[Code of Federal Regulations]
[Title 23, Volume 1]
[Revised as of April 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 23CFR420.107]

[Page 83-84]
 
                           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. 420.107  SPR minimum research, development, and technology transfer expenditure.

    (a) In accordance with the provisions of 23 U.S.C. 307(c), not less 
than 25 percent of the SPR funds apportioned to a State for a fiscal 
year shall be expended for RD&T activities relating to highway, public 
transportation, and intermodal transportation systems, unless the State 
certifies, and the FHWA accepts the State's certification, that total 
expenditures by the State 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 shall ensure that:
    (1) The additional planning activities are essential and there are 
no other

[[Page 84]]

reasonable options available for funding these planning activities 
(including the use of National Highway System, Surface Transportation 
Program, or Federal Transit Administration Section 26(a)(2) funds or by 
deferment of lower priority planning activities);
    (2) The planning activities have a higher priority than RD&T 
activities in overall needs of the State for a given year; and
    (3) The total level of effort by the State in RD&T (using both 
Federal and State funds) is adequate.
    (c) If the State chooses to pursue an exception, the request, along 
with supporting justification, shall be sent to the FHWA Division 
Administrator for action by the FHWA Associate Administrator for 
Research and Development. The Associate Administrator's decision shall 
be based upon the following considerations:
    (1) Whether the State has a process for identifying RD&T needs and 
for implementing a viable RD&T program.
    (2) Whether the State is contributing to cooperative RD&T programs 
or activities, such as the National Cooperative Highway Research 
Program, the Transportation Research Board, the implementation of 
products of the Strategic Highway Research Program, and pooled-fund 
studies.
    (3) Whether the State is using SPR funds for technology transfer and 
for transit or intermodal research and development to help meet the 25 
percent minimum requirement.
    (4) The percentage or amount of the State's FHWA planning and 
research funds that were used for RD&T prior to enactment of the 25 
percent requirement and whether the percentage or amount will increase 
if the exception is approved.
    (5) If an exception is approved for the fiscal year, whether the 
State can demonstrate that it will meet the requirement or substantially 
increase its RD&T expenditures over a multi-year period.
    (6) Whether the amount of Federal funds needed for planning for the 
program period exceeds the total of the 75 percent limit for the fiscal 
year and any unexpended (including unused funds that can be released 
from completed projects) funds for planning from previous 
apportionments.
    (d) If the State's request for an exception is approved, the 
exception will be valid only for the fiscal year in which the exception 
is approved. A new request must be submitted in subsequent fiscal years.