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List of Recurring Planning Activities

May 22, 2008

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

List of Recurring FHWA Field Planning Activities
    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 periodAs needed23 CFR 420.115(a)A I (HEPP-10) 
- Research and Development (Part 2) Prior to program periodAs 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 updatedAs needed23 CFR 450.214RNN (HEPP-10)Updated as necessary. Provide sample copy to HEPP-10. Provide web address, if available.
Public Involvement Procedures When updatedAs needed23 CFR 450.210(a)RNN (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 approvalWhen completed23 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 revisedWhen received23 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 neededAs needed23 CFR 470.111R A (HEPI-20)Approval by HQ (Administrator).
Federal-Aid Urban Area Boundaries When revisedWhen received23 CFR 470.105 (a)A I (HEPP-1)HQ needs for digitizing. Electronic format preferred (see FAPG non-regulatory Sup. G 4063.0).
Functional Classification When revisedWhen received23 CFR 470.105 (b)A I (HEPP-10)"Highway Functional Classification, Concepts, Criteria and Procedures" (http://www.fhwa.dot.gov/planning/fctoc.htm)
National Highway System (NHS) As neededAs needed23 CFR 470.113R A (HEPI-20)Approval by HQ (Administrator). 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 periodAs needed23 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 periodAs needed23 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 420.115A   
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 yearsAs needed23 CFR 450.300(a) and 450.322(a)-(e)RNN (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)RNN (HEPP-10) 
MPO Public Participation Plan When updatedAs needed23 CFR 450.316(a)RNN (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).
Certification/Certification Reports
State/MPO Self-Certifications Annually or concurrent with the STIP/TIP cycle 23 CFR 450.218(a)
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 yearsWhen completed23 CFR 450.334(b)A I (HEPP-10)Conducted jointly with FTA.
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 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 submittalWhen completed23 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 Boundaries When revisedWhen received23 CFR 450.312 (a)I I (HEPP-1)HQ needs for digitizing. Electronic format preferred.
Allocation Formulas for PL Funds When revisedWhen received23 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 completedAs needed23 CFR 450.310I I (HEPP-10) 
Highway Performance Monitoring System (HPMS)
Data Submittal June 15June 1523 CFR 420.105(b)
HPMS Field Manual
A R (HPPI-20)State DOT sends directly to Division Office and HQ.
Certified Public Roads Miles As requested by Division OfficeJune 123 CFR 460.3 (b)A R (HPPI-20)To HQ with Division Office review/concurrence.
Annual Field Review Report  November 1HPMS Field Review Guidelines (June 2001) Continuous Process Improvement Model for HPMS (February 2003)A R (HPPI-20)Review memo to HQ.
Biennial --Toll Facilities in the United States  June 15 (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-10State DOT or Division Offices ends directly to HQ.
Motor Fuel (551-M) See RemarkSee RemarkChapter 2I R (HPPI-10)Due 60 days after end of each reporting month.
Finance (531, 532, 541, 542, and 543 (optional)) April 1April 1Chapters 8 and 9R/I R (HPPI-10) 
Motor Fuel (556) April 1April 1Chapter 2I R (HPPI-10) 
Vehicles and Drivers (561, 562, 566, and 571) April 1April 1Chapters 3, 4, 5, and 6I R (HPPI-40) 
Finance (534) June 15June 15Chapter 12I R (HPPI-10)Annually for State. Biennially for Local.
Finance (536) September 30September 30Chapter 11I 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 publishedWhen publishedChapter 10I R (HPPI-10)Annually. Due as soon as available.
State DOT Budgets and Published Annual Reports When publishedWhen publishedChapter 13  I (HPPI-10) 
Transportation Bond Referendums When publishedWhen publishedChapter 9I I (HPPI-10) 
Highway Finance and Tax Legislation When publishedWhen publishedChapter 13I I (HPPI-10) 
State Highway Maps
State Highway Maps (Tourist) When publishedWhen published  II (HAIM-20)Two copies to each D.O. and 100 copies to HQ.
Traffic Monitoring Data
Vehicle Classification Data June 15June 15HPMS Field ManualR R (HPPI-20)Part of annual HPMS submittal.
Permanent ATR Data Monthly - State DOT may forward it directly to HPPI-30MonthlyHeavy Vehicle Travel Information System Field ManualI R (HPPI-30)Within 20 days after the close of the month for which the data were collected.
Continuous Automatic Vehicle Classifier Data Monthly - State DOT may forward it directly to HPPI-30MonthlyHeavy Vehicle Travel Information System Field ManualI 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 15As neededHeavy Vehicle Travel Information System Field ManualI 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 PublishedWhen Published I R (HPPI-30)When published.
Traffic Flow Maps When PublishedWhen Published I R (HPPI-30)When published.
Miscellaneous Reports and Reviews
Motor Fuel Oversight Review **Initial baseline reports no later than December 31, 2003July 24, 2001 HQ MemoA R (HPPI-13)Annual progress reports and statement of verification by June 30. ** Submittal via UPACS.
Heavy Vehicle Use Tax (HVUT)        
- Proof of Payment July 1July 123 CFR 669.7A R (HPPI-10) 
- Compliance Review Every three yearsEvery three years A R (HPPI-10) 
TCSP Evaluation Report June 30June 30TEA-21 (Section 1221)R I (HEPP-20) 
CMAQ Annual Report February 15March 1CMAQ Guidance
(October 31, 2006)
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.
Updated: 12/03/2012
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