U.S. Department of Transportation
Federal Highway Administration
1200 New Jersey Avenue, SE
Washington, DC 20590
202-366-4000
Federal Highway Administration Research and Technology
Coordinating, Developing, and Delivering Highway Transportation Innovations
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| This report is an archived publication and may contain dated technical, contact, and link information |
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Publication Number: N/A
Date: April 1997 |
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Guide for Developing a State Transportation Research ManualSECTION 6.0 CONDUCTING AND MONITORING RESEARCH PROJECTS6.1 Conducting Staff ResearchIn general, the range of research staff functions is more extensive than other units in the agency. One of these functions is performing research on projects, as determined by the Research Management Committee. Although this is the most time-consuming activity, it is also one of the most rewarding and is necessary for maintaining staff expertise. Another function is the transfer of technology. Research uncovers facts in a specific field in order to apply the results. Technology transfer activities help implement research effectively. This section of the manual describes daily tasks performed by staff. Although other sections address similar functions, the stress is usually on the research process and not on daily operations. COMMENTARY: The size of the research unit in a state may not permit some of the activities listed below to be effectively handled by staff. In fact, staff research as a function may not exist. For those states that solely conduct a contract program, not all of the material presented in Section 6.1 is applicable. States may want to incorporate some of the suggestions in Section 6.1.2 A, even if there is no in-house research program. The section on Conducting Staff Research provides staff guidance on conducting daily activities. Even without an in-house research program, the technology transfer activities of staff are sufficient to warrant an extensive description. Several work activities in each of the primary tasks are performed by research staff. Expectations of staff performance regarding each of the work activities are outlined below. COMMENTARY: Most states perform staff research. The variations in work activities and procedures between the states may be extensive. The following items cover most of the staff research activities. The exact nature of staff operations should be altered to fit state conditions. This section is presented as a procedure manual for staff; the rest of the manual generally covers the research process as others are affected by it and involved in it. Staff within the research unit must understand procedures for their work conduct. Although there may be many administrative procedures that govern all agency staff , this section covers the operations specific to the research unit. The Project Committee, Section 3.3.2.C, specifies the function, membership, and agenda for the committee that provides primary guidance to research staff in conducting a project. Research staff are encouraged to maintain close, frequent contact with the committee. The research supervisor manages and controls staff activities. Staff should notify their supervisors of the following circumstances:
Techniques for supervising staff are described in Section 12.1, Staff Training and Education. Encouraging and allowing staff to develop while objectives of the project are advanced are the basic principles of staff supervision. The level of supervision required depends on staff abilities. Trained staff are qualified for their assignments and usually can succeed without close supervision; staff in the training mode require closer supervision. Data collection methods vary with the research project. Techniques to be used for different research designs are shown in Section 12.1, Staff Training and Education. If statistics or measurements are used to develop findings for the project, the experimental design (approved by the Project Committee) serves as an excellent base to determine appropriate conditions, equipment, time intervals, frequency of collection, and laboratory analysis techniques. Errors in the data can occur at any step of the process. Care must be taken to ensure that the data collection conditions and equipment are thoroughly checked at all steps in the process. Costs associated with the conduct of in-house research are shown in the quarterly report (Form 7-1 in the appendix). They are itemized as staff, overhead, travel, equipment, and miscellaneous. In addition, a Project Task Completion Schedule is prepared for each project (Form 6-1 in the appendix). The Project Committee and the research manager confer on expenditure deviations and time overruns from those programmed. Recommendations for project modifications are made by the manager to the researcher. It is extremely important to maintain well-ordered project correspondence and project data. The credibility of staff and the research depends on these documents. Project correspondence is maintained in the central filing system of the research unit. Research staff members have unimpeded access to these files, but others must access files through the clerical staff. Except for copying purposes, files cannot be removed. Generally, collected data are maintained on electronic media (e.g., diskettes). Whether manually or automatically collected in the field, lab, or from other files, data are carefully recorded on permanent project records. The data and all steps in the handling of the data are checked by other staff. The data analytical techniques used in the research project, and referred to in Section 12.1, Staff Training and Education, are also checked by other staff. Records are kept of the collecting and checking procedures. A.7 Presenting/Reporting Results During the research, individuals or groups may ask for preliminary results or findings. All presentations of preliminary research must receive approval by the research manager, the client (who comes from the ranks of the research partners described in Section 2.4.2.A), and the Project Committee. Methods of presentation are determined by the principal investigator. Graphic displays are encouraged. The principal investigator develops and disseminates formal research reports on a timely basis. Section 7.0, Program Reporting, details various types of research unit reports, their content and their reporting frequency. A.8 Scheduling and Conducting Meetings Various meetings are held during the course of a research project. Meetings of project staff are the most common and frequent. They require the least notice and are held at the discretion of the principal investigator. All technical and administrative aspects of the research, personnel, and project work conditions are discussed at these meetings. Project Committee meetings are the next most frequent. These are called at the discretion of either the principal investigator or the project committee chairperson. Discussion of project progress, problems, and findings are the usual items for discussion at these meetings. Project-specific Research Advisory and Research Management Committee meetings are arranged infrequently by the research manager. Attendance at the meeting is usually determined by the research manager. The agenda may include a presentation of the findings or serious impediments to the research that require resolution by the committee members. Such meetings may not be necessary for every research project. Special meetings may involve the Agency's commissioner and industries or citizens affected by the research. They may be suggested by the principal investigator, commissioner, or a non-agency group and are convened under the research manager's direction. Government policy or matters sensitive to affected groups are usually discussed. COMMENTARY: Considerations, such as the size of the research unit, the policies of the agency, and funds available for the research program, determine the magnitude of the in-house research program. The nature of the research performed determines the extent of the data collection requirements, record maintenance, reporting, and meetings. Data collection has several forms. Reference to Section 12.0, Program Management, should be reviewed because all data collection procedures will be discussed in it. Section A.6, Maintaining Records, should be as comprehensive as appropriate. It is generally understood that cyclical and final reports are prepared, but impromptu presentations can be important to the implementation efforts of the project and should receive careful consideration. In the following discussion on meetings, the content of the meeting is noted but the format is left open. There are several methods of holding each of the suggested meetings; the method selected should be left to the discretion of the research manager. 6.1.2.B Technology Transfer (T2) Efforts Technology transfer activities are described in Section 4.4.8 (as an item in the work program), Section 8.0, Technology Transfer, and Section 9.0, Implementation Process. They are also discussed in sections of the manual where they affect a procedure. The primary objective of technology transfer is to determine the status of transportation problems and solutions and transfer the latest findings to practitioners. Staff accomplish this by performing activities defined in B.2 through B.7 The research unit uses TRIS either through a direct computer link-up or remotely. Details of how the system is used are given in Section 8.3, Information Resources. Staff are required to be aware of the information-gathering techniques. The principal investigator explores all background sources including the following:
Sources of information are limitless. Staff networking and current publications provide the opportunity to explore non-project issues that may have policy implications for the Agency and operational units. The research manager and Agency management can explore these issues further. B.3 Annotating/Synthesizing References Following the search for background information (B.2, above), staff members review the material and either annotate or synthesize the results. A synthesis of the relevant background material is prepared by staff for all problems submitted in the solicitation process. Syntheses are retained in the central research files with the submitted problems. Syntheses are valuable for many years and can be used for the following:
Annotated bibliographies are completed only at the request of a client. They also are a useful staff instructional technique. B.4 Complementing/Fostering Implementation ActivitiesSection 9.0, Implementation Process, details research implementation procedures during which research staff scrutinize the sources listed in B.2, Information Sources, above, for relevant information. The Project Committee fosters the implementation of the research, but research staff members champion the research by keeping the members informed of the latest data on the subject. Many of the implementation opportunities for research staff are listed in Section 4.4, Work Program Item Descriptions, and 8.0, Technology Transfer. Research staff maintain an active interest in all research, with the intent of transferring applicable findings to operational units of the agency. B.5 Availability to Operational Units To respond to imminent problems, operations staff are expected to take advantage of the expertise and availability of research staff. Often, problems do not require a major research project, only an investigation. Staff can investigate solutions when their work load permits. Written findings are usually submitted to operations staff at the conclusion of the investigation. B.6 National/International Meetings Through conferences and seminar attendance, staff keep abreast of developments in their field. Summaries of the meetings are prepared by staff and distributed to appropriate agency staff. B.7 Develop Seminars and Conferences Research staff may organize a conference when an issue needs broad participation in expectation of a major program or because of its importance as an emerging issue. At the conference, policy matters are presented by agency management; technical issues are presented by experts in the field. Conference and workshop participation is determined by management. Conference reporting is done by research staff and made available to agency staff. Conferences are held on an as-needed basis. Research staff also formulate seminars on research recently completed. Meeting agendas and staff participation depends on the level of agency interest. The seminar's invited presenters are experts. Seminar frequency and topics are decided by the research manager. COMMENTARY: Technology transfer (T2) activities are mentioned throughout the guide. Each section stresses a separate point relative to T2. It can be the most important of the research unit's activities and is found in all aspects of the work. The information sources for T2 listed under 6.1.2.B.2 are the most common. Open-ended discussions held by staff and the perusal of current periodicals can also provide pertinent information to the agency. Some research units may have the time to annotate and synthesize references. Syntheses are time-consuming but can be informative. They are important for research projects and agency research issues. The section on the availability of research staff to the operational units stresses networking and the benefits to agency staff. Attending national meetings expands staff expertise; the development of seminars allows research to influence agency policy. Stressing the long-term benefits of these activities may allow them to be more readily accepted. 6.1.2.C Continuing Project Evaluation The Project Committee conducts a quarterly review of the project performance relative to the work plan objectives and tasks. In addition to tracking project cost as noted in Section 6.1.2.A.5, above, the committee compares the achievement of milestones with the planned completion of work tasks. A discussion of these comparisons is conducted at the scheduled meetings. Modifications to the research plan are considered when there are deviations from the planned research direction, budget, and/or schedule. The Project Committee suggests project changes with the research manager. The research manager takes appropriate action to enhance the work effort of the project. COMMENTARY: The need for review of project activities is implicit in several sections of the manual. Section 10.0, Project Final Evaluation, suggests a formal process using forms, interviews, and economic analyses of the completed research. This section specifies a review of the project performance against the work plan as the project is being conducted. A description of the daily conduct of in-house activities is provided as a training tool for staff. The principal investigator must understand the importance of frequent contact with staff, client, and committees. Research staff members are given guidance on accumulating and summarizing data, maintaining records, and disseminating topic information. The uses and sources of reference material and technology produced by the research unit are thoroughly described. 6.2 Monitoring Contract Research The ability to contract research is very important to the research unit. Among universities, private consultants, research institutes, and industry, there is a wealth of talent to complement research unit staff. Once a research project is under contract, the research staff must monitor the contract work continuously and meticulously to ensure credible, implementable results. Development, performance, and completion of research is equally important for staff and contractors. Shifting of project control from the agency to contract research requires formal monitoring methods by the agency. COMMENTARY: Almost every state has a contract research program. Some state programs are accomplished entirely by contract—most of these contracts are with universities. The NCHRP Synthesis on "Managing Contract Research Programs" details individual state programs. This section describes the most commonly used research contract procedures in states. Each state must determine procedures that work best under the policy and organizational structure of the state. 6.2.2.A Contract Research Agents The resources available to the research unit for contract research are numerous. Through the committees outlined in Section 3.3, Research Committees, and the process described in Section 4.2, Project Selection Process, projects in the contract research categories listed in A.1 through A.5 below are approved. COMMENTARY: Agency criteria used to select research contract agents are not specified in the guide. Often, selection is based on policy, staff availability, staff expertise, or complexity of research. Reference to these factors is given in the guide; the state can be more explicit and include a discussion of them either here or in Section 5.3.2.A, Selecting a Contract Program. Only those agents used by the state should be listed; several states do not use private consultants for transportation research. A.5, Other Special Arrangements, is left open to accommodate unique situations. Agency contracts with universities are governed by basic agreements. All university-contracted projects have an Agency sponsor who serves on the Project Committee monitoring the research. Universities may have an advantage over other research agents by having many graduate students available at greatly reduced labor costs. University academics are often sought on a select basis; an RFP is issued to a university with the expectation that only one proposal will be returned to the Agency. A.2 University Transportation Center (UTC) Section 4.4.5, University Center Research Program, gives background information on this program. Annually, the Agency attempts to set aside state funds to match federal UTC funds. Projects contracted through this program have a sponsor within the Agency who serves as the project monitor on the Project Committee. In the absence of a Project Committee, the monitor performs the functions of the committee, as described in Section 3.3.2.C. The research unit administers the contract and project proposal. A.3 Private Consultant/Research Institute Projects that are not contracted with universities are advertised as noted in Section 5.3.2.B, Solicitation of Contractor. There are times when a sole-source award to a private contractor is appropriate, depending on the complexity of the research. National and regional pooled fund projects are described in Section 4.4.3. The research unit administers the State's participation in these programs. If project panel membership cannot be obtained from the operating units, a representative from the research unit is selected. Monitoring methods are different from other contract research efforts and are defined in Section 4.4.3. A.5 Other Special Arrangements The research project may require special contractual arrangements such as collaborating with other State agencies; working with an open-ended contract; or forming a consortium of government, academia and private industry. Perceived complexity and expertise required for the project determines the need for special contractual arrangements. A Project Committee monitors the UTC, university, private consultant/research institute and other special arrangement contracts. The Project Committee functions are described in 3.3.2.C; pooled fund contracts are described in 4.4.3. The Project Committee encourages a high level of communication with the contractor, good quality of technical work, and adherence to contract milestones. Technical progress and adherence to the scope of work of the research are the focus of the Committee. Technical progress includes achieving milestones and implementation potential. Research unit staff on the committees support administrative needs, champion the research, and strive to maintain its focus. COMMENTARY: Some states use methods of monitoring the research other than those mentioned, namely, only research staff (to the exclusion of operations staff) or only operations staff (to the exclusion of research staff). The guide should reflect this throughout and not just in this section. 6.2.2.C Tracking Contract Progress Project Committee meetings with the contractor are important. Other meetings may involve research partners or Agency management. Meetings maintain the necessary high level of communication, and their frequency is set by the contract. Reports, defined in Section 7.1.2.D, are reviewed by Committee members who provide the contractor with feedback on all aspects of the contract, including the scope, technical progress, reporting, maintenance of necessary levels of staff, and implementation potential. All invoices submitted by the contractor must be accompanied by a concise statement of activities. Time and budget information are included on the Project Task Completion Schedule (Form 6-1 in the appendix), which is submitted with the invoice by the contractor. Research staff are responsible for tracking the contractor's adherence to the budget and schedule on the project. The research representative analyzes these items, judges the percent complete against the amount billed, and relays the results to the Project Committee. The Committee recommends action to the research unit in case of overruns in either time or budget. In response, the research unit may issue the following:
6.2.2.D Implementation Efforts With Contractor The contractor is generally asked to provide the agency with some form of technology transfer method, such as training courses or seminars, in addition to the reports on the research (see Section 4.4.8, Technology Transfer). Careful thought should be given to the anticipated techniques of transferring technology for each project before including technology transfer in the contract. The contractor must submit reports as defined in the contract. Reports contain the information described in Section 7.1, Project Level Reporting, and can vary with each contract. 6.2.2.F Continuing Contract Evaluation The Project Committee may judge that the contractor's performance is less than acceptable. A series of progressive steps are used to remedy the situation, such as the following:
If progress remains unacceptable, the next step is to notify the contractor formally that the contract will be terminated on a specific date, in accord with the terms of the contract. Steps taken to close out the contract include appropriate disposition of equipment and property purchased under the contract, a status report on the work, a final audit, and a final payment. Once the Project Committee accepts the contractor's fulfillment of the terms of the contract and the final report has been approved, the research unit will resolve the following items prior to formally closing out the contract:
One of the most important and sensitive functions of the research staff is the delivery of contract products. Contract research monitoring requires a diligence that is more demanding than that required for the conduct of in-house research. The physical remoteness and relative independence of the contractor compels the agency to take steps to address these factors. This section details some of the steps that can be taken to monitor contract work.
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