[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: 23CFR420.117]

[Page 86-87]
 
                           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. 420.117  Program monitoring and reporting.

    (a) In accordance with 49 CFR 18.40, the STA shall monitor all 
activities, including those of its subrecipients, supported by FHWA 
planning and research funds to assure that the work is

[[Page 87]]

being managed and performed satisfactorily and that time schedules are 
being met.
    (b)(1) The STA shall submit performance and expenditure reports, 
including a report from each subrecipient, that contain as a minimum:
    (i) Comparison of actual performance with established goals;
    (ii) Progress in meeting schedules;
    (iii) Status of expenditures in a format compatible with the work 
program, including a comparison of budgeted (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 reporting requirements for individual 
RD&T studies is contained in subpart B of this part.
    (c) The frequency of reports required by paragraph (b) of this 
section shall be annual unless more frequent reporting is determined to 
be necessary by the FHWA; but in no case will reports be required more 
frequently than quarterly. These reports are due 90 days after the end 
of the reporting period for annual and final reports and no later than 
30 days after the end of the reporting period for other reports.
    (d) Events that have significant impact on the work program(s) shall 
be reported as soon as they become known. The type of events or 
conditions that require reporting include: problems, delays, or adverse 
conditions that will materially affect the ability to attain program 
objectives. This disclosure shall be accompanied by a statement of the 
action taken, or contemplated, and any Federal assistance needed to 
resolve the situation.
    (e) A provision of the Federal-Aid Project Agreement requires both 
the preparation of suitable reports to document the results of 
activities performed with FHWA planning and research funds and FHWA 
approval prior to publishing such reports. The STA may request a waiver 
of the requirement for prior approval. The FHWA's approval constitutes 
acceptance of such reports as evidence of work performed but does not 
imply endorsement of a report's findings or recommendations. Reports 
prepared for FHWA funded work shall include appropriate credit 
references and disclaimer statements.

(The information collection requirements in Secs. 420.117(b) and (c) for 
metropolitan planning areas have been approved by the OMB and assigned 
control number 2132-0529.)