[Code of Federal Regulations]
[Title 23, Volume 1]
[Revised as of April 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 23CFR420.117]

[Page 83]
 
                           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  What are the program monitoring and reporting requirements?

    (a) In accordance with 49 CFR 18.40, the State DOT shall monitor all 
activities performed by its staff or by subrecipients with FHWA planning 
and research funds to assure that the work is being managed and 
performed satisfactorily and that time schedules are being met.
    (b)(1) The State DOT must 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) Reports required by paragraph (b) of this section shall be 
annual unless more frequent reporting is determined to be necessary by 
the FHWA Division Administrator. The FHWA may not require more frequent 
than quarterly reporting unless the criteria in 49 CFR 18.12 or 49 CFR 
19.14 are met. 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 must be reported 
as soon as they become known. The types 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 must be accompanied by a statement of the action taken, or 
contemplated, and any Federal assistance needed to resolve the 
situation.
    (e) Suitable reports that document the results of activities 
performed with FHWA planning and research funds must be prepared by the 
State DOT or subrecipient and submitted for approval by the FHWA 
Division Administrator prior to publication. The FHWA Division 
Administrator may waive this requirement for prior approval. The FHWA's 
approval of reports 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 must include 
appropriate credit references and disclaimer statements. (The 
information collection requirements in Sec. 420.117 have been approved 
by the OMB and assigned control numbers 2125-0039 for States and 2132-
0529 for MPOs.)