ATTENTION PROPOSERS: This NCHRP project will be conducted in an accelerated timeline. Proposers shall assemble teams possessing the needed expertise and workload availability to meet the scope and contract time requirements. The amplified research plan, quarterly, and monthly reports may be combined or waived for this NCHRP project.

BACKGROUND

Artificial intelligence (AI) is rapidly transforming many industries, and the transportation sector is no exception. AI-based decision support systems (DSS) have the potential to revolutionize the way state departments of transportation (DOTs) operate and manage their transportation networks.

AI-based DSS can be used to collect, analyze, and interpret large amounts of data from a variety of sources, such as traffic cameras, sensors, mobile phones, and social media. This information can be used to generate insights and recommendations to help DOTs make informed decisions about a range of topics from traffic management and infrastructure planning to daily DOT agency operations. At the same time, there are numerous challenges and factors that need to be addressed including, but not limited to, developing AI-based DSS that are accurate and reliable in real-world transportation settings, AI-related processes that can be integrated into state DOT’s workflows, and AI tools that can be used by state DOT staff.

Research is needed to assist state DOTs in developing ground rules for the implementation of AI-based tools to make better decisions more quickly and efficiently.

The structure for these ground rules shall be aligned and support the American Association of State Highway and Transportation Officials (AASHTO) 2021-2026 Strategic Plan goals and objectives:

• Safety, mobility and access for everyone;
• National transportation policy leadership; and
• Organizational excellence with world-class services.

OBJECTIVE

The objective of this research is to develop a toolkit for the successful conceptualization, development, evaluation, and adoption of AI-based DSS solutions by state DOTs.

The toolkit shall leverage and build upon relevant NCHRP, federal government, state, and private research and information (see Special Note B). The toolkit shall be a user-friendly, step-by-step resource capable of addressing current and future AI-based DSS solutions. At a minimum, the research shall consider technical, and organizational and business process considerations important to state DOTs.

Technical considerations are:

• Needs assessment (e.g., technical and infrastructure requirements);
• Selection processes and success metrics (e.g., accuracy, precision, generalization capability, explainability, interpretability, safety, and security);
• Data governance and management;
• Reasonableness of results and human collaboration and feedback (mechanisms to update AI-based DSS solutions based on human feedback); and
• Benefits and limitations.

Organizational and business process considerations are:

• Workflow and systems integration;
• Workforce implications;
• Security and privacy;
• Risk management;
• Agency policy and alignment with strategic goals;
• Coordination with federal and local agencies, and other stakeholders;
• Transparency and results communication (within and outside state DOTs) to build trust and support;
• Alignment with regulations;
• Funding allocation and long-term financial impact;
• Change management and leadership role;
• Ethics; and
• Procurement strategies, including independent verification and validation.

These considerations are not exhaustive, and individual items may apply to more than one consideration. 

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

TASKS

Proposers are asked to develop and present a detailed research plan to accomplish the project objective. The research plan must be divided into tasks and proposers must describe the work proposed in each task. Proposers are expected to present a research plan that can realistically be accomplished within the constraints of available funds and contract time. Proposals shall: (1) present the proposer’s current thinking in sufficient detail to demonstrate their understanding of the issues and the soundness of their approach for meeting the research objective; (2) identify data and data sources that may be used to undertake this research, and (3) propose a format(s) of the final research product(s). 

The research plan will describe the appropriate deliverables that include, but are not limited to, the following (which may also represent key project milestones):

1. An annotated outline of the toolkit when approximately 20 percent of the project is complete. Work on the subsequent tasks will not begin until NCHRP approval of the annotated outline.

2. An interim report and panel meeting. The interim report should include the analyses and results of completed tasks, an example of a draft chapter of the toolkit, an update of the remaining tasks, and detailed outlines of the final research product(s).  A panel meeting will take place after the panel review of the interim report. The interim report and panel meeting should occur after the expenditure of no more than 40 percent of the project budget. Work on the subsequent tasks will not begin until NCHRP approval of the interim report.

3. Final research product(s) intended mainly for DOT leadership, discipline experts, and information technology managers, including:

• A toolkit;
• A conduct of research report that documents all research efforts, including:
  • An executive summary;
  • Strategies for long-term management of AI-based DDS solutions;
  • A list of research topics identified but not addressed in this project; and
  • Appendices for milestone deliverables (e.g., literature review, white papers).

4. A technical memorandum titled “Implementation of Research Findings and Products” (see Special Note L.)

5. A webinar organized and coordinated by the proposer on how to use the toolkit (the webinar’s recording and presentation with the presenter’s notes will be part of the final deliverables). NCHRP will approve the final list of webinar attendees.

Note: The first draft of the toolkit is due at least 4 months before the contract end date. The research plan may include additional deliverables as well as additional panel meetings via teleconference. The interim deliverables will be published as Web-Only Documents, Research Results Digests, or other appropriate TRB publications after the NCHRP panel feedback is addressed. The purpose of these publications is to accelerate the consumption and implementation of the research results by the target audience.

Note: For budgeting purposes, the proposer shall plan on having one in-person panel meeting in Washington, DC. Costs for the in-person meeting venue and travel costs for NCHRP panel members will be paid separately by NCHRP.

SPECIAL NOTES

A. NCHRP will award the contract for NCHRP Project 20-133 for a fixed price of $400,000. This amount will not be subject to any adjustment by reason of the contractor’s cost experience in the performance of the contract. In addition to providing a detailed budget, the proposer shall provide a proposed schedule for progress payments tied to the detailed budget and project schedule, including a final payment at the end of the contract representing 10% of the value of the contract.

B. Examples of literature and resources available include:

• NCHRP Web-Only Document 403: Artificial Intelligence Opportunities for State and Local DOTs
• NCHRP Web-Only Document 404: Implementing and Leveraging Machine Learning at State Departments of Transportation
• LTRC Project No. 25-1PF: Artificial Intelligence and Its Role and Use Within State Departments of Transportation
• GAO Report: Artificial Intelligence (Report to Congressional Addressees Dec 2023. GAO-24-105980)
• Executive Order on the Safe, Secure, and Trustworthy Development and Use of Artificial Intelligence (Oct. 30, 2023)
• National Artificial Intelligence Research and Development Strategic Plan – 2023 Update
• M-24-10-Advancing-Governance-Innovation-and-Risk-Management-for-Agency-Use-of-Artificial-Intelligence
• M-24-18-AI-Acquisition-Memorandum
• Strengthening and Democratizing the U.S. Artificial Intelligence Innovation Ecosystem: An Implementation Plan for a National Artificial Intelligence Research Resource

C. 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.

D. 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.

E. 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.

F. 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/7087. Proposers may not contact panel members directly; this roster is provided solely for the purpose of avoiding potential conflicts of interest.

G. 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.

H. 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.

I. 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.

J. 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.

K. 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.

L. 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

M. 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.

N. 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.

O. 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.