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Appendix.Cfm
Guide for Developing a State Transportation Research Manual

Publication Number: N/A
Date: April 1997

Guide for Developing a State Transportation Research Manual

BIBLIOGRAPHY

FIGURE 1- NCHRP Fields and Areas

FORM 4-1: Research Problem Statement

FORM 5-3: Proposal Evaluation Criteria

FORM 6-1: Project Task Completion Schedule

FORM 7-1: Quarterly Progress Report

FORM 7-2A: Program Report - Highlights

FORM 7-2B: Program Report - Problems/Issues

FORM 7-2C: Program Report - Budget/Expenditures

FORM 11-1: Program Schedule Adherence

Appendix 12.4: FHWA PR- 2.1

Appendix 12.4.A: FHWA PR-2

23 CFR, Part 420, State Planning and Research Program Administration

BIBLIOGRAPHY

Section 1.0 Purpose of ManualDrucker, Peter J., Managing for the Future, Chapter 37.

Industrial Research Institute Program Committee, 1992-93, "A Vision for Managing Research Into the 21st Century," Research-Technology Management (Mar-Apr 1993).

Section 2.0 Goals and Policies

Drucker, Peter J., Management, Tasks, Responsibilities, Practices.

NCHRP Report 331,"Strategic Planning and Management Guidelines for Transportation Agencies," NRC (1990).

Section 3.0 RD&T Organization

Drucker, Peter J., Managing Non-Profit Organizations in the 21st Century.

"Inventory of Special Facilities for Highway Research," TR Circular 394, NRC (1992).

Section 4.0 Program Development

Anderson, Patsy B.,"A Study of Benefits, Accomplishments and Resource Needs of the Local Technical Assistance Programs," FHWA, Washington, DC, Draft (Jan. 1994).

Cetron, Marvin, et al., Technical Resource Management, Quantitative Methods.

"Materials for Tomorrow's Infrastructure," Executive Report, Civil Engineering Research Foundation, CERF Report #94-5011.E (1994).

NCHRP Special Report 244,"Highway Research: Current Programs and Future Directions," NRC (1994).

Worldwatch Institute,"State of the World, A Worldwatch Institute Report on the Progress Toward a Sustainable Society," Washington, DC (published annually).

Section 5.0 Project Development

NCHRP Synthesis 231,"Managing Contract Research Programs," NRC (1996).

Section 6.0 Project Operations
NCHRP Synthesis 231,"Managing Contract Research Programs," NRC (1996).

Section 8.0 Technology Transfer

Elrahman, Ossama Abd and Matthew Leary,"Information Management for Transportation Research and Development," NYSDOT, Presented at Vail, CO (July 27, 1994).

"Materials for Tomorrow's Infrastructure," Executive Report, Civil Engineering Research Foundation, CERF Report #94-5011.E (1994).

NCHRP Report 364,"Public Outreach Handbook for Departments of Transportation," NRC (1994).

Rutherford, G. Scott and Rhonda L. Brooks,"Technology Transfer: Strategy for Innovation Adoption at the Washington State DOT," TRR 1229, TRB (1986).

Schmitt, Robert P. and Edward A. Beimborn,"Examination of Techniques to Enhance the Utilization of Research Results," TRR 738, TRB (1979).

Section 9.0 Implementation Process

Bikson, T.K., S.A. Law, M. Markovich, and B.T. Harder,"Facilitating the Implementation of Research Findings, Putting New Research to Work: A National Survey of Implementation Practices in Surface Transportation," NCHRP, AASHTO, Washington, DC, Draft (Oct. 1995).

Section 10.0 Project Evaluation

"Benefit Calculation Guidelines for Proposed Research Projects," NYSDOT Engineering Research and Development Bureau, Albany, NY.

Cetron, Marvin, et al. Technical Resource Management, Quantitative Methods.

Cohen, L.R., G.J. Fielding, J.F. Nolan, and G.C. Smith,"Appraising Transportation Research," Preprint, 940614, 73rd Annual Meeting, TRB, NRC, Washington, DC (1994).

Kulash, Damian,"Improving Research Effectiveness: Some Reflections On Experiences in SHRP," OECD Seminar on Strategic Planning for Road Research Programs, FHWA-RD-94-078 (Jul. 1994).

Mechlin, G.F. and D. Berg,"Evaluating Research--ROI Is Not Enough," Harvard Business Review, Cambridge, MA (Sept.-Oct. 1980) pp. 93-99.

Stevens, W.K.,"Congress Asks, Is Nature Worth More Than a Shopping Mall?" The New York Times, New York, NY (Apr. 25, 1995) p. C4.

Tavakoli, A. and C.S. Collyard,"Benefit-Cost Analysis of Transportation Research Projects," Case Western Reserve University (for the Ohio Department of Transportation), Cleveland, OH (Dec. 1991).

Transportation Research Circular 426, NRC, p. 10-5.

White, et al., Principles of Engineering Economics, 3rd ed.

Section 11.0 Program Evaluation

Newlon, H., Jr.,"Preliminary Cost-Effectiveness Evaluation of Council Research Program for FY 82," memo to L. E. Busser III, Highway and Transportation Research Council, Commonwealth of Virginia, Charlottesville, VA (Jul. 15, 1982).

"Guidelines for the Conduct of Peer Idea Exchanges for State DOT Research Programs,"South Dakota DOT, Office of Research

Section 12.0 Program Management

Code of Federal Regulations, Chapters 48 and 49, National Archives and Records Administration, Washington, DC, current annual editions.

Drucker, Peter J., Innovation and Entrepreneurship.

Fuller, Richard W., Research Ethics Presentation at WASHTO RAC (Jul. 28, 1992).

Langley, Russell, Practical Statistics.

Levin, Rich, Statistics for Management.

NCHR Report 357,"Measuring State Transportation Performance," NRC (1993).

NCHRP Synthesis 188,"Management Training and Development Programs," NRC (1994).

National Highway Institute, Recent Course Catalog, USDOT, FHWA.

Sproul, Natalie L., Handbook of Research Methods.

Tichy,H.J., Effective Writing for Engineers, Managers and Scientists.

TRB Special Report 210,"Transportation Education and Training: Meeting the Challenge," TRB (1985).

TRB, Directory, Washington, DC (published annually).

Weiss, Edmund H., The Writing System for Engineers and Scientists.

General
Allison, David, The R&D Game, Technology Management, Technology Managers and Research Productivity.

Blohowiak, Donald W., Mavericks.

Drucker, Peter J., The New Profiles.

Harder, B.T. and Newlon, Howard Jr.,"Research Program Management for State Highway Officials", FHWA, NHI Course 33043, Washington, D.C., May 1991.

Harder, B.T., RAC Handbook—A Guide for Committee Members, Research Advisory Committee of the AASHTO Standing Committee on Research, Washington, DC (Jan. 1995).

Huft, David,"Managing Technical Aspects of State Transportation Research Programs," TRR 1359, TRB.

NCHRP Synthesis 113,"Administration of Research, Development and Implementation Activities in Highway Agencies," NRC (1984).

"Research Advisory Committee Handbook," AASHTO, current edition.

Research-Technology Management, Selected Papers, Industrial Research Institute, Washington, DC.

"Six-Step Problem Solving Process," Pennsylvania Department of Transportation.

"Summary of the Results of Research Survey Questionnaire," Arizona DOT, Phoenix, AR (Sept. 1992).

Transportation Research Circular 426,"The Scientific Approach to Research," TRB, NRC, Washington, DC (May 1994).

Walton, C. Michael,"Deployment of Transportation Research: An Enterprise in Transition," TRB (Jan. 1995).

Research Manuals

FHWA RD&T Program Manual

Arizona

California

Indiana

New York

Virginia

Texas

Washington

FIGURE 1- NCHRP Fields and Areas

Figure 1. NCHRP Fields and Areas

Form 4-1

RESEARCH PROBLEM STATEMENT

(Sample Form)

TITLE:	Brief but descriptive
PROBLEM STATEMENT:	Describe the problem in detail
EMPHASIS AREA:	(List the emphasis areas that were developed by the agency; if none were developed, don't include this item in the form) Check the emphasis area within which the problem falls
BACKGROUND:	Brief history of circumstances surrounding problem and a list of studies that address the problem (if available)
SCOPE OF WORK:	Description of study objectives and proposed research approach
POTENTIAL IMPLEMENTATION:	Brief description of how the results could be implemented
TIME/COST ESTIMATE:	Length of study and total study cost (If good estimates cannot be given, leave blank)
SUBMITTED BY:	Also indicate agency affiliation and phone number
DATE OF SUBMISSION:

Form 5-3

PROPOSAL EVALUATION CRITERIA

Proposal Title:

Submitted By:

Date of Proposal:

Reviewer:

Understanding of the Problem	Score___	Weight_____%
The proposal must contain a solid knowledge of the problem and its background and not a duplication of the RFP.

Proposed Research Approach	Score___	Weight_____%
A scientific and practical approach to the resolution of the problem should include: an experimental design, data collection procedures, analytical procedures, cooperative features (if necessary) and innovative concepts. A time and budget allocation of each task is required. Sufficient detail should be given for all items.

Qualifications of Staff and Firm	Score___	Weight_____%
The experience and expertise of the staff should be considered, including the technical disciplines of the principal investigator and the support staff. The relative effort of staff is important. The background of the firm must also be assessed.

Adequacy of Resources	Score___	Weight_____%
If the project requires support facilities, the laboratory, computing and testing equipment, test track or any other resources must be available, unless they are part of the project budget.

Implementation of Results	Score___	Weight_____%
A judgement of the proposal's application of the results should be made.

Strengths and Weaknesses	Not Weighted
It would be desirable to list specific strengths and weaknesses for discussion with the evaluation committee.

Overall Weighted Score___

Notes:	The total of the weights should be 100% Scores are assigned on a 10 point scale The Overall Weighted Score is the sum of the individual multiples of score and weight

Form 6-1

PROJECT TASK COMPLETION SCHEDULE

Project Period________________________

Project Task	% of Project	% Task Completed To Date	% Project Completed








Total	100

Form 7-1

Quarterly Progress Report

Project Title:

Time Period:

Principal Investigator:

Project Purpose:

Project Tasks, Schedule and Task Problems:

Task Milestones and Accomplishments for Period (state status of schedule adherence):

Budget and Expenditures:

	Budget	Expenditures
Salary		Federal*	State
Overhead
Travel
Equipment
Miscellaneous
Total
* (Specify source)

Form 7-2 A

PROGRAM REPORT - HIGHLIGHTS

Program Period:__________________

Project Summaries
(Number of Projects by Category)
Status	Staff	University	Private Consultant	Pooled Fund	Other
Final Reports
Projects Underway
Functional Area*

* List each of the functional areas for which there are research projects

**Implementation Highlights**
Project Related
Project Related
Technology Transfer Efforts
Technology Transfer Efforts

Total Funding**
Source	Programmed	Expended
SPR
State
Other

** This table may be repeated for each of the categories of staff, University, private consultant, pooled fund or other research.

**Staffing**
Category	Current	FY Change
Researcher
Clerical
Administrative

**Milestones**
Project Related
Project Related
Technology Transfer Efforts
Technology Transfer Efforts

**Conferences/Meetings**
Item	Description
Conferences Arranged
Conferences Arranged
Conferences Attended
Conferences Attended
Project Meetings
Project Meetings

**Facilities/ Equipment (Additions and Deletions)**

Form 7-2 B

PROGRAM REPORT - PROBLEMS/ISSUES

Program Period:___________________

**Implementation Problems**
Project Related
Project Related
Technology Transfer Efforts
Technology Transfer Efforts

**Project Problems**
Staff Research
Staff Research
Contract Research
Contract Research

**Funding Problems**
Staff Research
Staff Research
Contract Research
Contract Research

**Staff/Facility/Equipment Problems**

Form 7-2 C

PROGRAM REPORT - BUDGET/EXPENDITURES

Program Period:___________________

Budget By Source
Source	Appropriated	Budgeted	Expended	Balance
State
SPR

**Total Budget By Line Item**
Budget Item	Appropriated	Budgeted	Expended
Salary
Overhead
Travel
Equipment
Supplies
Research Contracts

**Contract Budget By Line Item**
Budget Item	Contracted Amount	Expended
Salary
Overhead
Travel
Equipment
Miscellaneous

Form 11-1

PROGRAM SCHEDULE ADHERENCE

Program Period:__________

Project Title	Status*			Comments** on Projects
Project Title	B	O	A	Comments** on Projects

* B - Behind Schedule

O - On Schedule

A - Ahead of Schedule

** Reasons for Delays; Actions to Advance Pr

Appendix 12.4

SECTION I — AGREEMENT PROVISIONS
U.S. DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION FEDERAL-AID PROJECT AGREEMENT (National Cooperative Highway Research Program)		1. STATE
		2. PROJECT NUMBER
In conformance with arrangements for financing the National Cooperative Highway Research Program, hereinafter referred to as the "NCHRP," pursuant to the Memorandum Agreement effective October 1, 1988 as amended, between the Federal Highway Administration, hereinafter referred to as "FHWA," the American Association of Highway and Transportation Officials, hereinafter referred to as "AASHTO," and the National Academy of Sciences, hereinafter referred to as the "Academy"; the State formally consents to providing the funds stated in this agreement as its contribution towards financing expenditures incurred in conducting the NCHRP in accordance with the Memorandum Agreement. In accordance with the action taken by AASHTO requesting the Academy, through its Transportation Research Board to administer the NCHRP, the State authorizes FHWA to charge the State's pro rata share of the costs incurred against the funds stated in this agreement. It is understood that FHWA will make payments to the Academy for the State's share of the cost of the program pursuant to the State-Academy Agreement for the current fiscal year and the Fiscal Agreement entered into between the FHWA on July 1, 1962. In the event the State's contribution towards the cost of the NCHRP is to be financed with both Federal-aid funds and State-matching funds, the State agrees to advance the FHWA the State-matching funds for its share of the estimated cost.
SECTION II — FUNDS
3. ESTIMATED TOTAL COST OF PROJECT	4. FEDERAL FUNDS	5. EFFECTIVE DATE OF AUTHORIZATION
SECTION III — AGREEMENT AND SIGNATURES
The State, through its Highway Agency, and the Federal Highway Administration agree to the above provisions
________________________________ (Official Name of the Highway Agency) BY_____________________________ ________________________________ (Title) BY_____________________________ ________________________________ (Title) BY_____________________________ ________________________________ (Title)	U.S. DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION BY_____________________________ ________________________________ (Title) ________________________________ Date Executed

A-15

APPENDIX 12.4.A

OMB No. 2125-0529

23 CFR, Part 420, State Planning and Research Program Administration

Table of Contents

Page Owner: Office of Research, Development, and Technology, Office of Corporate Research, Technology, and Innovation Management

Topics: research, state planning and research
Keywords: research, State Planning and Research, SP&R, research peer reviews
TRT Terms: research, highway, persons and personal characteristics, personnel, groups
Scheduled Update: Archive - No Update needed

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