NCHRP 2017 Annual Report (2017)

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3 THE STATES’ HIGHWAY RESEARCH PROGRAM The critical role of state DOTs The state DOTs created NCHRP in 1962 to find answers to common problems in highway planning, de- sign, construction, operation, and maintenance. The state DOTs, through AASHTO, are the sole sponsors of NCHRP. The program is operated in cooperation with FHWA and is administered by TRB, part of the National Academies of Sciences, Engineering, and Medicine. Fifty-five years after the pro- gram’s creation, state DOTs con- tinue to be the driving force behind NCHRP research. The members of AASHTO—the DOTs of the 50 states and the District of Columbia—come together every year to fund, select, and oversee NCHRP research projects aimed at providing research-based solu- tions that address the states’ most criti- cal challenges. States provide the funding for NCHRP Each year, state DOTs voluntarily commit to NCHRP research 5.5 percent of the State Planning and Research (SPR) portion of their Federal-Aid-Highway funds. FHWA requests and pools these state contri- butions and, under a cooperative agreement, makes them available for research contracts and for adminis- tration of the program by TRB. Available funds for NCHRP have remained strong during the past 20 years, rising along with increases in the Federal-Aid-Highway funds provided by Congress and the corresponding growth of SPR funds. The Intermodal Surface Transportation Efficiency Act (ISTEA) resulted in a funding level of approximately $17 million for NCHRP for fiscal years 1992 through 1997. This was increased by more than 50 percent on average in fiscal years 1998 through 2003 by the Transportation Equity Act for the 21st Century (TEA-21), which Congress extended, resulting in $35.4 million for FY 2004. The last two federal highway acts—the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) and the Moving Ahead for Progress in the 21st Century Act (MAP-21)—resulted in an average of $42 million being programmed for fiscal years 2013 through 2017. A slight increase was experienced as a result of the Fixing America’s Surface Transportation (FAST) Act, signed into law on December 4, 2015. See Exhibit 1 for the past five years of budget alloca- tions. “When we conduct research, it must translate into results in the field that directly benefit the users of the transportation system.” Brian Ness, Director, Idaho Transportation Department, Chair, AASHTO Special Committee on Research and Innovation Exhibit 1. Budget Allocations for NCHRP, FY 2014 to FY 2018 Allocations FY 2014 FY 2015 FY 2016 FY 2017 FY 2018 New projects and continuation projects $29,916,000 $28,630,000 $30,840,000 $31,525,000 $37,017,000 Administration, technical direction, panels, and publications $11,300,600 $12,064,000 $11,332,000 $11,746,000 $11,870,000 Total $41,216,600 $40,694,000 $42,172,000 $43,271,000 $48,887,000

4Searching TRB databases helps submitters of problem statements avoid duplicating research. States select NCHRP research projects A thorough process of consultation and review by subject matter experts from the state DOTs, AASHTO, FHWA, and TRB ensures that each proposed research project is vetted prior to being considered for funding. The process is led by AASHTO R&I, which provides oversight to NCHRP. R&I is composed of 16 state DOT members (four from each of the four AASHTO regions) plus ex officio members from FHWA and other federal agencies. In addition, the R&I chair must be the CEO of one of the state DOTs, and the vice-chair is the chair of the AASHTO Research Advisory Committee (RAC), composed of research directors from all AASHTO member departments. In July of every year, R&I invites the submission of research problem statements from three authorized sources: (1) AASHTO member transportation departments, (2) the chairs of AASHTO’s committees and subcommittees, and (3) FHWA. Problem statements are due October 15 each year and should explain why the research represents an immediate need and is of interest to the majority of states. The proposed research should have a high probability of success and should not duplicate other research that is under way or completed. Submitters are asked to search the relevant literature in TRID—the world’s largest bibliographic transportation database, which combines the records of TRB’s Transportation Research Information Services (TRIS) and the Organization for Economic Cooperation and Development (OECD) Joint Transport Research Centre’s International Transport Research Documentation—and the Research in Progress (RiP) database to determine if similar efforts are already under way or if satisfactory answers are already available. In December, NCHRP prepares a report of proposed continuation projects and new problem candidates. This report is sent to members of R&I and RAC as a ballot for rating each of the candidates according to need, value, and appropriateness. The ballot results are used to establish a preliminary ranking to help structure the discussion of candidates by R&I at its March meeting. In March, based on expected funding for the next fiscal year, R&I allocates funds for new and continuation projects. Once the program is developed, R&I sends a report to the AASHTO Board of Directors (CEOs of each of the member departments) requesting final approval. A favorable vote of at least two-thirds of the member departments is required. In addition, each year’s program must be approved by FHWA and accepted by the National Academies. An average of 120 problem statements and 20 requests for continuation are received each year. Continuation projects include quick-response research for AASHTO committees; research carried out under NCHRP subprograms, such as the Synthesis series, the IDEA program, and the Domestic Scan Program; and projects from previous years that request additional funds to build on their success with additional research. In recent years, R&I has funded approximately 40 new projects each year. “Under the direction of R&I, TRB en- sures that the states’ investment in NCHRP research pays off by finding new and improved ways to deliver transpor- tation products and services that meet society’s needs.” Christopher J. Hedges, Director, Cooperative Research Programs, Transportation Research Board

5A cumulative total of 1,842 research contracts have resulted from all NCHRP yearly programs through 2017. The FY 2018 program will add another 42 new contracts and 22 continuations. See Exhibit 2. Exhibit 2. Number of Research Projects Selected by R&I, FY 2014 to FY 2018 Projects FY 2014 FY 2015 FY 2016 FY 2017 FY 2018 Continuation projects 15 12 16 16 22 New projects 50 46 45 37 42 Total projects 65 58 61 53 64 Total project funds $29,916,000 $28,630,000 $30,840,000 $32,275,000 $35,317,000 Funding for the FY 2018 program is expected in early 2018, permitting execution of contracts and initiation of research. R&I will formulate the FY 2019 program in March 2018 based on proposals solicited in July 2017, the beginning of another cycle of NCHRP research. States help guide NCHRP research projects Each research project is assigned to a panel of subject experts who are very knowledgeable in the project area and who will provide technical guidance and counsel throughout the research and reporting phases. A broad search is made for these individuals, and TRB usually receives about four to five times as many nominees as are needed. Panel members do not act as consultants or advisors to project investigators; they may not submit proposals for research. All members serve without compensation, and their total yearly contribution to the program adds up to thousands of staff-days. The panel members are drawn from all walks of professional life, with heavy dependence on practitioners from AASHTO member departments. See Exhibit 3. Exhibit 3. Affiliations of Panel Members on Active Projects (Current number of active projects = 377) Affiliation Panel Members* Number Percentage State agencies 1,283 54 Federal agencies 59 2 Local, transit agencies, MPOs 109 5 Educational institutions 271 12 Industry, consultants, associations 613 26 Other 20 1 All 2,355 100 * Does not include liaison representatives. Panel members assume a number of key responsibilities for helping ensure the quality of NCHRP research. Project panels analyze the initial problem that was submitted, develop a fi- nal project scope and objectives, and then prepare a formal request for proposals from qualified research agencies. The panels review the research proposals, recommend contract awards, and provide coun- sel to the NCHRP staff members responsible for management of the research contracts. Finally, the panels review final reports for acceptability and for accomplishment of the approved research plan.