July 2, 2015
Replacing what was once known as the List of Recurring Reports, this updated reference matrix provides background information on the schedules, actions, and distribution protocols for a variety of recurring planning-related reports, reviews, and products for which Division Offices are responsible. Development of this updated list was a joint effort between the Office of Planning (HEPP), Office of Highway Policy Information (HPPI), Office of Interstate and Border Planning (HEPI), Office of Natural and Human Environment (HEPN), Office of (RD&T) Program Development and Evaluation (HRPD), and the Resource Center's Planning Technical Services Team.
The list is organized into core planning program areas (e.g., planning work programs, transportation plan and program development, highway statistics data and reporting, highway systems actions, and planning-related funding programs), with cross-references to applicable statutory, regulatory, and technical/program references. Our intent is to periodically review, update, and transmit this list to the Division Offices for use in carrying out their respective planning-related program oversight and stewardship responsibilities.
If you have any questions or comments on the format or content of this matrix, please contact Lorrie Lau, Planning Oversight and Stewardship Team (HEPP-10), at (415) 744-2628. For specific program information related to the activities listed in this matrix, please contact the appropriate program office.
Division Office (DO)/Resource Center (RC) Key
A = Action
R = Review
I = Informational purpose, no other action needed
N = Optional information transmittal, demonstrates a noteworthly/immovative practice
| DISTRIBUTION AND RESPONSIBILITY | |||||||
|---|---|---|---|---|---|---|---|
| ACTIVITY | Due in Division Office (DO) | Due in HQ | Reference | DO | RC | HQ | REMARKS |
| Statewide Planning & Research (SPR) Program | 23 CFR Part 420 | ||||||
| Work Programs and Revisions | |||||||
| - Statewide Planning (Part 1) | Prior to program period | As needed | 23 CFR 420.115(a) | A | I (HEPP-10) | ||
| - Research and Development (Part 2) | Prior to program period | As needed | A | I (HRPD-1) | |||
| Annual Performance and Expenditure Reports | 90 days after end of period | 23 CFR 420.117(b) | R | ||||
| Other Periodic Performance & Expenditure Reports | 30 days after end of period | 23 CFR 420.117(b) | I | Not more frequently than quarterly. | |||
| Approval of Reports Before Publication | Per Division Office requirements | 23 CFR 420.117(e) | A | Waiver for all reports may be granted. Copy of unique reports to HEPP/HRPD. | |||
| Statewide Transportation Planning Products | 23 CFR Part 450 | ||||||
| Long-Range Statewide Transportation Plan | When updated | As needed | 23 CFR 450.214 | R | N | N (HEPP-10) | Updated as necessary. Provide sample copy to HEPP-10. Provide web address, if available. |
| Public Involvement Procedures | When updated | As needed | 23 CFR 450.210(a) | R | N | N (HEPP-10) | Must be developed and published. Update as needed. Provide web address, if available. |
| Statewide Transportation Improvement Program (STIP) | Prior to program period | 23 CFR 450.218(a)&(c) | A | Joint approval with FTA at least every four years. | |||
| STIP Amendments | As needed | 23 CFR 450.218(a)&(c) | A | Joint approval with FTA, if needed. | |||
| Federal Finding on STIP | Concurrent with STIP approval | When completed | 23 CFR 450.218(b) | A | I (HEPP-10) | Joint finding with FTA. Consider all aspects of the planning process. | |
| State Self-Certification on Planning Process | Concurrent with STIP submittal | 23 CFR 450.218(a) | R | Received with STIP. | |||
| State Consultation Process(es) with Non-Metropolitan Local Officials | When revised | When received | 23 CFR 450.210(b)&(c) | I | I (HEPP-10) | A review, comment, and modification process must be completed at least every five years. | |
| Highway System Actions | 23 CFR Part 470 | ||||||
| Interstate | As needed | As needed | 23 CFR 470.111 | R | A (HEPH-20) | Approval by HQ (Administrator). | |
| Federal-Aid Urban Area Boundaries | When revised | When received | 23 CFR 470.105 (a) | A | I (HEPP-30) | HQ needs for digitizing. Electronic format preferred (see FAPG non-regulatory Sup. G 4063.0). | |
| Functional Classification | When revised | When received | 23 CFR 470.105 (b) | A | I (HEPP-10) | Highway Functional Classification, Concepts, Criteria and Procedures | |
| National Highway System (NHS) | As needed | As needed | 23 CFR 470.113 | R | A (HEPH-20) | Approval by HQ (Director of Human Environment). See 23 CFR 470, Subpart A (Appendix D). | |
| Unified Planning Work Program (UPWP) | 23 CFR Part 450 and 23 CFR Part 420 | ||||||
| Transportation Management Area (TMA) MPO UPWPs | Prior to program period | As needed | 23 CFR 450.308(b) and 23 CFR 420 (Subpart A) | A | N (HEPP-10) | Provide web address, if available. | |
| Non-TMA MPO UPWPs | Prior to program period | As needed | 23 CFR 450.308(d) and 23 CFR 420 (Subpart A) | A | N (HEPP-10) | Non-TMA may used simplified statement of work. Provide web address, if available. | |
| UPWP Revisions/Amendments (All MPOs) | As needed | 23 CFR 420.115 | A | ||||
| Performance and Expenditure Reports (All MPOs) | When completed | 23 CFR 420.117(b) | I | Not more frequently than quarterly. | |||
| Approval of Reports Before Publication (All MPOs) | Per Division Office requirements | 23 CFR 420.117(e) | A | Waiver for all reports may be granted. | |||
| Metropolitan Planning: Metropolitan Transportation Plan | 23 CFR Part 450 | ||||||
| Metropolitan Transportation Plan Updates | When updated, at least every four or five years | As needed | 23 CFR 450.300(a) and 450.322(a)-(e) | R | N | N (HEPP-10) | At least every four years for air quality nonattainment and maintenance areas and at least every five years for attainment areas. Provide web address. |
| Metropolitan Transportation Plan Amendments | As needed | 23 CFR 450.322(c) | R | N | N (HEPP-10) | ||
| MPO Public Participation Plan | When updated | As needed | 23 CFR 450.316(a) | R | N | N (HEPP-10) | Must be developed and published. Update as needed. Provide web address, if available. |
| Air Quality Conformity Determination on LRTP | Concurrent with LRTP update, at least every four years | 23 CFR 450.322(d) | A | After receipt of MPO determination, joint determination with FTA (in coordination with EPA). | |||
| Metropolitan Certification/Certification Reports | |||||||
| MPO Self-Certifications | Annually or concurrent with the STIP/TIP cycle | 23 CFR 450.334(a) | I | Required for all MPOs. May be included in STIP, TIP or UPWP, at least every four years | |||
| FHWA/FTA TMA Certification Review Report | Every four years | When completed | 23 CFR 450.334(b) | A | I (HEPP-10) | Conducted jointly with FTA. Be sure to upload to the TMA Certification Database | |
| Transportation Improvement Program (TIP) | |||||||
| TIP (Approved by MPO and Governor) | Prior to program period | 23 CFR 450.300 (a) 23 CFR 450.324 (b) 23 CFR 450.328 (a) | R | No succinct Federal approval action is required for the TIP. FHWA/FTA approval of the TIP is through the STIP approval process. | |||
| TIP Amendments | As needed | 23 CFR 450.326(a) | R | Approval of the TIP amendment is thru the STIP amendment process. Approval procedures per MOU/MOA with FTA Region. | |||
| Air Quality Conformity Determination on the TIP | At least every four years, or when TIP has been modified (unless exempt projects). | 23 CFR 450.324 (a) 23 CFR 450.328 (b) | A | Applies to non-attainment and maintenance areas only. After receipt of MPO determination, joint determination with FTA (in cooperation with EPA). | |||
| Federal Finding on TIP | Concurrent with (S)TIP submittal | When completed | 23 CFR 450.218(b) 23 CFR 450.334(a) | A | I (HEPP-10) | At least every four years, joint finding with FTA when TIP is submitted. | |
| Metropolitan Planning Area Designations | |||||||
| Metropolitan Planning Area | When revised | When received | 23 CFR 450.312 (a) | I | I (HEPP-1) | HQ needs for digitizing. Electronic format preferred. | |
| Allocation Formulas for PL Funds | When revised | When received | 23 CFR 420.109 (a) | A | I (HEPP-10) | ||
| MPO Agreements | |||||||
| - Attainment or Entire Nonattainment Area | When completed | 23 CFR 450.314 (a) | R | Between MPO/State DOT/Transit Operator. Included in UPWP or Prospectus (23 CFR 450.314 (d)). | |||
| - Partial Nonattainment Area | When completed | 23 CFR 450.314 (b) | R | Between MPO/State DOT/State AQ Agency. | |||
| Designation/ Redesignation of MPOs | When completed | As needed | 23 CFR 450.310 | I | I (HEPP-10) | ||
| Office of Planning, Environment, and Realty | |||||||
| Highway Performance Monitoring System (HPMS) | |||||||
| Data Submittal | June 15 | June 15 | 23 CFR 420.105(b) HPMS Field Manual | A | R (HPPI-20) | State DOT uploads via HPMS online application. | |
| Certified Public Roads Miles | As requested by Division Office | June 1 | 23 CFR 460.3 (b) | A | R (HPPI-20) | Electronic format to HQ with Division Office review/concurrence: FHWA HPPI official electronic mailbox (HPInfoMail@dot.gov). | |
| Annual Field Review Report | Dec 15 | HPMS Field Review Guidelines** | A | R (HPPI-20) | Review memo to HQ. | ||
| Biennial --Toll Facilities in the United States | June 1 (Odd yrs) | 23 CFR 450.105(b) | I | R (HPPI-20) | Division Office sends directly to HQ | ||
| Highway Statistics Reports | Guide to Reporting Highway Statistics | R: HPPI-10 | State DOT or Division Offices ends directly to HQ. | ||||
| Motor Fuel (551-M) | See Remark | See Remark | Chapter 2 | I | R (HPPI-10) | Due 60 days after end of each reporting month. | |
| Finance (531, 532, 541, 542, and 543 (optional)) | April 1 | April 1 | Chapters 8 and 9 | R/I | R (HPPI-10) | ||
| Motor Fuel (556) | April 1 | April 1 | Chapter 2 | I | R (HPPI-10) | ||
| Vehicles and Drivers (561, 562, 566, and 571) | April 1 | April 1 | Chapters 3, 4, 5, and 6 | I | R (HPPI-40) | ||
| Finance (534) | June 15 | June 15 | Chapter 12 | I | R (HPPI-10) | Annually for State. Biennially for Local. | |
| Finance (536) | September 30 | September 30 | Chapter 11 | I | R (HPPI-10) | Biennially for odd-numbered years. Due nine months after end of reporting year. | |
| State DOT/Toll Authority Audits and Published Annual Reports and Form 539 (optional) | When published | When published | Chapter 10 | I | R (HPPI-10) | Annually. Due as soon as available. | |
| State DOT Budgets and Published Annual Reports | When published | When published | Chapter 13 | I (HPPI-10) | |||
| Transportation Bond Referendums | When published | When published | Chapter 9 | I | I (HPPI-10) | ||
| Highway Finance and Tax Legislation | When published | When published | Chapter 13 | I | I (HPPI-10) | ||
| State Highway Maps | |||||||
| State Highway Maps (Tourist) | When published | When published | I | I (HAIM-20) | Two copies to each D.O. and 100 copies to HQ. | ||
| Traffic Monitoring Data | |||||||
| Vehicle Classification Data | June 15 | June 15 | HPMS Field Manual | R | R (HPPI-20) | Part of annual HPMS submittal. | |
| Permanent ATR Data | Monthly - State DOT may forward it directly to HPPI-30 | Monthly | Heavy Vehicle Travel Information System Field Manual | I | R (HPPI-30) | Within 20 days after the close of the month for which the data were collected. Other References: Traffic Monitoring Guide. | |
| Continuous Automatic Vehicle Classifier Data | Monthly - State DOT may forward it directly to HPPI-30 | Monthly | Heavy Vehicle Travel Information System Field Manual | I | R (HPPI-30) | Within 20 days after the close of the month for which the data were collected. | |
| Weight and Vehicle Classification Data collected at Weigh-in-Motion sites | June 15 | As needed | Heavy Vehicle Travel Information System Field Manual | I | R (HPPI-30) | WIM data collected at non-continuous sites during a year should be submitted by June 15 of the following year. If continous WIM data are available, send up to one week of data per quarter. | |
| Annual Traffic Reports | When Published | When Published | I | R (HPPI-30) | When published. | ||
| Traffic Flow Maps | When Published | When Published | I | R (HPPI-30) | When published. | ||
| Miscellaneous Reports and Reviews | |||||||
| Motor Fuel Oversight Review | ** | Initial baseline reports no later than December 31, 2003 | July 24, 2001 HQ Memo | A | R (HPPI-13) | Annual progress reports and statement of verification by June 30. ** Submittal via UPACS. | |
| Heavy Vehicle Use Tax (HVUT) | |||||||
| - Proof of Payment | January 1 | January 1 | 23 CFR 669.7 | A | R (HPPI-10) | May be signed by Governor or designee. Make sure designations are up to date and new designation forms are needed when the Governor and/or designee leaves that position. | |
| - Compliance Review | Every three years | Every three years | 23 CFR 669.21 | A | R (HPPI-10) | ||
| CMAQ Annual Report | February 15 | March 1 | CMAQ Guidance | R | I (HEPN-10) | By March 1, CMAQ project data should be entered in the CMAQ Tracking System, and Reviewed for accuracy by the Division by March 1st. | |
