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

In section 1.0, Purpose, the programs, projects and products of research were stated to be for the benefit of the Agency, its employees and other transportation agencies and users. Attaining this objective requires the support of our customers. Their support can best be achieved by involving them in the process of developing the program and generating the products. This assures that their needs and satisfaction are considered at all times.

COMMENTARY:

This section of the guide, involving outreach activities, has a significant impact on the research unit. The nature of the outreach activities is distinctively different from the technical activities in which the research staff developed their competency. Therefore, it is important to enlist the assistance of other agency units to effect the best possible climates and exchanges of information with contacts outside the research unit.

Research Partners come from the ranks of the agency, universities, companies affiliated with transportation (trucking firms, suppliers, contractors, etc.), transit authorities, consultants, local governments, regional agencies, FHWA and the public. The partners involved and their level of involvement will be different throughout the process. For example, section 2.2, Research Committees Structure, shows the interaction of the different groups in the committee structure. Section 3.1, Problem Solicitation, describes the interaction of the Agency with transportation related institutions in soliciting research needs.

COMMENTARY:

The suggested list of potential partners in the research process is intentionally long. A state may decide that some of those on the list are not appropriate. A state may further decide that only some of the outreach partners listed should be involved, and then on an infrequent basis.

COMMENTARY:

The intent of this section is to provide as wide a range of interactive techniques as possible. Although several options are suggested on the

interactive effort of the Agency with the various outreach partners, the state research manager should decide which are appropriate for the organization. It may be determined that the customer may be best served and involved in the process by simply asking for suggestions on research needs. Furthermore, a state is in the best position to determine how these partners can be most effectively served and involved in the process.

Public and private session meetings with the various research partners, industries, university transportation centers, suppliers, contractors, transit authorities and local governments, will allow the different institutions to give their input on specific issues, while coming to understand their effect on other institutions.

All potential partners may be represented on specific committees, as defined in section 2.2, Research Committees Structure. The committee serves as the most formal of the interactive techniques and provides nonagency institutions the opportunity to affect policy as a voting member.

Public/private meetings of individual institutions will be held. For example, specific material suppliers, university transportation centers or contractors will be assembled to discuss their research agendas or foster an implementation effort of studies affecting their institutions.

Agency sponsored seminars will introduce broader issues with researchers, users and other experts in a specific field. These seminars will offer presentations and discussions directed to advance understanding of issues and promote research efforts for the Agency.

All potential partners will be solicited for research needs. Section 3.1, Problem Solicitation, defines the process.

COMMENTARY:

Although broad outlines are suggested below for each of the forums of inclusion for partners, specific agendas should be developed for all of them. Many of the participants are new to the agency and its processes. Substantial guidance may be necessary for these participants at the outset of the meetings. In any event, the most important consideration is the satisfaction of the participants. This can be achieved through sensitive consideration of their concerns.

Not all of the suggested agendas may be chosen since not all of the forums of Section 2.1.2.B may have been chosen.

The nature of each of the forums described under section 2.1.2.B, is unique and a general agenda can be outlined for them. Well focused agenda items will be developed for each of the forums:

• Public/private meetings will highlight distinctive issues. An agency representative will make a presentation at the meeting. A directed discussion will solicit input from each of the institutions present. This type of meeting may elicit input to the strategic plan or research agenda.

• Committees and their agendas are defined in section 2.2, Research Committees Structure. The procedures to be followed for the committees are also described in that section. The committees perform several functions, namely, assist in the development of the strategic plan, prioritize projects, monitor the progress of projects or discuss the formation of the research work program with Agency management.

• Institutional discussions will be conducted in a manner similar to the public/private meetings. The participants may be more familiar with the agency's functions, permitting a less formal agenda.

• Seminars will be the most formal of the meetings. Presentations will be made by experts in the field, followed by an open discussion.

• Requests for research will follow the procedure outlined in section 3.1, Problem Solicitation. Any meetings that are to be held will be on an individual basis.

All participants in the interaction process will be given feedback on the results of the forums. This could take the form of a memo for the public/private meetings, committee meetings, institutional discussions and seminars. The program development process will result in a research work program that will be sent to all participants and agencies that were solicited.

Input for the development of the program can be obtained from public/private meetings, institutional discussions and requests for research. Therefore, these forums will be held at least six months before the date of submission of the work program to the FHWA.

The scheduling of the committee meetings is defined in sections 2.3, Research Committees Structure.

Seminars will be conducted as needed. All meetings will be scheduled with the approval of the Research Management Committee.

Commentary:

The text implies the annual scheduling of program development meetings. This may not be practical or desirable to some states. Obviously, the text should reflect the states desired frequency.

The success of a research program hinges on our ability to develop strong and lasting interactive relationships with all the beneficiaries of research. The outreach partners, type forums and suggested forum procedures will assist the research unit with program development, consensus building, implementation assistance, technical input and the strengthening of partnerships.

Researchers seek to effect quality improvement by studying ways to enhance the process, method or materials presently in use. But the change inherent in an enhancement cannot come easily to the practitioner who is currently doing an effective job. Of the many activities delineated to develop and maintain customer support under Section 2.1, Customer Support Development, the committee structure is perhaps the most important.

Through committees, research staff will formally maintain contact with the operating units of the Agency and outside institutions. Meetings are more effective than a phone call or office visit. Non-research members of the committees are exposed to an interactive process that is formal and shown that a concerted effort is being made to elicit their support.

When they are appropriately in place, committees are useful in developing and updating a strategic plan, providing input for the periodic solicitation of problems, setting priorities for projects selected for the work program, giving advice and general guidance during the process of the project and serving as important conduits for the transfer of research results.

COMMENTARY:

The importance of the committee cannot be overstated. An effort should be made by the agency to involve committees with all aspects of the research; an open and interactive research process is more apt to get its products into the marketplace than one that is not. The institutional interaction that the committees foster can give a definite boost to the importance and implementability of the research results. Although the committees listed below cover all aspects of the research process, they do not preclude the existence of others. For example, large states may desire regional committees, a problem solicitation committee or implementation committee.

As important as the committee is, there is no one to organize the meeting other than the research unit. Considerable time and some cost will be involved in the most minimal of efforts.

There may also be a desire to limit the number of committees, or have none. This section is simply an expansion of one of the suggested Forums For Inclusion that was outlined in section 2.1.2.B . In that section several interactive methods were listed that a research program could draw from to both strengthen the program and conform to the FHWA regulations. There is commentary throughout this section that should assist a manager in deciding which committees could be formed. The result of not including some committees and the effect on the committees formed are also discussed.

COMMENTARY:

The Strategic Plan Committee can give the research unit and the Agency the proper start they need to achieve a relevant and implementable program by producing a firm foundation. The first step in an interactive process can be a strategic plan developed with the assistance of the statewide transportation community. The size of the Strategic Plan Committee may seem large, but the importance of the committee is found in its function. The membership and agenda are subject to modification, based on the needs and desires of the Agency. A Strategic Plan Committee may not be formed by every agency. The function of determining the research needs of an agency can be accomplished by any of the interactive techniques mentioned in section 2.1.2.B .

The committee will develop the 3-5 year plan for research activities. The plan will provide major categories of importance and emphasis areas of need within each of them.

Committee membership will be drawn from:

1. management of the Agency,

2. the research unit,

3. operating units of the Agency,

4. public transit agencies of the state,

5. the FHWA Division or Regional office,

6. organizations within the state, affected by transportation (truckers, contractors, etc.),

7. academia,

8. private consultants, and

9. intermodal groups.

With the aid of a facilitator, the meeting agenda will cover:

1. the mission and goals of the Agency,

2. the transportation and economic environment of the state and region,

3. the problems facing the state's transportation system,

4. the major categories of concern for the Agency, and

5. the detailed emphasis areas for research.

COMMENTARY:

The agenda of this committee is vitally important, since the product of their efforts is the research emphasis areas for the near term future. Although a facilitator will advance the meeting agenda, brief

presentations, by recognized experts, should be considered to cover the mission and goals of the Agency, the transportation and economic environment and the transportation problems facing the state. Discussion of each of these items should enhance the development of the research emphasis areas.

The Strategic Plan Committee will meet on a biennial basis at the headquarters office of the Agency.

COMMENTARY:

More frequent meetings of the Strategic Plan Committee would not be necessary, because the plan that is developed has a 3-5 year expectation. It may also be difficult to bring the caliber of people together more frequently than biennially.

COMMENTARY:

A Research Advisory Committee may be the closest interactive ally that could be formed to guide the research unit. All of the development aspects and some of the managerial aspects of conducting research are discussed with this committee.

If there was only one committee to form this could be the most helpful. Without it, the research unit would take on the program development and implementation oversight roles unassisted.

The membership and agenda should be selected according to the Agency 's needs and desires. Some state research programs may be too large for one committee to perform effectively. Several committees, covering functional areas such as structures, pavements, safety, planning, traffic, etc., may be desirable.

The Research Advisory Committee will review and prioritize the problem statements and recommend projects to the Research Management Committee for the next work program (Section 3.2). It will also bolster the implementation effort of the Project Committee (Section 2.3.2.C, Project Committee and Section 5.1, Outline of Activities of Technology Transfer).

Committee membership will be drawn from high level technical and managerial staff in:

1. the research unit,

2. the operating units of the Agency,

3. public transit agencies of the state, and

4. the FHWA Division or Region office.

COMMENTARY:

Upper Management is not included in this listing since they will have review and approval authority on the Research Management Committee. (Section 2.3.2.D). If a Research Management Committee were not formed, upper management could be used to complement the Advisory Committee.

Organizations within the state that are affected by transportation activities (such as trucking firms and contractors), academia and private consultants are not included because of the potential for future conflict on consultant or capital project contracts.

Issues covering problem prioritization and work program elements of the committees' functions will include:

1. the function of the agency,

2. a review of the emphasis areas of the strategic plan,

3. the technical merits of each problem,

4. the cost estimates of each problem, and

5. the ranking of the problems by the following categories:

   • staff research (project and technical transfer activities)

   • contract research

   • pooled fund proposals

   • University Transportation Center

   • NCHRP or TCRP

   • other shared funding possibilities.

Issues covering implementation activities of the committee will include:

6. a review and discussion of the objectives of those projects nearing completion,

7. a critique of the project's findings,

8. the development/review of the implementation plans for each project,

9. the assignment of responsibilities for the components of the implementation plans,

10. an assessment of implementation impediments and guidance in overcoming them, and

11. recommendations on specification and design improvements.

COMMENTARY:

More details on the work program elements of the meeting are given in Section 3.2 , Project Prioritization. The implementation activities of the committee will require the interaction of industry. More details of this interaction are given in Section 5.1 , Outline of Activities, Technology Transfer.

The committee will meet once a year in June at the central headquarters.

COMMENTARY:

Consideration should be given to calling more frequent meetings of this committee, particularly if the status of the ongoing projects warrant implementation review.

The selection of June for the meeting will allow time for a subsequent meeting with the Research Management Committee and the submission of the work program to the FHWA by early September. Obviously, this schedule should be altered to coincide with the agreed upon time of work program submission in the state.

COMMENTARY:

Each project will have its own project committee or task force, similar to the NCHRP project panels. The daily operations involving the project are the responsibility of the project manager and research management, but the Project Committee is the important outlet to the Agency and the marketplace.

In the absence of a Project Committee, the role of project champion could be solely the research principal in charge or the role could be shared by the Research Advisory Committee. Another alternative would be to integrate the projects, on an individual basis, with some of the Forums For Inclusion mentioned in section 2.1.2.B .

The Project Committee will assess the technical status by reviewing reports and holding discussions with project staff at meetings, evaluate overall progress and advise project staff on an individual project basis. The committee will seek to advance the technical aspects of the project in addition to the implementation effort.

Committee membership will be drawn from:

1. research managers and project staff,

2. operating units of the agency most affected by the results, and

3. non-agency organizations that have expertise in the area of research.

COMMENTARY:

The importance and/or sensitivity of the project may warrant a project committee drawn from a much larger arena. For instance, regional associations and other government agencies or entities could be represented on the committee of a project having broad policy implications. Contractors and suppliers could be represented on the committee of a project researching the use of a new material or change in construction procedures and specifications.

The state is going to have to decide on the chairperson role for this

committee. There are implications in selecting from any of the membership groups. The project staff will have to take the role of presenting the technical status.

Each meeting of the committee will cover:

1. a review of project objectives,

2. a discussion of the milestones and general progress of the project,

3. project problems and their solution, and

4. a review of the implementation activities and any impediments to them.

COMMENTARY:

The agenda for the Project Committee should be organized to take full advantage of the expertise of those attending. Attendees should be encouraged to speak freely and openly, allowing a free-wheeling atmosphere for the discussion of each agenda item. In this setting, those most affected by the research will be more likely to voice their concerns. Sometimes a meeting that is too formal won't let these thoughts be brought to the table.

The meetings will be called by research staff at the beginning of the project to ensure that everyone understands the project goals, objectives and methodology, and at points of project milestones, potential project redirection or other decision points. The meeting location will accommodate the membership.

COMMENTARY:

This is the most influential committee involved in the research process. It has the authority to make the research process smoother and bolster the resources of research to overcome problems and accelerate projects. The actual operation of the committee is covered in Section 3.2 , Project Prioritization.

As noted above, if this committee is not formed, management could be placed on the Research Advisory Committee. If the committee is formed, the membership and agenda could be selectively chosen from the suggestions below.

The Research Management Committee approves the research work program and all major program and project activities.

Committee membership is drawn from:

1. upper management of the agency,

2. research management,

3. the FHWA, and

4. state institutions and organizations (on a rotating basis).

COMMENTARY:

The voting membership of this committee can be restricted to the upper management of the agency. The committee, however, provides another opportunity for the agency to open its research process to non-agency organizations. The close relationship that research has developed with universities, for example, makes academic membership on the committee a natural. In addition, the expanding role of environmental considerations almost invites the appropriate state agency onto the committee. Each state best knows its situation, hence it would be up to them to decide on the committee membership under D.2, above.

The work program development portion of the agenda will include:

1. details of the program development process (including the participating staff and agencies),

2. a review of the emphasis areas of the strategic plan,

3. a review of the research unit's budget,

4. a discussion of the recommendations of the Research Advisory Committee,

5. the approval of the new projects in the categorized list (explained in B.3 above, under the Research Advisory Committee), and

6. the approval of all other items in the work program (this includes the carry over projects and other financial obligations the research unit may have).

Research unit operations will be included in the agenda with these items:

7. staff needs (training, office, disciplines),

8. equipment needs (field, office),

9. contractual agreements (procedures, status), and

10. implementation efforts.

Other matters that may be included in the agenda are:

11. conferences (sponsored or attended),

12. contacts (individual or organizational), and

13. presentations on significant projects.

COMMENTARY:

This meeting is vital to the research staff and imposes the burden of preparation on the unit. As noted in Section 3.2 , Project Prioritization, severe time constraints might limit discussions vital to the research unit. Accordingly, the research unit should prepare

material beforehand that would expedite the progress of the meeting. For instance, in the program development portion of the meeting, the new projects should be ranked in the categories listed in 2.2.2.B , Research Advisory Committee. Recommendations should accompany this list, particularly if funding is a limiting factor.

In the operational review portion of the meeting, research staff should prepare summary listings of the items that will be covered.

The Research Management Committee will meet in July, at central headquarters.

COMMENTARY:

The selection of the timing of the meeting should be determined by the submission of the work program to the FHWA and the state budget cycle. Sufficient time should be allowed to modify and print the program subsequent to the meeting and prior to submission. If management is agreeable, several meetings can be scheduled throughout the year.

The Research Committees Structure sets up an important organizational framework. This framework offers the research unit continual interaction with its customers. The results of this interaction are multifold, including a listing of research problems, prioritization of the problems, building and strengthening potential partnerships, development of a work program, technical assistance on projects, implementation assistance and an important outlet to the upper management of the agency.