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• Guide for Developing a State Transportation Research Manual

Guide for Developing a State Transportation Research Manual

SECTION 4.0  PROGRAM DEVELOPMENT

4.1  Research Problem Solicitation

4.1.1 Purpose

The primary focus of the research unit's strategic plan is to identify research emphasis areas. These research emphasis areas are used in developing the work program. The problem solicitation process is the first step in putting the emphasis areas expressed in the strategic plan into the project formation process.

The solicitation process provides field and operating staff with an in-house resource to which they can submit problems in order to receive an objective review, Agency contractors with a formal process which allows them to air their concerns, and the academic community with a way to submit problem statements and unsolicited proposals.

4.1.2 Process

4.1.2.A Potential Problem Submitters

A.1 Within the Agency

The primary customers for research are the operational units of the department, which have the responsibility to plan, design, construct, operate, and maintain the transportation networks in the State. Annual solicitation requests are forwarded to the bureaus and divisions of the Agency, encouraging all staff to submit problem statements. This is an important activity of the research unit in supporting its customers, who manage the transportation systems.

A.2 Organizations External to the Agency

An efficient transportation system cannot exist without direct support from related organizations such as the FHWA, universities with civil engineering and graduate transportation programs, private transportation associations, regional organizations, public transit agencies, trucking associations, and associations representing contractors and suppliers. Some of these organizations have research capabilities; others have needs that require the technical or financial support that the Agency can give through its research unit. The research unit has the responsibility to nurture the suggestions of these organizations to ensure that all problems are reviewed for possible incorporation into the research work program.

A.3 Transportation System Users

 The vehicle drivers and passengers and public transit users are the direct recipients of the efforts of transportation officials to provide the safest, most comfortable, economic, and efficient systems of transportation. The Agency's application and operation of the transportation system are the daily circumstances of the system users. The research unit has the responsibility to canvass the users' insights and comments for potential problems.

4.1.2.B Methodology

B.1 Techniques for Requesting Problem Statements.

All of the following techniques are acceptable to the research unit in requesting or receiving research problem statements.

B.1.1 Solicited

Annual requests for problem statements are sent to the participants listed in A.1 and A.2 above. The problem statements originating within the Agency are screened by the management of the functional areas of the Agency prior to submitting them to the research unit. Communication with non-Agency organizations is maintained by the research unit to ensure that the submitted problem statements involve statewide transportation needs.

B.1.2 Unsolicited

Problem statements are accepted at any time. Consideration is given to any problem for inclusion in the research work program, even though it does not conform to a stated area of need.  Statements are accepted from anyone listed in A.1 and A.2 above.

B.1.3 Brainstorming/Multi-Agency Meetings

Biennially, representatives of the operating units of the Agency, FHWA, universities, regional organizations, public transit agencies, contractor and supplier associations, and consultants are assembled to brainstorm about the transportation research needs of the state. The research unit coordinates the meeting, which is organized into five separate areas: operations management, infrastructure management, safety, environment, and public transit. A methodology will be devised prior to each meeting to determine those problems that will be selected in the process.

B.1.4 Literature Scanning

Research staff review publications and reports throughout the year to extract ideas pertinent to the operations of the department. The motivation and objective of the scanning is the satisfaction of the needs of the research department's customers. Innovation, not technology, is the impetus behind the reviews. All suggestions raised through this technique are discussed and developed with the appropriate functional units before submitting them as problems in the program development process.

B.1.5 Questionnaire

Biennially, the research unit distributes questionnaires, on a random basis, to elicit specific problems from the transportation system users described in A.3, above. The focus of the questionnaire is the travel experience of the public as it relates to the safety, congestion and convenience of trips.

B.2 Basis for Problem Statements

Focused problem statements are the result of well-defined needs. The research unit defines needs, responds to operational issues, and acknowledges the opinions of transportation professionals in forming a basis for accepting problem statements.

B.2.1 Defined Emphasis Areas

The solicitation request lists the emphasis areas within each of the major categories defining the Agency's near-term needs. Research problem statements received in response to this solicitation request are expected to conform to the stated emphasis areas. Critical issues are an exception and are explained below.

B.2.2 Operational/Natural Disaster Issues

Agency management decides on the critical issues to be considered for research, which can take any of the following forms:

• Policy or legislative concerns that require the attention of the Agency;
• Regulations developed by other agencies in government that may affect the department, demanding research;
• Recurring natural disasters that may require research; and
• Serious operational problems that may force the initiation of research.

B.2.3 Unrestricted

A solicitation for research problems is issued to the participants listed in A.1 and A.2 above without restriction to emphasis areas. The potential for transportation improvements through research can often be found through the brainstorming of individuals, unencumbered by the restrictions of emphasis areas.

B.3 Problem Format

Form 4-1 in the appendix, containing the information listed below, is sent to all prospective problem submitters. All submitted problems are expected to be on this form.

B.3.1 Problem Statement

When stating the problem, a submitter is expected to give an explanation of the existing problem and the situation that could exist if conditions were different. All the circumstances surrounding the problem should be explained. Often a problem is only known to a few people, so it is important that as much detail as possible be included in the problem statement.

B.3.2 Emphasis Area

Every few years, the Agency reviews its situation to determine those issues that may be critical to its operation in the near term. The list is published for the benefit of department staff. Research staff must pay special attention to the critical issues, primarily because the research unit is one of the uniquely supportive units of the department that can address the critical needs and put considerable resources to work on them. The form used to submit problem statements lists the emphasis areas.

B.3.3 Background

Usually, the existing situation described in the problem statement has been the result of a long history of activity. The history leading to the current condition is important to an understanding of the problem. If there is literature available on research studies related to the problem, it could give essential documentation on experiments that may have been conducted. This information is valuable to further reviews of the problem and experimental designs in potential research projects.

B.3.4 Scope of Work

An important aspect of any problem statement is a clear list of the objectives of the requested research.  Detailing an approach to attaining the objectives allows reviewers the opportunity to more accurately judge the potential success and cost of the research.

B.3.5 Implementation Statement

The primary purpose, and hence objective, of the research effort is to improve the operational responsiveness of the Agency. Because the implementation process is lengthy and involved, assurances of a high probability of actual operational improvements assists in advancing a problem statement. Many submitters may not have a firm grasp on an implementation process; research staff may be in a better position to complete this part of the statement.

B.3.6 Time and Cost Estimate

An estimate of the time and cost of the study is helpful in planning the various elements of the work program. At the problem submission stage, the time and cost estimates are based on the initial scope of work and are very uncertain. These estimates are expected to be adjusted at every stage of the review.

B.3.7 Submission Schedule

The research unit mails the solicitation request to all potential problem submitters early in January. The problem statements can be submitted at any time, but submitters are informed of the deadline for the upcoming fiscal year's program. To allow time for research reviews prior to the Research Advisory Committee meeting, submitters are asked to submit problem statements by March 1.

4.1.2.C Problem Screening by Research Staff

Upon receipt, research staff are assigned to review the problem statements based on the emphasis area of the submissions.It is the responsibility of the assigned staff to complete the reviews described below in time for the Research Advisory Committee meeting.

C.1 Discussion With Submitters

Research staff may have at least two discussions with the problem submitter. The first probes for all conditions or circumstances under which the problem exists. This information is used in discussions with other affected units (C.2) and to conduct a literature review (C.3, below). A follow-up discussion may be held with the submitter, at which time the statement is refined and the time and cost estimates revised. It may be appropriate to defer any action on the problem either because of recently completed or ongoing work or because the affected operating units cannot change their current practice.

C.2 Discussion With Affected Units

The research staff discusses the effect of research on the problem with the management of the unit to determine if the proposed study might improve the operation of the unit. If the submission came from outside the organization, the affected unit is asked to assess its potential for implementation. Refinements to the submission or rejection of the problem can result from these discussions.

C.3 Literature Review

After discussing the problem with the submitter and the affected units, the research staff conducts a literature search. The details of the search, which provide insights to the problem area, are discussed in Section 8.3, Information Resources. This information helps avoid unnecessary duplication of ongoing or completed research and enhances the problem statement in subsequent discussions, particularly with the submitter and the Research Advisory Committee.

C.4 Time and Cost Revisions

With the discussions and literature search completed, refinements are made to the time and cost estimates for the work. These revisions are important in deciding the size of the research program.

4.1.3 Product

The solicitation and research screening process provides the most complete and accurate information in the program development process. All necessary participants are involved in the solicitation process. Sufficient guidance is provided to the participants in defining the research problem statements, and a complete screening of the problems furnishes written literature and submitter reviews. With this effort completed, the other committees and management have assurance that ample information has been provided for their discussions and decision.

4.2 Project Selection Process

4.2.1 Purpose

The work program depends on a well-defined program development process. The project selection portion of the development process should be comprehensive in the functional scope of the reviewed projects and in the participatory nature of the involved staff. It must include department management and be designed for review by all participating parties.

Setting priorities for the problems received in the solicitation process allows the research unit to develop a work program within the limits of its resources. Although several shared funding arrangements (e.g., pooled fund projects) and partially supported institutions (e.g., NCHRP and UTC) make the determination of actual financial limits problematic, prioritizing ensures that the most important problems are discussed and advanced for consideration.

4.2.2 Process

The following factors are used by the Agency in determining the projects that are selected for the research work program. The Research Advisory Committee takes the factors into consideration in determining the work program that is recommended to the Research Management Committee.

4.2.2.A Agency/State Needs

A.1 Critical Needs (Emphasis Areas)

The problem statements are subject to a comparative review with the current critical needs of the Agency. Section 2.3, Strategic Management and Planning, outlines the emphasis areas and Section 3.3.2.A., Strategic Plan Committee, details the development of the emphasis areas. The current critical needs are on file in the research unit and are of utmost importance for the Agency in the near term and take precedence over all other project selection factors.

A.2 Operational Efficiencies

Staff of the Agency strive to have the operational procedures of the Agency conform to the most efficient practices known to exist. The research unit continuously endeavors to advance those studies and investigations that promise the most cost-effective procedures and practices, expending extra effort in supporting the problem statements that address operational efficiencies.

A.3 Emergency Situations

In conjunction with the Research Advisory Committee, the research unit responds quickly to emergency situations. The required response may take the form of site or procedures inspection by expert research staff, contract negotiations with an expert consultant, or the development of an organized research project. Agency management decides the emergencies that preclude following the normal procedures for the inclusion into the research work program.

A.4 Legislative Support and Response

Research staff are available to respond to requests of the state legislative body. The requests may be associated with the development of state legislation or with the requirements of recently enacted state or federal legislation. Legislative development may require expert testimony, the investigation of specifications, the development of procedures to satisfy legislative mandates or the development of an organized research project that will either satisfy or institute long-term legislation. The response of the research unit will be as quick as possible. In some cases, the formally instituted project selection process may not be followed.

4.2.2.B Project Prioritization

B.1 Criteria

In conjunction with the factors listed under Agency/State Needs and Resources, each problem received is evaluated using the following criteria:

• Does it address a critical need (emphasis area) of the Agency?
• Is there a high probability of success (consideration is given to a project where the potential benefits warrant a high-risk effort)?
• Is there ongoing or planned research on this specific problem, as determined by a TRIS search (Section 8.3)?
• Are the estimated budget and schedule acceptable, as verified in a review with the problem submitter (Section 4.1.2.C, Problem Screening By Research Staff)?
• Have the Agency units that may be affected by the research either proposed the problem or do they have positive comments on the suggested research?

  COMMENTARY:

  The criteria can be defined in more explicit terms and other items should be added to conform to the state's desires. For instance, if the agency or research unit has a strategic plan, reference to the strategic plan can be made instead of "a critical need of the agency."

  The criteria listed can be applied by whatever group the agency uses to prioritize the problems received. The criteria do not specifically note the state's current or statewide needs, but this consideration is implicit in the first criterion listed, as an emphasis area of the strategic plan. As noted in prior sections, the reference to the strategic plan should be replaced with "the Agency's critical needs," if that is appropriate. If the solicitation of problems was open to any issue, the first criterion should be omitted.

  Because implementation is a primary aim of the research, the input of affected agencies is vitally important.  This input should be discussed at the committee meeting by all participants. If there is no committee to set project priorities, however, the research staff should have considered them during their discussions in their screening process (Section 4.1.2.C).

B.2 Committees

The Research Advisory Committee (Section 3.3.2.B) uses the criteria of 4.2.2.B.1 to judge the technical merits of the problems and recommends a priority list of projects for management's approval. The Research Management Committee (Section 3.3.2.D) approves the content of the work program.

B.3 Procedures

B.3.1 Problem Rating by Committee

The results of the screening process, conducted by the research staff (Section 4.1.2.C) and including commentary on discussions with submitters and affected units, a literature review of the topic, and estimates of the time and cost of a potential study, are given to the Research Advisory Committee before their meeting. This information helps the committee members review the submissions, which they will rate on the basis of the Agency/State needs and the criteria in Section 4.2.2.B.1.

B.3.2 Balloting

Committee members submit the rated problems to the research unit for distribution to the other members, before the meeting of the Research Advisory Committee. Research staff averages the rating of each problem for use by the committee as a starting point for discussion at the meeting. The committee uses all aspects of the Agency/State Needs (4.2.2.A), Criteria (4.2.2.B.1) and Resources (4.2.2.C) to determine both the category for conducting the research and recommending a high-, medium- and low-ranked list of projects in each category.

B.3.3 Meeting Agendas

The Research Advisory Committee discusses the function of the agency, the emphasis areas of the strategic plan, the technical merits of each problem, the cost estimates of each problem, and the ranking of the projects and other matters as defined in Section 3.3.2.B. The Research Advisory Committee members discuss all problems submitted. The most extreme (high- or low-ranked) problems are addressed by their raters. Eventually, a consensus is reached. The priority listing of projects is then categorized into high, medium and low groups by categories as follows:

• Staff research (project and technology transfer activities),
• Contract research,
• Pooled fund proposals,
• University Transportation Center research,
• NCHRP proposals, and
• Other shared funding proposals.

The members of the Research Management Committee are informed of the details of the process (including the participating staff and agencies), review the emphasis areas of the strategic plan, review the budget, discuss the recommendations of the Research Advisory Committee, approve a final categorized list of projects, allocate funding, discuss the policy implications of the recommendations in arriving at a final work plan and consider other matters as defined in 3.3.2.D.

The agendas for both committee meetings are prepared by the research staff.

B.3.4 Reports

The research staff members summarize the rankings for the Research Advisory Committee meeting, prepare the minutes of each committee, and prepare the work program as approved by the Research Management Committee.

B.4 Schedule

The Research Advisory Committee meets in June. The location is varied to accommodate the participants. The Research Management Committee meets in July at the central headquarters.

4.2.2.C Resources

C.1 Staff

The size and abilities of research staff change over time. Because of the availability of resources outside the research unit, staff availability is not a consideration in the initial selection of projects for the work program. Staff size, expertise, and current workload determine those projects that will be conducted in house.

C.2 Financial

The financial resources accessible to the Agency to conduct research are listed in 3.2.1, Available Resources. The extent of possible categories for research are listed in 3.2.2, Categories of Research. The categories of staff research, contract research, pooled fund studies, University Transportation Center research and other shared funding research use dedicated funds, state appropriations, or another special funding source. Projects from each category are chosen from a prioritized list. Decisions on the level of funding for each category are based on management acceptance of the recommendations of the Research Advisory Committee.

C.3 Facilities

Agency facilities play a minor role in deciding on the projects selected for the work program. All other factors are more prominent. The testing and laboratory facilities of the Agency are used to the extent possible for all approved staff and contract research. When unique testing techniques are required that do not exist in the Agency, the approved project and/or task can be contracted.

C.4 Supported Agencies

The NCHRP and the UTC are two institutions that are partially supported by the Agency. Each has other financial resources that can be used to support research and each can be used as resources. The approved projects that cannot be conducted using financial resources under the Agency's control are reviewed for appropriate submission to these partially supported institutions.

C.5 Pooled Funds (National or Regional)

Approved problems considered as candidates for either national or regional pooled-fund projects are evaluated using the procedures defined in Section 4.4.3, Pooled Fund Projects.

C.6 Other Shared Funding Sources

Alliances with private industry and industry associations are sought as appropriate. The committee structure makes these contacts and discussions easier to organize.

4.2.3 Product

The prioritization process produces the best listing of projects that the agency can develop for the next year's research work program. The research unit has a description of priority selection in terms of agency need, a prioritization process applied to the problem statements and a match of the prioritized problems with the available resources. The problems critical to the agency are either addressed by staff, contract research, forwarded to the university centers for selection, submitted for pooled fund and NCHRP consideration, or discussed with potential partners for a shared funding arrangement.

4.3 Work Program Requirements

4.3.1 Purpose

There are many documents assembled by the research unit that help define and justify the expenditure of resources. The research work program is the single document that concisely describes all the research activities undertaken both on a technical and financial basis.

4.3.2 Process

4.3.2.A Assembling the Work Program

After the projects have been selected and approved by the Research Management Committee (Section 4.2.2.B), they are assembled with all other work program items listed in Section 4.4, for submission to FHWA for approval and authorization. FHWA approval is required for those activities using SPR funding. The work program is submitted to FHWA by September 1. This permits time for FHWA approval prior to the start of fiscal year activities on October 1.

The activities of the work program reflect all research pursuits by research staff for the period and the allocation of other research financial and equipment resources. The work program document contains all activities approved by the Research Management Committee using research resources.

4.3.2.B FHWA Work Program Requirements

On July 23, 1994, FHWA issued a final rule 23 CFR, Parts 420, Subpart B and 511, State Planning and Research Program Administration. The RD&T Work Program requirements needed to meet the FHWA regulations are defined in section 420.209 as follows:

(a) The RD&T program shall, at a minimum, consist of an annual or biennial description of activities and individual RD&T activities to be accomplished during the program period, estimated costs for each eligible activity, and a description of any cooperatively funded activities that are part of a national or regional pooled fund study including the NCHRP contribution. The work program shall include a list of the major items with a cost estimate for each item.

(b) The RD&T work program shall include financial summaries showing the funding levels and share (Federal, State and other sources) for all RD&T activities for the program year.

(c) Approval and authorization procedures in Section 420.115 are applicable to the RD&T work program.

4.3.2.C FHWA Certification Requirements

The final rule, 23 CFR, Parts 420 Subpart B and 511, also stipulates certification requirements. They are found in Section 420.213 in the appendix of this manual. A copy of the certification will be submitted with each work program. A new certification is not required unless major changes have been made in the State's RD&T management process.

4.3.3 Product

The activities of the research unit are concisely and completely described in a single document. The elements of the work program describe the technical and financial responsibilities of the research unit for the term of the program. This section describes the administrative process and requirements for the submission and approval of the program.

4.4 Work Program Item Descriptions

The work program is the definitive research document. It contains all funded research or staff participation for the fiscal period. The items listed below are defined in a general sense and the details of the Agency's staff participation is given. The work program contains these items, giving a synopsis of the activities, estimated budget, and time required to complete them.

4.4.1 TRB Research Correlation Services

Each year the Agency contributes to the general support of TRB. The contribution acknowledges that a minimum level of service from TRB is available. The support is contributed from the federal-aid SPR program allocation.  The TRB general support is an established line item in the SPR Annual Work Program and is listed as "Research Correlation Services."  This work program line item also supports the Agency's use of the TRB Transportation Research Information Service (TRIS) discussed in Section 4.4.8.A.2. The research unit acts as the Agency's promoter of TRB activities; Agency staff members are encouraged to participate in all TRB conferences and serve on their committees.

4.4.2 National Cooperative Highway Research Program

NCHRP is supported on a continuing basis through the contribution of funds from the AASHTO Member Departments. Annually, the Agency voluntarily contributes 5.5 percent of the funds available through the federal-aid SPR allocation.  The Agency executes an FHWA PR-2.1 form, which enables transfer of federal-aid funds directly to TRB without them first having to be transferred to the State.  A copy of the PR-2.1 form is in the appendix.

NCHRP was created in 1962 to accelerate research about acute problems that affect highway planning, design, construction, operation, and maintenance nationwide.  Pooling of state resources enables a concerted attack on the major problems of concern to the Member Departments. NCHRP is sponsored by AASHTO in cooperation with FHWA and is administered by the Cooperative Research Programs Division of TRB.

The AASHTO Standing Committee on Research (SCOR), with input from the Research Advisory Committee (RAC), is responsible for the program.  NCHRP addresses the full spectrum of highway transportation technical areas.  The program categorizes problems into eight research fields and subdivides these fields into 25 technical problem areas.  These are shown in Figure 1 in the appendix.

The important dates of the Program Formulation Cycle are as follows:

• May 30 — Deadline for First Stage Problem Statement Submittals by AASHTO Member Department
• October 31 — Deadline for Second Stage Problem Statement Submittals.
• April — SCOR recommendations are forwarded to AASHTO for Member Department approval through ballot; approved program referred to TRB, Cooperative Research Programs Division, for administration.

NCHRP Publications include the following:

• NCHRP Reports: publications documenting selected research performance, findings, and conclusions.  NCHRP reports are a formal series and issued by number.
• NCHRP Syntheses: a compendium of reports of the best knowledge available on the practices found to be the most successful in solving specific problems.  These reports are not as detailed as the NCHRP Report series.  Syntheses are also issued by number.
• NCHRP Research Results Digests: timely newsletter-format documents used to convey research findings before the completion of a project.
• NCHRP Legal Research Digests: papers compiled in a newsletter-format on pertinent legal issues.

  COMMENTARY:

  NCHRP is the cooperative research program for state agencies, and each state agency is welcome to take maximum advantage of it. Agencies (AASHTO Member Departments) participate in NCHRP through voting on the program presented by SCOR and by SCOR membership, through project panel membership, and, most importantly, through submission of research problem statements.

  It is particularly advantageous for a state agency to refer a nation-wide problem to NCHRP.  Because of the highly leveraged funds, the agency pays only a fraction of the cost of the research and receives the results of the full research effort.  To assist in having a problem accepted, it is productive to determine if other states are interested in the problem and to jointly submit or submit individual statements with appropriate references to the other problem submissions.

  Because of the consensus process among the 52 AASHTO Member Departments, NCHRP research studies may require a longer lead time to initiate the project and a longer time for approval of publication.  These time factors should be considered when proposing problems for the Program.  Often the research may be performed in less time by one state agency, but the cost for major studies may not be feasible for one agency to bear, thus the cooperative arrangement is beneficial for all.

4.4.3 Pooled Fund Projects

4.4.3.A  FHWA National Pooled Fund Program

FHWA sponsors a National Pooled Fund Program. A letter describing the proposed pooled fund projects is distributed to each state research unit manager. The research unit manager is responsible for soliciting opinions and comments from technical staff within the agency regarding the relevancy of the pooled fund project to the agency's needs.  If the agency determines that it should participate in a project, the research unit (along with other technical staff) determine the amount of financial support the agency will give to the project. The FHWA regional research engineer is responsible for getting the state to execute the funding transfer documentation, a PR-2 form. A copy of the form is in the appendix.  The project may be performed by FHWA technical staff or by contract.

As a subscriber, the state may have a representative on the project panel that meets to determine the scope of work for the project, to evaluate proposals if the research is performed by contract, and to review the final report of the effort.

The total amount of annual pooled fund financial support is a line item in the SPR budget.

4.4.3.B  Regional Pooled Fund Program

FHWA sponsors a Regional Pooled Fund Program, which is more of a bottom-up program than top-down as is the national program. A group of states may determine there is a problem of mutual interest to them. To begin a regional pooled fund project, the state DOT that champions the idea usually performs the initial and ongoing administrative duties.  This state research unit then coordinates with the FHWA Regional Research and Technology Engineer, who assists with soliciting study subscribers and with the funding process.  The administration and research may be contracted.  Each regional pooled fund effort varies in its financial protocol, which is usually based on the requirements of the lead state.

Although federal-aid funding of pooled fund efforts is at the traditional 80-percent level, if the project is determined to be of national interest, the FHWA Associate Administrator for Research and Technology may determine that the project is a 100-percent federal-aid funded project.  Most regional projects are funded at the 100-percent level. As with national efforts, reimbursable travel funding may be included in the study funds.

4.4.4 Experimental Projects

Field trials of the products of research are important and demanding because these trials are performed generally under normal traffic conditions and with a variety of environmental conditions.  Although field trials are vital, the products used are non-standard.  The potential impacts of new installation procedures or premature deterioration of the products require special consideration.

The research unit has several ways to support field trials and evaluate experimental products.  One method is through the FHWA Experimental Projects Program.

The FHWA Experimental Projects Program enables the Agency to conduct laboratory and field evaluations of new or innovative materials if the product or concept has not been the subject of previous research or is a solution for a current problem experienced by the agency. The research unit coordinates and monitors these projects when products are incorporated into federal-aid construction projects.  Funding for the performance evaluation is provided through issuance of a work order under the existing federal-aid agreement. The Agency ensures that the installations conform to accepted principles for experimental projects which include the following:

• Incorporation of adequate lengths for test sections and replications for the experimental feature;
• Installation of control sections of standard design against which the experimental feature can be compared;
• Taking precautions to ensure that the results are not biased by the site-specific conditions such as differential traffic volumes, topography, or other environmental factors.

These experimental projects normally require formal documentation, including a construction report, periodic field survey and performance reports, and a final report. The results of these experimental projects are directly applicable to the Agency. The information contained in these reports may also be of use by other state DOTs or other transportation entities. To enhance the application of these results, FHWA compiles a list of all of these reports, from all state DOTs, and makes the list available annually.

Experimental projects may be coordinated, evaluated, and monitored by the research unit personnel, or funds from the research budget may be transferred to a unit responsible for performing the experimental project.  Funds to support the FHWA program are contained as a line item in the SPR program budget.  Regardless of which unit is responsible for the performance of the experimental effort, research unit managers incorporate the funding requirements in the SPR budget estimates.

4.4.5 University Transportation Center Program (UTCP)

The U.S. DOT established the University Transportation Centers Program (UTCP) in 1987.  The originating legislation established ten regional centers, and ISTEA added three additional national centers.

The goals of the UTCP are as follows:

• Provide interdisciplinary education in all modes of transportation to tomorrow's professionals and to advance the skills of today's professionals;
• Address current and future transportation challenges and issues through applied, interdisciplinary, and basic transportation research covering all modes of transportation; and
• Disseminate the results of the research through carefully planned programs of technology transfer and early involvement with the prospective users of the products of the research.

The legislation provides federal funding for the centers on an annual basis, but these funds must be matched by non-federal monies. The Agency can be a source for matching research funding for the UTC. Should the appropriate research projects be defined, the research unit could receive twice the effort for the funding it contributes.

4.4.6 Local Technical Assistance Program (LTAP)

The Local Technical Assistance Program (LTAP) is a high-profile technology transfer program sponsored by FHWA. The program, established in 1981, encourages cost-effective improvements to roads and bridges owned and maintained by local government.

Federal-aid LTAP funds are available for 50 percent of the program funding; the state and the LTAP Center provide the match. Through training courses, production of users' manuals, on-site demonstrations, and a strong network of technical expertise available to the local governments, the program furthers the implementation of highway innovations at the local level.  The funds available and the people-intensive focus enable new processes, methods, and other innovations to be more easily applied to local highway practice.

The LTAP Center is located at the state university, staffed by non-Agency personnel. The research unit functions as a program administrative director and technical advisor. The Center provides proposals of work for the coming performance time frame and is awarded funds based on the proposals. The Center has a close association with agency technical personnel, who facilitate the flow of technical information to the Center and its customers.

4.4.7 Strategic Highway Research Program (SHRP) Implementation and Long-Term Pavement Performance (LTPP)

The FHWA Office of Technology Assessment (OTA) undertook the continuation efforts for the Strategic Highway Research Program (SHRP) implementation activities.  Implementation packages are prepared by FHWA for various SHRP products.  These "showcase" products are available to the agency.  The state has an aggressive effort to implement the products of SHRP, purchase equipment, conduct pilot and experimental projects, and initiate internal task forces to assist with the implementation effort.

The research unit has the responsibility to oversee the agency's SHRP implementation efforts. The SHRP Implementation Coordinator in research is the contact point within the agency for all SHRP implementation activities. The SPR Work Program has a line item for implementation activities.

The Agency is also conducting research on the Long-Term Pavement Performance (LTPP) module of SHRP. Test sections were installed in many locations; the agency is monitoring and evaluating the performance of these sections.  The research unit funds these LTPP SHRP activities out of SPR money.

4.4.8 Technology Transfer

The research unit performs technology transfer activities for the Agency and transfers the technology developed through the efforts of the research program.  A few methods used by research to transfer technology are as follows:

• Training Course—either developed in conjunction with a specific research project or through the National Highway Institute or other education and development avenues;
• Agency Library—an extensive collection of transportation-related literature and capabilities for data search and retrieval (for research as well as the agency);
• Report and Publication Distribution—research reports and other materials generated by RD&T activities;
• Research Project Results and Status—input to TRIS database;
• Executive Summary Services for Research Reports—short summaries of extensive research reports containing sufficient information for the reader/user to understand the basic principles and recommendations of the research; and
• Promotion of seminars, conferences, exhibitions, and other opportunities for disseminating research results materials, either in-house or outside of the agency;

The research unit performs or coordinates technology transfer activities and encourages others in the agency to participate in them. Research funds are often used to fund these activities when they are performed for operating units in the agency.

4.4.8.A TRB

TRB is a unit of the National Research Council, which is the principal working arm of the corporate institution that includes the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine.

TRB began in the early 1920s as the Highway Research Board.  The Board's name was changed in 1974 to the Transportation Research Board in recognition of its broadened approach to transportation problems.  TRB's purpose today is to bring scientific and technical knowledge to bear on transportation problems by encouraging and conducting research and disseminating information in the following areas:

• The planning, designing, construction, operational aspects, safety, and maintenance of transportation facilities and their components;
• The economics, financing, and administration of transportation facilities and services; and
• The interaction of transportation systems with one another and with the physical, economic, and social environment that they are designed to serve.

A.1 TRB State Representatives

The research unit represents the Agency to provide liaison with the Board.  A designated representative informs the Agency of TRB activities, receives all TRB publications, and advises TRB of current and contemplated research activities of the department.

General responsibilities of the TRB State Representative are as follows:

• Maintain an awareness of general procedures concerning the operation of TRB committees, NCHRP, Transportation Research Information Service (TRIS), and other special activities;
• Keep others in the Agency and other related state agencies informed of TRB activities;
• Recommend qualified people for membership in TRB committees and panels;
• Update and submit selective distribution forms for TRB publications annually;
• Update and return the information services (TRIS) summaries of ongoing research projects, and report initiation of new research;
• Supply TRB copies of the Agency's research reports and other reports of research as appropriate;
• Coordinate responses to TRB-initiated solicitations and questionnaires;
• Assist TRB staff members in scheduling meetings with agency personnel during field visits;
• Submit items for consideration for the TRNews; and
• Encourage Agency personnel to submit papers for presentation at TRB meetings and for publication.

  COMMENTARY:

  The TRB State Representative is the individual within the state who is responsible for facilitating the execution the TRB/agency contract and who receives the notice of amount of funds to support the TRB Correlation Services (see Section 4.4.1). The amount of this allocation is a line item in the SPR Work Program annual budget.

A.2 TRIS

TRB maintains and operates the Transportation Research Information Service, a computerized information storage and retrieval system that contains over 400,000 abstracts of published transportation research articles and reports and summaries of ongoing research projects. The AASHTO Research Advisory Committee Research-in-Progress database is incorporated into TRIS.

The research unit searches the system directly via AASHTO-VAN online services or indirectly by making requests through the TRIS staff. Other services, such as topical searches, are provided upon request. In addition, project summaries and abstracts of completed transportation research appear periodically in various TRB publications.

A.3  Library

The TRB library provides the Agency with access to an extensive collection of transportation literature and provides assistance in locating information available in other libraries.  The library is located in the TRB offices.

A.4  TRB Publications

TRB distributes a variety of publications. As a member state, the Agency receives a full complement of the publications. The TRB state representative receives these publications and is responsible for informing TRB of the needs and changes for future publications.  TRB annually asks the state representative for an update to the publication distribution.

In addition to NCHRP publications described in Section 4.4.2, TRB publishes the following:

• TRNews, a bimonthly magazine of TRB and transportation community activities;
• The Transportation Research Record series, documenting research papers presented at the TRB Annual Meeting in January each year;
• The Transportation Research Circular series, documenting presentations and committee activities; and
• Major policy studies and other special projects conducted through the work of project committees, staff, and consultants.

  COMMENTARY:

  Publications from TRB are valuable sources of information for the research unit.  Ideally, publications should be circulated among the research staff. Publications should be accessible to researchers and others within the agency.  A reference collection of the publications is helpful, whether located in the agency library or the research unit.

4.4.9 Implementation Activities

The research work program, and particularly the SPR work program, may contain an implementation effort as a discrete item. The research unit includes funds in its budget for implementation of research findings, because it is uncommon for research findings to be put into practice without additional cost or effort.  The availability of implementation funds can immediately remove financial barriers that might otherwise prevent implementation of an innovation.  Implementation monies can be used for some aspects of technology transfer and other appropriate activities fostering the adoption of research findings.

As noted in Section 9.0, Implementation Process, funds are programmed for staff, facilities, testing, adaptation, packaging, and promotion of new technology, particularly if a large-scale effort is expected.

4.4.10 Peer Exchange Process

In conjunction with the FHWA RD&T Program Management process, peer exchanges of Agency research units may be made once every 3 years. Sufficient resources are set aside under this line item in the work program to provide for the peer exchange of the Agency's research program and the time requirements of serving on an exchange team to another state.

4.4.11 Staff/Contract Projects

Staff and contract projects make up most of the research unit's activities.  Projects are selected for performance within each work program.  The research unit lists the anticipated projects to be initiated in the coming year and usually gives an estimated project cost and time for completion.  In addition, the work program contains descriptions and status reports on research-in-progress.

The research unit performs research either with the unit staff or contracted researchers from academia, research institutes, other non-profit organizations, and the private sector. Each project in the work program includes the performing organization, such as the research unit or agency staff or contract organization, and the principal investigator.

A project number is assigned to each research project.  The numbering system is designed by the research unit and communicates such items as the year the project was initiated, staff or contracted research, and type of project (e.g., research, experimental, demonstration) or funding source.

4.4.12 Administration

The work program contains the necessary funding to support administrative activities.  The administrative costs include fringe benefits, overhead, labor for all staff members, and direct salary for staff administrative functions (i.e., clerical, secretarial, financial, procurement/contract, and other similar labor costs).  Direct costs, such as staff training, non-project specific travel, facilities and upkeep, supplies and equipment not chargeable to projects, and other non-project specific costs, are part of the overall administrative costs.