1、78 SUBCHAPTER EPLANNING AND RESEARCH PART 420PLANNING AND RE-SEARCH PROGRAM ADMINIS-TRATION Subpart AAdministration of FHWA Planning and Research Funds Sec. 420.101 What is the purpose of this part? 420.103 How does the FHWA define the terms used in this part? 420.105 What is the FHWAs policy on use
2、 of FHWA planning and research funds? 420.107 What is the minimum required ex-penditure of State planning and research funds for research development and tech-nology transfer? 420.109 What are the requirements for dis-tribution of metropolitan planning funds? 420.111 What are the documentation re-qu
3、irements for use of FHWA planning and research funds? 420.113 What costs are eligible? 420.115 What are the FHWA approval and authorization requirements? 420.117 What are the program monitoring and reporting requirements? 420.119 What are the fiscal requirements? 420.121 What other requirements appl
4、y to the administration of FHWA planning and research funds? Subpart BResearch, Development, and Technology Transfer Program Manage-ment 420.201 What is the purpose of this subpart? 420.203 How does the FHWA define the terms used in this subpart? 420.205 What is the FHWAs policy for re-search, devel
5、opment, and technology transfer funding? 420.207 What are the requirements for re-search, development, and technology transfer work programs? 420.209 What are the conditions for ap-proval? AUTHORITY: 23 U.S.C. 103(b)(6), 104(f), 115, 120, 133(b), 134(n), 303(g), 505, and 315; and 49 CFR 1.48(b). SOU
6、RCE: 67 FR 47271, July 18, 2002, unless otherwise noted. Subpart AAdministration of FHWA Planning and Research Funds 420.101 What is the purpose of this part? This part prescribes the Federal Highway Administration (FHWA) poli-cies and procedures for the administra-tion of activities undertaken by S
7、tate departments of transportation (State DOTs) and their subrecipients, includ-ing metropolitan planning organiza-tions (MPOs), with FHWA planning and research funds. Subpart A identifies the administrative requirements that apply to use of FHWA planning and re-search funds both for planning and fo
8、r research, development, and technology transfer (RD (2) Metropolitan planning (PL) funds (the one percent of funds authorized under 23 U.S.C. 104(f) to carry out the provisions of 23 U.S.C. 134); (3) National highway system (NHS) funds authorized under 23 U.S.C. 104(b)(1) used for transportation pl
9、an-ning in accordance with 23 U.S.C. 134 VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00088 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-79 Federal Highway A
10、dministration, DOT 420.105 and 135, highway research and planning in accordance with 23 U.S.C. 505, high-way-related technology transfer activi-ties, or development and establishment of management systems under 23 U.S.C. 303; (4) Surface transportation program (STP) funds authorized under 23 U.S.C.
11、104(b)(3) used for highway and transit research and development and tech-nology transfer programs, surface transportation planning programs, or development and establishment of management systems under 23 U.S.C. 303; and (5) Minimum guarantee (MG) funds authorized under 23 U.S.C. 505 used for transp
12、ortation planning and research, development and technology transfer activities that are eligible under title 23, U.S.C. Grant agreement means a legal instru-ment reflecting a relationship between an awarding agency and a recipient or subrecipient when the principal pur-pose of the relationship is to
13、 transfer a thing of value to the recipient or sub-recipient to carry out a public purpose of support or stimulation authorized by a law instead of acquiring (by pur-chase, lease, or barter) property or services for the direct benefit or use of the awarding agency. Metropolitan planning area means t
14、he geographic area in which the metro-politan transportation planning proc-ess required by 23 U.S.C. 134 and 49 U.S.C. 53035305 must be carried out. Metropolitan planning organization (MPO) means the forum for cooperative transportation decisionmaking for a metropolitan planning area. National Coope
15、rative Highway Re-search Program (NCHRP) means the co-operative RD and (2) To determine which eligible plan-ning and RD evaluating the extent, performance, condition, and use of the Nations transportation systems; analyzing existing and proposed Fed-eral-aid funding methods and levels and the assign
16、ment of user cost respon-sibility; maintaining a critical infor-mation base on fuel availability, use, and revenues generated; and calcu-lating apportionment factors. (c) The policy in paragraph (a) of this section does not remove the FHWAs responsibility and authority to deter-mine which activities
17、 are eligible for funding. Activities proposed to be fund-ed with FHWA planning and research funds by the State DOTs and their sub-recipients shall be documented and submitted for FHWA approval and au-thorization as prescribed in 420.111 and 420.113. (The information collection requirements in parag
18、raph (b) of 420.105 have been approved by the Of-fice of Management and Budget (OMB) under control numbers 21250028 and 21250032.) 420.107 What is the minimum re-quired expenditure of State plan-ning and research funds for re-search development and technology transfer? (a) A State DOT must expend no
19、 less than 25 percent of its annual SPR funds on RD (2) The planning activities have a higher priority than RD and (3) The total level of effort by the State DOT in RD (ii) Matching rate by type of fund; (iii) State and/or local matching share; and (iv) Other State or local funds. (2) Additional inf
20、ormation on metro-politan planning area work programs is contained in 23 CFR part 450. Addi-tional information on RD particularly for producing the FHWA-required data specified in para-graph (b) of 420.105, for planning for other transportation modes, and for air quality planning activities in areas
21、 designated as non-attainment for transportation-related pollutants in their work programs. The MPOs in TMAs must include such information in their work programs. (The informa-tion collection requirements in 420.111 have been approved by the OMB and assigned control numbers 21250039 for States and 2
22、1320529 for MPOs.) 420.113 What costs are eligible? (a) Costs will be eligible for FHWA participation provided that the costs: (1) Are for work performed for activi-ties eligible under the section of title 23, U.S.C., applicable to the class of funds used for the activities; (2) Are verifiable from
23、the State DOTs or the subrecipients records; (3) Are necessary and reasonable for proper and efficient accomplishment of project objectives and meet the other criteria for allowable costs in the ap-plicable cost principles cited in 49 CFR 18.22; (4) Are included in the approved budget, or amendment
24、thereto; and (5) Were not incurred prior to FHWA authorization. (b) Indirect costs of State DOTs and their subrecipients are allowable if supported by a cost allocation plan and indirect cost proposal prepared, sub-mitted (if required), and approved by the cognizant or oversight agency in accordance
25、 with the OMB requirements applicable to the State DOT or sub-recipient specified in 49 CFR 18.22(b). 420.115 What are the FHWA approval and authorization requirements? (a) The State DOT and its subrecipi-ents must obtain approval and author-ization to proceed prior to beginning work on activities t
26、o be undertaken with FHWA planning and research funds. Such approvals and authoriza-tions should be based on final work programs or other documents that de-scribe the work to be performed. The State DOT and its subrecipients also must obtain prior approval for budget and programmatic changes as spec
27、ified in 49 CFR 18.30 or 49 CFR 19.25 and for those items of allowable costs which require approval in accordance with the cost principles specified in 49 CFR 18.22(b) applicable to the entity expend-ing the funds. (b) Authorization to proceed with the FHWA funded work in whole or in part is a contr
28、actual obligation of the Fed-eral government pursuant to 23 U.S.C. 106 and requires that appropriate funds be available for the full Federal share of the cost of work authorized. Those State DOTs that do not have sufficient FHWA planning and research funds or obligation authority available to obli-g
29、ate the full Federal share of a work program or project may utilize the ad-vance construction provisions of 23 U.S.C. 115(a) in accordance with the re-quirements of 23 CFR part 630, subpart G. The State DOTs that do not meet the advance construction provisions, or do not wish to utilize them, may re
30、-quest authorization to proceed with that portion of the work for which FHWA planning and research funds are available. In the latter case, authoriza-tion to proceed may be given for either selected work activities or for a por-tion of the program period, but such authorization does not constitute a
31、 commitment by the FHWA to fund the remaining portion of the work if addi-tional funds do become available. (c) A project agreement must be exe-cuted by the State DOT and the FHWA Division Office for each statewide transportation planning, metropolitan VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 P
32、O 00000 Frm 00092 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-83 Federal Highway Administration, DOT 420.119 planning area, or RD (ii) Progress in meeting schedules; (iii
33、) Status of expenditures in a for-mat compatible with the work pro-gram, including a comparison of budg-eted (approved) amounts and actual costs incurred; (iv) Cost overruns or underruns; (v) Approved work program revisions; and (vi) Other pertinent supporting data. (2) Additional information on rep
34、ort-ing requirements for individual RD (2) The cost of the third party work is not paid for by other Federal funds or used as a match for other federally funded grants/subgrants; (3) The work performed by the third party is an eligible transportation planning or RD (4) The third party costs (i.e., s
35、ala-ries, fringe benefits, etc.) are allowable under the applicable Office of Manage-ment and Budget (OMB) cost principles (i.e., OMB Circular A21, A87, or A 122);1(5) The third party work is performed during the period to which the match-ing requirement applies; (6) The third party in-kind contribu
36、-tions are verifiable from the records of the State DOT or subrecipient and these records show how the value placed on third party in-kind contribu-tions was derived; and (7) If the total amount of third party expenditures at the end of the program period is not sufficient to match the total expendi
37、ture of Federal funds by the recipient/subrecipient, the recipi-ent/subrecipient will need to make up any shortfall with its own funds. (c) In accordance with the provisions of 23 U.S.C. 120(j), toll revenues that are generated and used by public, quasi-public, and private agencies to build, improve
38、, or maintain highways, bridges, or tunnels that serve the pub-lic purpose of interstate commerce may be used as a credit for the non- Federal share of an FHWA planning and research funded project. (d) In accordance with 23 U.S.C. 505(c) or 23 U.S.C. 104(f)(3), the requirement for matching SPR or PL
39、 funds may be waived if the FHWA determines the in-terests of the Federal-aid highway pro-gram would be best served. Waiver of the matching requirement is intended to encourage State DOTs and/or MPOs to pool SPR and/or PL funds to address national or regional high priority plan-ning or RD and (2) Th
40、e State DOTs and their sub-recipients shall comply with the provi-sions of 49 CFR part 29, subparts A through E, for procurements from per-sons (as defined in 49 CFR 29.105) who have been debarred or suspended. (p) Supplies. Acquisition and disposi-tion of supplies acquired by the State DOTs and the
41、ir subrecipients with FHWA planning and research funds must be in accordance with 49 CFR 18.33 or 49 CFR 19.35. Subpart BResearch, Develop-ment and Technology Transfer Program Management 420.201 What is the purpose of this subpart? The purpose of this subpart is to pre-scribe requirements for resear
42、ch, devel-opment, and technology transfer (RD the primary purpose of this kind of research is to answer a question or solve a problem. Basic research means the study of phenomena, and of observable facts, without specific applications towards processes or products in mind; the pri-mary purpose of th
43、is kind of research is to increase knowledge. Development means the systematic use of the knowledge or understanding gained from research, directed toward the production of useful materials, de-vices, systems or methods, including design and development of prototypes and processes. Final report mean
44、s a report docu-menting a completed RD how-ever, the process must comply with the minimum requirements and conditions of this subpart. (h) The State DOTs are encouraged to make effective use of the FHWA Di-vision, Resource Center, and Head-quarters office expertise in developing and carrying out the
45、ir RD (2) Use of all FHWA planning and re-search funds set aside for RD (3) Procedures for tracking program activities, schedules, accomplishments, and fiscal commitments; (4) Support and use of the TRIS data-base for program development, report-ing of active RD (5) Procedures to determine the effec
46、-tiveness of the State DOTs manage-ment process in implementing the RD (6) Procedures for documenting RD and (7) Participation in peer exchanges of its RD&T management process and of other State DOTs programs on a peri-odic basis. To assist peer exchange teams in conducting an effective ex-change, t
47、he State DOT must provide to them the information and documenta-tion required to be collected and main-tained under this subpart. Travel and other costs associated with the State DOTs peer exchange may be identified as a line item in the State DOTs work program and will be eligible for 100 per-cent
48、Federal funding. The peer ex-change team must prepare a written report of the exchange. (b) Documentation that describes the State DOTs management process and the procedures for selecting and imple-menting RD&T activities must be de-veloped by the State DOT and sub-mitted to the FHWA Division office
49、 for approval. Significant changes in the management process also must be sub-mitted by the State DOT to the FHWA for approval. The State DOT must make the documentation available, as necessary, to facilitate peer exchanges. (c) The State DOT must include a certification that it is in full compli-ance with the requirements of this sub-part in each RD&T work program. If the State DOT is unable to certify full compliance, the FHWA Division Ad-ministrator may grant conditional ap-proval of t
