Peer Exchanges

1
Peer Exchanges

• For State DOT RDTManagement 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 RDTa 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 RDT 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 RDT
  management processes.
• Should be conducted in a non-threatening
  non-adversarial manner, as among colleagues.

7
Purpose

• Peer 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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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

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Purpose

• Question
• What do you want to accomplish in the next peer
  exchange you conduct for your program or your
  colleagues?

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_______________________

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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.

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Federal State Roles

• ISTEA of 1991 instituted a number of substantive
  changes pertaining to state DOT RDT (23 CFR
  420).
• Established FHWAs role.
• Established States role.
• Changes sustained by TEA-21 and
• SAFETEA-LU.

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Federal State Roles

• Legislation
• Sets minimum federal requirements for RDT
  activities.
• Establishes conditions for State flexibility to
  direct and control their own RDT programs.

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Federal State Roles

• Requirements for State RDT
• Implement a program of RDT activities
• Planning
• Design
• Construction
• Maintenance

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Federal State Roles

• Requirements for State RDT
• Develop, establish, and certify a management
  process
• Prioritized activities
• At least 25 of SPR for research
• Tracking procedures
• Use of TRIS
• Procedures to determine effectiveness
• Research reports

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Federal State Roles

• Requirements for State RDT
• 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 periodicallydefined 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 RD 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 Members
• Are persons knowledgeable of the management and
  operation of State transportation RDT 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 RDT 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 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!

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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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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.
• Periodicallyi.e., every 3 years.

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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 States annual
  research work program.
• Eligible for 100 SPR funds.
• Subject to individual state regulations.

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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.

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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 RDT unit.

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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.

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Host Responsibilities

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

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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.

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Host Responsibilities

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

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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 hosts 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 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.

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The Peer Exchange

• The agenda may include
• Initial team meeting.
• Review of States 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 Meeting
• Afternoon 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 RDT Programs

• Research Manager should describe with team
  procedures for
• Prioritizing and accomplishing activities.
• Tracking activities, commitments,
  accomplishments.
• Using TRIS (input output).
• Determining RD effectiveness.
• Documenting activities.

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Interviews/Discussions

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

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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.

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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.

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Interviews/Discussions

• Research Staff
• Stress confidentiality of the exchange.
• Target staff interests.
• Allow opportunity for strong exchange with
  visitors.
• Allow ampletime.

52
Interviews/Discussions

• Exchange Opportunities
• Exchange 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 questions
• How many?
• How long?
• with open-ended questions
• How do you...?
• Tell me about...
• What if...?

54
Interviews/Discussions

• Persons interviewed should
• Cooperate during interviews.
• Respond to questionswhether answers
  arefavorable or unfavorableto agency or to
  self.
• Answer questions honestly.

55
Report

• Team Meeting
• Afternoon or evening of next-to-last day.
• Reach consensus for exit meeting.
• Prepare draftexit report.

56
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 Format
• Intent of exchange process.
• What was done.
• What each team member learned.
• What each team member resolves to do.
• Summary.

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Close-Out Session

• Exit Meeting
• Present 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.

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Follow-Up

• Follow Up Activities
• Submit 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
  /?siteid55pageid1396

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Helpful Web Sites

• SPR) GuidePeer Exchange http//www.tfhrc.gov/spr
  guide/pe.htm
• State Peer Exchange ReportsSCOR/RAC site
  http//cms.transportation.org/?siteid55pageid13
  96
• Peer Exchange ProgramSCOR RAC http//cms.transpor
  tation.org/?siteid55pageid878
• Documenting Peer Exchange Administrative
  Experiences, 1998
• http//cms.transportation.org/sites/research/docs
  /PeerExchangeExperience.pdf
• Peer Exchange A Value-Added Management Tool,
  2001
• http//cms.transportation.org/sites/research/docs
  /PeerExchangeTool.pdf