	Coordination and Evaluation of RD&T Activities Help Promote Efficient and Effective Use of Federal Research Funds

Coordinating and evaluating research are important elements in ensuring  federal dollars are used efficiently and effectively. RITA is responsible for  coordinating and reviewing the DOT operating administrations’ RD&T  activities so that (1) no unnecessary duplication takes place and (2) the  activities have been evaluated in accordance with best practices. The committee recommended establishing a formal process to  coordinate research across agencies. While this recommendation is  focused on cross-agency research, the goals—enhancing collaboration,  ensuring that questions are explored, and reducing inefficiencies—are  important and applicable within agencies as well. In addition, the committee noted that evaluating research against  established performance measures in agency strategic plans, developing  measures that are appropriate for the type of research being developed,  and using expert reviews aid in assessing the quality of the research. Such choices are even more  important in today’s climate of expected trillion-dollar deficits. RITA Has Made Progress in Improving Its Coordination, Review, and Performance Measurement of DOT’s RD&T Programs

In 2006, we made seven recommendations to enhance RITA’s ability to  manage and ensure the effectiveness of RD&T activities, including  developing strategies for coordinating and reviewing RD&T activities and  developing performance goals and measures. (See table 1.) RITA has  implemented five of our recommendations and is making progress on  implementing the remaining two. According to a RITA official,  results of these reviews have identified several areas for cross-modal  collaboration, including climate change, freight capacity, security,  alternative energy technologies, and advanced materials and sensors. RITA also developed a strategy to ensure that  the results of all DOT’s research activities are evaluated according to  established best practices. Establishing RD&T project databases. Communicating evaluation efforts. Secondly, RITA developed a summary of the results of  its fiscal year 2005 and 2006 research program reviews, and a schedule of  RITA’s planned fiscal year 2007 reviews, and included it in DOT’s  “Research, Development and Technology Annual Funding Fiscal Years  2006-2008, A Report to Congress.” This report also includes summaries of  research program evaluations conducted by modal research advisory  committees, the Transportation Research Board, and key modal  stakeholders in fiscal years 2006 and 2007. RITA Has Not Yet Developed an Overall Implementing Strategy, Evaluation Plan, or Performance Measures

Establishing performance goals. In 2006, we found that RITA lacked  performance goals and an implementing strategy and evaluation plan to  delineate how the activities and results of its coordination, facilitation, and  review practices will further DOT’s mission and ensure the effectiveness  of the department’s RD&T investment. Linking performance goals with the planning and  budget process, such as DOT’s annual budget process, can also help RITA  determine where to target its resources to improve performance. According to RITA  officials, RITA has partially implemented our recommendation that it do  so. Once representatives from each operating  administration have had the chance to share information, RITA officials  will then look for commonalities and determine whether any of the  measures could be adopted for the department’s RD&T activities. We will continue to monitor  RITA’s performance in implementing our recommendations.
Why GAO Did This Study

Research, development, and technology (RD&T) activities are vital to meeting the Department of Transportation's (DOT) priorities, such as increasing safety, enhancing mobility, and supporting the nation's economic growth. In fiscal year 2008, the department's RD&T budget totaled over $1.1 billion, primarily for highway and aviation projects. Over the years, concerns have been raised about DOT's capabilities to improve RD&T coordination and evaluation efforts across the agency. In 2004, Congress created DOT's Research and Innovative Technology Administration (RITA) to coordinate and review the department's RD&T programs and activities for the purposes of reducing research duplication, enhancing opportunities for joint efforts, and ensuring RD&T activities are meeting goals. In 2006 GAO reported that RITA had made progress toward these ends, but needed to do more. GAO's testimony focuses on (1) the importance of coordinating and evaluating RD&T activities and (2) RITA's progress in implementing GAO's 2006 recommendations. GAO's statement is based on its 2006 report, a review of best practices for coordination and evaluation, and follow-up discussions with RITA officials on actions to implement GAO's recommendations. GAO did not assess whether RITA's actions have improved the effectiveness of the department's RD&T investment.

What GAO Found

Coordinating and evaluating research are important elements in ensuring that federal dollars are used efficiently and effectively. Coordinating research enhances collaboration, ensures that questions are explored, and reduces inefficiencies, such as from duplication of research. Evaluating research activities entails comparing research with established performance measures in agency strategic plans and using expert reviews to assess the quality of the research. With DOT's large RD&T budget--over $1.1 billion--coordination and evaluation are critical to making cost-effective investment choices in today's climate of expected trillion-dollar deficits. RITA has fully implemented five recommendations that GAO made in 2006 aimed at enhancing RITA's ability to manage and determine the effectiveness of RD&T activities, and partially implemented the remaining two. (See table below.) Regarding implemented recommendations, most notably, RITA has implemented a strategy to coordinate RD&T activities and look for areas where joint efforts would be appropriate. Results of its coordination efforts have identified a number of areas for cross-modal collaboration, including the areas of climate change and freight capacity. RITA has also developed a strategy to ensure that the results of DOT's research activities are evaluated against best practices, using governmentwide guidance and external stakeholder reviews. Regarding partially implemented recommendations, RITA has not yet developed an overall strategy, evaluation plan, or performance measures that delineate how its activities ensure the effectiveness of the department's RD&T investment. However, it has developed a process for doing so. In this regard, RITA plans to use an existing departmentwide strategic planning and budget process and collaborative meetings to develop an overall strategy and performance measures. RITA officials expect that it will fully implement activities related to this recommendation by 2012. GAO will continue to monitor RITA's activities.