BACKGROUND
As agencies progress toward the next generation of their traffic management systems (TMSs), new software that adds functions has to be implemented within TMSs. A TMS software could be modular or stand-alone but has to be integrated within a software subsystem of TMSs. These software subsystems could use proprietary, commercial-off-the-shelf (COTS), open-source, or customized software or a combination of these types produced by agency staff and external developers. Agencies will benefit from an understanding of options and best practices for designing, procuring, and managing software subsystems to address the current and evolving needs of traffic management and its TMS.
For this project, a software subsystem includes software programs that support the functions and services of the TMS and may share some software products with the entire TMS and specific software programs installed for other subsystems or decision support tools. Assorted software programs and application programming interfaces (APIs) may be integrated into this overall software subsystem to carry out its management and operating requirements. A software subsystem can include multiple different software programs (e.g., COTS, proprietary).
Currently, limited resources exist to support identifying requirements and evaluating design options and different technologies (e.g., cloud, server, hybrid cloud, and server) or solutions (e.g., distributed, centrally managed) when contemplating or pursuing the integration or incorporation of new or evolving TMS software subsystems, programs, or applications and managing them. Research is needed to provide insights into and understanding of options and best practices for developing and managing requirements as well as planning, designing, procuring, evaluating, and maintaining TMS software subsystems, programs, and APIs.
OBJECTIVE
The objective of this project is to develop a technical guide to manage the entire life cycle of software subsystems within a TMS for state departments of transportation (DOTs) and other agencies.
At a minimum, the technical guide will assist agencies in:
- Identifying needs, requirements, and issues when planning, designing, procuring, managing, and integrating a new software subsystem or upgrades to an existing or new TMS;
- Developing procedures and requirements for testing, accepting, and initializing the use of new software subsystems, programs, or APIs with existing or new TMSs;
- Identifying issues (e.g., installation, modification, software security) to consider when deciding whether to procure or develop software (e.g., proprietary, COTS, open source) or APIs to integrate with existing TMS software; and
- Identifying issues to consider when software subsystems or applications need to meet the current and evolving needs of a TMS.
Accomplishment of the project objective will require at least the following tasks.
RESEARCH PLAN
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 represent the proposers’ current thinking described in sufficient detail to demonstrate their understanding of the issues and the soundness of their approach in meeting the research objective. The work proposed must be divided tasks and phases. Proposers must describe the work proposed in each phase and task in details.
The research plan should build in appropriate checkpoints with the NCHRP project panel, including, at a minimum, (1) a kick-off teleconference meeting to be held within 1 month of the contract’s execution date and (2) one in-person interim deliverable review meeting and web-enabled teleconferences tied to panel review and/or NCHRP approval of the interim deliverables, including the budget expenses. The costs of teleconferences, the in-person meeting venue, and NCHRP panel member travel will be paid by the NCHRP.
At the minimum, the proposed tasks should include the following:
Phase I
Task 1. Conduct an interview or survey about the current state DOT and industry practices to accomplish the project objective. Identify a list of practitioners for an in-depth interview or survey to gather information. The list of practitioners and interview/survey questions shall be approved by the NCHRP. Synthesize the practices and summarize the findings based on the interview/survey results as part of the Interim Report to be developed in Task 4.
The in-depth interview or survey shall cover topics that agencies should consider when installing new software or upgrading an existing TMS with respect to:
- Needs, requirements, and issues to consider in planning, design, and procurement;
- A checklist to assess the capability and performance, including technical and other issues, of a TMS’s existing software subsystem, installed software programs, and APIs;
- Configuration, design, integration, procurement, and management issues when assessing the development, acquisition, or installation of a new software subsystem and software programs on a software subsystem;
- Requirements, methods, procedures, tools, and resources to test, accept, and initialize new software programs or APIs;
- Issues, requirements, data elements, testing, and acceptance criteria when deciding whether to
- initialize new software programs or APIs,
- integrate software programs or APIs into a TMS’s software subsystem, or
- procure or develop software (e.g., proprietary, COTS, open source) or APIs;
- Configuration management plans, policies, procedures, tools, and practices in support of managing TMS software subsystems, programs, and APIs;
- Staffing (e.g., knowledge, skills, abilities, position descriptions, level of effort, and staffing needs) and resource issues (e.g., services to contract) regarding maintaining, managing, and supporting the operations of a TMS’s software subsystem, software, and APIs.
Task 2. Develop a draft annotated outline for the technical guide to be developed in Task 5. The draft annotated outline is intended to provide the foundation, context, and framework for the subject matter to be included in the technical guide. It will include key technical and associated issues, major concepts, current practices, examples highlighting the lessons learned, and interview/survey results for consideration.
At a minimum, the technical guide shall cover the following topics:
- TMS software subsystems and software
- Different types of software (e.g., proprietary, COTS, open source)
- Linking agency constraints (e.g., budget, hardware, legacy systems) and TMS requirements for selecting types of software
- Planning, designing, procuring, developing, implementing, testing, managing, using, and maintaining TMS software subsystems, software, and APIs
- Integrating TMS software subsystems, software, and APIs (e.g., managing changes, using APIs to transmit data)
- Services and options to meet the day-to-day needs of supporting software
Task 3. Organize a virtual meeting with the NCHRP panel to review and obtain feedback on the draft annotated outline developed in Task 2. Revise the draft annotated outline based on written and oral feedback from the NCHRP panel meeting.
Task 4. Prepare an interim report documenting the findings of Tasks 1 through 3 and provide an updated work plan for the remainder of the research no later than 9 months after the contract is awarded. The updated work plan must describe the methodology and rationale for the work proposed for Phase II.
Note: Following a 1-month review of the interim report by the NCHRP panel, the research team will be required to meet with the NCHRP project panel in-person to discuss the interim report. Work on Phase II of the project will not begin until authorized by the NCHRP. Phase I budget shall not exceed $70,000.
Phase II
Task 5. Execute the approved Phase II work. Develop a draft of the technical guide reflecting the final version of the annotated outline. Submit the draft technical guide to the NCHRP for review and approval.
Task 6. Revise the draft technical guide based on comments from the NCHRP.
Task 7. Present the draft technical guide virtually to the American Association of State Highway and Transportation Officials (AASHTO) Committee on Transportation System Operations (CTSO) Intelligent Transportation Systems Workgroup and/or the Federal Highway Administration Transportation Management Center (TMC) Pooled-Fund Study (PFS) for comments and propose any revisions to the NCHRP panel. The research team should anticipate making two presentations during the research process to the appropriate technical committees at the annual meetings of the AASHTO CTSO and/or TMC PFS. Finalize the draft technical guide after consideration of practitioners' feedback.
Task 8. Develop a presentation (30-40 slides) with speaker notes reflecting the technical guide developed in Task 7. The presentation slides shall specify the research purpose, objective, key issues addressed, research products developed, and benefit or value of the research.
Task 9. Prepare the final deliverables, including:
- A final technical guide to manage the entire life cycle of software subsystems within a TMS for state DOTs and other agencies,
- A final report documenting the entire research effort,
- A technical memorandum titled “Implementation of Research Findings and Products” (see Special Note J), and
- A presentation of the research findings and conclusions.
Note: The research plan may include additional deliverables and panel meetings via teleconferences.
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 2024. 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/7048. 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. The text of the final deliverable is expected to be publication ready when it is submitted. It is strongly recommended that the research team include the expertise of a technical editor as early in the project timeline as possible. See Appendix F of the Procedural Manual for Contractors Conducting Research in the Transportation Research Board’s Cooperative Research Program for technical editing standards expected in final deliverables.
I. 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.
J. 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
K. 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.
L. 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.
M. The National Academies have an ethical and legal obligation to provide proper attribution whenever material from other sources is included in its reports, online postings, and other publications and products. TRB will review all Cooperative Research Programs draft final deliverables using the software iThenticate for potential plagiarism. If plagiarized text appears in the draft final deliverable, the research team will be required to make revisions and the opportunity to submit future proposals may be affected.
