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Guide for Developing a State Transportation Research Manual

SECTION 5.0 PROJECT DEVELOPMENT

5.1 Project Work Plan Preparation

5.1.1 Purpose

A project's research effort is defined in its work plan. A concerted effort in preparing work plans assures focused objectives, improved research, and a high potential for implementation of the project results. Focused objectives save resources and time. Improved research maintains credibility in the performance of the research team and their results. The potential for implementation sustains interest, enthusiasm, and a desire to induce change.

5.1.2 Process

Agency operating staff, by incorporating their opinions and requirements, play a prominent role in preparing the project work plan for research conducted by staff. The research unit ensures that all appropriate components are contained in the work plan. For projects accomplished by contract, an RFP describes the information required.

5.1.2.A Participants

The Project Committee (Section 3.3.2.C) works with the research unit and the principal investigator to involve all appropriate disciplines in the preparation of the work plan for staff research and in the preparation of the RFP for contract research.

A.1 Agency Operating Staff

Most research projects respond to the needs of the operating units of the Agency. Staff from those units participate in the Project Committee and provide a very important contribution in meeting research objectives.

A.2 Suppliers/Contractors

When appropriate, material suppliers or construction contractors are also included in the work plan preparation and may become members of the Project Committee. The success of the research and the implementation of the results may depend on construction techniques and the availability of materials before specifications are developed.

A.3 FHWA/Regional Agencies

Representatives from FHWA Divisional and Regional offices also contribute to the work plan and offer regional and national perspectives on research in other states. Regional transportation agencies are asked how the project affects their operations.

A.4 University Staff

For Agency-prepared work plans and RFPs, appropriate expertise is sought from universities. The only limiting factor to selecting academics is a potential conflict on contract research. No proposals are accepted from members of the Project Committee.

5.1.2.B Components of Request for Proposals (RFPs)

All projects advertised for contract have the following information.

B.1 Project Title

The problem title should be concise.

B.2 Statement of Problem

Current operations of the Agency are thoroughly described and defined to highlight the existing problem.

B.3 Research and Implementation Objectives

The conditions that the Agency wants to exist after the successful completion of the research are listed. A generalized statement of the implementation process is given. Some advertised projects may include a general list of tasks that the contractor is expected to respond to in detail.

B.4 Study Time and Cost Limits

Because the Agency needs timely research results, deadlines for completion are stated in each proposal. For some projects, a limited budget allowance will be stipulated. Otherwise, cost estimates are not given.

B.5 Administrative Requirements

Administrative concerns must be satisfied by a proposal. Responding contractors are required to include the following:

• Type, content and frequency of project reporting
• Frequency of project meetings
• Contractor's use of subcontractors, particularly minorities
• Submission of the appropriate number of copies of the proposal
• Date of submission of the proposal.

B.6 Proposal Submission Requirements

Many of the following items in the submitted proposal are defined in Section 5.1.2.C, Components of Project Work Plan for Staff Research:

• Detailed statement/understanding of the problem;
• Summarized history of problem background and an understanding of how the problem affects the Agency;
• An essay on the objectives of the research;
• Detailed work plan showing individual tasks;
• Complete schedule by task;
• List of all lab, testing, and computer facilities available to the contractor;
• Details of the project budget, including staff salaries, fringe benefit and overhead rates, subcontractors, travel, equipment, and any other major item;
• Resumes of principal staff;
• Availability of principal staff during the term of the contract; and
• Concise description of the pertinent experience of the organization.

  COMMENTARY:

  In addition to the listing above, an agency may have unique requirements that must be in the RFP. These can be added to either the administrative or submission requirements.

5.1.2.C Components of Project Work Plan for Staff Research

The principal investigator of the research unit is responsible for developing the project work plan. The research unit serves as the working arm of the Project Committee and ensures that all components of a project work plan are included. The principal investigator makes the information gathered by the screening process (4.1.2.C) available to the Committee for appropriate review of the work plan.

C.1 Project Title

The title for the project should be short but descriptive enough that anyone scanning a list of titles will not be misled.

C.2 Statement of Problem

It is necessary to give a complete description of the problem and its effects on the operations of the Agency. An explanation of the inadequacy of a technique, material, or specification can define the extent of the problem.

C.3 Problem Background

The conditions that currently exist must be defined and all known research on the issue summarized. A history of the condition provides knowledge and important background for the development of the work plan.

C.4 Study Objectives

The objectives define the conditions that are expected to exist at the completion of the work. These conditions are described by goals that give the optimum technique, material, or specification from a financial, operational, environmental, or social viewpoint.

C.5 Plan of Work

The plan of work demonstrates an understanding of the techniques and method to be used to resolve the problem. The work plan must contain all components necessary for the successful completion of the research, including updating the state of the art; design of the research experiment; lab, testing and computer facilities; data collection elements and procedures; analytical procedures; notation of key decision points; schedules of meeting; and reporting details.

C.6 Implementation Statement/Project Benefits

The process used to implement the research will be outlined. Because of the potential for change in the research strategy, detailed definition of the implementation process is not given in the work plan. Qualitative benefits of successful research should be stated.

C.7 Work Schedule

The schedule of tasks of the work plan components, listed in C.5 above, include both calendar time to accomplish the task and staff hours per task. Milestones and decision points are also shown.

C.8 Cost Estimate

Each component of the work plan represents estimates of salary, equipment, travel, and miscellaneous costs. For example, components show the following:

• Wages for investigators, technicians, and support staff;
• Fringe, administrative, and indirect charges;
• Equipment needs;
• Travel costs;
• Miscellaneous expenses; and
• Subcontractor costs (itemized above).

  COMMENTARY:

  Although both staff research and contract research have work plans, their requirements and methods of preparation differ. Section 5.1.2.B gave the requirements for an RFP, the response to which is a contractor proposal that is essentially a work plan. Section 5.1.2.C concentrates on staff research project work plans. Common elements are listed, but there may be unique requirements that agencies may need to include.

5.1.3 Product

The project work plan defines the tasks of the research project. The components of the work plan are defined so as to achieve an implementable product. The requirements of a project work plan and an RFP help ensure an appropriate in-house research effort and contractor response. The participants, RFP elements, and work plan elements enable all parties to examine and improve the plan.

5.2 Staff Research Project Development

5.2.1 Purpose

It is in the Agency's interest to retain staff and enhance their expertise. One way to do this is to conduct appropriate in-house research. Functional areas of research are consciously chosen in which staff can develop expertise. Research staff are continuously and thoroughly trained and required to keep abreast of the developments in the selected areas to form the nucleus of Agency expertise. Support from the operating units of the department complement the Agency's abilities.

5.2.2 Process

5.2.2.A Research by Functional Area

The functional areas of the department are considered basic for developing Agency research. Staff and contract research is fostered in the following:

• Administration—personnel and procedures;
• Bridge design—innovative structural and deck design and bridge management ;
• Commercial vehicle operations—freight movements;
• Construction techniques—innovative contracting practices;
• Environment—air, noise and water quality, recycling, and waste;
• Information technology—literature dissemination;
• ITS—traffic information and management systems;
• Intermodal operations—passenger and freight movements between modes;
• Maintenance—maintenance management;
• Materials—asphalt and concrete mixtures;
• Pavement design—techniques and mixtures;
• Planning—modelling and forecasting techniques and congestion management;
• Policy issues—management decisions;
• Safety—traffic and roadway;
• Surface design—pavement management and safety-related geometric design;
• Traffic—traffic flow and system improvements; and
• Transit issues.

5.2.2.B Research Objectives

The goals and objectives of research in each functional area listed in Section 5.2.2.A are determined by the operating units of the Agency based on the strategic plan. Although staff perform many roles, research performed by staff takes three general forms. These are described in Section 6.0, Conducting and Monitoring Research Projects, and include the following:

• In-house research,
• Technology transfer efforts, and
• Monitoring of contract research.

5.2.2.C Development of Staff Project Work Plan

The work plan for staff research is developed by the researcher given responsibility for conducting the project. See Section 5.1.2.C, Components of Project Work Plan for Staff Research. This activity is undertaken in collaboration with the Project Committee and the submitter of the problem statement. Review material amassed under 4.1.2.C, Problem Screening by Research Staff, is available to the researcher and the Project Committee to complete the work plan.

5.2.3 Product

With the development of staff research, members of the research unit are given the opportunity to advance their professional stature. The extent of functional areas in which staff expertise is to be developed is itemized in this section. Strategic plan updating may modify this list.

5.3 Contract Research Project Development

5.3.1 Purpose

Contract research is needed when there is the lack of available staff or expertise in the research unit, the research to be performed is more complex than staff can handle, or an objective opinion outside the Agency is needed. The contractor is important in defining the exact nature, objectives, and scope of a research project. The role normally performed by research staff in the development of a project work plan is accomplished by a contractor with the submission of a proposal.

The goal to achieve implementation is also important with the use of a contractor.

5.3.2 Process

5.3.2.A Selecting a Contract Program

Research problem review material is prepared by research staff (4.1.2.C, Problem Screening by Research Staff) and submitted to the Research Advisory Committee for consideration. The Research Advisory Committee recommends the actual projects to be contracted and the contract agent (6.2.2.A, Contract Research Agents). The Research Management Committee has the final approval of the program. The decision to contract projects is based on research staff availability and expertise, the perceived complexity of the research, or the desire to have an objective opinion outside the Agency.

5.3.2.B Solicitation of Contractors

The research unit prepares the RFP, according to Section 5.1.2.B, Components of RFPs, for each of the projects selected to go to contract. The RFP is distributed to select State universities and private consultants. The proposals received in response to the RFP contain the information noted in 5.1.2.B.6, Proposal Submission Requirements.

5.3.2.C Developing A Contract Project Work Plan

The contractor develops a work plan for the project, according to Section 5.1.2.B, Components of RFPs. This work plan is part of the proposal. If selected, a contractor may modify the work plan in consultation with the Project Committee.

5.3.2.D Selection of Contractor

The Project Committee performs a technical and budgetary analysis of the submitted proposals. Further expertise to evaluate proposals is added to the committee, as necessary.

The Project Committee conducts the technical evaluation using Form 5-3 in the appendix. The Project Committee weights each criterion. Because each project is unique, each will have unique criteria. The three highest-rated proposals are recommended to the Research Management Committee (Section 3.3.2.D).

After the Research Management Committee selects a proposal, it is subject to a budgetary analysis by the Project Committee. The analysis includes a review of the estimated cost of individual project tasks and any agency research or budgetary constraints. The Project Committee reviews comments on the technical and budgetary aspects of the proposal and differences are reconciled with the first-ranked contractor. If differences cannot be reconciled, the second-ranked contractor is engaged for contract discussions.

5.3.2.E Negotiating Contracts

The Project Committee takes the lead in negotiating the scope of work, deliverables, schedule, and budget terms of the contract. The research unit coordinates contract negotiations.

5.3.3 Product

The delivery of research products must be ensured even when work is accomplished by contract. Every step of the contract research development process must be understood and defined, including selecting the program, soliciting and selecting the contractor, developing the work plan, and stipulating the requirements of the contract. The process stresses the importance of spending the effort on all contract and project details to avoid contractor misunderstandings during the course of the work.