State Planning and Research (SP&R) Guide
Oversight & Stewardship
The Federal Highway Administration (FHWA) is charged with managing entrusted
public funds efficiently and effectively while ensuring that
Federal highway programs are conducted in compliance with Federal
laws, regulations, and policies.
View FHWA
Deputy Administrator J. Richard Capka's memo on Stewardship
and Federal Highway Programs (January 8, 2003). FHWA also issued
a June 22, 2001, memo on Policy on Stewardship and Oversight of the Federal Highway
Programs. Other
FHWA documents released by the Stewardship and Oversight Committee
also can be found on FHWA's Web site.
States may use SP&R funds for planning and research.
This guide addresses SP&R funds that may be used to research
new knowledge areas; adapt findings to practical applications
by developing new technologies; and transfer these technologies,
including the process of dissemination, demonstration, training,
and adoption of innovations by users. The use of SP&R funds
by States and subrecipients is authorized by Title 23, U.S. Code, Section 505, and regulated
by Title 23, Code of Federal Regulations (CFR), Part 420;
State departments of transportation (DOT) are responsible for
monitoring activities performed by staff of subrecipients that
use SP&R funds.
One of the requirements for using SP&R funds is that the
State DOT must develop its own unique management plan, which
establishes a process for conducting its research and technology
(R&T) program. The FHWA Division Administrator must certify
the plan. The Transportation Research Board's (TRB) National
Cooperative Highway Research Program (NCHRP) report, "Guide
for Developing a State Transportation Research Manual"
is a support document for developing a management plan.
The process that State DOTs use to manage their research programs
varies considerably. Procedures vary from State to State for
developing the plan and selecting the projects. Most States
work with universities and other stakeholders.
The Standing Committee on Research (SCOR)/Research Advisory
Committee (RAC) Web site has posted a survey
on research programs in State DOTs. Information about research
policies, research oversight committees, project selection processes,
and the presence of the Local Technical Assistance Program can
be found in the survey.
Each management plan must include a provision for a periodic
peer exchange; periodic has been
defined as every 3 years. (See the Robert
Betsold September 20, 1996, memo and the Dennis
Judycki July 13, 2000, memo).
Some States have posted their management manuals online, providing
some examples of how different States have organized their transportation
research programs.
Although States tailor their management process to fit their
individual needs, FHWA established minimal requirements
for this process. The FHWA Division office must certify a State's management process before it is implemented.
The proposed use of planning and research funds must be documented
by DOTs and subrecipients in a work program acceptable to FHWA.
Title
23, CFR, Section 420.207 states that the State DOT's research,
development, and technology (RD&T) work program must, at
a minimum, consist of a description of RD&T activities to
be accomplished during the program period, estimated costs for
each eligible activity, and a description of any cooperative
activities, including the State DOT's participation in any transportation
pooled fund studies,
technology transfer activities, and NCHRP.
A list of the major items with a cost estimate should be included,
as should any study funded under a previous work program, until
a final report has been completed for the study. During the
development of the work program, States are required to search
TRB's Transportation
Research Information Services (TRIS) database to ensure
that another State is not already conducting the planned research.
Each work program must include a record of the FHWA certification
of the State's management plan. Upon receiving approval of the
work program from their FHWA Division office, States are required
to post their new research in the Research in Progress database. If changes
occur during the work program year, States must update the work
program, and their Division office must approve the changes.
To address progress in the program, the State must prepare an
annual report of activities detailed in the work program.
States also should post information on any resulting research
reports in TRIS and make them available to the research community
for further implementation. For example, the Wisconsin
DOT manages a database of online research reports in full
text for State, national, and international research reports.
NCHRP addressed State research needs
by releasing a report titled "Synthesis of Highway Practice 231: Managing Contract
Research Programs" in 1996. Although the report was
issued a few years ago, the information still can be used to
guide contract research programs.
At times, States will have questions about using SP&R funds
for specific purposes. To address these concerns, FHWA issued
Guidance on Use
of FHWA Planning and Research Funds for Travel and Training
on January 29, 2004. On March 11, 2004, FHWA clarified the FHWA, State DOT, and Metropolitan Planning Organization (MPO) Rights to Copyrighted and Patented Items Developed with FHWA Planning and Research Funds.
Shortcuts
Clarification of Policy on Indirect Costs of State and Local Governments
CFR
420.107: Minimum Required Expenditure of State Planning and Research Funds for RD&T Transfer
420.115: FHWA Approval and Authorization Requirements
420.117: Program Monitoring and Reporting Requirements
420.205: FHWA's Policy for RD&T Transfer
Funding
420.207: Requirements for RD&T Transfer
Work Programs
420.209: Conditions for Approval
"Guide for Developing a State Transportation Research Manual"
Guidance on Use of FHWA Planning and Research Funds for Travel and Training
FHWA, State
DOT, and MPO Rights to Copyrighted and Patented Items Developed
with FHWA Planning and Research Funds
FHWA Stewardship/Oversight Task Force Final Report
FHWA Stewardship/Oversight Task Force PowerPoint® Presentation
Memo: Stewardship and Oversight of the FHWA Construction Programs, January 8, 2003
Stewardship and Oversight Policy
Stewardship and Oversight Session Selected Legal References Key to Planned Discussions
White Paper: FHWA Stewardship of National Highway Programs
Wisconsin DOT Online Database for State, National, and International Research Reports
Contact William Zaccagnino with questions or suggestions about this guide.
