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 7.0 PROGRAM REPORTINGResearch efforts focus on customer benefit and implementation. Implementation is aided by an exchange of information that begins with clear, concise, and complete project reports. Progress and accomplishments are detailed in reports showing benefit to the customer. COMMENTARY: Section 11.1, Overall Program Performance, describes implementation results, milestones, funding, and scheduling of all work program projects. This section, aimed at the individual project and the reporting of the status of the project, provides more detail than in Section 11.1. Reporting of project details is defined in subsections 7.1.2.A through 7.1.2.C. Form 7-1 in the appendix details a quarterly progress report. Contents of the interim and final reports are discussed in D.2 and D.3 below. COMMENTARY: Reporting the project status, technical, and financial information, presented in A., B. and C. below, keeps the client and the Project Committee informed. Reports also allow the research manager's representative to track progress against expenses. It may be unrealistic for very small or short-term projects to report this level of detail. There may also be a lag between the time the reports are issued and when the financial information is available on state-supported projects. To accommodate the lag, the reports can either be delayed until the financial data are available or the financial data can be entered in the following cycle's report. Small or short-term projects may not require detailed information for reports. These projects can be defined by level of staff effort, total cost, or some other measure. It may be desirable to assemble the project status and technical findings as a combined discussion for each task. The difficulty with this approach is that the burden is put on the reader wanting project progress rather than task progress. Each major task outlined in the work plan is described briefly, whether completed or still in progress. The planned and actual schedules for each task are shown. The percentage completion is shown using Form 6-1 in the appendix. Financial, staff, equipment, and technical problems are discussed in relation to individual tasks. Resolution or attempts at resolution are also noted. Each task has a milestone—either a summary report, a design of an installation, an installation completion, data collection completion, or a specification. A brief description of steps to reach milestones for each task is given. B.2 Accomplishments/Implementation Efforts Each milestone describes the completion of a task. Each task may result in an accomplishment. Accomplishment is defined as advancement of an implementable product. This is the most significant section of the report. The success of the research and implementation of the results have the most importance for the customer. Budgeted line items for salaries, overhead, travel, equipment,and miscellaneous fund categories are shown. Line fund expenditures are shown for salaries, overhead, travel, equipment, and miscellaneous funding categories. The same line items are listed for contracts. The budget and expenditures are shown in the same table. Project status reports are submitted quarterly, incorporating the information in 7.1.2.A. through 7.1.2.C, using Form 7-1, in the appendix, as the format. Contractors provide identical information in their reports, but may use their own format. The Project Task Completion Schedule (Form 6-2) must accompany the quarterly report. The report is distributed to the Project Committee and affected units of the Agency. Projects that are expected to take more than 2 years to complete or are expected to have a significant accomplishment during the course of the research are detailed in an interim report. The interim report uses the same format and includes the same material as that in 7.1.2. D.3, Final. Each section of the report indicates the relative completeness of the research. This report covers a significant part of the research, including impediments to implementation and suggestions for overcoming the impediments. The interim report is distributed to members of the Project Committee and select operations units. The Project Committee members associated with the project are aware of the findings prior to the final report. However, the research community and operational units affected by the work must be informed. The final report is the most lasting and complete document of the research and is carefully assembled to include at least the following information:
The final report receives the widest possible distribution. It is forwarded to the Project Committee, affected operations units, potentially affected customers outside the Agency, other state research units, TRIS, and other national databanks. COMMENTARY: Every project generates reports. Their type and frequency will vary with the research project, the expectations of the customer, funding source requirements, and other factors. The format for reports using federal funds should be consistent with FHWA guidelines. The agency may want to include or refer to their own reporting procedures in this subsection. The reports listed are used most commonly. The cyclical report can be generated on a quarterly, semiannual or annual basis. The text assumes they are quarterly. The Project Committee (Section 3.3.2.C) members are the principal reviewers of the reports. Their meetings will include a review of the findings in these reports. Most professionals in the Agency and those interested in the research use the project reports for information. Project reports are the official documentation of the research. Quarterly reports are used to monitor progress. Interim and final reports form the basis for discussion and presentations to the transportation community. This section provides the technical and financial status of a project in cyclical and final report form that forms the basis for the implementation effort. Information for the different reports has been offered. The purpose of research is to obtain the results of the individual projects. The success of the research unit depends on program results. The program report describes the research activities performed by the research unit. This report tends to receive the most attention from administrators and managerial reviewers. Because management usually reviews the whole program (not individual projects), reports should be succinct. Research effectiveness is measured by its achievements and by the interaction of research staff with the Agency's operating units. All research unit activities are included in program level reports. This section summarizes the status of the projects and staff technology transfer activities. Section 11.1, Overall Program Performance, outlines the items of significance that are incorporated in the reports of this section. The importance of the items, forms for reporting on them, and the frequency of reporting are addressed. Examples of the formats (Forms 7-2A, 7-2B, and 7-2C) are provided in the appendix. COMMENTARY: Several suggestions for inclusions on the program level are made in this section. Many may have no significance for a particular research unit. Although all suggestions are not pertinent, aspects of each of the areas listed should be considered for program level reporting. It is important that comments are made about all of the research unit's activities. The range of unit functions must be brought to the attention of other agency units. The importance, description, and reporting of research functions must impress those who receive the report. The section separates the highlights from the problems, but they can be combined effectively. Different reporting methods offer various ways of getting the message out. All of the reporting methods can be accomplished concurrently. Section 7.2.2.A, Program Highlights, Section 7.2.2.B, Program Problems/Issues, and Section 7.2.2.C, Budget/Expenditures, combine the activities of the individual projects, producing summary results for the entire work program. Section 11.1, Overall Program Performance, lists the results of the individual projects. All of the following sections and 11.1 should be combined using the techniques listed in 7.2.2.D, Reporting Methods. Information listed in this subsection reflects the positive results of the research program. The information describes activities that the research unit is involved with and summarizes the various accomplishments. Customers are expected to seek more information on each item. The information is summarized in Form 7-2A in the appendix. Program level reviews of projects provide information on the various organizational functions engaged in by the research unit. Details of projects are contained in the project scope of work; project status is detailed in the quarterly reports described in Section 7.1, Project Level Reporting. Program level reporting gives the number of projects and source of research organization (staff, contract, etc.) in the following categories:
The significance of reporting implementation successes is reflected in the importance given by the operational units to achieving practical, usable results from the research. Positive actions resulting from the discussions listed in Section 11.1.2.A, Implementation Results, are reported. There is no time limit for the reporting of implementation successes. Projects may be completed years before implementation is completely achieved. Management should have a program level knowledge of research expenditures. The reporting of annual programmed and year-to-date expended funds is shown by source of funds (e.g., SPR, state, and so forth) and by researcher (e.g., staff, university, private consultant, or other). All research unit tasks are reflected in a list of the milestones achieved. These are discussed in Section 11.1.2.B, Milestones. This is the most encompassing description of accomplishments for the research unit. The milestone list reflects the range of research operations and accomplishments achieved during the fiscal year. Management should be kept informed of current levels of research staff and support in terms of facilities and equipment and fiscal year changes in the level of this support. The positive effect of the research unit on the Agency's operations is measured by the implementation efforts and by the staff and support facilities put at the disposal of the Agency's operations staff. One of the most effective methods of disseminating information is through open meetings and conferences. The research unit organizes and conducts conferences on all issues that have the potential for solution through technology. Project meetings are held with the frequency noted in the project scope of work or stated in the contract. The conferences arranged and attended and the project meetings held are listed. 7.2.2.B Program Problems/Issues Problems encountered during the research program are catalogued in this section. This gives management the opportunity to detect possible trends and determine potential solutions that could enhance the entire research program. Distribution of this information is limited to Agency management and select operations staff. Problems experienced with projects may include staff, data, equipment, and site availability. Situations in which office staff reassignments affect several projects should be shown in B.4, Staffing/Facilities/Equipment. The term of a project dictates the length of time that these problems are listed in the report. Because difficulties with implementation efforts may be unique to the project and technology transfer, they should be categorized separately. Listing these problems separately may make it easier for the affected operations staff to address them. Sometimes implementation efforts extend over many years; if there are problems with these efforts, they will appear in the report each year. For these cases, the Research Management Committee determines when the implementation effort should be terminated. Funding problems affecting staff and contract research are listed. Often, contract problems involve administrative issues. Frequently, staff experience difficulties in finding research funding sources outside the State and SPR categories. Equipment purchases may also be problematic. Financial problems may be long standing and transcend the current fiscal year. B.4 Staffing/Facilities/Equipment Resource shortages and maintenance problems are usual issues under this category. Needs are based on the projected plans for the unit. Some of these issues are easier to solve than others. It is necessary for management to be apprised of concerns in these areas on a regular basis. This listing is not constrained by a fiscal year, but reflects the research unit's needs at the time of the report. Financial information on research is provided on a monthly basis by the accounting unit of the Agency. The information is summarized by the research unit in three tables as follows:
The first two tables reflect fiscal year data; the third reflects data for the contracts that are currently active. The information is summarized in Form 7-2C in the appendix. Agency management has a responsibility to ensure that their units are properly funded and are expending those funds at an appropriate rate. Exhibiting the financial information this way will allow management to scan the data and judge the monetary flow versus the problems listed in B.3, Funding, above. Program level reporting is described below. Various methods of dissemination are described; the research unit will use the most appropriate method. The formal report is issued on a cyclical basis, usually annually. Organization and research unit data and charts describe the research operation. In addition to select material from 7.2, Program Level Reporting, above, there are brief descriptions of active projects. More descriptive information is presented for some of the significant implementation successes. All research customers receive reports and are asked to respond with comments and inquiries. Their comments enhance future reports. The letter report is usually reserved for select projects or transmittal of program level information or highlights on select projects. Program level information is distributed annually. Recipients are the members of the Advisory and Research Management committees. The letter report annotates the data transmitted in tabular form, including the program highlights, problems/issues, and the budget/expenditures detailed in Sections 7.2.2.A, B and C, above. Annotation of the data informs the readers without them having to scan the tabulations. The research unit publishes a semiannual newsletter containing information on current research projects of the research unit and highlighting the implementable products. The newsletter is organized and written by select staff of the unit. It is distributed to the management of the Agency's operations units, all transportation agencies within the state, and the research manager of all state transportation agencies in the country. COMMENTARY: Content, format, and style of newsletters vary. The research unit and Agency management should give thought to these items, because they probably will remain constant for many years. Meetings are the most effective means of reporting program progress. Senior staff of the Agency can inquire into program progress and receive input from other members of management. These meetings are arranged by the research unit at the request of management. Project and program reporting fulfill the formal requirement of the research unit to ensure that research results are disseminated and offer evidence that progress is being achieved. On a project level, the final report on the research eventually can satisfy the users, but status reports are important to maintain a focused research effort. Because management is the primary user of program level reporting, such reporting should reflect what management wants and needs.
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