Procurement, Management, and Administration of Engineering and Design Related Services, 5819-5823 [2024-01705]
Download as PDF
khammond on DSKJM1Z7X2PROD with PROPOSALS
Federal Register / Vol. 89, No. 20 / Tuesday, January 30, 2024 / Proposed Rules
toxin was accessed, the purpose for
accessing the toxin, the name of the
individual accessing the toxin, the date
the toxin was returned back to storage,
the name of the individual returning the
toxin back to storage, and date of final
disposition of the toxin and by whom;
(vi) Records created under § 121.16;
(vii) For intra-entity transfers (sender
and the recipient are covered by the
same certificate of registration), name of
the toxin, the date of the transfer, the
number of vials or quantity of the toxin
transferred, the name of the sender, and
the name of the recipient; and
(viii) Records created under § 121.19.
*
*
*
*
*
(8) For select agents or material
containing select agents or regulated
nucleic acids that can produce
infectious forms of any select agent
virus that have been subjected to a
validated inactivation procedure or a
validated viable select agent removal
procedure:
(i) A written description of the
validated inactivation procedure or
validated viable select agent removal
procedure used, including validation
data;
(ii) A written description of the
viability testing protocol used;
(iii) A written description of the
investigation conducted by the entity’s
responsible official involving a
validated inactivation or validated
viable select agent removal failure and
the corrective actions taken;
(iv) The name of each individual
performing the validated select agent
inactivation or validated viable select
agent removal;
(v) The date(s) the validated
inactivation or validated viable select
agent removal was completed;
(vi) The location where the validated
inactivation or validated viable select
agent removal was performed; and
(vii) A signed certificate that must:
(A) Include the date(s) the validated
inactivation or validated viable select
agent removal was completed.
(B) Include the validated inactivation
procedure or validated viable select
agent removal procedure used.
(C) Include the name of the principal
investigator.
(D) Include an attestation statement
certifying that the information on the
certificate is true, complete, and
accurate, and that the validated
inactivation or validated viable select
agent removal was performed as
described in paragraph (a)(8)(i) of this
section.
(E) Be signed by the principal
investigator or designee within 7 days
after completion of the validated
VerDate Sep<11>2014
16:37 Jan 29, 2024
Jkt 262001
inactivation or validated viable select
agent removal. Such designee must be
listed on the entity’s registration and
have the knowledge and expertise to
provide scientific and technical
direction regarding the validated
inactivation procedure or the validated
viable select agent removal procedure to
which the certificate refers.
(F) Be maintained for as long as the
material is in the possession of the
registered individual or entity plus an
additional 3 years.
(G) A copy of the certificate must
accompany all transfers of inactivated or
select agent removed material including
intra-entity transfers.
*
*
*
*
*
(d) All records created in accordance
with the regulations of this part must be
maintained for 3 years unless otherwise
stated.
§ 121.19
[Amended]
36. Amend § 121.19, in paragraphs
(a)(1) introductory text and (b)(1)
introductory text, by removing the
words ‘‘telephone, facsimile, or email’’
and adding the words ‘‘eFSAP
information system, telephone, or
email’’ in their place.
■
Done in Washington, DC, this 19th day of
January 2024.
Jennifer Moffitt,
Undersecretary, Marketing and Regulatory
Programs, USDA.
[FR Doc. 2024–01501 Filed 1–26–24; 8:45 am]
BILLING CODE 3410–34–P
DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
23 CFR Part 172
[FHWA Docket No. FHWA–2023–0046]
RIN 2125–AG12
Procurement, Management, and
Administration of Engineering and
Design Related Services
Federal Highway
Administration (FHWA), U.S.
Department of Transportation (DOT).
ACTION: Notice of proposed rulemaking
(NPRM); request for comments.
AGENCY:
This proposed rule would
update the regulations governing the
procurement, management, and
administration of engineering and
design related services directly related
to a highway construction project that is
funded through a discretionary grant
administered by FHWA. The intent of
the proposed rule is to clarify how the
regulations apply to recipients other
SUMMARY:
PO 00000
Frm 00025
Fmt 4702
Sfmt 4702
5819
than State transportation agencies
(STA). This proposed rulemaking would
also make technical changes and
corrections to improve the
administration of these regulations.
DATES: Comments must be received on
or before April 1, 2024. Late comments
will be considered to the extent
practicable.
ADDRESSES: You may submit comments
by any of the following methods:
• Fax: (202) 493–2251;
• Mail: U.S. Department of
Transportation, Docket Operations, M–
30, West Building Ground Floor, Room
W12–140, 1200 New Jersey Avenue SE,
Washington, DC 20590;
• Hand Delivery: U.S. Department of
Transportation, Docket Operations,
West Building Ground Floor, Room
W12–140, 1200 New Jersey Avenue SE,
Washington, DC 20590, between 9 a.m.
and 5 p.m. ET, Monday through Friday,
except Federal holidays; or
• Electronically through the Federal
eRulemaking Portal:
www.regulations.gov. Follow the online
instructions for submitting comments.
FOR FURTHER INFORMATION CONTACT: Mr.
John McAvoy, Consultant Services
Program Manager, FHWA Office of
Preconstruction, Construction, and
Pavements, (202) 853–5593, or via email
at john.mcavoy@dot.gov, or Mr. Lev
Gabrilovich, Senior Attorney Advisor,
FHWA Office of the Chief Counsel,
(202) 366–3813, or via email at
lev.gabrilovich@dot.gov. Office hours for
the FHWA are from 8 a.m. to 4:30 p.m.,
ET, Monday through Friday, except
Federal holidays.
SUPPLEMENTARY INFORMATION:
Electronic Access and Filing
This document and all comments
received may be viewed online through
the Federal eRulemaking portal at
www.regulations.gov. The website is
available 24 hours each day, 366 days
this year. Please follow the instructions.
Electronic submission and retrieval help
and guidelines are available under the
help section of the website.
An electronic copy of this document
may also be downloaded by accessing
the Office of the Federal Register’s home
page at www.FederalRegister.gov, or the
Government Printing Office’s website at
www.GovInfo.gov.
All comments received before the
close of business on the comment
closing date indicated above will be
considered and will be available for
examination in the docket at the above
address. Comments received after the
comment closing date will be filed in
the docket and will be considered to the
extent practicable. In addition to late
E:\FR\FM\30JAP1.SGM
30JAP1
5820
Federal Register / Vol. 89, No. 20 / Tuesday, January 30, 2024 / Proposed Rules
khammond on DSKJM1Z7X2PROD with PROPOSALS
comments, FHWA will also continue to
file relevant information in the docket
as it becomes available after the
comment period closing date and
interested persons should continue to
examine the docket for new material. A
final rule may be published at any time
after the close of the comment period
and after FHWA has had the
opportunity to review the comments
submitted.
Background and Legal Authority
Through this NPRM, FHWA proposes
to modify existing regulations for the
administration of engineering and
design related service contracts to
clarify how the regulations apply to
recipients other than STAs that are
awarded FHWA-administered
discretionary grants and to make
technical amendments to improve the
regulations. The FHWA, through the
Federal-aid Highway Program (FAHP)
and other programs administered under
chapter 1 of title 23, United States Code
(U.S.C.), provides financial resources
and technical assistance to State and
local governments and other public
authorities for planning, design,
constructing, operating, preserving, and
improving public roads and other
surface transportation infrastructure.
The primary authority for the
procurement, management, and
administration of engineering and
design related services funded with a
highway construction grant
administered under chapter 1 of 23
U.S.C. is codified at 23 U.S.C. 112(b)(2).
Generally, each contract for engineering
and design related services paid for with
Federal funds and leading to a
construction project must be awarded in
accordance with the qualificationsbased selection procedures prescribed
in the Brooks Act (40 U.S.C. 1101 et
seq.) and must accept and apply
consultant indirect cost rates
established by a cognizant Federal or
State agency in accordance with the
Federal Acquisition Regulation (FAR)
cost principles (48 CFR part 31). The
FHWA promulgated 23 CFR part 172 as
a means of implementing the Brooks
Act. Part 172 defines and illustrates
specific responsibilities of an STA and
its subrecipients (entities that receive a
subaward from their STA).
The Infrastructure Investment and
Jobs Act, (Pub. L. 117–58) also known
as the ‘‘Bipartisan Infrastructure Law,’’
(BIL) provided $550 billion over fiscal
years 2022 through 2026 in new Federal
investment in roads, bridges, mass
transit, water infrastructure, resilience
improvements, and broadband. The BIL
provides approximately $350 billion for
Federal highway programs.
VerDate Sep<11>2014
16:37 Jan 29, 2024
Jkt 262001
Statement of the Problem
Most of the funding in the BIL for
highway projects is distributed to STAs
based on formulas specified in Federal
law. However, the BIL also provides
funding through a wide range of
discretionary grant programs, including
the ‘‘Rebuilding American Infrastructure
with Sustainability and Equity’’ (RAISE)
program, the ‘‘Nationally Significant
Multimodal Freight and Highway
Projects’’ (INFRA) program, the
‘‘National Infrastructure Project
Assistance Program’’ (MEGA), the ‘‘Safe
Streets and Roads for All’’ (SS4A)
program, and others. Each of these
discretionary grant programs has its
own eligibility requirements, but for
many programs, entities other than
STAs are eligible to apply for and
receive grant awards. For example,
under the RAISE grant program, in
addition to STAs, eligible entities
include U.S. territories, Metropolitan
Planning Organizations (MPO), federally
recognized Indian Tribes, local
governments, and other public
authorities.1 The SS4A grants are only
available to MPOs, political
subdivisions of a State, and federally
recognized Indian Tribes.2
When a recipient other than an STA
is awarded a discretionary grant under
the programs described above, the
award is made through an executed
grant agreement with DOT rather than
as a subaward from the STA. This nonSTA recipient is responsible for
compliance with all Federal regulations
pertaining to the grant, including those
covering the procurement of
professional services. In their current
form, the regulations at 23 CFR part 172
could be interpreted as applying to all
recipients of discretionary grants
administered under chapter 1 of 23
U.S.C., not just STAs. Consequently,
non-STA recipients would be
responsible for compliance with part
172, including the requirement that
recipients prepare and maintain written
policies and procedures for the
procurement, management, and
administration of engineering and
design related consultant services.
However, the requirements of 23 U.S.C.
112(b)(2), and therefore 23 CFR part
172, apply only to the procurement,
management, and administration of
engineering and design related
consultant services for projects ‘‘under
[the] supervision’’ of an STA.3 This
includes projects administered by
entities other than STAs when these
1 49
U.S.C. 6702(a)(2).
sec. 24112(a)(2).
3 23 U.S.C. 112(a).
2 BIL,
PO 00000
Frm 00026
Fmt 4702
Sfmt 4702
entities are subrecipients of STAs but
not when these entities are recipients of
an award directly from DOT, and FHWA
did not intend for 23 CFR part 172 to
apply beyond the scope of 23 U.S.C.
112(b)(2). Non-STA recipients that
receive or are eligible to receive
discretionary grant funds directly from
FHWA do not necessarily have FHWAapproved written policies and
procedures in place for the procurement
of professional services that comply
with 23 CFR part 172, and creating these
policies and procedures from scratch
would create an undue burden on nonSTA recipients and FHWA. By
removing any ambiguity regarding the
applicability of 23 CFR part 172, this
NPRM proposes to clarify the
responsibilities of the non-STA
recipients to remain compliant with
Federal regulations while reducing
unnecessary regulatory burden.
Section-by-Section Discussion of the
Proposals
The FHWA proposes to revise 23 CFR
part 172–Administration of Engineering
and Design Related Service Contracts as
follows:
Authority Citation
The FHWA proposes to revise the
authority citation for 23 CFR part 172 to
remove the reference to 23 U.S.C. 402.
Part 172 no longer applies to programs
and activities authorized under 23
U.S.C. 402, and the remaining
authorities cited provide the necessary
authority for 23 CFR part 172; therefore,
citation to 23 U.S.C. 402 is unnecessary.
Section 172.1—Purpose and
Applicability
Section 172.1 would be amended to
clarify that the provisions of 23 CFR
part 172 apply only to STAs and their
subrecipients.
Section 172.3—Definitions
In section 172.3, the definitions for
the terms ‘‘Consultant’’ and
‘‘Subconsultant’’ would be modified to
remove outdated citations to 2 CFR part
200 that formerly contained definitions
of ‘‘Recipient’’ and ‘‘Subrecipient.’’ The
proposed rule would add definitions for
‘‘Recipient’’ and ‘‘Subrecipient’’ and
give those terms the same meaning as
they are defined in 2 CFR 200.1. Finally,
the definition of ‘‘Contracting agencies’’
would be revised to eliminate reference
to ‘‘other recipients.’’
Section 172.5—Program Management
and Oversight
Section 172.5 would be amended to
remove the references to ‘‘recipient’’
and ‘‘other recipient’’ to clarify that the
E:\FR\FM\30JAP1.SGM
30JAP1
Federal Register / Vol. 89, No. 20 / Tuesday, January 30, 2024 / Proposed Rules
regulations apply only to STAs and
their subrecipients. Also, a reference to
a provision in 2 CFR part 200 would be
revised to reflect the current location of
that provision in 2 CFR part 200.
Section 172.7—Procurement Methods
and Procedures
Section 172.7 would be amended to
remove the references to ‘‘recipient’’
and ‘‘other recipient’’ to clarify the
applicability of the regulations only to
STAs and their subrecipients. Also,
references to a provision in 2 CFR part
200 would be revised to reflect the
current location of that provision in 2
CFR part 200.
Section 172.9—Procurement Methods
and Procedures
Section 172.9 would be amended to
remove a reference to ‘‘recipient’’ to
clarify the applicability of the
regulations only to STAs and their
subrecipients. A reference to a provision
in 2 CFR part 200 would be revised to
reflect the current location of that
provision in 2 CFR part 200. Also, a
typographical error in an internal crossreference in § 172.9(a)(3)(iv)(B)(1) will
be corrected. The regulation in this
paragraph currently references
§ 172.5(a)(1)(ii); the corrected reference
would read § 172.7(a)(1)(ii).
Section 172.11—Allowable Costs and
Oversight
Section 172.11 would be amended to
remove references to ‘‘recipient’’ and
‘‘other recipient,’’ and where
appropriate, substitute ‘‘STA’’ to clarify
that the regulations apply only to STAs
and their subrecipients.
khammond on DSKJM1Z7X2PROD with PROPOSALS
Rulemaking Analyses and Notices
Executive Order 12866 (Regulatory
Planning and Review), Executive Order
13563 (Improving Regulation and
Regulatory Review), and DOT
Regulatory Policies and Procedures
The FHWA has considered the
impacts of this rule under Executive
Order (E.O.) 12866 (58 FR 51735, Oct.
4, 1993), Regulatory Planning and
Review, as amended by E.O. 14094
(‘‘Modernizing Regulatory Review’’),
and DOT’s regulatory policies and
procedures. This proposed rule
complies with E.O. 12866 and E.O.
13563 to improve regulation. The Office
of Information and Regulatory Affairs
within the Office of Management and
Budget (OMB) has determined that this
rulemaking is not a significant
regulatory action under section 3(f) of
E.O. 12866. Accordingly, OMB has not
reviewed it under that E.O.
It is anticipated that the proposed rule
would not be economically significant
VerDate Sep<11>2014
16:37 Jan 29, 2024
Jkt 262001
for purposes of E.O. 12866. The
proposed rule would not have an annual
effect on the economy of $200 million
or more. The proposed rule would not
adversely affect in a material way the
economy, any sector of the economy,
productivity, competition, or jobs. In
addition, the proposed changes would
not interfere with any action taken or
planned by another Agency and would
not materially alter the budgetary
impact of any entitlements, grants, user
fees, or loan programs.
Regulatory Flexibility Act
In compliance with the Regulatory
Flexibility Act (Pub. L. 96–354, 5 U.S.C.
601–612), FHWA has evaluated the
effects of this proposed rule on small
entities, such as local governments and
businesses. Based on the evaluation,
FHWA anticipates that this action
would not have a significant economic
impact on a substantial number of small
entities. The proposed rule would
clarify the applicability of the
requirements for the procurement,
management, and administration of
engineering and design related services
that use FHWA-administered funding
and are directly related to a construction
project. Specifically, the proposed rule
would clarify that the regulations in 23
CFR part 172 do not apply to recipients
of FHWA-administered grants that are
not STAs. Consequently, the economic
impact of this proposed rule on small
entities is expected to be minimal.
Therefore, FHWA certifies that the
proposed action would not have a
significant economic impact on a
substantial number of small entities.
Unfunded Mandates Reform Act of 1995
This proposed rule would not impose
unfunded mandates as defined by the
Unfunded Mandates Reform Act of 1995
(Pub. L. 104–4, 109 Stat. 48). The
Unfunded Mandates Reform Act of 1995
(section 202(a)) requires Federal
Agencies to prepare a written statement,
which includes estimates of anticipated
impacts, before proposing ‘‘any rule that
includes any Federal mandate that may
result in the expenditure by State, local,
and tribal governments, in the aggregate,
or by the private sector, of $100,000,000
or more (adjusted annually for inflation)
in any one year.’’ The current threshold
after adjustment for inflation is $183
million, using the most current (2023)
Implicit Price Deflator for the Gross
Domestic Product. This rule will not
result in the expenditure by State, local,
and Tribal governments, in the
aggregate, or by the private sector, of
$183 million or more in any one year (2
U.S.C. 1532). Further, in compliance
with the Unfunded Mandates Reform
PO 00000
Frm 00027
Fmt 4702
Sfmt 4702
5821
Act of 1995, FHWA will evaluate any
regulatory action that might be proposed
in subsequent stages of the proceeding
to assess the effects on State, local, and
Tribal governments and the private
sector. In addition, the definition of
‘‘Federal Mandate’’ in the Unfunded
Mandates Reform Act excludes financial
assistance of the type in which State,
local, or tribal governments have
authority to adjust their participation in
the program in accordance with changes
made in the program by the Federal
Government. The FAHP and other
FHWA-administered financial
assistance impacted by this proposed
rule permit this type of flexibility.
Executive Order 13132 (Federalism
Assessment)
The E.O. 13132 requires Agencies to
ensure meaningful and timely input by
State and local officials in the
development of regulatory policies that
may have a substantial, direct effect on
the States, on the relationship between
the national government and the States,
or on the distribution of power and
responsibilities among the various
levels of government. The FHWA has
analyzed this proposed rule in
accordance with the principles and
criteria contained in E.O. 13132. The
FHWA has determined that this
proposed rule would not have sufficient
federalism implications to warrant the
preparation of a federalism assessment.
The FHWA has also determined that
this proposed rule would not preempt
any State law or State regulation or
affect the States’ ability to discharge
traditional State governmental
functions.
Paperwork Reduction Act
Federal Agencies must obtain
approval from OMB for each collection
of information they conduct, sponsor, or
require through regulations. This
proposed action does not contain a
collection of information requirement
for the purpose of the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501,
et seq.).
National Environmental Policy Act
The FHWA has analyzed this rule
pursuant to the National Environmental
Policy Act (NEPA) and has determined
that it is categorically excluded under
23 CFR 771.117(c)(20), which applies to
the promulgation of rules, regulations,
and directives. Categorically excluded
actions meet the criteria for categorical
exclusions under the Council on
Environmental Quality regulations and
under 23 CFR 771.117(a) and normally
do not require any further NEPA
approvals by FHWA. This proposed rule
E:\FR\FM\30JAP1.SGM
30JAP1
5822
Federal Register / Vol. 89, No. 20 / Tuesday, January 30, 2024 / Proposed Rules
would clarify the applicability of FHWA
regulations governing the requirements
for the procurement, management, and
administration of engineering and
design related services that use FHWAadministered grant funding and are
directly related to a construction
project. The FHWA does not anticipate
any adverse environmental impacts
from this rule; moreover, no unusual
circumstances are present under 23 CFR
771.117(b).
Executive Order 13175 (Tribal
Consultation)
The FHWA has analyzed this
proposed action under E.O. 13175,
dated November 6, 2000, and believes
that this proposed action would not
have substantial direct effects on one or
more Indian Tribes, would not impose
substantial direct compliance costs on
Indian Tribal governments, and would
not preempt Tribal law. This proposed
rule would clarify the applicability of
FHWA regulations governing the
requirements for the procurement,
management, and administration of
engineering and design related services
that use FHWA-administered grant
funding and are directly related to a
construction project. As such, this
proposed rule would not impose any
direct compliance requirements on
Indian Tribal governments nor would it
have any economic or other impacts on
the viability of Indian Tribes. Therefore,
a Tribal summary impact statement is
not required.
Executive Order 12898 (Environmental
Justice)
The E.O. 12898 requires that each
Federal Agency make achieving
environmental justice part of its mission
by identifying and addressing, as
appropriate, disproportionately high
and adverse human health or
environmental effects of its programs,
policies, and activities on minorities
and low-income populations. The
FHWA has determined that this
proposed rule does not raise any
environmental justice issues.
khammond on DSKJM1Z7X2PROD with PROPOSALS
Regulation Identification Number
A regulation identification number
(RIN) is assigned to each regulatory
action listed in the Unified Agenda of
Federal Regulations. The Regulatory
Information Service Center publishes
the Unified Agenda in April and
October of each year. The RIN number
contained in the heading of this
document can be used to cross-reference
this action with the Unified Agenda.
VerDate Sep<11>2014
16:37 Jan 29, 2024
Jkt 262001
List of Subjects in 23 CFR Part 172
Government procurement, Grant
programs—transportation, Highways
and roads.
Shailen P. Bhatt,
Administrator, Federal Highway
Administration.
For the reasons stated in the
preamble, FHWA proposes to amend
title 23, Code of Federal Regulations,
part 172, as follows:
PART 172—PROCUREMENT,
MANAGEMENT, AND
ADMINISTRATION OF ENGINEERING
AND DESIGN RELATED SERVICES
1. The authority citation for part 172
is revised to read as follows:
■
Authority: 23 U.S.C. 106, 112, 114(a), 302,
and 315; 40 U.S.C. 1101 et seq.; 48 CFR part
31; 49 CFR 1.48(b); and 2 CFR part 200.
2. Amend § 172.1 by revising the
fourth sentence and adding a sentence
at the end of the section. The revision
and addition read as follows:
■
§ 172.1
Purpose and applicability.
* * * State transportation agencies
(STA) shall ensure that subrecipients
comply with the requirements of this
part and the Uniform Administrative
Requirements, Cost Principles and
Audit Requirements For Federal Awards
rule. * * * The provisions of this part
shall only apply to State transportation
agencies and their subrecipients.
■ 3. Amend § 172.3 as follows:
■ a. Revise the definitions for
Consultant and Contracting agencies;
■ b. Add a definition in alphabetical
order for Recipient;
■ c. Revise the definition of
Subconsultant; and
■ b. Add a definition in alphabetical
order for Subrecipient.
The revisions and additions read as
follows:
§ 172.3
Definitions.
*
*
*
*
*
Consultant means the individual or
firm providing engineering and design
related services as a party to a contract
with a recipient or subrecipient of
Federal assistance.
*
*
*
*
*
Contracting agencies means a State
transportation agency or a procuring
agency of the State acting in conjunction
with and at the direction of the State
transportation agency and all
subrecipients that are responsible for
the procurement, management, and
administration of engineering and
design related services.
*
*
*
*
*
PO 00000
Frm 00028
Fmt 4702
Sfmt 4702
Recipient has the same meaning as
defined in 2 CFR 200.1.
*
*
*
*
*
Subconsultant means the individual
or firm contracted by a consultant to
provide engineering and design related
or other types of services that are part
of the services which the consultant is
under contract to provide to a recipient
or subrecipient (as defined in of Federal
assistance.
Subrecipient has the same meaning as
defined in 2 CFR 200.1.
■ 4. Amend § 172.5 by revising
paragraph (a) introductory text, the third
sentence of paragraph (a)(4), paragraph
(b)(1) introductory text, the second and
third sentences of paragraph (c)
introductory text, and paragraph (c)(15)
to read as follows:
§ 172.5 Program management and
oversight.
(a) STA responsibilities. STAs shall
develop and sustain organizational
capacity and provide the resources
necessary for the procurement,
management, and administration of
engineering and design related
consultant services, reimbursed in
whole or in part with FAHP funding, as
specified in 23 U.S.C. 302(a).
Responsibilities shall include the
following:
*
*
*
*
*
(4) * * * Nothing in this part shall be
taken as relieving the STA of its
responsibility under laws and
regulations applicable to the FAHP for
the work performed under any
consultant agreement or contract
entered into by a subrecipient.
(b) * * *
(1) Adopting written policies and
procedures prescribed by the awarding
STA for the procurement, management,
and administration of engineering and
design related consultant services in
accordance with applicable Federal and
State laws and regulations; or when not
prescribed, shall include:
*
*
*
*
*
(c) * * * The FHWA shall approve
the written policies and procedures,
including all revisions to such policies
and procedures, of the STA to assess
compliance with applicable
requirements. The STA shall approve
the written policies and procedures,
including all revisions to such policies
and procedures, of a subrecipient to
assess compliance with applicable
requirements. * * *
*
*
*
*
*
(15) Retaining supporting
programmatic and contract records, as
E:\FR\FM\30JAP1.SGM
30JAP1
Federal Register / Vol. 89, No. 20 / Tuesday, January 30, 2024 / Proposed Rules
specified in 2 CFR 200.334 and the
requirements of this part;
*
*
*
*
*
■ 5. Amend § 172.7 by revising
paragraph (a)(1)(iv)(F), the first sentence
of paragraph (a)(1)(v)(E), paragraph
(b)(1)(i), and the first sentence of
paragraph (b)(5)(i) to read as follows:
§ 172.7 Procurement methods and
procedures.
(a) * * *
(1) * * *
(iv) * * *
(F) The contracting agency shall retain
supporting documentation of the
solicitation, proposal, evaluation, and
selection of the consultant in
accordance with this section and the
provisions of 2 CFR 200.334.
(v) * * *
(E) The contracting agency shall retain
documentation of negotiation activities
and resources used in the analysis of
costs to establish elements of the
contract in accordance with the
provisions of 2 CFR 200.334. * * *
*
*
*
*
*
(b) * * *
(1) * * *
(i) STAs and their subrecipients shall
comply with procurement requirements
established in State and local laws,
regulations, policies, and procedures
that are not addressed by or are not in
conflict with applicable Federal laws
and regulations, as specified in 2 CFR
part 1201.
*
*
*
*
*
(5) * * *
(i) When FAHP funds participate in a
consultant services contract, the
contracting agency shall receive
approval from FHWA, or the STA, as
appropriate, before utilizing a
consultant to act in a management
support role for the contracting agency;
unless an alternate approval procedure
has been approved. * * *
*
*
*
*
*
■ 6. Amend § 172.9 by revising
paragraph (a)(3)(iv)(B)(1), paragraph
(c)(1)(iv), and paragraph (d)(1)(vii) to
read as follows:
khammond on DSKJM1Z7X2PROD with PROPOSALS
§ 172.9
Contracts and administration.
(a) * * *
(3) * * *
(iv) * * *
(B) * * *
(1) Through an additional
qualifications-based selection
procedure, which may include, but does
not require, a formal RFP in accordance
with § 172.7(a)(1)(ii); or
*
*
*
*
*
(c) * * *
(1) * * *
VerDate Sep<11>2014
16:37 Jan 29, 2024
Jkt 262001
(iv) Access by the STA, subrecipient,
FHWA, the U.S. Department of
Transportation’s Inspector General, the
Comptroller General of the United
States, or any of their duly authorized
representatives to any books,
documents, papers, and records of the
consultant which are directly pertinent
to that specific contract for the purpose
of making audit, examination, excerpts,
and transcriptions;
*
*
*
*
*
(d) * * *
(1) * * *
(vii) Documenting contract
monitoring activities and maintaining
supporting contract records, as specified
in 2 CFR 200.334.
*
*
*
*
*
■ 7. Amend § 172.11 by revising
paragraph (b)(1)(iii) introductory text,
the second and third sentences of
paragraph (c)(2) introductory text, the
second sentence of paragraph (c)(3)(i),
and the second and third sentences of
paragraph (d) to read as follows:
§ 172.11
Allowable costs and oversight.
*
*
*
*
*
(b) * * *
(1) * * *
(iii) When the indirect cost rate has
not been established by a cognizant
agency in accordance with paragraph
(b)(1)(ii) of this section, the STA shall
perform an evaluation of a consultant’s
or subconsultant’s indirect cost rate
prior to acceptance and application of
the rate to contracts administered by the
STA or its subrecipients. The evaluation
performed by STAs to establish or
accept an indirect cost rate shall provide
assurance of compliance with the
Federal cost principles and may consist
of one or more of the following:
*
*
*
*
*
(c) * * *
(2) * * * An STA may employ a riskbased oversight process to provide
reasonable assurance of consultant
compliance with Federal cost principles
on FAHP funded contracts administered
by the STA or its subrecipients. If
employed, this risk-based oversight
process shall be incorporated into STA
written policies and procedures, as
specified in § 172.5(c). * * *
*
*
*
*
*
(3) * * *
(i) * * * The certification
requirement shall apply to all indirect
cost rate proposals submitted by
consultants and subconsultants for
acceptance by an STA. * * *
*
*
*
*
*
(d) * * * FHWA, STAs, and
subrecipients of FAHP funds may share
audit information in complying with the
PO 00000
Frm 00029
Fmt 4702
Sfmt 4702
5823
STA’s or subrecipient’s acceptance of a
consultant’s indirect cost rates pursuant
to 23 U.S.C. 112 and this part provided
that the consultant is given notice of
each use and transfer. Audit information
shall not be provided to other
consultants or any other government
agency not sharing the cost data, or to
any firm or government agency for
purposes other than complying with the
STA’s or subrecipient’s acceptance of a
consultant’s indirect cost rates pursuant
to 23 U.S.C. 112 and this part without
the written permission of the affected
consultants. * * *
[FR Doc. 2024–01705 Filed 1–29–24; 8:45 am]
BILLING CODE 4910–22–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
[Docket No. CDC–2020–0024]
42 CFR Part 73
RIN 0920–AA71
Possession, Use, and Transfer of
Select Agents and Toxins; Biennial
Review of the List of Select Agents and
Toxins
Centers for Disease Control and
Prevention (CDC), Department of Health
and Human Services (HHS).
ACTION: Notice of proposed rulemaking.
AGENCY:
In accordance with the Public
Health Service Act, the Department of
Health and Human Services (HHS)
Centers for Disease Control and
Prevention (CDC) reviewed the HHS list
of select agents and toxins with the
potential to pose a severe threat to
public health and safety. HHS/CDC
proposes to amend the list by removing
three biological agents, raising one
toxin’s exclusion amounts, renaming a
virus, designating a current agent as a
Tier 1 agent, and removing the
designation of Tier 1 status from one
agent. HHS/CDC also proposes to clarify
language and add requirements as
discussed below.
DATES: Submit written or electronic
comments by April 1, 2024.
ADDRESSES: You may submit comments,
identified by Docket No. CDC–2020–
0024 or Regulation Identifier Number
(RIN) 0920–AA71, by any of the
following methods:
• Federal eRulemaking Portal:
https://www.regulations.gov. Follow the
instructions for submitting comments.
• Mail: Division of Regulatory
Science and Compliance, Centers for
Disease Control and Prevention, 1600
Clifton Road NE, Mailstop H21–4,
SUMMARY:
E:\FR\FM\30JAP1.SGM
30JAP1
Agencies
[Federal Register Volume 89, Number 20 (Tuesday, January 30, 2024)]
[Proposed Rules]
[Pages 5819-5823]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-01705]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
23 CFR Part 172
[FHWA Docket No. FHWA-2023-0046]
RIN 2125-AG12
Procurement, Management, and Administration of Engineering and
Design Related Services
AGENCY: Federal Highway Administration (FHWA), U.S. Department of
Transportation (DOT).
ACTION: Notice of proposed rulemaking (NPRM); request for comments.
-----------------------------------------------------------------------
SUMMARY: This proposed rule would update the regulations governing the
procurement, management, and administration of engineering and design
related services directly related to a highway construction project
that is funded through a discretionary grant administered by FHWA. The
intent of the proposed rule is to clarify how the regulations apply to
recipients other than State transportation agencies (STA). This
proposed rulemaking would also make technical changes and corrections
to improve the administration of these regulations.
DATES: Comments must be received on or before April 1, 2024. Late
comments will be considered to the extent practicable.
ADDRESSES: You may submit comments by any of the following methods:
Fax: (202) 493-2251;
Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE, Washington, DC 20590;
Hand Delivery: U.S. Department of Transportation, Docket
Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey
Avenue SE, Washington, DC 20590, between 9 a.m. and 5 p.m. ET, Monday
through Friday, except Federal holidays; or
Electronically through the Federal eRulemaking Portal:
www.regulations.gov. Follow the online instructions for submitting
comments.
FOR FURTHER INFORMATION CONTACT: Mr. John McAvoy, Consultant Services
Program Manager, FHWA Office of Preconstruction, Construction, and
Pavements, (202) 853-5593, or via email at [email protected], or Mr.
Lev Gabrilovich, Senior Attorney Advisor, FHWA Office of the Chief
Counsel, (202) 366-3813, or via email at [email protected].
Office hours for the FHWA are from 8 a.m. to 4:30 p.m., ET, Monday
through Friday, except Federal holidays.
SUPPLEMENTARY INFORMATION:
Electronic Access and Filing
This document and all comments received may be viewed online
through the Federal eRulemaking portal at www.regulations.gov. The
website is available 24 hours each day, 366 days this year. Please
follow the instructions. Electronic submission and retrieval help and
guidelines are available under the help section of the website.
An electronic copy of this document may also be downloaded by
accessing the Office of the Federal Register's home page at
www.FederalRegister.gov, or the Government Printing Office's website at
www.GovInfo.gov.
All comments received before the close of business on the comment
closing date indicated above will be considered and will be available
for examination in the docket at the above address. Comments received
after the comment closing date will be filed in the docket and will be
considered to the extent practicable. In addition to late
[[Page 5820]]
comments, FHWA will also continue to file relevant information in the
docket as it becomes available after the comment period closing date
and interested persons should continue to examine the docket for new
material. A final rule may be published at any time after the close of
the comment period and after FHWA has had the opportunity to review the
comments submitted.
Background and Legal Authority
Through this NPRM, FHWA proposes to modify existing regulations for
the administration of engineering and design related service contracts
to clarify how the regulations apply to recipients other than STAs that
are awarded FHWA-administered discretionary grants and to make
technical amendments to improve the regulations. The FHWA, through the
Federal-aid Highway Program (FAHP) and other programs administered
under chapter 1 of title 23, United States Code (U.S.C.), provides
financial resources and technical assistance to State and local
governments and other public authorities for planning, design,
constructing, operating, preserving, and improving public roads and
other surface transportation infrastructure. The primary authority for
the procurement, management, and administration of engineering and
design related services funded with a highway construction grant
administered under chapter 1 of 23 U.S.C. is codified at 23 U.S.C.
112(b)(2). Generally, each contract for engineering and design related
services paid for with Federal funds and leading to a construction
project must be awarded in accordance with the qualifications-based
selection procedures prescribed in the Brooks Act (40 U.S.C. 1101 et
seq.) and must accept and apply consultant indirect cost rates
established by a cognizant Federal or State agency in accordance with
the Federal Acquisition Regulation (FAR) cost principles (48 CFR part
31). The FHWA promulgated 23 CFR part 172 as a means of implementing
the Brooks Act. Part 172 defines and illustrates specific
responsibilities of an STA and its subrecipients (entities that receive
a subaward from their STA).
The Infrastructure Investment and Jobs Act, (Pub. L. 117-58) also
known as the ``Bipartisan Infrastructure Law,'' (BIL) provided $550
billion over fiscal years 2022 through 2026 in new Federal investment
in roads, bridges, mass transit, water infrastructure, resilience
improvements, and broadband. The BIL provides approximately $350
billion for Federal highway programs.
Statement of the Problem
Most of the funding in the BIL for highway projects is distributed
to STAs based on formulas specified in Federal law. However, the BIL
also provides funding through a wide range of discretionary grant
programs, including the ``Rebuilding American Infrastructure with
Sustainability and Equity'' (RAISE) program, the ``Nationally
Significant Multimodal Freight and Highway Projects'' (INFRA) program,
the ``National Infrastructure Project Assistance Program'' (MEGA), the
``Safe Streets and Roads for All'' (SS4A) program, and others. Each of
these discretionary grant programs has its own eligibility
requirements, but for many programs, entities other than STAs are
eligible to apply for and receive grant awards. For example, under the
RAISE grant program, in addition to STAs, eligible entities include
U.S. territories, Metropolitan Planning Organizations (MPO), federally
recognized Indian Tribes, local governments, and other public
authorities.\1\ The SS4A grants are only available to MPOs, political
subdivisions of a State, and federally recognized Indian Tribes.\2\
---------------------------------------------------------------------------
\1\ 49 U.S.C. 6702(a)(2).
\2\ BIL, sec. 24112(a)(2).
---------------------------------------------------------------------------
When a recipient other than an STA is awarded a discretionary grant
under the programs described above, the award is made through an
executed grant agreement with DOT rather than as a subaward from the
STA. This non-STA recipient is responsible for compliance with all
Federal regulations pertaining to the grant, including those covering
the procurement of professional services. In their current form, the
regulations at 23 CFR part 172 could be interpreted as applying to all
recipients of discretionary grants administered under chapter 1 of 23
U.S.C., not just STAs. Consequently, non-STA recipients would be
responsible for compliance with part 172, including the requirement
that recipients prepare and maintain written policies and procedures
for the procurement, management, and administration of engineering and
design related consultant services. However, the requirements of 23
U.S.C. 112(b)(2), and therefore 23 CFR part 172, apply only to the
procurement, management, and administration of engineering and design
related consultant services for projects ``under [the] supervision'' of
an STA.\3\ This includes projects administered by entities other than
STAs when these entities are subrecipients of STAs but not when these
entities are recipients of an award directly from DOT, and FHWA did not
intend for 23 CFR part 172 to apply beyond the scope of 23 U.S.C.
112(b)(2). Non-STA recipients that receive or are eligible to receive
discretionary grant funds directly from FHWA do not necessarily have
FHWA-approved written policies and procedures in place for the
procurement of professional services that comply with 23 CFR part 172,
and creating these policies and procedures from scratch would create an
undue burden on non-STA recipients and FHWA. By removing any ambiguity
regarding the applicability of 23 CFR part 172, this NPRM proposes to
clarify the responsibilities of the non-STA recipients to remain
compliant with Federal regulations while reducing unnecessary
regulatory burden.
---------------------------------------------------------------------------
\3\ 23 U.S.C. 112(a).
---------------------------------------------------------------------------
Section-by-Section Discussion of the Proposals
The FHWA proposes to revise 23 CFR part 172-Administration of
Engineering and Design Related Service Contracts as follows:
Authority Citation
The FHWA proposes to revise the authority citation for 23 CFR part
172 to remove the reference to 23 U.S.C. 402. Part 172 no longer
applies to programs and activities authorized under 23 U.S.C. 402, and
the remaining authorities cited provide the necessary authority for 23
CFR part 172; therefore, citation to 23 U.S.C. 402 is unnecessary.
Section 172.1--Purpose and Applicability
Section 172.1 would be amended to clarify that the provisions of 23
CFR part 172 apply only to STAs and their subrecipients.
Section 172.3--Definitions
In section 172.3, the definitions for the terms ``Consultant'' and
``Subconsultant'' would be modified to remove outdated citations to 2
CFR part 200 that formerly contained definitions of ``Recipient'' and
``Subrecipient.'' The proposed rule would add definitions for
``Recipient'' and ``Subrecipient'' and give those terms the same
meaning as they are defined in 2 CFR 200.1. Finally, the definition of
``Contracting agencies'' would be revised to eliminate reference to
``other recipients.''
Section 172.5--Program Management and Oversight
Section 172.5 would be amended to remove the references to
``recipient'' and ``other recipient'' to clarify that the
[[Page 5821]]
regulations apply only to STAs and their subrecipients. Also, a
reference to a provision in 2 CFR part 200 would be revised to reflect
the current location of that provision in 2 CFR part 200.
Section 172.7--Procurement Methods and Procedures
Section 172.7 would be amended to remove the references to
``recipient'' and ``other recipient'' to clarify the applicability of
the regulations only to STAs and their subrecipients. Also, references
to a provision in 2 CFR part 200 would be revised to reflect the
current location of that provision in 2 CFR part 200.
Section 172.9--Procurement Methods and Procedures
Section 172.9 would be amended to remove a reference to
``recipient'' to clarify the applicability of the regulations only to
STAs and their subrecipients. A reference to a provision in 2 CFR part
200 would be revised to reflect the current location of that provision
in 2 CFR part 200. Also, a typographical error in an internal cross-
reference in Sec. 172.9(a)(3)(iv)(B)(1) will be corrected. The
regulation in this paragraph currently references Sec.
172.5(a)(1)(ii); the corrected reference would read Sec.
172.7(a)(1)(ii).
Section 172.11--Allowable Costs and Oversight
Section 172.11 would be amended to remove references to
``recipient'' and ``other recipient,'' and where appropriate,
substitute ``STA'' to clarify that the regulations apply only to STAs
and their subrecipients.
Rulemaking Analyses and Notices
Executive Order 12866 (Regulatory Planning and Review), Executive Order
13563 (Improving Regulation and Regulatory Review), and DOT Regulatory
Policies and Procedures
The FHWA has considered the impacts of this rule under Executive
Order (E.O.) 12866 (58 FR 51735, Oct. 4, 1993), Regulatory Planning and
Review, as amended by E.O. 14094 (``Modernizing Regulatory Review''),
and DOT's regulatory policies and procedures. This proposed rule
complies with E.O. 12866 and E.O. 13563 to improve regulation. The
Office of Information and Regulatory Affairs within the Office of
Management and Budget (OMB) has determined that this rulemaking is not
a significant regulatory action under section 3(f) of E.O. 12866.
Accordingly, OMB has not reviewed it under that E.O.
It is anticipated that the proposed rule would not be economically
significant for purposes of E.O. 12866. The proposed rule would not
have an annual effect on the economy of $200 million or more. The
proposed rule would not adversely affect in a material way the economy,
any sector of the economy, productivity, competition, or jobs. In
addition, the proposed changes would not interfere with any action
taken or planned by another Agency and would not materially alter the
budgetary impact of any entitlements, grants, user fees, or loan
programs.
Regulatory Flexibility Act
In compliance with the Regulatory Flexibility Act (Pub. L. 96-354,
5 U.S.C. 601-612), FHWA has evaluated the effects of this proposed rule
on small entities, such as local governments and businesses. Based on
the evaluation, FHWA anticipates that this action would not have a
significant economic impact on a substantial number of small entities.
The proposed rule would clarify the applicability of the requirements
for the procurement, management, and administration of engineering and
design related services that use FHWA-administered funding and are
directly related to a construction project. Specifically, the proposed
rule would clarify that the regulations in 23 CFR part 172 do not apply
to recipients of FHWA-administered grants that are not STAs.
Consequently, the economic impact of this proposed rule on small
entities is expected to be minimal. Therefore, FHWA certifies that the
proposed action would not have a significant economic impact on a
substantial number of small entities.
Unfunded Mandates Reform Act of 1995
This proposed rule would not impose unfunded mandates as defined by
the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4, 109 Stat. 48).
The Unfunded Mandates Reform Act of 1995 (section 202(a)) requires
Federal Agencies to prepare a written statement, which includes
estimates of anticipated impacts, before proposing ``any rule that
includes any Federal mandate that may result in the expenditure by
State, local, and tribal governments, in the aggregate, or by the
private sector, of $100,000,000 or more (adjusted annually for
inflation) in any one year.'' The current threshold after adjustment
for inflation is $183 million, using the most current (2023) Implicit
Price Deflator for the Gross Domestic Product. This rule will not
result in the expenditure by State, local, and Tribal governments, in
the aggregate, or by the private sector, of $183 million or more in any
one year (2 U.S.C. 1532). Further, in compliance with the Unfunded
Mandates Reform Act of 1995, FHWA will evaluate any regulatory action
that might be proposed in subsequent stages of the proceeding to assess
the effects on State, local, and Tribal governments and the private
sector. In addition, the definition of ``Federal Mandate'' in the
Unfunded Mandates Reform Act excludes financial assistance of the type
in which State, local, or tribal governments have authority to adjust
their participation in the program in accordance with changes made in
the program by the Federal Government. The FAHP and other FHWA-
administered financial assistance impacted by this proposed rule permit
this type of flexibility.
Executive Order 13132 (Federalism Assessment)
The E.O. 13132 requires Agencies to ensure meaningful and timely
input by State and local officials in the development of regulatory
policies that may have a substantial, direct effect on the States, on
the relationship between the national government and the States, or on
the distribution of power and responsibilities among the various levels
of government. The FHWA has analyzed this proposed rule in accordance
with the principles and criteria contained in E.O. 13132. The FHWA has
determined that this proposed rule would not have sufficient federalism
implications to warrant the preparation of a federalism assessment. The
FHWA has also determined that this proposed rule would not preempt any
State law or State regulation or affect the States' ability to
discharge traditional State governmental functions.
Paperwork Reduction Act
Federal Agencies must obtain approval from OMB for each collection
of information they conduct, sponsor, or require through regulations.
This proposed action does not contain a collection of information
requirement for the purpose of the Paperwork Reduction Act of 1995 (44
U.S.C. 3501, et seq.).
National Environmental Policy Act
The FHWA has analyzed this rule pursuant to the National
Environmental Policy Act (NEPA) and has determined that it is
categorically excluded under 23 CFR 771.117(c)(20), which applies to
the promulgation of rules, regulations, and directives. Categorically
excluded actions meet the criteria for categorical exclusions under the
Council on Environmental Quality regulations and under 23 CFR
771.117(a) and normally do not require any further NEPA approvals by
FHWA. This proposed rule
[[Page 5822]]
would clarify the applicability of FHWA regulations governing the
requirements for the procurement, management, and administration of
engineering and design related services that use FHWA-administered
grant funding and are directly related to a construction project. The
FHWA does not anticipate any adverse environmental impacts from this
rule; moreover, no unusual circumstances are present under 23 CFR
771.117(b).
Executive Order 13175 (Tribal Consultation)
The FHWA has analyzed this proposed action under E.O. 13175, dated
November 6, 2000, and believes that this proposed action would not have
substantial direct effects on one or more Indian Tribes, would not
impose substantial direct compliance costs on Indian Tribal
governments, and would not preempt Tribal law. This proposed rule would
clarify the applicability of FHWA regulations governing the
requirements for the procurement, management, and administration of
engineering and design related services that use FHWA-administered
grant funding and are directly related to a construction project. As
such, this proposed rule would not impose any direct compliance
requirements on Indian Tribal governments nor would it have any
economic or other impacts on the viability of Indian Tribes. Therefore,
a Tribal summary impact statement is not required.
Executive Order 12898 (Environmental Justice)
The E.O. 12898 requires that each Federal Agency make achieving
environmental justice part of its mission by identifying and
addressing, as appropriate, disproportionately high and adverse human
health or environmental effects of its programs, policies, and
activities on minorities and low-income populations. The FHWA has
determined that this proposed rule does not raise any environmental
justice issues.
Regulation Identification Number
A regulation identification number (RIN) is assigned to each
regulatory action listed in the Unified Agenda of Federal Regulations.
The Regulatory Information Service Center publishes the Unified Agenda
in April and October of each year. The RIN number contained in the
heading of this document can be used to cross-reference this action
with the Unified Agenda.
List of Subjects in 23 CFR Part 172
Government procurement, Grant programs--transportation, Highways
and roads.
Shailen P. Bhatt,
Administrator, Federal Highway Administration.
For the reasons stated in the preamble, FHWA proposes to amend
title 23, Code of Federal Regulations, part 172, as follows:
PART 172--PROCUREMENT, MANAGEMENT, AND ADMINISTRATION OF
ENGINEERING AND DESIGN RELATED SERVICES
0
1. The authority citation for part 172 is revised to read as follows:
Authority: 23 U.S.C. 106, 112, 114(a), 302, and 315; 40 U.S.C.
1101 et seq.; 48 CFR part 31; 49 CFR 1.48(b); and 2 CFR part 200.
0
2. Amend Sec. 172.1 by revising the fourth sentence and adding a
sentence at the end of the section. The revision and addition read as
follows:
Sec. 172.1 Purpose and applicability.
* * * State transportation agencies (STA) shall ensure that
subrecipients comply with the requirements of this part and the Uniform
Administrative Requirements, Cost Principles and Audit Requirements For
Federal Awards rule. * * * The provisions of this part shall only apply
to State transportation agencies and their subrecipients.
0
3. Amend Sec. 172.3 as follows:
0
a. Revise the definitions for Consultant and Contracting agencies;
0
b. Add a definition in alphabetical order for Recipient;
0
c. Revise the definition of Subconsultant; and
0
b. Add a definition in alphabetical order for Subrecipient.
The revisions and additions read as follows:
Sec. 172.3 Definitions.
* * * * *
Consultant means the individual or firm providing engineering and
design related services as a party to a contract with a recipient or
subrecipient of Federal assistance.
* * * * *
Contracting agencies means a State transportation agency or a
procuring agency of the State acting in conjunction with and at the
direction of the State transportation agency and all subrecipients that
are responsible for the procurement, management, and administration of
engineering and design related services.
* * * * *
Recipient has the same meaning as defined in 2 CFR 200.1.
* * * * *
Subconsultant means the individual or firm contracted by a
consultant to provide engineering and design related or other types of
services that are part of the services which the consultant is under
contract to provide to a recipient or subrecipient (as defined in of
Federal assistance.
Subrecipient has the same meaning as defined in 2 CFR 200.1.
0
4. Amend Sec. 172.5 by revising paragraph (a) introductory text, the
third sentence of paragraph (a)(4), paragraph (b)(1) introductory text,
the second and third sentences of paragraph (c) introductory text, and
paragraph (c)(15) to read as follows:
Sec. 172.5 Program management and oversight.
(a) STA responsibilities. STAs shall develop and sustain
organizational capacity and provide the resources necessary for the
procurement, management, and administration of engineering and design
related consultant services, reimbursed in whole or in part with FAHP
funding, as specified in 23 U.S.C. 302(a). Responsibilities shall
include the following:
* * * * *
(4) * * * Nothing in this part shall be taken as relieving the STA
of its responsibility under laws and regulations applicable to the FAHP
for the work performed under any consultant agreement or contract
entered into by a subrecipient.
(b) * * *
(1) Adopting written policies and procedures prescribed by the
awarding STA for the procurement, management, and administration of
engineering and design related consultant services in accordance with
applicable Federal and State laws and regulations; or when not
prescribed, shall include:
* * * * *
(c) * * * The FHWA shall approve the written policies and
procedures, including all revisions to such policies and procedures, of
the STA to assess compliance with applicable requirements. The STA
shall approve the written policies and procedures, including all
revisions to such policies and procedures, of a subrecipient to assess
compliance with applicable requirements. * * *
* * * * *
(15) Retaining supporting programmatic and contract records, as
[[Page 5823]]
specified in 2 CFR 200.334 and the requirements of this part;
* * * * *
0
5. Amend Sec. 172.7 by revising paragraph (a)(1)(iv)(F), the first
sentence of paragraph (a)(1)(v)(E), paragraph (b)(1)(i), and the first
sentence of paragraph (b)(5)(i) to read as follows:
Sec. 172.7 Procurement methods and procedures.
(a) * * *
(1) * * *
(iv) * * *
(F) The contracting agency shall retain supporting documentation of
the solicitation, proposal, evaluation, and selection of the consultant
in accordance with this section and the provisions of 2 CFR 200.334.
(v) * * *
(E) The contracting agency shall retain documentation of
negotiation activities and resources used in the analysis of costs to
establish elements of the contract in accordance with the provisions of
2 CFR 200.334. * * *
* * * * *
(b) * * *
(1) * * *
(i) STAs and their subrecipients shall comply with procurement
requirements established in State and local laws, regulations,
policies, and procedures that are not addressed by or are not in
conflict with applicable Federal laws and regulations, as specified in
2 CFR part 1201.
* * * * *
(5) * * *
(i) When FAHP funds participate in a consultant services contract,
the contracting agency shall receive approval from FHWA, or the STA, as
appropriate, before utilizing a consultant to act in a management
support role for the contracting agency; unless an alternate approval
procedure has been approved. * * *
* * * * *
0
6. Amend Sec. 172.9 by revising paragraph (a)(3)(iv)(B)(1), paragraph
(c)(1)(iv), and paragraph (d)(1)(vii) to read as follows:
Sec. 172.9 Contracts and administration.
(a) * * *
(3) * * *
(iv) * * *
(B) * * *
(1) Through an additional qualifications-based selection procedure,
which may include, but does not require, a formal RFP in accordance
with Sec. 172.7(a)(1)(ii); or
* * * * *
(c) * * *
(1) * * *
(iv) Access by the STA, subrecipient, FHWA, the U.S. Department of
Transportation's Inspector General, the Comptroller General of the
United States, or any of their duly authorized representatives to any
books, documents, papers, and records of the consultant which are
directly pertinent to that specific contract for the purpose of making
audit, examination, excerpts, and transcriptions;
* * * * *
(d) * * *
(1) * * *
(vii) Documenting contract monitoring activities and maintaining
supporting contract records, as specified in 2 CFR 200.334.
* * * * *
0
7. Amend Sec. 172.11 by revising paragraph (b)(1)(iii) introductory
text, the second and third sentences of paragraph (c)(2) introductory
text, the second sentence of paragraph (c)(3)(i), and the second and
third sentences of paragraph (d) to read as follows:
Sec. 172.11 Allowable costs and oversight.
* * * * *
(b) * * *
(1) * * *
(iii) When the indirect cost rate has not been established by a
cognizant agency in accordance with paragraph (b)(1)(ii) of this
section, the STA shall perform an evaluation of a consultant's or
subconsultant's indirect cost rate prior to acceptance and application
of the rate to contracts administered by the STA or its subrecipients.
The evaluation performed by STAs to establish or accept an indirect
cost rate shall provide assurance of compliance with the Federal cost
principles and may consist of one or more of the following:
* * * * *
(c) * * *
(2) * * * An STA may employ a risk-based oversight process to
provide reasonable assurance of consultant compliance with Federal cost
principles on FAHP funded contracts administered by the STA or its
subrecipients. If employed, this risk-based oversight process shall be
incorporated into STA written policies and procedures, as specified in
Sec. 172.5(c). * * *
* * * * *
(3) * * *
(i) * * * The certification requirement shall apply to all indirect
cost rate proposals submitted by consultants and subconsultants for
acceptance by an STA. * * *
* * * * *
(d) * * * FHWA, STAs, and subrecipients of FAHP funds may share
audit information in complying with the STA's or subrecipient's
acceptance of a consultant's indirect cost rates pursuant to 23 U.S.C.
112 and this part provided that the consultant is given notice of each
use and transfer. Audit information shall not be provided to other
consultants or any other government agency not sharing the cost data,
or to any firm or government agency for purposes other than complying
with the STA's or subrecipient's acceptance of a consultant's indirect
cost rates pursuant to 23 U.S.C. 112 and this part without the written
permission of the affected consultants. * * *
[FR Doc. 2024-01705 Filed 1-29-24; 8:45 am]
BILLING CODE 4910-22-P