During the life of a research project, it is important to maintain open and frequent communication between the Department and the researcher. This will help to ensure that:

Communications are facilitated by periodic telephone calls, e-mails, face-to-face meetings, and printed reports.

Figure 4.1 outlines the general flow of project management activities.

Each Office Administrator is responsible for monitoring the status of projects under his/her program area regarding schedules and funding expenditures. However, monthly contacts with the research agencies are routinely conducted by the Technical Liaison. Such contacts should be with the Principal Investigator and may be by telephone or e-mail as appropriate. Topics of discussion should be: the overall status of each project; progress since the last contact; any problems that have arisen and what is being done to resolve them; the need for time, cost, or scope modifications; etc. A short, written record of each monthly contact should be made by the Technical Liaison and if there are any issues that need to be resolved before the due date of the next quarterly report, a copy should be forwarded to R&D.

It is recommended that an on-site meeting at the research facility or project location be held at least once per year. This frequency may vary depending on the nature and/or complexity of the research.

Every ODOT research project has a contract that details the legal requirements for the project. Samples of these documents are provided in Appendix B. While all projects are required to follow the guidelines set forth in this Manual, the fully executed contract supercedes any instances of contradiction between the contract and the Manual.

The standard research agreements have clauses concerning the following:

For projects expected to take several years to complete, the term of the contract period expires at the end of the current biennium. Contracts can be automatically renewed provided that the contract expires at the end of the each succeeding biennium and is reviewed in accordance with the requirements defined in the contract. The obligations of the Department for renewal are expressly conditioned upon the availability of lawful appropriations by the Ohio General Assembly and compliance with the statutory provisions under the Ohio Revised Code including, but not limited to, Section 126.07. Notwithstanding termination rights defined in the contract, in the event that General Assembly fails to appropriate sufficient funds or funds are not made available under Ohio Revised Code Section 126.07, the Department's obligations are extinguished and the contract shall be terminated without further obligation or liability to the Department.

Each research agency, Principal Investigator, and Technical Liaison should read and be familiar with the standard contract terms and conditions.

As research progresses, it may become necessary to make changes to the project to facilitate the study. To accommodate some changes, an addendum to the contract must be issued. The items that require modifications to the contract are as follows:

In each of the above instances, a written request must be sent to the R&D Administrator. Requests for contract modifications must be received by R&D shortly after the event which created the need for the modification is known, and no later than one (1) month before the current contractual completion date. Requests made after that date will not be considered. The process for modifying contracts is outlined in Figure 4.2.

It is the Department's desire that all research projects be completed on time and within budget. This requires that both ODOT and each researcher identify and attempt to resolve problems quickly and effectively. Open lines of communication and the meetings and reports previously mentioned all help to accomplish this.

When it becomes apparent that time or funding extensions are needed on a study, the Principal Investigator must notify the R&D Administrator, in writing. Contacts with Technical Liaisons and R&D staff by telephone calls, faxes, or e-mail may be informative, but an extension request cannot be formally considered until it is put in writing and submitted to R&D. Upon receipt of the request for a time or funding extension, R&D will evaluate the request with input from the Technical Liaison and the sponsoring program Office Administrator. The researcher should not proceed with work that exceeds the contract scope, time, or cost before receiving written authorization from the Department.

No-cost time extensions will be considered, if adequately supported, to allow the research project to be satisfactorily completed. Approval of requests for time extensions will be based on the justification provided and the researcher's past performance in keeping ODOT updated on the progress of the project. Requests for more than one time extension will be heavily scrutinized.

If a request for an extension is not approved, there are two options: (1) complete the project within the time and budget available, or (2) cancel the project. If the latter is the case, the appropriate Deputy Director must concur. R&D will also notify FHWA when such action is taken.

FHWA has decided to focus more of its efforts and involvement in the development of the Strategic Research Plan and annual/biennial work program, and less on the activities that occur at the project level. Accordingly, FHWA's prior approval for project level actions is only required as follows:

1. Projects with budgets more than $200,000 requesting additional funding of $100,000 or more require FHWA approval.

2. Projects with budgets less than $200,000 requesting additional funding of 50% or more require FHWA approval.

3. Significant changes in a project's scope of work that modifies the original purpose defined for the study or the expected outputs and deliverables require FHWA approval.

4. Requests for additional equipment that cost more than $5,000 require FHWA approval.

5. It is not necessary to obtain FHWA approval to extend completion dates.

6. It is not necessary to obtain FHWA approval for the addition, removal, or substitution of subcontractors, consultants, Principal Investigators, Co-Principal Investigators, or other project personnel that do not affect the project's budget as listed above.

3. FHWA approval does not need to be obtained to make any modifications to projects funded by 100% State funds.

4. FHWA approval must be obtained to makes changes to the annual work program, such as the addition of new projects or pooled fund studies, that require the authorization of funds. (See Section 3.6.)

5. FHWA has waived its approval to print final reports. (See Section 4.7.)

It is understood that project modifications requiring additional Federal funding are subject to the availability of such funds. Starting in FY 2004, the Federal funds for each research project will be authorized in the Fiscal Management System (FMIS) separately. Therefore, project modifications requiring additional funding will also require an additional authorization of funds in FMIS.

In addition to project modifications that require an addendum to the contract, some items require approval from R&D, but will not result in an addendum being issued. Included among these items are:

For each of the above items, a written request must be submitted to the R&D Administrator. Consideration will be given based on the information supplied by the researcher and comments supplied by the Technical Liaison.

Reimbursements for project expenses will be made for actual and reasonable costs incurred in the performance of a study. Charges made before the starting date or after the contract completion date are not eligible for reimbursement. Researchers must bill the Department, minimally, within one month of the end of each fiscal quarter: March 31, June 30, September 30, and December 31. If the invoice is acceptable, payment will be made within thirty (30) calendar days of receipt. Items that are not included in the approved budget cannot be invoiced.

Preparation and submission of an acceptable invoice are essential to the researcher receiving prompt payment. An acceptable invoice is one where: (1) mathematical calculations are correct, (2) backup documentation as noted herein is attached, (3) two copies of the invoice and two copies of the backup documentation are furnished to R&D. Careful adherence to these instructions will preclude the need to reject or return an invoice for correction.

In accordance with ORC Section 126.30, the Department will make payments within thirty (30) calendar days of receipt of an acceptable invoice. If corrections or amendments to an invoice are required, R&D will so notify the researcher. When such corrections or amendments are made and the invoice is resubmitted, the required payment will be issued thirty (30) calendar days after receipt of the corrected invoice.

If a contracting agency does not have a standard invoice format, an invoice may be prepared on the agency's letterhead. Invoices must include certain information in order for reimbursement to be made. Regardless of the formatting, an invoice must contain the following information:

Travel expenses must be described in detail. A separate travel expense report for each individual must be included for each trip that occurred during the given invoicing period. Supporting documentation for the travel, such as receipts, must immediately follow each individual expense report; i.e., receipts should not be bundled together and placed behind several different expense forms.

The following information must be included on a travel expense form: dates of travel, times for departure and arrival, locations involved, exact mileage (if applicable), and supporting documentation for charges incurred. When the agency does not have a standard travel expense form, R&D may be contacted for a sample. Travel expense reimbursements will be made according to ORC 126.31 and current State guidelines. R&D should be contacted for a listing of current travel guidelines before invoicing.

All travel must be included in the project's budget. Reimbursement will only be made for those individuals who are listed in the budget as project personnel. For example, if four graduate students travel to a test site to assist in the collection of data and the project's budget lists only two graduate students as being involved, reimbursement for travel expenses will be made for only two individuals.

In addition to being included in the project's budget, travel to locations other than test sites and ODOT for meetings requires written pre-approval. This includes conferences, seminars, and project-required training sessions. A letter requesting permission to use these funds must be submitted to the R&D Administrator at least one month before the event. This letter must include the name and state job number of the project, dates of the event, purpose of attending, the benefit to ODOT from participation in the event, and a budget of expenses anticipated to incur. Participation in these types of events will only be approved when a direct correlation exists between the event and the referenced research project. The audience at the proposed event must be composed primarily of individuals involved in the transportation field such as employees of State DOTs and FHWA.

Both private and public entities should have adequately furnished and equipped offices to provide services under a research project contract. Items considered "routine" office supplies and/or services constitute indirect costs or overhead. These items cannot be invoiced to a research project as direct costs, as this results in double charging. Items considered overhead include, but are not limited to, the following:

If there is doubt whether or not a particular expense would be considered overhead, contact R&D for clarification.

For public organizations, such as universities, overhead is limited to a maximum of 35% of the salaries and wages category only. For private organizations overhead will be negotiated between the contractor and R&D. While this is negotiable, the amount derived must be supported by an audit. Private entities may also opt to charge a fee to the Department for services provided on a research project. As with overhead rates, the fee is a negotiated amount between the contractor and R&D based on a percentage of the direct costs, excluding expenses for subcontractors and equipment.

The fee is fixed once negotiated and remains unchanged for the life of the project.

As R&D processes invoices, a project balance is posted to avoid over-expenditure of a contract. Should an invoice exceed approved funds or otherwise be incomplete, the invoice is returned to the contracting agency for revision.

When an invoice is received by R&D, copies will be forwarded to the responsible Office Administrator and Technical Liaison/Project Panel for review. This review should determine whether:

To ensure prompt processing of all invoices, the reviewer(s) must advise R&D of the acceptability of an invoice within five (5) days of receipt.

If it is determined that a billing exceeds the project's apparent progress, the invoice will be considered unacceptable. R&D will notify the researcher immediately. The researcher must revise the invoice to bring the amount into agreement with the project's state of progress.

At the completion of a project, a final invoice that includes all applicable charges must be submitted to the Department for review and processing within one month of the close of the appropriate quarterly invoicing cycle. The words "Final Invoice" must appear on the original invoice page to signify the total completion of all contractual and financial obligation associated with the research project. The same formatting and documentation requirements for general invoices apply to the final invoice. In addition to these guidelines, final invoices must include service dates for all charges. This is to ensure all activities occurred before the project's completion date.

Equipment is "an article of non-expendable, tangible personal property having a useful life of at least two years and an acquisition cost of $500 or more per unit, or a combined value of $500 for components which are assembled into a larger unit."

All equipment that is anticipated to be needed for a project must be listed in the proposal budget. Components used in the assembly of a larger piece of equipment must be listed as equipment in the proposal; these components are not "supplies" and must be itemized on invoices as "equipment."

A minimum of two quotations must be supplied with the budget for equipment, along with a detailed description of the equipment. The preferred vendor should be identified, along with an explanation for this preference. If equipment is available from only one vendor, this must be explained.

Equipment acquired for a research study remains the property of the State of Ohio (and FHWA, if applicable) until it is disposed. It is therefore necessary for the researcher to account for, and safeguard, the property while it is in his possession. The Department shall have access to all equipment and records as may be required for verification or disposition.

Using SP&R funds to purchase computers for most research projects is not allowed. Generally, computers are considered essential office equipment and are therefore included in overhead. There are specific instances, however, when the purchase of a computer may be allowed. These instances occur when a data acquisition system is needed exclusively to collect data from a site location. These instances will be reviewed on a case-by-case basis. It is the responsibility of the researcher to clearly convey the necessity of the computer purchase to R&D in the proposal.

If unanticipated purchases of equipment are required, written approval must be obtained from the Department before the item(s) can be purchased. A letter of request should be submitted to R&D, along with a detailed description of the item(s), two quotes for each item, and an explanation for the need.

Approval for such purchases will be based upon the following conditions:

Any software, license, source code, and documentation, regardless of price, will be turned over to ODOT at the completion of a study, if it is determined to be of value and useful by ODOT for other research projects or business operations. Software must be specifically identified in the proposal budget and will be considered equipment if it has a cost of $ 500 or more.

Software developed or purchased for use by ODOT must comply with the software guidelines developed by the Division of Information Technology. The responsible Office Administrator will review proposed software development or purchase and submit the necessary information to the Information Technology (IT) Council for approval, if needed.

To comply with the Federal Common Rule Authority, 49 Code of Federal Regulation (CFR), Section 18, Subtitle A, it is necessary that all equipment items purchased with Federal funds are inventoried by following State of Ohio procedures for the inventorying of equipment. Therefore, once an invoice containing an equipment purchase is received by R&D, an initial inventory letter will be sent to the researcher asking them to place an inventory bar code tag on the equipment. A sample of this letter is supplied in Figure 4.3. The bar code denotes ownership and must remain on the equipment at all times. In instances when the equipment cannot be reached to affix the bar code (for example: sensors buried in the pavement), the label may be kept in a file.

All equipment purchased on a research project is the property of the State of Ohio and therefore must be inventoried throughout the life of the project. Physical inventories will be conducted annually. The inventory will be initiated by the Office of Accounting. R&D will send instructions for completing the inventory, along with an inventory report/certification (Figure 4.4) for each project to each research agency. The researcher will verify each item's location and condition, and return a signed certification form to R&D by the date specified in the letter of notification. R&D will retain one copy for the project file and forward the original to the Office of Accounting.

Upon completion of a study, R&D will contact the research agency regarding the project's pending closeout and the final disposition of equipment. If an item of equipment is no longer necessary for a project's successful completion, the equipment may be removed from the project before its completion. Equipment disposition scenarios include:

Without actual market salvage value, the salvage value of an item will be calculated as follows:

Sample for Equipment Disposition:

Equipment is purchased costing $1,000.00. The project lasts for four years. No actual market salvage data is available. The principal investigator determines the equipment is at 75% value.

$1,000 x 75% = $750 (Original Cost of Equipment) * (Value%)

$1,000 x 1% = $10    1% of original purchase price

$10 x 4 = $40           1% of the original purchase price for each year of project life

$750 - $40 = $710     {(Original Cost of Equipment) * (Value%)} - (1% of the original purchase price for each year of project life)

Salvage value of equipment is $710.00

In the event ODOT retains possession of an item, the Office receiving that item will be required to place it on their inventory listing. If an item is transferred to another research project, a copy of the disposition form is placed in the new project file for consideration at the end of that study. In each case, R&D will initiate the transfer of the item in the ODOT fixed asset system.

Should the item be offered to the researcher for purchase and the agency decides to accept, an invoice for the calculated salvage value will be issued by ODOT's Office of Accounting. Upon receipt of payment, the item(s) will be removed from ODOT's inventory and the funds deposited into the research account to be used on future projects.

If equipment is damaged because of negligence by the researcher, or a subcontractor, it will be the responsibility of the research agency to repair or replace the equipment. If equipment is damaged due to no fault of the research agency, ODOT will be responsible for the repair or replacement.

If a piece of equipment is stolen or vandalized, the researcher must obtain a police report and provide R&D a copy of it. The item will then be removed from the ODOT fixed asset system.

Project reviews are a mechanism for updating sponsors and other interested parties on the status of a research project. The Principal Investigators provide presentations on progress since the last review. Technical issues or problems may be resolved at this time, or subsequent meetings may be scheduled for that purpose.

Since reviewing the entire program at one time is not practical, and since the need for review will vary from project to project, the individual program Office Administrators and the R&D Administrator will determine the priority, scheduling, and details of these reviews. R&D will prepare a review schedule and forward it to all interested parties and the involved research agencies approximately 4-6 weeks before the review date.

Typically, project reviews are held in the ODOT Central Office, last one hour or less, and are scheduled during April and October.

Representatives will be present from the research agency, ODOT, and FHWA. Representatives from industry, trade organizations or other entities may be present for projects in which they are involved as liaisons, cosponsor, or are otherwise interested.

No prescribed format is required for the project reviews, however, opportunity should be afforded for discussion of:

Principal Investigators should notify R&D at least one week in advance, if any audio/visual equipment needs to be provided for the review.

At the conclusion of a research review session, all attendees will be asked to complete an evaluation form and return it to R&D. A sample of this form is shown in Figure 4.5. The comments are compiled by R&D and forwarded to the appropriate researcher(s) with a copy placed in the project file. All comments are sent anonymously to encourage frankness. Researchers may contact R&D for clarification on comments.

Reports are to be submitted to R&D within one month following the end of each quarter (March 31, June 30, September 30, December 31). R&D will distribute copies to the responsible program Office Administrators, the Technical Liaisons/Project Panel, and FHWA.

Reports are intended to provide documentation of all technical data, analyses, and findings for a research project and to demonstrate fulfillment of the conditions of the agreement. All reports are to be: written in proper English grammar, use correct spelling, have proper punctuation, include thorough thoughts in complete sentences, and be presented in a logical order. FHWA has waived the requirement for its prior approval to printing reports; however, prior approval must be granted by ODOT.

If it is necessary to gather and publish information before the conclusion of a study, and all parties involved agree, an interim report will be prepared for release. This report will document all pertinent technical data and analyses, including results achieved or conclusions reached for the study phases completed to that point. ODOT must approve the report before publication. The number of copies to be furnished will be determined on a project-by-project basis. Projects of long duration and projects that will be developed in distinct phases may require the preparation of an interim report. In such cases, an interim report will be specified in the proposal and the process to be followed in submitting the report will be the same as for the final report.

An executive summary is required on all projects. This summary is intended for transportation managers and others who are interested in a brief synopsis of the project. The required format for the executive summary is shown in Figure 4.7. An electronic form can be downloaded from the R&D web site. All information noted in this format must be included. The Summary should be written in clear, nontechnical language and limited to a maximum of four (4) pages. Two-page summaries should be printed double-sided on 8 ½" x 11" paper. Three- and four-page summaries should be printed on 11" x 17" paper and folded as a booklet. The executive summary is subject to the same review process as the final report; therefore, copies of a draft executive summary must be submitted with the draft final report.

Final Reports are intended to provide documentation of all technical data, analyses, and findings for an entire project and to demonstrate fulfillment of the conditions of the contract.

Five (5) copies of the draft final report and five (5) copies of the draft executive summary are to be submitted to R&D no later than 120 days before the contract completion date. Electronic copies are encouraged as long as the entire report is contained in one file. Electronic submission of the executive summary is preferred. R&D will forward a copy of each draft to the responsible Office Administrator, the Technical Liaison, Project Panel members, and FHWA for review and comment. The form for reviewing a draft final report and draft executive summary is shown in Figure 4.8.

R&D will coordinate and return comments to the researcher. Depending on the amount and type of report modifications requested, the researcher may be required to submit revised drafts for additional review. Once a draft final report and draft executive summary have been found satisfactory, R&D will forward a letter to the researcher granting approval to proceed with final printing. Included in this letter will be a partially completed Technical Report Documentation page, Form 1700.7, for completion and inclusion in the final publication. A blank sample of Form 1700.7 is shown in Figure 4.9.

The printed reports and associated electronic versions must be delivered to R&D on or before the contract completion date. One-hundred and twenty (120) copies of the executive summary and sixty (60) copies of the final report will be required, unless otherwise specified. The researcher will be required to also submit electronic versions of the executive summary and final report in the format(s) specified in the proposal. The electronic versions will be identical to the hard copy in content and format. Reports will be made accessible to the public from the R&D web site. Copies may also be obtained by contacting either of the following agencies:

National Technical Information Service                     National Transportation Library

5285 Port Royal Road                                             U.S. Dept. of Transportation

Springfield, VA 22161                                             400 Seventh St. SW, Room 3430

                                                                            Washington, DC 20590

At the conclusion of each research project, an evaluation of the project and the performance of the individuals involved occurs. To facilitate this review, a project wrap-up evaluation form is sent to the Principal Investigator once the final report has been received (Figure 4.10) and to the Technical Liaisons/Project Panel (Figure 4.11) along with their copy of the final report. Basic project information is supplied by R&D in the shaded boxes on the forms. In addition to providing an assessment of the process and performance of individuals, this form also helps in the identification of projects with results that can be implemented.

Reports will be issued periodically to keep ODOT staff, FHWA, and other interested parties informed of the status of the research program and individual projects.

On August 1 of each year, R&D will publish a report that describes research activities that occurred during the previous fiscal year. The report will include a summary of highlights, problems, issues, expenditures, and other information that will provide top management an assessment of the effectiveness of the ODOT research program. Copies of the report will be distributed to the Director, Assistant Directors, Division and District Deputy Directors, FHWA, universities, and others who have expressed an interest in the research program.

"Highlights" - will include activities such as workshops, conferences, significant implementation activities, and other major events resulting directly from the research program. The purpose of this section of the report will be to show how ODOT benefits from the research program.

"Program Problems/Issues" - this section of the report will identify those problems and issues that impede the program and discuss how they are being resolved. Attention will be drawn to unresolved issues that require action by Senior Management.

On January 15 of each year, R&D will prepare a report on the progress of the research program for review by the Division Deputy Directors, Office Administrators and FHWA. This report will provide details on the initiation of research projects to ensure that studies identified in the work program are progressing in a satisfactory manner. If certain studies are not progressing satisfactorily, the Deputy Directors will use the information to decide if funds set aside for those studies should be reallocated to other studies.

Due to the potential impact of flagship projects, Senior Management will be informed of their progress and implementation. Briefings will occur at milestones in the research process or as otherwise requested by management. This information will be presented by the responsible Office Administrator at an Executive Management meeting.

Each research contract allows for the termination of the project by either party. The Department will take all steps to avoid terminating projects; however, in instances where project termination is necessary, the following criteria will be applied.

There are two instances in which the Department may decide to terminate a project: (1) when a project is no longer beneficial to the Department, or (2) when unresolvable issues with the researcher exist. It is the responsibility of the sponsoring program Office Administrator to inform R&D immediately when a project falls into one of these categories.

When a project may no longer be beneficial, R&D will schedule a meeting between the researcher, Technical Liaison, sponsoring Office Administrator, and FHWA to discuss the future of the project. At this point, discussions will take place to determine the possibility of making modifications to the scope of work so that the existing project will produce beneficial results. If a new approach can be agreed upon by all parties, an addendum to the contract may be issued to reflect the changes and the project will continue. If this is not possible, the project will be terminated.

R&D will issue a certified cancellation letter to the appropriate representative at the researcher's agency. A copy of this letter will be sent to the Principal Investigator, Technical Liaison, and FHWA. Upon receipt of the letter, all work associated with the project shall cease and all subcontracts and pending orders canceled. The contracting agency will have thirty (30) days to wrap up the project and submit a final invoice to the Department for consideration. The Department will reimburse the contractor for reasonable expenses associated with the wrap-up of the project. These expenses will be determined on a project-by-project basis. The Department acknowledges that in many instances offers are made to graduate students based on the understanding that a particular project with ODOT will occur through the duration listed in the project's contract. Given that a project is canceled due to a Departmental change in direction, the Department will honor the commitments made to graduate students as detailed in the approved budget. Salaries for Principal Investigators, co-principal investigators, technicians, and other support staff will not continue to be covered by the Department as these positions would have existed in the organization regardless of the status of the research project.

The Department may choose to terminate a project based on unresolvable difficulties with the researcher such as, but not limited to: constantly missing milestone dates; continual delinquency in submitting reports, invoices, and other documentation; inability to complete the project as defined in the proposal; qualifications of the research team are inconsistent with those given in the proposal; and refusal to carry out contractual obligations of the project as detailed in the contract and the Manual. Ample attempts will be made by the Department to communicate concerns to the contracting agency and seek rectification of the situation. In instances where the situation is unable to be corrected, project termination will occur as described above; however, the Department's financial responsibility to the contracting agency is different. While the Department will honor reasonable expenses associated with the wrap-up of the project, commitments to graduate students will not be honored.

The contractor has the right to terminate the contract at any point during the duration of the project. Written notification of the situation containing details of the problems with the project must be sent to the Administrator of R&D. This letter must include a request for a meeting and list at least three (3) different dates and times the researcher is available to meet. R&D will arrange a meeting between the researchers, Technical Liaisons, sponsoring Office Administrator, and R&D. Copies of the meeting notification will be sent to the sponsoring Division Deputy Director and the research office of the contracting agency for their information and to attend at their discretion.

If the issues are still unresolved following the meeting, the person authorized to contractually bind the agency may request termination of the project via certified mail to the Administrator of R&D. All work associated with the project shall cease by the date of the termination letter and the wrap-up of the project should begin immediately. The contracting entity will have thirty (30) days after R&D receives their letter to conclude the wrap-up and submit a final invoice to the Department. The Department will reimburse the contractor for actual and reasonable expenses associated with the project. Since the termination of the project was at the contracting agency's request, outstanding commitments to graduate students will not be honored by the Department.