~ij.1 SECTION3

SHRPORGANIZATIONANDMANAGEMENT

I NTRODUCTION

One vital factor in the success of SHRPis the organization andmanagement structure developed to monitor and administer the overall researcheffort. The basic mission of this organization is clear in that it mustensure that usable products and processes are the ultimate result of SHRP.

II. The following sections of this report deal with recommendations for

SHRPmanagement. Although specifics are noted for this plan, it is importantto recognize that the final plan will (and should) be dynamic in nature.Managementmust be alert to the need for future changes, stay flexible, and beready to respond when required in a timely fashion.

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From a planning viewpoint, the Strategic Highway Research Programshould be viewed as being comprised of two distinct phases of management.They are:

1.2.

Pre- Implementa tion PhaseOpera ti ona1 Phase

The Pre-Implementation Phase is completed with this overview reportand the technical research area reports that provide the specifics of theresearch plan. The generalities associated with the planning andorganizational make-up for this phase have been briefly described in Section 1of the overview report.

Phase 2, the Operational Phase, begins with the processes leading toresearch contracts.

OPERATIONALPHASE

Conceptu~l Organization

It is envisioned that there will be 9 major organizational units inthe SHRPmanagement structure. These are:

. National Research Council

. SHRPExecutive Committee

. SHRPExecutive ManagementStaff

Technical Research Area Staff.. LoanedProfessionals

. Data ManagementStaff

. Information Transfer Staff

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. Expert Advisory Teams

. Contractor Project Managers

In general, the first three units will be responsible for settingpolicy and guidelines, and for enforcing the success of SHRP.

The suggested functions of each of the units are described in moredetail.

Functions

National Research Council. The Strategic Highway Research Programwill be administered as a new operating unit of the National Research Council.

SHRPExecutive Committee. The SHRPExecutive Committee will becomprised of approximately lb executives or professionals from industry,government and the academic community. AASHTO,FHWA,and TRBwill berepresented in an ex-officio capacity. Several major functions of thisExecutive Committee will be to:

. Provide major policy guidance for the entire program.

Provide oversight guidance to the technical program as itevolves.

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. Provide recommendations to the NRCconcerning approval of allcontract research agencies and SHRPmanagement subcontractorsselected.

. Provide recommendations concerning whether or not researchcontracts should be continued, modified, or terminated duringthe progress of SHRP.

SHRPExecutive ManagementPersonnel. The SHRPexecutiveheadquarters will have the responsibility for the day-to-day SHRPtechnicaland contract management and monitoring. It should include an ExecutiveDirector with two Deputy Directors (or Managers): one for technical operationsand the other for administrative matters. Sufficient clerical and secretarialsupport should be provided for each of the three SHRPofficers noted. Thespecific functions of this unit should be to:

. Operate under established policies and directivesof the NRCand SHRPExecutive Committee.

. Be responsible for administrative matters and technicaloversight of the program.

. Ensure that the SHRPtechnical research objectives areaccomplished in a timely manner.

. Be responsible for overviewing and operating the SHRP datamanagement process.

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. Ensure the early dissemination of research findings. Optimizethe technology transfer and implementation process to thegreatest degree possible.

. Provide an environment for innovation throughout the program.

Ensure maximumresearch coordination with all other majornational highway research programs in process.

Technical Research Area Staff. This organizational unit representsthe basic technical research operating arm of SHRPmanagement. Figure 3.1shows a conceptual breakdown of this area into suggested technicalsubdivisions. As noted, 4 separate units are recommended for technical andcontract monitoring purposes: (a) Long-Term Pavement Performance (TRA-2), (b)Asphalt (TRA-1), (c) Concrete (TRA-4 and TRA-5), and (d) Operations (TRA-3andTRA-6). This organizational structure can permit technical interaction andminimize overlaps.

to:

.

The specific functions of the technical research area staff will be

. Be responsible for the contract administration andmonitoring process to include:

- Preparation of proposal requests and work statements.

- Negotiation of contracts.

- Monitoring of contract technical and budget progress.

.- Reviewof contract agency activities and reports.

Be responsible for the direct technical oversight of theprogram.

. Interact with expert advisory personnel andcontract project managers concerning project progress.

. Formulate recommendations to information transfer personnelregarding technology transfer, information dissemination, andimplementation.

. Provide technical engineering analyses and support to theoverall program.

. Ensure that key substantive decision points in the researchprogram are objectively identified, evaluated, and acted upon.

Anticipate problems in the feasibility or economic viability ofimplementation, and recommendor makeadjustments so that theresearch program adequately adjusts for such issues.

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Technical ResearchArea

\ \ I \ \

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TRA-2

"Pho": CO" To'" "t. P.,f I I C.., I lOpe........

N.J::-

Region1

LTPPCentra 1 Staff

ProjectContro l,t1oni tor

Reoion-2

Region4

FIGURE 3.1

TRA-4Conc.Bridge

TRA-5Cement and

Concrete

CONCEPTUAL PLAN FOR TECHNICAL RESEARCH

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TRA-3Maint Cost

Effect.

TRA-6Snow/IceControl

. Revise working plans as required for the remainder of theprogram to reflect what has been learned on each area, whatunforeseen advances or barriers have emerged, and the progressmade in each area.

I! Loaned Professionals. SHRPoffers an opportunity to have "loaned"

professional staff become an 1ntegral part of the research effort. The mainfunction of these individuals would be to work within the technical researchareas.

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The use of such professionals has distinct benefits and advantages,not only to SHRP, but to the loaning agencies. Specifically, some of thesekey benefits are:

. SHRPBenefits

- Loaned professionals will bring into the program a level oftechnical expertise that may not be readily available asemployed staff.

- The views and perspectives of the ultimate users of SHRP,represented by loaned staff should strengthen theprogram.

- The potential for international and private industryexperience, through loaned staff, should add to the program.

- A potential reduction in program management costs shouldresult from the availability of staff members without salarycosts.

. Loaning AgencyBenefits

- The experience and knowledge gained by the loanedprofessionals from their SHRPefforts should strengthen theprograms of lending agencies.

- Loaned professionals returning to their agencies shouldprovide "seeds of implementation" of the SHRPresearchresults within the agency.

Data Management. Within the overall program, it is anticipated thata wealth Of techn1cal data will be generated along with the need to developand maintain centralized computer data systems for the pavement test sections.Data management personnel must be experienced in data base systems to meetspecific requests for information and to access and manipulate all of thetechnical data that will be assembled. Section 4 of this report providesfurther details concerning the data management operation. The role of thisstaff will be to:

. Manage the LTPPdata base.

. Manageall other forms of SHRP research data collected withinthe program.

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. Ensurethat the system developed can provide:

- Complete and rapid access to data for all SHRP researchersduring the program period.

- Permanent data bank for all highway researchersafter SHRPis concluded.

- Flexibility in operation to allow continuing 'use during theIS-year LTPP, post-SHRP period, currently planned for thepavement monitoring scheme.

Information Transfer. The ultimate success of the SHRPeffort willdepend not only on the research results generated in the program but also onthe ability of SHRPmanagementto quickly and effectively communicatemajorfindings to the professional community. In order to accomplish this, theinformation transfer staff should:

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. Be responsible for the rapid transfer of technological advancesmade through the program.

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I. Be responsible for the publication and distribution of all

reports concerning the program.

Expert Advisors. It is anticipated that the detafled contractdevelopment and monitorlng phases of SHRPwill be a major function of thetechnical research area. The expert advisory groups should assist SHRPprojectengineers in this important function. Expert advisory groups should becomprised of a small number of key professionals. Advisors should not beinvolved in SHRPcontract research projects to avoid a conflict of interest.Every effort should be made to select advisory team members, in part, from theoriginal Advisory Committees used in the SHRP Pre-Implementation Phase tomaintain the continuity in knowledge gained i~ the detailed development-of theresearch program. The specific role of expert advisors should be to:

. Assist SHRPtechnical project monitors in developing RFPs.

Assist SHRPtechnical project monitors in formulatingrecommendations for the selection of the research agency/teams.

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. Assist in the periodic review of the technical progress beingmadeon projects.

. Reviewand recommenddisposition of project reports.

. Provide advice and recommendations regarding whether aparticular project should be continued, terminated, ormodified.

. Provide expert technical assistance to SHRPstaff members.

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Contractor Project Mana~. It is anticipated that, as a generalrule, the following conditions wi prevail:

. Typical research contracts will be large, multitask technicalefforts.

. The research groups will be teams comprised of severalorgani zati ons.

. Typical contract budget values will be generally in excess of$1 million.

Thus, each agency selected for a contract should be required todevelop a project managementteam to directly interact with the SHRPorganization. The specific functions of this team would be to:

. Be responsible for the immediate monitoring of technical andfinancial management of all subcontractor agencies comprisingthe research "team" on any given SHRPresearch contract.

. Report and interact on a regular, frequent basis, with ExpertAdvisory personnel and SHRPTechnical Research Area staff.

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SECTION 4MAJOR PROGRAMCONSIDERATIONS

GENERAl

Sections 2 and 3 of this report have discussed the major elements ofthe overall research program and SHRPorganization and management issues.While these items represent the real operating aspects of SHRPas a viableprogram, there are several other major considerations that will materially addto the success of the program. These considerations deal with:

It is not the intent nor within the scope of the overview report toprovide recommendations for the specific set of research contracts that shouldbe let by SHRP. This can only be accomplished by a more detailed evaluationnf the SHRPplan by SHRPmanagement. Nonetheless, the selection of therelative size of individual contracts as well as the scope of the researchcontract efforts to be undertaken is a very important decision relative to thesuccess of SHRPas it directly impacts on the level of project managementcoordination and overview that should be conducted by program managers.

Perhaps the best guideline that can be provided for this topic is tolet the contract size be dictated by the need for a unique and specific endproduct. Although size and budget are important, it is ill-advised to setlimits on contract dollar magnitudes as the primary criteria for decisionsregarding combining tasks under one contract.

About one-half of the entire SHRPcontract administration process(number of contracts and total contract award worth) will have to beaccomplished within the first 10 to 11 months of SHRP. Strong considerationshould be given to the use of the contractors on the management team to assistSHRPstaff.

The final point that should be kept in mind in the contractingprocess is to ensure that all research organizations and individuals have anopportunity to be considered for participation in this massive research study.In order for SHRPto develop a quality program, input from private industry,individual consultants, federal and private research institutes, universityresearchers and research ~enters, and consulting engineering companies must bemobil i zed.

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. Contract Size and Administration

. Coordination with Non-SHRPResearch Program

. User Involvement

. Innova ti on

. Data Management

. Implementation of Results

CONTRACTSIZE AND ADMINISTRATION

COORDINATIONWITH NON-SHRPRESEARCH

SHRPis a one-time, 5-year program with well-defined goals andobjectives. Its development as a unique highway research program is clearlyintended to supplement existing research efforts in the six defined technicalareas. If SHRPis to successfully achieve technical advances, it is importantthat on-going research efforts, in similar technical areas, be maintained attheir current spending levels rather than reduced over the 5-year operationalphase of SHRP. Additionally, there is a need for continuing a strong effortin "soft" research areas that will indirectly strengthen the ultimateobjective of SHRP.

Current levels of annual highway research expenditures in the UnitedStates are approximately $100 million. The majority of this research stemsfrom on-going programs sponsored by the Federal Highway Administration, andthe states using Highway Planning and Research funds and the NationalCooperative Highway Research Program.

In addition to ensuring that SHRPresearch funds are added to thecurrent levels of non-SHRP research, SHRPshould interact with researchefforts that may have a direct consequence on SHRPprojects.

USERINVOLVEMENT

SHRPshould provide the opportunity for involvement by a variety ofinterest groups including state highway and transportation units, theinternational community, and industry.

State transportation agencies will share a large role with theresearch contractors particularly in the LTPP (TRA-2) study area. They willfurnish pavement inventory data; maintenance, rehabilitation, andreconstruction data; periodic traffic counts and traffic control during fieldoperations; skid resistance measurements; and special pavement sections(SPS).

Strong participation by state personnel within SHRP advisory groups,committees, and the Task Force contributed to the success of SHRP planningefforts. This type of involvement during the operational phase of SHRPshouldcontinue.

Every effort should be made by SHRPto encourage and fosterinternational involvement. There are a variety of ways in which this can beaccomplished. International engineers should be encouraged to participate asloaned staff within the SHRPmanagement, to serve as observer teams as well asto be active members on various advisory groups and committees.

It may"be possible to obtain international cooperation andassistance in the Long-Term Pavement Performance studies. Countries having orplanning performance studies should be encouraged to follow the standardizeddata collection guidelines of SHRPso that performance results can becompared. If economically feasible, a limited number of LTPP sections couldbe located within another country. If SHRPdata collection guidelines are

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followed, such information can be entered into the central technical database. Also, other countries should be encouraged to actively conductsatellite-type SHRPstudies.

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Private industry can also be a significant contributor to SHRP,through loaned staff or membership on SHRPadvisory committees.

INNOVATION

The title of TRBSpecial Report 202, "America's Highways:Accelerating the Search for Innovation," underscores the projected role ofresearch innovation within SHRP. It is important that SHRPseek innovativesolutions to the research tasks defined by the program.

Fostering Innovation

Several factors that may contribute to a more innovative programshould be considered.

Qualified researchers for SHRPshould not be limited to those whohave demonstrated previous extensive research backgrounds in the particularresearch area. Innovation and technological advances may result from a freshlook at an old problem.

The probability for innovation to take place will be enhanced by theuse of multidisciplinary teams. Researchers from a variety of disciplineswill tend to complement each other and provide a broader perspective of thewhole problem. Likewise, balance within a research group should create anatmosphere conducive to developing new and creative solutions to problems.Thus, a team comprised of a theoretician and practitioner, or people withvastly different technical philosophies on the same subject, may be betterable to reach an innovative solution to a problem.

Approaches to Innovation

Several potential ways in which innovation may be encouraged are:

Consideration should be given to dedicating a modest amount ($2 to$3 million) of SHRPfunds for innovative unsolicited proposals that are gearedspecifically to unique problem solutions. Small initial (pilot) awards couldbe given to allow researchers to develop more detailed research plans.

The second approach to innovation, contract with incentives,should rely on solicited, but unstructured research proposals. Contractorscould propose their own methodology to achieve the objectives. Provisionscould be included in contracts promising incentives for successfulachievements. This approach could also be used in combination with standard

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. Allocate special funds for innovative ideas.

. Contracts with incentives.

. Encourageprivate industry participation.

proposals and would provide a way in which two or more approaches could becompared for the same research task. Such duplication of research may havesignificant benefits and should be considered in the program.

Encouraging private industry participation may be significant wherenew instrumentation, equipment, and materials are anticipated. Considerationshould be given to the use of SHRPand private funds (perhaps matching funds)to encourage private industry innovation. However, before this approach isused, careful consideration must be given to policies regarding patents,proprietary products, and equipment development and manufacturing licenses.

DATAMANAGEMENT.

The development of an effective data management system will be thekeystone in expanding, expediting, and assuring the application and use of theknowledge and information developed in SHRP. Necessary communications betweenresearch tasks, interactions with external activities, and effectivedissemination of program results require proper data management.

Types of Data Considered

To help meet the overall objectives of SHRP, the data base shouldinclude the following:

. Technical data from all research areas including LTPP.

. Literature and textual data.

. Business managementdata.

The above types of data are shown in priority ranking, and they neednot all be operational at the start of the program. The data managementsystem will evolve and expand as SHRP progresses. In dealing with businessmanagementdata, the SHRPstaff will have the support of the establishedoffices and program assistance capabilities of the National Research Council.

Technical Data Characteristics

The technical data system must have the following attributes:

All technical data that support major findings and conclusions mustbe preserved so that they can be validated, referenced, and expanded upon bysubsequent research. Researchers and other users of the system must have easy

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. Be comprehensive.

. Beavailable.

. Be permanent.

. Be reliable.

. e serviceable.

and affordable access to the technical data. In addition, the data must bepreserved beyond the 5-year SHRPlife and beyond the 20-year LTPP life.

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Format and Organization

Organization and data format must provide efficient input, storage,manipulation, and access; flexible expansion, revision, and upgrading ofhardware; and simple cost control. '

While this suggests some type of relational data base format, thefinal recommendations will depend on decisions regarding the possible use ofexisting agency capability, private sector participation, or stand-alonearrangements.

Accessibility and Security

The technical data and literature and textual information should beeasily accessible to all interested and qualified users. User fees can offsetdata system operating costs (access and use) and some portion of the set-upand overhead costs. It will be particularly important to have master filesthat are protected and security measures provided for both access and for filerevision.

IMPLEMENTATIONOF RESULTS

SHRPrepresents a major effort on the part of the entire highwayindustry to bring the best minds, experience, and expertise available to focuson six critical areas of research. All of this effort, however, is of littleto no consequence unless implementable results can be integrated into practicein a timely manner. SHRPwas planned to produce highly implementable highwayresearch results. Each major SHRP project has, as its goal, a newor improvedmethodology, equipment or material. Implementable findings should be anatural consequence of the program.

All SHRPresearch efforts should devote some portion of projectactivity to providing recommendations as to how best to implement thefindings.

FHWAOffice of Implementation

SHRP should place heavy reliance on the expertise of the FHWAImplementation Office to assist in timely implementation of SHRP findingswithin the highway community.

Commitmentand Communications

Implementation is never possible without the commitment andconviction of top level management. Executive summary-type reports andpublications, furnished at periodic intervals, are useful tools. Periodic"briefings" on the progress of SHRP,should stress the implementation elementsthat are of direct value and concern to management.

Goodcommun~cationsduring the entire 5-year SHRPperiod (andbeyond) should be an lntegral element of the program to maintain enthusiasmfor SHRPacross the country.

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Demonstration Projects

Demonstration projects, such as will evolve from the LTPPprogram,are a vital part of the implementation and technology transfer process.

Private Sector-Involvement

SHRPshould seek the involvement of the private sector in developingnew materials and equipment. Involvement by the private sector has twodistinct benefits.

. New technology can best be translated into new products in theprivate sector.

. Private development can continue beyond the SHRPresearch andand encourage competition in the marketplace.

Standard Documents

A major source of standard documents will be the new methods oftesting developed in SHRP(particularly TRA~l and TRA-5). Wherever possible,these "resul ts shoul d be wri tten in a form sui table for adopti on by suchagencies as ASTMand AASHTO.

Publications and Meetings

The Transportation Research Board can disseminate SHRPfindings tothe research community and operating agencies through its regularpublications, special publications, workshops, and conferences. During theSHRPpre-implementation phase, TRBserved as a major source of informationthrough these types of activities. The state field visit program conducted byTRBis another excellent candidate for coordination and dissemination ofin formati on.

Technology Transfer Programs

The national network of Technology Transfer Centers for localtransporta ti on agencies that have been establ i shed throughout the UnitedStates provide a useful means of SHRPimplementation. In particular, theemphasis of these centers on getting information disseminated close to anemployee's work place is especially germane to the SHRPeffort.

SHRP Publications

A responsibility of the information transfer staff of SHRPwill bethe printing and distribution of all SHRP publications. Reports emanatingfrom the SHRPeffort can be expected to be of at least three basic types:

. Research contractor technical reports: These reports should bereproduced in limited quantities and should not serve as abasis for officially distributing SHRPresults.

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. SHRP-approvedtechnical reports: These reports would normallybe only of intermediate value to researchers or othertechnicians.

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. Official SHRPreports: These reports should describe the finalproducts, speclflcatl0ns, tests, guidelines and proceduresthat constitute the output of the research.

While the first two report types are important, the last categorynoted should be the one that is widely distributed, its contents providing thebasis for the eventual transfer of technology to the profession.

National SHRPConference.

Several national SHRPconferences should be held during the programperiod. These conferences should focus on implementable results obtained inthe program.

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