REQUEST FOR PROPOSALS
RESEARCH ON
LAND POLICY AND URBAN DEVELOPMENT IN LATIN AMERICA
The Lincoln Institute of Land Policy announces its 2011 call for research proposals on land
policy and urban development in Latin America. The research proposals will be reviewed
competitively based on the weighted evaluation criteria indicated below. These criteria favor
empirical studies that use reliable data and rigorous analytical methods, employing original field
work and/or secondary data. Research outputs are expected to result in papers appropriate for
publication. Proposals addressing issues related to climate change and land policy will be jointly
evaluated and financed by the Program on Latin America and the Caribbean and from the
Department of Urban Planning and Urban Form.
The researchers selected through this RFP process will be invited to participate in a seminar to
review and discuss draft papers. In addition, the Lincoln Institute will provide other opportunities
for researchers to exchange ideas and discuss their methodology and analytical strategies.
This year the call for proposals includes a special funding line for short reports describing
innovative successful land policy initiatives in the region.
The Institute will consider proposals on the following research themes:
I. PUBLIC POLICY AND URBAN LAND OUTCOMES
Public interventions often induce changes in urban land use, price, and other land outcomes that
can lead to changes in personal wealth and social welfare. Thus, it is important to understand how
policies affect urban land markets and how market agents interact under different policies. Areas
of special interest include government and private sector interactions on the urban land market;
modes of policy implementation and how that affects policy outcomes; and the consequences of
public policy and explanations for unintended outcomes. Research on these topics will focus on
the following specific urban policy areas:
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Investment in public transit and/or infrastructure for one or more transport modes.
Land use regulations, such as building codes, zoning, and subdivision standards.
Documentation and analysis of how urban regulations are implemented and what impacts
they have on land markets.
Regularization of informal settlements and slum upgrading programs, including public land
acquisition and titling.
Relationships between land use regulations, urban land markets, and informality.
Land use, fiscal, and financial impacts of large urban projects such as redevelopment of port
areas, revitalization of depressed inner-city areas or brownfields, and facilities to
accommodate large events.
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Alternatives to improve the location of affordable housing and to foster diversity and urban
inclusiveness.
Evaluation of initiatives to promote urban social inclusiveness in housing and land markets.
Analysis of instances when land policies and regulations succeeded in holding down the price
of serviced land.
Proposals may also address:
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Methodological studies aimed at improving the analytical techniques to evaluate the impact
of public policies on the functioning of urban land markets.
Pedagogical materials on land markets analysis, such as empirical modeling, hypothesis
testing, construction of land market performance indicators, and spatial analysis methods.
II. LAND-BASED INSTRUMENTS TO FINANCE URBAN DEVELOPMENT
Fiscal and administrative decentralization is occurring in several Latin American countries, and
the importance of local governments in managing urban development is increasing. Although
intergovernmental transfers still account for a significant share of local expenditures, local
governments are seeking to raise revenues for local public goods by improving existing
instruments and exploring new ones to fund and promote urban development. Some countries in
the region are increasing municipal own-source revenues, but they rarely increase revenues from
land-based tributes such as the property tax and value capture instruments. Prior research has
shown that it is possible to create fiscal space at the municipal level through capturing the land
value increments resulting from public interventions. Similarly, many studies have shown the
need for more efficient management of the property tax. This line of research will focus on:
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The efficiency, incidence, and revenue potential of the property tax.
Relationships between the incidence of informality—in its different forms—and fiscal
alternatives to tax informal settlements, or normative adjustments to facilitate taxing informal
property.
Impacts on land price of changes in the implementation of the property tax.
Changes in land price associated with urban improvements due to public sector interventions.
Comparative analysis of innovative approaches to the management of the property tax aimed
at overcoming the present limitations. Case studies of municipal direct revenues that exhibit
dynamic trends.
Local government revenue trends including intergovernmental and intramunicipal revenues,
revenue sharing, intergovernmental transfers, and the composition and level of own-source
local revenues.
Factors that explain dissimilar local revenue performance across jurisdictions with otherwise
similar characteristics, such as governance, political will, tax administration practices, and
technological innovations.
Analysis of the distribution of local taxes according to the income level of taxpayers, and the
fiscal injustice resulting from overreliance on indirect local taxes (such as local sales taxes),
on the relative fiscal burden imposed on the poor.
Comparative analysis of fiscal and other instruments besides the property tax among local
jurisdictions, and the trends in the use of such instruments. For example, the sale of building
rights, development impact fees, betterment contributions, special tax districts, excise taxes,
charges linked to changes in land use regulations, land readjustment schemes, and
progressive property taxation.
Case studies documenting and analyzing the actual use and outcomes of value capture
instruments at the local level, its impacts on urban land markets and on local revenues. These
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studies would also describe the technical features of the instruments and their expression in
local ordinances.
The legal basis for the application of value capture instruments, for example, the separation
of building rights from land ownership rights and relevant enabling legislation.
New methods to finance infrastructure, such as the use of benefit-based taxes, user charges,
and public-private partnerships.
Evidence on the conditions under which land-based charges and particularly value capture
instruments affect (capitalizes on) land value.
III. URBAN LAND MARKETS
Research addressing this topic shall aim to improve our understanding about the functioning of
land markets in Latin American cities, with particular emphasis on studies of interdependencies
between the formal and informal land markets. Also of interest is the analysis of price and rental
behavior in the formal and informal housing market, as well as their differentials across informal
settlements.
Suggested topics include:
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Trends in land price and land use in the formal and informal segments of the market under
different urban land policies.
Effects on land price associated with changes in urban regulations and procedures, such as
subdivision norms and land registration requirements.
Analysis of policies intended to stimulate higher urban densities and discourage urban
fragmentation.
Analysis of the short- and long-term informal housing price trends of different types of
government responses to informality such as titling, special zoning, site-specific upgrading
programs, and affordable housing financing.
Analysis of the reasons that may explain 1) growth of informal housing even though public
policies that intend to mitigate, reduce or prevent informality are in place; and 2) why
households choose informal housing even when they have affordable options in the formal
market.
Analysis of policies intended to coordinate transportation planning and affordable housing
strategies with a view to increase employment accessibility and reduce travel; and the extent
to which appropriate public transportation improvements can increase the capacity to pay for
housing among low-income families.
Proposals may also address:
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Methods to improve the reliability of land price data using information that is readily
available.
Methods to estimate the impact on land prices of public sector investments in infrastructure
and services, as well as land price impacts of changes in zoning and land regulation.
Methods to determine the influence on the real estate market of transport-related public
investments.
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IV. CLIMATE CHANGE, ENVIRONMENTAL RISK, AND URBAN LAND USE
Increasing greenhouse gas emissions worldwide contribute to extreme weather patterns.
If these emissions remain unabated, changes in global temperatures, sea level rise, and
other environmental impacts will have huge implications for human settlements and
economic activities. Latin America, like other regions, has experienced extreme weather
events that caused extensive damage. More research is needed to help the region prepare
for, mitigate, and adapt to these changing conditions and to assess the costs associated
with the settlement of vulnerable areas, both for the residents and for society. Such
research would focus on plausible scenarios for climate change impacts in general and
the effects on land use in particular, with the understanding that predictions are fraught
with uncertainty. Research may also document what is already being done in Latin
America to address climate change, and identify the reasons for success or failure of
specific initiatives.
The research projects related to climate change will be jointly evaluated and funded by
the Department of Planning and Urban Form and the Program on Latin America and the
Caribbean. For this reason, research proposals on this topic must be presented in English.
Suggested research themes:
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Sea level rise and coastal zone management: What are the threats, and how can the
risks be reduced? What are the best ways to adapt to the inevitable rise in sea level in
general, and in particular how can coastal settlements and landscapes be protected.
Where is coastal damage from inundation most likely and to what extent will the
effects vary spatially.
Settlement patterns of the poor that exacerbate their risk exposure: Urban informal
settlements frequently are located in environmentally fragile areas, such as flood
plains and mountain slopes, exposing residents to frequent natural disasters. Thus, it
is likely that the poor will be disproportionally vulnerable to the impacts of extreme
weather events. What policies can be put in place to prevent or minimize such risks?
V. NOTEWORTHY EXPERIENCES IN URBAN LAND POLICY
This special research initiative focuses on the implementation of noteworthy, well
established, effective urban land policies in Latin American cities, with the aim to learn
from experience, disseminate successful policy instruments, and especially to identify
important innovations that will help improve urban land management throughout the
region. The emphasis is on successful cases of policy implementation that potentially can
be adapted to other cities in the region.
The work will consist of a succinct description of the policy, its context, how it has been
applied, and what has been its outcome. The analysis will be based on existing public
data and all the pertinent literature on the policy so additional field work will not be
necessary.
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Selected case studies will be discussed in a regional conference designed primarily for
urban planners and secondarily to the general public. In addition, authors will be asked
to participate in mini-courses designed to foster more in-depth understanding of each
policy experience.
To qualify for this initiative, the policy topic must meet the following criteria:
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Has been effectively implemented in a given jurisdiction during sufficient time to
have had observable impact.
Addresses an important urban development issue, for example raising municipal
revenue or preventing informality.
Uses either an innovative instrument (e.g. CEPAC, as introduced in São Paulo) or a
novel implementation strategy (e.g. negotiations with informal developers), or
introduces the means to overcome a recurrent land management obstacle (e.g. a
reliable method to estimate the value added to real estate property due to public sector
interventions).
Is potentially replicable in other cities.
Has already been somewhat evaluated and information on its design and
implementation is available to the public.
THE RESEARCH SEMINAR
Authors of selected research proposals will be invited to participate in a research seminar that is
tentatively scheduled for October 2012 at a Latin American venue to be chosen by the Lincoln
Institute. At that time participants will have completed their data collection and most of the
analysis, and will be expected to present draft papers for review and discussion. The seminar
provides a unique opportunity for researchers to network with their peers from other parts of
Latin America who are interested in similar research topics. It also promotes interdisciplinary
debate. Peer reviews help authors improve their analytical approach and methodology. The final
papers will be considered for inclusion in the Lincoln Institute of Land Policy Working Papers
series, and may be posted on the Institute’s Web site.
LEVEL OF FUNDING
The Lincoln Institute will pay for the research project based on the scope of work and the
justification of the proposed budget. In addition, the Institute will cover expenses for travel and
accommodations during the research seminar for the lead researcher of each selected project.
Recent project funding has ranged from $6,400 to $120,000, with most projects not exceeding
$30,000. In the case of proposals on successful land policy experiences, the Institute shall pay a
fixed sum of US$3,000 per project.
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EVALUATION OF PROPOSALS
The Lincoln Institute will evaluate the research proposals based on the following criteria:
Weight
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Relevance of the research topic for the advancement of knowledge on the
selected topic
Quality of the proposed methodology and sources of data
General academic qualifications of the members of the research team and
relevant analytical experience as indicated by prior work.
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Incomplete proposals, proposals received after the due date, or proposals that do not respect the
format defined in the attached Guidelines will not be considered.
SCHEDULE
Proposals due:
Awards announced:
First draft paper due:
Research seminar:
Final paper due:
June 19, 2011
July 15, 2011
July 31, 2012
October 15-16, 2012 (tentative date)
January 7, 2013
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About the Lincoln Institute of Land Policy
The Lincoln Institute of Land Policy is a private operating foundation whose mission is to
improve the quality of public debate and decisions in the areas of land policy and land-related
taxation in the United States and around the world. The Institute’s goals are to integrate theory
and practice to better shape land policy and to provide a nonpartisan forum for discussion of the
multidisciplinary forces that influence public policy. This focus on land derives from the
Institute’s founding objective—to address the links between land policy and social and economic
progress—that was identified and analyzed by political economist and author Henry George.
The work of the Institute is organized in three departments: Valuation and Taxation, Planning and
Urban Form, and International Studies, which includes programs on Latin America and China.
We seek to inform decision making through education, research, demonstration projects, and the
dissemination of information through publications, our Web site, and other media. Our programs
bring together scholars, practitioners, public officials, policy advisers, and involved citizens in a
collegial learning environment. The Institute does not take a particular point of view, but rather
serves as a catalyst to facilitate analysis and discussion of land use and taxation issues—to make a
difference today and to help policy makers plan for tomorrow.
Lincoln Institute of Land Policy
113 Brattle Street
Cambridge, MA 02138-3400 USA
Phone: 1-617-661-3016 x127 or 1-800-LAND-USE (800-526-3873)
Fax: 1-617-661-7235 or 1-800-LAND-944 (800-526-3944)
E-mail: help@lincolninst.edu
Web: www.lincolninst.edu
The Lincoln Institute is an equal opportunity institution.
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RESEARCH PROPOSAL GUIDELINES
Language: All sections of the proposal must be submitted in one of the three following
languages: English, Spanish, or Portuguese. The Project Abstract (Form B) must be submitted in
English in all cases. The exception to this rule refers to proposals on climate change that
must be written entirely in English.
Remittance of proposals: Proposals must be received at the Lincoln Institute by June 19, 2011,
and only complete proposals will be accepted. A complete proposal will contain all of the
sections described below.
The proposal format should have one-inch margins for copying on 8.5 x 11-inch (letter size)
paper. All pages should be numbered sequentially. Use font 11 pt. Use page breaks to separate
sections. Submit the proposal by e-mail in one Microsoft Word document. Proposals in PDF will
not be accepted.
Send the e-mail to lacinvestigacion@lincolninst.edu. In the subject line, put last name of lead
researcher, followed by the first name and the number (I, II, III, IV or V) of the specific
research theme the proposal addresses. The specific themes are: I Public policy and urban
land outcomes; II Land-based instruments to finance urban development; III Urban land
markets; IV Climate change, environmental risk and urban land use; and V Remarkable
experiences in land policy.
The Institute will send an acknowledgment by e-mail when your proposal has been received and
reviewed for format accuracy. Please allow five to seven business days after June 19, 2011 to
receive this acknowledgement; we will not be able to respond to individual consultations either
during the review period or prior to the proposals due date.
Incomplete proposals, proposals received after the due date, or proposals that do not
respect the format defined in these Guidelines will not be considered.
Proposal Sections: Proposals must include all the sections listed below in a single Word
document.
1. Proposal Cover Sheet (use Form A). Contact information for the lead researcher and all
other research participants. All correspondence will be made with the lead researcher.
2. Project Abstract (use Form B).
3. Budget (use Form C)
4. Project Description. The project description should not exceed 1,500 words or
approximately three (3) pages, single-spaced. It should cover the following:
a) Research objective and specific research question(s);
b) Theoretical or conceptual framework with reference to the pertinent literature;
c) Methodology, including analytical methods, sources of empirical data, evidence of
data access data, and data collection strategy;
d) Expected results, their application, and dissemination strategy;
e) Role of each participant in the research team, specifying the responsibilities and tasks
assigned to the lead researcher, each research collaborator and/or research assistant;
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f) Partnership arrangements, if the research involves collaboration with academic
institutions, government agencies, private firms, civil society organizations, and/or
community groups. If the research involves other sources of financing besides the
Lincoln Institute of Land Policy, specify the source(s) and any conditions attached to
such financing.
7. Curriculum Vitae and Summary Biography for all participants in the research
project, except research assistants. The CV must not exceed three (3) pages including the
list of publications which should cover only works published in the last five years. The short
summary biography should not exceed 150 words.
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LINCOLN INSTITUTE OF LAND POLICY
Form A
RESEARCH PROPOSAL COVER SHEET
RESEARCH THEME: I (
); II ( ); III ( ); IV ( ) or V ( )
TITLE OF PROJECT:
LEAD RESEARCHER (Full
Title:
Department:
Organization:
Address:
Street:
City:
State:
Postal Code:
Country:
Phone: Country Code (
Fax: Country Code (
E-mail:
Name):
) Area Code (
) Area Code (
RESEARCH COLLABORATOR (Full
Title:
Department:
Organization:
Address:
Street:
City:
State:
Postal Code:
Country:
Phone: Country Code (
Fax: Country Code (
E-mail:
) Number (
) Number (
)
)
) Number (
) Number (
)
)
Name):
) Area Code (
) Area Code (
FOR OTHER PARTICIPANTS (CO-AUTHORS, COLLABORATORS, ASSISTANTS, CONSULTANTS,
INTERVIEWERS, OR OTHERS) SPECIFY CONTACT INFORMATION USING THE ABOVE FORMAT.
How did you learn about this request for research proposals? ( ) Land Lines magazine;
( ) Lincoln Institute Web site; ( ) Colleague; ( ) E-mail; ( ) Listserv; ( ) Mail; ( ) Other.
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LINCOLN INSTITUTE OF LAND POLICY
Form B
PROJECT ABSTRACT
This abstract should state clearly the key purpose and goals of the research project. If your project
is selected for funding, this information may be used in Lincoln Institute catalogs and magazines
and on the Webpage to announce your award.
TITLE OF THE PROJECT:
ABSTRACT: DO NOT EXCEED 100 WORDS
LEAD RESEARCHER NAME:
(must be written in English)
__________________________________
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LINCOLN INSTITUTE OF LAND POLICY
Form C
BUDGET TEMPLATE 1/ 4/
Unit Cost 2/
US$
Category
Type of
Unit
No. of
Units
Total Cost
US$
Personnel Expenses
Lead researcher fees
Research collaborator(s) fees
Research assistant stipend
Personnel expenses sub-total
Travel Expenses 3/
Airfare
Hotel
Meals
Ground transportation
Travel expenses sub-total
Data purchase and/or data
collection
Operational Expenses
Office supplies
Communications (phone, fax, mail)
Other (specify)
Operational expenses sub-total
Other costs (specify)
Total Project Cost
1/
Project expenses must be shown in this table in detail. Do not lump together expenses under a
single heading, as for example fees for all researchers. Show round figures to the dollar.
Equipment and administrative costs cannot be financed.
2/
Examples of unit cost include the daily rates for personnel fees and travel expenses, the monthly
rates for operational expenses. Specify the type of unit that you are using in each case.
Estimate the cost of acquiring data and/or collecting data for the duration of the project.
3/
Travel expenses should not include travel to attend the research seminar.
4/
If this budget template is not appropriate for your project, please replace it with a budget that is
appropriate, keeping the main headings.
LEAD RESEARCHER NAME:
_____________________________________
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LINCOLN INSTITUTE OF LAND POLICY
FREQUENTLY ASKED QUESTIONS
Proposal Format
 Should the entire proposal be single- or double-spaced? Single-spaced.
 Is there a desired format to follow in writing the five-page project description? No.
 How detailed should the five-page project description be? Whatever best conveys the
objective of your proposal in clear language.
 Should the five-page project description include a budget? No. Use Form C for budget.
 Must all submissions be electronic? Yes. Please send proposals by e-mail to
lacinvestigacion@lincolninst.edu.
 Must all submissions be in Microsoft Word? Yes.
 Do I need to send a hard copy of the proposal? No.
 What is the format for the Lincoln Institute of Land Policy Working Paper? This format
will be send to authors of selected proposals at a later date.
Budget
 Can the budget be changed in the course of the research? No, except in case of
reallocation of funds in consultation with the Lincoln Institute.
 Does the Lincoln Institute of Land Policy cover institutional overhead? No.
 What does the award amount cover? The total award covers all direct research
expenditures including personnel, research assistance, data, books, research-related
travel and software or other items deemed indispensable for the development of the
project. Separately, the Lincoln Institute will pay directly for travel and lodging
expenses for the lead researcher to attend the research seminar.
 Does the Lincoln Institute of Land Policy finance acquisition of equipment? No.
 Is there a maximum budget amount? No. Total funding from the Lincoln Institute will
be determined based on the scope of the project and the justification of the proposed
budget.
Evaluation Criteria
 Is it necessary to be a U.S. citizen to apply? No.
 Do you fund only academics? What about practitioners and researchers who do not hold a
Ph.D.? The RFP targets but is not restricted to academics and researchers holding a
Ph.D.
 Can the paper be co-authored? Yes. Contact details for all authors must be mentioned in
the proposal and a lead researcher must be designated as the person responsible for the
project. However, we only cover travel expenses for the lead researcher to attend the
seminar.
 How many proposals do you expect to receive? The average number of responses to
Lincoln Institute RFPs is within a range of 10 to 50 per topic.
 Can I get feedback on the substance of my proposal? No. This is a competitive process,
so all participants must have access to the same information. Thus we will not respond
to individual consultations either during the evaluation period or prior to the proposals
due date.
 Can I make changes to a section of my proposal after having sent it in? Only if you do so
before the final date for submission of proposals and only if you send a complete
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revised version that will replace the original one. Isolated sections of the proposal will
not be considered.
Does the proposal deadline refer to the postmark date or the date of receipt by the
Institute? Date of receipt by the Lincoln Institute.
If you have further questions regarding the Guidelines for Research Proposals, please send
e-mail to lacinvestigacion@lincolninst.edu.
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