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The National Academies

NCHRP 23-36 [RFP]

Development of a Knowledge Capture Toolkit for State DOTs

Posted Date: 11/3/2023

  Project Data
Funds: $225,000
Contract Time: 24 months
(includes 1 month for NCHRP review and approval of each interim report and 3 months for NCHRP review and for contractor revision of the final report)
Authorization to Begin Work: 8/1/2024 -- estimated
Staff Responsibility: David M. Jared
   Phone: 202/334-2358
   Email: djared@nas.edu
RFP Close Date: 12/19/2023
Fiscal Year: 2024

BACKGROUND 

Knowledge management (KM) is a collection of policies and practices relating to the identification, sharing, and retention of employee knowledge and expertise within an organization. KM has been instituted in many types of organizations, including government agencies and private firms. KM has been shown to improve organizational efficiency, facilitate decision-making, and foster employee development. KM is also being adopted by state departments of transportation (DOTs) to capture critical knowledge before employees leave and their knowledge is lost. Therefore, it is essential that state DOTs understand the full range of methods available for knowledge capture (KC). 

State DOTs face several challenges in advancing KM and KC initiatives, including the novelty of KM, organizational barriers, limited resources for KM development, an absence of legislation mandating KM, and a lack of standard KM practices. To address these challenges, there is a need for a toolkit of tangible, demonstrable KC methods from which any state DOT can choose that suits their respective goals, organization, and culture. 

OBJECTIVE 

The objective of this project is to develop a toolkit for capturing knowledge critical to state DOTs. The toolkit should encompass the full range of KC methods available that state DOTs can implement with minimal adaptation, and it should be accompanied by educational materials to explain and support its use. 

Accomplishment of the project objective(s) will require at least the following tasks. 

TASKS 

Task descriptions are intended to provide a framework for conducting the research. The NCHRP is seeking the insights of proposers on how best to achieve the research objective. Proposers are expected to describe research plans that can realistically be accomplished within the constraints of available funds and contract time. Proposals must present the proposers' current thinking in sufficient detail to demonstrate their understanding of the issues and the soundness of their approach to meeting the research objective. 

PHASE I 

Task 1. Review literature on KC. Collect and analyze relevant literature on KM practices, with a focus on testing, evaluation, and implementation of these practices. The literature should consider private sector resources as well as public, including toolkit elements. 

Task 2. Develop a stakeholder outreach plan. Develop a plan for obtaining input from state DOTs and others, as appropriate, on developing and implementing KC methods. Outreach should include stakeholders at various stages of KC implementation. Submit a technical memorandum (#1, hereafter “tech memo”) including the results of Task 1 and the plan developed in Task 2. NCHRP approval of the tech memo is required before work on subsequent tasks may begin. 

Task 3. Administer and summarize the stakeholder outreach. Submit a tech memo (#2) summarizing the results of the stakeholder outreach. NCHRP approval of the tech memo is required before work on subsequent tasks may begin.   

Task 4. Prepare a plan for toolkit development and educational materials. Using the findings from Tasks 1–3, the plan should include, but not be limited to, the following: definitions of terms associated with KM and KC; rationale for KC methods selected; templates for how KC tools are described, including their benefits and associated risks; approach for ensuring that tools in the toolkit are implementable and use emerging technologies such as AI to the extent possible; how state DOTs can choose and apply a capture method aligning with their goals, organization, and culture; and strategies for promoting, maintaining, and updating the toolkit. 

Task 5. Submit an interim report. Prepare an interim report summarizing the results of Tasks 1–4 and including a detailed outline for the toolkit and educational materials. The interim report shall be presented to NCHRP at an in-person meeting in Washington, D.C., with panel travel costs to be paid by NCHRP. NCHRP approval of the interim report is required before work on Phase II may begin. 

PHASE II 

Task 6. Prepare a draft toolkit for the use of KC. The draft toolkit shall be prepared according to the plan approved in Task 5. Submit the draft toolkit for NCHRP approval. NCHRP approval of the draft toolkit is required before work on subsequent tasks may begin.   

Task 7. Conduct and summarize a practitioner workshop. Obtain practitioner and industry feedback on the draft toolkit in an online workshop. Summarize the workshop in an online debrief with NCHRP, including any recommended changes to the toolkit. Any proposed changes must be approved by NCHRP. 

Task 8. Submit an updated toolkit. The updated toolkit will be reviewed by NCHRP before its submittal in Task 9. Additional review time should be allocated to this task to allow for iterative review. NCHRP approval is required before work on the final task may begin. 

Task 9. Submit final deliverables. Deliverables shall include the final toolkit, a conduct of research report summarizing the entire research effort, an implementation memo (see Special Note I), and a slide presentation summarizing the research. 

Note: Following receipt of the draft final deliverables, the remaining 3 months shall be for NCHRP review and comment and for research agency preparation of the final deliverables. 

SPECIAL NOTES 

A. The Information and Instructions for Preparing Proposals for the Transportation Research Board’s Cooperative Research Programs were revised in May 2023. Please take note of the new and revised text which is highlighted in yellow.

B. Proposals must be submitted as a single PDF file with a maximum file size of 10 MB. The PDF must be formatted for standard 8 ½” X 11” paper, and the entire proposal must not exceed 60 pages (according to the page count displayed in the PDF). Proposals that do not meet these requirements will be rejected. For other requirements, refer to chapter V of the instructions.

C. The Information and Instructions for Preparing Proposals for the Transportation Research Board’s Cooperative Research Programs have been modified to include a revised policy and instructions for disclosing Investigator Conflict of Interest. For more information, refer to chapter IV of the instructions. A detailed definition and examples can be found in the CRP Conflict of Interest Policy for Contractors. The proposer recommended by the project panel will be required to submit an Investigator Conflict of Interest and Disclosure Form as a prerequisite for contract negotiations.

D. Proposals will be rejected if any of the proposed research team members work for organizations represented on the project panel. The panel roster for this project can be found at https://www.mytrb.org/OnlineDirectory/Committee/Details/6949. Proposers may not contact panel members directly; this roster is provided solely for the purpose of avoiding potential conflicts of interest.

E. Proprietary Products - If any proprietary products are to be used or tested in the project, please refer to Item 6 in the Information and Instructions for Preparing Proposals.

F. Proposals are evaluated by the NCHRP staff and project panels consisting of individuals collectively knowledgeable in the problem area. The project panel will recommend their first choice proposal considering the following factors: (1) the proposer's demonstrated understanding of the problem; (2) the merit of the proposed research approach and experiment design; (3) the experience, qualifications, and objectivity of the research team in the same or closely related problem area; (4) the plan for ensuring application of results; (5) how the proposer approaches inclusion and diversity in the composition of their team and research approach, including participation by certified Disadvantaged Business Enterprises; and, if relevant, (6) the adequacy of the facilities. A recommendation by the project panel is not a guarantee of a contract. The National Academy of Sciences (NAS - the contracting authority for the National Academies of Sciences, Engineering, and Medicine) will conduct an internal due diligence review and risk assessment of the panel’s recommended proposal before contract negotiations continue. 

Note: The proposer's approach to inclusion and diversity as well as participation by Disadvantaged Business Enterprises should be incorporated in Item 11 of the proposal.

G. Copyrights - All data, written materials, computer software, graphic and photographic images, and other information prepared under the contract and the copyrights therein shall be owned by the National Academy of Sciences. The contractor and subcontractors will be able to publish this material for non-commercial purposes, for internal use, or to further academic research or studies with permission from TRB Cooperative Research Programs. The contractor and subcontractors will not be allowed to sell the project material without prior approval by the National Academy of Sciences. By signing a contract with the National Academy of Sciences, contractors accept legal responsibility for any copyright infringement that may exist in work done for TRB. Contractors are therefore responsible for obtaining all necessary permissions for use of copyrighted material in TRB's Cooperative Research Programs publications. For guidance on TRB's policies on using copyrighted material please consult Section 5.4, "Use of Copyrighted Material," in the Procedural Manual for Contractors.

H. Proposals should include a task-by-task breakdown of labor hours for each staff member as shown in Figure 4 in the Information and Instructions for Preparing Proposals. Proposals also should include a breakdown of all costs (e.g., wages, indirect costs, travel, materials, and total) for each task using Figures 5 and 6 in the brochure. Please note that TRB Cooperative Research Program subawards (selected proposers are considered subawards to the National Academy of Sciences, the parent organization of TRB) must comply with 2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. These requirements include a provision that proposers without a "federally" Negotiated Indirect Costs Rate Agreement (NICRA) shall be subject to a maximum allowable indirect rate of 10% of Modified Total Direct Costs. Modified Total Direct Costs include all salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each lower tier subaward and subcontract. Modified Total Direct Costs exclude equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each lower tier subaward and subcontract in excess of $25,000.

I. The required technical memorandum titled “Implementation of Research Findings and Products” should (a) provide recommendations on how to best put the research findings/products into practice; (b) identify possible institutions that might take leadership in applying the research findings/products; (c) identify issues affecting potential implementation of the findings/products and recommend possible actions to address these issues; and (d) recommend methods of identifying and measuring the impacts associated with implementation of the findings/products. Implementation of these recommendations is not part of the research project and, if warranted, details of these actions will be developed and implemented in future efforts.

The research team will be expected to provide input to an implementation team consisting of panel members, AASHTO committee members, the NCHRP Implementation Coordinator, and others in order to meet the goals of NCHRP Active Implementation: Moving Research into Practice, available at http://onlinepubs.trb.org/onlinepubs/nchrp/docs/NCHRP_ActiveImplementation.pdf.

J. If the team proposes a Principal Investigator who is not an employee of the Prime Contractor, or if the Prime Contractor is proposed to conduct less than 50% of the total effort (by time or budget), then section five of the proposal should include: (1) a justification of why this approach is appropriate, and (2) a description of how the Prime Contractor will ensure adequate communication and coordination with their Subcontractors throughout the project.

K. All budget information should be suitable for printing on 8½″ x 11″ paper. If a budget page cannot fit on a single 8½″ x 11″ page, it should be split over multiple pages. Proposers must use the Excel templates provided in the Information and Instructions for Preparing Proposals for the Transportation Research Board’s Cooperative Research Programs.

 


Proposals must be uploaded via this link: https://www.dropbox.com/request/ct3L2Kwrr2W7nO3iqf61 
Proposals are due not later than 5:00 p.m. Eastern Time on 12/19/2023.

This is a firm deadline, and extensions are not granted. In order to be considered for award, the agency's proposal accompanied by the executed, unmodified Liability Statement must be in our offices not later than the deadline shown, or the proposal will be rejected.

Liability Statement

The signature of an authorized representative of the proposing agency is required on the unaltered statement in order for TRB to accept the agency's proposal for consideration. Proposals submitted without this executed and unaltered statement by the proposal deadline will be summarily rejected. An executed, unaltered statement indicates the agency's intent and ability to execute a contract that includes the provisions in the statement.

Here is a fillable PDF version of the Liability Statement. A free copy of the Adobe Acrobat PDF reader is available at https://www.adobe.com.


General Notes

1. According to the provisions of Title 49, Code of Federal Regulations, Part 21, which relates to nondiscrimination in federally assisted programs, all parties are hereby notified that the contract entered into pursuant to this announcement will be awarded without discrimination on the grounds of race, color, religion, sex, national origin, or disability.

2. The essential features required in a proposal for research are detailed in the current brochure entitled "Information and Instructions for Preparing Proposals". Proposals must be prepared according to this document, and attention is directed specifically to Section IV for mandatory requirements. Proposals that do not conform with these requirements will be rejected.

3. The total funds available are made known in the project statement, and line items of the budget are examined to determine the reasonableness of the allocation of funds to the various tasks. If the proposed total cost exceeds the funds available, the proposal is rejected.

4. All proposals become the property of the Transportation Research Board. Final disposition will be made according to the policies thereof, including the right to reject all proposals.

5. Potential proposers should understand that follow-on activities for this project may be carried out through either a contract amendment modifying the scope of work with additional time and funds, or through a new contract (via sole source, full, or restrictive competition).


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