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 12.0 PROGRAM MANAGEMENT12.1 Staff Training and Education The success of the research program, the usefulness of the research unit, and the growth of the research staff are enhanced through staff education and training. The work environment and influences affecting personnel must foster individual growth. Educational and training needs are pursued for staff in the following general areas: liberal arts, communications, computers, analytical skills, strategic thinking, entrepreneurship, and group dynamics. COMMENTARY: The staff, training sources, and training program categories outlined in this section reflect the range of possibilities for an agency. Each agency has its own approach to determining needs and applying resources to staff. As with all other sections of the guide, the user is advised to consider the policies of the agency in selecting education and training. Going outside the agency is also an option. Staff skills are important at all staff levels—researcher, technician, administrator, or clerk. Programs have been structured for each staff category. The research unit collaborates with Human Resources to ensure research unit needs are addressed. Periodic reviews of the programs are made to update the training program to reflect changing needs, technologies, and Agency policies. The training programs are on file with the Human Resources unit. COMMENTARY: This subsection conveys the idea that the agency has a training program for each staff member and position. If this is not the case, it should be written to reflect that the aim of the research unit is to approach training in this manner; otherwise, training may reflect only those programs offered by the agency. 12.1.2.B Training and Education Sources Staff in all positions are given opportunities in most of the sources listed in B.1 through B.6. The Agency regularly schedules training courses at all proficiency levels in all staff categories. Most courses are skill-oriented. Staff are urged to attend and advance through the different levels. A list of the available training is on file in the research office. B.2 University Degree Programs Agency policy allows for reimbursement of staff for undergraduate and graduate courses toward a degree. Staff is urged to pursue degrees in programs related to transportation. Any accredited university or college can be attended. B.3 National Highway Institute (NHI) Programs FHWA organizes numerous courses in several functional areas. Course descriptions and general information to request courses and fees are available in the most recent NHI Course Catalog, which is on file in the research office. In addition, agency staff, research management, and research staff may request specific courses from FHWA. In response to legislative mandates, policy changes, or organization revisions, the Agency develops training programs as appropriate. The research unit may contract for the development of specialized courses to meet general or specific needs in the unit. Organizations, such as AASHTO and the American Society of Civil Engineers, organize training programs. They are offered locally or at regional sites. B.5 Work Experience (Job Activities) On-the-job-training is an excellent way to promote and develop staff competence. In cooperation with the Human Resources unit, staff development programs are designed for all job categories. Supervisors are trained to judge staff needs for job assignments. Staff abilities and preferences are considered in assignments and rotations to other units in the Agency. Formal and informal staff training and education are given practical application on the job. B.6 Seminars, Workshops, and Conferences In addition to an exchange of information at seminars, conferences, and workshops, the benefits of group meetings to the staff are abundant. The budget accommodates several off-site meetings annually. COMMENTARY: More sources for staff training should be listed. The category for on-the-job-training is considered by many to be one of the most important and useful to staff. If the agency has a well-developed program to foster staff progress in this category, it would be beneficial to other agencies to be able to review it. 12.1.2.C Training and Education Categories Technical training is the most specific and directly applicable of all training. It gives instruction on activities related to the staff functional areas. C.1.1 Functional Areas Select staff are offered technical training in the functional areas listed in Section 5.2.2.A., Research by Functional Area. C.1.2 Computers Knowledge of computer software is necessary for word processing, data management, and data analysis. In addition, projects may have requirements regarding specific software packages. C.1.3 Equipment The complexities of the office, laboratory, and field are eased with the application of appropriate equipment for the various tasks. Staff members are trained in the use of all equipment required to perform their work assignments. Only research engineers receive instruction in research methodology. This methodology includes the steps for empirical investigations. C.2.1 Research Process An overview of the steps in the research process is important to understand the appropriate scientific methods used in research. The items included in the training program are variables, the research question, related literature, levels of measurement, the population, sampling methods, research design, data collection method, design of instrumentation, statistical tests, and pilot study. C.2.2 Research Design The four types of research design are discussed in the training program: true experimental, quasi-experimental, nonexperimental, and historical. The method of selection of the research design and the control mechanisms and validity questions of the designs are examined. True experimental design training examines the feasibility of assigning subjects to at least two groups (i.e., experiment and control) and discusses their designs. Quasi-experimental design training examines the reasons that true experimental design is not possible and discusses time series and other designs. Nonexperimental design examines the reasons that an experimental variable cannot be introduced and discusses correlational procedures. Historical design examines the environment that exists to require an historical design and discusses sources of data for the design. C.2.3 Data Collection and Measurement Techniques The advantages and disadvantages of the four types of data collection are examined: interviewing, instrument administration, observation, and examination of documents and materials. Measurement techniques (which include questionnaires, rating scales, checklists, materials, equipment, and forms) are also examined and discussed for each method of data collection. C.2.4 Analysis Techniques (Statistical Tests) Training for staff includes basic concepts in descriptive and inferential statistics, prior to determining the statistical test for their research. The choice of the appropriate statistical test is based on several factors. In addition, detailed training is given for the chi-square test, the t-test, one-way analysis of variance, and the Pearson product-moment correlation. Staff receive specialized training in the communication skills required by their jobs. Research engineers are trained in writing, marketing, and interpersonal communication. Technicians, clerical staff, and administrators receive writing and interpersonal communication training. C.3.1 Writing Effective writing skills are essential because reports are the main means by which peers become acquainted with the research and Agency management is apprised of the research unit's needs. Ambiguity must be minimized, and information must be conveyed easily. Training in effective writing includes exercises in the following:
C.3.2 Public Speaking (Presentations) After writing, formal and informal presentation of research findings is the most used technique for transmitting research information. Administrative staff present office needs and recommendations on procedures at meetings. Training in effective speaking is similar to that used for writing. After preparing the presentation, as outlined in C.3.1 above, the individual speaks before an audience. This is repeated on different subjects and is always followed by instructor, audience, and video feedback. C.3.3 Interpersonal Staff members are constantly in contact with other researchers and personnel from other Agency units. C.3.4 Marketing Research staff members are implicitly responsible for marketing the products of research. In fact, the research unit usually provides one of the project champions. Complete marketing programs are not conducted by the research unit, but marketing concepts are taught to improve the implementation effort. Section 8.4, Marketing Techniques, lists those areas of marketing most useful for research staff. C.3.5 Negotiating (Contracts) Many projects for which the research unit is responsible are contracted, which requires the negotiation of the scope of work and contract terms with the potential contractor. Therefore, research staff training includes developing the scope of work in conformance with the needs of the agency or the customer, arriving at a reasonable project schedule and budget, and clearly defining the deliverables. C.3.6 Creativity Imagination and inventiveness are essential ingredients for research. Staff training distinguishes between the creative outcomes and creativity in producing the outcome. All of the elements of creative behavior are discussed and used in example form. The importance of enhancing the working environment is also discussed. Good office operations and career advancement require special skills. Select members of staff receive formal and informal training in management and administrative techniques. Research engineers are trained in supervisory and management techniques, financial skills, Agency procedures and organization, contract monitoring, project management, and ethics. Technicians, administrators, and clerical staff receive training in supervisory techniques and agency procedures and organization. C.4.1 Supervisory Techniques As staff mature in their positions, they may become supervisors and need training in organizing and directing staff. This training starts immediately for research engineers and, when appropriate, for other staff. C.4.2 Management Techniques Increased supervisory responsibility leads to positions of management and the planning and controlling of activities by other staff. All aspects of current management philosophy are included in this program. C.4.3 Financial The research unit's managers prepare the unit's budgets. Research engineers prepare project budgets and track project expenses. Training in agency financial procedures is offered accordingly. C.4.4 Agency Procedures and Organization The policies, methods, organization charts, forms, and procedures used by the Agency to assist staff and conduct business are contained in the Policies and Procedures Manual. Staff members review these documents with their supervisors at the beginning of their careers and when the documents are amended. C.4.5 Contract Monitoring The research engineer and the Project Committee monitor the contractors, as described in Section 6.2, Monitoring Contract Research. Training for this activity comes most directly from on-the-job experience, combined with the appropriate technical, communications, and administrative training mentioned above. Research engineers are guided in contract monitoring by experienced staff members. C.4.6 Project Management The research engineer has responsibility for project management as described in Section 6.0, Conducting and Monitoring Research Projects. All research engineers advance with experience and ultimately assume the position of project manager. The foregoing training categories assist the research engineers in assuming this role. Research staff are judged according to a high standard of professional conduct and a strict moral code. The standard and code help ensure that the research products receive universal acceptance. Training in ethical behavior includes discussion of appropriate practices and how to avoid unethical practices in the following areas:
COMMENTARY: Some agencies have well-developed training programs that should be identified in the manual. Some categories (e.g., creativity and ethics) may need further explanation.Good training is one of the most important areas to which the research and agency managers devote their time. Staff skills enhance the ability of the Agency to meet the growing demands of the transportation industry. This section outlines skills training programs available to staff and the technical, research methodology, communication, ethics, and administrative programs that are important for the individual's and the research unit's growth. The effect of staff training is found in the overall enrichment of staff and research program. Various resources are available to assist in management of research programs. This section discusses useful organizations, publications, and contacts. Some of the resources are technical; each offers information on program issues. It is a primary responsibility of the research unit to develop these resources. Several organizations provide useful research program management materials and opportunities for peer exchange among research and transportation professionals. These organizations are as follows:
COMMENTARY:
Other organizations that provide particularly good research program management resources for the research unit should be added here. If the agency itself offers program management training opportunities to the research unit, these should also be included. The description should explain the connection to the organization.
Research program publications related to management are described below. The bibliography in the appendix also lists publications relevant to technical transportation topics and management. The research unit retains most of the publications in its office.
COMMENTARY:
There are numerous publications on technical transportation topics, but relatively few deal directly with transportation program management. Reports from these organizations that deal with program management are particularly relevant. Additional sources that should be listed are publications available from the agency's reference center or library and any local universities and colleges. The research unit maintains contacts with research and research management peers throughout the nation. Primary among these are the organizations listed in Section 12.2.1 above, Transportation Research Board Conduct of Research Committee, the Research Advisory Committee of the AASHTO Standing Committee on Research, and the Regional RAC organizations. Peer exchanges increase the effectiveness of the agency's research program management. The RAC Handbook, Chapters 5 and 6, list contacts for technical and program management issues as follows:
COMMENTARY: Other professional organization contacts provide useful program management guidance and should be included in this section. Good record keeping ensures the highest level of research unit credibility. All aspects of the research program must undergo the scrutiny of technical and financial audits. Record-keeping systems conform to state and the federal government requirements. COMMENTARY: The text of the financial, equipment, and project data files should reflect the policies and procedures of the agency and state. Agency records account for the budgeting and expenditure of staff time, staff benefits, equipment, travel, materials, administration of research, contractors, and all other charges to the projects of the research program. These records are available to the research unit monthly. All project equipment is inventoried as follows:
The inventory is regularly updated and maintenance is performed on all equipment. Disposition records are kept for equipment no longer used for its original project. All project data, correspondence, and analysis records are maintained in active files for 3 years after the closeout. Thereafter, the files are kept in inactive storage for 5 years. 12.4 Other Administrative Issues NCHRP is supported on a continuing basis through the contribution of funds from AASHTO member departments. Each member department contributes 5.5 percent of their federal-aid SPR allocation funds. The Agency annually executes a contract with the National Academy of Sciences, National Research Council (the parent organization of TRB) for this effort and other services supplied by TRB. In addition, the Agency executes an FHWA PR-2.1 form to enable transfer of federal-aid funds directly to TRB without first going to the state. (See Appendix 12.4 for a copy of the PR-2.1 form.) The PR-2 Form is the Federal-Aid Project Agreement executed in conjunction with the Agency's expenditure of SPR funds. Such forms are executed for FHWA pooled fund research efforts and various other SPR activities. (See Appendix 12.4.A for a copy of the PR-2 form.) Research results may include innovations that are eligible for patents or copyrights. The research unit follows the Agency's standard policies for patents and copyrights. Provisions detailing ownership rights are included in all research contracts. Products produced by research unit staff and others within the Agency are patented or copyrighted in accordance with Agency policies and state laws. All Agency staff performing research activities are notified of these policies and laws. COMMENTARY: In general, federal regulations for patents and copyrights allow the awarding agency a royalty-free, non exclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use the results for federal government purposes. States generally have their own specific legal requirements. Research unit staff should consult the agency's legal counsel for the precise wording to be used in contracts with all outside researchers and for rules governing Agency employees performing research. Include the precise wording used by the agency in this section. For further information see "Federal Acquisition Regulations System," Number 48 Part 27 Subchapter E, Code of Federal Regulations and Code of Federal Regulations Number 49, Part 18.34. All research unit employees and others within the agency performing research should be formally notified of the agency's policies and the state laws regarding patents and copyrights. A standard form could be made and distributed at the start of a project. When hiring research staff, the policies and laws governing patents and copyrights should be discussed. Ownership of research project data is in accordance with Agency policy. Provisions detailing ownership rights are included in all research contracts. Information from projects performed by Agency employees is the property of the Agency. COMMENTARY: In general, data belong to the awarding agency. The research unit may specify that all data must be delivered with the products of the research or be retained for a specified period by the researcher during which time the agency may access it on request. The option is detailed in all research contracts. Agency staff performing research should be informed about the agency's ownership. It is important to coordinate this topic with the agency's legal counsel. Include in this section the precise wording used. For further information see "Federal Acquisition Regulations System," Number 48, Part 27, Subchapter E, Code of Federal Regulations. The research unit follows Agency policy regarding liability incurred by non-Agency employees during the performance of research projects. Responsibilities are included in all research contracts. Liability for Agency staff is in accordance with Agency policies and State laws. COMMENTARY: It is very important to coordinate this topic with the agency's legal counsel. Each state has its own liability laws. Include the precise wording used in this section. All agency employees performing research should be notified formally of the agency's policies and the state laws regarding employee liability. With prior approval, the research unit allows contractors to publish research-related materials. Details of publication rights are specified in all research contracts. Agency employees performing research must coordinate publication of all material with the research manager and the Agency press liaison. COMMENTARY: The research unit should control publication of interim or draft final research results and should strictly enforce approval of such material for publication. Standard contracts should not sanction breach of contract. All agency staff performing research should be encouraged to publish articles relating to innovative findings of research. Publications should be well respected and technically credible forums. The research unit manager or some designated staff member should review the materials for publication. All publications of research findings performed by outside researchers or agency staff should include the agency name and other sponsors of the research.
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