U.S. Department of Transportation
Federal Highway Administration
1200 New Jersey Avenue, SE
Washington, DC 20590
202-366-4000

Skip to content
Facebook iconYouTube iconTwitter iconFlickr iconLinkedInInstagram

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 3.0 RESEARCH, DEVELOPMENT AND TECHNOLOGY ORGANIZATION

3.1 Research, Development, and Technology Placement Within the Agency Organization

Formal and informal placement of the research unit within the Agency are each important to accomplishing its RD&T mission and goals. The formal structure is the location of the research unit on the agency organizational chart. The informal structure is the perceived fit of research into the agency based on the function it serves and its impact on the agency mission.

Research should maintain an effective place within the informal structure of the Agency. The process of innovation usually does not flow through the reporting hierarchy defined by the organization chart. Topics requiring attention that may soon develop into bona fide research needs, users willing to implement a new technology, funds available for technical research and other opportunities are often learned through a presence in the informal structure and communications within the agency.

COMMENTARY:

The state should indicate the position of research within the agency organizational (particularly the level of management to whom it reports) and its functional scope at the end of the first paragraph above. A copy of the agency organization chart should be placed in the appendix or in this section of the manual. A number of formal placements/structural arrangements are common among the state departments of transportation. The formal location of the research unit most often follows one of the following models:

  • Research unit reports directly to the chief administrative officer;
  • Research unit reports directly to the chief engineer;
  • Research unit reports to the highway construction and materials division management and may be physically located in/with the materials and test laboratory;
  • Research unit reports to chief planning staff member, being co-located with others funded by FHWA SPR money; and less commonly
  • Research unit is co-located with others performing strategic management services for the agency.

Due to the traditional hierarchial structure found within transportation agencies, very often the higher placement on the organization chart reflects the broader scope of the research unit's program. In many agencies the number of layers of management may define the research function—fewer levels of management may indicate an agency-wide purview while many levels of management may indicate a narrower field of focus. The research unit should be placed as highly as possible within the organization, corresponding to the mission and scope of the RD&T activities.

Transportation agencies traditionally have had many layers of management. However, during the past approximately 5 years, many agencies reduced (or are still reducing) the numbers of middle managers and other personnel thus producing a flatter organizational structure. During this time of change, the research unit should review its scope and seek proper placement within the agency based on recent structural and/or mission changes.

The research unit should have up-to-date, well-documented organization charts and diagrams of the procedures used in the RD&T program.

Furthermore, one of the most important items for a research unit, regardless of the location it occupies within the agency, is an enabling management. Such a management approach encourages maximum use of the expertise contained in the research unit by facilitating cross-unit functions and freeing communications among modal units and by encouraging risk taking and innovative approaches to implementation or other difficult-to-accomplish tasks that are beyond the research unit's direct authority. The influence and endorsement of top management in the RD&T activities is a particularly effective lever for operating within the informal structure of the agency.

3.2 Research Unit Organization

A chart of the organizational structure of the research unit is included in the appendix. The chart shows formal line responsibilities, project teams and matrix relationships with those inside and outside the research unit. Organization charts are useful for showing full-time equivalent staff members of the research unit and the technical expertise contained within the unit.

COMMENTARY:

Although the text refers to an organization chart in the appendix, the manual will have the chart—this guide does not include a chart.

There are several organizational models that state transportation research units tend to follow. Many of the structural and organizational arrangements are based on the type of RD&T effort performed by the research unit. Primary differentiation is often based on the amount of technical research, administration, and laboratory testing and evaluation services performed. However, most likely the research unit will be organized in one of the three standard models or some combination of the three.

The three standard models are Line/function organization, Project organization, and Matrix organization.

  • In a Line/function organization, the function or technical expertise is emphasized. Each project may be assigned to a function manager for coordination. The specific function is performed and the project passes along to another functional or technical expertise area outside the functional organization within the unit. This type of organization allows flexible use of people—they can be switched from project to project as their technical expertise is required, and there can be high technical function quality. However, the model is not client or end-product (or process) results oriented, and there is a tendency for lack of coordination and accountability for the result and its timeliness. Examples would be structural engineers, statisticians, or finance and administrative personnel as separate and distinct functions within the organization.
  • The Project organization model is composed of self-contained units (e.g., special projects for developing major systems or the Local Technical Assistance Program) having most, if not all, that is needed to develop the end-product or process. Each project would have its own technical experts, whatever the expertise may be, and others such as data processing and administrative personnel. Often this type of organization is used for large projects that can operate as a self-contained group within the research unit. Some of the agency reorganizations to goals/objectives-oriented teams that are currently popular are based on a project organization model.
  • A Matrix organization couples features from both Line/function and Project organizations and contains equal lines of control and influence from each of them. Project personnel are drawn temporarily from the Line/function organization and remain with the project for its duration. Reporting authorities change with the project although "home base" remains the Line/function organization. Depending on the way a team is organized, many are matrix managed; staff retain a functional home base but work on various project teams.

3.2.1 Available Resources

3.2.1.A Internally Available Resources

To conduct its mission, the research unit continues to retain internal resources, specifically, personnel, equipment, facilities, and funding.

A.1 Personnel

Research aspires to retain and recruit staff expertise in technical areas identified by the unit's goals and mission. Support staff should be adequate to maximize time and effort spent by the professional/technical staff.

A.2 Equipment

The physical research needs of the unit require equipment to conduct experiments, testing, and evaluations. While joint use of highly specialized equipment may be necessitated by the funds available, research projects have the assurance of access to necessary apparatus, machinery, and supplies. High-quality equipment helps ensure the accuracy of the research being performed.

A.3 Facilities

The physical research needs may require specialized facilities as well as unique equipment. Adequate laboratory and/or testing facilities to conduct research safely and effectively will be available to staff. A library, including off-site database electronic access, is also available to researchers.

A.4 Funding

The research unit receives funding from a variety of sources to fund RD&T activities controlled by its own unit and other units within the Agency. Federal-aid and state moneys are the primary funding sources; less common are other public or private grants and in-kind services supplied for specific projects. A number of the most commonly used sources are as follows:

  • SPR funds—consists of 80-percent federal-aid funds which are matched with 20 percent by the states. The research unit's funds are 25 percent of the SPR funds for the Agency. The amount is legislated in the ISTEA of 1991.
  • State funds—from general or transportation accounts of the State budget.
    • 402 Safety funds—federal-aid funds from section 402 of the transportation legislation, for safety projects.
  • Intelligent Transportation Systems, FHWA matching, or Federal Highway 100- percent funds—direct grants from the FHWA for specific projects.
  • Other ISTEA-legislated funds—special project funds for research or of which research may be a part.
  • Local Technical Assistance Program funds—50-percent federal match funds for each LTAP Center.
  • Other Federal funds—grants from other federal agencies such as FTA, FAA, and others.
  • National Science Foundation—grants for basic types of research efforts.
  • Private Sector funds—cost sharing and consortia participation.

    COMMENTARY:

    The most significant funding issue is the availability of funds to accomplish the goals and mission of the research unit. Often, research units cooperatively fund activities with other agency units or encourage the unit requesting research or technical assistance to fund the effort. Similarly, research units fund RD&T activities performed by other agency units. The budgeting process is particularly important, so that the appropriate amount of funds are reserved for the RD&T activities required by the agency.

3.2.1.B Externally Available Resources

There are many external resources available to the research unit. Some of them are within the Agency and outside of the research unit; however, many are external to the Agency. Such external resources are used as information sources, testing or equipment suppliers, contract research agents, and so forth. A high degree of contact is maintained with outside resources for research coordination, prevention of duplication of research effort, enhancement of technical expertise and an increase in knowledge. A solidly built network of external resources is necessary to support cost-effective and technically superior research efforts.

External resources provide the research unit with staff/expertise, equipment, and facilities not available within the Agency, thus greatly expanding the research capabilities of the Agency. For use of very costly equipment and infrequent use of specialized equipment or facilities, cooperative arrangements with others in the research community are continuously sought.

The network of external resources includes the following:

  • Other state transportation agency research directors and technical experts in other transportation agencies;
  • FHWA, division, regional, and headquarters staff, as well as those at Turner-Fairbank Highway Research Center;
  • Transportation Research Board (TRB);
  • American Association for State Highway and Transportation Officials (AASHTO);
  • Standards setting organizations: National Institute for Standards and Technology (NIST) and the American Society of Testing and Materials (ASTM) among others;
  • Research laboratories and institutes, private and federal;
  • Academic institutions;
  • Consulting community; and
  • Professional and trade associations.

    COMMENTARY:

    The most important aspect of using resources outside the agency is knowing what resources are available and how to access them. Establishing communications and professional contacts prior to a need arising greatly enhances the potential for use of the external resource.

3.2.2 Categories of Research

The categories of research performed by the unit fall into two areas: basic research and applied research. Basic research involves the study of phenomena whose specific application has not been identified; the primary purpose of this kind of research is to increase knowledge. Applied research involves the study of phenomena relating to a specific, known need in connection with the functional characteristics of a system; the primary purpose of this kind of research is to answer a question or solve a problem.

In general, the research unit programs are highly applications oriented. Although the public sector environment makes it very difficult to perform anything other than applied research (e.g., generate a specific product that can be used to improve transportation), efforts are made to reserve research funds to perform basic research efforts.

COMMENTARY:

For most research units, the category of research is not an issue. The purpose of the research program is to allow the research unit to perform applied research on specific problems encountered by the agency. The effort to perform basic research is usually reserved for university or industry contracts.

3.2.3 Types of RD&T Activities

The RD&T program is composed of various activities as follows:

  • Research Study: This is a systematic inquiry into a subject in order to discover or revise facts and usually includes analytical and experimental efforts to increase the understanding of causative relationships necessary for meeting the specific needs of the agency. In general the studies are longer-term efforts and are different from technical assistance/consulting described below. These efforts can be performed by staff or a consultant.
  • Synthesis or State-of-Practice Study: This is a study that examines all literature published on a specific topic and summarizes the results reported; such a study generally reports on the state of practice of the topic and gives recommendations regarding the best or most effective practices found by various organizations using the methods or products under study.
  • Continuation Study: This is used to designate, in the budget, the money required to continue research studies beyond the present fiscal year. It is an easy way of distinguishing new project budget requests from projects in progress that require continued funding.
  • Technical Assistance/Internal Consulting: This includes brief analyses, experiments, or literature searches for operating or administrative units to develop answers to specific and immediate questions. Such assistance is provided where special expertise or equipment is available in research. The effort usually results in a brief technical opinion or a short experimental project. The results are prepared for the requesting unit and generally are not formally published or distributed widely.
  • Development Project: This is an adaption, modification, and testing of an idea, process, or product for practical use under field conditions. Development is a continuation of the research process and conducted to verify expected performance and improve the utility of the item.
  • Technology Transfer: This consists of post-research activities to inform and to encourage practical use of innovations; in its broadest sense, technology transfer can encompass any activity that causes an innovation to occur. The research unit is generally responsible for dissemination of research results within and outside the organization and encourages training, conferences, symposia, and other events to facilitate the flow of information regarding new and successful technologies that may improve the transportation services delivered by the agency or by others. Technology transfer activities may include informing other agencies about research and technology originating in the agency or acquiring technology information from others to be used by the agency.

    COMMENTARY:

    In general, state transportation agency research programs contain most of the types of activities described in this section. Some types of activities are emphasized more than others depending on the specific orientation of the agency. The profile of a research program should match the expectations expressed in the mission and goals of the research unit and of the agency. The activities emphasized should be those best suited to fulfilling the articulated missions and goals.

3.3 Research Committees

3.3.1 Purpose

The purpose of research is to bring about improvement by studying ways to enhance the process, method or materials in use. Of the many activities delineated to develop and maintain customer support under Section 2.4.2.B, Forums for Including Research Partners, the committee is perhaps the most important.

Through committees, research staff formally maintain contact with the staff of the Agency and outside institutions. 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 apt to get its products into the marketplace. 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 an 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 set-up cost will be involved.

There may also be a desire to limit the number of committees or have none. This section expands on one of the suggested forums for including research partners outlined in Section 2.4.2.B. In that section, several interactive methods were listed that a research program could draw from to strengthen the program and conform to FHWA regulations. The result of not including some committees is also discussed.

3.3.2 Process

3.3.2.A Strategic Plan Committee

A.1 Function

The Committee develops the 3- to 5-year plan for research activities. The plan addresses major categories and subcategories.

A.2 Membership

Committee membership is drawn from the following:

  • The management of the Agency,
  • The research unit,
  • The operating units of the Agency,
  • Public transit agencies of the State,
  • The FHWA Divisional or Regional office,
  • Organizations within the State, affected by transportation (truckers, contractors, etc.),
  • Academia,
  • Private consultants, and
  • Intermodal groups.

A.3 Meeting Agenda

The meeting agenda covers the following items:

  • The mission and goals of the Agency,
  • The transportation and economic environment of the State and region,
  • The problems facing the State's transportation system,
  • The major categories of concern for the Agency, and
  • The detailed emphasis areas for research.

The research unit provides all material and makes all arrangements for the meeting. The meeting minutes and summary of results are compiled and distributed by the research unit. A meeting facilitator will participate.

COMMENTARY:

The agenda of this committee is vitally important, because the committee's efforts will determine the research emphasis areas for the near term. 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.

A.4 Meeting Frequency and Location

The Strategic Plan Committee meets biennially at the headquarters office of the Agency.

COMMENTARY:

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

The Strategic Plan Committee can give the research unit and the Agency the proper start to achieve a relevant and implementable program by producing a firm foundation. The first step in an interactive process may be a strategic plan developed with the assistance of the statewide transportation community. The membership and agenda are subject to modification, based on the needs and desires of the Agency.

An agency may choose not to form a Strategic Plan Committee. Agencies can determine research needs by using the interactive techniques mentioned in Section 2.4.2.B., Forums for Including Research Partners.

3.3.2.B Research Advisory Committee

B.1 Function

The Research Advisory Committee reviews and prioritizes the problem statements and recommends projects to the Research Management Committee for the next work program (Section 4.2.2.B, Project Prioritization). The Research Advisory Committee also bolsters the implementation effort of the Project Committee (Section 3.3.2.C, Project Committee, and Section 9.0, Implementation Process).

B.2 Membership

Committee membership is drawn from high-level technical and managerial staff in the following:

  • The research unit,
  • The operating units of the Agency,
  • Public transit agencies of the State, and
  • The FHWA Divisional or Regional office.

    COMMENTARY:

    Members of upper management are not included in this listing because they will have review and approval authority on the Research Management Committee. (Section 3.3.2.D). If a Research Management Committee is not formed, upper management should be used to complement the Advisory Committee.

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

B.3 Meeting Agenda

The work program issues included by the Committee at its meeting are as follows:

  • The function of the Agency,
  • A review of the emphasis areas of the strategic plan,
  • The technical merits of each problem,
  • The cost estimates of each problem, and
  • The ranking of the problems by the following categories:
    • Staff research (project and technology transfer activities),
    • Contract research,
    • Pooled fund research,
    • University Transportation Center research,
    • NCHRP or TCRP problem submissions, or
    • Other shared funding possibilities.

Issues related to implementation activities that should be covered at the committee meeting include the following:

  • A review and discussion of the objectives of those projects nearing completion,
  • A critique of the project's findings,
  • The development/review of the implementation plans for each project,
  • The assignment of responsibilities for the components of the implementation plans,
  • An assessment of implementation impediments and guidance in overcoming them, and
  • Recommendations on specification and design improvements.

The research manager chairs the committee and prepares the agenda and meeting material. The meeting minutes and summary of results are compiled and distributed by the research unit.

COMMENTARY:

More details on the work program elements of the meeting are given in Section 4.2.2.B, Project Prioritization. More details of the interaction of industry in the implementation process are given in Section 9.0, Implementation Process.

B.4 Meeting Frequency and Location

The committee meets 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 ongoing projects warrant implementation review.

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

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 this is the only committee formed, 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.

3.3.2.C Project Committee

C.1 Function

The Project Committee (1) works with the principal investigator, research staff and/or the contractor to develop the project work plan, (2) assesses the technical status of the project by reviewing reports and holding discussions with project staff at meetings, (3) evaluates overall progress, and (4) advises project staff on an individual project basis. The committee also seeks to advance the technical aspects of the project.

C.2 Membership

Committee membership is drawn from the following:

  • Research unit and project staff,
  • Operating units of the Agency most affected by the results, and
  • Nonagency organizations with expertise in the area of research.

    COMMENTARY:

    The importance and/or sensitivity of the project may warrant a project committee being 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 must decide who will serve as chairperson for this committee. Although the role of chairperson is given to a research unit staff member in the text, this role could also be filled by staff from an operating unit.

C.3 Meeting Agenda

The meetings are convened by the chairperson and each meeting of the committee covers the following:

  • A review of project objectives,
  • A discussion of the milestones and general progress of the project,
  • A discussion of project problems and their solution, and
  • A review of the implementation process and any impediments to it.

The research manager appoints a staff member of the research unit as the chairperson of the committee. The research unit makes arrangements for the meeting and is responsible for taking the minutes and distributing them to the membership.

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. A meeting that is too formal may prevent thoughts from being expressed.

C.4 Meeting Frequency and Location

All meetings are called by the chairperson. At the beginning of the project, a meeting is called to ensure that everyone understands the project goals, objectives, and methodology. Subsequent meetings are called at project milestones, potential project redirection, or other decision points. The meeting location should accommodate the membership. Contact with the principal investigator is maintained by the chairperson. Project staff will present the technical status.

COMMENTARY:

Each project has its own project committee or task force. While daily operations are the responsibility of the project manager (principal investigator) and research management, the Project Committee is an important source of information for the Agency and the marketplace.

In the absence of a Project Committee, the role of project champion should be the research principal responsible for the project conduct, or the role could be shared with the Research Advisory Committee. Another alternative would be to integrate the projects with some of the Forums for Including Research Partners mentioned in Section 2.4.2.B.

If the committee is used, its purview may not include all the functions listed. Functions should be added or deleted as appropriate.

3.3.2.D Research Management Committee

D.1 Function

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

D.2 Membership

Committee membership is drawn from the following:

  • Upper management of the Agency,
  • Research management,
  • FHWA, and
  • 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 natural. In addition, the expanding importance of environmental considerations invites the participation of the appropriate state agency on the committee. Each state has a unique situation, hence it would be up to the state to decide on the committee membership under D.2 above.

D.3 Meeting Agenda

The work program development portion of the agenda includes the following:

  • Details of the program development process (including the participating staff and agencies),
  • A review of the emphasis areas of the strategic plan,
  • A review of the research unit's budget,
  • A discussion of the recommendations of the Research Advisory Committee,
  • The approval of the new projects in the categorized list (explained in B.3 above, Research Advisory Committee), and
  • The approval of all other items in the work program (this includes the carryover projects and other financial obligations the research unit may have).

Research unit operations are included in the agenda with items as follows:

  • Staff needs (e.g., training, office, and disciplines),
  • Equipment needs (e.g., field and office),
  • Contractual agreements (e.g., procedures and status), and
  • Implementation efforts.

Other matters that may be included in the agenda are as follows:

  • Conferences (e.g., sponsored or attended),
  • Contacts (e.g., individual or organizational), and
  • Presentations on significant projects.

The committee is chaired by the Assistant Commissioner to whom the research unit reports. Meeting arrangements, minutes, and their distribution are the responsibility of the research unit.

COMMENTARY:

This meeting is vital to the research staff and imposes the burden of preparation on the unit. As noted in Section 4.2.2.B, 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 Section 3.3.2.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.

D.4 Meeting Frequency and Location

The Research Management Committee meets 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 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.

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 4.2.2.B, Project Prioritization.

As noted above, if this committee is not formed, responsibility for management could be assigned to the Research Advisory Committee. If the Management Committee is formed, the membership and agenda could be selectively chosen from the suggestions below.

3.3.3 Product

The section on Research Committees sets up an important organizational framework. This framework offers the research unit continual interaction with its customers. The results of this interaction include a list of research problems, prioritization of the problems, building and strengthening of potential partnerships, development of a work program, technical assistance on projects, implementation assistance, and an important source of information for upper management of the Agency. Proper functioning of the committee structure enhances the completion and utility of the research and intensifies the importance of research and the research unit.

Previous    Table of Contents    Next

 

Return to top

Privacy Policy | Freedom of Information Act (FOIA) | Accessibility | Web Policies & Notices | No Fear Act | Report Waste, Fraud and Abuse
U.S. DOT Home | USA.gov | WhiteHouse.gov

Federal Highway Administration | 1200 New Jersey Avenue, SE | Washington, DC 20590 | 202-366-4000
Turner-Fairbank Highway Research Center | 6300 Georgetown Pike | McLean, VA | 22101