Peer Exchange-Frequently Asked Questions
What is the peer exchange program?
The general intent of the Federal regulation for the peer exchange program is to enhance the quality and performance of the State's research, development and technology (RD&T) management through peer involvement. The peer exchange process grew out of the original concept of peer review as conducted by organizations such as the American Society of Civil Engineers, the American Council of Engineering Companies (http://www.acec.org/)], and the Association of Soil and Foundation Engineers. In those peer exchanges, organizations seek independent assessment of their firms and a comparison with industry norms. Furthermore, the review teams deal primarily with the chief executive officer of the organization to review standard and predetermined aspects of the organization's operations, (e.g., financial management, project management, human resource management), conduct confidential interviews with employees, and present findings at a closeout meeting with the chief executive at the conclusion of the exchange. The final step is a staff briefing of the exchange report. Many of the elements from this peer exchange methodology were retained in the development of a customized peer exchange process.
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Where can I get information on the peer exchange program?
A good source of information about the peer exchange program
is on the Federal Highway Administration's (FHWA) Web site under
the State Planning and Research (SP&R) Guide section:
http://www.tfhrc.gov/sprguide/pe.htm.
The peer exchange section provides links to regulatory requirements,
guidelines
on conducting a peer exchange, FHWA memos, links to two reports
on peer exchanges issued by the National Cooperative Highway
Research Program (NCHRP) (Documenting
Peer Exchange Administrative Experiences, July 1998
and Peer
Exchange: A Value-Added Program Management Tool, March 2001),
and other information.
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In particular, where can I get information on how to conduct a peer exchange?
The information on the FHWA's Web site under the SP&R
Guide section, http://www.tfhrc.gov/sprguide/pe.htm,
will help you plan and conduct a peer exchange. In particular,
Documenting Peer Exchange Administrative Experiences, July 1998,
contains step-by-step instructions on how to conduct a peer exchange.
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What is the objective of the peer exchange program?
The objective of the peer exchange program is to give State departments of transportation (DOTs) means to improve the quality and effectiveness of their research management processes.
A peer exchange provides an opportunity for a State to examine its research program, particularly relative to its management plan. It is a practical and effective tool to foster excellence in research, development, and technology (RD&T) program management. Peer exchanges provide an opportunity for panelists to share best practices and management innovations with each other.
The basic approach is to invite an outside panel of managers to meet with the host agency to discuss and review its RD&T management process. Information on the host agency's policies and procedures, including its management plan and work program, are shared with panel members in advance of the peer exchange. During the peer exchange, panel members may meet with managers, staff, stakeholders, and customers to gain further insight into the host State's program. The information gathered from the exchange is presented to agency management.
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How often are peer exchanges conducted?
Under 23 Code of Federal Regulations (CFR), 420.209 (a)(7),
a State is required to conduct peer exchanges on a periodic
basis. FHWA has administratively determined this to be every
3 years. FHWA's Office of RD&T has issued two memos (See
the Robert
Betsold September 20, 1996, memo and the Dennis
Judycki July 13, 2000, memo) offering guidance on the peer
exchange program, which state that "on a periodic basis means"
at least once every 3 years.
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Who should be on the peer exchange panel?
Peer exchange panels should include representatives of other States' research programs, universities, and customers and stakeholders of the research program. States are also encouraged to include a representative from the FHWA division office and/or FHWA's Headquarters. Panel members may be chosen for their technical expertise, experience in managing a research program, or knowledge of customer needs.
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Does the peer exchange have to be an overview of the State's whole research program?
No. While an overview peer exchange is very valuable for a State to conduct, some of the periodic peer exchanges may be focused on areas of the State's research program. For example, some States have focused on performance measurement or technology transfer. If a State chooses to conduct a peer exchange on a focused area, it should still address the general intent of the peer exchange program to enhance quality and performance of the State's RD&T management through peer involvement.
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Can peer exchanges be funded with State planning and research (SP&R) funds?
Yes. Travel and other costs associated with the State DOT's peer exchange may be identified as a line item in the State DOT's planning and research work program and is eligible for 100 percent SP&R funding.
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Does participation in a meeting such as the American Association of State Highway and Transportation Officials (AASHTO) Research Advisory Committee's (RAC) National Meeting fulfill the peer exchange requirement?
No. Participation in a meeting such as national meetings of the AASHTO RAC is certainly a worthwhile endeavor and typically involves considerable interaction with peers, but such meetings lack crucial elements of a formal peer exchange.
A peer exchange is designed to focus on one State's research program, using a knowledgeable panel to gather information on the host State's program and make constructive recommendations. A crucial part of a peer exchange is the panel's opportunity to present findings and recommendations to the host State's senior management and key decisionmakers. One of the benefits of peer exchanges has been the opportunity to make senior managers more aware of how research supports their overall program and helps them address customer needs.
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Why are multi-State peer exchanges not acceptable?
Doing a multi-State peer exchange would dilute the effectiveness and intent of the peer exchange by removing the focus from the host State. A valuable part of the peer exchange is giving the exchange panel access to not only the research leaders in the host State, but to other research staff, other interested staff, customers, and stakeholders. In addition to losing that access, doing a multi-State peer exchange would not give the panel an opportunity to present findings and recommendations to a host State's senior management and key decisionmakers. One of the benefits of peer exchanges has been the opportunity to make senior management more aware of how research supports their overall program and helps them address customer needs.
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Can a State representative travel to a series of other States to conduct a peer exchange?
No. This would not fulfill the Federal regulatory requirement for conducting peer exchanges. Taking the peer exchange out of a host State would dilute the effectiveness and intent of the peer exchange by removing the focus from the host State. A valuable part of the peer exchange is giving the exchange panel access to not only the research leaders in the host State, but to other research staff, other interested staff, customers and stakeholders and, very importantly, to senior management of the host DOT. A crucial part of a peer exchange is the panel's opportunity to present findings and recommendations to the host State's senior management and key decision makers.
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Does the peer exchange panel have to report its findings?
Yes. According to 23 Code of Federal Regulations (CFR), 420.209 (a)(7), the peer exchange panel must prepare a written report of the exchange. If at all possible, the report should be written before the closeout meeting with the senior management of the host State. At a minimum, the report should be prepared before the panel members leave.
The report should include a brief introduction that identifies all of the participants on the panel and describes the purpose and intent of the activity. The body of the report should briefly discuss those aspects of the research program that the panel explored.
The conclusion section of the report should reflect the highlights of the open discussions and should be written as a panel, using a panel consensus approach. Moreover, it should include an endorsement by all of the members of the panel. A copy of the report should be forwarded by the host State to the FHWA Division Administrator upon completion of the peer exchange.
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What does the closeout meeting with the host State senior management involve?
The closeout meeting can be of great benefit if conducted with senior management of the host State. It should highlight positive aspects of the host State research program and outline those aspects that the visitors intend to incorporate into their own programs. Of course, any suggestions agreed to by the panel, should also be highlighted to the host State senior management, with the understanding that senior management support is necessary to make significant changes.
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Does FHWA hold the States responsible for the specific action items included in the report?
No. Peer exchanges are opportunities for States to identify successes as well as areas for improvement in their research programs. The host States and their peer exchange panels identify action items as ways the host States may improve their programs. It is a host State’s responsibility to followup on action items with the goal of gaining the greatest benefit from the peer exchange. A host State may choose to give feedback on its progress on action items to the panel and FHWA, but it is not required.
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Must panel members be selected from a list of “approved” panel members?
No. During the initial stages of the program, it was a requirement that some panel members be selected from the FHWA “approved” list of those who had received formal training on the peer exchange process. Since then, many people have gained experience by participating in peer exchanges, so FHWA no longer requires formally trained members on the panel.
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Who can help me identify panel members?
The peer exchange panel of four to five people should include participants from other State research programs. Several additional organizations are likely sources of panel members: FHWA, and other Federal, State, regional or local transportation agencies; the Transportation Research Board (TRB); academic institutions; foundations; or private firms that support transportation research, development, or technology transfer activities. Panel members must be external—that is, not employed by the host State DOT. At least one or two panel members should have participated in previous peer exchange panels.
There are a number of ways to identify potential panel members. Nominations may be solicited from State DOT staff, partners, and stakeholders. The host State may solicit names of potential panel members from scientific or professional societies, such as the American Society of Civil Engineers (ASCE), the Institute of Transportation Engineers (ITE), TRB, or AASHTO Committees. AASHTO’s Research Advisory Committee (RAC) maintains a list of its members on its Web site, http://research.transportation.org, and the RAC national or regional listservs can be used to solicit volunteers from other States.
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Have all States conducted peer exchanges?
Yes. Most States have hosted two peer exchanges and some have completed their third exchange. The regulation, 23 CFR, Part 420(a)(7), calls for States to participate “. . .in peer exchanges of its RD&T management process and of other State DOTs’ programs on a periodic basis.” FHWA's Office of RD&T issued two memos (see the Robert Betsold September 20, 1996, memo and the Dennis Judycki July 13, 2000, memo) offering guidance on the peer exchange program that defines “periodic basis” to mean at least once every 3 years.
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Additional questions?
For more information or if you have additional questions, contact William Zaccagnino at 202-493-3183 or William.Zaccagnino@fhwa.dot.gov.
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