[Code of Federal Regulations]
[Title 23, Volume 1]
[Revised as of April 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 23CFR420.121]

[Page 88-89]
 
                           TITLE 23--HIGHWAYS
 
 CHAPTER I--FEDERAL HIGHWAY ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
 
PART 420--PLANNING AND RESEARCH PROGRAM ADMINISTRATION--Table of Contents
 
      Subpart A--Administration of FHWA Planning and Research Funds
 
Sec. 420.121  Other requirements.

    (a) The financial management systems of the STAs and their 
subrecipients shall be in accordance with the provisions of 49 CFR 
18.20(a).
    (b) Program income, as defined in 49 CFR 18.25(b), shall be shown 
and deducted to determine the net costs on which the FHWA share will be 
based, unless an alternative method for using program income is 
specified in the Federal-Aid Project Agreement.
    (c) Audits shall be performed in accordance with 49 CFR 18.26 and 49 
CFR Part 90.
    (d) Acquisition, use, and disposition of equipment purchased by the 
STAs and their subrecipients with FHWA planning and research funds shall 
be in accordance with 49 CFR 18.32(b).
    (e) Acquisition and disposition of supplies acquired by the STAs and 
their subrecipients with FHWA planning and research funds shall be in 
accordance with 49 CFR 18.33.
    (f) In accordance with 49 CFR 18.34, STAs and their subrecipients 
may copyright any books, publications, or other copyrightable materials 
developed in the course of the FHWA planning and research funded 
project. The FHWA reserves a royalty-free, nonexclusive and irrevocable 
right to reproduce, publish, or otherwise use, and to authorize others 
to use, the work for Government purposes.
    (g) Procedures for the procurement of property and services with 
FHWA planning and research funds by the STAs and their subrecipients 
shall be in accordance with 49 CFR 18.36(a) and, if applicable, 
18.36(t). The STAs and their subrecipients shall not use FHWA funds for 
procurements from persons (as defined in 49 CFR 29.105) who have been 
debarred or suspended in accordance with the provisions of 49 CFR Part 
29, subparts A through E.
    (h) The STAs shall follow State laws and procedures when awarding 
and administering subgrants to MPOs and local governments and shall 
ensure that the requirements of 49 CFR 18.37(a) have been satisfied. 
STAs shall have primary responsibility for administering FHWA planning 
and research funds passed through to subrecipients, for ensuring that 
such funds are expended for eligible activities, and for ensuring that 
the funds are administered in accordance with this part, 49 CFR Part 18, 
and applicable cost principles.
    (i) Recordkeeping and retention requirements shall be in accordance 
with 49 CFR 18.42.
    (j) The STAs and their subrecipients are subject to the provisions 
of 37 CFR Part 401 governing patents and inventions and shall include, 
or incorporate by reference, the standard patent rights clause at 37 CFR 
401.14, except for Sec. 401.14(g), in all subgrants or contracts. In 
addition, STAs and their subrecipients shall include the following 
clause, suitably modified to identify the parties, in all subgrants or 
contracts, regardless of tier, for experimental, developmental or 
research work: ``The subgrantee or contractor will retain all rights 
provided for the State in this clause, and the State will not, as part 
of the consideration for awarding the subgrant or contract, obtain 
rights in the subgrantee's or contractor's subject inventions.''
    (k) In accordance with the provisions of 49 CFR Part 29, subpart F, 
STAs shall certify to the FHWA that they will provide a drug free 
workplace. This requirement can be satisfied through the annual 
certification for the Federal-aid highway program.
    (l) The provisions of 49 CFR Part 20 regarding restrictions on 
influencing certain Federal activities are applicable to all tiers of 
recipients of FHWA planning and research funds.
    (m) The nondiscrimination provisions of 23 CFR Parts 200 and 230 and 
49 CFR Part 21, with respect to Title VI of the Civil Rights Act of 1964 
and the Civil Rights Restoration Act of 1987, apply to all programs and 
activities of recipients, subrecipients, and contractors receiving FHWA 
planning and research funds whether or not those programs or activities 
are federally funded.
    (n) The STAs shall administer the transportation planning and RD&T 
program(s) consistent with their overall efforts to implement section 
1003(b)

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of the Intermodal Surface Transportation Efficiency Act of 1991 (Pub. L. 
102-240, 105 Stat. 1914) and 49 CFR Part 23 regarding disadvantaged 
business enterprises.
    (o) States and their subrecipients shall administer subgrants to 
universities, hospitals, and other non-profit organizations in 
accordance with the administrative requirements of OMB Circular A-110 as 
implemented by the U.S. DOT in 49 CFR Part 19, Uniform Administrative 
Requirements for Grants and Agreements with Institutions of Higher 
Education, Hospitals, and Other Non-Profit Organizations.
    (p) Reports and other documents prepared under FHWA planning and 
research funded grants or subgrants awarded after August 22, 1994, must 
be in metric units.