Interim Guide for Developing a State Transportation Research Manual (1995)

Research, one of the principal missions of the first national highway program in the United States is, in fact, the oldest continuous federal highway activity. The Federal Highway Act of 1921 authorized the first sustained fiscal support for highway research. Support for highway research was reaffirmed in the Federal-Aid Highway Act of 1962, which mandated funds for planning and research purposes only. Most recently, the Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991 required that a minimum of 25% of the State Planning and Research (SPR) funds shall be expended on research, development and technology transfer activities.

COMMENTARY:

The FHWA's R,D&T Program Manual gives a more expanded history of transportation research. Users are advised to refer to this manual if they wish to expand on the above text. In addition, it may be useful to include a history of research in the state in this section of the guide.

The primary purpose of the manual is to improve the effectiveness of research. By identifying the various functions of the Agency' s research unit and giving procedural information about research operations, this manual will produce a general model of a research management system. The programs, projects and products generated by the research unit, using the management system, are provided for the benefit of the Agency, its employees and other transportation agencies and users. To ensure the effectiveness of the research process and program, several key objectives are followed in the manual:

• determining the usefulness and implementation potential of the research,

• ensuring that short term research results are incorporated in a long term program,

• assessing research using project and program accomplishments,

• improving research through the coordination of several disciplines, and

• determining the continuation potential of a research project based on a periodic review of its progress.

COMMENTARY:

The use of the word Agency in the text above is meant to be a substitute for the name of the appropriate state and department. Wherever it is shown, the state and department name should be substituted. The objectives listed were not meant to be all inclusive of the various sections of the manual. They were stated to serve as guidance in assembling the process by which the research unit would function.

The authority for a state research organization to use federal funds is found in 23 U.S.C. 307(c). The authority for the state to administer the SPR funds in their program is found in 23 CFR 420, Subpart B.

COMMENTARY:

Besides the federal citations, all appropriate state citations should be included. These may include state legislation and University agreements. They may also include reference to department administrative manuals, etc.

For the interim guide this would be the appropriate place to give details on the mission and responsibilities of the research unit. Much of this information may be found in the administrative manuals.

The research management system manual covers the complete process used by the research unit, from program development through program evaluation, including technology transfer and the management requirements needed to maintain an effective research program.

The first section (Purpose and Context of Manual) defines the need for a manual. An organized process and solid management principles will help managers and staff improve their research program. This section also includes suggestions on how to assemble a manual using the guide.

The second section (Research, Development and Technology Transfer (R,D&T) Interaction) details the options of customer support processes used to increase the interactive nature of the research program. It explains the structure of the many committees that could form some of the many options of customer support.

The third section (Program Development) starts the process for the development of the work program. It includes the solicitation process, from developing a problem statement request to the screening effort conducted by the research staff on the problems. A review and prioritization of the problem statements leads to the formation of the work program.

The fourth section (Program Evaluation) lists the elements that give a measure of accomplishment of the research program. These elements include the status of each project, the techniques for evaluating the entire research program and the details of the peer review process using non-research unit reviewers.

The fifth section (Technology Transfer) gives an overview of one of the most important activities in the research process by defining the research partners, project tracking issues and outreach techniques. The input of reports to the TRIS database and the use of TRIS for program development are defined.

COMMENTARY:

An overview subsection to the manual gives the reader an expanded table of contents. The manual could benefit from expanding the description of the individual sections. It may make it easier to find those sections that are of interest. Sometimes the overlap of sections could have the reader hunting for the section wanted.

COMMENTARY:

The text of this section is not intended to be a part of the manual. Though there is commentary throughout the guide that will help in putting together a manual, this section gives a complete example. Throughout the guide the commentary will remind the research manager that the options listed are to be chosen to conform to the agency 's organization and potential for use. The options merely give examples of different ways an agency may operate.

Within each section of the guide there are two texts; one is intended as example text which the state may modify or use in developing the state's manual; the other is a commentary that gives explanatory information only. The commentary serves to define alternatives, gives reasons for overlapping text, explains the interaction of the various sections and provides further guidance in assembling the manual.

Refer to Section 3.2, Project Prioritization, which can serve as an example of how the manual can be assembled:

• Retain the first paragraph, on Purpose, completely (or insert those aspects of the ideas as they pertain to your state and situation).

• Skip the italicized commentary (as noted above, this serves as an explanation of the interaction of this section with others).

• The criteria listed in section 3.2.2.A can be selectively used; if a strategic plan was not developed, the first criterion can be rewritten to include the interests of the state. If a state does a benefit/cost analysis of the problem, reference should be made to it here. The commentary of this subsection gives several provisos for each of the criteria. It is important that the appropriate sections of the manual are in place to conform to the criteria that are finally selected.

• In section B, there are a few options on the number of committees that can be formed. If only one is selected, the text should be revised to reflect the change in roles.

• Under C. Procedures, the screening process is actually done by both the research unit and the Research Advisory Committee. Although the research staff provides a detailed

literature review and conducts staff interviews, the Research Advisory Committee offers their experience and personal insight. Again, sections of the Procedures should be either left out or revised depending on the selection of committees.

• The details of the balloting process on the problems, in section C.2, depend on the level of effort the research staff puts into preparation for the meetings. For example, the research staff, using the groupings of C.3, can use their own judgement to categorize all problems for the Research Advisory Committee. This could allow time for the problem reviewers to give a ranking to all problems within each category. The committee would not have to be concerned about the category of the problem.

• The meeting agendas, in section C.3, should be given careful consideration. The unfamiliarity of some committee members with the functions and procedures of the agency requires appropriate detail in the agendas. If there are special programs in research, these should be explained.

• The report section, C.4, should be included with the appropriate items.

• The committee meetings should be scheduled to leave enough time for the preparation of the work program and its submission.