10/31/2005 Peer Exchanges For State DOT RD&T Management Processes.
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10/31/2005 Peer Exchanges For State DOT RD&T Management Processes
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Transcript of 10/31/2005 Peer Exchanges For State DOT RD&T Management Processes.
10/31/2005
Peer Exchanges
For State DOT RD&TManagement Processes
10/31/2005
ObjectiveTeach
TechnicalAdministrativeCommunications
skills necessary for effective conduct of peer exchange to FHWA, State, University and Private Sector Research Managers.
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PurposePeer Exchange
Gives State DOT RD&Ta means to improvequality and effectiveness.Is appropriate foragencies of any size,mission, discipline,or responsibility.
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PurposePeer Exchange is Designed to:
Invite experts to exchange information.Examine
Missions Objectives Policies Procedures
Present information to management.
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PurposePeer 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.
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PurposePeer 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.
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PurposePeer Exchange
Does not analyze 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.
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PurposePeer Exchanges are not to be confused with:
Regulatory activitiesCompliance reviewsCertificationAuditsInvestigations
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PurposePeer Exchanges should establish and maintain a comfortable environment for
EmployeesManagers and executivesExternal partiesThe peer exchange team
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PurposePeer Exchanges require skills:
ListeningInterviewingConsulting
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PurposePeer Exchange team members must understand, accept, and employ the concepts of
TEAMWORK
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PurposeQuestion:
What do you want to accomplish in the next peer exchange you
conduct for your program or your colleague’s?
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PurposePotential 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:_______________________
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Historical DevelopmentPeer Exchange derives from Peer Review Tradition
Academic accreditation.Research peer review.American Society of Civil Engineers peer review.
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Historical DevelopmentPeer Exchange is distinct from Peer Review
Exchange, not audit.Colleagues, not examiners.Focus on processes, not report card.Tailored to State government climate.
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Federal & State RolesISTEA 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.
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Federal & State RolesLegislation:
Sets minimum federal requirements for RD&T activities.
Establishes conditions for State flexibility to direct and control their own RD&T programs.
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Federal & State RolesRequirements for State RD&T
Implement a program of RD&T activities
PlanningDesignConstructionMaintenance
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Federal & State RolesRequirements for State RD&T
Develop, establish, and certify a management process
Prioritized activitiesAt least 25% of SP&R for researchTracking proceduresUse of TRISProcedures to determine effectivenessResearch reports
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Federal & State RolesRequirements for State RD&T
Maintain documentation.
Agree to periodic peer exchanges of its own and other agencies.
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Federal & State RolesState 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.
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Federal & State RolesPeer 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.
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Peer Exchange Team Members
Team MembersAre 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.
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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.
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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.
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Peer Exchange Team Members
Select a Team LeaderWho 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!
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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?
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SchedulingPeer 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.
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Scheduling60 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.
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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.
Scheduling
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Host ResponsibilitiesHost 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.
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Host ResponsibilitiesEstablish exchange scope with input from
YouYour staffYour managementYour exchange teamYour research customers
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Host ResponsibilitiesIf you hosted a peer exchange tomorrow...
What items would you include in its scope?Why is each item important to you?
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Host ResponsibilitiesHost Research Manager should coordinate with
Chief executiveOther managersDOT personnelExternal partiesPeer exchange team and team leader
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Host Responsibilities
Supportfrom theChief Executiveis essential!
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Host ResponsibilitiesResearch 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.
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Host ResponsibilitiesResearch 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.
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Host ResponsibilitiesResearch Manager should
Avoid establishing new policies and procedures shortly before the exchange.Commit oral policiesto writing.Describe programclearly.
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Host ResponsibilitiesIf 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.
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Host ResponsibilitiesThe host agency should
Provide briefing materials to the team at least 15 days before exchange date.
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Team Leader PreparationTeam 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.
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Team PreparationThe 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.
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Team Leader Preparation
The Team LeaderCoordinates 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.
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The Peer ExchangeThe 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.
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Peer Exchange Team Meeting
Initial Team MeetingAfternoon or evening before exchange.Compare notes from materials.Confirm general approach.Prepare list of interviewtopics/questions.Prepare for initial entrymeeting and interviews.
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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.
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Interviews/Discussions
InterviewsSenior managementInternal customersExternal customers
Research contractors and universities.Local governments and other agencies.
Research staff
Questionnaires
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Interviews/Discussions
Senior ManagementDescribe exchange process and outcomes.Provide opportunity for questions, issue identification and resolution.Reaffirmnon-threateningnature ofexchange process.
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Interviews/Discussions
Internal CustomersStress confidentiality of the exchange.Tailor questions to each group.Let customers lead.Avoid “debating.” Allow ample time.Group interviewswork well.
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Interview/Discussions
External CustomersStress confidentiality of the exchange.Tailor questions to those interviewed.Let customers lead.Avoid “debating.”Allow ample time.Phone interviewswork well.
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Interviews/Discussions
Research StaffStress confidentiality of the exchange.Target staff interests.Allow opportunity for strong exchange with visitors.Allow ampletime.
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Interviews/Discussions
Exchange OpportunitiesExchange is bi-directional.Allow managers and customers to ask questions of exchange team members.Provide formal opportunity for team members to explain their processes (especially to host research staff).
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Interviews/Discussions
Mix direct questionsHow many?How long?
with open-ended questionsHow do you...?Tell me about...What if...?
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Interviews/Discussions
Persons interviewed shouldCooperate during interviews.Respond to questionswhether answers arefavorable or unfavorableto agency or to self.Answer questions honestly.
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Report
Team MeetingAfternoon or evening of next-to-last day.Reach consensus for exit meeting.Prepare draftexit report.
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Report
Report Should:Be written prior to exit meeting.Briefly introduce team members.Summarize exchange scope, activities, and focal points.List new ideas, methods, and concepts.Be endorsed by entire team.Be brief (maybe bullets).
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Report
Sample Report FormatIntent of exchange process.What was done.What each team member learned.What each team member resolves to do. Summary.
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Exit MeetingPresent to managers, staff, & others.All team members present.Team leader introduces report.Team members present their portions.Make information clear and concise.Thank team and other participants.Leave on a positive note.
Close-Out Session
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Follow-Up
Follow Up ActivitiesSubmit peer exchange report to host State FHWA Division Administrator.Establish team consensus.Make individual and group resolutions.Establish date for checking.Host state initiates round-robin review.Keep sharing insights with staff and management.Peer Exchange reports may be posted on the SCOR/RAC web site at http://cms.transportation.org/?siteid=55&pageid=1396
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Helpful Web SitesSP&R) Guide—Peer Exchange http://www.tfhrc.gov/sprguide/pe.htmState Peer Exchange Reports—SCOR/RAC site http://cms.transportation.org/?siteid=55&pageid=1396Peer Exchange Program—SCOR RAC http://cms.transportation.org/?siteid=55&pageid=878Documenting Peer Exchange Administrative Experiences, 1998http://cms.transportation.org/sites/research/docs/PeerExchangeExperience.pdfPeer Exchange: A Value-Added Management Tool, 2001
http://cms.transportation.org/sites/research/docs/PeerExchangeTool.pdf
