BACKGROUND 

State departments of transportation (DOTs) are striving to maintain staffing levels and worker skillsets, as high turnover rates deplete the transportation industry of the skills and knowledge required to meet the public’s needs. To address these challenges, state DOTs need to expand their workforce to anticipate the workforce needs of the future. State DOTs are exploring the science of workforce management to determine how to best support the changing workforce. The levels of workforce planning knowledge and access to effective workforce strategies vary across the state DOTs.  

A state DOT community of practice has emerged to develop tangible resources that state DOTs can put into practice. This community has also highlighted the challenges state DOTs face in allocating the needed resources to effectively address workforce issues while concurrently addressing the needs of the traveling public with a changing workforce. Research is needed to identify and address the needs of state DOT leadership for current workforce challenges and prepare them for future workforce needs. 

OBJECTIVE

The objective of this project is to develop a guide for state DOTs and other transportation agencies to identify priority workforce needs, address current workforce challenges, and anticipate the needs of an evolving and diminishing workforce. 

RESEARCH TASKS 

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 subaward 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. Conduct a literature review. In addition to national- and state-level transportation research, consider private sector and other public agency workforce planning studies relevant to state DOT functions. As applicable, consider literature resources from nontransportation sectors. 

Task 2. Develop a stakeholder outreach plan. A geographically and functionally diverse set of public and private stakeholders should be engaged. For the stakeholders engaged, the outreach should be broad and include, for example, contacts in human resources and leadership. The plan should describe how to identify and engage the most relevant staff within the stakeholders contacted. For each stakeholder, engagement should include discussion of quantitative and qualitative information used in workforce planning. Submit a technical memorandum containing the literature review and draft outreach plan. NCHRP approval is required before work on subsequent tasks begins. 

Task 3. Conduct stakeholder outreach. Identify stakeholders interested in participating in further outreach in Phase II.    

Task 4. Prepare an annotated outline for the guide and research plan for Phase II. Based on findings from Tasks 1 and 2, prepare an annotated outline of the guide and a research plan for developing it. At minimum, the guide should help transportation agencies to:

• Identify systemic gaps in workforce capabilities and processes, e.g., compensation constraints, job classifications, automation, and safety
• Assess their needs and organizational readiness for human capital plans
• Prioritize their workforce planning and development (WPD) needs
• Identify available workforce resources and successful/innovative practices in transportation and other sectors, e.g., technical solutions, and how these resources can address current and potential workforce challenges
• Understand the resources and time needed to (a) conduct WPD; and (b) prepare leadership for future workforce needs
• Identify workforce analytics from any sector applicable to state DOTs and other transportation agencies
• Determine funding sources for WPD
• Outline training and talent management pipelines for the workforce cross-section
• Propose a management plan for ensuring relevancy of findings post-research 

Task 5. Prepare Interim Report No. 1 that documents Tasks 1 through 3, includes potential participation from stakeholders in Phase II, and, as possible, proposes associated tools. The report shall provide an updated and refined work plan for the remainder of the research in Phase II. 

Note: Following a 1-month review of Interim Report No. 1 by the NCHRP, the research team will be required to meet with the 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 II

Task 6. Develop a draft guide and associated tools according to the approved Interim Report No. 1. The draft guide, and the associated tools as applicable, should be submitted at least 6 months before the contract end date. NCHRP approval of the draft guide and any associated tools is required before work on subsequent tasks may begin.

Task 7. Conduct additional stakeholder outreach. After NCHRP approval of the draft guide and any associated tools, conduct a workshop or other outreach to obtain feedback from stakeholders and revise the draft guide, associated tools, and outreach materials.

Task 8. Prepare the final deliverables. Deliverables shall include (1) a report summarizing the research effort, (2) the guide and any associated tools, (3) an implementation plan for state DOTs and other transportation agencies (see Special Note J), and (4) the outreach materials with a slide summary introducing the guide.

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

SPECIAL NOTES

A. Revisions to the Information and Instructions for Preparing Proposals for the Transportation Research Board’s Cooperative Research Programs are highlighted in yellow within that document. 

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 IV 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 Subawardees. The proposer recommended by the project panel will be required to submit an Investigator Conflict of Interest and Disclosure Form as a prerequisite for subaward 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/7181. 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; and, if relevant, (5) the adequacy of the facilities. A recommendation by the project panel is not a guarantee of a subaward. 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 subaward negotiations continue. 

G. Copyrights - All data, written materials, computer software, graphic and photographic images, and other information prepared under the subaward and the copyrights therein shall be owned by the National Academy of Sciences. The subawardee and lower-tier subawardees 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 subawardee and lower-tier subawardees will not be allowed to sell the project material without prior approval by the National Academy of Sciences. By signing a subaward with the National Academy of Sciences, subawardees accept legal responsibility for any copyright infringement that may exist in work done for TRB. Subawardees 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 Subawardees. 

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 Subawardees 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 selected proposers are considered subawards to the National Academy of Sciences, the parent organization of TRB. TRB Cooperative Research Program subawards 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) or audited indirect rates shall be subject to a maximum allowable indirect rate of 15% of Modified Total Direct Costs (de minimis rate). Modified Total Direct Costs include all salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $50,000 of each lower-tier subaward. 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 in excess of $50,000. 

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 subawardee 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 subawardee will ensure adequate communication and coordination with their lower-tier subawardees 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.