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

The Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991 led the Federal Highway Administration (FHWA) to institute rulemaking changes that made individual states more autonomous and also more accountable for their research programs. ISTEA also mandated that a minimum of 25% of the State Planning and Research (SPR) funds be spent on research, development and technology transfer activities.

While the FHWA rulemaking is undoubtedly beneficial, empowering states to deal with their own issues, it does require that the states certify that their research programs conform to a pre-approved management process. Section 420.207 of 23 CFR, final rulemaking effective August 22, 1994, further requires the states to develop, establish and implement a management process that identifies and implements R,D&T activities expected to address highest priority transportation issues, and includes:

1. An interactive process for identification and prioritization of R,D&T activities for inclusion in an R,D&T work program;

2. Utilization, to the maximum extent possible, of all FHWA planning and research funds set aside for R,D&T activities either internally or for participation in national, regional pooled, or cooperatively funded studies;

3. Procedures for tracking program activities, schedules, accomplishments, and fiscal commitments;

4. Support and use of the TRIS database for program development, reporting of active R,D&T activities, and input of the final report information;

5. Procedures to determine the effectiveness of the state's management process in implementing the R,D&T program, to determine the utilization of the state's R,D&T outputs, and to facilitate peer reviews of its R,D&T on a periodic basis and;

6. Procedures for documenting R,D&T activities through the preparation of final reports. As a minimum the documentation shall include the data collected analyses performed, conclusions and recommendations. The states shall actively implement appropriate research findings and should document benefits.

At the time of ISTEA, many states had no formal process. In addition to the certification process, the increase in SPR funding -- which resulted in an enormous increase in many state research programs --has led to greater management demands on the research staff. In response to this and at the request of the states, the National Cooperative Highway Research Program (NCHRP) developed this guide.

The guide is being developed in two phases. The first phase, which is this document, responds to the requirements of the FHWA rulemaking : 23 CFR, Part 420, State Planning and Research and is for states to use in developing procedures and processes to meet the requirements. The second phase guide will replace the first phase guide and embody all aspects of the conduct and management of a state transportation research program. The second phase guide is expected to be available by the end of 1995.

Both phases of the guide will be written in the same format, namely, suggested manual text and a commentary, which will offer guidance for detailing a manual. The suggested manual text will offer several options from which the research manager can select. Not all options are expected to be desirable to all states. Each state must determine which options meet the needs and organizational structure of their agency. The commentary gives suggestions on the selection of options and relates the individual subsection of the guide to other subsections.