DOT 23 CFR PART 140-2011 REIMBURSEMENT.pdf

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1、12 SUBCHAPTER BPAYMENT PROCEDURES PART 140REIMBURSEMENT Subparts AD Reserved Subpart EAdministrative Settlement CostsContract Claims Sec. 140.501 Purpose. 140.503 Definition. 140.505 Reimbursable costs. Subpart FReimbursement for Bond Issue Projects 140.601 Purpose. 140.602 Requirements and conditio

2、ns. 140.603 Programs. 140.604 Reimbursable schedule. 140.605 Approval actions. 140.606 Project agreements. 140.607 Construction. 140.608 Reimbursable bond interest costs of Interstate projects. 140.609 Progress and final vouchers. 140.610 Conversion from bond issue to fund-ed project status. 140.611

3、 Determination of bond retirement. 140.612 Cash management. APPENDIX TO SUBPART FREIMBURSABLE SCHEDULE FOR CONVERTED E (BOND ISSUE) PROJECTS (OTHER THAN INTER-STATE PROJECTS) Subpart G Reserved Subpart HState Highway Agency Audit Expense 140.801 Purpose. 140.803 Policy. 140.805 Definitions. 140.807

4、Reimbursable costs. Subpart IReimbursement for Railroad Work 140.900 Purpose. 140.902 Applicability. 140.904 Reimbursement basis. 140.906 Labor costs. 140.907 Overhead and indirect construction costs. 140.908 Materials and supplies. 140.910 Equipment. 140.912 Transportation. 140.914 Credits for impr

5、ovements. 140.916 Protection. 140.918 Maintenance and extended construc-tion. 140.920 Lump sum payments. 140.922 Billings. AUTHORITY: 23 U.S.C. 101(e), 106, 109(e), 114(a), 120(g), 121, 122, 130, and 315; and 49 CFR 1.48(b). Subparts AD Reserved Subpart EAdministrative Settle-ment CostsContract Clai

6、ms SOURCE: 44 FR 59233, Oct. 15, 1979, unless otherwise noted. 140.501 Purpose. This regulation establishes the cri-teria for eligibility for reimbursement of administrative settlement costs in defense of contract claims on projects performed by a State under Federal-aid procedures. 140.503 Definiti

7、on. Administrative settlement costs are costs related to the defense and settle-ment of contract claims including, but not limited to, salaries of a contracting officer or his/her authorized represent-ative, attorneys, and/or members of State boards of arbitration, appeals boards, or similar tribuna

8、ls, which are allocable to the findings and deter-minations of contract claims, but not including administrative or overhead costs. 140.505 Reimbursable costs. (a) Federal funds may participate in administrative settlement costs which are: (1) Incurred after notice of claim, (2) Properly supported,

9、(3) Directly allocable to a specific Federal-aid or Federal project, (4) For employment of special coun-sel for review and defense of contract claims, when (i) Recommended by the State Attor-ney General or State Highway Agency (SHA) legal counsel and (ii) Approved in advance by the FHWA Division Adm

10、inistrator, with advice of FHWA Regional Counsel, and (5) For travel and transportation ex-penses, if in accord with established policy and practices. VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00022 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided

11、 by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-13 Federal Highway Administration, DOT 140.605 (b) No reimbursement shall be made if it is determined by FHWA that there was negligence or wrongdoing of any kind by SHA officials with respect to the claim. Subp

12、art FReimbursement for Bond Issue Projects SOURCE: 48 FR 54971, Dec. 8, 1983, unless otherwise noted. 140.601 Purpose. To prescribe policies and procedures for the use of Federal funds by State highway agencies (SHAs) to aid in the retirement of the principal and interest of bonds, pursuant to 23 U.

13、S.C. 122 and the payment of interest on bonds of eli-gible Interstate projects. 140.602 Requirements and condi-tions. (a) An SHA that uses the proceeds of bonds issued by the State, a county, city or other political subdivision of the State, for the construction of projects on the Federal-aid primar

14、y or Interstate system, or extensions of any of the Federal-aid highway systems in urban areas, or for substitute highway projects approved under 23 U.S.C. 103(e)(4), may claim payment of any portion of such sums apportioned to it for expenditures on such system to aid in the retirement of the princ

15、ipal of bonds at their maturities, to the extent that the proceeds of bonds have actu-ally been expended in the construction of projects. (b) Any interest earned and payable on bonds, the proceeds of which were expended on Interstate projects after November 6, 1978, is an eligible cost of constructi

16、on. The amount of interest eligible for participation will be based on (1) the date the proceeds were ex-pended on the project, (2) amount ex-pended, and (3) the date of conversion to a regularly funded project. As pro-vided for in section 115(c), Pub. L. 95 599, November 6, 1978, interest on bonds

17、issued in any fiscal year by a State after November 6, 1978, may be paid under the authority of 23 U.S.C. 122 only if such SHA was eligible to obli-gate Interstate Discretionary funds under the provisions of 23 U.S.C. 118(b) during such fiscal year, and the Admin-istrator certifies that such eligibl

18、e SHA has utilized, or will utilize to the fullest extent possible during such fis-cal year, its authority to obligate funds under 23 U.S.C. 118(b). (c) The Federal share payable at the time of conversion, as provided for in 140.610 shall be the legal pro rata in effect at the time of execution of t

19、he project agreement for the bond issue project. (d) The authorization of a bond issue project does not constitute a commit-ment of Federal funds until the project is converted to a regular Federal-aid project as provided for in 140.610. (e) Reimbursements for the redemp-tion of bonds may not preced

20、e, by more than 60 days, the scheduled date of the retirement of the bonds. (f) Federal funds are not eligible for payment into sinking funds created and maintained for the subsequent re-tirement of bonds. 140.603 Programs. Programs covering projects to be fi-nanced from the proceeds of bonds shall

21、be prepared and submitted to FHWA. Project designations shall be the same as for regular Federal-aid projects except that the prefix letter B for bond issue shall be used as the first letter of each project designation, e.g., BI for Bond Issue Projects Interstate. 140.604 Reimbursable schedule. Proj

22、ects to be financed from other than Interstate funds shall be subject to a 36-month reimbursable schedule upon conversion to regular Federal-aid financing (See appendix). FHWA will consider requests for waiver of this provision at the time of conversion ac-tion. Waivers are subject to the avail-abil

23、ity of liquidating cash. 140.605 Approval actions. (a) Authorization to proceed with preliminary engineering and acquisi-tion of rights-of-way shall be issued in the same manner as for regularly fi-nanced Federal-aid projects. (b) Authorization of physical con-struction shall be given in the same ma

24、nner as for regularly financed Fed-eral-aid projects. The total cost and VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00023 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license f

25、rom IHS-,-,-14 23 CFR Ch. I (4111 Edition) 140.606 1The text of FHWA Form PR2 is found in 23 CFR part 630, subpart C, appendix A. Federal funds required, including inter-est, shall be indicated in the plans, specifications, and estimates. (c) Projects subject to the reimburs-able schedule shall be i

26、dentified as an E project when the SHA is author-ized to proceed with all or any phase of the work. (d) Concurrence in the award of con-tracts shall be given. 140.606 Project agreements. Project Agreements, Form PR2, shall be prepared and executed. Agree-ment provision 8 on the reverse side of Form

27、PR21shall apply for bond issue projects. 140.607 Construction. Construction shall be supervised by the SHA in the same manner as for reg-ularly financed Federal-aid projects. The FHWA will make construction in-spections and reports. 140.608 Reimbursable bond interest costs of Interstate projects. (a

28、) Bond interest earned on bonds ac-tually retired may be reimbursed on the Federal pro rata basis applicable to such projects in accordance with 140.602(b) and (c). (b) No interest will be reimbursed for bonds issued after November 6, 1978, used to retire or otherwise refinance bonds issued prior to

29、 that date. 140.609 Progress and final vouchers. (a) Progress vouchers may be sub-mitted for the Federal share of bonds retired or about to be retired, including eligible interest on Interstate Bond Issue Projects, the proceeds of which have actually been expended for the construction of the project

30、. (b) Upon completion of a bond issue project, a final voucher shall be sub-mitted by the SHA. After final review, the SHA will be advised as to the total cost and Federal fund participation for the project. 140.610 Conversion from bond issue to funded project status. (a) At such time as the SHA ele

31、cts to apply available apportioned Federal- aid funds to the retirement of bonds, including eligible interest earned and payable on Interstate Bond Projects, subject to available obligational au-thority, its claim shall be supported by appropriate certifications as follows: I hereby certify that the

32、 following bonds, (list), the proceeds of which have been actu-ally expended in the construction of bond issue projects authorized by title 23 U.S.C., section 122, (1) have been retired on lll, or (2) mature and are scheduled for retirement on lll, which is ll days in advance of the maturity date of

33、 lll. Eligible interest claimed on Inter-state Bond Projects shall be shown for each bond and the certification shall include the statement: I also certify that interest earned and paid or payable for each bond listed has been de-termined from the date on and after which the respective bond proceeds

34、 were actually expended on the project. (b) The SHAs request for full conver-sion of a completed projects), or partial conversion of an active or completed project(s), may be made by letter, in-clusive of the appropriate certification as described in 140.610(a) making ref-erence to any progress paym

35、ents re-ceived or the final voucher(s) pre-viously submitted and approved in ac-cordance with 140.609. (c) Approval of the conversion action shall be by the Division Administrator. (d) The SHAs request for partial con-version of an active or completed bond issue project shall provide for: (1) Con-ve

36、rsion to funded project status of the portion to be financed out of the bal-ance of currently available apportioned funds, and (2) retention of the unfunded portion of the project in the bond pro-gram. (e) Where the SHAs request involves the partial conversion of a completed bond issue project, paym

37、ent of the Fed-eral funds made available under the conversion action shall be accom-plished through use of Form PR20, Voucher for Work Performed under Provisions of the Federal-aid and Fed-eral Highway Acts, prepared in the di-vision office and appropriately cross- referenced to the Bond Issue Proje

38、ct final voucher previously submitted and approved. The final voucher will be re-duced by the amount of the approved reimbursement. VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00024 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for Resa

39、leNo reproduction or networking permitted without license from IHS-,-,-15 Federal Highway Administration, DOT 140.805 140.611 Determination of bond retire-ment. Division Administrators shall be re-sponsible for the prompt review of the SHAs records to determine that bonds issued to finance the proje

40、cts and for which reimbursement has been made, including eligible bond interest ex-pense, have been retired pursuant to the States certification required by 140.610(a), and that such action is doc-umented in the project file. 140.612 Cash management. By July 1 of each year the SHA will provide FHWA

41、with a schedule, includ-ing the anticipated claims for reim-bursement, of bond projects to be con-verted during the next two fiscal years. The data will be used by FHWA in de-termining liquidating cash required to finance such conversions. APPENDIX TO SUBPART F OF PART 140 REIMBURSABLE SCHEDULE FOR

42、CON-VERTED E (BOND ISSUE) PROJECTS (OTHER THAN INTERSTATE PROJECTS) Time in months following conversion from E (bond issue) project to regular project Cumulative amount re-imbursable (percent of Federal funds obli-gated) 1 . 1 2 . 2 3 . 5 4 . 9 5 . 13 6 . 18 7 . 23 8 . 29 9 . 34 10 . 39 11 . 44 12 .

43、 49 13 . 54 14 . 58 15 . 61 16 . 64 17 . 67 18 . 70 19 . 73 20 . 75 21 . 77 22 . 79 23 . 81 24 . 83 25 . 85 26 . 87 27 . 89 28 . 91 29 . 93 30 . 94 31 . 95 32 . 96 Time in months following conversion from E (bond issue) project to regular project Cumulative amount re-imbursable (percent of Federal f

44、unds obli-gated) 34 . 97 35 . 99 36 . 100 Subpart G Reserved Subpart HState Highway Agency Audit Expense SOURCE: 49 FR 45578, Nov. 19, 1984, unless otherwise noted. 140.801 Purpose. To establish the reimbursement cri-teria for Federal participation in project related audit expenses. 140.803 Policy.

45、Project related audits performed in accordance with generally accepted au-diting standards (as modified by the Comptroller General of the United States) and applicable Federal laws and regulations are eligible for Federal participation. The State highway agen-cy (SHA) may use other State, local publ

46、ic agency, and Federal audit orga-nizations as well as licensed or cer-tified public accounting firms to aug-ment its audit force. 140.805 Definitions. (a) Project related audits. Audits which directly benefit Federal-aid highway projects. Audits performed in accord-ance with the requirements of 23

47、CFR part 12, audits of third party contract costs, and other audits providing assur-ance that a recipient has complied with FHWA regulations are all considered project related audits. Audits bene-fiting only nonfederal projects, those performed for SHA management use only, or those serving similar n

48、on-federal purposes are not considered project related. (b) Third party contract costs. Project related costs incurred by railroads, utilities, consultants, governmental in-strumentalities, universities, nonprofit VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00025 Fmt 8010 Sfmt 8010 Y:

49、SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-16 23 CFR Ch. I (4111 Edition) 140.807 organizations, construction contrac-tors (force account work), and organi-zations engaged in right-of-way stud-ies, planning, research, or related ac-tivities where the