23 Cfr 420.105

§ 420.105

23 CFR Ch. I (4–1–03 Edition)
State Department of Transportation
(State DOT) means that department,
commission, board, or official of any
State charged by its laws with the responsibility for highway construction.
Transportation
management
area
(TMA) means an urbanized area with a
population over 200,000 (as determined
by the latest decennial census) and designated by the Secretary of Transportation or other area when TMA designation is requested by the Governor
and the MPO (or affected local officials), and officially designated by the
Secretary of Transportation.
Transportation pooled fund study
means a planning, research, development, or technology transfer activity
administered by the FHWA, a lead
State DOT, or other organization that
is supported by two or more participants and that addresses an issue of
significant or widespread interest related to highway, public, or intermodal
transportation.
A
transportation
pooled fund study is intended to address a new area or provide information that will complement or advance
previous investigations of the subject
matter.
Work program means a periodic statement of proposed work, covering no
less than one year, and estimated costs
that documents eligible activities to be
undertaken by State DOTs and/or their
subrecipients with FHWA planning and
research funds.

and 135, highway research and planning
in accordance with 23 U.S.C. 505, highway-related technology transfer activities, 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.
104(b)(3) used for highway and transit
research and development and technology 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
transportation planning and research,
development and technology transfer
activities that are eligible under title
23, U.S.C.
Grant agreement means a legal instrument reflecting a relationship between
an awarding agency and a recipient or
subrecipient when the principal purpose of the relationship is to transfer a
thing of value to the recipient or subrecipient to carry out a public purpose
of support or stimulation authorized by
a law instead of acquiring (by purchase, lease, or barter) property or
services for the direct benefit or use of
the awarding agency.
Metropolitan planning area means the
geographic area in which the metropolitan transportation planning process required by 23 U.S.C. 134 and 49
U.S.C. 5303–5305 must be carried out.
Metropolitan planning organization
(MPO) means the forum for cooperative
transportation decisionmaking for a
metropolitan planning area.
National Cooperative Highway Research Program (NCHRP) means the cooperative RD&T program directed toward solving problems of national or
regional significance identified by
State DOTs and the FHWA, and administered by the Transportation Research
Board, National Academy of Sciences.
Procurement contract means a legal instrument reflecting a relationship between an awarding agency and a recipient or subrecipient when the principal
purpose of the instrument is to acquire
(by purchase, lease, or barter) property
or services for the direct benefit or use
of the awarding agency.

§ 420.105 What is the FHWA’s policy on
use of FHWA planning and research
funds?
(a) If the FHWA determines that
planning activities of national significance, identified in paragraph (b) of
this section, and the requirements of 23
U.S.C. 134, 135, 303, and 505 are being
adequately addressed, the FHWA will
allow State DOTs and MPOs:
(1) Maximum possible flexibility in
the use of FHWA planning and research
funds to meet highway and local public
transportation planning and RD&T
needs at the national, State, and local
levels while ensuring legal use of such
funds and avoiding unnecessary duplication of efforts; and
(2) To determine which eligible planning and RD&T activities they desire

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Federal Highway Administration, DOT

§ 420.107
ing these planning activities (including
the use of NHS, STP, MG, or FTA
State planning and research funds (49
U.S.C. 5313(b)) or by deferment of lower
priority planning activities);
(2) The planning activities have a
higher priority than RD&T activities
in the overall needs of the State DOT
for a given fiscal year; and
(3) The total level of effort by the
State DOT in RD&T (using both Federal and State funds) is adequate.
(c) If the State DOT chooses to pursue an exception, it must send the request, along with supporting justification, to the FHWA Division Administrator for action by the FHWA Associate Administrator for Research, Development, and Technology. The Associate Administrator’s decision will be
based upon the following considerations:
(1) Whether the State DOT has a
process for identifying RD&T needs and
for implementing a viable RD&T program.
(2) Whether the State DOT is contributing to cooperative RD&T programs
or activities, such as the National Cooperative Highway Research Program,
the Transportation Research Board,
and transportation pooled fund studies.
(3) Whether the State DOT is using
SPR funds for technology transfer and
for transit or intermodal research and
development to help meet the 25 percent minimum requirement.
(4) Whether the State DOT can demonstrate that it will meet the requirement or substantially increase its
RD&T expenditures over a multi-year
period, if an exception is granted for
the fiscal year.
(5) Whether Federal funds needed for
planning exceed the 75 percent limit
for the fiscal year and whether any unused planning funds are available from
previous fiscal years.
(d) If the FHWA Associate Administrator for Research, Development, and
Technology approves the State DOT’s
request for an exception, the exception
is valid only for that fiscal year’s
funds. A new request must be submitted and approved for subsequent fiscal year funds.

to support with FHWA planning and research funds and at what funding level.
(b) The State DOTs must provide
data that support the FHWA’s responsibilities to the Congress and to the
public. These data include, but are not
limited to, information required for:
preparing proposed legislation and reports to the Congress; evaluating the
extent, performance, condition, and use
of the Nation’s transportation systems;
analyzing existing and proposed Federal-aid funding methods and levels
and the assignment of user cost responsibility; maintaining a critical information base on fuel availability, use,
and revenues generated; and calculating apportionment factors.
(c) The policy in paragraph (a) of this
section does not remove the FHWA’s
responsibility and authority to determine which activities are eligible for
funding. Activities proposed to be funded with FHWA planning and research
funds by the State DOTs and their subrecipients shall be documented and
submitted for FHWA approval and authorization as prescribed in §§ 420.111
and 420.113. (The information collection
requirements in paragraph (b) of
§ 420.105 have been approved by the Office of Management and Budget (OMB)
under control numbers 2125–0028 and
2125–0032.)
§ 420.107 What is the minimum required expenditure of State planning and research funds for research development and technology
transfer?
(a) A State DOT must expend no less
than 25 percent of its annual SPR funds
on RD&T activities relating to highway, public transportation, and intermodal transportation systems in accordance with the provisions of 23
U.S.C. 505(b), unless a State DOT certifies, and the FHWA accepts the State
DOT’s certification, that total expenditures by the State DOT during the fiscal year for transportation planning
under 23 U.S.C. 134 and 135 will exceed
75 percent of the amount apportioned
for the fiscal year.
(b) Prior to submitting a request for
an exception to the 25 percent requirement, the State DOT must ensure that:
(1) The additional planning activities
are essential, and there are no other
reasonable options available for fund-

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