Section 3: Research Cycle Procedures
Anchor: #i1003540July 1
RTI requests research needs from D/D/Os, TAPS, and universities. (Due August 7)
- RTI issues a call to TxDOT districts,
divisions, and offices (D/D/Os), RMC Technical Assistance Panels
(TAPs), and Texas state-supported universities for project statements.
- D/D/O Project Statements – These project statements enable the D/D/Os to advise the Research Management Committees (RMCs) of their local research needs. D/D/Os may submit project statements in any form or format. The TxDOT submitter is encouraged to consult the Research Project Statement form to better understand the information that will ultimately be needed for a completed project statement.
- TAP Project Statements – The request to the TAPs for project statements serves as a reminder to the TAP chair to schedule any TAP meetings needed to discuss research needs, review their Long-Range Research Plan (LRRP), and begin development of project statements. TAP project statements should be developed according to the format and procedures described in the Research Project Statement form unless another format is specified in RTI’s request.
- University and Other Project Statements – FHWA and university members of the TAP provide a vehicle for project statement input from their respective organizations. The project statements from universities and other non-D/D/O submitters should be developed according to the format and procedures described in the Research Project Statement form unless another format is specified in RTI’s request.
RTI requests semi-annual reports from university and in-house Research Supervisors. (Due August 1)
- Semi-Annual Progress Reports are made on a prescribed form, using the submission method specified in RTI’s request. These reports are generally required in both hard-copy and electronic formats.
- Semi-Annual Progress Reports due at this time of the year
include, among other items, discussion of:
- proposed changes in the project duration, personnel, overall funding, work plan, or deliverables table,
- equipment purchased during the period covered, along with evidence of inclusion in the university’s inventory records,
- progress on the project to date, by task, as shown in the current work plan,
- progress on the development of “product” deliverables, as shown in the current deliverables table, and
- whether the project should be considered for presentation at the next RMC meeting.
July 1 – August 7
Research needs are identified and developed.
Anchor: #i1003626August 1
Semi-annual reports are due to RTI.
- Semi-Annual Progress Reports, as described above, are due from both university and in-house Research Supervisors.
- In the case of a joint project, the project’s Research Supervisor, typically from the lead university, is responsible for submitting a semi-annual report that covers activities at all institutions involved in the project.
August 7
Project statements and other research needs from D/D/Os, TAPs, and universities are due to RTI.
- Project statements may also be received from FHWA or local agencies.
- All project statements and research needs for the annual research program that will begin September 1, two years following, are due at this time.
- Project statements and research needs submitted before the formal July call, generally from RTI’s intranet site, are combined with those received in response to the July call.
RTI sends semi-annual reports, received from university and in-house Research Supervisors, to PMCs. (PD response due September 1)
- RTI requests that the PD review
each report and provide to RTI and the PC:
- comments on proposed changes to Deliverables Tables, and
- recommendations on proposed project extensions or other modifications, along with justification for each extension or modification supported by the PD.
- RTI requests that the PD advise RTI if a project should be formally presented at the next RMC meeting.
- RTI requests that PCs and PAs review each report and provide their comments to the PDs, in time for the PDs to include PC and PA comments in their response to RTI.
August 15
RTI sends project statements and research needs to RMC and TAP chairs for review and/or rewrite.
- After receiving the project statements, TAP committees finalize and prioritize project statements for presentation at the fall RMC meeting.
- Consulting as necessary with the person who submitted the research need, the TAP also develops project statements for those research needs that are submitted in other formats, or without all the necessary information.
September 1
PD responses on semi-annual reports are due to RTI.
PD responses are due to both RTI and the PC for each project, covering those items mentioned above, and described more specifically in instructions RTI sends to PDs and PCs along with their semi-annual reports.
Anchor: #i1003733September – October 15
TAP meetings are held to review, rewrite, and prioritize project statements, and other TAP activities take place.
- Taking into consideration the priority directions established at the previous spring RMC meeting, the TAPs develop, review, rewrite, combine, and prioritize project statements and research needs as necessary for presentation to the RMCs at the fall meeting.
- TAPs pay particular attention to research needs submitted by D/D/Os. They work closely with D/D/O submitters to ensure that D/D/O research needs are correctly developed into project statements. TAPs are required to provide or present all D/D/O research needs to the RMC, regardless of the priority determined by the TAP.
- TAP chairs coordinate with their RMC chairs during this period, including reviewing project statements with the chairs, and discussing the method to be used for TAP presentations at the fall RMC meetings.
- TAP members begin to work on project statement presentations for the RMC meeting.
- TAPs also identify any research needs that they feel are candidates for a national research program (such as a pooled fund project or NCHRP project).
- The Information Systems Division (ISD) TAP member identifies project statements with information technology (IT) deliverables and provides an ISD Project Advisor to assist in the development of the project statement.
- The ISD Project Advisor determines approval requirements
and the need for additional deliverables, according to TxDOT’s
IT policies and procedures.
NOTE: On most research projects, the planning documentation for IT deliverables will be contained in the Research 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 is determined by the ISD Project Advisor, in concert with the Project Director.
October 15
RTI sends advance meeting materials to RMCs, including project statements.
- RTI, or that RMC’s TAP chair, sends project statements that will be considered at the fall meeting to RMC members.
- RTI may also send the following types of information in
advance of the meeting:
- information on available research funding,
- status reports on all active research projects,
- implementation status reports for research products, and
- an initial ballot showing all project statements submitted to RTI.
November – first week
Research Management Committee (RMC) fall meetings are held.
- Research Supervisors and Project Directors give presentations on existing projects, as scheduled by the RMC chair.
- TAPs present recommendations for new research to the RMCs. All D/D/O research needs are reviewed, regardless of the priority assigned by the TAPs.
- Active research projects are discussed using the project status information provided by RTI. Those projects that are scheduled to continue into the next fiscal year are considered for tentative approval. (Final RMC approval will be considered at the spring RMC meeting.)
- Funding for those continuing projects which are tentatively approved is deducted from the total funds available. The remaining funds are available for new projects or extensions (or other modifications) to existing projects.
- PCs review with the RMC the status of the development and implementation of products to be delivered from research projects.
- PCs recommend research products and other implementation activities for which Implementation Project Recommendations (IPRs) should be developed for presentation to the ROC.
- Each RMC, in Executive Session:
- discusses and ranks project statements presented by the TAP,
- within the constraints of remaining funds, selects new projects for the next Request for Proposals (RFP), from priority plan elements, TAP project statements, and D/D/O research needs, and
- conducts other business as needed.
November – December 15
Project Monitoring Committees (PMCs) are formed and project statements are refined. (Due to RTI December 15)
- Program Coordinators (PCs) nominate Project Directors (PDs) for new research projects. Nominated PDs get approval to serve from their respective organizations.
- PCs and PDs nominate Project Advisors (PAs) as additional needed expertise is identified. Nominated PAs get approval to serve from their respective organizations.
- For projects with IT deliverables, the PMC includes an ISD Project Advisor.
- The PC or PD provides the PMC membership to RTI, preferably on the completed project statement.
- PCs (with PD and PA assistance) develop or refine project statements. Project statements are developed according to the procedures described in the Research Project Statement form.
- PCs submit their final project statements to RTI by December 15.
Early December
Research Oversight Committee (ROC) meeting is held.
- The ROC reviews and approves Implementation Project Recommendations (IPRs).
- The ROC also discusses other research and implementation issues, as needed.
December 15
Final project statements from PCs are due to RTI.
Anchor: #i1003953December 15 – January 31
RTI develops Request for Proposals (RFP).
- RTI checks project statements and works with PCs and RMC chairs on any needed revisions, including any special requirements for IT deliverables.
- RTI obtains ROC chair approval for any sole-source project statements.
- RTI develops the Request for Proposals (RFP) package,
which includes:
- project statements, defining the problems or needs to be addressed,
- current forms required for proposal preparation, and
- submission instructions and deadlines.
January 31
RTI sends Request for Proposals (RFP) to universities. (Due March 25)
- RFPs on projects to be awarded competitively are sent electronically to the Research Liaison at all state-supported universities involved with TxDOT’s research program.
- RFPs for sole-source project statements are sent to the Research Liaison at the appropriate university.
- An information copy of the RFP is sent to all PCs and PDs.
February 1
RTI requests semi-annual reports from university and in-house Research Supervisors. (Due March 1)
- Semi-Annual Project Reports are made on a prescribed form, using the submission method specified in RTI’s request. These reports are generally required in both hard-copy and electronic formats.
- Semi-Annual Progress Reports due at this time of the year
include, among other items, discussion of:
- proposed changes in the project duration, personnel, overall funding, work plan, or deliverables table,
- equipment purchased during the period covered, along with evidence of inclusion in the university’s inventory records,
- progress on the project to date, by task,
- progress on the development of “product” deliverables, and
- whether the project should be considered for presentation at the next RMC meeting.
Mid-February – mid-March
Optional pre-proposal meetings are held.
- The PC and PD for each project may conduct a pre-proposal meeting with interested universities.
- Pre-proposal meetings are optional, both for TxDOT to schedule and for the universities to attend. They are encouraged by RTI on most projects.
- Universities interested in proposing are instructed on each project statement to contact the PC or PD, at least 3 days prior to a scheduled meeting, to confirm attendance. If no university expresses an interest in attending, the pre-proposal meeting may be canceled.
February 15 – June 1
Optional TAP meetings are held to discuss research needs and Long-Range Research Plans (LRRPs).
- Each TAP may schedule one or more meetings prior to the spring RMC meeting, to review and update their LRRP, and provide the latest version to their RMC and RTI.
- TAP chairs check with their RMC chairs to ensure each TAP is aware of research priorities established at the previous spring RMC meeting, or that may have arisen since that meeting.
- TAPs identify specific priority research needs for presentation at the spring RMC meetings.
- TAPs also consider any research needs that may best be addressed through an NCHRP or pooled fund project.
March 1
Semi-annual reports are due to RTI.
- Semi-Annual Progress Reports are due from both university and in-house Research Supervisors, as described above.
- In the case of a joint project, the project’s Research Supervisor, typically from the lead university, is responsible for submitting a semi-annual report that covers activities at all institutions involved in the project.
March 7
RTI sends semi-annual reports to PMCs. (PD response due April 1)
- RTI requests that the PD review
each report and provide to RTI and the PC:
- comments on proposed changes to Deliverables Tables, and
- recommendations on proposed project extensions or other modifications.
- PDs may provide modification requests to RTI in any format, including revised project statements, memos, or emails. Details of the modifications needed, justification, and confirmation of the PC’s concurrence is required, regardless of the format used.
- RTI requests that the PD advise RTI if a project should be formally presented at the next RMC meeting.
- RTI requests that the PC and PAs review each report and provide their comments to the PDs, in time for PDs to include PC and PA comments in their response to RTI.
March 25
University proposals are due to RTI.
- Proposals are due to RTI, per the requirements stated in the RFP.
- Competitive proposals received after the established due date and time, or not at a correct address, are not considered.
- Universities are responsible for checking on the status of their proposal submissions, if they want confirmation of receipt at RTI.
April 1
PD responses on semi-annual reports are due to RTI.
- PD responses are due to both RTI and the PC for each project, covering those items mentioned above, and described more specifically in instructions RTI sends to PDs and PCs along with their semi-annual reports.
- Any other comments the PD may have concerning the project should also be provided to RTI at this time.
PD justifications for modifications they support are due to RTI.
- PDs may become aware of proposed modifications to project agreements in semi-annual reports, or from other communications.
- PDs assess the criticality of each proposed modification and determine whether they support the modification, based on the impact the proposed modification will have on the current project and on the program being developed for the next fiscal year.
- PDs send justifications for those modifications they support to RTI by April 1, either as part of their comments on semi-annual reports, or separately.
RTI sends proposal review packages to Project Monitoring Committees (PMCs). (PC response due to RTI May 1)
- Each proposal review package
includes:
- all proposals received in RTI by the deadline,
- a Proposal Review form,
- instructions for proposal review, and
- a list of overdue university deliverables.
April 1 – May 1
PMCs review proposals. (PC response due to RTI May 1)
- The PC, with input from the PD and PAs, develops a recommendation on the proposal package. The recommendation will be presented to the RMC by the PC at the spring meeting.
- The PC typically selects the one proposal that best meets the department’s needs. On a few projects, as specified in the Project Statement, more than one proposal may be selected. If none of the proposals appear to meet the department’s needs, the PC can reject all proposals received.
- The PC, with assistance from the PD, consults with the ISD Project Advisor to ensure that IT deliverables are adequately addressed in the selected proposal(s).
April 22
RTI requests project modifications from universities. (Due May 7)
- RTI requests modifications only for those projects justified by the PD, and having received PC concurrence.
- Universities are requested to submit unsigned modifications to RTI.
- If modifications are needed on in-house projects, those are also requested at this time.
April 22 – May 7
Universities develop modifications.
In-house Research Supervisors may also be developing modifications at this time.
Anchor: #i1004330May 1
Proposal selections are due to RTI.
- Program Coordinators (PCs) are responsible for final proposal selection and for notifying RTI of the decision.
- After receipt of the proposal selection on each project, RTI continues to refine material for the spring RMC meeting, so that each RMC has the necessary information to allocate available funding to projects for the next fiscal year.
May 7
Modifications from universities are due to RTI.
- After receipt from the university, RTI sends modifications and review / response instructions to each PC and PD.
- The PD provides comments on each modification to RTI and the PC, by May 21.
- The PC develops a recommendation on the modification, which the PC will present to the RMC at the spring meeting. These comments may also be sent to RTI before the RMC meeting, as they are finalized.
- The PD consults with the ISD Project Advisor to ensure that IT deliverables are adequately addressed in the modification.
- Based on comments from the PD, and any comments received from PCs before the RMC meeting, RTI continues to refine material for the spring RMC meeting, so that each RMC has the necessary information to allocate available funding to projects for the next fiscal year.
May 21
RTI sends advance meeting materials to RMCs.
- RTI may send the following types
of information in advance of the meeting:
- information on available research funding,
- status reports on all active research projects,
- implementation status reports for research products, and
- an initial program chart for the next fiscal year, based on continuing projects and modifications received in RTI.
June – first week
Research Management Committee (RMC) spring meetings are held.
- Research Supervisors and Project Directors give presentations on existing projects, as scheduled by the RMC chair.
- Each RMC discusses the status of active research projects.
- PCs review with the RMC the status of the development and implementation of products to be delivered from research projects.
- PCs recommend research products and other implementation activities for which Implementation Project Recommendations (IPRs) should be developed for presentation to the ROC.
- TAPs present recommendations to their RMCs on new research for the fiscal year beginning September 1, two years following. (i.e.: In June 2003, TAPs recommend research for the fiscal year 2005 program.) TAPs receive input from their RMCs regarding revisions to their Long-Range Research Plans, including strategic directions for future research.
- Each RMC, in Executive Session:
- discusses and ranks each project in next year’s recommended program,
- develops its final recommended research program for the next fiscal year,
- identifies its highest-ranked projects that have not been funded, to bring to the July ROC meeting,
- recommends a funding allocation for the program to begin two years following, based on the anticipated future needs of the RMC,
- collects nominations for top innovations and project directors, and
- conducts other business as needed.
- About a week after the spring RMC meetings, RTI may send a list of tentative proposal selections to universities.
- For those projects with IT deliverables, which were funded
by the RMCs, the following takes place:
- RTI submits a list of all projects with IT deliverables to ISD, by mid-June,
- ISD, in coordination with the PC and PD, determines the need for each project to go before the Information Resource Council (IRC), and
- ISD coordinates presentation to, and approval by, the IRC.
Early July
Research Oversight Committee (ROC) meeting is held.
- The ROC reviews and approves Implementation Project Recommendations (IPRs).
- The ROC reviews and funds, as it considers appropriate, unfunded RMC projects brought forward by the RMCs.
- The ROC considers funding recommendations made by each RMC, and allocates projected funding to each RMC, for the program to begin two years following.
- The ROC allocates funds for a research contingency account, for the program to begin two years following.
- The ROC also discusses other research and implementation issues, as needed.
July – August
RTI finalizes and executes university and in-house project agreements.
- Any needed revisions are made to project agreements prior to execution.
- RTI coordinates approval of research projects with IT deliverables through the ISD Project Advisor, in preparation for project activation.
- For those projects with IT deliverables the following
must occur before the project is fully activated:
- IT deliverables are approved, as determined necessary by ISD,
- RTI, in concert with the PC and PD, determines which TxDOT D/D/O will serve as the Office of Primary Responsibility (OPR) for the project, based on which D/D/O will be ultimately responsible for implementing the products delivered by the research project,
- the information resources (IR) to be delivered to TxDOT are documented in the OPR’s Biennial Operating Plan (BOP), and
- the OPR advises RTI in writing that the IR has been included in its BOP.
- Project Agreements are executed by the universities and the RTI director, with a project start date no earlier than September 1.
- The RTI director executes in-house Project Agreements, with a project start date no earlier than September 1.
RTI sends executed project agreements to universities, divisions, and PMCs.
- RTI sends copies of executed agreements for university projects to all universities involved in the project and to each PMC member.
- RTI sends copies of executed agreements on in-house projects to the division (or district) conducting the research and to each PMC member.
- Executed agreements are provided for new projects and modifications.
September 1
New fiscal year research program begins.
- The program runs from September 1 through August 31 of the following calendar year.
- Funds do not automatically carry over from one fiscal year to the next. Project budgets must be established from separate funding available for work performed in each fiscal year.
PDs conduct project kick-off meetings during September.
- The PD holds a project “kick-off” meeting to orient the Research Team and Project Advisors to the goals, objectives, and expectations of the project, and to research program procedures important to their areas of responsibility.
- The PD assumes official responsibility for day-to-day project oversight when the project is activated.