Transportation Research Implementation: Application of Research Outcomes (2015)

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C o n f e r e n C e P r o C e e d i n g s 5 1 Transport Research Implementation Application of Research Outcomes Summary of the Second EU-U.S. Transportation Research Symposium Andrea Meyer and Dana Meyer, Working Knowledge Rapporteurs April 10–11, 2014 Paris, France Organized by the European Commission Office of the Assistant Secretary for Research and Technology, U.S. Department of Transportation Transportation Research Board Washington, D.C. 2015 www.TRB.org

Transportation Research Board Conference Proceedings 51 ISSN 1073- 1652 ISBN 978-0-309-29559-8 Subscriber Categories Education and training; finance; research, data and information technology; policy Transportation Research Board publications are available by ordering individual publications directly from the TRB Business Office, through the Internet at www.TRB.org or national-academies.org/trb, or by annual subscription through organizational or individual affiliation with TRB. Affiliates and library subscribers are eligible for substantial discounts. For further information, contact the Transportation Research Board Business Office, 500 Fifth Street, NW, Washington, DC 20001 (telephone 202-334-3213; fax 202-334- 2519; or e-mail TRBsales@nas.edu). Printed in the United States of America. NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the project were chosen for their special competencies and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to the procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. This project was organized by the European Commission; the Office of the Assistant Secretary for Research and Technology, U.S. Department of Transportation; and the Transportation Research Board of the National Academies. Planning Committee for EU-U.S. Transportation Research Symposium No. 2: Technology Transfer and Implementing Research Results John Mason, Auburn University, USA, Cochair Jesus Rodríguez, University of Madrid, Spain, International Cochair Marit Brandtsegg, Norwegian Public Roads Administration, Norway Anne Ellis, Arizona Department of Transportation, USA Francesca La Torre, University of Florence, Italy Astrid Linder, Swedish National Road and Transport Research Institute, Sweden William Millar, American Public Transportation Association (retired), USA Ragunathan Rajkumar, Carnegie Mellon University, USA Transportation Research Board Staff James Bryant, Senior Program Officer–Maintenance and Preservation Engineer Monica A. Starnes, Senior Program Officer Joanice Johnson, Associate Program Officer Martine A. Micozzi, former Senior Program Officer–Management, Policy, and International Relations TRB Publications Office Janet M. McNaughton, Senior Editor Mary McLaughlin, Proofreader Jennifer J. Weeks, Manuscript Preparation Juanita L. Green, Production Manager Cover design by Beth Schlenoff, Beth Schlenoff Design Typesetting by Carol Siegel

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vPreface This document provides a summary of the entire content of the Second EU-U.S. Transportation Research Symposium held April 10–11, 2014, in Paris, France; all presentations, comments, and discussions are included. The summary is organized by symposium session or breakout session with a concluding section that synthesizes the suggestions that emerged from the symposium. This format was selected to give the reader a full understanding of the ideas expressed as well as to document the lessons learned and offer recommendations for successful implementation of research outcomes. The purpose of the Second EU-U.S. Transportation Research Symposium was to promote cooperation across the Atlantic and share best practices for the implementation of research outcomes in the field of surface transportation at the local, state, national, and international levels. EU-U.S. cooperation can optimize public funding of transportation research. This symposium was the second in a series of four annual symposia, the first of which, “City Logistics Research: A Transatlantic Perspective,” took place in Washington, D.C., on May 30–31, 2013 (1). The overarching goal of the symposia series is to promote common understanding, efficiencies, and transatlantic cooperation within the international transportation research community while accelerating transportation sector innovation in Europe and the United States. An EU-U.S. planning committee handpicked a group of high-level researchers, infrastructure owners, research managers, funding agency officials, private- sector experts, managers, and end users from the United States and the European Union to attend the 2-day symposium and provide ideas on how to improve the implementation of transportation research to increase long-term returns on investments. The symposium’s multifaceted structure and interactive format enabled the widest input from the 62 assembled experts. The symposium was divided into five sessions that featured a total of 29 presentations and extensive question-and-answer sessions to cover the context of the issue, stakeholder perspectives, institutional incentives for implementation, research for implementation, and the bridge between principles and practice. The symposium format included two cycles of breakout group discussions that tapped into the combined expertise of the group to consider key questions. The first day’s breakout session focused on stakeholders’ perspectives on implementation and divided the participants into three stakeholder pools: funders, researchers, and implementers–users. Each stakeholder group looked at the drivers of successful research, impediments to research application, and inhibitors to deployment from its particular perspective. The second day’s breakout session randomly assigned funders, researchers, and implementers–users to groups to further discuss and summarize ideas for increasing the success of transportation research and removing the impediments to its implementation. The symposium opened with two presentations of commissioned white papers that gave an overview of the hypotheses about successful transportation research and

vi discussed 13 case studies of successfully implemented research. The text of both papers is included in the appendixes to these conference proceedings. One finding was that research and research-derived innovations face two valleys of death: first, when a line of research fails to reach some sort of prototype or early commercialization stage, and second, when the prototype or early product is not adopted at scale. Throughout the symposium, participants provided suggestions for making research more deployable and for breaking down barriers to implementing innovation in transportation systems. Participants offered a wide vari- ety of suggestions for improving the efficacy of transpor- tation research to produce successful implementations at scale. Some suggestions focused on research methods, researcher incentives, and more systematic tracking of research and research outcomes. Other suggestions emphasized the need for greater involvement of all stake- holders, better communications between researchers and stakeholders, and opportunities to improve research effi- ciency via joint projects. The participants also identified some systemic obstacles that could be mitigated to accel- erate the adoption of research. This report, prepared by the symposium rappor- teurs, is a compilation of the presentations and a factual summary of the ensuing discussions at the event. The planning committee’s role was limited to planning and convening the conference. The views contained in the report are those of individual symposium participants and do not necessarily represent the views of all par- ticipants, the planning committee, the Transportation Research Board (TRB), the European Commission, the U.S. Department of Transportation, or the National Research Council. This symposium summary was reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making the published summary as sound as possible and to ensure that it meets institutional standards for objectivity, evidence, and responsiveness to the project charge. The review comments and draft manuscript remain confidential to protect the integrity of the process. TRB thanks the following individuals for their review of the summary: Michael Bonini of the Pennsylvania Department of Transportation, James Dockstader of the Florida Department of Transportation, Barbara T. Harder of B. T. Harder, Inc., and Laura Melendy of the University of California, Berkeley. Although the reviewers listed above provided many constructive comments and suggestions, they did not see the final draft of the symposium summary before its release. The review of this summary was overseen by Susan Hanson of Clark University (emerita). Appointed by the National Research Council, she was responsible for making certain that an independent examination of this summary was performed in accordance with estab- lished procedures and that all review comments were carefully considered. Responsibility for the final content of this summary rests entirely with the authors and the institution. RefeRenCe 1. Conference Proceedings 50: City Logistics Research: A Transatlantic Perspective. Transportation Research Board of the National Academies, Washington, D.C., 2013. http://www.trb.org/Publications/Blurbs/170031.aspx. T R A N S P O R T R E S E A R C H I M P L E M E N T A T I O N

vii Acronyms AAR Association of American Railroads AASHTO American Association of State Highway and Transportation Officials ACRP Airport Cooperative Research Program AID Accelerated Innovation Deployment AIS Automatic Identification System BASt Federal Highway Research Institute (Germany) BNSF Burlington Northern Santa Fe railroad BRT bus rapid transit CEDR Conference of European Directors of Roads CEE Central and Eastern European CEN European Committee for Standardization CEO chief executive officer CIP Competitiveness and Innovation Framework Programme (European Union) CMU Carnegie Mellon University COMPRIS Consortium Operational Management Platform River Information Services COST European Cooperation in Science and Technology CPB Corporate Partnership Board CRADA cooperative research and development agreement CRPs cooperative research programs DOT department of transportation ECDIS Electronic Chart Display and Information System EN European Standard ENR1 ERA-NET ROAD 1 ENR2 ERA-NET ROAD 2 EPA Environmental Protection Agency ERA-NET European Research Area–Network ERA-NET ROAD Coordination and Implementation of Road Research in Europe ERRAC European Rail Research Advisory Council ETG Expert Task Group ETP European Technology Platform EUTRAIN European Transport Research Area International Cooperation Activities FAA Federal Aviation Administration FEHRL Forum of European National Highway Research Laboratories FERSI Forum of European Road Safety Research Institutes FFRDC federally funded research and development center FHWA Federal Highway Administration

viii T R A N S P O R T R E S E A R C H I M P L E M E N T A T I O N FRA Federal Railroad Administration FTA Federal Transit Administration GDP gross domestic product HCM Highway Capacity Manual HMCRP Hazardous Materials Cooperative Research Program HSM Highway Safety Manual IHSDM Interactive Highway Safety Design Model (software) INCARNATION Efficient Inland Navigation Information System INDRIS Inland Navigation Demonstrator for River Information Services IP intellectual property IPR intellectual property rights IPTP International Public Transportation Program IT information technology ITF International Transport Forum (of OECD) JRC Joint Research Centre (of European Commission) KYTC Kentucky Transportation Cabinet LCC life-cycle costing MOU memorandum of understanding MUTCD Manual on Uniform Traffic Control Devices NAPA National Asphalt Pavement Association NASA National Aeronautics and Space Administration NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NCRRP National Cooperative Rail Research Program OECD Organisation for Economic Co-operation and Development OEM original equipment manufacturer OST-R Office of the Assistant Secretary for Research and Technology OTT Office of Technology Transfer (Emory University) PAM Program for Asset Management (Netherlands) PCaTS pedestrian countdown timers at traffic signals PIANC World Association for Waterborne Transport Infrastructure PPLT protected–permitted left turn PPP public–private partnership PVO Platform Expansion Joints (Netherlands) R&D&I research, development, and innovation RAC Research Advisory Committee RAMS reliability, availability, maintainability, and safety RFP request for proposal ROI return on investment RWS Rijkswaterstaat (Netherlands) SBIR Small Business Innovation Research SHEEP security, health, environment, economics, and politics SHRP 2 second Strategic Highway Research Program SME small and medium-sized enterprise TADS Trackside Acoustic Detection System TCRP Transit Cooperative Research Program TFHRC Turner–Fairbanks Highway Research Center TNO Netherlands Organisation for Applied Scientific Research TRB Transportation Research Board TTCI Transportation Technology Center, Inc. UHPFRC ultrahigh-performance fiber-reinforced concrete UNIFE Association of the European Rail Industry UTC university transportation center WMA warm-mix asphalt

Contents WElCoME ANd INTRodUCToRy REMARkS ................................................................................ 1 Session 1 SETTINg ThE SCENE ........................................................................................................................... 3 Transportation Research Implementation in the European Union and the United States: Observations and Working Hypotheses ................................................................................................3 John F. Munro and Ángel Aparicio Lessons Learned from Case Studies of Successful Research Implementation in Europe and the United States ............................................................................................................5 Joris Al and Mark Vandehey Keynote Speech: Transport Research Implementation: What Society Really Needs ..............................8 Terry Hill Discussion ...........................................................................................................................................10 Breakout Session 1 STAkEholdER PERSPECTIvES oN IMPlEMENTATIoN ............................................................. 13 Alessandro Damiani, Francesca La Torre, and Harold (Skip) Paul Funders’ Breakout Session ...................................................................................................................13 Researchers’ Breakout Session .............................................................................................................14 Implementers–Users’ Breakout Session ................................................................................................15 Session 2 INSTITUTIoNAl INCENTIvES ANd dISINCENTIvES To SUCCESSfUl IMPlEMENTATIoN ............................................................................................. 17 Institutional Program Experiences Addressing Research Implementation ............................................17 Ann Brach Building Research Programs for Deployment: Road Authorities Working Together ...........................20 Steve Phillips Discussant 1: Michael Trentacoste ......................................................................................................23

Discussant 2: Liam Breslin .................................................................................................................23 Full Group Discussion .........................................................................................................................24 Session 3 fRAMINg ANd CoNdUCTINg RESEARCh To ENSURE IMPlEMENTATIoN ......................... 28 Policy, Data, and Research: Getting Value from International Collaboration in Research and Policy Analysis ..........................................................................................................28 José Viegas Transportation Research Board’s Cooperative Research Programs: Considering Implementation from the Start ........................................................................................30 Stephen Andrle Designing Road Safety Research Aimed at Increasing Implementation Possibilities and Assuring Actual Safety Improvements ..........................................................................................32 Horst Schulze Discussion ...........................................................................................................................................35 Session 4 USINg RESEARCh RESUlTS IN EffECTIvE WAyS........................................................................ 40 Implementation of R&D Results in Railway Infrastructure ................................................................40 Luis Fernando López Ruiz Implementation of R&D Results in Operating Roads and Motorways ...............................................42 Allen Biehler User–Procurer’s Approach to the Vehicle–Infrastructure Interaction ...................................................44 Christopher Martin Implementation of R&D Results in a Multimodal Urban Environment, Including Public Transport ..................................................................................................................45 Natalia de Estevan-Ubeda Discussion ...........................................................................................................................................48 Breakout Session 2 IdENTIfyINg ThE SUCCESS fACToRS .......................................................................................... 52 Breakout Group 1 ...............................................................................................................................52 Breakout Group 2 ..............................................................................................................................52 Breakout Group 3 ..............................................................................................................................53 Session 5 fRoM PRINCIPlES To PRACTICE ................................................................................................... 55 Final Discussion ..................................................................................................................................55 Concluding Keynote Address ..............................................................................................................56 Kirk Steudle Final Remarks by the Organizers ........................................................................................................57

Synthesis SUggESTIoNS foR SUCCESSfUl IMPlEMENTATIoN of RESEARCh...................................... 58 Andrea Meyer and Dana Meyer Context: Impediments to Innovation in a Risk-Averse System ............................................................58 Suggestion: Structure the Research ......................................................................................................59 Suggestion: Involve the Stakeholders ...................................................................................................61 Suggestion: Disseminate Research Outcomes ......................................................................................62 Suggestion: Mitigate Systemic Impediments ........................................................................................63 Suggestion: Manage the Double-Edged Swords: Accelerators and Impediments .................................64 Suggestion: Track Research and Implementation over the Long Term ................................................65 APPENdIXES A. CoMMISSIoNEd WhITE PAPER 1 Transportation Research Implementation in the European Union and the United States: Observations and Working Hypotheses .............................................................................................67 Ángel Aparicio and John Munro B. CoMMISSIoNEd WhITE PAPER 2 Lessons Learned from Case Studies of Successful Research Implementation in Europe and the United States .........................................................................................................91 Joris Al and Mark Vandehey C. fINAl PRogRAM ......................................................................................................................... 143 d. SyMPoSIUM ATTENdEES .......................................................................................................... 147