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FHWA Order 6000.3A

Order
Subject
FHWA DEVELOPMENT AND COORDINATION OF THE RESEARCH AND TECHNOLOGY PROGRAM
Classification Code Date Office of Primary Interest
6000.3A January 26, 2001 HRPD-1

Par.
  1. What is the purpose of this Order?
  2. Does this Order cancel an existing FHWA order?
  3. What is the scope of this Order?
  4. What is the objective of this Order?
  5. What is the FHWA Management Council?
  6. What are the responsibilities of the Core Business Units (CBUs) and the Policy Service Business Unit (SBU)?
  7. What are the responsibilities of the Research, Development, and Technology SBU?
  8. What is the Transportation Research Board (TRB) Research and Technology Coordinating Committee and its purpose?
  1. What is the purpose of this Order? This Order establishes the Federal Highway Administration's (FHWA's) decision making process and procedures for planning and developing Research and Technology (R&T) programs, budgets, and acquisition plans that are coordinated, cost-effective, and technically sound.

  2. Does this Order cancel an existing FHWA Order? Yes. FHWA Order 6000.3 Federal Highway Administration Development and Coordination of the Research and Technology Program, dated July 28, 1995, is canceled.

  3. What is the scope of this Order? This Order applies to all FHWA R&T Program activities. It does not apply to the State Planning and Research or Pooled-Fund activities.

  4. What is the objective of this Order? This Order ensures that FHWA's R&T programs help resolve issues or problems of national interest, achieve the U.S. Department of Transportation's and FHWA's strategic goals, reflect the input of the broader highway transportation community, and produce measurable results or outcomes.

  5. What is the FHWA Management Council? The FHWA Management Council is chaired by the Executive Director; membership on the council is defined in the Management Council charter, which is maintained by the Office of the Administrator.

    Membership on the Management Council includes the:

    1. Executive Director,
    2. Program Managers of the Core Business Units (5),
    3. Directors of Field Services (4),
    4. Director of Policy,
    5. Director of Administration,
    6. Director of Corporate Management, and a
    7. Division Administrator (1).

    (1)The FHWA Management Council executes the functions previously carried out by the Research and Technology Executive Board (RTEB), which is eliminated.

    (2) The Management Council meets monthly, and during the budget cycle, shall provide policy direction for the R&T program, reach agreement on R&T program priorities, make recommendations to the Administrator regarding allocating funds available to FHWA for the R&T program, and review FHWA's progress in meeting goals, accomplishments, priorities, and milestones for the R&T program.

    (3) The Management Council shall use the R&T program budget submission (the R&T portion of FHWA's annual budget submission, including other funding sources, particularly funding available through the Transportation Equity Act for the 21st Century, PL 105-178, or subsequent reauthorizations) as its base working document. The program budget includes information on agency goals, anticipated accomplishments for the current fiscal year, anticipated products and milestones for the upcoming fiscal year, and new major initiatives for the fiscal year of the program budget.

    (4) The Director, Office of Research, Development, and Technology, will provide secretariat services for the R&T related activities of the Management Council.

  6. What are the responsibilities of the Core Business Units (CBUs) and the Policy Service Business Unit (SBU)? The five CBUs and the Policy SBU will take the lead in carrying out the activities that support Management Council R&T decisions. The Research and Technology Coordinating Groups (RTCG) are eliminated.

    1. Each CBU and the Policy SBU will:

      (1) provide leadership on strategic and long-range R&T programs within their business area,

      (2) identify problems and research needs,

      (3) formulate strategies to develop and deliver R&T solutions to national transportation problems,

      (4) establish plans that focus on multi-year programs, priorities, and focus areas, including funding needs by fiscal year,

      (5) define measurable goals that can be identified to drive the objectives in the FHWA Strategic Plan, and

      (6) monitor progress.

    2. Each CBU and the Policy SBU should establish a management structure and process to ensure that there is agencywide representation in its decisionmaking process, with participation from FHWA field offices and other appropriate CBUs and SBUs. In addition, each should establish and support essential external communication and coordination mechanisms to ensure that FHWA's R&T programs reflect the views of key stakeholders. It is the responsibility of the CBUs and the Policy SBU to ensure that R&T programs support both the short- and long-term needs of FHWA, its customers, and partners. Each CBU and the Policy SBU should define its R&T structure, process, and staff contacts.

    3. The CBU Program Managers and the Director, Policy SBU are responsible for executing the R&T program and carrying out R&T initiatives consistent with the priorities of the Management Council. Each shall, where appropriate:

      (1) prepare draft and final R&T budget materials, based on the overall allocation of funds available to FHWA for the R&T program,

      (2) prepare procurement plans and requests for studies, and

      (3) carry out the program in cooperation with program offices, field offices and other Headquarters offices, as appropriate.

  7. What are the responsibilities of the Research, Development, and Technology SBU? The Research, Development, and Technology (RD&T) SBU will provide coordination for overall FHWA R&T program activities and facilitate the work of the Management Council related to the R&T program. As part of this responsibility, RD&T will develop, with the Office of Budget and Finance, a matrix of R&T funding including funding resources and recipients for consideration by the Management Council. RD&T will work closely with the CBU and Policy SBU staffs and other offices, as appropriate, to prepare all required R&T program budget materials. Within the RD&T SBU, the Office of Program Development and Evaluation serves as secretariat to the Management Council for all R&T business and decisionmaking matters. Other offices within RD&T will lead or support, as necessary, the activities required to carry out the R&T program.

  8. What is the Transportation Research Board (TRB) Research and Technology Coordinating Committee and its purpose?

    1. The Research and Technology Coordinating Committee (RTCC) was established under the auspices of the Transportation Research Board to aid FHWA in accomplishing the following functions:

      (1) provide a source of national and international expertise to focus on critical national agenda items upon which the FHWA could draw in formulating and delivering its Research and Technology Program,

      (2) support the National R&T Partnership Initiative and facilitate the operations of the working groups established as part of the initiative,

      (3) provide a mechanism for considering the views of research bodies, highway users, suppliers, and contractors, along with economic, social, energy, and environmental concerns, as these issues relate to highway transportation research and technology policy and programs,

      (4) ensure that products evolving from the highway research process are directed towards market development and application, both in national and international arenas,

      (5) address issues related to the implementation of research results and the application of technology in the highway transportation field,

      (6) encourage improved government, public-private, and international harmonization in other highway-related fields and in multi-modal transportation research and innovation,

      (7) identify areas of overlap and duplication and areas needing increased or decreased emphasis, considering prospective progress, costs, and program needs,

      (8) position the United States' highway research programs for preeminent world leadership in technical expertise and knowledge, and

      (9) enhance interest, awareness, and opportunities for highway research careers.

    2. The RTCC typically will meet three times a year in the spring, summer, and autumn to carry out these functions. At the spring meeting, the RTCC will spend most of its time responding to FHWA program plans. The FHWA will update the RTCC on the upcoming R&T program and on the budget that will have recently been submitted to Congress. At the summer meeting, the RTCC will divide its time between reactive and proactive activities. In the autumn, the meeting will be devoted primarily to proactive, RTCC-initiated activities, such as staff reports, guest presentations, and discussions of topics selected by the RTCC for further investigation.

    3. Funds for these meetings are provided by the FHWA under the contract with TRB. The RTCC will meet as required with FHWA staff assigned to highway research, technology, and other activities, and when appropriate, with representatives of other State, Federal, academic, industry, and other organizations that are engaged in highway or related research activities. The RTCC will issue periodic letter reports to FHWA.
 

Anthony Kane's Digital Signature
Anthony R. Kane
Executive Director

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