Section 3: Project Proposals
Anchor: #i1001927Overview
Universities submit proposals to the Research and Technology Implementation Office (RTI) in response to a Request for Proposal (RFP). RTI does not accept unsolicited proposals.
RTI develops and distributes RFPs for both research and implementation projects. RFPs for research projects are based on approved Problem Statements and are distributed for competitive response. Implementation project RFPs are based on approved Implementation Project Recommendations (IPRs), and may be either competitive or non-competitive.
A proposal is basically an unsigned Project Agreement. Proposals are submitted in the format of Project Agreements to facilitate the process of going from a successful proposal to an executed agreement. The selected proposal on a project may need only signatures to become an executed Project Agreement. However, some successful proposals need some degree of revision before they are executed as Project Agreements.
Anchor: #i1001947Eligible Proposers – All Projects
Proposals are accepted only from Texas state-supported universities. Proposals that include partnerships with other entities will be considered only when the appropriate expertise is not available at a Texas state-supported university.
Proposals are not accepted that include any research team member with “seriously late” deliverables. Researchers not eligible to propose at the time of the annual research RFP remain ineligible for that entire program year, under both the research and implementation programs. They also may not be added to any active project. To manage this issue, RTI:
- tracks the status of deliverables due from universities, from initial submission to final publication or delivery,
- coordinates periodic reviews of the data with university staff to assure accuracy, and
- sends a list of researchers deemed ineligible under this policy to universities, before the proposal submission deadline for each annual RFP. The Research Supervisor of each project is held accountable for all late deliverables on the project.
Lateness is measured by the time a deliverable action has been due past the deadline established in the Project Agreement, for initial submissions, or a formal notice from RTI, during later stages of deliverable review, revision, and final production. For each program year, “seriously late” is defined as deliverable actions due on or prior to October 31, of the calendar year prior to distribution of the annual RFP, that are not submitted to RTI, in good faith, by the end of February, the next calendar year. For example, for the 2010 program year, “seriously late” would be defined as those deliverables with actions due on or prior to October 31, 2008 that are not submitted to RTI, in good faith, by the end of February 2009.
Anchor: #i1001982Eligible Proposers – “Underutilized” RFP
Some projects are set aside in each annual research program for an RFP to Texas state-supported universities classified as underutilized by TxDOT’s research program. RTI maintains data on university awards, and re-evaluates for each program year which universities meet this classification.
For this purpose, underutilized is defined as “active universities averaging less than 1% of total program awards for the previous 5 years.” Universities graduate from this category when they have exceeded that award level for 3 consecutive years.
As long as they are not otherwise considered ineligible, underutilized universities may propose, as the lead agency or a partner, on all competitively awarded projects. For projects in the “underutilized” RFP, proposals are accepted only with an underutilized university as the lead agency, and at least 50% of the project work, as represented by each university’s proportion of the total project budget, to be performed by an underutilized university(s).
Anchor: #i1002002Required Documents
The documents listed below are required in every proposal. If a proposal omits required information, and is deemed non-responsive, it will not be accepted for technical evaluation.
- Cover Page (if omitted, proposal will be deemed non-responsive),
- Exhibit A, Itemized Budget,
- Exhibit B, Project Description,
- Project Abstract,
- Background and Significance of Work,
- Implementation (optional section),
- Work Plan (if omitted, proposal will be deemed non-responsive),
- Identification of Information Technology (IT) Deliverables to TxDOT,
- Assistance or Involvement by TxDOT,
- Deliverables Table (if omitted, proposal will be deemed non-responsive),
- Schedule of Research Activities (if omitted, proposal will be deemed non-responsive), and
- Research Facilities and Personnel Data Sheet (if omitted, proposal will be deemed non-responsive).
If additional information is required for a specific project, that additional requirement will be stated in the Project Statement or Implementation Project Recommendation distributed in the RFP.
Each required document is discussed in general below, and in detail, along with the related forms, in RTI’s University Handbook.
Anchor: #i1002094Cover Page
The Cover Page is the foundation of each Project Agreement and is the signatory document in each final agreement. In summary, the Cover Page:
- identifies the project, including it’s classification as either research or implementation, annual program or independent project,
- identifies the parties to the agreement and sets out their basic obligations,
- incorporates CRIA provisions and attached exhibits into the agreement,
- establishes the term and budget for the project, and
- specifies how the notice of a university’s right to work each year will be sent by RTI.
Exhibit A, Itemized Budget
Each Exhibit A details a single year's budget for an agency, for that specific project. A separate Exhibit A is included for each performing agency on the project, for each year of the project. Each Itemized Budget should include the best estimates available for individual item costs. The total project costs on the Itemized Budget represent the contract amount between TxDOT and the performing agency. If there is a discrepancy between the line items and the total shown on Exhibit A, the total, as shown, is used during initial evaluation of the proposal.
During the project, a university may move funding from one cost item to another, or add cost items, within the Itemized Budget for the particular fiscal year, without modifying the Project Agreement, as long as total annual costs do not change.
However, adding certain cost items to a project budget, such as equipment purchases, subcontracts, and out-of-state travel, may require TxDOT approval prior to the expenditure of funds, as described in RTI’s University Handbook. Such approval may be documented in any written form, including, at the university’s option, on an updated Itemized Budget.
Anchor: #i1002151Exhibit B, Project Description
Project Abstract — summarizes the project need, objectives, and tasks. It should clearly and succinctly describe the project to everyone involved in evaluating the proposal, and is used in various project reporting databases.
Background and Significance of Work — limited to no more than 10 pages, this section:
- describes findings from a literature search and discusses related existing technology,
- demonstrates the researcher's understanding of the underlying principles involved, and
- outlines the researcher's approach to the problem.
Implementation — optional section that presents the researcher's assessment of potential areas for application of the research findings, such as changes in specifications, standards, or department policies.
Work Plan — fully describes the approach the researchers intend to use and specifies how the project will be structured and performed, showing how and in what sequence specific tasks will be accomplished. The Work Plan guides project work and is a valuable resource to all those connected with the project.
Identification of Information Technology (IT) Deliverables to TxDOT — describes all IT deliverables (software and hardware) that will be delivered to TxDOT during the project, or after it terminates. This information is required to meet state reporting requirements and to allow TxDOT to effectively plan for the implementation of IT deliverables.
Assistance or Involvement by TxDOT — describes any need for TxDOT assistance expected on the project, other than that normally provided by the Project Monitoring Committee. TxDOT assistance may include items such as core drilling, traffic control, testing, materials and supplies, minor IT services, providing data files, or maps. It does not include supplying significant items of equipment which must be purchased for the project. The cost of TxDOT assistance described here is not included in the university's budget. RTI makes provisions to cover these costs.
Deliverables Table — lists all deliverables anticipated or required from the project. Minimum deliverables required by TxDOT are shown on the Project Statement. Researchers may propose additional deliverables that they feel would enhance the value of the project.
Schedule of Research Activities — shows the tasks proposed to accomplish the project, along with an estimated schedule for completion, and the estimated percentage of the total project budget that each task represents.
Anchor: #i1002211Research Facilities and Personnel Data Sheet
This information is required to be attached to each proposal. It is used only during the evaluation of proposals, and does not become part of the Project Agreement.
Anchor: #i1002221Required Format for Submission
Current Forms — Proposals should be submitted on current RTI forms. These forms are distributed to university liaisons as they are updated, and with each annual RFP.
Media — All proposals are required to be submitted in PDF format, 1 file per proposal. The PDF file may be submitted via email if the file is small enough to pass through TxDOT’s email gateway (limited to 15 megabytes). It may also be submitted on a CD. At the university’s option, a single hard copy of the proposal may be sent to RTI, in addition to the PDF file. The PDF copy of each proposal is distributed for review by each Project Monitoring Committee.
Anchor: #i1002236Meeting the Deadline
Timeframe — The date and time that proposals are due is set by RTI and is displayed prominently in the RFP instructions. The deadline is also included on each Project Statement. Proposals are not accepted after the published deadline.
Responsibility for Timely Delivery of Proposals — The responsibility for ensuring the timely arrival of each proposal at RTI rests with the university. Failure of email or fax equipment, the post office, or courier service will not be reasons for acceptance of a proposal after the date and time established. No exceptions will be made.
RTI provides confirmation, via email reply, for proposals received by email, within 1 day of receipt of the proposal. TxDOT’s email system does not provide for an automated receipt, nor does it reply to messages sent to non-existent email accounts.
Delivery Methods and Locations — The acceptable methods and addresses for delivery of proposals are included in the RFP instructions distributed by RTI. Proposals must be received before the deadline at one of these addresses to be accepted.
Important Notes About Electronic Submission — FAX submissions attempted close to the deadline may fail due to a busy signal at RTI, and will not be accepted unless successfully received in RTI before the deadline. Email submissions will be accepted if RTI can obtain documented evidence that a proposal was sent to the correct email address and was received by TxDOT’s Internet mail server before the deadline.