A strategic approach is used to develop the ODOT research program. This helps to ensure that:

The long-range planning window for development of the strategic research plan is a period of ten (10) years. It is not intended to identify specific projects over such a time frame, but to establish general needs and direction for the program. Five(5)-year matrices provide more focus by listing specific projects expected to be developed by various Divisions/Offices within the succeeding five years to address the long-range needs. Projects are further developed and proposals solicited on a biennial basis. Figure 3.1 depicts the time line for the development of the biennial research program.

Development of the program is structured to involve internal and external sources. The Cooperative Research Seminar (see Section 3.1) is the primary means used to solicit external input.

Figure 3.2 outlines the general development of the strategic research plan.

The priorities established for the 5-year matrices become the basis for Deputy Directors and Office Administrators to begin development of problem statements for their area(s) of expertise. During this phase, a Cooperative Research Seminar is held to solicit and obtain a wider range of input into the program. This seminar is open to anyone interested in transportation research and is a forum for the presentation and exchange of ideas and comments on the proposed research program. ODOT's 10-year Strategic Research Plan is presented at this seminar as well as the drafts of the 5-year matrices for sponsoring Offices/Divisions.

Office Administrators will use the input from the Cooperative Research Seminar to refine their 5-year matrices.

The Office matrices are forwarded to the responsible Deputy Directors for review and approval. The Deputy Directors may choose to develop one matrix for their entire division in lieu of individual office matrices. The Deputy Directors will then forward their matrices to the R&D Administrator for compilation and submission to Senior Leadership. Upon approval by Senior Leadership, these matrices become the basis for identifying research needs for the upcoming biennium.

Figure 3.3 outlines the general process for soliciting research needs for the biennium.

When identifying research needs for the biennium, consideration must be given to the manageability of the program in light of available staffing, work load, anticipated budget, and time. The appropriate Deputy Director must review and approve the selected needs.

Before completing the list of needs, the Office Administrator makes a request to the ODOT Library to perform literature searches using the TRIS, RIP, and other available databases and resources to identify completed and active research projects that may duplicate or overlap any of the current needs. If any such research is found by the Library, an abstract is returned to the Office Administrator for further investigation. This investigation should determine if the results of the prior research can be used or adapted to address the current need and thereby negate the need to initiate a new project. A copy of the results of this search must be attached to all problem statements submitted for consideration to support the need for the research. After project initiation, the researcher may be required to conduct a more detailed literature review to determine the state of the practice. (See Figure 3.9 for problem statement format.)

Another consideration is whether or not a research need is one that may be of interest to other States, i.e., one that might be addressed through a pooled fund or NCHRP study. If so, and if such a study can be developed in a time frame amenable to the Department's needs, these avenues should be explored before initiating an independent study. Participation in these programs allows the Department to leverage its research funds, obtain additional funding, and gain access to expertise from across the nation.

Figure 3.4 outlines the development of pooled fund and NCHRP studies.

More than one Federal, State, regional, or local transportation agency, academic institution, foundation, or 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 and State transportation agencies may initiate pooled fund studies. Local and regional transportation agencies, private industry, foundations and colleges/universities may then partner with the sponsoring agencies in such projects.

The "lead" agency for a pooled fund study is the organization that performs or contracts for the research and performs the administrative functions of the study. The "sponsoring" agency is the organization that develops the project problem statement and submits it to FHWA for approval. The first step in initiating a pooled fund study is the completion of a problem statement by the sponsoring agency. The program Office Administrator will submit a problem statement to R&D that includes a project title, project description, budget, project goal, estimated project duration, deliverables, and sponsor contact for further information. R&D will post the project on the FHWA TPF pooled fund web site to solicit interest from other participants. R&D will also indicate whether the project will be administered by ODOT or by a project partner, TRB, or FHWA.

If the solicitation does not garner an adequate amount of funding to be initiated, ODOT may again post the proposed project at the end of each quarter. The solicitation time is not expected to exceed one year. R&D will monitor the solicitation to ensure that it is moved to the initiation phase in a timely manner or archived if there is not enough interest. The archive section is intended to serve as a resource to States who might consider similar efforts in the future.

To maximize the efficiency of the pooled fund process, the Office Administrator/Technical Liaison should have some preliminary conversations with other States or organizations who may be interested in participating before R&D posts the project to the FHWA TPF pooled fund web site.

If the commitment from project partners is sufficient, R&D will formally request that FHWA establish the pooled fund project and to approve the use of 100 percent SP&R funds (instead of the normal ratio of 80% Federal and 20% State). FHWA is responsible for assigning a project number and an FHWA technical liaison, obtaining completed obligation forms, and notifying the project partners on all financial issues. The request to FHWA should include the proposal project information, describe the commitments from specified states, list in-kind contributions or services and specify which agencies/jurisdictions may be affected by the study and whether or not they have been contacted and are supportive of the study.

Submission of a commitment form by a state DOT does not obligate funding. A request to obligate funds is made separately, after FHWA has assigned a pooled fund number to the project. In addition to requesting that FHWA designate a project as a pooled fund, R&D must also request that the Office of Accounting designate the project a pooled fund study and obligate the funds.

The request to obligate funds should include:

A separate request for an obligation of funds will be made for each fiscal year that Ohio participates in a study.

When Ohio elects to be the lead State, the process is essentially the same as it is for all other ODOT research projects. ODOT is responsible for managing the project, requesting obligation of funds from participating states, maintaining the contract, billing and payments, monitoring the progress of the work, distributing all project reports and deliverables to the partners, and regularly updating the partners on the status of the project.

Invitations to participate in a pooled fund study may be posted on FHWA's TPF pooled fund website or sent directly to prospective participants from FHWA or from other State DOTs. R&D will distribute the invitations to the Administrators and Technical Liaisons in the respective technical areas. If there is sufficient interest from the technical areas, R&D will send requests to modify the program to the Assistant Directors for approval on a quarterly basis. Upon receiving approval from the Assistant Directors, R&D will return a commitment form to the originating organization. The commitment form will indicate the amount of funds Ohio plans to contribute per fiscal year as well the names of the technical and administrative contacts.

If the decision to participate comes at the end of the fiscal year when the work program is being prepared, the study may be included in the work program, which when approved by FHWA also constitutes approval of the project as being eligible for federal funds. If the decision to participate in a study comes at another time, a letter requesting approval to include the proposed project in the work program must be sent to FHWA. This may be done quarterly, listing all projects of interest during that quarter, or it may be done for individual projects. Once approval is received from FHWA, R&D will notify Accounting and request an obligation of funds. The request to obligate funds should include:

A separate request for an obligation of funds will be made for each fiscal year that Ohio participates in a study.

Each project partner is responsible for appointing a technical expert to serve on the project's Technical Advisory Committee (TAC) for the duration of the project. The TAC is responsible for drafting and approving the project work statement, selecting the researcher, reviewing progress reports, participating in all project related meetings and completing implementation activities. Travel and communication expenses for project partners associated with participation on the TAC will be paid out of the project's funds unless stated otherwise for the individual project.

When the TRB project management option is used, there will not be a TAC. TRB will select a panel of experts which may or may not include a representative from each of the project partners. TRB will solicit nominees for panel membership from Federal agencies, States, universities, relevant associations, and other organizations. These panels will typically have eight to 10 members.

The National Cooperative Highway Research Program (NCHRP) conducts applied, user-oriented research that produces results intended to improve engineering, operational, and management practices. 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) ballots on the proposed projects and sends recommendations to SCOR. The R&D Administrator serves as ODOT's representative to the AASHTO RAC and to TRB.

The Department occasionally has the need to conduct small research studies that provide solutions to immediate problems. Being of limited scope, these studies do not warrant the time and expense required for typical research projects. When these problems would be amenable to the development of a graduate thesis, funds are made available to provide a stipend and tuition supplement for qualified students to solve these problems. The following criteria apply:

• The maximum amount of funding allowable is $10,000.

• The study must address an ODOT need.

• The study must be amenable to the development of a graduate thesis.

• The study must be completed within 12 months.

• The student assigned to the study must be:

  • employed by the university

  • enrolled full-time in graduate school

  • a citizen or permanent resident of the United States

  • a resident of the State of Ohio for a minimum of 1 year

  • (A letter from the university registrar must be submitted which certifies that all of the conditions have been met by the student).

It is unlikely that $10,000 will be adequate to provide full tuition, a reasonable stipend, and funds for publication of a thesis without some contribution from the university, such as a waiver of overhead charges and/or matching funds for specific line item expenses. Advisors for graduate students performing these studies will serve as Principal Investigators, but charges for their time are ineligible for reimbursement. Invoices are submitted as for any standard cost-reimbursement contract and acceptable completion of a study will be accomplished by providing twelve (12) copies of the final thesis or approved report to ODOT, unless stated otherwise in the contract.

Time extensions can be granted, under special conditions, but no funding extensions will be approved. The standard ODOT educational organizational contracts will be used with modifications that address issues specific to these contracts, such as the number of copies of the final report.

Figure 3.5 outlines the process used to develop and prioritize problem statements.

Each program Office Administrator (or Technical Liaison/Project Panel) is responsible for developing a problem statement for each research need approved for study in the biennium. A problem statement must address the following elements as clearly as possible:

The format to be used for ODOT research problem statements is outlined in Figure 3.9.

In conjunction with preparing problem statements, the Office Administrator (or Technical Liaison/Project Panel) is to develop an estimate of the cost of each study. These estimates may be based on past projects or best judgement. The cost estimates are intended for Departmental use only, and are not to be revealed to researchers. The intent of keeping the cost estimates confidential is to encourage more accurate estimates from researchers, to gage their understanding of the magnitude of the problem, and to encourage fair competition among all qualified members of the research community.

Completed problem statements and internal cost estimates are to be submitted by each Office Administrator to their Deputy Director for review and approval. Any problem statement anticipated to require the purchase or development of software, shall be forwarded by the sponsoring Deputy Director to the Division of Information Technology (DOIT) for review and comment before submission to R&D. The problem statements and internal cost estimates (and DOIT comments/approval) will then be forwarded to R&D by the Deputy Director. When multiple Offices will be involved in a particular research project, one Office should take the lead and coordinate the project through the appropriate Division.

The Office Administrator or Technical Liaison/Panel will prepare problem statements for each project designated for submission to NCHRP.

NCHRP typically solicits problem statements in July, which are due 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 two-thirds of the States before projects can be initiated.

See Figure 3.10 for the format of NCHRP Problem Statements.

R&D will forward all approved NCHRP problem statements to TRB.

All ODOT problem statements will be evaluated and ranked by the Research Selection Committee (RSC). Problem statements will be discussed and questions or issues will be addressed with particular emphasis on the following:

A form for evaluating and rating problem statements is included in Figure 3.11. This form will be completed by the RSC. R&D will then calculate the cumulative score for each problem statement and rank the projects from high to low based on these scores.

Cross-disciplinary issues will also be addressed and Technical Liaisons/Project Panels will be established for each project.

A biennial draft work program based on the cumulative ratings of all problem statements, as constrained by anticipated budget, will then be assembled. R&D will forward the draft work program, along with all problem statements and internal cost estimates, to Senior Leadership for approval. Once approved, studies on the draft work program list may be advanced to the proposal development stage.

Refer to Figure 3.6.

R&D will notify research agencies of a request for proposals (RFP) by posting a notice on the R&D web page. The notice will include a deadline for submitting proposals. The following criteria regarding the submission of proposals are to be observed:

RFPs are developed by the same individuals who developed the problem statement. R&D provides assistance as requested.

Researchers responding to an RFP must prepare a proposal in the format specified and according to other directions given in Figures 3.12 and 3.13. Noncompliance with the instructions will be cause for rejection of the proposal.

If a briefing regarding the research outlined in the RFP is desired, a request should be directed to the responsible Office Administrator. If deemed appropriate, the Office Administrator will coordinate with the Technical Liaison/Project Panel to conduct such a meeting. A representative from R&D should be present at these meetings. When requesting information or clarification, the researcher should keep the submission deadline in mind since no extension to that date will be granted.

R&D will distribute proposals to the appropriate Office Administrators, Technical Liaisons/Project Panel, FHWA, and Expert Task Groups for review and comment. Proposals for projects that include the development or purchase of software for other than single-users or local application will also be forwarded to the Deputy Director of the Division of Information Technology for review. Individual proposals will be evaluated by all reviewers using the form in Figure 3.14. Proposals will be compared using the form in Figure 3.15. The forms will be completed electronically and returned to R&D by the date requested at the time of distribution.

Proposals are reviewed to determine if the proposal: (1) meets the requirements stated in the RFP, (2) conforms to the required format, and (3) adequately states or addresses all information required. Generally, this review should determine if:

The proposal evaluations returned to R&D will be forwarded to the Research Selection Committee (RSC) for review. A meeting with the RSC will then be scheduled to evaluate and rank the proposals and to select a researcher for each project. The selected agency will receive written notification from R&D. Proposals may be acceptable as submitted, or with modifications. If modifications are requested, R&D will include comments along with the notification letter to the researcher.

Submitters of proposals that were not selected will be notified in writing. When multiple proposals are received, the second highest rated submitter will be notified that their proposal is being held pending successful negotiating with the highest ranking submitter. A submitter may request a debriefing meeting with R&D to discuss the reason(s) the proposal was not selected. Proposals that were not selected will be retained until the contract for the project has been initiated. (See also Section 3.4.4.)

The Department reserves the right to reject any or all proposals. All proposals become the property of the department.

Modification of the proposal is a negotiated process conducted between ODOT and the research agency.

When R&D and the sponsoring Office Administrator are satisfied that a clear understanding of the intent of the research exists and that the research can be conducted as planned, and within budget, the proposal will be considered final and become part of the contract.

When differences exist that cannot be resolved, the agency will be notified in writing that its proposal has been rejected. ODOT may then select and negotiate with another submitter or solicit new proposals.

The goals of the ODOT Partnered Research Exploration Program (OPREP) are to:

$100,000 will be available from ODOT each fiscal year. Funds can be awarded to one or more projects, depending on the estimated budgets. (Available funds may be adjusted in response to fluctuations in the overall research budget.)

Each project must be completed within 12 months. Time extensions can be granted, under special conditions, but no funding extensions will be approved.

A formal solicitation will be distributed annually in January; however, unsolicited problem statements will be accepted throughout the year. Problem statements are due in March and evaluation and selection will occur in May.

The proposing research agency is required to provide a minimum 50/50 match of the funds requested from ODOT. No more than one-half of the matching funds can come from in-kind donations from the proposing agency. Tuition and fees for graduate students cannot be used as a cash match; however, salaries, stipends and benefits paid to these students can be used as cash matching funds. Salaries, wages, and benefits for all other research personnel and their subcontractors are considered in-kind matching funds. Overhead/indirect costs and fees are considered in-kind contributions. Discounts on purchases are considered in-kind contributions. Expenses incurred prior to the start date of the contract are ineligible for consideration as matching funds. Depreciation on equipment, etc. is ineligible for consideration as matching funds.

At least one other partner unaffiliated with the proposing agency must agree to support the project. All partnership agreements and funding commitments need to be established before a problem statement is submitted.

Projects are selected by the Research Selection Committee (RSC).

The Department reserves the right to reject any or all submittals.

All proposals become the property of the department.

See Figure 3.16 for the format of OPREP problem statements.

Figure 3.7 outlines the process used to organize the biennial work program.

The Federal Highway Administration'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 420.207 as follows:

R&D prepares the RD&T portion (Part 2) of the State Planning & Research (SP&R) work program on a biennial basis. Amendments are developed and processed as needed.

The work program includes proposed and active research projects that are to be funded during each fiscal year of the biennium. It also provides general descriptions and information, and estimated costs. The work program outlines the following information:

The SP&R work program provides the basis for approval by FHWA to fund the various research activities and projects. Once approved by Senior Leadership, the program is forwarded to FHWA for review and approval. When approval is received from FHWA, the Department may proceed with projects listed in the program. Modifications can be made to the work program throughout the biennium. However, modifications to add research projects, pooled fund projects, new administrative line items, or substantially change funding for existing administrative line items must be approved by FHWA. (See Section 4.2.3.)

After approvals by Senior Leadership and FHWA, Part 2 (Research) is forwarded to the Office of Technical Services for combination with Part 1 (Planning) and final publication. It is also submitted to the Division of Finance & Forecasting to request obligation of funding. This allows R&D to request purchase orders on each individual project in the program from the Office of Accounting.

The R&D Administrator will submit to Senior Leadership a biennial report that evaluates the state of the research program and makes recommendations for improvements. The report will consider the factors outlined below.

The Department must develop the research program from three basic resources. The degree to which these resources are available, along with the guidance provided by R&D, will ultimately determine the effectiveness of the program. These resources include:

• Departmental participation: all levels of staff contribute to the success of the program. Senior Leadership must support the program, administrative staff must direct the program, technical staff must monitor the projects, and field level technicians and workers must provide needed assistance to complete the projects successfully.

• Funding: adequate funds must be provided to conduct those research activities that the Department deems to be important.

• Competent researchers: qualified individuals must be available to perform research in pertinent areas of study.

To set the direction and identify the highest needs and priorities, the Department has established the strategic process outlined in this Manual. The effectiveness of the research program is determined based on accomplishing the mission, goals and objectives of the Department. Measuring effectiveness will involve quantitative as well as qualitative indicators of performance. Customer surveys are one method that will be used to identify trends in overall program performance.

A successful research program must have the following attributes:

A biennial assessment of how the research program meets expectations will be conducted by R&D. This assessment will come from those ODOT employees who are associated with the program.

Top management, middle management, and technical staff play different roles in the research program. All are vital to the success of the program, but each has a different perspective. Input from all the groups will provide an overall assessment of the program. To obtain meaningful input on the effectiveness of the program from all the perspectives, appropriate questions have been selected and combined into questionnaires customized for each level of personnel.

The standard survey for internal program evaluation is shown in Figure 3.17. Figure 3.18 lists the components of the survey that various recipients are expected to address. Questionnaires are distributed by R&D in May of the first fiscal year of each biennium, and a summary of results will be included in the biennial report.

External evaluations of the research program are currently made through three venues, as outlined below.

FHWA must approve the Department's Research, Development and Technology Transfer Program Management Plan before giving the Department authority to administer SP&R funds. The FHWA also maintains the right to audit these processes at any time to verify their acceptability and compliance. Process reviews are held periodically, as determined by FHWA. Comments resulting from these reviews are given careful consideration for incorporation into the research program.

FHWA requires a Peer Exchange to be held at least every three years. The purpose is to exchange ideas for effective practices with other State DOTs. It is not intended to enforce rules and regulations, but to provide an opportunity to share good practices.

A Peer Exchange team will be selected from other State DOT research offices, university researchers, and FHWA staff. At least two team members should be selected from a list of qualified team members provided by FHWA. The host DOT will select the focus areas to present to the Peer Exchange team for review. The number of focus areas will vary depending on the depth and extent of the expected review. Before the Peer Exchange, a questionnaire covering topics related to the focus areas will be circulated to appropriate R&D customers. The focus areas along with supporting historic documentation and questionnaire responses will be provided to team members approximately two weeks before the Peer Exchange.

The Peer Exchange usually lasts two to three days. The format of the sessions may be either a formal interview process between team members and R&D customers, or it may be an informal open discussion. Team members will comment throughout the exchange on the effectiveness of current practices and how current practices may be improved. They may also find ideas to take back with them to their home State. At the end of the Peer Exchange, time will be reserved for team members to assess and synthesize the information they have gathered, and prepare a written report to be presented to all of the Peer Exchange attendees. ODOT Senior Leadership is also strongly encouraged to attend this closeout session. The final report will be submitted to FHWA.

In intermediate years, when ODOT does not host a Peer Exchange, the R&D Administrator is expected to participate in Peer Exchanges for other States when invited.

The field visit program involves TRB's professional staff in a systematic exchange of knowledge about research and research findings with the administrators and professional staffs of all State DOTs, more than a hundred academic institutions, and many transportation-related agencies and industries. Each visit has two principal missions:

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.

Refer to Figure 3.8.

Two types of contracts are used for research studies: cost-reimbursement (for educational institutions) and cost-plus-fixed-fee (for commercial organizations). Five standard agreements are used, as follows:

1. Commercial Organizations with Federal Participation;

2. Commercial Organizations without Federal Participation;

3. Educational Organizations with Federal Participation;

4. Educational Organizations without Federal Participation; and

5. Personal Service Contract.

Copies of the standard agreements are included in Appendix B.

R&D will prepare and forward two copies of an agreement to the research agency. Both copies are to be signed and returned to R&D.

Agreements with state agencies and state-supported universities in Ohio do not require approval from the State of Ohio Controlling Board. (See Glossary.) However, agreements with private universities, private-sector consultants, and federal agencies must be sent to the Controlling Board for review and approval when the Controlling Board threshold has been met. The threshold is an agency's limitation on the amount of "noncompetitively" selected purchasing activity an agency may enter into with a vendor without receiving prior approval from the Controlling Board. Based on the Controlling Board Manual (December 1997), the elements of the threshold are as follows:

• Purchase Amount/Contract Amount: The full amount to be paid to the vendor over the term of the contract* is applied to the Controlling Board threshold, regardless of whether the term of the contract covers more then one fiscal year within the biennium.

* For projects expected to be completed during a future biennium, the term of the contract period expires at the end of the current biennium. A contract can be renewed as long as it expires during each of the succeeding bienniums provided that it is reviewed in accordance with the requirements defined in the contract and those of the Controlling Board. For additional information, see Section 4.2.

Example #1:

ODOT wants to contract with Consulting Research, Inc. (C.R., Inc.), a private consulting firm, to perform a new research project. The total cost of this project is $30,000 and it will be completed within one fiscal year. The following activities with state agencies involving C.R., Inc. are currently underway:

Does R&D need to obtain approval from the Controlling Board to have C.R., Inc. perform the new research project?

Yes! The calculation for this determination is as follows:

This amount is over the Controlling Board threshold of $50,000.

Example #2:

ODOT wants to contract with Engineers-R-Us to perform a two-year research study for a total funding amount of $55,000 for the given biennium. It is anticipated that $25,000 will be spent during the first fiscal year of the biennium and $30,000 in the second fiscal year. ODOT does not have any previous fiscal activity with Engineers-R-Us; therefore, no disbursements are due to this vendor for this fiscal year and no open encumbrances exist with this vendor.

Does R&D need to obtain approval from the Controlling Board to have Engineers-R-Us perform this new research project?

Yes! The full amount to be paid to the vendor over the term of the contract is counted against the Controlling Board threshold regardless of the amount to be spent in a fiscal year within the biennium. Since the proposed $55,000 purchase exceeds the threshold, approval of the Board is required.

Controlling Board actions are also confined by the two-year (biennial) limitation. Projects whose duration will span a given biennium must be taken back to the Controlling Board for review and approval prior to the beginning of the next biennium. Once an agreement is approved by the Controlling Board, the Director of the Department signs the agreement and then R&D requests a purchase order from the Office of Accounting. ODOT Accounting coordinates with the Department of Administrative Services' Office of Budget and Management to obligate funds for the project. One copy of the approved agreement will be retained by R&D and the other will be forwarded to the research agency along with an authorization to proceed with the work. Work cannot begin without Controlling Board approval. For more information on the Controlling Board, visit their website.

A project start-up meeting will be scheduled by R&D so that the researcher(s), Technical Liaison(s)/Project Panel, sponsoring Office Administrator(s), and R&D staff can cover the contractual, technical, and managerial requirements of the project.