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Publication Number:  FHWA-HRT-15-008    Date:  July 2016
Publication Number: FHWA-HRT-15-008
Date: July 2016

 

Analysis of Construction Quality Assurance Procedures on Federally Funded Local Public Agency Projects

APPENDIX L. SUMMARY OF FEDERAL REQUIREMENTS FOR NHS, NON-NHS, AND SERVICE CONTRACTS (“CONSTRUCTION: CONTRACT ADMINISTRATION, FEDERAL REQUIREMENTS SUMMARY,” 2009)

This appendix summarizes Federal requirements for NHS, non-NHS, and service contracts. For each subject area, references are provided for the United States Code, the Code of Federal Regulations, and/or other applicable laws. Applicability to NHS, non-NHS, and non-highway construction (or service contracts) and any additional remarks are also presented.

Table 18. Summary of Federal requirements for NHS, Non-NHS, and service contracts.(28)

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) 23 CFR 635.117(a) — Yes Yes** No **Prohibition only applies to projects on Federal-aid highways
Nondiscrimination
(FHWA-1273—Sec II)		 23 USC 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 > $ 1 million (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 — 23 CFR 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 Regulation 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 at https://www.fhwa.dot.gov/programadmin/contracts/111296.cfm.)

— Indicates not applicable.
USC = United States Code
OSHA = Occupational Health and Safety Administration
STAA = Surface Transportation Assistance Act
ISTEA = Intermodal Surface Transportation Efficiency Act
DBE = Disadvantaged Business Enterprise
DFW = Drug-Free Workplace
OMB = Office of Management and Budget

 

 

 

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