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Federal Highway Administration Research and Technology
Coordinating, Developing, and Delivering Highway Transportation Innovations

Report
This report is an archived publication and may contain dated technical, contact, and link information
Publication Number: N/A
Date: April 1997

Guide for Developing a State Transportation Research Manual

SECTION 2.0 GOALS AND POLICIES

2.1 Goals and Policy of the Agency

The goals of the Agency define the anticipated levels of achievement and the expected results of the effort expended by its employees. The Agency's well-crafted goals are guiding principles by which it functions.

In addition, the Agency has a mission statement that succinctly defines the reason for its existence. Mission and goals are designed to be understood by employees and customers alike. Goals are broad and encompassing, yet provide focus for the Agency to accomplish its mission and enable employees to work toward the same goals, regardless of what the individual assignment may be. The goals are tied to functional responsibility, assisting in defining the organizational structure of the Agency.

Policies are the documented courses of action which, when adopted, enable or direct personnel to reach the defined goals or accomplish the stated mission. Policies describe the means, process, or expected standard of practice by which the Agency operates.

The mission statement of the Agency and its goals and policies are available in the research manager's office.

COMMENTARY:

The research manual should make reference to or include agency goals and policies affecting the RD&T activities. Referencing them can be more practical than including them, particularly if the goals and policies change with administrations. Their presence along with the research unit's goals and policies will show the integration of RD&T activities with overall agency operations. Furthermore, incorporating in the research manual a clear reference to the most critical policies will make it easier for research personnel to maintain agency standards of operation.

Generally the goals or objectives and mission of most agencies are established, and copies of these statements can be procured by the research unit. All of these declarations are a means of defining what the agency does and why it is in business. Quite often these statements are clearly displayed in agency offices or appear with agency logos or on business cards. Research unit management may have an opportunity to give input to the agency's goals. Should such an opportunity occur, incorporating research and innovation into an agency's goals is very desirable.

It is critical for the research unit to understand and work toward accomplishing agency goals. Foremost, the research unit's goals should support the overall agency goals. (See Section 2.2.) In addition, the research unit, as all other agency units, is valuable to the organization if it contributes to the agency goals and assists in accomplishing the agency's mission

2.2 Mission, Goals, and Policy of Research, Development, and Technology

2.2.1 Mission

The mission statement expresses the reason for the research unit's existence. The mission statement assists the unit employees to better understand their role. Additionally, because there are others in the Agency who may not fully understand the research function or its contribution, a clear, easily understood, and well-publicized mission statement is informative to other Agency personnel. The mission statement articulates the "business" of RD&T in an appropriate manner, using the terminology of the research unit.

COMMENTARY:

The research unit's mission statement should be inserted in the manual after the above paragraph.

Mission statements are concise—generally no longer than one paragraph. These statements can be used in a variety of contexts, such as brochures, reports, and other items produced by the research unit.

It is imperative that the research unit mission be in concert with and fully support the agency mission. It is desirable for the RD&T mission statement to reflect its support of the agency mission directly by the terminology of the statement. A well-worded mission statement shows that the research function is an integral part of the agency.

Preparing a mission statement is a worthwhile endeavor for the unit's staff because it gives the research unit an opportunity to think through and express its purpose. For research units that have a mission statement in place, an occasional review is appropriate. A research unit should always have a current mission statement. A mission statement should be done whether or not the agency requires it.

A mission statement provides a solid marketing tool for customer education. Having a succinct statement of what the research unit does and why it exists will be helpful to those in the agency who need research work performed or for those who will ultimately implement research results.

Examples of research unit missions are as follows:

  • The primary mission of the research unit is to improve the transportation system in the state by conducting research, disseminating information, and assisting state and local transportation agencies.
  • The research unit shall perform tests; perform research; inspect and test all materials, supplies, equipment, and machinery used for state highway purposes or on highway projects involving federal funds; and develop procedures for this purpose.
  • The research unit shall support the scientific approach to highway and transportation system engineering for the state by securing and disseminating information vital to this approach.
  • The research unit shall provide materials and geotechnical engineering services and targeted engineering research in a timely and cost-effective manner for the department and other governmental agencies; develop and recommend engineering policies, standards, and specifications; manage a quality assurance program for materials incorporated into department projects; and conduct specialized engineering studies requiring investigations, testing, analysis, and recommendations.
  • The research unit shall make investigations to place at the service of the state the most approved methods of highway construction, improvement, and maintenance. The research unit shall also determine the methods of highway construction, improvement, and maintenance best adapted to the various sections of the state and the best methods of construction, improvement, and maintenance of highways by making experiments in relation thereto from time to time.

2.2.2 Goals

The goals of the research unit assist in defining the levels of achievement or expected results of staff efforts. The goals address current priorities of both the unit and the Agency.

Research goals are directed toward fulfilling the goals of the Agency and are entirely compatible with them. Such goals show that the research unit is part of the team to accomplish the Agency's mission. Unique RD&T goals allow the research unit to prioritize activities. Goals also contain an adequate level of detail so that the anticipated level of performance specified in the goal can be compared to the actual performance.

Staff members shall post the unit's current goals at their work station.

COMMENTARY:

Goals are clear and succinct and preferably short (one or two sentences). Most importantly, goals are achievable. While broad and encompassing the complex business of the whole research unit, each goal is focused and generally deals with only one item for achievement. Some goals may change regularly and others may continue as stated for many years.

The time frame for accomplishing the goals can be whatever is appropriate. What is important is that at some future time, the research unit can show performance based on some previously set standard. It is appropriate for the research unit to have goals, particularly if this is a requirement of other units within the Agency.

Setting research unit goals that support the Agency's overall goals show that the research unit is truly "contributing its share." In times of tight fiscal budgets and cutbacks in programs, it is particularly critical for research units to have a means to measure their contribution to the Agency's overall effort.

Although it is important to integrate the research unit's goals with the agency goals, care must be taken 1) that the research unit's goals stand on their own merit and 2) that the goals are not totally dependent on another unit's performance. The research unit should generally control the activities that are critical to achieving its goals.

As with a mission statement, goals can be marketing tools, especially for internal agency customers.

Examples of research unit goals are as follows:

  • Perform and promote transportation-related research and support activities.
  • Use Total Quality Management to ensure that our products and services are always of the highest quality.
  • Promote effective communication with all our customers.
  • Promote and ensure a high level of staff skills, productivity, and satisfaction.
  • Evaluate and assess materials and processes used in the construction and maintenance of asphalt pavements and surface treated roads.
  • Evaluate and apply non-destructive test procedures for the assessment of the integrity and inspection of our pavements and structures.
  • Assist the department with the development of technology to protect and enhance the physical environment with respect to roadside vegetation, wetlands, scour, and highway runoff.
  • Support the development and implementation of pavement and bridge management systems and implementation of a geographical information system to enhance the maintenance of the state's transportation system.

2.2.3 Policy

The research unit's policies and procedures are detailed in the Agency's administrative directives and policy manuals.

The policy development effort is an important exercise for the research unit because Agency endorsement of the policy brings visibility and approval from top management. Furthermore, there will be periodic review of the policies relating to RD&T processes. New policy development or a review process of existing policies allows Agency management opportunity to include priority responsibilities and other items of current importance. The effort to be continuously relevant is significant, because research activities, even when addressing critical needs, are sometimes seen as being apart from the Agency's day-to-day business. RD&T policies focus on the creation and scope of the research function, on the composition and responsibilities of research committees, and on product evaluation, implementation, and technology transfer procedures.

COMMENTARY:

If an agency has not yet developed an RD&T policy, it is desirable to do so. The actual names for the directives and manuals should be given.

An agency often may have one or more policy statements defining its research unit or activities relating to research. Such policies define authority, research processes, funding options, and resources assigned and/or provide other functional guidance or material for operational practice. RD&T policies are not a necessary element for operation, but they are very helpful in defining the scope of RD&T responsibilities. In most agencies, the RD&T policy formally acknowledges the place of research activities in the business of the agency.

The policies may be a paragraph in length, but more likely are several pages, and detail the appropriate organizational structures, appointments or duties of affected individuals, operating procedures, approvals, and definitions of terms and priorities. The policies should name the organization within the agency for whom the policy applies.

The ultimate motivation for appropriate and relevant mission statements, goals, and policies is to define all aspects of the research unit so that it is a contributing member of the agency team.

2.3 Strategic Management and Planning

2.3.1 Definition and Purpose

"Strategic management is the process of articulating a future vision of accomplishment for an organization and planning, directing, and controlling the organization's entire range of activities to work toward the desired state or position... Strategic management focuses on an overall vision of where the organization should be heading, i.e., what it plans to accomplish and how to get it accomplished. It provides for the involvement of the entire organization in managing its people, processes, and products toward successful accomplishment of its goals and objectives." [NCHRP Report 331, "Strategic Planning and Management Guidelines for Transportation Agencies," NRC, December 1990.]

The most important reason for a strategic approach to the research unit's activities is to better meet RD&T customers' needs. The research unit persistently studies internal and external customers and their businesses. Research management strives to know customers so well that the customers' problems can be anticipated. A priority of the research unit is to have solutions to the customers' problems at the time the problems require a solution. Strategic management and particularly strategic planning allow research to position itself correctly—to be doing the right thing at the right time, and not just doing things right. Therefore, planning the research program is critical to RD&T efforts.

COMMENTARY:

Many agencies have excellent strategic management processes in effect. Research units required to be part of an agency's strategic management activities, for the most part, will base their operations on the agency's strategic methods. These research units are no longer simply asking what shall we do in the next fiscal year or in the next 3 or more years. They are asking questions such as: what is likely to happen in the future, what should we do in light of it, and how might we influence its outcome? In addition these organizations are not only planning what to do, but aligning the day-to-day operations and budgeting process with the strategic planning and management of their RD&T functions.

Strategic approaches to the work performed by the research unit add value to the products of research. A few of these benefits are that the topics being researched are in direct response to needs of the agency, the staffing/expertise of the research unit is appropriate for the research required, and implementation of research results is more focused and has more potential for expedited application.

2.3.2 Process

The seven essential components of the strategic management process for the research unit are as follows:

  1. Development of the Mission Statement—Specification of the organization's basic function and responsibility, why it exists, what it is striving to achieve, and who its customers are;
    Goals—Statements of ends the organization wants to achieve, but are not necessarily achievable in the near term; and
    Objectives—Specific things the organization plans to accomplish for each goal with measurable, quantifiable results.

  2. Environmental Scan—Identification of the strengths and weaknesses of the organization's internal environment and the opportunities and threats presented by the external environment in which the organization operates.

  3. Strategy Development—Statements of how the unit will work toward achieving its goals and objectives in terms of its processes, products, personnel, resources, and organizational structure.

  4. Action Plan Development—A set of specific, accomplishable, detailed steps implementing a particular strategy; including schedule of work elements, completion dates, and delineation of responsibilities for each step of the plan.

  5. Resource Allocation—All resources - personnel, financial, and facilities and equipment - must be allocated in accordance with the organization's goals and objectives, strategies, and action plans.

  6. Performance Measurement—Tracking implementation of the action plan, concurrent tracking of progress toward stated goals and objectives, and indication of changes needed.

  7. Incentives Provision—Provision of a system of recognition and rewards.

    COMMENTARY:

    Although it is more desirable to work within an agency-wide strategic management process, a research unit may implement a strategic management process within its own organization. Moreover, strategic planning should be standard procedure within the RD&T arena.

    The basic components of the strategic management process are interactive and ongoing, i.e., an organization is never completely finished with any step, only one iteration of it. The components feed each other. They also require continuous monitoring and modification so that each organizational unit is working toward the same desired end within a constantly changing external and internal environment.

    The products of the strategic management process are comprehensive and fully involve all of activities of the research unit. The CAO or other senior manager to whom the research unit reports, and managers and others within the research group, as well as a strategic management "champion," must be active participants for the process to be successful.

    The effort is considerable but the results are highly advantageous for the research unit. The process enables the research unit to maximize its resources to meet its customers' needs, to perform its responsibilities most effectively, and to reward its personnel appropriately for successful accomplishments.

2.3.3 Product

As a result of its continuing strategic management activities, the following elements are in place in the research unit:

  • Well-articulated, current mission statements, goals, and objectives;
  • Organizational strategies for accomplishing the goals and objectives;
  • Properly defined business activities;
  • Business strategies;
  • Business action plans;
  • Strategically determined program budgets;
  • Performance measures;
  • Strengths, weaknesses, opportunities, threat analyses; and
  • Rewards tied to performance.

2.4 Developing Customer Support

2.4.1 Purpose

To remain a vital unit of the Agency, the research function must respond to customer needs and solicit customer support internal and external to the Agency. In Section 1.0, Purpose and Context of Manual, it was stated that the research unit exists for the benefit of the Agency, its employees and other transportation agency users. Attaining this goal 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 ensures that their needs are considered and satisfied 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 its 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.

2.4.2 Process

2.4.2.A Research Partners

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 is different throughout the process. For example, Section 3.3, Research Committees, shows the interaction of the different groups in the committee structure. Section 4.1, Research Problem Solicitation, describes the interaction of the Agency with transportation 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.

2.4.2.B Forums for Including Research Partners

B.1 Public/Private Meetings

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

B.2 Committees

All potential partners may be represented on specific committees, as defined in Section 3.3, Research Committees. The committee is the most procedural of the interactive techniques and enables non-Agency institutions to affect policy as voting members.

B.3 Institutional Discussions

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

B.4 Seminars

Agency seminars enable researchers, users, and other experts in a specific field to become familiar with broader issues. Seminars, presentations, and discussions increase understanding of issues and promote research efforts for the Agency.

B.5 Requests For Research

All potential partners will be asked about research needs. Section 4.1, Research Problem Solicitation, defines this process.

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 research partners, the state research manager should decide which are appropriate for the organization. A state is in the best position to determine how these partners can be most effectively served and involved in the process. It is possible that the best way to serve the customer may be by asking the customer for suggestions on research needs.

2.4.2.C Procedures

C.1 Forum Agendas

The nature of each of the forums described under Section 2.4.2.B. is unique, and a general agenda is outlined for them. Well-focused agenda items will be developed for each of the forums as follows:

  • Public-private meetings highlight distinctive issues. An Agency representative should make a presentation at the meeting. A directed discussion solicits input from each of the institutions present. This type of meeting may elicit input to the strategic plan or research agenda.
  • Committees, their agendas and the procedures followed are defined in Section 3.3, Research Committees. The committees 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 are 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 are the most formal of the meetings. Presentations are made by experts in the field, followed by an open discussion.
  • Requests for research follow the procedures outlined in Section 4.1, Research Problem Solicitation. Meetings are held on an as-needed basis, determined by the research manager.

    COMMENTARY:

    Although broad outlines are suggested below for each of the forums for including research partners, specific agendas should be developed for all of them. Many participants may be 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.

    An agency may find that some of the suggested agendas may work better in other forums; in fact there may be effective agendas that are not mentioned.

C.2 Ensuring Feedback

In an effort to retain the interest of the research partners, all participants in the interaction process are given feedback on the results of the forums by means of a memorandum. The program development process results in a research work program that is sent to all participants and agencies that were contacted for requests for research.

2.4.2.D Scheduling

Input for the development of the research work program is obtained from public-private meetings, institutional discussions and requests for research. To allow time in the development process, these forums are held at least 6 months before the date of submission of the work program to the FHWA.

The scheduling of the committee meetings is defined in Section 3.3, Research Committees. Seminars will be conducted as needed. All meetings are 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 in some states. Obviously, the text should reflect the states' desired frequency.

The notation, that time should be allowed for submission of the work program to the FHWA, reflects that the entire program is shown to FHWA as a courtesy. Many state programs are not entirely funded by FHWA.

2.4.3 Product

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, forums and suggested forum procedures assist the research unit in strengthening program development, consensus building, implementation assistance, technical input and the bolstering of partnerships.

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