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17 Department of Transportation The Department of Transportation is the fifth-largest departmental funder of social knowledge production and application in the federal government, obligating nearly $110 million in fiscal 1977. The depart- ment was established in 1966 and thus represents one of the "new" supporters of social knowledge production and application. The de- partment was created to ensure the coordinated, effective administra- tion of federal transportation programs and to develop national trans- portation policies and programs conducive to the provision of fast, safe, efficient, and convenient transportation. SOCIAL KNOWLEDGE PRODUCTION AND APPLICATION ACTIVITIES Table 17-1 presents the distribution of the department's social knowl- edge production and application obligations. The largest activity is research, accounting for more than 40 percent of the department's total obligations. The second-largest category is general purpose statistics. Within the department, the National Highway Traffic Safety Adminis- tration is the largest funder of general purpose statistics. The third- largest knowledge production and application category is policy formu- lation demonstrations, funded primarily by the Urban Mass Transpor- tation Administration. NOTE: This chapter was written with the assistance of Pam J. Neff. 368
Department of Transportation 369 TABLE 17-1 Department of Transportation Social Knowledge Production and Application Activities ($millions) Activity Fiscal 1975 Fiscal 1976 Fiscal 1977 Knowledge production Research Policy formulation demonstrations Program evaluation General purpose statistics Total Knowledge application 34.0 (41.8)° 7.3 (9.0) 1.4 (1.7) 11.1 (13.7) 53.9 (66.2) Numbers may not total due to rounding. "Numbers in parentheses are column percentages. 43.2 (42.7) 8.9 (8.8) 1.4 (1.4) 20.6 (20.4) 74.1 (73.3) 44.0 (40.1) 17.1 (15.5) 1.9 (1.7) 20.8 (18.9) 83.7 (76.3) Policy implementation demonstrations 15.7 9.7 7.9 (19.3) (9.6) (7.2) Development of materials 5.2 7.7 9.3 (6.4) (7.6) (8.4) Dissemination 6.7 9.7 9.0 (8.2) (9.6) (8.2) Total 27.5 27.0 26.1 (33.8) (26.7) (23.7) TOTAL 81.4 101.1 109.8 (100.0) (100.0) (100.0) ORGANIZATION OF THE DEPARTMENT Figure 17-1 presents an organizational chart of the department. Six of the seven operating administrations support social knowledge produc- tion and application activities. No social knowledge production and application activities were found in the Saint Lawrence Seaway Devel- opment Corporation or the Materials Transportation Bureau. Table 17-2 presents the Department of Transportation agencies that fund social knowledge production and application activities. It is signif- icant that three of the four largest funders of social knowledge produc- tion and application in the department have third parties as their primary audience. The Study Project survey estimates that nearly 66
I I g ? I H "8 i w o s 370
Department of Transportation 371 TABLE 17-2 Department of Transportation Agencies that Support Social Knowledge Production and Application: Profile (fiscal 1977, $ millions) Organizational Predominant Location of Total Social Social Social Knowledge Knowledge Knowledge Production Production Production and and and Application Application Application Primary Goal Agency Obligations Activity Activity" or Audience" Urban Mass 36.1 Policy Operating Knowledge Transportation formulation program for third Administration demonstrations parties National Highway 27.4 General purpose Operating Knowledge Traffic Safety statistics program for third Administration parties Office of the 20.0 Research Policy-making Improvement Secretary office of federal policies Federal Highway 9.0 Research Operating Knowledge Administration program for third parties Federal Railroad 8.8 Research Operating Improvement Administration program of federal programs Federal Aviation 6.5 Research Operating Improvement Administration program of federal programs U.S. Coast Guard 1.9 Research Operating Improvement program of federal TOTAL 109.8 programs Numbers may not total due to rounding. "See Chapter 2 for a more detailed discussion. percent of the department's social knowledge production and applica- tion activities are aimed at third parties, which include: state depart- ments of transportation, state highway departments, public service or utilities commissions, state multifunctional planning organizations, re- gional or local planning agencies dealing with transportation, transpor- tation operators, and universities. The importance of third parties was recognized in the department's 1975 Statement of Transportation Policy: "The value of RD&D (re- search, development and demonstration) expenditures is ultimately realized in their application in government operations and in the private sector. Consequently, effective dissemination of information about
372 SURVEY OF FEDERAL AGENCIES new technology, community demonstration projects, and financial in- centives to utilize cost-effective, energy-efficient technology are essen- tial elements of a complete RD&D program." The department has devoted much effort to dissemination and technology-sharing ac- tivities. These activities are discussed in the departmental publication Technology Sharing, A Guide to Assistance in Obtaining and Using Research, Development and Demonstration Outputs. POLICY AREAS IN THE DEPARTMENT All the social knowledge production and application activities of the department were categorized in the "transportation and communica- tion" policy area. While some projects might have been categorized in other policy areas, the focus of every program area was clearly trans- portation and thus difficult to categorize elsewhere. A more elaborate policy classification system would have been needed to classify the secondary policy focus of the department's projects and programs, such as the environment, labor relations, etc. FEDERAL AVIATION ADMINISTRATION Social Knowledge Production and Application Obligations (Sthousands) Knowledge Production Activities Knowledge Application Activities Policy Policy Formula- Program General Implemen- Develop- Fiscal Re- tion Dem- Bvalu- Purpose tation Dem- ment of Dissem- Year search onstrations ation Statistics Total onstrations Materials ination Total TOTAL 1975 4.061 4.061 1.002 1.002 5.063 1976 5.342 5.342 1.097 1.097 6.439 1977 5.371 5.371 1.101 1.101 6.472 The Federal Aviation Administration (FAA) is charged with regulating aviation safety and promoting civil aviation and a national system of airports. The FAA operat/es a system of air traffic control and air naviga- tion for both civilian and military aircraft. Research Social research is conducted by the FAA in several areas: aviation medicine, departmental planning and socioeconomic research, and the environment.
Department of Transportation 373 AVIATION MEDICINE The primary objective of aviation medicine is to increase pilot and aircrew effectiveness and ensure passenger safety. Research provides information necessary to improve the selection, training, and establishment of performance standards for air traffic controllers. Some of the research projects in this area are described below. Personnel Performance The role of stress during training at the FAA Academy was studied. The degree of stress for optimal training effectiveness was determined, and a psycho-physiological evaluation of the relationships of stress to training success was made. Air Traffic Control Workload and Environment A longitudinal study of health change in air traffic controllers was conducted. The study consisted of medical examinations, psychological assessments, and the collection of data on stress. Air Traffic Controller Selection, Training, and Utilization The study attempted to determine the proper human/machine interrelation- ship for air traffic controllers in order to ensure that controller work will be most efficient from the standpoint of human capability. DEPARTMENT PLANNING AND SOCIOECONOMIC RESEARCH FAA socioeconomic research includes the study and investigation of the effects of transportation policies, rules, regulations, and standards on the transportation system, the economy, and society. Studies are con- ducted concerning aviation economics and alternative futures for the aviation industry. ENVIRONMENT This research attempts to identify and minimize the undesirable environmental effects caused by the air transportation sys- tem, including those related to noise emission and land use activities. In 1968, Congress enacted a series of laws that added environmental considerations to the safety, control, and promotional functions of the FAA. To fulfill this responsibility, FAA conducts economic, financial, and energy impact analyses of alternative environmental regulations. Research is supported to develop improved environmental impact pre- diction techniques. Specific studies are described below. Noise Reduction through Airport Use Restrictions Research was supported to develop methodologies to estimate the total costs and benefits associated with airport use restrictions. Land Use Planning Research assisted in developing and evaluating environmentally compatible community land use planning criteria.
374 SURVEY OF FEDERAL AGENCIES Development of Materials Two types of materials are developed by the FAA. The first is materials related to the environmental responsibilities of the FAA discussed above. Handbooks were prepared for the FAA staff and federal, state, and local officials concerning environmental impact statements and their preparation. The environmental impact assessment process eval- uates both the long- and short-term implications to individuals and their physical and social surroundings by exploring and documenting alter- native actions that will avoid or minimize adverse environmental im- pacts. The second type of material is training material for pilots. A major effort is being made to develop innovative training and educational technologies. Computer-aided education and mechanical training de- vices are now being studied. For Further Information Write Federal Aviation Administration, Department of Transportation. 800 Indepen- dence Avenue, S.W., Washington, D.C. 20591. FEDERAL HIGHWAY ADMINISTRATION Social Knowledge Production and Application Obligations (Sthousands) Knowledge Production Activities Knowledge Application Activities Policy Policy Formula- Program General Implemen- Develop- Fiscal Re- tion Dem- Evalu- Purpose tation Dem- ment of Dissem- Year search onstrations ation Statistics Total onstrations Materials ination Total TOTAL 1975 5.350 115 5.465 750 750 6.215 1976 8.107 UK 8.225 2.037 2.037 10.262 1977 8.089 120 8.209 815 815 9.024 The Federal Highway Administration (FHWA) seeks to coordinate highways with other modes of transportation to achieve the most effec- tive balance of transportation systems and facilities under existing fed- eral transportation policies. The agency is concerned with the total operation and environment of the highway system, with particular em- phasis on the improvement of highway safety. FHWA administers a program of financial assistance to states for highway construction as well as the highway beautification program.
Department of Transportation 375 Research FHWA social research is divided into several components: research and development on highways, highway safety research and development, and motor carrier research and development. R&D ON HIGHWAYS Federal highway legislation emphasizes the need to develop and apply new technology to the nation's highway system. FHWA is responsible for identifying and exploiting new technology to permit the highway program to carry out its mission. To accomplish that goal, FHWA also conducts studies to identify future problems. The goal of the R&D program is to develop faster, better, and more eco- nomical solutions to the many problems associated with planning, de- veloping, building, operating, and maintaining an integrated transporta- tion system. Socioeconomic research is funded in several program areas. Metropolitan Intermodal Traffic Management This group of proj- ects analyzes how urban transportation systems operate and develops concepts and techniques for use by local officials in managing traffic. Initial work in this program area has established performance measures for evaluating the effectiveness of urban transportation systems and developed tools for predicting social and environmental constraints, institutional coordination, and citizen participation. Measuring and Improving System Performance The goal of this group of projects is the development of information about the highway system's condition, use, performance, and effects. This information will be needed to establish performance measures for evaluating the transportation system and its effect on the community. Future studies will be conducted to develop or refine measures of the social, eco- nomic, and land use effects of highways on communities and their neighborhoods. Socioeconomic Factors in Highway Engineering and Location This project deals with the development of methodologies for measuring and evaluating the social and economic aspects of highway construction. The methodologies are for use by federal and state operating officers in establishing criteria for design changes and cost- effectiveness considerations relative to alleviating or eliminating ad- verse environmental effects. Improving Planning Methodology The objectives of this pro- gram are to develop new and improved procedures that will enable planners to evaluate and resolve a wide range of transportation issues and program alternatives. Existing planning techniques will be mod-
376 SURVEY OF FEDERAL AGENCIES ified and improved to permit rapid and more responsive decision mak- ing. Improvements will be made in such procedures as travel demand forecasting, social and economic impact assessment, cost allocation, and investment strategies. HIGHWAY SAFETY A major responsibility of FHWA is continually up- dating information on highway design, construction, maintenance, and traffic control devices that have proven successful in improving high- way safety. A safety R&D program has been developed to assist in the development of safety standards. The program aims to identify, cor- rect, and evaluate the effectiveness of potential solutions to the prob- lems of highway death, disabling injuries, and property damage on American highways. Specific aspects of the highway safety R&D pro- gram that concern social research are described below. Traffic and Pedestrian Safety Improvements This program area analyzes data on accidents. The safety aspects of the 55-mph speed limit are being evaluated. Pedestrian accident countermeasures are being identified and their effectiveness in reducing accidents evaluated. Recommendations have been developed on ways to control speed on residential streets. Railroad Highway Grade Crossing Research The goal of this pro- gram is improving safety conditions at railroad highway grade crossings. Accident data are analyzed to develop predictions of acci- dents for different types of warning devices. Cost-benefit studies have also been performed to indicate whether grade crossing protections will return greater benefits for a given level of investment than will grade separation. MOTOR CARRIER SAFETY R&D A limited amount of social research is funded in this area. The goal of this program is to reduce the incidence of truck and bus highway accidents by regulating the safety of motor carriers engaged in interstate transportation of goods and people. Op- timal work-rest schedules have been developed by performance tests. The administrative feasibility of licensing physicians examining inter- state commercial drivers has been studied. General Purpose Statistics FHWA collects accident data for commercial motor carriers involved in interstate operations. These data are collected to identify areas of high accident frequency so that regulatory safeguards can be developed or revised.
Department of Transportation 377 Dissemination FHWA has an active dissemination program for the implementation of results from completed highway safety research projects. Research findings are identified and assessed for their potential benefits. If a research finding is judged to be potentially beneficial, the item is pack- aged, prepared, and promoted so that the user may apply it as quickly and effectively as possible. For Further Information See Annual Report of Federal Highway Administration Research and Development Program, a publication of FHWA, or write Federal Highway Administration, Office of Research and Demonstration. Department of Transportation, 400 Seventh Street, S.W., Washington, D.C. 20590. FEDERAL RAILROAD ADMINISTRATION Social Knowledge Production and Application Obligations (Sthousands) Knowledge Production Activities Knowledge Application Activities Policy Policy Formula- Program General Implemen- Develop- Fiscal Re- tion Dem- Evalu- Purpose tation Dem- ment of Dissem- Year search onstrations ation Statistics Total on st rations Materials ination Total TOTAL 1975 3.060 60 1.534 4.654 4.654 1976 5.273 150 3.292 8.715 8.715 1977 5.620 240 2.991 8.851 8.851 The goal of the Federal Railroad Administration (FRA) is to consolidate government support of rail transportation activities, provide a unified, unifying national policy, administer and enforce rail safety laws and regulations, and administer financial assistance programs for certain railroads. The FRA conducts research and development activities in support of improved intercity ground transportation and future trans- portation requirements. Research Social research is conducted in two major areas: railroad research and development and railroad safety.
378 SURVEY OF FEDERAL AGENCIES RAILROAD RESEARCH AND DEVELOPMENT SoCKll 1'CSCUI'ch foCUSCS OH the study of railroad industry problems and freight car management: Industry Problems The FRA seeks to encourage increased service ability and efficiency in the railroad industry. Increased profitability in the railroad industry is viewed as an alternative to long-term govern- ment funding of large segments of the industry. Specific research areas are: o Carrier financial analysis. Studies are conducted on how railroad operations can be made more efficient and related cost/revenue bene- fits can be passed on to the public. o Railroad network model. Funding was increased in fiscal 1977 for the development and application of operations research and systems analysis techniques and procedures to be used in support of a broad range of network research efforts. General purpose analytical models and data bases are being developed in support of short-term network research and informational requirements. o Commodity service. Commodity service analysis assesses the po- tential for large-scale productivity improvements in the distribution systems of rail-carried commodities. o Passenger service analysis. This program involves studies to de- termine the criteria for establishment of rail-bus through rates and routes in specific areas. Freight Car Management Through this program. FRA supports in- dustry efforts to improve the use of freight cars at all levels of railroad operation. Social research is conducted on: o Systems analysis. Analysis of railroad operations management and short-run policy alternatives and strategies is conducted to im- prove existing management capabilities. o Systems development. Research is funded to develop management systems. RAILROAD SAFETY RESEARCH Human factors analysis is the major topic of social research on railroad safety. The goal of railroad safety re- search is to reduce the number and severity of railroad accidents by improving human/machine interactions. Past work in the FRA human factors program has been devoted primarily to basic research (problem definition, analysis of job requirements, and systems analysis); current research is being conducted in a human factors laboratory.
Department of Transportation 379 Policy Formulation Demonstrations A small demonstration is being conducted on labor and management relations. A program to improve labor-management negotiations is being tested. General Purpose Statistics Statistical data are collected by the FRA in the following areas. WAYBILL STATISTICS These data contain details of shipment, costs, contents of shipments, and shipment routes. The data are used in traf- fic flow studies, commodity movements studies, Interstate Commerce Commission rate cases, revenue studies, safety analyses, and railroad network analyses. COST ANALYSIS DATA Aspart of the railroad research and development program, cost data are collected by the FRA. The data are used in studies concerning economies of scale, production functions, and the nature of cost variability. RAIL SAFETY INFORMATION SYSTEMS A data collection system for rail- road accidents is being developed. Accident reports will be submitted to the FRA Office of Safety. FRA GRADE CROSSING INVENTORY Data collection has been under way for several years. Examples of data collected are type of crossing, number of accidents, causes of accidents, etc. The data are used in various studies to statistically isolate apparent accident-contributing characteristics or to determine cost-ratio benefits for alternative grade crossing improvements, etc. For Further Information See Annual Report on the Railroad Technology Program, or write Federal Railroad Administration, Department of Transportation, 400 Seventh Street, S.W., Washington, D.C. 20590.
380 SURVEY OF FEDERAL AGENCIES NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION Social Knowledge Production and Application Obligations (Sthousands) Knowledge Production Activities Knowledge Application Activities Policy Policy Formula- Program Genera! Implemen- Develop- Fiscal Re- tion Dem- Evalu- Purpose tation Dem- ment of Dissem- Year search onstrations ation Statistics Total onstrations Materials ination Total TOTAL 1975 6.820 3.336 5.140 15 .29 6 6.202 2.708 963 9.873 25.169 1976 5.841 3.301 7.646 16.788 5.602 3.802 932 I0.336 27.124 \9TI 6.123 4.411 10.956 21.490 4.807 l.lll 5.918 27.408 The National Highway Traffic Safety Administration (NHTSA) was es- tablished by Congress in 1970 to promote highway safety and reduce the number of deaths, injuries, and economic losses resulting from traffic accidents on American highways. The agency is responsible for establishing and enforcing safety standards for motor vehicles and re- lated equipment. NHTSA also provides federal matching funds for state and local driver safety programs. Research NHTSA'S social research largely consists of the collection and analysis of data to determine the relationship between motor vehicle character- istics, driver characteristics, and accidents. A small amount of re- search into driver behavior is performed. Specific areas of research are listed below. VEHICLES-IN-USE RESEARCH This program area analyzes data on the vehicle safety of trucks, buses, and motorcycles. This data base sup- ports the formulation of policies concerning inspection criteria. DRUGS AND ALCOHOL RESEARCH This program area collects and analyzes data concerning the frequency of alcohol use in accidents. The objective of this program is to obtain a data base that can be used for the development of cost-effective countermeasures for accident avoidance. DRIVER PEDESTRIAN FACTORS The objective of this program is to pro- mote road safety by analyzing and improving the behavior of pedes-
Department of Transportation 381 trians, bicyclists, unsafe drivers, and seat belt users. Specific studies focus on how to motivate drivers and passengers to use seat belts and how to encourage safe driving behavior. ACCIDENT DATA ANALYSES This program area provides quantitative description and analysis of highway safety problems and trends. These studies attempt to identify causation and provide information on spe- cific injury mechanisms. The data, used in agency decision making, will provide baseline information to assess the effectiveness of NHTSA programs and standards upon U.S. accident and injury rates. Policy Formulation Demonstrations A major activity of NHTSA is providing information to states concerning effective highway safety programs. In order to learn what safety pro- grams and innovations are effective, NHTSA supports several policy formulation demonstrations. Specific projects are described below: ADVANCED couNTERMEAsuREs EXPERIMENT This demonstration tested individual countermeasures to alcohol to establish the most effi- cient and effective countermeasure strategy. Specific countermeasures tested were: enforcement, first offense adjudication, presentence in- vestigation and referral, probation follow-up on convicted drunken drivers, control of drunken drivers by licensing, and reeducation and rehabilitation. TRAFFIC ENFORCEMENT Several sites were selected to test whether the level or type of traffic law enforcement had an impact on driver con- duct and the number and severity of accidents. DRIVER PROGRAMS This program consisted of testing several methods to screen out unqualified drivers. Methods tested were new driver examination criteria, diagnostic procedures, driver rehabilitation pro- grams, and new enforcement procedures to identify suspended drivers who continue to drive. The impact of each method was evaluated. PEDESTRIAN AND CYCLIST SAFETY This program was designed to im- prove the safety behavior of pedestrians and motorcyclists. Coun- termeasures tested were educational materials, educational programs for school children, and the development of a motorcycle safety educa- tion and training center.
382 SURVEY OF FEDERAL AGENCIES General Purpose Statistics NHTSA is responsible for collecting statistics on highway and motor vehicle safety. Figures are collected and published monthly on high- way fatalities. In addition to statistics on fatalities, NHTSA is also re- sponsible for compiling statistics on the nature of highway accidents. The agency's fiscal 1977 increase in statistical obligations is due to the design and field test of the National Sampling Strategy statistical program. The new system is designed to provide reliable, consistent data on accident severity and accident injury causation. The data are to be used by NHTSA in standards development and regulation. NHTSA is also developing a National Accident Reporting System, which will be a continuous sample of all personal injury and property damage accidents in which cars have to be towed. Data will be used by NHTSA to evaluate the effectiveness of countermeasure programs, de- termine problem areas, and track accident trends. The implementation of the system, combined with the ongoing Fatal Accident Reporting Systems, will provide NHTSA for the first time with a comprehensive data base on which to make decisions regarding the establishment of safety standards. Policy Implementation Demonstrations NHTSA'S major policy implementation demonstration, the Alcohol Safety Action Project (ASAP), ended in fiscal 1976. Thirty-five ASAPS were funded over a six-year period. The objective of the ASAP was to reduce alcohol-related accidents and to marshall community resources to attack the problem of drinking and driving. The ASAP program dem- onstrated a multifaceted approach to alcohol countermeasuresâthe program encompassed enforcement, punitive sanctions, rehabilitation, public information and education, etc. The program encouraged the police, prosecutors, courts, and rehabilitation agencies to coordinate their efforts, compare problems, and work out solutions in a cohesive manner. Instead of testing specific alcohol countermeasures, as was done by the Advanced Countermeasures program, the Alcohol Safety Action Project was intended to stimulate and serve as a catalyst for state and community planning and implementation of alcohol countermeasures. Since the start of ASAP, 17 states have developed and implemented comprehensive alcohol safety programs at the state level. Other states have adopted specific countermeasure programs.
Department of Transportation 383 Development of Materials NHTSA also supports the development of a variety of materials. Specific materials development includes the following. MANPOWER DEVELOPMENT This program supports the development of curriculum materials for the training of state and local highway safety managers. DRIVER EDUCATION This program develops and tests driver education curriculum materials for secondary schools. Manuals and training ma- terials are also prepared for state and local highway agencies on driver education. DRIVER LICENSING This program supports the development of tests, standards, and screening techniques for identifying persons not capa- ble of driving. The program also develops criteria of mental and physi- cal fitness. TWO-WHEELED VEHICLE RIDER SAFETY This program develops cduca- tional materials and safety manuals for bicycles and motorcycle safety. Dissemination The Alcohol Public Education program supports public information and dissemination efforts designed to increase the public's, especially young people's, awareness of the dangers of drinking and driving. NHTSA disseminates information to state and local highway agencies about highway safety programs and the results of its research and demonstration activities. For Further Information See NHTSA Research and Development Programs, a publication of NHTSA, or write National Highway Traffic Safety Administration. Department of Transportation, 400 Seventh Street, S.W., Washington, D.C. 20590.
384 SURVEY OF FEDERAL AGENCIES OFFICE OF THE SECRETARY Social Knowledge Production and Application Obligations (Sthousands) Knowledge Production Activities Knowledge Application Activities Policy Policy Formula- Program General Implemen- Develop- Fiscal Re- tion Dem- Evalu- Purpose tation Dem- ment of Dissem- Year search onstrations ation Statistics Total onstrations Materials i nation Total TOTAL 1975 10.720 465 3.293 14.478 26 H4 2.427 2.597 17.075 1976 13.233 385 6.723 20.34I 277 226 3.097 3.600 23.941 M77 12.477 590 3.523 16.590 165 m 3.160 3.425 20.015 The Office of the Secretary is responsible for both the general adminis- tration of the Department of Transportation and policy development. The Department of Transportation Act of 1966 assigned the Office of the Secretary broad responsibilities for the development and coordina- tion of national transportation policies and programs. The act au- thorized the office to fund research activities and studies that would directly support the secretary's policy planning responsibilities. Con- gress felt that such studies might be more effectively and appropriately conducted by the Office of the Secretary rather than by the operating agencies in the department. Research The Office of the Secretary's social research is funded in six major program areas: transportation planning, transportation policy devel- opment, policy and planning information base, university research, transportation systems development and technology, and special studies. TRANSPORTATION PLANNING This program area yields information needed by the department to formulate future national transportation policies. Specific areas of research are: National planning, which aims to assess the future development of the nation's transportation system under various planning assumptions and conditions; to improve existing analytical planning tools and de- velop new ones; and to contribute to the improvement of the overall planning capabilities of the department.
Department of Transportation 385 Forecasting, which develops short-, medium-, and long-term fore- casting skills and models to help the department plan and evaluate alternative transportation policies. TRANSPORTATION POLICY DEVELOPMENT This program area supports systematic research and analysis needed to develop sound policy rec- ommendations dealing with major transportation issues. Specific areas of research are: Research to improve service and productivity, which focuses on ways to make more effective use of the nation's existing transportation infrastructure and to improve overall service. Economic viability of the transportation industry, which studies the government's role in fostering efficiency in the transportation sector. Specific studies have focused on railroad and airline regulation policies. Intermodal relationships and problems, which analyzes alternative allocation patterns between different transportation modes. Specific projects include a study of federal transportation subsidies, effective- ness of user charges, and transportation regulatory reform. Automobile benefits and costs, which analyzes alternative govern- mental policies toward the automobile. Specific projects include the study of the energy-intensiveness of automobiles, cost-benefit analyses of automobile use, and a survey of factors underlying intercity auto- mobile travel. POLICY AND PLANNING INFORMATION BASE This aTCa prOVldeS 3tt ifl- formation base for departmental decision makers to use in identifying emerging issues and reviewing past policy and planning decisions and their effects. Specific areas of research are: National system assessment, which supports studies to examine the relationship and impact of federal programs upon state and local trans- portation decision making. Specific studies include an examination of the impact of federal planning and grant requirements on state and local programs. Development of performance measures, which supports research to identify a set of measures that can be applied by federal, state, and
386 SURVEY OF FEDERAL AGENCIES local governments to describe the current and future performance of the major transportation systems. Impact analysis of BART (Bay Area Rapid Transit in San Fran- cisco), which is supported to aid other jurisdictions across the nation who are contemplating or concerned about the introduction of fixed rail facilities. Many aspects of the BART experiences have been analyzed. Fifty-five mph awareness program, which analyzes the effect of the department's mass media advertising campaign to persuade the public to adhere to the 55-mph speed limit. The public's acceptance of the law is also being evaluated. UNIVERSITY RESEARCH The purpose of the department's university re- search program is to encourage the resources of the university commu- nity to be effectively brought to bear on national, state, and local transportation problems, with specific attention to national problems. The program supports university research programs, team research projects, individual research projects, and university-based seminars. Specific areas of research include transportation policy, regulation and finance, transportation system improvements, transportation technol- ogy, and transportation safety. TRANSPORTATION SYSTEMS DEVELOPMENT AND TECHNOLOGY ThJS pTO- gram area is primarily concerned with technological research and de- velopment. Topics of technology R&D include pollution control, fuel conservation, transportation construction costs, etc. Social research supports an assessment of energy-efficient vehicles in the highway system, which examines the socioeconomic impact of the introduction of the fuel-efficient vehicle in the nation's automotive fleet. Simulation models are developed for the projection of consumer vehicle needs with regard to durability, passenger and baggage capacity, and per- formance. Supply and demand studies are also performed. SPECIAL PROGRAMS This program area supports the activities of the assistant secretary for environment, safety, and consumer affairs. Re- search is supported on environmental affairs, a program area con- cerned with assisting in the development, monitoring, and coordination of departmental policies, programs, and activities relating to the broad environmental and social aspects of transportation. Specific project areas include: transportation of the handicapped and elderly: transpor-
Department of Transportation 387 tation measures to achieve and maintain air quality; effects of land use and coastal zone management plans on transportation systems; and transportation alternatives to and within national parks and national forest recreation areas. Other special programs that support a limited amount of social re- search are transportation security and facilitation affairs. Program Evaluation Program evaluation activities have focused on an analysis of the de- partment's R&D Management Program. These studies enable the de- partment to update and revise its R&D management system. Evalua- tions are also conducted to assess the effect of department research on the implementation of transportation policy. General Purpose Statistics The largest statistical program in the department is the National Trans- portation Data Base. This data base provides the department, other federal agencies, states, and industry with comprehensive and consis- tent statistical information on transportation activity throughout the country. Data are collected on: person movement (air passenger travel, intercity travel) and commodity movement (National Shipper Survey, Truck Commodity Flow, Foreign Commodity Travel). Other departmental statistical collections include: o Transportation Safety Information System, which is designed to collect data for intermodal safety comparison and the development of safety performance trends. o U.S. Cargo Data Interchange System, which is designed to pro- vide an information system on domestic and international cargo ship- ments. o Cargo Loss Data, Analysis, and Estimates, which prepares and presents data concerning cargo theft by city, commodity, and cause of loss. The decrease in general purpose statistics between fiscal 1976 and fiscal 1977 is accounted for by the completion of the national system assessment data collection. Data were gathered from state and local governments regarding their transportation expenditures and the levels of expenditures programmed through 1980.
388 SURVEY OF FEDERAL AGENCIES Policy Implementation Demonstrations A small demonstration program was supported on consumer education in transportation. Transportation Awareness Clinics were held in schools to instill an awareness in the education community of the im- portance of transportation to consumers and the need for effective consumer education programs in transportation. Development of Materials A series of handbooks was prepared concerning environmental analysis of highway and airport projects. The handbooks contain guidelines on how to prepare environmental impact statements for such projects. Dissemination The largest component of the department's dissemination program is the Transportation Research Activity Information Service, which is an advanced information retrieval service that contains all the R&D proj- ects supported by the department. Its major audience is the depart- ment's R&D staffs. The department also supports Project TRISNET (the Transportation Research Information Services Network), which aims at developing a network of federal, state, and private technical information services. When fully developed, TRISNET will consist of regional document re- positories and technology application centers that are supported by a common computerized data base of technical abstracts and descrip- tions of ongoing projects. In addition to the information retrieval systems, the department also supports a Technology and Knowledge Sharing Program, which is con- cerned with the transfer of R&D results to users across the nation. The program also supports studies of transportation R&D needs. For Further Information To obtain information on the university research program, write Office of University Research, Office of the Secretary (TST-60), Department of Transportation, 400 Seventh Street. S.W., Washington. D.C. 20590. For information on all other programs supported by the Office of the Secretary, write Office of the Secretary, Department of Transporta- tion, 400 Seventh Street, S.W., Washington, D.C. 20590.
Department of Transportation 389 U.S. COAST GUARD Social Knowledge Production and Application Obligations (Sthousands) Knowledge Production Activities Knowledge Application Activities Policy Policy Formula- Program General Implemen- Develop- Fiscal Re- tion Dem- Evalu- Purpose tation Dem- ment of Dissem- Year search onstrations ation Statistics Total onstrations Materials ination Total TOTAL 1975 762 100 862 134 134 9% 1976 889 100 989 93 93 1.082 1977 I.350 300 100 1.750 195 195 1.945 The U.S. Coast Guard, which became a component of the Department of Transportation in 1967, is both an agency in the department and a branch of the Armed Forces of the United States. In addition to its armed forces responsibilities, the Coast Guard has these respon- sibilities: search and rescue, law enforcement, marine environmental protection. Coast Guard Auxiliary, and merchant marine safety. Research Small amounts of research are funded in several areas. FUTURE TECHNOLOGY To ensure continuing responsiveness over the next 10 to 15 years, research is funded to monitor emerging tech- nologies and identify potential future capabilities that may contribute to improved productivity and the effectiveness of mission perform- ance. Economic studies and analyze cost-benefit factors associated with emerging technologies. RECREATIONAL BOATING SAFETY Quantitative studies are performed to analyze risks associated with vessel safety, human factors, and mate- rials. These studies assist in the development of Coast Guard regula- tions. IMPROVING MARINE ENVIRONMENTAL PROTECTION A limited illllOlint Of research is funded on port activity planning. In order to plan port activity and safety requirements, studies are conducted to forecast capability for ports and waterway use. Program Evaluation In fiscal 1977, an evaluation was funded to study the effect of the Coast Guard's energy conservation activities.
390 SURVEY OF FEDERAL AGENCIES General Purpose Statistics The Federal Boating Safety Act of 1971 required that the Coast Guard conduct a series of nationwide boating surveys. The survey assesses the number of boating accidents and fatalities. The data are used to analyze the causes of accidents and those measures that have the po- tential for accident reduction. Development of Materials Educational materials are developed concerning boating safety. For Further Information Write U.S. Coast Guard, 400 Seventh Street, S.W., Washington, D.C. 20590. URBAN MASS TRANSPORTATION ADMINISTRATION Social Knowledge Production and Application Obligations (Sthousands) Knowledge Production Activities Knowledge Application Activities Policy Policy Formula- Program General Implemen- Develop- Fiscal Re- tion Dem- Evalu- Purpose tation Dem- ment of Dissem- Year search onstrations atien Statistics Total onstrations Materials ination Total TOTAL 1975 3.243 3.929 960 944 9.076 9.450 1.202 2.531 13.183 22.259 1976 4.524 5.476 1.000 2.718 13.718 3.784 2.442 3.630 9.856 23.574 1977 5.009 12.400 1.000 3.067 21.476 7.700 3.057 3.866 14.623 36.099 The mission of the Urban Mass Transportation Administration (UMTA) is to assist in the development of improved transportation facilities, equipment, techniques, and methods. UMTA provides assistance to state and local governments for the planning and establishment of area-wide urban mass transportation systems. In fiscal 1977, UMTA had the largest social knowledge production and application obligations of any agency in the Department of Transportation. The agency conducts knowledge production and application activities on all phases of urban mass transportation. The goal of UMTA R&D is to assist in the reduc- tion of urban mass transportation needs, to improve mass transporta- tion service, and to help meet total urban transportation needs at minimum cost.
Department of Transportation 391 Research The social research activities of UMTA are conducted in three pro- grams: research, development, and demonstration; the technical studies program; and the university research and training program. RESEARCH, DEVELOPMENT, AND DEMONSTRATION The general of this program is to provide knowledge about alternative technologies (including the social and economic feasibility of those technologies) that can be used to improve mass transportation service. This knowl- edge can then be applied by policy makers at the various levels of government. Specific areas of social research are described below. New Systems and Automation While this program is largely con- cerned with the development and testing of advanced modes of urban transportation service, one part of the program has analyzed the social, economic, and environmental aspects of Automated Guideway Transit systems. Policy Development and Program Evaluation The objective of this program is to develop a better understanding of emerging urban trans- portation problems and requirements and to improve capability to as- sess the costs, impacts, and effectiveness of alternative transportation problems. This program has the following major components: o research on alternative mass transit investment policies of the federal government; o studies in support of transportation system management policies; and o research on policies, procedures, and programs to carry out UMTA'S legislative mandates. Management Techniques and Methods This area is concerned with assisting public transportation operators in improving their manage- ment and operational effectiveness and efficiency. Social research is conducted on ways to evaluate manpower needs and improve man- agement training. TECHNICAL STUDIES (SYSTEMS ANALYSIS AND EVALUATION) In thJS program, UMTA provides planning assistance to state, metropolitan, and local governments. This program contains a special studies com- ponent that examines the impact of new urban transportation systems, such as the Bay Area Rapid Transit (BART) System in San Francisco and the Morgantown Automated Guideway Transit System. These
392 SURVEY OF FEDERAL AGENCIES studies examine the effects of such transit systems on an area's travel behavior, land use. environment, energy, life styles, and institutions. UNIVERSITY RESEARCH AND TRAINING GRANTS THJS program SUppOrtS 3 small grants program aimed at the solution of urban transportation problems by encouraging and expanding the relationships between the university and local urban transportation agencies. In many respects, the program is similar to the university grants program sponsored by the Office of the Secretary. Policy Formulation Demonstrations This is the largest knowledge production and application activity in UMTA. The policy formulation demonstrations are funded through the Research. Development, and Demonstrations program as two major types: experimental demonstrations and exemplary demonstrations. The experimental demonstrations have been categorized as policy for- mulation demonstrations, while the exemplary demonstrations have been categorized as policy implementation demonstrations (discussed below). Experimental demonstrations can be viewed as the "research" for the exemplary demonstrations. This type of demonstration focuses on testing specific questions or providing particular services, rather than adopting the more comprehensive service philosophy as seen in exemplary demonstration programs. Thus, the purpose of experi- mental demonstrations is to develop and test concepts to the point at which they merit widespread use. Innovative ideas and novel ap- proaches to mass transit services are tested; if proven successful, they then become exemplary demonstrations. (It should be emphasized that services, rather than technologies, are being tested and thus qualify for inclusion in this survey. Technological demonstrations have been excluded.) Examples of experimental demonstration projects planned for fiscal 1977 include: o testing the concept of auto-free or auto-restricted zones in downtown areas; o testing the concept of designating the most congested zones of downtown areas as "priced areas" and developing a charge system for using cars in those areas; . o testing the feasibility of using waterways to carry commuters; o testing the "Shared-Ride Auto Service," a project that will license private automobile operators to carry passengers on commuter trips between well-defined origins and destinations; and
Department of Transportation 393 o a "price and service level" demonstration, which will identify the price and service levels that cause significant increases in transit rider- ship, especially noting increases from previous automobile users and the shift to off-peak transit use. Program Evaluation The "special studies" components in the Technical Studies program support several activities that can be termed program evaluations. The program has been used to evaluate and develop UMTA policies as they relate to the improvement of the transit planning process. Such studies include an evaluation of transportation impact studies on a nationwide basis and an assessment of the relationship of those studies to the ongoing transportation planning process. It should be noted that many of the demonstration projects have a clear evaluation component that is included in the cost of the demon- stration. In addition, some of UMTA'S research projects could be termed "evaluation research." Those projects were judged to be more appropriately categorized as research than as program evaluation. General Purpose Statistics UMTA conducts a series of travel surveys deemed essential to support the department's analysis and evaluation activities. In fiscal 1977, the three surveys described below were conducted in cooperation with the Federal Highway Administration and the Office of the Secretary. TRAVEL-TO-WORK SURVEY This survey is designed to generate infor- mation on commuter travel, such as modal choice, origin and destina- tion locations, trip length and duration, and travel behavior. NATIONWIDE PERSONAL TRAVEL SURVEY This survey will complement the survey of travel-to-work by including data on all trips other than commuting travel. FINANCE STATISTICS SURVEY UMTA, in conjunction with the Federal Highway Administration, conducts an annual survey of state and local governmental units to obtain public investment and program informa- tion regarding highway and transit activities. The surveys enable UMTA to monitor and analyze transportation financing and investment pat- terns of state and local governments. In addition, UMTA supports an operational data collection system, which is still in the developmental stage. Once established, the report-
394 SURVEY OF FEDERAL AGENCIES ing system will enable UMTA to monitor the performance, efficiency, and level of service of transportation systems throughout the nation. Policy Implementation Demonstrations As noted above, UMTA supports experimental and exemplary demon- strations. The first type, experimental demonstrations, have been categorized as policy formulation demonstrations. The second type, exemplary demonstrations, are excellent examples of policy implemen- tation demonstrations. Exemplary demonstrations serve a change- agent role and seek to bring about widespread diffusion of relatively proven concepts and techniques. Some of the exemplary demonstra- tion projects planned for fiscal 1977 include: o integrated fixed-route and demand-responsive projects, which in- clude a series of demonstrations that will go beyond the conventional, self-contained, dial-a-ride service and demonstrate the integration of bus and taxi demand-responsive service; o subscription service projects in areas in which commuters cannot be served conveniently or economically by conventional fixed-route transit; thus, subscription services may be needed to increase vehicle occupancies and decrease the number of single-occupant efforts; o a series of demonstrations to demonstrate ways in which the transportation needs of those unable to afford or to use an automobile (the young, old, poor, handicapped, and unemployed) can be met; several demonstrations are planned in conjunction with local social service agencies; and o a group of "corridor" demonstrations to promote successful traf- fic management techniques that address the problem of peak-hour con- gestion and people movement in heavily trafficked urban corridors (e.g., express bus lanes and service, etc.) Development of Materials UMTA supports the development of handbooks, planning models and guidelines, simulation models, and computer software concerned with "area-wide demand-responsive transit." Case study materials are also prepared in disseminating the lessons learned from locally initiated integration of areawide demand-responsive and fixed-route services. There are several other programs in UMTA that support the develop- ment of materials. The Human Resources and Technical Development program supports the development of curriculum and training materials
Department of Transportation 395 for public transportation managers. This program also assists the transit industry in the development of testing techniques and practices related to organizational and employee development activities. Finally, the University Research and Training program supports the develop- ment of courses and curriculum materials for classes in urban transpor- tation. Dissemination UMTA supports a variety of dissemination activities. The Planning, Methodology, and Technical Support program disseminates materials and techniques to assist federal, state, and local agencies in the plan- ning, implementation, and operation of urban transportation systems. A package of computer-based tools for multimodel transportation planning, the Urban Transportation Planning Systems, is actively dis- seminated by UMTA through training sessions and technical assistance activities. The package is a planning model that analyzes long-range transportation policy impacts, such as land development, transporta- tion system costs, levels of service, corridor travel volumes, and en- ergy use. Technical assistance is also provided by several other programs. Various components in the Management Techniques and Methods pro" gram provide technical assistance to state and local transportation agencies. Software products are widely disseminated through technical assistance activities. The Technical Studies Program also has a major program of techni- cal assistance, through which it makes direct grants to state govern- ments to deliver technical assistance to cities. The program attempts to make states the focal point for developing management technical as- sistance. Through this program, states provide training courses, semi- nars, and materials to localities. For Further Information See Innovation in Public Transportation, a description of research, development, and demonstration funded by UMTA, or write Urban Mass Transportation Administration, 400 Seventh Street, S.W., Washington, D.C. 20590.
