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Guide for Developing a State Transportation Research Manual

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ACKNOWLEDGMENTS

The authors, Eugene F. Reilly, P.E., Metuchen, New Jersey, and Barbara T. Harder, B.T. Harder Inc., Philadelphia, Pennsylvania, who were responsible for the collection of information and preparation of the report, wish to extend thanks to several people.

Special recognition for review and comments on the document are extended to the chairman of NCHRP Panel 20-38, Dave Huft, Research Engineer, South Dakota DOT, and members Dr. Gary Allen, Virginia Transportation Research Council, Eric Harm, Engineer of Physical Research, Illinois DOT, C. Dwight Hixon, retired, formerly Research Division Engineer, Oklahoma DOT, Dr. Robert J. Perry, Director of Engineering Research, New York DOT, Larry A. Scofield, Manager, Transportation Research, Arizona DOT, Richard L. Stewart, Research and Materials Engineer, South Carolina DOT, and Robert J. Betsold, Associate Administrator for Research and Development, FHWA.

The research managers of the states of Arizona, California, Indiana, New York, Virginia, Texas, and Washington were very helpful by making their existing research manuals available for study. In addition, the managers provided useful insights into various aspects of their manuals.

Staffs of FHWA were also very cooperative and supportive by discussing the importance and contents of the manual.

Necessary guidance and counsel was extended by Frank R. McCullagh, Senior Program Officer, NCHRP.

NOTE: The Transportation Research Board, the National Research Council, the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual states participating in the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of this report.

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM

GUIDE FOR DEVELOPING A STATE TRANSPORTATION RESEARCH MANUAL

April 1997

TABLE OF CONTENTS

INTRODUCTION

Background

Purpose of the Guide

MANUAL FOR TRANSPORTATION RESEARCH FOR THE STATE OF [fill in State name]

APPENDIX

INTRODUCTION

Background

The Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991 led the Federal Highway Administration (FHWA) to institute rulemaking changes that made individual states more autonomous and also more accountable for their research programs. ISTEA also mandated that a minimum of 25 percent of the State Planning and Research (SPR) funds be spent on research, development, and technology transfer (RD&T) activities.

While the FHWA rulemaking is undoubtedly beneficial, in that it empowers states to deal with their own issues, it does require that the states certify that their research programs conform to a pre-approved management process. Code of Federal Register (CFR) Section 420.207 of 23, final rule effective August 22, 1994, further requires the states to develop, establish, and implement a management process that identifies and implements RD&T activities expected to address priority transportation issues and includes the following:

1. An interactive process for identification and prioritization of RD&T activities for inclusion in an RD&T work program;
2. Utilization, to the maximum extent possible, of all FHWA planning and research funds set aside for RD&T activities either internally or for participation in national, regional pooled, or cooperatively funded studies;
3. Procedures for tracking program activities, schedules, accomplishments, and fiscal commitments;
4. Support and use of the Transportation Research Information System (TRIS) database for program development, reporting active RD&T activities, and inputing the final report information;
5. Procedures to determine the effectiveness of the state's management process in implementing the RD&T program, to determine the utilization of the state's RD&T outputs, and to facilitate peer reviews of its RD&T on a periodic basis; and
6. Procedures for documenting RD&T activities through the preparation of final reports. As a minimum, the documentation shall include the data collected, analyses performed, conclusions and recommendations. The states shall actively implement appropriate research findings and should document benefits.

Purpose of the Guide

At the time of ISTEA, many states had no formal process. In addition to the certification process, the increase in SPR funding—which resulted in an enormous increase in many state research programs—has led to greater management demands on the research staff. In response to this and at the request of the states, the National Cooperative Highway Research Program (NCHRP) developed this guide. The guide responds to the requirements of the FHWA rule—23 CFR, Part 420, State Planning and Research, Subpart B, and is for states to use in developing procedures and processes to meet the requirements. The guide goes beyond the requirements of the FHWA regulations. All aspects of the functioning of a research unit are in it, including planning, project and program development and evaluation, resource and project management, administrative matters, technology transfer and organization.

The guide is intended to assist states in developing or modifying their transportation research manuals. Each section of the suggested text, which the state may use in developing its manual, contains explanatory information in italics (commentary). The attached diskette contains an electronic version of this document in WordPerfect 5.1 format for ease of extracting appropriate text.

MANUAL FOR TRANSPORTATION RESEARCH FOR THE STATE OF [fill in State name]

TABLE OF CONTENTS

SECTION 1.0 PURPOSE AND CONTEXT OF MANUAL

1.1 Background

1.2 Purpose

1.3 Authority

1.4 Overview of the Manual

SECTION 2.0 GOALS AND POLICIES

2.1 Goals and Policy of the Agency

2.2 Mission, Goals, and Policy of Research, Development, and Technology

2.2.1 Mission

2.2.2 Goals

2.2.3 Policy

2.3 Strategic Management and Planning

2.3.1 Definition and Purpose

2.3.2 Process

2.3.3 Product

2.4 Developing Customer Support

2.4.1 Purpose

2.4.2 Process

2.4.2.A Research Partners

2.4.2.B Forums for Including Research Partners

2.4.2.C Procedures

2.4.2.D Scheduling

2.4.3 Product

SECTION 3.0 RESEARCH, DEVELOPMENT AND TECHNOLOGY ORGANIZATION

3.1 Research, Development, and Technology Placement Within the Agency Organization

3.2 Research Unit Organization

3.2.1 Available Resources

3.2.1.A Internally Available Resources

3.2.1.B Externally Available Resources

3.2.2 Categories of Research

3.2.3 Types of RD&T Activities

3.3 Research Committees

3.3.1 Purpose

3.3.2 Process

3.3.2.A Strategic Plan Committee

3.3.2.B Research Advisory Committee

3.3.2.C Project Committee

3.3.2.D Research Management Committee

3.3.3 Product

SECTION 4.0 PROGRAM DEVELOPMENT

4.1 Research Problem Solicitation

4.1.1 Purpose

4.1.2 Process

4.1.2.A Potential Problem Submitters

4.1.2.B Methodology

4.1.2.C Problem Screening by Research Staff

4.1.3 Product

4.2 Project Selection Process

4.2.1 Purpose

4.2.2 Process

4.2.2.A Agency/State Needs

4.2.2.B Project Prioritization

4.2.2.C Resources

4.2.3 Product

4.3 Work Program Requirements

4.3.1 Purpose

4.3.2 Process

4.3.2.A Assembling the Work Program

4.3.2.B FHWA Work Program Requirements

4.3.2.C FHWA Certification Requirements

4.3.3 Product

4.4 Work Program Item Descriptions

4.4.1 TRB Research Correlation Services

4.4.2 National Cooperative Highway Research Program

4.4.3 Pooled Fund Projects

4.4.3.A FHWA National Pooled Fund Program

4.4.3.B Regional Pooled Fund Program

4.4.4 Experimental Projects

4.4.5 University Transportation Center Program (UTCP)

4.4.6 Local Technical Assistance Program (LTAP)

4.4.7 Strategic Highway Research Program (SHRP) Implementation and Long-Term Pavement Performance (LTPP)

4.4.8 Technology Transfer

4.4.8.A TRB

4.4.9 Implementation Activities

4.4.10 Peer Exchange Process

4.4.11 Staff/Contract Projects

4.4.12 Administration

SECTION 5.0 PROJECT DEVELOPMENT

5.1 Project Work Plan Preparation

5.1.1 Purpose

5.1.2 Process

5.1.2.A Participants

5.1.2.B Components of Request for Proposals (RFPs)

5.1.2.C Components of Project Work Plan for Staff Research

C.1 Project Title

C.2 Statement of Problem

C.3 Problem Background

C.4 Study Objectives

C.5 Plan of Work

C.6 Implementation Statement/Project Benefits

C.7 Work Schedule

C.8 Cost Estimate

5.1.3 Product

5.2 Staff Research Project Development

5.2.1 Purpose

5.2.2 Process

5.2.2.A Research by Functional Area

5.2.2.B Research Objectives

5.2.2.C Development of Staff Project Work Plan

5.2.3 Product

5.3 Contract Research Project Development

5.3.1 Purpose

5.3.2 Process

5.3.2.A Selecting a Contract Program

5.3.2.B Solicitation of Contractors

5.3.2.C Developing a Contract Project Work Plan

5.3.2.D Selection of Contractor

5.3.2.E Negotiating Contracts

5.3.3 Product

SECTION 6.0 CONDUCTING AND MONITORING RESEARCH PROJECTS

6.1 Conducting Staff Research

6.1.1 Purpose

6.1.2 Process

6.1.2.A In-House Research

6.1.2.B Technology Transfer (T²) Efforts

6.1.2.C Continuing Project Evaluation

6.1.3 Product

6.2 Monitoring Contract Research

6.2.1 Purpose

6.2.2 Process

6.2.2.A Contract Research Agents

6.2.2.B Monitoring Methods

6.2.2.C Tracking Contract Progress

6.2.2.D Implementation Efforts With Contractor

6.2.2.E Contractor Reports

6.2.2.F Continuing Contract Evaluation

6.2.2.G Contract Closeout

6.2.3 Product

SECTION 7.0 PROGRAM REPORTING

7.1 Project Level Reporting

7.1.1 Purpose

7.1.2 Process

7.1.2.A Project Status

7.1.2.B Technical Findings

7.1.2.C Financial Status

7.1.2.D Reports

7.1.3 Product

7.2 Program Level Reporting

7.2.1 Purpose

7.2.2 Process

7.2.2.A Program Highlights

7.2.2.B Program Problems/Issues

7.2.2.C Budget/Expenditures

7.2.2.D Reporting Methods

7.2.3 Product

SECTION 8.0 TECHNOLOGY TRANSFER

8.1 Overview of Activities

8.1.1 Purpose

8.1.2 Process

8.1.2.A Customers

8.1.2.B Partners

8.1.2.C Technology Transfer Activities

8.1.3 Product

8.2 Benefits of Technology Transfer

8.3 Information Resources

8.3.1 Library or Reference Center

8.3.2 TRIS

8.3.3 Other Resources

8.4 Marketing Techniques

8.5 Demonstrations

8.6 Technical Assistance

8.7 Local Technical Assistance Program (LTAP)

8.8 Technology Scanning

SECTION 9.0 IMPLEMENTATION PROCESS

9.1.1 Purpose

9.1.2 Process

9.1.2.A Implementation Plan

9.1.2.B Monitoring Implementation Activities

9.1.2.C Facilitating Implementation of Research Results

9.1.3 Product

SECTION 10.0 PROJECT FINAL EVALUATION

10.1.1 Purpose

10.1.2 Process

10.1.2.A Process Internal to Agency

10.1.2.B Process External to Agency

10.1.2.C Economic and Quantitative Process

10.1.2.D Qualitative Process

10.1.3 Product

SECTION 11.0 PROGRAM EVALUATION

11.1 Overall Program Performance

11.1.1 Purpose

11.1.2 Process

11.1.2.A Implementation Results

11.1.2.B Milestones

11.1.2.C Funding Adherence

11.1.2.D Schedule Adherence

11.1.2.E Benchmarking

11.1.3 Product

11.2 Peer Exchange

11.2.1 Purpose

11.2.2 Process

11.2.2.A Team Peer Exchange With Research Unit

11.2.2.B Exchange With External Research Units

11.2.3 Product

11.3 Success of Technology Transfer and Implementation Efforts

11.3.1 Purpose

11.3.2 Process

11.3.2.A Internal Review

11.3.2.B User Feedback

11.3.3 Product

11.4 Qualitative Benefits

11.4.1 Purpose

11.4.2 Process

11.4.2.A Meeting Customer Needs

11.4.2.B Administrative Benefits

11.4.2.C Maintaining Research Process (Excellence)

11.4.3 Product

SECTION 12.0 PROGRAM MANAGEMENT

12.1 Staff Training and Education

12.1.1 Purpose

12.1.2 Process

12.1.2.A Staff

12.1.2.B Training and Education Sources

12.1.2.C Training and Education Categories

12.1.3 Product

12.2 Management Resources

12.2.1 Organizations

12.2.2 Publications

12.2.3 Contacts

12.3 Records

12.3.1 Financial

12.3.2 Equipment

12.3.3 Project Data Files

12.4 Other Administrative Issues

12.4.1 PR-2.1 Form

12.4.2 PR-2 Form

12.5 Patents and Copyrights

12.6 Data Ownership

12.7 Liability

12.8 Publication Rights