes | Yes | No | |||
| Warranty | 23 CFR 635.413 | Yes | No | No | |||
| Alternate Bids | 23 CFR 635.411(b) | Yes | No | No | |||
| Incentive / Disincentive Clauses | 23 CFR 635.127(d,f) | Yes | No | No | |||
| Standard Specifications and Plans | 23 CFR 630B | Yes | No | No | |||
| Engineer's Estimate | 23 CFR 630B | Yes | No | No | |||
| Method of Construction (low bid for construction contracts) | 23 USC 112(a) & (b) | 23 CFR 635.104 49 CFR 18.36 | Yes | Yes | No | ||
| Owner Force Account / Cost Effective Justification | 23 CFR 635B | Yes | Yes | No | |||
| Bonding and Prequalification | 23 CFR 635.110 | Yes | Yes** | No | **See limitations in text | ||
| Advertising for Bids | 23 USC 112 | 23 CFR 635.112(d) (e) (f) (g) (h), 49 CFR 18.36 | Yes | ** | No | **See limitations in text | |
| Bid Opening and Tabulation | 23 CFR 635.113(a) | Yes | ** | No | **See Text | ||
| Bid Analysis and Award of Contract | 23 USC 112 | 23 CFR 635.114 | Yes | ** | No | **See Text | |
| Contract Time | 23 CFR 635.121 | Yes | No | No | |||
| Change Orders | 23 CFR 635.120-121 | Yes | No | No | |||
| Claims | 23 CFR 635.124 | Yes | No | No | |||
| Liquidated Damages | 23 CFR 635.127 | Yes | No | No | |||
| Progress Payments | 23CFR 635.122 | Yes | No | No | |||
| Project Supervision and Staffing | 23 USC 114 & 302 | 23 CFR 635.105 | Yes | Yes | No | ||
| Subcontracting | 23 CFR 635.116 | Yes | No | No | |||
| Suspension and Debarment | 49 CFR 29 | Yes | Yes | Yes | |||
| Termination of Contracts | 23 CFR 635.125 | Yes | No | No | |||
| Audits | 23 USC 112(b) (2) (c) | 49 CFR 18.26; and 48 CFR 31, Federal Acquisitions Regulations | OMB Circular A-133 | Yes | Yes | Yes | |
| Records Retention | 49 CFR 18 | Yes | Yes | Yes | |||
*Service contracts are generally contracts which do not conform with the definition of "construction" in 23 USC 101(a)(3) and are not considered to be engineering service contracts subject to 23 CFR 172. Certain intelligent transportation system projects may be considered to be service contracts if they do not "... directly facilitate and control traffic flow" (excerpt from the definition of "construction").
*Non-highway construction contracts may include Transportation Enhancement Projects which are not located on highway right-of-way and are not linked to a Federal-aid highway project (i.e. the project would not exist without another Federal-aid project). Examples include bicycle trails, historic preservation, railroad station rehabilitation projects, etc. (See Mr. Ptak's November 12, 1996 memo.)