BACKGROUND

The number of people experiencing homelessness in the United States has increased in recent years; state transportation rights-of-way (ROWs) are often some of the most accessible areas to set up temporary encampments. This growing trend of encampments on state ROWs has presented unprecedented challenges for state departments of transportation (DOTs) in the design, construction, and maintenance of infrastructure; there are no widely accepted guidelines to address these challenges.

There is a need to develop a guide that presents rational approaches for addressing challenges for state departments of transportation (DOTs) in the design, construction, and maintenance of infrastructure resulting from encampments on state ROWs. This guide will serve as a resource for state DOTs in identifying and implementing practices for reducing the challenges associated with encampments.

Recent work completed under NCHRP Project 20-129, “Guide for Addressing Encampments on State Transportation Rights-of-Way,” provided a review of some of the issues related to the encampments on the ROWs and proposed a preliminary research plan for developing related guidance (see Special Note A). However, additional research is needed to further define the challenges for DOTs in the design, construction, and maintenance of highway infrastructure resulting from the growing trend of encampments on state ROWs and develop guidance for addressing these challenges and reducing their adverse impacts.

OBJECTIVE

The objective of this research is to develop a guide of suggested practices for addressing the challenges for state DOTs in the design, construction, and maintenance of highway infrastructure resulting from encampments on state ROWs. 

Accomplishment of the project objective 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. Identify the challenges for state DOTs in the design, construction, and maintenance of highway infrastructure resulting from encampments on state ROWs and assess their impact on state DOTs operations. This information may be obtained from published and unpublished information, and contacts with public and private organizations.

Task 2. Identify new and existing practices for addressing the challenges for state DOTs in the design, construction, and maintenance of highway infrastructure, and the issues affecting their implementation (e.g., environmental impacts, legal concerns, and funding constraints). Evaluate these practices and identify those recommended for inclusion in the guide.

Note: Proposals shall include the research team’s current thinking regarding the process proposed for evaluating the identified practices and for identifying those recommended for inclusion in the guide.

Task 3. Based on the evaluation performed in Task 2, prepare an updated, detailed work plan to be executed in Phase II that includes an approach for developing the guide of suggested practices.

Note: Proposers must include in the proposal a plan that provides detail on the proposer’s current thinking regarding the work anticipated in Phase II for developing the guide of suggested practices and include an outline of the proposed guide. The plan must address how the issues identified in Task 2 will be addressed/considered in the guide. The work proposed for Task 5 must be divided into subtasks, and proposers must describe in detail the work proposed in each subtask.

Task 4. Prepare an interim report that documents the research performed in Tasks 1 through 3. Following review of the interim report by the NCHRP, the research team will be required to make a presentation to the NCHRP project panel. Work on Phase II of the project will not begin until the interim report is approved and the Phase II work plan is authorized by the NCHRP. The decision on proceeding with Phase II will be based on the contractor’s documented justification of the updated work plan.

Note: The research team shall submit the Phase I interim report within 5 months from subaward and meet with NCHRP within 1 month of report submission. The meeting is expected to be in-person and held in Washington, DC. NCHRP will host the meeting and be responsible for any panel member costs to attend meeting.
 
PHASE II

Task 5.  Execute the Phase II plan approved in Task 4. Based on the results of this work, prepare the guide.

Task 6. Prepare a series of concise briefing documents, appropriate for use by transportation agencies and others, to illustrate use of the guide to address selected challenges.

Note: Proposals shall include the research team’s current thinking regarding the number and content of the proposed briefing documents.

Task 7. Prepare material, in a PowerPoint or other format, for use in webinars and presentations to facilitate implementation and use of the developed guide. 

Task 8. Prepare a stand-alone technical memorandum titled “Implementation of Research Findings and Products” (see Special Note K) to facilitate implementation of the proposed guide.

Task 9. Prepare a final deliverable that documents the entire research effort. The deliverable shall include (1) a research report documenting the work performed in the project and used to develop the guide, (2) the guide, (3) the briefing documents, (4) the presentation material, and (5) the implementation plan. The guide shall be prepared as a stand-alone document.

Note: The research team shall submit the draft final deliverable within 15 months from subaward; the remaining 3 months shall be for NCHRP review and comment and for research agency preparation of the final deliverables.

SPECIAL NOTES

A. Background information is contained in an interim report and research plan prepared under NCHRP Project 20-129, available at https://www.nationalacademies.org/webdocs/nchrpproject20-129interimreport/20-129%20Interim%20Report-For%20Posting.pdf?channelToken=b9515dcea9b44b1caeec286a25accf32&download=false&tStamp=1728504838753

B. 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.

C. 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.

D. 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. 

E. 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/6592. Proposers may not contact panel members directly; this roster is provided solely for the purpose of avoiding potential conflicts of interest. 

F. 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.

G. 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. 

H. 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.

I. 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.

J. 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.

K. 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

L. 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.

M. 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. 

N. 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.