Evaluation of the Exploratory Advanced Research Program (2022) / Chapter Skim
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Section 2 - Evaluation of EAR Program Processes
Section 2 - Evaluation of EAR Program Processes
Pages 10-23
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From page 10... ...
As of FY 2020, FHWA (2020) expanded this description of the EAR Program to specify more precisely its criteria for selecting research to support: Exploratory Advanced Research bridges basic and applied research.
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From page 11... ...
• The projects should generate new knowledge and insight that can then be disseminated to the broader communities involved in highway research and operation, including FHWA and U.S. DOT, state and local transportation authorities, and private firms.
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and advises the EAR Program Director on strategic planning and priorities. Beyond FHWA R&T, the EAR Program relies on a number of other stakeholder organizations to plan and carry out its strategy: • The Program draws on other components of FHWA for advice on research topic selection; for experts to serve as proposal reviewers; and, occasionally, for staff who can serve as project oversight officers.
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From page 13... ...
2.2 EAR Program Management and Activities The EAR Program conducts specific ongoing activities to carry out the life cycle of research planning, management, and dissemination. The evaluation examined activities in the following categories: • Activities related to the formulation and selection of topics for inclusion in the annual EAR BAA, • Activities for processing submitted proposals and selecting projects for funding, • Oversight of funded projects and support activities to assess project results, and • Activities to promote the dissemination of research results and potential transition of results to other research and technology development organizations.
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From page 14... ...
Examples help to illustrate the elements of the logic model and what they encompass: Key inputs include the primary resources guiding and enabling the EAR Program. The Program draws on existing fundamental research in transportation and other relevant fields.
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From page 15... ...
Beyond FHWA, the EAR Program's immediate outcomes touch many organizations across the surface transportation research community, industry, and stakeholders: • Engagement with external partners. This broadens the community of practice working in the research areas funded by the EAR Program and helps to provide a receptive audience of researchers who can move technologies from the early applied research stage to experimental development and implementation.
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From page 16... ...
the NRC RAP. Research project selection and subsequent support tasks involve extensive planning and administration, including • Publishing BAAs, public research summaries, and workshop reports; • Reviewing preproposals and proposals, selecting proposal reviewers, and overseeing review panels; • Recruiting and supporting FHWA project officers who oversee EAR-funded research efforts; • Reviewing and assessing proposed topics for inclusion in the EAR BAA, including manage ment of workshops convened to assess topics; • Negotiating support contracts with other agencies and private firms to facilitate technology transition and dissemination of research results; and • Coordinating EAR Program research activities with other research units at FHWA, U.S.
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From page 17... ...
The EAR Program staff has documented many of the management processes required for administering the EAR Program, but a more comprehensive approach to succession planning may be warranted. 2.2.2 EAR Research Topic Selection The annual cycle of EAR research funding activities begins with drafting the annual BAA solicitation.
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From page 18... ...
In the interviews, a few stakeholders expressed some concern that a few prior topics did not appear to be "exploratory," from their perspective, and instead focused on more incremen tal and applied work. The description of "exploratory advanced research" published in the BAA is intended to be ambiguous to allow flexibility in Program decision-making, but that ambiguity may lead to confusion among observers about why certain topics are deemed "exploratory." 2.2.3 EAR Program Proposal Review and Project Selection After publication of the BAA, the EAR Program receives proposals for potential topic ideas.1 The number of proposals considered has ranged roughly between 30 and 60 per year, influenced primarily by the number of topics in the BAA.
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From page 19... ...
This uncertainty could cause some proposers to be hesitant about applying for EAR funding, although the evaluation team did not observe any notable decline in proposals due to that disruption. 2.2.4 EAR Program Research Project Oversight and Transition Support Once the EAR Program awards funding to a research project, primary oversight is the responsibility of the assigned project officer (AOTR)
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From page 20... ...
The participation of FHWA research staff as project officers helps to ensure that research projects remain connected to the research interests of FHWA R&T and overall FHWA priori ties. Because many of these staff members also serve as proposal reviewers, they have early insight into the research topics that the EAR Program can support, and they guide project teams to investigate specific topics that are beyond the capacity of FHWA research units.
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From page 21... ...
Beginning in FY 2013, the EAR Program has documented and implemented a structured approach to transition support. Key steps include the following: • All project proposals and all funded projects are required to include an initial Technology Transition Plan and a Basic Communication Plan.
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From page 22... ...
Of the PIs involved in enhanced transition planning, nine rated that support "very effective" or "effective" in aiding the PIs' transition efforts, and six rated the support "somewhat effective" or "not effective." Among the 10 PIs involved in communication planning activities, four rated those activities "very effective" or "effective" in assisting the PIs' own efforts, and six rated them "somewhat effective" or "not effective." On balance, the PIs who did receive enhanced transition support were generally satisfied with the support received. However, the PIs may not be well positioned to judge the ultimate outcomes of those transition activities.
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From page 23... ...
Proposers, reviewers, and stakeholders could benefit from more clarity on how they can determine which research topics appear to qualify as exploratory advanced research. Although the uncertainty over the exact meaning of this term helps the EAR Program maintain some flexibility and managerial discretion, it may also reduce confidence that the Program supports research that could not be funded through other channels.
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