Section 2: Personnel Responsibilities
Anchor: #i1002559Research Oversight Committee
Composition:
- Chair and Vice-Chair, appointed by the TxDOT Executive Director,
- Chairs of each Research Management Committee (RMC),
- Director, Bridge Division,
- Director, Construction Division,
- Director, Design Division,
- Director, Finance Division,
- Director, Government and Public Affairs Division,
- Director, Information Systems Division,
- Director, Maintenance Division,
- Director, Traffic Operations Division,
- Director, Transportation Planning and Programming Division,
- Director, Research and Technology Implementation Office,
- Director, Training, Quality and Development Section, Human Resources Division, and
- FHWA representative, appointed by the FHWA Division Administrator.
Responsibilities:
The Research Oversight Committee:
- recommends research and implementation policy to the Executive Director. The ROC meets during the year as necessary, at the discretion of the ROC chair, for this purpose.
- meets after the fall RMC meetings to:
- review and approve new implementation projects, and
- discuss research and implementation program procedures, policies, or other research business,
- meets after the spring RMC meeting to:
- select research projects for funding from among nominations from all RMCs, if required, using a ROC funding allocation,
- set the contingency account funding for the next fiscal year,
- consider adjustments in the RMCs’ basic annual budgets,
- review and approve new implementation projects, and
- discuss other research business,
- reviews and approves research projects during the year which are recommended to be funded from the research contingency account.
The ROC chair:
- reviews and approves new research and implementation projects arising between ROC meetings, and
- approves all sole-source selections of universities. These are research or implementation projects where competitive proposals are not requested, but, instead, a uniquely qualified research agency (university) is selected to perform the project.
Information Resource Council (IRC)
General Responsibilities:
The Information Resource Council is an executive committee of TxDOT that:
- sets information technology (IT) strategic direction and policy,
- authorizes and re-authorizes all other TxDOT IT standing committees, and
- meets quarterly (or at the call of the chairperson) to review, approve, and prioritize IT projects.
Research-Related Responsibilities:
- reviews research project statements and implementation project recommendations with IT deliverables, as determined necessary by department procedures, and
- approves IT deliverables based on cost and impact on the department, as described in the department’s IT policies and procedures, before the project begins.
Research Management Committees (RMCs)
Composition:
- Each RMC consists of a chair, a vice chair, and individual members.
- Members are selected by, and serve at the discretion of, the Executive Director or designee. Each appointment to the RMCs is made or approved by the ROC chair.
- RMC chairs are district engineers and normally serve at least a two-year term. New chairs should have served on the RMC for at least one year prior to appointment as chair. RMC chairs who desire to terminate their chairmanship should contact the ROC chair with a courtesy copy to RTI.
- RMC vice chairs are district engineers selected by the ROC chair.
- Each district engineer normally serves three years on a particular RMC before rotation. District engineers occasionally serve longer terms on an RMC, particularly those serving as the chair during their term.
- Division, office, and district staff RMC members serve on the RMC until removed or replaced by the ROC chair. RMC members who desire a change in membership status should contact the ROC chair with a courtesy copy to their RMC chair and to RTI.
- Recommendations for changes or additions to RMC membership should be made by the RMC chair to the ROC chair. A courtesy copy should be provided to RTI.
Responsibilities of Each RMC:
- provides program oversight for
one area of research, as follows:
- RMC 1 – Construction, Pavements, and Maintenance,
- RMC 2 – Transportation Planning,
- RMC 3 – Geometric Design, Right of Way, Environment, and Hydraulics,
- RMC 4 – Traffic Operations, and
- RMC 5 – Structures,
- maintains and updates a Long-Range Research Plan (LRRP), with input from the Technical Assistance Panel (TAP), (see chapter 3),
- develops annual programs of research in their area of research,
- provides program and project oversight by their members:
- serving as Program Coordinators (PCs) of LRRP goals, objectives, or projects,
- developing project statements and reviewing project statements submitted by the TAPs,
- reviewing and selecting proposals submitted by the universities in response to a project statement,
- attending Research Management Committee meetings,
- appointing Project Directors, and
- providing feedback, as necessary, regarding project progress and direction,
- ensures and encourages implementation by:
- assisting in tracking delivery of products from research projects,
- encouraging adoption of new materials and techniques for TxDOT use, and
- encouraging the D/D/Os to engage in pilot projects to
demonstrate new research findings.
NOTE: Funding may be requested from the implementation program to offset costs of placing innovations into daily TxDOT operations.
Technical Assistance Panels (TAPs)
Composition:
- The chair of the TAP will be a TxDOT employee.
- The size of the panel is determined by the RMC chair and should have no more members than necessary.
- Panel members may be solicited from TxDOT, academia, and FHWA. (The ROC chair may approve members from local governments, private industry, trade groups, etc., on a specific-need basis. Private industry members will be selected, whenever possible, from trade groups rather than individual companies to provide an industry-wide perspective, and prevent providing advantage to one company over others.)
- Panel membership includes representation from any interested Texas state-supported university.
- Panel membership includes an ISD representative. The ISD TAP member will assist the TAP in developing project statements containing IT deliverables, and when necessary will assist the Project Director in obtaining an ISD Project Advisor.
- Membership on a TAP is voluntary and is approved by the RMC chair.
Responsibilities of each TAP:
- provides technical support and assistance to the respective Research Management Committee (RMC),
- assists the RMC in identifying and refining Long-Range Research Plan (LRRP) goals and objectives,
- assists the RMC by preparing, reviewing, rewriting, and combining project statements for review at the fall RMC meeting,
- provides expertise from the various disciplines in technical matters, and
- identifies project statements containing Information Technology
(IT) deliverables, and provides initial coordination with ISD as
these project statements are developed.
NOTE: RTI may provide funding for TAP member travel and other associated costs. Travel costs are subject to state reimbursable limits. Private industry TAP members are ineligible for reimbursement of travel and other expenses.
Project Monitoring Committee (PMC)
Composition:
A Project Monitoring Committee is appointed for each research project and is composed of:
- Project Director, who chairs the PMC,
- Program Coordinator,
- selected Project Advisors, and
- RTI research engineer assigned to the RMC under which the project is funded.
Members of the PMC are expected to avoid conflicts of interest. Should a conflict of interest arise, a Project Advisor should notify the Project Director and remove themselves from deliberations involving the issue giving rise to the conflict of interest. If the Program Coordinator, Project Director, or RTI research engineer has a conflict of interest, they should notify the RTI Director.
Anchor: #i1003017Research and Technology Implementation Office (RTI)
Responsibilities:
- coordinates and administers the research and implementation programs and other TxDOT research-related activities, and
- supports a team of employees throughout TxDOT who serve
as:
- Research Oversight Committee members,
- Research Management Committee members,
- Technical Assistance Panel members,
- Program Coordinators,
- Project Directors,
- Project Advisors, and
- Implementation Directors.
RTI Director
Responsibilities:
- executes new Project Agreements after RMC or ROC approval,
- executes modifications to Research Project Agreements upon RMC approval, and
- executes modifications to Implementation Project Agreements under the conditions described in Chapter 6, Section 3, under “Modifications to Implementation Contracts”.
RTI Research Engineer
The research engineer is directly responsible for the development of TxDOT’s annual research and implementation programs under their respective RMC. In doing so, the research engineer provides leadership to a large statewide group of transportation professionals from Universities and TxDOT to assure that immediate and future needs of the department are addressed.
At the project level, the research engineer is very active in the conduct of research and implementation activities, and strongly supports the efforts of the Research Supervisor and Project Director. Further, to maximize program efficiency and effectiveness, the research engineer maintains close communication and coordination with the Research Supervisor and Project Director throughout the life of the project. These reciprocal coordination and communication efforts are critical elements in contributing to successful research and implementation. Figure 2.1 depicts the triangular linkages and functional relationships that should exist between the research engineer, Project Director, and Research Supervisor.
Figure 2-1. The Communication and Coordination Linkages on a TxDOT Research Project
Responsibilities:
- serves as a member of the Technical Assistance Panel and Research Management Committee,
- serves as a member of each Project Monitoring Committee under their RMC,
- serves as a resource for PCs, PDs, RSs, and IDs in fulfilling their research and implementation program responsibilities. The research engineer provides technical insight and advice to PCs, PDs, and IDs. Other technical assistance is provided upon request.
- assists the RMC Chair in:
- preparing RMC meeting agendas,
- coordinating with PDs and researchers for projects to be presented at RMC meetings,
- selecting top innovations, Research Supervisors (RSs), and PDs for recognition,
- approving or coordinating research and implementation projects and activities, and
- preparing for ROC meeting presentations, as applicable, and
- provides an element of independent quality assurance for
work provided under the research and implementation programs by:
- monitoring progress and quality of work on research and implementation projects,
- providing the PD with assessments of project direction and quality, as required, and
- communicating serious concerns with project direction
or quality with the PC, when necessary.
NOTE: The RTI research engineer does not give direction to researchers concerning project activities or otherwise supplant the PD as director of the research or implementation project.
In developing the project, the RTI research engineer:
- meets and works with the TAP in developing Project Statements that address all priority research needs of the department,
- provides an information link to national research efforts,
- assists the PD and PC in refining Project Statements,
- identifies qualified PDs and PAs for PC consideration, upon request,
- reviews proposals and provides comments to the PC, and
- assists the PC and PD in scheduling pre-proposal and project kick-off meetings, as requested.
During the course of the project, the RTI research engineer:
- attends the PMC meetings,
- visits universities and field test sites to view work in progress, reporting observations as necessary to keep the PD fully informed,
- reviews semi-annual reports, providing input to the PD,
- reviews requests for project modifications, providing input to the PD, and recommendations to the PC, and
- assists the PC and PD in all other technical areas, as requested.
After project completion, the RTI research engineer:
- reviews reports and products and provides comments to the PD and/or PC,
- assumes responsibility for deliverable review and approval in cases where the PD is unable to provide review comments by established deadlines,
- assists in preparing an Implementation Project Recommendation, when applicable,
- participates actively in implementation activities, when appropriate, and
- maintains implementation status records of research products.
The RTI research engineer may also serve as a PC or PD, to a limited extent. To maintain adequate capacity to help effectively manage and guide the program in their RMC, these assignments are limited to one PC role and one PD role per fiscal year program.
Anchor: #i1003303Program Coordinator (PC)
Assignment:
The Program Coordinator is a member of a Research Management Committee (RMC) who is assigned by that RMC to monitor and coordinate research under a specific subject area.
Responsibilities:
In developing and maintaining the long-range research plan, the Program Coordinator:
- reviews recommendations from the Technical Assistance Panel (TAP) and recommends to the RMC revisions to plan elements, and
- maintains close coordination with other PCs, where plan elements are closely related, to ensure coordinated and complementary research, and to prevent duplication of work,
In developing the research project, the Program Coordinator:
- nominates a Project Director (for RMC concurrence) for the project and assists the PD in selecting Project Advisors, or PAs, if needed for project management,
- ensures that the Project Monitoring Committee represents all the expertise required to ensure proper project monitoring and successful completion,
- meets with the PMC to (1) develop the project statement in accordance with the direction given by the RMC, or to (2) review the existing project statement and revise as necessary,
- attends optional pre-proposal meeting with the prospective researchers, PD, and PAs, and
- reviews proposals (with PD and PA assistance) and provides a recommended selection to the RMC for final approval.
During the course of the research project, the Program Coordinator:
- assists the Project Director (PD) as needed in monitoring and guiding the research project to assure that the objectives envisioned by the RMC are obtained,
- attends, along with the PD, a project kickoff meeting with the PAs and the researcher,
- reviews the Research Supervisor’s semi-annual progress reports,
- receives input from RTI staff regarding quality or direction of work under the research project, as necessary,
- provides feedback to the PD, as necessary, regarding project progress and direction,
- assists and supplements, as needed, the PD’s report on project status to the Research Management Committee at the RMC meetings,
- reviews project modifications and provides recommendations to the RMC.
After project completion, the program coordinator assists in implementing research products by:
- reporting an implementation status at RMC meetings,
- assisting in developing any required Implementation Project Recommendation (IPR) for the research project, and
- becoming a champion for products from the research project.
NOTE: The PC has no authority to act unilaterally on behalf of the RMC in approving new or modified research work or funding. The RMC may not delegate its authority for program development or approval to an individual PC.
Project Director (PD)
Assignment:
The PD is a TxDOT employee nominated by the Program Coordinator, based on their expertise and interest in the project. The PD is responsible for obtaining permission to serve from their organization. An individual may serve as PD on a maximum of two active research projects unless otherwise approved by the RTI Director.
In the case of an in-house research project, the PD may also be the Research Supervisor.
In a joint project (where TxDOT and a university jointly pursue research under the supervision of the university) the TxDOT researcher may not serve as the PD, since that person’s role as researcher under the supervision of the university Research Supervisor would conflict with the project oversight role of the PD.
Responsibilities:
In developing the research project, the PD:
- selects Project Advisors if needed, with assistance from the PC,
- ensures that a member of the appropriate D/D/O under whose purview the products of the project will fall (the OPR) is represented on the PMC,
- coordinates with the ISD TAP member to obtain an ISD Project Advisor to serve on the PMC, if the project contains any IT deliverables,
- meets with the PMC to develop the project statement, as needed,
- attends the optional pre-proposal meeting with prospective researchers, PC, and PAs,
- reviews proposals and provides recommendations to the Program Coordinator, and
- is ultimately responsible for obtaining approvals for IT components of the project.
During the course of the research project, the PD:
- coordinates with, and includes the RTI research engineer in all project communications and meetings,
- serves as chair of the Project Monitoring Committee (PMC),
- oversees and directs the project on behalf of the RMC, in coordination with the PC and RTI research engineer,
- conducts, along with the PC, the project kickoff meeting with PAs and researchers,
- maintains close coordination with the Research Supervisor and RTI research engineer throughout the course of the project,
- ensures that researchers follow the approved work plan of the Project Agreement and remain focused on delivering the products listed in the Project Agreement,
- reviews the Research Supervisor’s semi-annual progress reports and responds to RTI’s request for a semi-annual review of the project,
- delivers a formal report to the Research Management Committee (RMC) on project status at RMC meetings, when requested,
- reviews copies of project billings provided by RTI, in accordance with instructions provided with each billing,
- requests, reviews, and recommends to the PC on approval of project modifications,
- reviews and recommends RTI approval of researchers’:
- out-of-state travel requests,
- equipment purchases,
- changes in the research team,
- surveys and questionnaires,
- subcontracts, and
- attendance at non-TxDOT meetings and conferences,
- conducts periodic meetings with the PAs and researchers to review progress and deliverables development,
- reviews research reports and project products and recommends approval or other action to RTI, and
- if the project contains IT deliverables, works with the
ISD Project Advisor to:
- update and resubmit, as necessary, a project’s IT documentation through the OPR to the Information Resource Council (IRC),
- ensure that IT deliverables identified by the ISD Project Advisor are developed to meet TxDOT business and technical requirements and standards.
After project completion, the PD:
- recommends to the RTI research engineer products for implementation and assists in development of the Implementation Project Recommendation (IPR), and
- assists the implementation director (ID) in providing direction and oversight of any project implementation activities undertaken as a result of an IPR.
Project Advisors (PAs)
Assignment:
Project Advisors are selected by the PD and PC to provide additional needed expertise to a research project. PAs are responsible for obtaining permission to serve from their organization. They may be selected from:
- TxDOT (ensuring that the Office of Primary Responsibility is represented),
- Federal agencies,
- state, county, and municipal bodies,
- private trade groups (preferred over representatives from specific companies),
- universities, and
- other organizations.
It is important that appropriate Project Advisors be chosen for a project. Individuals with expertise and responsibilities critical to project success and later implementation should be on the PMC. This includes, as a minimum, a representative from the TxDOT Office of Primary Responsibility (OPR) for expected products and under whose purview the implementation will be accomplished. Also, if the project includes any IT deliverables, ISD will be given the opportunity to include an ISD Project Advisor on the PMC.
RTI will review Project Advisors selected for new projects and will work with the PD to adjust PMC membership if needed.
Responsibilities:
In developing the research project, the PAs:
- assist and advise the PD and PC in developing the project statement,
- assist and advise the PD and PC during the project pre-proposal meeting, and
- review proposals and provide comments to the PC and PD, when requested.
During the course of the research project, the PAs:
- assist and advise the PC and PD during the project kickoff meeting with the researcher,
- assist the PD, as needed, in conducting the PD’s semi-annual project review,
- assist the PD, as needed, in preparing the PD’s formal project presentation to the Research Management Committee,
- attend RMC meetings, when requested to do so by the PD, to assist with project review or presentation, and
- review project modifications and provide comments to the PD.
After project completion, the PAs:
- review research reports and other deliverables and provide comments to the PD, and
- assist in implementation of project results, as needed.
Information Systems Division Project Advisor
Assignment:
The Information Systems Division Project Advisor is an ISD employee with experience in department policies and procedures relating to the development and implementation of information technology (IT) projects. The ISD TAP member assists the PD in obtaining an ISD Project Advisor when necessary.
Responsibilities:
The Information Systems Division Project Advisor:
- serves on the project’s Project Monitoring Committee,
- advises research project personnel on a wide range of IT matters,
- assists the PD and RTI in obtaining ISD approval of projects which contain IT deliverables prior to project activation,
- assists in the development of IT deliverables and products, and
- assists the PD in the development of IT documentation
for those projects which include IT deliverables.
NOTE: On most research projects, the planning documentation for IT deliverables will be contained in the Project Statement and the executed Project Agreement. These documents will encompass information generally contained in the Information Resource Request (IRR) and Project Management Plan (PMP) discussed in TxDOT’s IT procedures. On select projects, generally depending on the impact the IT deliverable is expected to have on TxDOT, a formal IRR and/or complete PMP may be needed. This will be determined by the ISD Project Advisor, in concert with the Project Director.
Information Systems Division (ISD)
Research-Related Responsibilities:
- provides, through the ISD TAP members and Project Advisors, consultative services on a wide range of IT matters and assistance in the preparation and approval of IT deliverables under the research and implementation programs,
- reviews and provides comments in response to documentation prepared in connection with research project statements and implementation project recommendations, and forwards them to the Information Resource Council (IRC) for the next stage of approval, and
- incorporates information submitted by RTI, relating to research and implementation projects, into the department’s Information Resources Strategic Plan (IRSP) and other required reports.
Office of Primary Responsibility (OPR)
Assignment:
The OPR will be the district, division, or office (D/D/O) under whose purview the implementation of the results from a research project falls.
Responsibilities:
- secures Information Resource Council (IRC) approval of a project’s IT deliverables, as required by TxDOT IT policies and procedures.
Implementation Director (ID)
Assignment:
The ID is nominated by RTI in consultation with the PD. The ID normally served as a Project Advisor representing the Office of Primary Responsibility, or was the PD on the research project. The ID should be the person in TxDOT best suited, through expertise and interest, to see that prompt implementation is successful. The ID is responsible for gaining approval to serve from their organization.
Responsibilities:
- develops, or assists the RTI research engineer and/or PD in developing, Implementation Project Recommendations (IPRs) that outline implementation strategies for the products to be implemented,
- oversees and directs the implementation of the products in accordance with the plan outlined in the approved IPR, and
- directs any university activities related to product implementation.
Research Supervisor (RS)
Assignment:
The Research Supervisor (RS) is the person assigned by a university or research agency (or the lead university or research agency in a joint project) to supervise a research project. The RS is an employee of the university (or other research agency) conducting the project, and must operate under the direction and authority of that agency.
NOTE: One or more researchers (at several universities) may assist in conducting a project. However, each project will have only one Research Supervisor (RS), who has primary responsibility to TxDOT for the conduct and completion of the project.
Responsibilities:
- develops the project proposal or modification based on RTI’s written request,
- attends the project kickoff meeting with the TxDOT PMC,
- supervises the project and ensures that it is conducted according to the project agreement, including the work plan,
- directs other research personnel working on the project,
- maintains continuous communication with the PD,
- coordinates with, and includes the RTI research engineer in all project communications and meetings,
- provides semi-annual reports on research progress in accordance with the schedule and format established by RTI,
- presents project status and/or research findings at semi-annual RMC meetings when requested to do so by RTI or the RMC chair,
- reports the project’s problems and successes to the PD,
- documents the project and provides required deliverables in a timely manner, and
- assists in the implementation and demonstration of project results.
Change in Research Supervisor (RS)
A change in the project’s Research Supervisor is to be formally submitted to RTI for approval in the form of a project modification. The modification should identify the recommended replacement and be accompanied by the replacement’s biographical data (as an attachment to the modification). RTI will seek approval for the replacement from the project’s PD and PC and respond to the research agency.
Principal Investigator (PI)
Principal Investigator is a term used by many universities to designate the lead researcher at the university on a research project. Participating universities in a joint project may each designate a researcher as PI or co-PI, as the university’s professional standards dictate. However, the PI designation is valid only within the university. If the university is the only university on the project, or is the lead university in a joint project, the PI is referred to by TxDOT as the Research Supervisor (RS).
Research Supervisor (RS) for Joint Projects
On projects where multiple universities are involved, one university will serve as the lead university, and that university’s PI (Principal Investigator) will be the RS for the entire project. Each participating university, for their own purposes, may identify persons as PIs on the project (or as co-PIs). From TxDOT’s standpoint, however, they are designated as Researchers. The RS has overall project authority and primary responsibility to TxDOT for ensuring that the project is well coordinated and is conducted in accordance with the project agreement.
Anchor: #i1004002University Administration / Liaison
Assignment:
Each university with which TxDOT executes a Cooperative Research and Implementation Agreement names a central point of contact to handle program communication and administration. This contact is an individual designated as the University Liaison.
Responsibilities:
- coordinates all research and implementation program matters between the university and RTI,
- ensures the timely execution of research and implementation agreements,
- ensures that all deliverables, contracts, and other required submissions to RTI meet required standards,
- ensures the timely submission of:
- proposals,
- modifications, and
- other project agreements requested by RTI,
- distributes RTI’s requests for semi-annual progress reports to the Research Supervisors and ensures their timely submission,
- ensures the timely submission of all project reports and products,
- coordinates and ensures the timely completion of general
administrative tasks such as:
- billings,
- approvals for travel,
- procurements, and
- subcontracts,
- coordinates, as necessary, the efforts of university TAP members and ensures the submission of project statements in accordance with the requirements and schedule set by RTI, and
- ensures that all the above coordination and communication
with TxDOT is accomplished through RTI unless otherwise stipulated
in this manual.
NOTE: Although RTI coordinates all program matters through the liaison, TxDOT Project Directors have direct access to, and coordinate and communicate with, university Research Supervisors and technical staff on project matters.