ODOT RD&T MANUAL OF PROCEDURES

Transcription

1 ODOT RD&T MANUAL OF PROCEDURES CONTENTS Chapter 1... General Information Chapter 2... Roles and Responsibilities Chapter 3... National Program Development Chapter 4... Local Program Development Chapter 5... Project Management Chapter 6... Implementation Chapter 7... Technology Transfer Revision Date: June 6, 2016

2 CHAPTER 1 The purposes of this manual are: GENERAL INFORMATION To define the policies and procedures for the Ohio Department of Transportation s (ODOT s) Research Section and its various functions; To ensure that all research is conducted, managed, documented and implemented in conformance with the legal requirements and policies of ODOT and FHWA; To ensure that the program and projects generated through the Research Section are provided for the benefit of ODOT, its employees, other transportation agencies and transportation system users; and To guide research administrators, managers and investigators in the successful and efficient initiation, conduct and implementation of the research program. This manual is intended for ODOT employees and for individuals and agencies conducting contract research. The first chapter explains the purpose of the manual and provides important information on its scope, distribution and use. The remainder of the manual describes the organizational structure of research administration and the strategic framework, management and implementation of research studies. The Research, Development & Technology Transfer (RD&T2) Manual will provide guidance to cooperatively achieve the strategic development of ODOT s research projects. The research projects will achieve targeted, implementable results. This will lay the foundation for ODOT to reach the goals and vision of the Department. We will continue to develop and refine ODOT s research program to maximize our resources while considering every research project as an investment opportunity. Mission Statements Ohio Department of Transportation To provide easy movement of people and goods from place to place, we will: Take care of what we have Make our system work better Improve safety Enhance capacity Division of Planning To propose strategies that address needs and goals in order to plan, build and maintain a safer and more efficient multi-modal transportation system in Ohio. Ohio Department of Transportation 1

3 CHAPTER 1 Office of Statewide Planning & Research Manages statewide and regional planning efforts while producing traffic forecasts for transportation project and policy alternatives and providing decision-makers with the information and tools they require to ensure the traveling public and residents needs are met by Ohio s transportation system. Research Section Our mission is to invest in innovative research that develops, maintains, and assists Ohio in establishing a world class transportation system. ODOT Research Program ODOT s Research Program provides decision makers with the information and tools they require to ensure Ohio s transportation system meets the evolving needs of our residents and the traveling public. The program works to anticipate and address transportation concerns before they become critical problems. Goals within the program include: maximizing research investments; taking advantage of new technologies; and producing practical results that have a strong possibility of being implemented. The research program is managed by ODOT s Research Section within the Office of Statewide Planning & Research. A variety of options exist for research funding, each with its own eligibility criteria. ODOT s intent is to use each program for the maximum benefit to the agency. Below is a summary of funding options available for transportation research. ODOT In-House Research ODOT created this streamlined approach to research to address shortterm projects to provide faster responses. Since every research project at ODOT requires management by an external contractor, the In-House Research program was developed to provide our staff with a mechanism to fund studies in the field, in the lab, or from the office. For more information on In-House projects, refer to Chapter 4. ODOT Research Initiative for Locals (ORIL) ODOT created this innovative research program to focus on the research needs of local transportation agencies such as counties, townships, and municipalities. Based on the success of local transportation research programs in Iowa and Minnesota, the ORIL program solicits research problems from Ohio s local roadway agencies, contracts with transportation research professionals to investigate the problems, and provides implementable solutions that may be deployed on a local or statewide level. For more information on ORIL projects, refer to Chapter 4. Ohio Department of Transportation 2

4 CHAPTER 1 ODOT Strategic Research Plan Projects This is the core of ODOT s research program, which annually accepts research ideas from ODOT employees. Ideas are prioritized and those that are approved are developed into requests for proposals for the research community. For more information on strategic research plan projects, refer to Chapter 4. ODOT Student Studies ODOT occasionally has the need to conduct small research studies that provide quick solutions to immediate problems. The limited scope of these studies usually does not warrant the time and expense required for typical research projects, but they do provide a mutual learning opportunity for a student and ODOT. When the scope would be suitable to an academic investigation, limited funds are made available to initiate a student study project. For more information on student studies, refer to Chapter 4. Pooled Fund Studies FHWA facilitates the Transportation Pooled Fund Program as a means for interested states, FHWA, and other organizations to partner when significant or widespread interest is shown in solving a transportation related problem. A pooled fund study may be used to jointly fund research, planning, and technology innovation activities. Federal and state transportation agencies may initiate pooled fund studies. Local and regional transportation agencies, private industry, foundations, colleges and universities may then partner with the sponsoring agencies in such projects. For more information on pooled fund studies, refer to Chapter 3. National Cooperative Highway Research Program Projects (NCHRP) NCHRP conducts applied, user-oriented research that produces results intended to improve engineering, operational, and management practices. The Transportation Research Board (TRB) organizes panels of experts to provide guidance on technical aspects of the research and translate the problems into project statements with well-defined objectives. Research proposals are then solicited from private and public research organizations. The technical panels review the proposals, recommend contract awards, monitor research in progress, provide technical guidance, and determine the acceptability of the final reports. AASHTO committees and DOTs recommend research topics each year, and AASHTO's Standing Committee on Research (SCOR) determines both the projects to be funded and the levels of funding for those projects. AASHTO's Research Advisory Committee (RAC) votes on the ballots of the proposed projects and sends recommendations to SCOR. The Research Ohio Department of Transportation 3

5 CHAPTER 1 Manager serves as ODOT's representative to the AASHTO RAC and to TRB. For more information on NCHRP projects, refer to Chapter 3. Authority This book conforms to Federal Highway Administration (FHWA) guidelines and has been approved by the FHWA Ohio Division. Specific authority regarding research is shown below. In addition, a general listing of laws, rules, and regulations applicable to the content of this manual and where they may be found is included in Appendix A. State of Ohio Section of the Ohio Revised Code (ORC) states, in part: "The functions of the department of transportation with respect to highways shall be to:...(3) conduct research and cooperate with organizations conducting research in matters pertaining to highway design, construction, maintenance, material, safety, and traffic". Section of the Ohio Revised Code (ORC) states: The department of transportation shall (9) In its research and development program, consider technologies for improving safety, mobility, aviation and aviation education, transportation facilities, roadways, including construction techniques and materials to prolong project life, being used or developed by other states that have geographic, geologic, or climatic features similar to this state's, and collaborate with those states in that development. Federal The authority for a State research organization to use Federal funds is found in Title 23 United States Code Section 505 and 23 CFR 420. The authority for a State to administer the State Planning and Research (SP&R) funds in the program is found in 23 Code of Federal Regulations 420. What is Research? Research can be formally defined as a systematic controlled inquiry involving analytical and experimental activities which primarily seek to increase the understanding of underlying phenomena. For the purposes of this document, "research" means contract projects or internal projects that improve the efficiency, safety and effectiveness of Ohio's transportation system by resolving problems or advancing technology. Research may include, but is not limited to: engineering and economic surveys and investigations; development and implementation of management systems; studies in connection with the planning, design, construction, management, and maintenance of highways, public transportation, and intermodal transportation systems; studies on engineering standards and construction materials for transportation systems Ohio Department of Transportation 4

6 CHAPTER 1 including the evaluation and accreditation of inspection and testing and regulation and taxation of their use. For more information, please refer to Title 23 of the United States Code, Section 505. Beneficiaries of Research Beneficiaries of the ODOT research program include: ODOT the development and implementation of advanced technology, new knowledge and improved methods and procedures are critical to meeting ODOT s goals and strategic initiatives, implementation cost savings and return on investment. State of Ohio a high quality transportation system that assists the state in meeting the growing demands of citizens and businesses. Local Governments, Federal Highway Administration and Other States - all share the same benefits as ODOT and the State of Ohio. Researchers research projects allow researchers the opportunity to participate in challenging personnel to expand knowledge, and learning & sharing with the international community to build and maintain a high-quality faculty, and to recruit students to Ohio s universities and retain that talent within Ohio. Joint Partnerships ODOT cooperates with other states, federal and local agencies in the conduct of research on topics of common interest. These agencies include, but are not limited to: Federal Highway Administration (FHWA): In addition to working closely with ODOT on the administration of the research program, FHWA has conducted various studies with ODOT including demonstration, test and evaluation projects. United States Geological Survey (USGS): ODOT has worked closely with USGS on various studies covering topics such as hydraulics, scour, erosion and water quality. Ohio Department of Natural Resources (ODNR): ODOT has worked closely with ODNR on studies involving underground mines, soils, slope stability and bedrock mapping. Ohio Environmental Protection Agency (OEPA): ODOT has worked closely with OEPA on studies involving endangered species, vegetated bio filters and exfiltration trenches. Transportation Pooled Fund Projects: These types of studies leverage funding by cooperation and contribution from two or more agencies or entities to study topics of common interest. Ohio may, or may not, be the lead agency in these studies. For information on pooled Ohio Department of Transportation 5

7 CHAPTER 1 fund projects, see Chapter 3. National Cooperative Highway Research Program (NCHRP): ODOT participates in NCHRP studies by proposing project ideas and serving as technical panel members on active NCHRP projects. For information on NCHRP projects, see Chapter 3. Transportation Research Board (TRB): Historically, ODOT has been heavily involved in TRB activities. Numerous personnel have served on TRB committees providing technical input on a variety of topics such as congestion, environmental issues, forecasting, geotechnical, noise, performance measures, planning, and safety. For information on TRB activities, see Chapter 3. Industry: ODOT is actively cultivating partnerships with local industry. Input is sought from individuals in the transportation industry on both active and proposed studies. University Transportation Centers (UTCs): ODOT has worked closely with UTCs established in Ohio and other states on studies that are of particular interest to Ohio such as crash testing and freight. Contracted Research vs. Grants The ODOT research program consists almost exclusively of contracted projects. ODOT contracts with both public and private agencies for the conduct of research. The administration of the program and projects is in accordance with the regulations for the procurement of services for the State of Ohio. Funds associated with research projects are not distributed as grants; they are payments for the performance of a specified service to be completed during a specific period of time. For detailed information on the administration of the program, refer to Chapter 3 and Chapter 4. For detailed information on the administration of individual projects, refer to Chapter 5. Universities ODOT conducts research through in-state, out-of-state, public, and private universities. The university environment is very conducive to research. Universities have extensive facilities and faculty in many areas of study. Research conducted for ODOT allows students to gain valuable experience by working on real-world problems. The faculty also benefit by being introduced to practical problems and being able to gain national exposure in specific areas of study. Consultants ODOT contracts for research studies with private consulting firms that are headquartered within and outside of Ohio. Consulting firms receive Ohio Department of Transportation 6

8 CHAPTER 1 the same consideration as universities when they submit a response to requests for proposals. Annual Work Program FHWA's requirements for "Research, Development and Technology Transfer Program Management" are set forth in 23 CFR 420. State work program requirements are set forth in 23 CFR Section as follows: (a) The State's RD&T work program must, as a minimum, consist of a description of RD&T activities to be accomplished during the program period, estimated costs for each eligible activity, and a description of any cooperative activities including the State DOT s participation in any transportation pooled fund studies and the NCHRP. The State DOT s work program should include a list of the major items with a cost estimate for each item. The work program should also include any study funded under a previous work program until a final report has been completed for the study. (b) The State DOT s RD&T work program must include financial summaries showing the funding levels and share (Federal, State, and other sources) for RD&T activities for the program year. State DOT s are encouraged to include any activity funded 100 percent with State or other funds for information purposes. (c) Approval and authorization procedures in Sec are applicable to the State DOT s RD&T work program. Research prepares the RD&T portion (Part 2) of the State Planning and Research (SP&R) work program on an annual basis. The SP&R2 work program includes proposed and active research projects that utilize SP&R2 funds. It incorporates locally developed projects, transportation pooled funds studies, contributions to NCHRP and TRB, and contingency funding for ongoing and emergency projects. Included in the work program are general descriptions, project information, and estimated costs for these projects. While finalizing the annual work plan; multi-year projects are reviewed to determine whether they are progressing effectively and productively, and should continue as originally planned. The SP&R2 work program provides the basis for approval by FHWA to fund the various research activities and projects. Once approved by Executive Leadership, the program is forwarded to FHWA for review and approval. When approval is received from FHWA, ODOT may proceed with projects listed in the program. Modifications can be made to the work program throughout the year; however, FHWA approval is required for significant changes to the work program. For more information on the process for modifying the SP&R2 work program, see Chapter 5. Ohio Department of Transportation 7

9 CHAPTER 1 Program Funding Title 23 of the United States Code, Section 505 requires a minimum of 25% of the state's federal-aid highway apportionment of SP&R (State Planning and Research) funds must be spent on research, development, and technology transfer activities. This portion is commonly referred to as SP&R Part 2 funds. The other 75% (referred to as Part 1 funds) is typically used for planning studies, although these funds have been made available from time to time to provide additional support to high priority research projects. Scenarios for the funding of research include: Federal monies with state matching dollars, typically in the ratio of 80% federal and 20% state funds. 100% state funded projects. 100% federally funded pass through projects, where ODOT administers the projects. Examples include Innovative Bridge Research and Deployment (IBRD) projects. Varying participation in pooled fund projects according to the number of participants and/or individual project agreements. Varying participation may come from other agencies and industry partners. NCHRP: The State departments of transportation are the primary sponsors of the NCHRP. Support is voluntary and funds are drawn from the States' Federal-Aid Highway apportionment of SP&R funds. Each State's allocation amounts to 5½% of its SP&R apportionment and is set forth in supplementary tables issued with each year's Federal-aid highway apportionments. The funds can be spent only for the administration of projects approved on ballot by at least twothirds of the States, as represented by the American Association of State Highway Transportation Officials (AASHTO) Standing Committee on Research (SCOR). UTCs: UTCs requiring matching funds may solicit State departments of transportation for support through the SP&R program. ODOT reviews UTC projects for applicability and potential benefits to Ohio and provides matching funds on a project-byproject basis. Ohio Department of Transportation 8

10 CHAPTER 2 ROLES AND RESPONSIBILITIES Ohio Department of Transportation ODOT employees play a large part in the success of the research process. Some project related duties such as project definition, monitoring, and evaluation fall within the scope of individual projects and are primarily the responsibilities of the sponsoring Division/ Office and the Technical Panel assigned to the project. Other duties such as project prioritization, funding approval, and direction of implementation have department wide impact and require the involvement of Executive Leadership, the Research Section, and other department managers. General roles and responsibilities for key groups involved in the research process are described in the following sections of this chapter. Additional details can be found in the chapters that describe the specific phase of the process. Research Section Organizationally, the Research Section is within the Office of Statewide Planning & Research, which is part of the Division of Planning. The role of the Research staff includes, but is not limited to: Attending State of Ohio Controlling Board meetings as needed (see Chapter 5). Developing, administering, implementing, and marketing the research program. Coordinating all research activities for ODOT, including research funded without SP&R funds. This also includes all of ODOT s activities with the Transportation Research Board (TRB), the AASHTO Research Advisory Council (RAC), and the development of public and private research partnerships. Initiating requests for internal and external research proposals. Reviewing proposals, assisting in selection of researchers, issuing research contracts, and monitoring the general progress of projects through project management. Ensuring that the basic functions of the development of a research project are following the process described in this manual. Facilitating the exchange of research information within ODOT and with other agencies, researchers, State DOTs, and interested parties. Preparing periodic status reports on unusual or unique and highimpact projects in conjunction with the program offices, and monitoring national and international research for potential application. Formulating, and monitoring strategies for implementing innovative technologies and procedures. Ohio Department of Transportation 1

11 CHAPTER 2 Reviewing invoices for validity. Coordinating evaluation procedures on all completed research projects. Maintaining project files for all research studies. Each project file contains the proposal, the contract, and other general correspondence relating to the project. These files are retained for approximately two years after the study is complete. Afterwards, the files are scanned and kept indefinitely. Executive Leadership The support of Executive Leadership is crucial to the success of the Department's research program. Executive Leadership is responsible for setting the overall direction of the research program through identification of strategic focus areas as outlined in the Department s business plan. Executive Leadership will oversee the activities of the research program by: Approving the annual work program. Approving selected researchers for each research project. Appointing members to the ODOT Standing Committee on Research. Reviewing recommendations to terminate contracts for projects sponsored within the division/district. ODOT Standing Committee on Research The ODOT Standing Committee on Research (OSCOR) is a diverse collection of ODOT experts who are appointed by Executive Leadership to conduct the following activities: Assist Research with the development and review of the research program to assure alignment with the strategic direction of the department. Provide input on the development and prioritization of research needs and initiatives. Provide input on the consideration of submissions received in response to solicitations. Provide input for national research participation (e.g.-nchrp problem statement submittals and rankings, pooled fund study endeavors, AASHTO research activities, etc.) Provide guidance and assistance on implementation activities as needed. Participate in the review of completed research activities to assist in the assessment of return on investment and refinement of programmatic performance measures. Ohio Department of Transportation 2

12 CHAPTER 2 Executive Leadership may choose to change the composition of the OSCOR at their discretion. In selecting OSCOR members, consideration is given to both the level of expertise of the individuals and balanced representation among ODOT s various function areas. The FHWA Ohio Division Research Liaison will have a permanent seat on the OSCOR. OSCOR participants are expected to: Have an understanding of ODOT s goals, activities and priorities. Discuss knowledgeably the urgency of research and technology transfer across the department. Be interested in research and development. Participate in meetings. Have the ability to influence the implementation aspects of the research projects where warranted. Recommend ODOT ideas for funding Recommend Student Study white papers for funding The OSCOR is expected to meet approximately two times per year. Typically, these meetings will take place in the fall and spring. Sponsoring Divisions/Offices/Districts The Administrator for each sponsoring office that participates in research activities has responsibility and accountability that includes but is not limited to the following functions: Developing research problem statements in accordance with the need of the division/office. Conducting a preliminary literature search in support of the requested research project. Facilitating and ensuring the timely completion of research activities by their staff. Preparing periodic status reports on unusual or unique and high-impact projects in conjunction with the Research Section. Developing and recommending an implementation plan of favorable research results; and coordinating and assisting in implementation activities. Developing strategies for technology transfer in conjunction with the Research Section. Developing and monitoring the progress of research implementation plans. Ohio Department of Transportation 3

13 CHAPTER 2 Technical Liaisons ODOT personnel providing support on a research project are referred to as Technical Liaisons. They shall have the expertise to adequately evaluate and manage the technical aspects of the research. They should also devote sufficient time to maintain full familiarity with the subject matter content and progress of the work throughout the life of each project. In the past, much of our transportation research has occurred in technical silos. In order to meet our strategic goals, a more holistic, integrated and collaborative approach is required. The Research Section requires every research project to include a minimum of two Technical Liaisons. This will provide stability in the technical oversight of the project in the event that one liaison leaves ODOT or is unavailable for an extended period of time. If a panel of liaisons is created (three or more), the panel may include representatives from ODOT, FHWA, other government agencies or private entities. We encourage a representative from ODOT s Division of Information Technology to serve as a panel member on any project that involves the development of any hardware or software products. The technical liaisons have responsibility for the following functions: Developing requests for proposals, and preliminary cost estimates in relationship to the strategic research plan. Conducting preliminary literature searches to support research requests. Reviewing proposals and making recommendations for selection of research entities. Attending Controlling Board meetings to answer technical questions concerning research projects as needed. Providing technical advice and guidance. Helping in the identification of field test locations or sections by coordinating with Districts and/or other offices or agencies as needed. Attending meetings such as start-up meeting, review sessions, and results presentations. Ensuring projects stay within scope and budget and addressing issues within a timely fashion. Reviewing quarterly progress reports and providing feedback as appropriate. Making recommendations to Office Administrators and the Research Section regarding modifications to project scope, budget, and time. Reviewing and evaluating subject matter content within interim and draft reports to assess the accomplishment of project objectives and goals. Ohio Department of Transportation 4

14 CHAPTER 2 Identifying intended implementation outcomes of the research project. Assisting in the assessment of implementation activities, progress, and results. Researchers The organizations that are awarded a research project are referred to as the research agency. The research agency, whether an academic institution or private organization, assume the responsibility to ensure all deliverables, including invoicing is timely and accurate. The research agency will work with each of the following individuals during the project life: Principal Investigator The principal investigator (PI) is the submitter of the research proposal. The PI is required to demonstrate in the proposal that the majority of the project work will be completed by their team consisting of staff or students from their place of business. Co-Principal Investigator A co-pi shares responsibility and oversight of the project with the PI. Subcontractor(s) The PI may recruit a person or organization to provide specific services or products to the research project. These people/organizations are referred to as subcontractors. Each subcontractor is required to provide a letter of support to the PI, who will include the letter in the proposal. Subcontractors are also required to submit an itemized budget for their role in the project. Student(s) University Students are a valuable resource for research projects. The PI of an educational institution may recruit students of various levels to assist with the research project. ODOT will reimburse student wages based on the established range of intern rates by Department of Administrative Services. These ranges will be posted at the time of the solicitation announcement. ODOT Research Section will not reimburse more than $20 per hour for any level of student, and may request adjustments to these wages as deemed appropriate. Click here to view DAS latest intern rates. Ohio Department of Transportation 5

15 CHAPTER 3 NATIONAL PROGRAM DEVELOPMENT While ODOT focuses its research program towards investigating issues facing Ohio s transportation system, there are factors affecting Ohio s system that are not unique to Ohio. These factors expand beyond the borders of the state and carry regional or national significance. Often the scopes of work for these studies are so vast that the cost would prevent a single DOT from conducting the study. In order to appropriately address these issues, a collaborative investigation among various State DOTs, federal agencies, national associations, and the research community is needed. To fulfill this need, ODOT actively participates in national research activities. By incorporating national research into the program, ODOT is able to: find answers to broad-based transportation issues, take advantage of experts and resources not readily available within the state, leverage funding with other entities nationwide. There are a variety of avenues in which ODOT participates in national research. The four methods ODOT generally used are: the American Association of Transportation Officials (AASHTO), the Transportation Research Board (TRB), the National Cooperative Highway Research Program (NCHRP), and transportation pooled fund studies. American Association of State Highway Transportation Officials The American Association of State Highway Transportation Officials (AASHTO) is a nonprofit, nonpartisan association representing highway and transportation departments in the 50 States, the District of Columbia and Puerto Rico. It represents all five transportation modes: air, highways, public transportation, rail and water. Its primary goal is to foster the development, operation and maintenance of an integrated national transportation system. AASHTO has various programs and groups that investigate specific transportation issues. Examples of these programs include the National Transportation Product Evaluation Program and the Environmental Technical Assistance Program. State DOTs are able to participate in these programs by providing an annual membership fee. ODOT actively participates in some of these groups based on the agency s current focus and direction. In addition to participating in various AASHTO programs, a member(s) of ODOT s research program serves on AASHTO s Research Advisory Committee (RAC). The RAC is an advisory committee to AASHTO s Standing Committee on Research (SCOR). RAC s mission is to be a proactive committee promoting quality and excellence in both research and in the application of research findings to improve state transportation systems. Ohio Department of Transportation 1

16 CHAPTER 3 Transportation Research Board The Transportation Research Board (TRB) is a unit of the National Research Council, a private, nonprofit institution that is the principal operating agency of the National Academy of Sciences and the National Academy of Engineering. TRB's mission is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. TRB fulfills this mission by providing opportunities for information exchange on current transportation research and practice, management of cooperative research and other research programs, analyses of national transportation policy issues and guidance on federal and other research programs, and publications and access to research information from around the world. ODOT supports the efforts of TRB by actively serving on various committees and task forces. In addition, ODOT provides financial support to TRB s Transportation Research Information Documentation (TRID) and Research in Progress (RiP) databases. TRID is the world s largest and most comprehensive online bibliographic database of published and ongoing transportation research. RiP provides information on current or recently completed transportation research projects from federal and state transportation agencies, universities, and international organizations. TRB also conducts annual field visits to each state DOT to exchange knowledge about research activities and findings. Each visit has two primary missions: to learn of problems facing the organization and to pass on information that may help solve these problems, based on the research experience of other states, industry, or educational institutions; and to learn of ongoing and prospective research activities, to inform organizations of any similar research that has been conducted or is under way, and to learn of new methods and procedures that might have application elsewhere. During their visits, the TRB staff members also discuss TRB activities; identify candidates to serve on TRB committees, task forces, and panels; urge researchers to report on their work through papers for the TRB annual meeting and specialty conferences; and, finally, encourage implementation of appropriate findings. Ohio Department of Transportation 2

17 CHAPTER 3 National Cooperative Highway Research Program Projects The National Cooperative Highway Research Program is administered by TRB and sponsored by the member departments (e.g., individual State DOTs) of AASHTO. NCHRP was created in 1962 to conduct research in acute problem areas that affect highway planning, design, construction, operation, and maintenance nationwide. Funding for NCHRP projects is provided by State DOTs on an annual basis. As a member, ODOT responds to NCHRP solicitations by submitting research problem statements, prioritizing problem statements, and providing staff to serve on project panels. NCHRP typically solicits problem statements in July, with a deadline in September, for projects expected to begin two years later. The problem statements are evaluated by NCHRP and FHWA staff in November and a ballot is distributed to SCOR and RAC in December. Ballots are due in February. SCOR selects and prioritizes projects in March, then sends the program to the states for endorsement in May. The program must be endorsed by at least twothirds of the states before projects can be initiated. Technical panels begin working in fall to develop the scope and RFP. As a supporter of NCHRP, ODOT can submit problem statements for consideration. The Research Section will circulate NCHRP s solicitation for problem statements and coordinate ODOT s response to NCHRP. The problem statement of an ODOT initiated submission is developed by the appropriate Technical Liaisons with the approval of their Office Administrator and Deputy Director. Technical Liaisons send their completed NCHRP problem statements to the Research Section for formal submission to NCHRP. The standard format of an NCHRP problem statement is available on the NCHRP website. AASHTO committees can also submit problem statements to NCHRP. All ODOT employees who may be involved in submitting a problem statement on behalf of one of these committees should also copy the Research Section on the submission. This will enable the Research Section to track all problem statements that have ODOT sponsors and help ensure that ODOT priorities are well-supported. Transportation Pooled Fund Studies Multiple parties (e.g., federal, state, regional, or local transportation agencies, academic institutions, foundations, private industry) may have a common interest in solving a transportation-related problem. If so, a pooled fund study may be used to jointly fund research, planning, and technology innovation activities. Federal, state, and local transportation agencies may initiate pooled fund studies and private industry, foundations and colleges/universities may then partner with the sponsoring agencies in the projects. Ohio Department of Transportation 3

18 CHAPTER 3 There are three categories of participants in pooled fund studies: (1) lead agency, (2) participating agencies, and (3) research teams. The lead agency (typically FHWA, TRB, or a state DOT) for a pooled fund study is the organization that conducts or contracts for the research and performs the administrative functions of the study. Generally, the lead agency takes the initiative in developing the problem statement, soliciting for interest from other agencies, and obtaining FHWA approval of the study. Participating agencies provide technical and financial assistance to the study. Depending upon the structure established by the lead agency, participating agencies may be offered a chance to provide input into the development of the scope of work and selection of the researcher. At least one agency must commit to participate in order for a project to be considered a pooled fund study. Research teams are the groups conducting the actual scope of work. ODOT may choose to be the lead agency or a participating agency. Based on ODOT s intended level of involvement, the processing and managing of pooled fund studies differs. Procedures: Ohio as Lead Agency If ODOT elects to be the lead agency for a pooled fund study, it is because the topic is of significant importance to the agency. Pooled fund studies require additional administrative and technical organizational efforts beyond that of a standard research project. Technical Liaisons that are considering requesting a pooled fund study are encouraged to discuss the option with the Research Section in advance to pursuing the study to ensure they fully understand the responsibilities they will have as the lead technical contact for a multi-state study. The following outlines the general flow of establishing a pooled fund study that is led by ODOT: Problem Statement Development After discussing the project concept and pooled fund study process with the Research Section and obtaining approval from their Office Administrator and Deputy Director, Technical Liaisons develop an idea form for the proposed pooled fund study. The Idea Form is the standard format used for pooled fund studies. Technical liaisons are encouraged to contact their colleagues in other state DOTs to garner interest and identify potential partners in the study prior to submitting the idea form. Making these preliminary contacts with potential partnering states is a critical step in the development of a pooled fund study. Failure to secure sufficient partners and funding for a pooled fund study will result in the project being cancelled. Technical Liaisons may include partnering agencies in the development of the idea form as they deem appropriate. Ohio Department of Transportation 4

19 CHAPTER 3 During the review of the idea form received in response to the Research Section s annual internal solicitation for research ideas (see Chapter 4), the Research Section may identify a submission as a good candidate for a pooled fund study. In this case, the Research Section will discuss the possibility with the sponsoring program office. Based on the discussion, the project may be modified into a pooled fund study or proceed as a standard research project. Solicitation/Commitment of Partners Once the idea form is finalized, the Research Section will forward it to FHWA with a request to declare the project eligible for 100% SP&R federal funding. This is a critical component to getting support from other states. Upon determining the study eligibility, the project is posted on the transportation pooled fund (TPF) website. The TPF website is managed by FHWA and is used to track participation and financial contributions in pooled fund studies nationwide. Included on the website are proposed, active, and completed pooled fund studies. State DOTs indicate their support of the study on the TPF website by committing funds to the proposed project. The commitment will indicate if the amount will be provided as a lump sum in one fiscal year or if will be divided up over multiple fiscal years. The Research Section will monitor the TPF website to ensure that the project is moved into the next phase of development once sufficient contributions have been made or cancelled if there is not enough support. The solicitation time on the TPF website is not expected to exceed one year. Projects may be posted at any time during the calendar year. Procedures: Ohio as Participating Agency (not Lead) Notification that proposed pooled funds studies are available for consideration on the TPF website may occur at any time throughout the year. In order to accommodate for participation in these studies, the Research Section will set aside a specific amount of funds in the research budget for pooled fund study participation each fiscal year. The Research Section coordinates these solicitations with the various program offices throughout ODOT to determine if there is interest in participating in the study. Items that should be considered when reviewing solicitations include the potential benefits to ODOT and the availability of the technical liaison to actively participate as ODOT s technical representative on the project. Ohio Department of Transportation 5

20 CHAPTER 3 If there is sufficient interest and time commitment from a program office, the technical liaison should obtain concurrence from his/her Office Administrator and Deputy Director and forward it to the Research Section with a recommendation to participate. The technical liaison should also indicate the amount of funding he/she recommends ODOT contribute to the study. Upon receipt of these documents, the Research Section will indicate Ohio s participation in the study on the TPF website. The entry will specify the amount of funds ODOT plans to contribute per fiscal year as well the names of the technical and administrative contacts. The lead agency will notify ODOT when the project begins. The Research Section will respond to requests to contribute funds through state-tostate transfers as appropriate. Technical Liaisons are expected to be actively engaged throughout the duration of study to ensure ODOT is benefiting from our financial contribution. Coordination of technical liaison involvement may be enacted by the lead agency; however, technical liaisons are expected to be proactive and engage the technical contacts at the lead agency to make certain ODOT s interests are appropriately represented and promised deliverables are provided. All pooled fund studies, including those in which ODOT is participating, will be evaluated for potential implementation. For more information on implementation, see Chapter 6. Ohio Department of Transportation 6

21 CHAPTER 4 LOCAL PROGRAM DEVELOPMENT The emphasis of ODOT s research program is on investigating local issues facing Ohio s transportation system. The process of developing the research program involves the collection of research needs and solutions from various entities, including: ODOT employees, FHWA, university researchers, consultants, local governmental agencies and private industry. ODOT utilizes a strategic approach to develop the research program. This helps to ensure that: research is focused on ODOT s needs; both long and short term goals are identified; research is performed as near as possible to the time that a solution is needed, and; major projects, or portions thereof, are sequenced in a logical manner. To encourage a robust research program, ODOT has several avenues through which project ideas of local importance can be developed: Strategic Research Program Ohio s Research Initiative for Locals (ORIL) Strategic Research Focus Areas Student Study Program In-House Research Research On-Call ODOT s biannual business plan sets the overall strategic direction for the agency. It outlines areas of focus, establishes short-term and long-term objectives, and provides strategies for achieving ODOT s vision. The business plan is the foundation for the strategic research focus areas that are created by the Research Section in cooperation with Executive Leadership. The strategic research focus areas identify the topics of interest in which ODOT intends to invest its research efforts and funds. Strategic research focus areas are formally reviewed and updated every two years to ensure alignment with and support of ODOT s biannual business plan. A listing of the current strategic research focus areas is available on the Research website. Strategic Research Plan Projects Once a year, the Research Section will issue an internal solicitation for strategic research plan project ideas to all ODOT divisions, districts, and offices. Ohio Department of Transportation 1

22 CHAPTER 4 The typical schedule for developing RFPs is as follows: Strategic Research Plan Project Development Schedule* (*Deviations from this schedule may occur as deemed necessary by Research or Executive Leadership) AUGUST Research solicits ODOT Idea Forms for the upcoming state fiscal year OCTOBER NOVEMBER DECEMBER JANUARY Deadline for submission of Idea Forms to Research Internal evaluation of ideas begins OSCOR meets to review ideas and make recommendations Executive leadership approves or modifies OSCOR recommendations Research works with sponsoring Program Offices to develop Idea Forms into RFPs Research submits RFPs to ODOT Executive Leadership for approval and prioritization Research posts RFPs to community for responses due in March Ideas should address specific needs within ODOT, relate to one or more of the strategic research focus areas. Ideas are submitted to the Research Section using the Idea Form. Prior to submitting an idea form to the Research Section, consideration should be given by the sponsoring Deputy Director/Office Administrator to the manageability of the research projects under their direction. Prior work load commitments and general availability of subject matter experts to actively participate in research projects play a vital role in the overall success of a research study. If adequate time to devote to a research project is not available, consideration should be given to postponing the proposed research until such technical assistance will be feasible. Ideas should be submitted to the Research Section by the deadline indicated in the solicitation. The Research Section will evaluate all ideas in cooperation with the ODOT Standing Committee on Research (OSCOR) (see Chapter 2). The OSCOR members assign priority levels based on the Department s business plan and needs. Any cross-disciplinary issues will be addressed at this time, and recommendations to strengthen or clarify the proposed research or expand technical liaison involvement will be identified. Recommendations on submitted ideas are forwarded to Executive Leadership for approval or modification to move forward with the development of Requests for Proposals (RFPs). Executive Leadership evaluates and prioritizes the ideas based on departmental need, capacity and interest. Criteria applied to the RFP evaluation by Executive Leadership include, but are not limited to, the following: Responsiveness to ODOT s business plan and strategic research focus areas. Ohio Department of Transportation 2

23 CHAPTER 4 Overall value and potential benefit of the proposed research. Probability for success of proposed research. Implementation prospects of the proposed research product and potential return on investment. Estimated budget and time demands of the research on ODOT staff. Other ongoing research activities at ODOT. Additional modifications may be made to RFPs at the request of Executive Leadership. The Research Section will work with the sponsoring program office/division/district to develop RFPs and determine the future direction of the project as appropriate (e.g.: proceed or delay the study). The RFP Solicitation Once Executive Leadership approves and ranks the RFPs, Research will issue an open solicitation to the research community by posting the RFPs on the Research website. ODOT does not prequalify researchers. The RFP solicitation is open to anyone interested in conducting transportation research on behalf of ODOT. The typical schedule for the RFP process is as follows: Standard Request for Proposals Schedule* (*Deviations from this schedule may occur as deemed necessary by Research or Executive Leadership) JANUARY Research issues RFP solicitation to the research community MARCH RFP solicitation closes Internal review of proposals by Research and Technical Liaisons begins MAY JUNE JULY Executive Leadership approves researcher selections Notification of selected proposals issued by Research Modifications to selected proposals and contract negotiations begins FHWA approves the ODOT SP&R2 Annual Work Program Projects begin as contracts are executed While Research typically issues the Request for Proposals annually in January, solicitations for emergency or specialty projects may occur throughout the year as approved by Executive Leadership. Ohio Department of Transportation 3