The Vital Federal Role in Meeting the Highway Innovation Imperative (2019) / Chapter Skim
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Pages 87-110
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87 4 State and University Research, Development, and Technology Programs This chapter assesses whether the Federal Highway Administration (FHWA) and the Intelligent Transportation Systems (ITS)
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88 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION categories of funding.1 Of the funds set aside for state planning and research, a minimum of 25 percent must be spent on research. Federal funding available for the research portion of SP&R averages about $200 million annually for the 5-year authorization period of the Fixing America's Surface Transportation Act (FAST Act)
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STATE AND UNIVERSITY RD&T PROGRAMS 89 (Caltrans's) $25 million annual research program supports universitybased research programs on connected and automated vehicles (CAVs)
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90 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION the highway mode, and two-thirds of them address either asset preservation or durability. Safety- and mobility-oriented projects accounted for the bulk of the remaining projects.
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STATE AND UNIVERSITY RD&T PROGRAMS 91 with the AASHTO Manual for Assessing Safety Hardware,6 which has been developed and updated through NCHRP research. Although the bulk of SP&R projects support applied research on practical problems that states face, the occasional project supports the development and testing of a unique individual innovative product.
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92 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION • Updates to regional precipitation frequency forecasts; and • Transportation Research Board (TRB) core programs.9 The largest, and most enduring, example of states pooling their research funding is NCHRP.
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STATE AND UNIVERSITY RD&T PROGRAMS 93 Comparison with FHWA RD&T FHWA and SP&R RD&T are similar in several respects, including the applied nature of the work and subject matter covered. Although most SP&R projects appear to be discrete, "one-off" efforts, they have a focus on safety and asset durability and preservation much like the projects funded by FHWA.
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94 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION placed by California and Oregon on research to address seismic issues, that are not common to all states or addressed to the same extent by FHWA. UTC PROGRAM Congressional Authority and Priorities In 49 USC 5505, as amended by the FAST Act in 2015, Congress established goals for the universities funded through the UTC program: • "advance transportation expertise and technology in the varied disciplines that comprise the field of transportation through education, research, and technology transfer activities; • provide for a critical transportation knowledge base outside of the Department of Transportation; and • address critical workforce needs and educate the next generation of transportation leaders." The UTC program spans all surface transportation modes and is administered by the Office of the Assistant Secretary for Research and Technology (OST-R)
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STATE AND UNIVERSITY RD&T PROGRAMS 95 Regional Transportation Centers Funding is available for one UTC consortia in each of the 10 national regions in amounts of $1.5 to $3 million each for regional centers that address the topics listed in Section 6503(c)
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96 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION of ongoing UTC research. Based on 852 UTC RIP abstracts, we classified the research by its stage in the innovation cycle described in Chapter 2, by mode of transportation, and in terms of the Section 6503 research priorities established by Congress.
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STATE AND UNIVERSITY RD&T PROGRAMS 97 vehicles for non-destructive evaluation (NDE) condition inspections, and automated and connected vehicles, but, in general, UTC research projects appear to be more oriented to a specific application than characteristic of fundamental research.
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98 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION of the research being conducted. Given the importance of universities as settings for the conduct of basic and fundamental research, a deeper analysis than was possible for this report is warranted regarding the apparent discrepancy between the committee's review of the UTC RIP records and the UTC report to Congress estimates of the share of UTC research that is advanced or fundamental in nature.
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STATE AND UNIVERSITY RD&T PROGRAMS 99 5 percent, safety -- 25 percent, environment -- 12 percent, preservation -- 16 percent, and durability -- 7 percent. These shares are fairly consistent with the allocation of UTC consortia funding by priority area summarized above.
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100 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION • Lectures and lecture series on transportation-related topics; • Webinars for researchers addressing complex methodological and data management issues; • Training courses, workshops, and webinars for state DOT and local transportation agency professionals; • Extensive efforts to disseminate research results to practitioners; • Demonstrations of emerging technologies; • Recruitment of students into transportation careers, including through scholarships, fellowships, assistantships, and internships; and • K–12 science, technology, engineering, and mathematics outreach initiatives. Emphasis on increasing diversity in transportation as an objective of the program.
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STATE AND UNIVERSITY RD&T PROGRAMS 101 UTC Technology Transfer In authorizing the UTC program, Congress has been specific about the importance of technology transfer in the criteria for awarding grants [49 USC 5505(4)
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102 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION Despite the coverage of similar subject matter, FHWA and UTC work differs in some important respects. Most of FHWA's applied research is highly applied; for instance, it is aimed at developing specific guidance, models, or other technical tools.
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STATE AND UNIVERSITY RD&T PROGRAMS 103 UTC research whereas NHI courses are more focused on specific innovations being promoted by FHWA, training based on FHWA guidebooks, and compliance with regulatory requirements (e.g., asset management, safety, environmental protection, and planning)
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104 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION TABLE 4-1 Comparison of SP&R, FHWA and ITS, and UTC RD&T Programs Across the Innovation Cycle Innovation Stage SP&R FHWA and ITS JPO UTC Applied Research Primarily concerned with highway asset durability and preservation and safety. Topics reflect particular state interests and concerns.
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STATE AND UNIVERSITY RD&T PROGRAMS 105 TABLE 4-1 Comparison of SP&R, FHWA and ITS, and UTC RD&T Programs Across the Innovation Cycle Innovation Stage SP&R FHWA and ITS JPO UTC Applied Research Primarily concerned with highway asset durability and preservation and safety. Topics reflect particular state interests and concerns.
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106 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION other local government officials, researchers, and the public.23 (State DOTs, however, often bear the administrative cost of gathering and reporting highway data to FHWA.) In addition, the ITS RD&T program's focus on the interoperability of advancing automotive and highway technologies to improve mobility and safety is not replicated in the SP&R or UTC programs.
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STATE AND UNIVERSITY RD&T PROGRAMS 107 Evaluation Formal RD&T process and outcome evaluation is not a distinguishing feature of any of the federally funded highway RD&T programs, but FHWA is the only one that has begun systematic and formal evaluations of its RD&T program processes and major initiatives and the ITS JPO does set aside funds for assessments of ITS initiatives and for independent evaluation of large-scale pilot projects. Worth noting is that a considerable share of effort across all four programs and across all innovation stages focuses on highway asset preservation, durability, and performance and CAVs.
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108 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION completed transportation R&D, both from the United States and abroad, and through their extensive websites and publications. 4.7 Supporting state and local deployment through technology transfer programs (funding, technical guidance and assistance, training and education)
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STATE AND UNIVERSITY RD&T PROGRAMS 109 estimated in a recent report, the total amount invested would account for only a small share of all of the highway-related RD&T spending reviewed in this report. Investments in fundamental research across all four federally funded highway related RD&T programs can be estimated roughly by adding the $6 million from FHWA's EAR program, the $18 million of the ITS JPO Emerging Technologies program, and the $25 million from the UTC program, which sums to $49 million.
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110 VITAL FEDERAL ROLE IN HIGHWAY INNOVATION • Should FHWA invest more in its EAR program and reorient the portfolio more to TRL 2? • Are more formal coordination mechanisms between FHWA/ITS JPO and UTC desirable when the programs are conducting research on similar topics, and, if so, what mechanisms would be affordable and effective?
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