Highway Research Current Programs and Future Directions -- Special Report 244 (1994) / Chapter Skim
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Special Report 244 HIGHWAY t!
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1994 TRANSPORTATION RESEARCH BOAJU) EXECUTIVE COMMIITEE Chairman: Joseph M
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Special Report 244 HIGHWAY RESEARCH Current Programs and Future Directions Research and Technology Coordinating Committee TRANSPORTATION RESEARCH BOARD National Research Council National Academy Press Washington, D.C.
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Transportation Research Board Special Report 244 Subscriber Category IA planning and administration Transportation Research Board publications are available by ordering individual publications directly from the TRB Business Office or by annual subscription through organizational or individual affiliation with TRB. Affiliates and library subscribers are eligible for substantial discounts.
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Research and Technology Coordinating Committee H Nop.ij' ABRAMSON, Chairman, Southwest Research Institute, San Antonio, Texas (retired)
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FRANCIS FRANCOIS, American Association of State Highway and Transportation Officials, Washington D.C. Transportation Research Board Staff STEPHEN R
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Preface The Research and Teclmology Coordinating Committee (RTCC) was established as the result of discussions during 1990 and early 1991 among the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the Transportation Research Board.
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vi Preface quence, we have prepared this report for our own edification but have also sought to document information in such a way that it might be useful as well to top-level decision makers and administrators in both the public and private sectors. We have attempted to include enough information about major programs so that we and others can build on that knowledge base, but to do so without becoming overwhelmed by the details of individual projects.
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Contents Executive Summary 1 1 Introduction 18 Objective of Report 21 Context of Report 22 Organization of Report 23 2 The Highway Industry 25 Profile of Highway Industry 25 Highway Spending 31 Problems and Challenges Facing Highway Industry 33 Implications for R&T Activities 35 3 Highway Research and Technology Programs 37 Major Highway R&T Programs and Related Activities 37 Review of Selected Highway R&T Programs 58 Spending by Major Highway R&T Programs 62 4 Classifying Highway Research 66 Alternative Approaches to Categorizing Research 66 Alternative Framework for Grouping Research Activities 71 5 Mapping the Highway Research Program Using the New Framework 78 Methodological Issues 78 FHWA R&T Activities 80 NCHRP R&T Activities 80 State Highway Agency R&T Activities 81 Conclusions Drawn from Mapping 83
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6 New Directions for Highway Research and Tethnology Programs 88 Strengths of Highway R&T 88 Committee's Vision for Highway R&T 90 Emphasis Areas for Future Highway R&T Program 95 Concluding Comments 101 Study Committee Biographical Information 104
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Executive Summary Americans depend on highways, and highway agencies depend, in turn, on research and technology (R&T) to provide the means to make highways last longer, operate more efficiently and safely, and do less damage to the environment.
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2HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS describes the natic) n's highway industry and the major highway R&T programs.
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Executive Summary 3 as well as preferences for using local suppliers and contractors on publicly funded projects. For example, in 1991 only about 12 percent of highway construction contractors performed work outside their home states.
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4 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS The highway industry is now redefining its mission. For 35 years, construction of the Interstate system was the centerpiece of the U.S.
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TABLE ES-i Sun'unary Information on Major Highway R&T Programs FHWA SP&R" NCHRPb Private' Agenda setting FHWA develops a 5-year plan each Projects nominated by agency staff; AASHTO Standing Committee Varies on basis of existing year for Congressional budget some states ask local areas fur project on Research selects projects demand for problem-solving or hearings; process is internal and ideas; FHWA approves annual work using proposals from states, product development. bottom-up.
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HIGHWAY RESEARCH: CURRENT PROGFMS AND FUTURE DIRECTIONS Federal Highway Administration FHWA is the single largest sponsor of highway research. FHWA appropriations in 1993 included $168.5 million for research and $32.5 million for technology transfer activities.
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Executive Summary -- 7 Each state initiates and selects its own SP&R activities, but FHVVA approves and monitors projects, primarily to avoid duplication. Program activities include contract research, in-house research, technology transfer, technical assistance to regional and local transportation agencies, materials and equipment testing, and staff technical development and training.
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8 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS research. Annual funding by the association research programs identified for this report is roughly $21 million a year (see Chapter 3)
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Executive Summary 9 TABLE ES-2 Summary of Expenditures for Highway R&T Programs, 1993 EXPENDITURE [$ millions (%)
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10 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DlitecrloNs Category 2: Breakthrough Research To Improve Highway Performance and Costs Research in Category 2 has the same objectives as that in Category 1, but it attempts to achieve those objectives with breakthrough or innovative tecimologies that might lead to dramatic improvements in highway performance and cost. Compared with Category 1, this research is speculative, with relatively high risks but also potentially high payoffs.
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Executive Summary 11 Category 5: Improvements in Intermodal Transportation Services That Involve Highways Research in Category 5 addresses interconnections between highways and other modes and ways in which these interconnections can be modified or developed to improve door-to-door intermodal transportation services. Each of the major public-sector research programs spends a modest amount on research in this category; amounting to roughly 1 percent ofexpenditures.
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12 HIGHwAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECrIoNs liminary investigations or consultations related to local problems, such as premature failures, that may lead to new research or technology transfer activities. FHWA is supporting the start-up of a new organization to test private-sector highway products.
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Executive Summary 13 tingency planning process that explicitly recognizes that uncertainties exist about the future. And the R&T program should include more exploratory, high-risk research that could lead to significant performance and cost improvement through revolutionary changes via new technologies, materials, and methods because the potential payoffs can be large.
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14 HIGHWAY RESEARCH: CuRRENT PROGRAMS AND FUTuRE DI1aIoNs although not comprehensive, contams topics that the committee believes should be included in future research agendas; additional topics may be added as a result of additionaiwork by the committee. Reassessment of U.S.
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Executive Summary 15 of design changes, material choices, system performance, and policy proposals whose objectives to reduce harm to the environment are related to transportation; and Realistic guidance about how strategies that use transportation-related activities, such as recycling waste products in highway construction, can be used to achieve environmental benefits while meeting established requirements for safety, reliability, durability, and cost-effectiveness developed to protect public investments. Contracting for Innovation Contracting and procurement practices for both highway R&T and highway construction are important to innovation in highway transportation because they affect the time involved in implementing innovations.
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16 HIGHWAY RESEARCH: CURPJNT PROGRAMS AND FUTURE DIRECTIONS cials (whose participation in and response to the SHRP activities have been positive)
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Executive Summtry 17 complex problems requiring equally complex solutions. Initiatives such as the Interagency Coordinating Committee for Transportation Research and Development within the National Science and Technology Council could help bring about greater interagency cooperation in research efforts aimed at developing solutions.
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I Introduction Americans depend on highways. They use highways for nearly 90 per-cent of their travel, and virtually all freight travels by highway for some portion of its journey to the marketplace.
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Introduction 19 nal and collector highways is $400 billion (DOT 1991)
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20 Hu.;Hw! \Y REsEARch: CuItRENT PROGR,\MS AND FUTURE DhIucrIoNs began a modest renaissance in highway R&T activity in the United States that still continues.
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introduction 21 (million $1,400 $1,200 $1,000 $800 $600 $400 $200 $0 Space 'ay Assessment Infrastructure Infrastructure FIGURE 1-2 Fcdcral funding for R&D directly relevant to transportation: approximately $2.9 billion in FY 1994 (source: Volpe National Transportation Systems center)
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22 HIGHwAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS broad overview of highway R&T.3 It attempts to portray the current highway R&T program at a level that matches the interests of policy makers, top agency officials, and others who need to understand the program and exercise broad program oversight. The report also presents the committee's own framework for classifying highway R&T activities and maps 1993 R&T spending in terms of the categories of that framework.
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Introduction 23 from asphalt pavement to traffic signal systems. Although the committee focused on just a snapshot of the program activities, principally those funded in FY 1993, it strove to examine them in the light of previous efforts, recognizing the continuing nature of the program.
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24 HIGHWAY RESEARCH: CuB.RENT PROGRAMS AND FUTURE DIRECTIONS ABBREVIATIONS CERF Civil Engineering Research Foundation DOT U.S. Department of Transportation ISTEA Intermodal Surface Transportation Efficiency Act of 1991 IVHS intelligent vehicle-highway system NHTSA National Highway Traffic Safety Administration R&D research and development R&T research and technology SHRP Strategic Highway Research Program STRS Strategic Transportation Research Study TRE Transportation Research Board
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The Highway Industry T he highway industry in the United States is a large, highly decentral-ized public/private enterprise that is vital to the nation's economy. The unique character of this industry creates an unusual set of opportunities and barriers for innovation that have shaped highway research and technology (R&T)
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26 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS cle use; and truck operations and terminal facilities. Key characteristics of the industry are summarized in the following sections.
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The Hghway Industry 27 Decentralized Administration of Highway System State and local governments are the primary owners and administrators of the highway system. Altogether, about 39,000 public agencies from states, counties, cities, and other units of local government administer pieces of the highway system (FHWA 1992b)
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28 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIoNs tion represents 15 percent of total portland cement sales and 18 percent of structural steel sales, but any single project uses only a small fraction of each product. Similarly, highways are the major user of asphalt cement, but asphalt cement represents only a tiny share of the total market for petroleum products (TRB 1984)
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TABLE 2-2 Selected Revenue and Employment Data Illustrating Dispersed Nature of Companies Involved in Highway Construction, 1990 (DOC 1993)
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30 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIP.ECTIONS leadership and discipline to resist the temptation to cut costs by simply reducing service and to keep public agencies focused on the search for new methods that lower costs while providing equal or better service. On the private side, firms have little incentive to innovate because better products do not always result in better sales.
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The Highway Industry 31 integrated highway and vehicle systems that apply new computer and communications technologies. Second, given the rising difficulties and costs associated with solid waste disposal, some people see highway construction as a logical opportunity for recycling certain waste products, usually as fill material or as additives to portland cement or asphaltic concrete.
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TABLE 2-3 Distribution of Highway Expenditures, 1992 (FHWA 1992a)
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The Highway Industry 33 lated to total spending on construction and reconstruction, with a 20 percent allowance for design and right of way, agency contractors spend about $12 billion a year for basic construction materials and other supplies. This figure excludes contractor labor costs as well as the cost of materials purchased for mamtenance, which are substantial, so it certainly understates highway spending for materials.
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34 HIGHWAY RESEARCH: CuIu.ENT PROGRAMS AND FuTuax DI1ucrIoNs the number of annual fatalities is at its lowest point since the early 1960s (NHTSA 1993; HUFSAM 1991)
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The Highway Industry 35 borhood, viability, needs of users of nonmotorized transportation, and access for the disadvantaged. Similarly, factors such as an aging population, whose members increasingly will be losing their driving permits, and a growing immigrant population with limited English language skills, whose members will be obtaining their driving permits, will have implications for the design and operation of the highway and transportation systems.
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Highway Research and Technology Programs T he large and fragmented highway industry is served by a highly dis-persed research community, which includes federal, state, and local transportation agencies, universities, national associations, and private firms. In recent years, Congress has also assumed a more prominent role in the establishment and direction of research and technology (R&T)
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38 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS (HRD) under the Associate Administrator for Research and Development; the prime responsibility for technology transfer is assigned to the Office of Technology Applications, located under the Associate Administrator for Safety and System Applications.
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Highway Research and Technology Programs 39 have been aimed at developing breakthrough technologies with long-term payoffs: the program has sought primarily to produce incremental improvements in highway performance. Occasionally projects have addressed new technologies; for instance, during the 1970s, FHWA funded several exploratory studies to identify environmentally safe highway deicing materials.
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J Office of Policy Oeveiopraent L -- -- -- I r office of I Highway I information I Management L _...... I Office of Engineering & Highway I Operations R&D L_..
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Key r -- Offices with R&D Activities L -- -- -- i r -- ' OMceol i -- ' R&D Operations I 1 andSupport L___J OffIceof _______ Advanc.d Research L -- - - ri Office of conisacts & Motor Canter Procurements Safety Field Operations Federal.Id I FederalLands Regional Offices i HlghwayOfllce Division Offices Federal Lands Highway Divisions Regional Offices of Motor Canter Safety FIGURE 3-1 FHWA organizational structure showing offices of R&D and technology transfer activities.
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42 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS to state and local highway personnel as well as to individuals in the private sector, focus on new and rapidly changing technologies. NHI's efforts extend to the international arena through the Pan American Institute of Highways and the International Program for Foreign Visitors and to graduate training for engineering students through the Dwight D
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Highway Research and Technology Programs 43 prospective technology users. Section 6005 of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA)
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44 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRErJONs FHWA's Office of Policy has several responsibilities, including identification and analysis of emerging policy issues, analysis to support policy and legislative development, highway information management, and international programs. To support these activities the office's research activities are directed at the following: truck size and weight and freight demand analysis; highway cost allocation; highway investment, performance, and productivity analysis; highway network development and evaluation; effects of environmental and energy initiatives on federal-aid highway policies and financing issues; and improvements in transportation data acquisition and management.
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Highway Research and Technology Programs 45 Hazardous Materials Safety. RSPA administers DOT's Volpe National Transportation Systems Center, which conducts research, analysis, and technology applications projects on behalf of FHWA and other DOT agencies.
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46 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS Experiment Station, the Cold Regions Research and Engineering Laboratory, and the Construction Engineering Research Laboratory -- are involved in R&D activities related to highway engineering. The Corps has also developed a research partnering program, the Construction Productivity Advancement Research (CPAR)
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Highway Research and Technology Programs 47 technical assistance to regional and local transportation agencies, materials and equipment testing, and staff technical development and training. SP&R research studies tend be short in duration (1 to 2 years)
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48 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONs pooling of resources in order to address common problems. The largest pooled-fund research program is the National Cooperative Highway Research Program (NCHRP)
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Highway Research and Technology Programs 49 TABLE 3-1 NCHRP Project Areas RESEARCH FIELD AREA A Administration 2 Economics 11 Law 19 Finance B Transportation Planning 8 Forecasting 25 Impact Analysis C Design 1 Pavements 12 Bridges 15 General Design 16 Roadside Development 22 Vehicle Barrier Systems D Materials and Construction 4 General Materials 9 Bituminous Materials 10 Specifications, Procedures, and Practices 18 Concrete Materials E Soils and Geology 21 Soils Testing and Instrumentation 23 Soils Properties 24 Soil Mechanics and Foundations F Maintenance 6 Snow and Ice Control 13 Equipment 14 Maintenance of Way and Structures G Traffic 3 Traffic Operations and Control 5 Illumination and Visibility 7 Traffic Planning 17 Traffic Safety Special Projects - [Encompasses all projects not readily identified with other problem areas.] also contribute to implementation; these panels consist of specialists from state and other highway agencies who monitor and guide the research.
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50 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS AASHTO, and the Massachusetts Institute of Technology (MIT)
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Highway Research and Technology Programs 51 drafting and rating, roadway design and rehabilitation, construction project estimating, and bid letting and contract administration. Since 1987 states have spent about $25.5 million for development and licensing of the products (states can use SP&R funds for some these expenditures)
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52 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIoNs Some associations have established their own research laboratories or provide funding for specialized research programs and centers, such as the Asphalt Institute, the Western Highway Institute (fimded by the trucking industry) , the Construction Technology Laboratories (Portland Cement Association)
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TABLE 3-2 Estimates of Highway-Related R&D Expenditures by Selected Industry Associations for Several Major Highway Engineering Categories FUNDING CATEGORY" SELECTED ASSOCIATIONSb ($ MILUONS) ' Concrete and concrete Portland Cement Association 8.5 (only structures American Concrete Pavement part is Association highway- Reinforced Concrete Research related)
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54 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS neering firms and nonprofit research organizations to small consulting firms) university faculty, and individuals conduct much of the contract work sponsored by FHWA, states, and private industry.
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Highway Research and Technology Programs 55 tutions, in particular, have strong ties with the research offices of state highway departments. In 1987 Congress established the University Transportation Centers Program as a means of promoting transportation research and technological innovation and educating young people in the highway and transportation fields.
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56 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONs More than 100 products developed from SHRP projects are being disseminated for use and additional development by FHWA, states, and the private sector. Examples include an improved asphalt pavement mix design system known as Superpave,9 improved snowplow designs and equipment, better concrete materials and construction processes for controlling corrosion of reinforcing steel, and advanced methods for determining bridge condition.
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Hghway Research and Technology Programs 57 TRB administers two major research programs sponsored by other organizations: NCHRP and the Transit Cooperative Research Program (TCRP)
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58 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS tronics companies, research institutions, and national transportation agencies -- are now under way in Western Europe and Japan to investigate and develop P/MS using advanced communications, navigation, and computer technologies. FHWA R&T Coordinating Activities To better coordinate and monitor federally funded highway research activities, HRD has established the Nationally Coordinated Program of Highway Research, Development, and Technology (NCP)
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TABLE 3-3 Summary Information on Federal Highway Administration R&T Program DESCRIPTOR FEDERAL HIGHWAY ADMINISTRATION Agenda setting FHWA prepares an annual 5-year program plan that involves FHWA staff from HRD, HST, other program offices, and FHWA regional offices; process begins in July and by the following June the plan and budget go to the Secretary's office; appropriations hearings take place in Februrary or March of the following year; contracts are let beginning in October. Typical scope Generally applied research, development, and testing of a problem of widespread (national)
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TABLE 3-4 Summary Information on State Planning and Research Program DESCRIPTOR STATE PLANNING AND RESEARCH PROGRAM Agenda setting Projects are nominated from within each state and selected by the state highway agencies; some states organize technical working groups of potential users within the state to prepare research problem statements and to monitor progress; annual SP&R work plan is prepared for FHWA approval; there is considerable flexibility to change work plan items and to change funding allocations. Typical scope Applied research, product development, or testing for local application; technical assistance; short-term problem solving; and troubleshooting.
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Highway Research and Technology Programs 61 TABLE 3-5 Sunimary Information on National Cooperative Highway Research Program DESCRIPTOR NATIONAL COOPERATWE HIGHwM RESEARCH PROGRAM Agenda setting Projects are selected by the AASHTO SCOR from a list of problem statements submitted by state transportation agencies, AASHTO committees, and FHWA staff, projects are approved by the AASHTO Board of Directors. Typical scope Projects are problem-oriented and designed to produce results that have immediate application; wide range of subject matter, generally oriented to state highway agency needs; IDEA program provides grants to researchers with proposals for the development of innovative solutions to highway problems.
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62 HIGHwAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS TABLE 3-6 Sununary Information on Private-Sector R&D Activities DESCRIPTOR PRIVATELY FUNDED R&D ACTIVITIES Agenda setting Highly individualized within each organization; based on immediate needs; largely problem-solving or troubleshooting activity based on the need to deliver a product or service to the highway industry or on the need or desire to dominate a particular market segment. Typical scope Often problem-solving and troubleshooting activities; can also be either hardware or software development; generally quick response.
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Hiqhway Research and Technology Programs 63 dropped by nearly half, and spending on technology transfer activities by FHWA also decreased. Tighter budgets and uncertainty on the part of federal and state decision makers about the short-term payoff of R&T activities contributed to this decline.
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64 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIoNs industries devote a larger share of their revenues to research than does the highway industry. For instance, the paper, primary metals, and petroleum refining industries spend roughly two to three times more on research (as a fraction of sale revenue)
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Highway Research and Technology Programs 65 HST Office of Safety and System Applications IDEA Innovations Deserving Exploratory Analysis IRF International Road Federation ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITS intelligent transportation system 1VHS intelligent vehicle-highway system LTAP Local Technical Assistance Program LTPP Long-Term Pavement Performance MIT Massachusetts Institute of Technology NCHRP National Cooperative Highway Research Program NCP Nationally Coordinated Program of Highway Research, Development, and Technology NETC New England Transportation Consortium NHI National Highway Institute NHTSA National Highway Traffic Safety Administration NIST National Institute for Standards and Technology OECD Organization for Economic Cooperation and Development PIARC Permanent International Association of Road Congresses R&D research and development R&T research and technology RAC Research Advisory Committee RSPA Research and Special Programs Administration SCOR Standing Committee on Research SHRP Strategic Highway Research Program SP&R State Planning and Research TCRP Transit Cooperative Research Program TRB Transportation Research Board TRIS Transportation Research Information Service UTCP University Transportation Centers Program
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Classifying Highway Research This chapter reviews the alternative ways in which research and tech-nology (R&T) activities are typically classified and categorized and then presents a framework for grouping research activities that matches the interests of policy makers, agency officials, and others who exercise broad oversight responsibility.
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Classifying Highway Research 67 Scale of improvement sought. Research can aim for either incremental or breakthrough improvements in performance (or achievement of other goals)
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68 HIGHWAY RESEARCH: CUP.RENT PROGRAMS AND FUTURE DIRECFIONS TABLE 4-1 R&T Categories Proposed by NAS/NAE/IOM Panel (NAS et al.
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Classifying Highway Research 69 structure, and reflect function and discipline grouping. In recent years, the Federal Highway Administration (FHWA)
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70 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS FHWA Research Categories and Programs Used for Nationally Coordinated Program (FHWA 1992a) CATEGORY A: HIGHWAY SAFETY Advanced Traffic Control Methods and Devices Improving Driver Visibility of Roadway Environment Highway Safety Information Management Special Highway Users Highway Safety Design Practices and Criteria Human Factors for Highway Safety Technology Transfer for Highway Safety CATEGORY B: TRAFFIC OPERATIONS/INTELLIGENT VEHICLE-HIGHWAY SYSTEMS Advanced Traffic Management Systems Advanced Traveler Information Systems Commercial Vehicle Operations Advanced Vehicle Control Systems Traffic Analysis and Operational Design Aids Institutional and Legal Issues Technology Transfer for Traffic Operations/Intelligent Vehicle-Highway Systems CATEGORY C: PAVEMENTS Evaluation of Rigid Pavements Evaluation of Flexible Pavements Field and Laboratory Test Methods Pavement Management Strategies Construction Control and Management Long-Term Pavement Performance Evaluation Technology Transfer for Pavements CATEGORY D: STRUCTURES 1.
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Classifying Highway Research 71 Box continued from previous page CATEGORY F: PoLicy Highway Financing Freight Transportation Highway and Economic Productivity Improving Transportation Data Acquisition and Management Strategic System Performance Analysis Technology Transfer for Policy CATEGORY G: MOTOR CARRIER TRANSPORTATION Motor Carrier Safety Program Efficiency, Enforcement, and Compliance Uniformity and Competitiveness CATEGORY J: PLANNING Ensuring the Efficiency of Future Urban Transportation Systems Highway Performance Systems Analysis Congestion Management Travel Impact of Transportation Systems Changes Intermodal Transportation Planning CATEGORY K: ENVIRONMENT Air Quality Highway Traffic Noise and Vibration Wetlands Environmental Processes Hazardous Waste Historic Preservation and Archeological Resources Water Quality Community Impacts and Public Involvement Technology Transfer for Environment CATEGORY L: RIGHT OF WAY 1. Corridor Preservation ALTERNATIVE FRAMEWORK FOR GROUPING RESEARCH ACTIVITIES The primary objective of this report is to portray the current highway R&T program in a way that matches the interests of policy makers, agency officials, and others who need to understand the program and exercise broad oversight responsibility.3 This requires that R&T activities be grouped in The committee dcvclopcd this framework for its own purposes and recognized the need for agencies to develop classification schemes to fit their own purposes; however, others might find it uscfiul to adapt.
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72 HIGHwAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECrI0Ns FHWA Research Categories and Programs Used for 5-Year Program (FHWA 19921b)
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Classifying Highway Research 73 a way that highlights the rationale for these activities and that keeps the number of categories to a minimum. Distinctions between R&T activities that may be important to research managers sometimes have little meaning to policy makers, and a classification scheme intended for policy makers need not make these distinctions.
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74 HIGHWAY RESEARCH: CURRENT PROGiwIs AND FUTURE DIRECTIONS construction costs, added highway capacity, reduced highway fatalities and injuries, reduced adverse environmental impacts, and a variety of user benefits (improved travel time, fewer hazards, etc.) Category 2: Breakthrough Research To Improve Highway Performance and Costs The objectives of Category 2 are the same as those of Category 1, but the approach is different.
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Classifying Highway Research 75 Category 4: Compliance with Government Regulations and Policy Proposals Category 4 covers two types of research. First, it includes the policy research that helps transportation agencies develop and assess proposals for changes (mostly short- and midrange changes)
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76 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS Category 7: Education and Training of Highway Professionals The activities in Category 7 are not always considered to be part of a research program. However, transportation professionals increasmgly recognize that attracting young people to and educating them in the field of transportation is critical to innovation.
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Classifying Highway Research 77 NCHRP.
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Mapping the Highway Research Program Using the New Framework This chapter describes the major elements of the existing highway research program in terms of the new framework discussed in Chapter 4. The description is based on "mapping" the annual research project expenditures against the eight categories of research and development (R&D)
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Mapping the Highway Research Program Using the New Framework79 gram and current research activity as an essential indicator of current research priorities. As a result, the focus fell on research program expenditures for the 1993 fiscal year for FHWA, State Planning and Research (SP&R)
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80 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECrIoNs Federal Transit Administration, National Highway Traffic Safety Administration, U.S. Army Corps of Engineers, Environmental Protection Agency, and Department of Energy -- fund research that affects some aspect of highway transportation.
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Mapping the Highway Research Program Using the New Framework 81 TABLE 5-1 FHWA R&T Expenditures by Category, 1993 CATEGORY EXPENDITURE (%)
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82 HIGHWAY RESEARCH: Cu1NT PROGRAMS AND FUTURE DIRECTIoNs some SP&R funds to jointly fund activities, which are then usually managed by FHWA (see Chapter 3) .3 Each state highway agency has its own distinctive organization and management system, and there is no single source of information about all the states' research activities and expenditures.' Thus, detailed information about state highway research expenditures can be obtained only from the individual state highway agencies.
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Mapping the Highway Research Program Using the New Framework 83 TABLE 5-3 Estimated State R&D Expenditures by Category, 1993 CATEGORY - EXPENDITURE (%) Incremental Improvements 54 Breakthrough Research 0 U.S.
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84 HIGHWAY RESFARCH: CuRRENT PROGRAMS AND FUTURE DIRECTIONS TABLE 5-4 Sununary of Expenditure Assignments, 1993 CATEGORY FHWA EXPENDITURE (%)
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Mapping the Highway Research Program Using the New Framework 85 balance available for the FY 1994 program. Furthermore, FY 1995 will have the highest budget ever, at $18.6 million; as a result, about 30 percent of total NCHRP spending (expenditures plus programmed allocations)
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86 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIREcTIoNs TABLE 5-6 Expenditures in Incremental Research Category by Technical Topic, 1993 EXPENDITURE (%)
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Mapping the Highway Research Program Using the New Framework 87 IVHS intelligent vehicle-highway system NCHRP National Cooperative Highway Research Program R&D research and development R&T research and tecimology SP&R State Planning and Research TRB Transportation Research Board
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New Directions for Highway Research and Technology Programs P revious chapters have reviewed the nature of the highway industry, summarized existing highway research and technology (R&T) programs, presented an alternative framework for describing highway R&T, and mapped R&T spending in terms of its broad objectives (e.g., incremental improvements)
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New Directions for Highway Research and Technology Programs 89 gram at many levels; because the industry is so highly fragmented, a more centralized R&T program would probably make it even more difficult to establish productive links between researchers and the users of the research products. R&T funding has increased steadily over the past decade, which is an encouraging trend.
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90 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS COMMITTEE'S VISION FOR HIGHWAY R&T Compared with the present, the highway R&T program for the next decade should have the characteristics described in the following. Larger-Scale Program with More Funding Current funding for highway R&T remains low compared with that for other low-tech industries, including such industries as textiles, mining, and paper products.
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New Directions for Highway Research and Technology Programs 91 gram. The research program must help define the role of highways in the future and be part of a contingency planning process that explicitly recognizes that uncertainties exist about the future.
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92 HIGHWAY RESEARCH: CURRENT PROGRAMs AND FUTURE DIREcTIoNs environmental and social goals for which the relationship is less direct (e.g., incorporating waste materials in construction, providing job access to the inner-city poor)
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New Directions for Highway Research and Technology Programs 93 has begun to recognize this and tried to change it; these changes involve FHWA, American Association of State Highway and Transportation Officials (AASHTO) , Associated General Contractors, American Road and Transportation Builders Association, and other organizations whose members are involved directly.
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94 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS Second, the search for research findings that will be accepted and implemented by the highway industry requires that FHWA expand its cooperative efforts with the private sector. Considerable public/private cooperation can be seen in recent activities such as SHRP, the IVHS program, the planning and operation of HITEC, and the proposed highway industry research advisory council.7 Nevertheless, even greater engagement of the private sector is needed if innovation is to be accelerated in the highway field.
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New Directions for Highway Research and Technology Programs 95 Congress and became a full member of the Permanent International Association of Road Congresses (PIARC)
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96 HIGHwAY RESEARCH: CuPJuuT PROGRAMS AND FUTURE DIRECTIoNs modes need to be examined more fully. Realizing that changes cannot occur overnight, the committee believes strongly that the kind of highway transportation system that the nation wants in 20 years -- or 30 years, or 40 years -- should be identified and a research program that will help achieve such a system should then be formulated.
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New Directions for Highway Research and Technology Programs 97 on adopting and adapting successful solutions devised in other industries and sectors directly to highway systems. A second type of environmental research encompasses broad policy issues associated with providing a future highway system while addressing the issues of equity, mobility, efficient use of resources, and environmental protection.
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98 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DiREcrioNs However, before state and local agencies in the United States will consider alternative contracting procedures such as performance-based specifications for materials and processes in highway construction, more research is needed. For example, FHWA should examine whether existing highway construction contracting practices in the U.S.
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New Directions for Highway Research and Technology Programs 99 to change. Nevertheless, there are promising signs of greater recognition that R&D is an essential part of defining the future highway system, from both policy makers (as evidenced by ISTEA)
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100 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS Resistance to Long-Term and Intermodal Research Many of the potential research topics just discussed are complex, cut across traditional modal and disciplinary boundaries, and have not been addressed systematically in the past; some also involve aspects outside the traditional transportation mainstream. Moreover, meaningful results will take a longterm commitment of resources and will require overcoming several barriers, including the following.
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New Directions for Highway Research and Technology Programs 101 CONCLUDING COMMENTS This overview report was prompted by the need to describe the current highway R&T program at a level that matches the interests of policy makers, agency officials, and others who need to understand the program and exercise broad program oversight. It will also aid the work of the authoring committee in its efforts to provide an independent review and coordination on a continuing basis; it gives the committee a platform for identifying gaps in the highway R&T program, leading to broad recommendations for future program direction.
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102 HIGHwAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS Highway System is not a major new construction project, it could be an important first step toward establishing the nation's intermodal transportation system and providing a basis for future highway and other modal investments. In addition, many other factors, trends, and events challenge the effectiveness of highway R&T program activities.
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New Directions for Highway Research and Technology Programs 103 TRB.
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Study Conmiittee Biographical Information H Norman Abramson, Chairman, retired as Executive Vice President of Southwest Research Institute in 1991, after 35 years of service in increasingly responsible positions.
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Study Committee Biographical Information 105 years. A registered professional engineer, he is a member of the American Society of Civil Engineers (ASCE)
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106 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECrIoNs David G Burwell is President and co-founder of the Rails-to-Trails Conservancy and a member of the Executive Committee of the Surface Transportation Policy Project.
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Study Committee Biographical Information 107 Minnesota Safety Council, and co-chair of the Minnesota Guidestar (Intelligent Transportation Systems) Executive Committee.
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108 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIoNs Thomas F Humphrey is Lecturer and Principal Engineer at the Center for Transportation Studies at the Massachusetts Institute of Technology (MIT)
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Study Committee Biographical Information 109 and became Assistant Vice President of Sales in 1971; he was Sales Manager for the state of Georgia from 1972 to 1980. In his current position, he is responsible for marketing and research and development at Vulcan Materials.
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110 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECrION5 of California at Los Angeles in 1969. His achievements include planning and implementing the Olympic Games Transportation Program for Los Angeles and directing the design and development of the city's computer-controlled traffic signal system, which received an award for innovation from the Ford Foundation and the John F
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Study Committee Biographictrl Information 111 Richard P Weaver has served for 41/2 years as Deputy Director and Chief Engineer for the California Department of Transportation, where he has worked for 32 years.
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112 HIGHWAY RESEARCH: CURRENT PROGRAMS AND FUTURE DIRECTIONS Chancy V Wootan is Director Emeritus of the Texas Transportation Institute (TITI)
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The Transportation Research Board is a unit of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board's purpose is to stimulate research concerning the nature and performance of transportation systems, to disseminate the information produced by the research, and to encourage the application of appropriate research findings.
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a a U C ISBN 0-309-06054-0 0 National Academy Press C
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