“RAC 101”

An Introduction to the AASHTO Research Advisory Committee

25 July 2011

CURRICULUM

• Intro – Skip• Mentoring Program – Skip• SCOR/RAC web site; new member handbook;

resources – Amy • Peer Exchanges – Barnie• Coop Research Programs – Chris• Seven Keys – Gary• TRB State Reps – Moy• Q&A - all

Background:

Established 1987Advisors to SCORResearch Directors from each AASHTO member departmentAppointed by member DOT CEOPredominately highway-oriented

AASHTO Vision:

The American Association of State Highway and Transportation Officials will be the voice for transportation and a catalyst for institutional and technical excellence.

RAC Mission

“To promote quality and excellence in research and in the application of research findings to improve state transportation systems.”

RAC Responsibilities:

Demonstrate the value of research Facilitate deployment of new

technologies Collect and disseminate information on

current and completed research Conduct peer exchanges on best practices

for research management Assist SCOR developing annual NCHRP

AASHTO Regions

Officers:Chair and Vice Chair appointed by AASHTO

President SCOR and RAC Secretary: Director of the TRB

Cooperative Research Programs

Leadership Team:RAC ChairRAC Vice ChairFour Regional RAC ChairsRAC Secretary

Task Forces

• Administration• Coordination & Collaboration• Value of Research• Program Management• Funding• Transportation Knowledge Networks• Peer Exchange (dissolved)

Policies And Procedures: Operating Guidelines Each Regional RAC has its own objectives, policies and procedures, or by-laws.

Meetings: January during TRB National Summer meeting

Role of Parent body: SCOR

“AASHTO’s driving force for transportation research and innovation”

Keep informed on transportation research Solicit, evaluate, select NCHRP problem

statements Encourage effective use of research funding,

and recommend appropriate funding levels Serve as forum and advocate Review, monitor, and foster coordination

SCOR Membership:

Chairperson and Vice-Chairperson appointed by the AASHTO President.

Secretary: Director of TRB Research Progs. 2 Senior Administrators from each AASHTO

region 2 Research Directors from each AASHTO

region Affiliate & ex-officio members

RAC MENTORING PROGRAM

• RAC Secretary sends welcoming letter• Regional chair talks to new member and

assigns mentor• Mentor/new member talk on monthly

basis covering various aspects of RAC and research program administration

• Mentor assists new member in preparation for the annual summer meeting; participate together in RAC 101

• Mentor/new member provide feedback

Questions and

Discussion

RAC Activities and Resources

Pooled Fund Program

Enables states with common research interests and needs to collaborate by pooling resources

Administered by FHWA Benefits

•Leverage limited funds

•Avoid duplication of effort

•Undertake large-scale projects

TPF Website: http://www.pooledfund.org/

• Anyone can• Search TPF studies• View current funding

reconciliation spreadsheet

• Authorized users can• Commit funds• Review level of

commitments• Read study documents

• Quarterly webinars

Sharing information:

TRID & RIP

Transportation Research Information Database (TRID)

World's largest and most comprehensive bibliographic resource on transportation information (900,000 records; 60,000+ with links to full-text documents)

Essential resource for solving problems, avoiding duplication, and building on existing research

RAC members can submit reports on-line for posting in TRID

Available free on-line at http://trid.trb.org/

Research In Progress (RiP) Database: 8,400 records State DOTs, U.S. DOT, and UTCs can add,

modify, and delete info on current research projects

Now includes U.S. and international research RAC members can submit and search

information online

“RAC input to TRID & RIP is vital”

SCOR/RAC Website

New Member Handbook

SCOR/RAC Website• Found on-line at:

http://research.transportation.org/Pages/default.aspx

• New Member Handbook• Answers basic questions new members might have • Provides links to additional information

SCOR/RAC Website

SCOR/RAC Website• Overview of SCOR and RAC

• Mission statements, operating guidelines, rosters

• RAC Task Forces

• Upcoming Meetings

Administration and Education Value of Research

Funding Program Management Quality

Transportation Knowledge Networks

Research Coordination & Collaboration

SCOR/RAC Website• Contacts/Links

• State DOTs• TRB (Cooperative Research Programs, SHRP2,

TRB membership by state)• FHWA (pooled funds, IDEA, STEP, TFHRC)• AASHTO• RITA• UTCs

SCOR/RAC Website• Resources for Research Managers

• Peer Exchanges• Guide to State Transportation Research Manual• Model Calendar for Research Managers

SCOR/RAC Website• Results of RAC Surveys• FAQs

Peer Exchanges: Summary of Changes in

SP&R Guide For Peer Exchanges Issued January 2010

Peer Exchanges Federal Requirement.

“Each State shall conduct peer reviews of its RD&T program and should participate in the review of other States' programs on a periodic basis.” [23 CFR 420.207 (b)]

Objective: improve the quality and effectiveness of research management process.

Peer Exchanges: History Federal Requirement emerging

from ISTEA (1991). One component of a new model

for research management.Peer Review vs. Peer Exchange

Peer Exchanges: History Federal Requirement emerging

from ISTEA (1991). One component of a new model

for research management.Peer Review vs. Peer Exchange

Peer Exchanges: History Federal Requirement emerging

from ISTEA (1991). One component of a new model

for research management.Peer Review vs. Peer Exchange

Success of the Peer Exchange The Peer Exchange is widely recognized

as an excellent tool.

The Peer Exchange is frequently copied by other groups within transportation.

The goal of the RAC Peer Exchange Task Force was to improve the effectiveness of this valued tool.

RAC Task Force and its Recommendations

1. Revise requirement to perform a peer exchange from once in 3 years to once in 5 years.

2. Allow more flexibility to explore alternate formats.

3. Provide assistance with travel reimbursement for panel participants.

4. Develop training materials & updated resources for FHWA Division Office & State DOT Research Personnel.

Key Changes• Updates philosophy by both encouraging and

creating the flexibility to use the peer exchange strategically. Provides for alternate formats. Revised interval between peer exchanges. Revised peer exchange length.

• Suggests new resources for peer exchange logistical support.

• Clarifies close-out and follow-up requirements. • Clarifies the Role of the FHWA Division office

Using your Peer Exchange

Strategically

.

Using your Peer Exchange StrategicallyFirst Peer Exchange:

a) full evaluation of the programSecond Peer Exchange:

a) full evaluation of the program and/orb) specific focus topics

After Second Peer Exchange:a) full evaluation of the program and/orb) specific focus topics c) explore emerging opportunities for program

improvements

How to use your peer exchange strategically

• Panel composition

• Other participants

• Format

• Length

• Timing

• Activities planned during the exchange

Alternative Formats• On-site at Host State (standard format)

• Multi-state Peer Exchange

• Virtual Peer Exchange

• Multiple ”mini” Peer Exchanges

Multi-state Peer Exchange• No more than 3 states may meet the requirement at a

Multi-state Peer Exchange.• Must include an equal or greater number of panelists,

beyond representatives of the Peer Exchange states.• Expected to be longer than a standard Peer Exchange.• Exchange must still incorporate discussion of

facilities of all the Peer Exchange States.

• All the Peer Exchange states must hold their own closeout meeting with their upper management and Division office.

Virtual Peer Exchange

• Only in rare instances.

• Same array of participants as other formats.

• Prohibits back-to-back virtual peer exchanges.

Multiple “mini” Peer Exchanges

• More than one part-day or one-day activity.

• May be a combination of formats.

• Must cumulatively satisfy the requirement of 2-3 days within 5 years.

• Must still address key requirements, including a report, and a closeout meeting.

Length and Cycle Time• Old minimum of 3 days revised downward to 2-3

days. Length should consider scope and objectives Longer for multi-state peer exchanges Perhaps longer for a comprehensive peer exchange. Can be treated as a cumulative total over multiple peer

exchanges.

• Definition of “Periodic” has been bumped from 3 to 5 years.

New Resources for Peer Exchange Administration

Most states struggle with the administrative side of hosting a Peer Exchange, because of issues related to paying for travel, lodging, meeting facilities, meals or refreshments.

The new manual suggests some options: LTAP Centers University Transportation Centers Transportation Pooled Fund Program

The role of your FHWA Division office

• Solicit their support in planning your peer exchange.

• Invite them to participate directly.• Prepare and submit a follow-up report

Closeout Meeting New guidance contains specific expectations for the closeout meeting:

“The host state should hold a close-out meeting together with their FHWA division office representative and their State DOT upper

management on the peer exchange.“

New Follow-up Expectations Old System

Optional “Round Robin” follow up Report. A formal response required only if the host state rejects the

Peer Exchange Report and Recommendations.

New System “Before the next peer exchange the state director of

research should prepare a follow up report or memorandum summarizing changes that were or were not made to the program based on the previous peer exchange, and submit it to their FHWA division office and their State DOT upper management.”

Sharing your Peer Exchange Experience

Post your Peer Exchange Report on the SCOR/RAC Website:http://research.transportation.org/Pages/PeerExchangeReports.aspx

Questions?

TRB Cooperative

Research Programs

TRB Cooperative Research Programs

National Cooperative Highway Research Program (1962- $37 mill.)

Transit Cooperative Research Program ( 1992 - $9 mill)

Commercial Truck & Bus Safety Synthesis Program (2002 - $300,000)

Airport Cooperative Research Program (2005 - $15 mill)

TRB Cooperative Research Programs (cont’d)

Hazardous Materials Cooperative Research Program

(2007 - $1 mill)

National Cooperative Freight Research Program

(2007 - $4 mill)

NCHRP

“AASHTO’s Research Program”State DOT supportFormed in 1962Applied Research Focus

APPLIED Research: AASHTO Guides and Specifications Guides for practitioners Software products Product enhancements New or improved models/tools Improved operations and services Testing/evaluation techniques

Continuing NCHRP Projects:

Synthesis of Practice International Scanning Program Domestic Scanning Program Quick response studies for AASHTO

Financial Support

From State Departments of Transportation

With 5 1/2% of State Planning and Research funds (voluntary contribution)

SPR = 2% of Federal Aid Highway apportionment

RAC Participation in NCHRP:

Developing problem statements Reviewing problem statements Nominating panel members Serving as panel members Providing funding through SP&R Evaluating and implementing results

The NCHRP Process

Problem Statements: Annual solicitation (June) Must be submitted by either…

–State Departments of Transportation

–AASHTO committees and subcommittees

–Federal Highway Administration

General description of problem or research need

TRB Standing Committees:WHY GET INVOLVED?

• To learn • Keep yourself and your organization up to date on

latest research and issues• Get to know leaders in profession• Leaders in profession get to know you!• Become part of a community• To help develop research ideas

How can I get my problem statement selected?

NCHRP problem statements must be …

• Understandable

• Original

• Achievable

• Affordable

• Implementable

• Beneficial

• National in Scope

• High priority

• Widely supported, esp. by DOTs and AASHTO committees

“How to write an effective problem statement”

See: Funding Sources for Transportation Research: Competitive Programs, Appendix B

http://www.trb.org/ResearchFunding/index.asp

Problem statements reviewed by:

NCHRP and FHWA staff AASHTO Standing Committee on

Research AASHTO Research Advisory

Committee

Projects selected by:

AASHTO Standing Committee on Research - SCOR

Approval Required by 2/3 of AASHTO Board of Directors

Formation of Advisory Panels

Experts in subject matter Typically 8 members 4-5 State DOT Academia, Associations, Private

Sector, Local Gov’t Liaison member from FHWA

• Why serve on NCHRP panels?

• How do I submit my nomination?

Through AASHTO Research Advisory Committee Members(see Research.Transportation.org)

Directly to NCHRP

NCHRP website http://trb.org/NCHRP/Public/NCHRP.aspx

• Information on NCHRP and TCRP

• Search engine• Project Info since 1988:

Anticipated / Active / Completed

• CRP publication lists / ordering info

• Requests for proposals• Registration form for

notification of RFPs

NCHRP SYNTHESIS 280

Seven Keys to Building a Robust Research Program

Important implications Presents major elements in research

manager’s job description Describes a type of person who should be

managing research – skill set Identifies responsibilities of top

management toward research Addresses excellence in research

management

Why do programs differ so dramatically?

Some research programs are sustained at a high level over time & others struggle, relying on federal requirements to do research

Is the Chief Executive? A CEO not predisposed to research

is a hard sell Most CEOs enter the job being

neutral to research Robust programs remain strong

even during CEO turnover Robust programs have supporters

throughout top management – inform CEO about importance of research – build CEO support

Note… Difference between effective and robust

Effective = produce high quality results, targeted to real problems

Robust = worthy of emulation, models, flourish and thrive, vigorous and enduring, add value to parent organization, contribute to organizational goals

Seven Keys to Building a RobustResearch Program

Found it on trust Market boldly Root it in economics Make deals unabashedly Insist on accountability Embrace policy research Empower the staff

Trust is most important Trust relationship between research

program and parent organization Trust extends both directions up

and down, can be injured by carelessness or inattention by either party

The other 6 keys are really aimed at building trust

Market boldly Successful research managers

understand that marketing is an essential component–People don’t know what to expect from research

–New solutions always require change – people and organizations are resistant to change

–State DOTs are especially resistant to change

Root it in economics Economics is the basis for public

and private sector business–Research mangers are often picked for their technical and quantitative skills – thinking in $$ may be a more valuable skill

Need for economic rationale for research investments

Make deals unabashedly Directors of robust research programs

tend to cultivate of alliances of all kinds Robust programs include collaborations

–Between DOTs and universities

–Cooperative or pooled fund research

–Public-private partnerships Leverage resources (talent and $) Must cross organizational lines, some loss

of control

Insist on accountability Research is an asset that

requires management Hard to run research by the

numbers Robust program managers

find ways to be accountable even if not required to do so

by top management Accountability is bi-

directional

Embrace policy research Robust programs include policy research

in their portfolios Policy research provides a

communication channel between research and top management

Makes research consider strategic topics of specific interest to executives

Empower the staff Let the staff “roam” to interact

with those that have the problem or with relevant technology

Work across organizational lines Interact with peers, travel to

research sites, and meet with others working on similar problems

7 Keys Summary Not all robust programs use all keys,

but using more is better Keys appear to be universal --

applying to public & private, large & small, state & national scope

`RAC 101 Workshop`RAC 101 WorkshopState Reps State Reps

ResponsibilitiesResponsibilities

Monday July 25, 2011Monday July 25, 2011

Moy BiswasMoy Biswas

RAC Admin Task ForceRAC Admin Task Force

DisclaimerDisclaimer

Opinions expressed in this Opinions expressed in this

presentation are solely & entirely presentation are solely & entirely

those of Moy Biswas, those of Moy Biswas,

and do not belong to RAC Admin Task and do not belong to RAC Admin Task

Force, RAC, AASHTO, TRB, NCHRP, Force, RAC, AASHTO, TRB, NCHRP,

FHWA, NCDOT, or any other FHWA, NCDOT, or any other

individual or entities. individual or entities.

Ask not what you can do for TRBAsk not what you can do for TRB

Ask what TRB can do for youAsk what TRB can do for you

What TRB Can Do For What TRB Can Do For YouYou

Free trip to Salt Lake CityFree trip to Salt Lake City Free registration at the Annual TRB Free registration at the Annual TRB

meeting (all state DOT employees)meeting (all state DOT employees) Free lunch on Tuesday Free lunch on Tuesday Free lunch on WednesdayFree lunch on Wednesday Free food & beverages @ hospitality suites Free food & beverages @ hospitality suites Free TRB (& NCHRP) publicationsFree TRB (& NCHRP) publications Free on line access to full text TRR & other Free on line access to full text TRR & other

(?) TRB publications(?) TRB publications

No Free Lunch!No Free Lunch!(What you can do for TRB)(What you can do for TRB)

Pay your annual TRB duesPay your annual TRB dues Pay by check – SPR 80-20Pay by check – SPR 80-20 Pay by way of FHWA administered Pay by way of FHWA administered

Pooled Fund – 100 Federal w/ 3% Pooled Fund – 100 Federal w/ 3% surchargesurcharge

Pay your annual NCHRP dues by way Pay your annual NCHRP dues by way of FHWA administered Pooled Fundof FHWA administered Pooled Fund

Host periodic TRB Staff visitsHost periodic TRB Staff visits

TRB State Rep TRB State Rep ResponsibilitiesResponsibilities

Keep up w/ the annual activities calendar Keep up w/ the annual activities calendar for TRB reps (?)for TRB reps (?)

Serve as the SHRP II coordinatorServe as the SHRP II coordinator Disseminate information from the TRB Disseminate information from the TRB

electronic newsletter, or encourage State electronic newsletter, or encourage State DOT research geeks to subscribeDOT research geeks to subscribe

Disseminate TRB publications informationDisseminate TRB publications information Distribute extra copies to research geeksDistribute extra copies to research geeks

(more) TRB State Rep (more) TRB State Rep ResponsibilitiesResponsibilities

For newly minted research projects, enter For newly minted research projects, enter data on-line to Research in Progress (RiP)data on-line to Research in Progress (RiP)

For recently completed research projects, For recently completed research projects, send (electronically) final report to TRB send (electronically) final report to TRB library – for inclusion in TRIDlibrary – for inclusion in TRID

Update RiP dataUpdate RiP data

Submit items for TR News Submit items for TR News (e.g., (e.g., Research Pays OffResearch Pays Off))

(more) TRB State Rep (more) TRB State Rep ResponsibilitiesResponsibilities

Recommend/Assist members for TRB Recommend/Assist members for TRB committees and panelscommittees and panels

Update listings from State DOT andUpdate listings from State DOT andfrom your Statefrom your State

Update TRB publications distribution listsUpdate TRB publications distribution lists Coordinate response to TRB questionnairesCoordinate response to TRB questionnaires Encourage submitting papers for TRB Encourage submitting papers for TRB

meetings and publicationsmeetings and publications Maintain an awareness of TRB / inform Maintain an awareness of TRB / inform

others in your departmentothers in your department

(more) TRB State Rep (more) TRB State Rep ResponsibilitiesResponsibilities

TRB Rep is like a housewifeTRB Rep is like a housewife Work is never done!Work is never done!

Do not miss attending task force Do not miss attending task force conference calls or RAC region conference calls or RAC region conference calls, etc., conference calls, etc.,

you are going get assigned to make you are going get assigned to make presentations and other workpresentations and other work