PARTICIPANT WORKBOOK

PEER EXCHANGE

FOR

STATE DOT RD&T MANAGEMENT PROCESSES

A TRAINING PROGRAM OF THE USDOT,

FEDERAL HIGHWAY ADMINISTRATION

SNI International Resources, Inc.

Phoenix, Arizona USA

THIS WORKBOOK IS FOR YOUR PERSONAL USE DURING THE TRAINING SESSION. IT IS DESIGNED AS A CONVENIENT NOTE-TAKING TOOL AND IS ALSO MEANT TO BE USED AS A REFERENCE AFTER THE SESSION.

THE WORKBOOK IS DIVIDED INTO THREE SECTIONS.

THE FIRST SECTION INCLUDES THE COURSE DESCRIPTION AND OUTLINE. THE OUTLINE ALSO SERVES AS THE AGENDA FOR THE DAY AND SHOWS APPROXIMATE START TIMES FOR EACH MAJOR TOPIC.

SECTION TWO IS THE COURSE CONTENT, OR NARRATIVE. THE INSTRUCTOR WILL FOLLOW THIS TEXT CLOSELY AND WILL INFORM YOU IF HE OR SHE INTENDS TO DEVIATE FROM THE CONTENT AS PRESENTED. THIS SECTION ALSO INCLUDES A “PEER EXCHANGE WORKBOOK”, A USEFUL BOOKLET THAT CAN BE USED AS A GUIDELINE DURING EACH PART OF THE PEER EXCHANGE PROCESS.

SECTION THREE INCLUDES COPIES OF THE COURSE HANDOUTS.

TABLE OF CONTENTS

SECTION 1 - Course Description and Outline

Scope and Behavioral Objectives i

Course Agenda iii

SECTION 2 - Course Content

1. The Technical Process

1.1. Background 1-1

1.1.1. Purpose 1-1

1.1.2. Overview of Peer Exchange 1-2

1.1.3. The Peer Exchange Perspective 1-2

1.1.4. Role of the Federal Highway Administration 1-3

1.1.5. The Peer Exchange Team Member 1-5

1.1.6. Training Procedures 1-6

1.2. Administration Processes 1-7

1.2.1. Scheduling a Peer Exchange 1-7

1.2.2. Assignment of Peer Exchange Participants 1-8

1.2.3. Identifying Team Leaders 1-8

1.2.4. Expenses Related to Exchange 1-8

1.2.5. Maintaining the Peer Reviewer List 1-8

1.3. Pre-Peer Exchange Activities 1-9

1.3.1. SHA Research Manager Responsibilities 1-9

1.3.2. Peer Exchange Team Preparation 1-12

1.3.3. Team Leader Preparation 1-13

1.3.4. Actions by the Host Transportation Agency 1-14

1.4. The Peer Exchange 1-16

1.4.1. Peer Exchange Team Meeting 1-16

1.4.2. Discussion of RD&T Programs 1-17

1.4.3. Example Projects 1-18

1.4.4. Interviews/Discussions 1-18

1.4.5. Report 1-19

1.4.6. Close-out Session 1-20

1.4.7. Follow-up Activities 1-21

1.5. Post Peer Exchange Activities 1-21

2. The Consulting Process

2.1. Introduction 2-1

2.2. Staff Consulting Roles 2-1

2.3. The Consulting Model 2-2

2.3.1. Entry into the Organization 2-2

2.3.2. Agreement 2-3

2.3.3. Data Collection 2-3

2.3.4. Diagnosis 2-5

2.3.5. Feedback & Decision to Act 2-5

2.3.6. Guidelines to Effective Feedback 2-7

References 2-11

Peer Exchange Workbook 2-13

SECTION 3 - Course Handouts

SECTION 1

Course Description and Outline

Peer Exchange For State DOT RD&T Management Processes

-Course Description & Outline-

Scope

This course is designed to assist State, FHWA, university and private sector research managers in developing skills to actively participate in a peer exchange and to help guide the peer exchange activities. This course will:

1. Train participants to operate in a team environment.

2. Prepare participants to effectively communicate with and question each other, and customers, managers and staff of the host State.

3. Train participants in the peer exchange process.

4. Provide techniques for presenting the results of the peer exchange.

The course will provide comprehensive coverage in each of the following major areas:

•  Peer Exchange Process

•  Sensitivities in Conducting Peer Exchanges

•  Communications Skills in Conducting Peer Exchanges

•  Peer Exchange Report Preparation

Behavioral Objectives

Upon completion of the course, the participants will be able to:

1. Describe how each State agency RD&T management process is unique.

2. Explain some of the many ways there are of conducting and managing research through examples of some of the current State research programs.

3. Participate as a team member in a peer exchange, and describe the crucial components of positive team membership.

4. Establish and maintain a comfortable environment for participants involved in the peer exchange, including the customers, managers and staff of the host State.

5. Identify individual communications styles, and be able to interact positively with other members of the team and those being interviewed.

6. Utilize listening, interviewing and consulting skills in order to promote a positive relationship between the team and all individuals involved in the exchange.

7. Present oral and written conclusions of the peer exchange activity.

Target Audience

Course participants are managers from State transportation agencies, FHWA, universities and the private sector responsible for research, development, and technology transfer programs. The candidates for this course will be:

6

Peer Exchange For State DOT RD&T Management Processes

-Course Description & Outline-

AGENDA

1. Experienced in transportation research related activities.

2. Experienced in research management.

3. Knowledgeable and experienced in research planning, funding, documentation and technology transfer.

The course will accommodate approximately 30 participants.

Course Length

One (1) day, with approximately 8 hours of instruction over the one-day period.

Training Aids/Instructional Material

1. Instructor Guide

2. Visual Aids

3. Participant Workbook


8:00 a.m. Introduction/Course Overview

• Instructor and Group Introductions

• Housekeeping Chores

• Course Scope, Objectives, and Format

8:30 a.m. Background

• Purpose

• Overview

• Historical Development

• Role of the FHWA

• The Peer Exchange Team Member

• Training Procedures

9:30 - 9:45 a.m. Break

9:45 a.m. Communication Skills in Peer Exchange

• Staff Consulting Roles

• Communication Styles

12:00 noon LUNCH BREAK

1:00 p.m. • The Consulting Model

• Entry into the Organization

• Contracting

• Data Collection

• Diagnosis

• Feedback and Decision to Act

• Guidelines to Effective Feedback

2:45 - 3:00 p.m. Break

3:00 p.m. Administrative Processes

• Scheduling a Peer Exchange

• Assignment of Peer Exchange Participants

• Identifying Team Leaders

• Expenses Related to the Visit

• Maintaining the Peer Exchange List

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Handouts For State DOT RD&T Management Processes

3:15 p.m. Pre-Peer Exchange Activities

• SHA Research Manager Responsibilities

• Review Team Preparation

• Team Leader Preparation

• Actions by the Host Transportation Agency

3:45 p.m. The Peer Exchange

• The Peer Exchange Team Meeting

• Discussion of RD&T Programs

• Example Projects

• Interviews/Discussions

• Report

• Close-out Session

• Follow-up Activities

4:30 p.m. Post-Exchange Activities

4:45 p.m. Conclusion: Questions and Answers

5:00 p.m. Adjournment


Questionnaire for Peer Review Candidate

Name

Title

Agency Unit/Division

Parent Agency

Street Address

City

State Zip Telephone ( ) Fax ( )

Home Address

City State Zip

My status is: Active Retired Preferred Mailing Address: Business Home

Experience In (enter years in appropriate categories): Design experience Agency management

Administrative experience Project management Office management

Technical Specialty (Check as many as apply):

Agricultural Geotechnical Sanitation

Architectural HVAC/Energy Structural

Bridge/Highway Hydraulics Surveying

Chemical Landscape E/A Transportation

Civil Marine Administration

Construction Mgmt Mechanical Finance

Electrical/Electronic Metallurgical Human Resources

Emergency Mgmt Mining Legal

Energy Analysis Petroleum Public Relations

Environmental

Other:

Professional Experience

Title From To

Present:

Former:

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Number of employees directly supervised: Current Maximum

Degrees Earned

Ph.D. Engineering M.S. Engineering B.S. Engineering

D.Sc Engineering M.Arch B.Arch

M.Eng. Administration M.B.A. B.A. Business Admin.

J.D. L.L.B. Other (specify):

Are you a registered or licensed professional? Yes No

In which field or discipline?

In which state(s)?

Have you participated in a peer review program?

As a reviewer? Yes No As one reviewed? Yes No

In what areas of management do you feel most comfortable reviewing other agencies?

Organizational Management Human Resource Management

Project Management Financial Management

Emergency Management Procedures Public Relations Practices

Technical Practice & Procedures

Signature: Date:

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Peer Review Team Leader Questionnaire

1. Were there new, unusual or awkward situations in this review with which you are not experienced, or for which you have not been trained?

No Yes If yes, please describe.

2. Did you discover or develop new techniques or methodologies that can be used by future peer review participants?

No Yes If yes, please describe.

3. Do you have suggestions for future reviewer training sessions?

4. What did you learn from the process?

5. Would you like to participate in more reviews? No Yes

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6. Please identify anyone in the reviewed organization you believe would be a good reviewer candidate, including phone number and address.

Your Name

Agency Reviewed

Date(s)

Thank you for your help.

Please mail to: Associate Administration for Research and Development

Federal Highway Administration

Turner-Fairbank Highway Research Center

6300 Georgetown Pike

McLean, VA 22101

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Research Manager Questionnaire

(To be completed by the head of the research office being reviewed)

1. Preparing for the peer review required a substantial commitment by you and your staff. Did you find the preparation of documents, and scheduling the review, of value to you? Do you have any suggestions regarding the elimination or addition of documents, or how to better prepare for a review?

2. Was the schedule for the peer review followed? Do you have any suggestions for improving the schedule?

3. Did the review team present a concise and clear oral report? Do you have any suggestions regarding improvement of the oral report? Was the critique presented thoughtfully?

4. How often do you think an organization should be reviewed?

5. Was the time spent by the reviewers too long, too short, or just about right to provide an effective review?

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6. Do you feel the reviewers were diplomatic and sensitive?

7. Would you recommend these reviewers to others?

8. Did you find the peer review beneficial to your organization?

9. Any additional comments or suggestions?

Organization:

Head of Reviewed Office:

Date:

Return to: Associate Administration for Research and Development

Federal Highway Administration

Turner-Fairbank Research Highway Center

6300 Georgetown Pike

McLean, VA 22101

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Questioning Skills

Good questioning and listening skills are key to successful data collection. Since relationships drive the positive completion of any task, it is important to gather data at 2 levels - the “task” level and the “feelings” level. Failure to gather information at both levels can result in an artificial understanding of client needs and issues. As a result, solution and recommendations may miss the target.

The following are examples of questions used to determine both task and feeling needs and issues.

Task Questions:

Focus on technical facts such as: How much? How many? How long?

Feeling Questions:

Uncover personal motives, political or relationship needs and issues, and general emotional reactions. For example:

- How receptive is your staff to learning a new computer system at this time?

- How do you feel about the process?

- What will happen if your current system fails?

It is important to balance rapport with asking questions. Since certain questions on sensitive issues can create a strong emotional reaction, feeling questions are often asked indirectly in order to maintain rapport. (See below)

Direct Questions:

Ask directly for information regarding either task or feelings. For example:

- How do you feel about gun control?

- Who is in charge of this project?

Indirect Questions:

Ask for the same information but in a more round about way. For example:

- Many people have expressed strong anti gun control sentiments. I wonder what you think about their reactions?

- I wonder, who might tell me who is in charge of this project?

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Open-ended Questions:

Open-ended questions are questions that cannot be answered with a simple “yes” or “no”. Open-ended questions begin with words like “who”, “what”, “when”, “how” and encourage in-depth responses. For example:

- What ideas do you have regarding...

- Who do you suggest to work with us on the Jones project?

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South Dakota

Peer Exchange Questions

These questions encompass the range of information to be gathered. They are targeted to specific audiences, such as staff, management, customers, etc. These questions are also listed by target audience. In some instances, the same question is asked of different audiences.

1. What do you expect from the research process? What does it do for you?

2. What are the tangible and intangible benefits from research?

3. Is there a balance of short and long-term projects?

4. Do you have sufficient training to participate in the research process?

5. Do you understand the research process?

6. What is the primary purpose of research?

7. Is research balanced among the different specialties?

8. What are the top 3 objectives of research?

9. How do you identify your research needs?

10. How can research implementation be improved?

11. Do you have enough involvement in the research process?

12. How can we make research results more beneficial and available?

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13. How can research be made more friendly?

14. Can the research cycle time be improved?

15. Do you get more research reports than you need? Are the executive summaries good?

16. Do you know enough about outside research results and activities?

17. Are staffing and funding resources adequate for your area of interest?

18. Is there a good balance of ideas among those that you generate and those generated by the research staff?

19. What should the future research emphasis be?

20. What else do you want to ask about research?

21. How can the technology transfer activities be improved?

22. What criteria would you use to evaluate research programs and projects?

23. Tell me about the best and worst research project you remember.

24. What are the advantages and disadvantages of in-house versus contract research?

25. Do you have any suggestions to help make the peer exchange better?

26. How can we make Requests for Proposals easier to respond to?

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