Transportation Research: Additional Actions Could Improve DOT's Internal Collaboration and Reliability of Information on Research Activities
Fast Facts
The Department of Transportation funds research aimed at making the nation's transportation system safer and more efficient. In FY 2019, DOT had a research budget of more than $1 billion. Currently, DOT funds almost 5,000 ongoing research activities.
DOT has taken steps to improve research collaboration across the department, helping reduce potentially wasteful duplication. However, it could improve its efforts by using additional leading practices, such as defining and monitoring progress toward long-term goals.
We made 2 recommendations, including that DOT take steps, such as updating guidance, to align its efforts with all leading practices.
The driver assistance technology in this crash avoidance test is one of thousands of DOT-funded research projects.
Highlights
What GAO Found
The Department of Transportation (DOT) uses a multistep, centralized process to prioritize and select research activities it will fund. DOT's modal administrations—which focus on specific modes of transportation like air, rail, and highways—conduct and manage most of DOT's research. The modal administrations GAO spoke to used a variety of methods to prioritize and select research, including soliciting stakeholders' feedback on research needs. The Office of the Assistant Secretary for Research and Technology (OST-R) is responsible for reviewing this proposed research to ensure alignment with DOT's strategic plans and to prevent duplicative research efforts, as required by statute.
DOT has multiple efforts to facilitate research collaboration both externally and internally, but in guidance to promote collaboration, OST-R did not incorporate all leading practices. Specifically, OST-R established topical-research working groups on 12 multimodal subject areas in October 2018 and issued accompanying guidance. This guidance incorporated some leading collaboration practices, such as directing working groups to identify leadership roles and relevant participants. However, the guidance did not incorporate two leading practices—defining and monitoring progress toward long-term outcomes and regularly updating and monitoring written agreements. Taking steps to ensure the working groups follow these practices could provide OST-R greater assurance that the groups coordinate their efforts effectively, better plan long-term research, and better position themselves to address future transportation challenges.
OST-R has taken some steps to help ensure that its public database on DOT-funded research projects (the Research Hub) contains complete and accurate information, as required by DOT's data management policy; however, data reliability issues remained. For example, as of July 2019—the latest available data at the time of GAO's analysis—36 percent of records in the database were missing research partners' contact information, hindering the research community's ability to obtain current project details. Taking additional steps, such as providing instructions to the modal administrations on how to improve the completeness and accuracy of the information they give OST-R for the Research Hub, would help ensure the database is fulfilling DOT's intended purpose that it serve as a reliable source of information on the department's research portfolio.
Examples of Research Activities on Advanced Driver-Assistance Systems and Connected Vehicles Funded by the U.S. Department of Transportation
Why GAO Did This Study
DOT's research activities are critical to DOT's mission to make the nation's transportation system safer and more efficient. To meet current research needs and prepare for emerging technologies, DOT partners with public and private entities. In fiscal year 2018, DOT funded about 2,300 partners and had a research budget exceeding $1 billion.
GAO was asked to review DOT's research activities. This report addresses: (1) how DOT prioritizes and selects which research activities it will undertake; (2) the extent to which DOT facilitates research collaboration with external stakeholders and across the department; and (3) the extent to which DOT ensures its Research Hub database contains complete and accurate project information. GAO reviewed documents and analyzed data from DOT; observed DOT-funded research; interviewed DOT officials from OST-R and four selected modal administrations; and used GAO's leading collaboration practices to assess the extent of collaboration. GAO also interviewed 17 DOT research partners, including universities and associations.
Recommendations
GAO recommends that OST-R (1) take steps to ensure the topical-research working groups follow all leading collaboration practices, and (2) take additional steps to ensure the information in the Research Hub is complete and accurate. DOT concurred with GAO's recommendations.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Office of the Assistant Secretary for Research and Technology | The Assistant Secretary for Research and Technology should take steps, such as updating guidance or other written communication, to ensure that the topical-research working groups (1) define and monitor progress toward achieving long-term outcomes, and (2) regularly update and monitor their charters and other written agreements to reflect these outcomes, in line with leading practices. (Recommendation 1) |
Closed – Implemented
DOT's research activities are critical to its mission to make the nation's transportation system safer and more efficient. The Consolidated Appropriations Act, 2014 created DOT's Office of the Assistant Secretary for Research and Technology (OST-R) that is responsible for facilitating collaboration related to multimodal and multidisciplinary research activities across the department and with external partners. In August 2020, GAO reported that DOT had multiple efforts to facilitate research collaboration both externally and internally, but in guidance to promote collaboration, OST-R did not incorporate all leading collaboration practices. Specifically, OST-R established topical-research working groups on 12 multimodal subject areas in October 2018 and issued accompanying guidance. This guidance incorporated some leading collaboration practices, such as directing working groups to identify leadership roles and relevant participants. However, the guidance did not incorporate two leading collaboration practices-defining and monitoring progress toward long-term outcomes and regularly updating and monitoring written agreements. While OST-R's guidance stated that working groups can consider longer-term outcomes, it did not direct groups to define or monitor them. OST-R guidance also recommended that working groups develop written agreements, specifically group charters, but the guidance did not direct the groups to regularly update or monitor them. Taking steps to ensure the working groups follow these practices could provide OST-R greater assurance that the groups collaborate effectively, better plan long-term research, and better position themselves to address future transportation challenges. As a result, GAO recommended that DOT take steps, such as updating guidance or other written communication, to ensure that the topical-research working groups (1) define and monitor progress toward achieving long-term outcomes, and (2) regularly update and monitor their charters and other written agreements to reflect these outcomes, in line with leading practices. In February 2024, GAO confirmed that DOT had established a standard operating procedure to facilitate communication and information exchange and improve coordination of working groups, including by ensuring that group members develop charters that define anticipated long-term outcomes and include a process for regularly reporting and monitoring progress. With this new operating procedure, DOT has strengthened its research collaboration to help ensure the guidance it provides to the working groups incorporates all leading collaboration practices, which in turn provides greater assurance that the groups coordinate their efforts effectively, better plan long-term research, and better position themselves to address future transportation challenges.
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| Office of the Assistant Secretary for Research and Technology | The Assistant Secretary for Research and Technology should take additional steps, such as providing more specific guidance or instructions to the modal administrations on the information that should be updated or required, to ensure that the information in the Research Hub is complete and accurate. (Recommendation 2) |
Closed – Implemented
DOT's research activities are critical to its mission to make the nation's transportation system safer and more efficient. The Fixing America's Surface Transportation Act required DOT to create a comprehensive database of all research projects conducted by the department. To fulfill this requirement, DOT maintains the Research Hub 2.0 database (the Research Hub), which is a public searchable database of active and completed DOT-funded research projects. In 2020, GAO reported that DOT had taken some steps to help ensure that the Research Hub contains complete and accurate information, as required by DOT's data management policy; however, data reliability issues remained. For example, as of July 2019-the latest available data at the time of GAO's analysis-36 percent of records in the database were missing research partners' contact information, hindering the research community's ability to obtain current project details. Without complete and accurate data, the Research Hub cannot fulfill its objectives, including to provide accurate information on DOT-funded research to Congress and the transportation research community. Taking additional steps to improve the reliability of the information-such as providing specific guidance and instructions to the modal administrations on how to improve the completeness and accuracy of the information they give DOT for the Research Hub-would help ensure the database is fulfilling DOT's intended purpose that it serve as a comprehensive and accurate source of information on the department's research portfolio. As a result, GAO recommended that DOT take additional steps, such as providing more specific guidance or instructions to the modal administrations on the information that should be updated or required, to ensure that the information in the Research Hub is complete and accurate. In 2022, GAO confirmed that DOT had developed and implemented a new department-wide system and process for research to help ensure the information in the Research Hub is complete and accurate going forward from fiscal year 2020. The system incorporates data validation steps to ensure accuracy and completeness before modal administrations post collected data to the Research Hub. DOT also developed updated guidance and instructions for the modal administrations related to its new system and process. By taking these steps, DOT is better positioned to help ensure the Research Hub is fulfilling its intended purpose to be a comprehensive and accurate source of information on the department's research portfolio.
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