Peer Exchanges

1. Peer Exchanges For State DOT RD&TManagement Processes

2. Objective • Teach • Technical • Administrative • Communications • skills necessary for effective conduct of peer exchange to FHWA, State, University and Private Sector Research Managers.

3. Purpose • Peer Exchange • Gives State DOT RD&Ta means to improvequality and effectiveness. • Is appropriate foragencies of any size,mission, discipline,or responsibility.

4. Purpose • Peer Exchange is Designed to: • Invite experts to exchange information. • Examine • Missions • Objectives • Policies • Procedures • Present information to management.

5. Purpose • Peer Exchange • Is concerned with States’ research management process, not the composition of its RD&T program. • Should help identify, reinforce, and convey effective program approaches across the country and enable nationwide sharing of successful practices and policies. • May focus on one facet of research management, e.g., T2, performance measurement, etc.

6. Purpose • Peer Exchange • Is meant to assist the agency in its RD&T management processes. • Should be conducted in a non-threatening non-adversarial manner, as among colleagues.

7. Purpose • Peer Exchange • Does notanalyze the technical competence of the agency or individuals. • Does maintain the principle of voluntarism and confidentiality. • Does allow the host agency to select its peer exchange team.

8. Purpose • Peer Exchanges are not to be confused with: • Regulatory activities • Compliance reviews • Certification • Audits • Investigations

9. Purpose • Peer Exchanges should establish and maintain a comfortable environment for • Employees • Managers and executives • External parties • The peer exchange team

10. Purpose • Peer Exchanges require skills: • Listening • Interviewing • Consulting

11. Purpose • Peer Exchange team members must understand, accept, and employ the concepts of TEAMWORK

12. Purpose • Question: • What do you want to accomplish in the next peer exchange you conduct for your program or your colleague’s?

13. Purpose • Potential Benefits of Peer Exchange: • Solutions to specific problems. • Assessment of customer service. • Benchmark for checking progress. • Inspiration for you and your staff. • Visibility and attention of management. • Others:_______________________

14. Historical Development • Peer Exchange derives from Peer Review Tradition • Academic accreditation. • Research peer review. • American Society of Civil Engineers peer review.

15. Historical Development • Peer Exchange is distinct from Peer Review • Exchange, not audit. • Colleagues, not examiners. • Focus on processes, not report card. • Tailored to State government climate.

16. Federal & State Roles • ISTEA of 1991 instituted a number of substantive changes pertaining to state DOT RD&T (23 CFR 420). • Established FHWA’s role. • Established States’ role. • Changes sustained by TEA-21 and SAFETEA-LU.

17. Federal & State Roles • Legislation: • Sets minimum federal requirements for RD&T activities. • Establishes conditions for State flexibility to direct and control their own RD&T programs.

18. Federal & State Roles • Requirements for State RD&T • Implement a program of RD&T activities • Planning • Design • Construction • Maintenance

19. Federal & State Roles • Requirements for State RD&T • Develop, establish, and certify a management process • Prioritized activities • At least 25% of SP&R for research • Tracking procedures • Use of TRIS • Procedures to determine effectiveness • Research reports

20. Federal & State Roles • Requirements for State RD&T • Maintain documentation. • Agree to periodic peer exchanges of its own and other agencies.

21. Federal & State Roles • State DOT • Is responsible for initiating peer exchanges. • Conducts peer exchange periodically—defined as every 3 years. • Selects peer exchange team. • Sets format for its own peer exchange.

22. Federal & State Roles • Peer exchange team members should have • Knowledge of state transportation programs and issues. • Experience applying R&D results in a State DOT. • Research management experience. • Knowledge of national research efforts. • Experience on peer exchanges.

23. Peer Exchange Team Members • Team Members • Are persons knowledgeable of the management and operation of State transportation RD&T programs. • Typically number from 3-5 persons. • Include at least two persons with peer exchange experience. • Desirable to have FHWA representative.

24. Peer Exchange Team Members • Team members may be: • State transportation research personnel. • University researchers/managers. • Private industry researchers/managers. • FHWA Division, Resource Center, or HQ staff. • AASHTO staff. • TRB staff. • Host State RD&T Manager.

25. Peer Exchange Team Members • When choosing team members, consider • Specific knowledge and experience. • Diversity. • Honest, constructive people. • People you respect. • People your management will respect. • Geographical location, travel.

26. Peer Exchange Team Members • Select a Team Leader • Who will be credible with your team and with your management. • Who will direct but not dominate team. • Who will respect your culture. • Whom you know well and respect. • WHO IS NOT YOU!

27. Peer Exchange Team Members • If you hosted a peer exchange tomorrow... • Who would be on your team? • Who would be your team leader? • Why did you select each?

28. Scheduling • Peer exchange should be a 3- to 4-day, face-to-face session. • Schedule peer exchange when • You and your staff can invest time. • Internal and external research contacts will be available for interviews. • When research procedures are stable enough to describe. • When you need and want assistance. • Periodically—i.e., every 3 years.

29. Scheduling • 60 days prior to exchange • Learn and embrace exchange concept. • Familiarize staff and management. • Begin defining scope of peer exchange. • Establish dates of exchange. • Select team members, leader. • Appoint an assistant to handle logistics. • Determine travel reimbursement.

30. Scheduling • Travel costs of peer exchange team members may be • Included as a line item in the State’s annual research work program. • Eligible for 100% SP&R funds. • Subject to individual state regulations.

31. Host Responsibilities • Host Research Manager should • Be primary contact and liaison. • Coordinate preparatory activities. • Establish scope of the exchange. • Advise staff and colleagues in advance. • Secure support of chief executive and other managers. • Champion the exchange.

32. Host Responsibilities • Establish exchange scope with input from • You • Your staff • Your management • Your exchange team • Your research customers

33. Host Responsibilities • If you hosted a peer exchange tomorrow... • What items would you include in its scope? • Why is each item important to you?

34. Host Responsibilities • Host Research Manager should coordinate with • Chief executive • Other managers • DOT personnel • External parties • Peer exchange team and team leader

35. Host Responsibilities • Support from the Chief Executive is essential!

36. Host Responsibilities • Research manager communicates to staff • Schedules. • General topics of exchange. • Encouragement to cooperate. • Assurance that exchange will not analyze individual projects or competence. • Commitment to serve RD&T unit.

37. Host Responsibilities • Research Manager Provides • Organizational charts. • Research Procedures Manual. • Program summaries. • Sample reports, RFPs, forms. • List of possible contacts and interviews. • Proposed scope for peer exchange. • Request for information from team.

38. Host Responsibilities • Research Manager should • Avoid establishing new policies and procedures shortly before the exchange. • Commit oral policiesto writing. • Describe programclearly.

39. Host Responsibilities • If documentation is unavailable: • What are policies understood to be? • How was understanding established? • Why are documents not needed? • Lack of formal documentation should not deter exchange.

40. Host Responsibilities • The host agency should • Provide briefing materials to the team at least 15 days before exchange date.

41. Team Leader Preparation • Team Leader should • Discuss materials inconference call with team. • Reiterate importance ofcommunications skills. • Resolve areas of uncertainty among team members. • Establish team consensus on ground rules.

42. Team Preparation • The exchange teamshould • Review host’s materials before the exchange begins. • Note comments, suggestions, questions, inconsistencies. • Discuss ground rules (conference call). • Prepare material to share with host state.

43. Team Leader Preparation • The Team Leader • Coordinates the exchangewith the host research manager. • Confirms dates and other logisticswith research manager and team members. • Strives to establish and maintaincollegial tone of peer exchange.

44. The Peer Exchange • The agenda may include • Initial team meeting. • Review of State’s procedures. • Meeting with direct management chain. • Interviews with customers. • Interviews with staff. • Formal exchange opportunities. • Report/presentation to management.

45. Peer Exchange Team Meeting • Initial Team Meeting • Afternoon or evening before exchange. • Compare notes from materials. • Confirm general approach. • Prepare list of interviewtopics/questions. • Prepare for initial entrymeeting and interviews.

46. Discussion of RD&T Programs • Research Manager should describe with team procedures for • Prioritizing and accomplishing activities. • Tracking activities, commitments, accomplishments. • Using TRIS (input & output). • Determining R&D effectiveness. • Documenting activities.

47. Interviews/Discussions • Interviews • Senior management • Internal customers • External customers • Research contractors and universities. • Local governments and other agencies. • Research staff • Questionnaires

48. Interviews/Discussions • Senior Management • Describe exchange process and outcomes. • Provide opportunity for questions, issue identification and resolution. • Reaffirmnon-threateningnature ofexchange process.

49. Interviews/Discussions • Internal Customers • Stress confidentiality of the exchange. • Tailor questions to each group. • Let customers lead. • Avoid “debating.” • Allow ample time. • Group interviewswork well.

50. Interview/Discussions • External Customers • Stress confidentiality of the exchange. • Tailor questions to those interviewed. • Let customers lead. • Avoid “debating.” • Allow ample time. • Phone interviewswork well.