A REPORT TO CONGRESS

Surface Transportation

Research and Development Plan

Fourth Edition

A Report of the Secretary of Transportation

Pursuant to the 

 Intermodal Surface Transportation Efficiency Act of 1991

Section 6009(b), P.L. 102-240 
A Report to Congress

Surface Transportation 

Research and Development Plan

Fourth Edition 

Prepared for:

U.S. Department of Transportation

Washington, D.C.

http://www.dot.gov

Prepared by: 

U.S. Department of Transportation

Research and Special Programs Administration

Volpe National Transportation Systems Center

Transportation Strategic Planning and Analysis Office

Cambridge, Massachusetts

http://www.volpe.dot.gov

DOT-T-97-21
Surface Transportation Research and Development Plan

TABLE OF CONTENTS

Page Number

# Executive Summary ......................................... i

# Section I: Introduction .................................... 1

# Section II: Strategic Plan for Surface Transportation

Research and Development .......................... 11

Chapter 1: Transportation in 2020 ............................. 13

Chapter 2: Strategic Goals and the Role of Research ................. 21

Chapter 3: Priority Strategic Partnerships ........................ 33

Chapter 4: Development of the Enabling Technology Base ............. 55

Chapter 5: Education and Training ............................. 61

Chapter 6: Measuring Success and Establishing Future Directions ......... 65

# Section III: Near-Term Plan for Surface Transportation

Research and Development .......................... 77

Chapter 1: Near-Term Surface Transportation Research: Introduction ....... 79

Chapter 2: Physical Infrastructure .............................. 85

Chapter 3: Information Infrastructure .......................... 115

Chapter 4: Next-Generation Vehicles and Fuels .................... 151

Chapter 5: Human-Centered Transportation Systems ................. 163

Chapter 6: Intermodal Systems Assessment, Design, Planning,

Management, and Operations ........................ 171

Chapter 7: DOT Investment in University Research, Education,

and Cooperative Initiatives .......................... 191

Chapter 8: DOT R&D Facilities and Administrative Support for R&D ..... 203

# Section IV: Contracting Procedures ........................... 207

# Appendix A: Index of Near-Term R&D Funding and Staffing Plans ...... A-1

# Appendix B: Preliminary Performance Measures for DOT R&D Programs . . B-1

# Appendix C: List of Acronyms ............................... C-1
i

EXECUTIVE SUMMARY

 Surface Transportation Research and Development Plan

Fourth Edition

Introduction

Section 6009(b) of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA)

requires that the U.S. Department of Transportation (DOT) develop an integrated National

Surface Transportation Research and Development (R&D) Plan that focuses on the research

needed over the next decade. The congressionally mandated objectives of the plan are as

follows:

(1) To develop a range of technologies needed to produce convenient, safe, and

affordable modes of surface transportation to be available for public use beginning in

the mid-1990's; and,

(2) To maintain a long-term advanced R&D program in order to provide for the next

generation of surface transportation systems.

These objectives lead directly to the structure of the plan, which focuses on two time periods:

(1) A Near-Term section (Section III, Chapters 1-8), which focuses on ongoing or

projected programs and their conduct over the next three years; and, 

(2) A Long-Term section (Section II, Chapters 1-6), which focuses on the directions of

DOT's transportation R&D over the next ten years and beyond.

In addition, the Government Performance and Results Act of 1993 (GPRA) has emphasized

the need for strategic planning and mechanisms for performance assessment in Federal

executive agency programs. This edition of the plan, which is the fourth to be issued,

therefore has begun to examine ways to assess R&D program content and impacts, and for the

first time discusses alternative approaches to doing this.

Long-Term Research Directions

Transportation R&D is a major lever in helping the nation accomplish its goals in

transportation and other sectors of our society. The DOT R&D program must, therefore,

support the directions established in the DOT Strategic Plan. The third edition of the plan

emphasized the development of the link between R&D programs and accomplishment of

Departmental goals. It evolved a series of 16 research thrusts, cutting across all surface
ii

modes. This set of thrusts, however, only began to consider programs outside of DOT's, 

support of non-transportation objectives, and set priorities among program choices.

There were three major drivers over the last year which have started to move the Department

and, hence, the Plan to address longer-time horizons and national-scale policy issues.

! In September 1996, the General Accounting Office (GAO) completed a detailed

assessment of DOT's Surface Transportation R&D Program, summarized in the report

Surface Transportation: Research Funding, Federal Role and Emerging Issues. The

study concluded that DOT's research focused on improving individual modes of

transportation, rather than on creating an integrated framework for needed research. It

found investment in surface transportation research was inadequate to build knowledge

in the areas of system assessment, policy research and intermodal research, as well as

in basic, long-term, high-risk research. A more strategic perspective was needed in

DOT's R&D program development.

! The GPRA requires the development and use of performance measures for agency

management, and may ultimately lead to their use in allocating budgets. It also

requires Government-wide implementation of strategic planning, annual planning, and

program goal-setting with "objective, quantifiable, and measurable" indicators of

performance. DOT is implementing the mandates of GPRA throughout all its

programs, not just in the R&D area. 

! The National Science and Technology Council's (NSTC's) Interagency Coordinating

Committee on Transportation R&D prepared the first-ever government-wide 

Transportation Science and Technology Strategy. As the highest-level technical

coordinating body in the Federal government, the NSTC has played a key role in

helping to prioritize the Government's transportation R&D investments. The NSTC

Strategy provides a framework for guiding Federal transportation R&D toward

meeting national transportation system goals, not simply Departmental or surface

transportation system ones. The Strategy is based on the results of numerous outreach

events, environmental scans, and an analysis of the transportation system's current and

future strengths, weaknesses, opportunities, and threats.

DOT has, therefore, refined its approach to R&D program planning. The intent of this year's

plan is to use the GAO findings and recommendations, the GPRA implementation activities,

and the NSTC's strategy formulation efforts to have national goals and performance measures

guide Federal transportation R&D investments. Then, over time, it will be able to measure

the impacts of those R&D investments on the performance of the nation's transportation

system.
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The DOT R&D plan has therefore adopted the NSTC Strategy's conceptualization of a

coordinated Federal science and technology program, and how its elements must relate. The

Strategy establishes a four-tiered approach:

1. Strategic Planning and Assessment activities establish how specific technologies can

support achievement of national priorities.

2. Strategic Partnership Initiatives link governments at all levels, industry, and

academia to bring the most needed, highest payoff technologies into widespread use.

3. Enabling Research develops knowledge and technological improvements which can

then make possible solutions to transportation problems, or provide new transportation

options.

4. Transportation Education and Training provides the cadre of competent

transportation professionals to develop and apply new options and technologies.

Consistent with the NSTC's guidance, the DOT Surface Transportation R&D Plan then places

its emphasis on the following partnership initiatives in surface transportation:

Transportation Information Infrastructure

! Smart Vehicles and Operators

! National Intelligent Transportation Infrastructure

! Enhanced Transportation Weather Services

! Enhanced Goods and Freight Movement at Domestic and International

Gateways 

! Accessibility for Aging and Transportation-Disadvantaged Populations

! Local Environmental Assessment Systems

Next-Generation Vehicles

! Next-Generation Motor Vehicles and Ships

Transportation Physical Infrastructure

 

! Total Terminal Security

! Monitoring, Maintenance, and Rapid Renewal of the Physical Infrastructure

! Environmental Sustainability of Transportation Systems

The DOT Surface R&D plan also highlights six enabling research areas that support long-term

national transportation goals. These are typically project areas whose benefits are too widely

spread for any one company to recover its investment, whose cost or risk is too great for one
iv

company to bear, and whose benefits are too far in the future to meet private investment

criteria:

Enabling Research Topics

! Human Performance and Behavior

! Advanced Materials

! Computer, Information, and Communication Systems

! Energy and Environment

! Sensing and Measurement

! Tools for Transportation Modeling, Design and Construction

These top-priority partnership initiatives and enabling research topics are remarkably consistent

with the research thrusts identified in the Third Surface Transportation R&D Plan.

Table III-1-1 presents the linkages between the partnership initiatives and those thrusts.

In addition, the document examines how to measure the success of, and establish future

directions for, these longer-term research projects. It differentiates between "outcome"

measures, which characterize the impacts of R&D once implemented, versus output measures,

which document the products generated by the research efforts themselves. The indicators

currently used by DOT in conducting assessments of the success of its research are collected

and discussed.

Shorter-Term Research Directions

DOT's ongoing research activities make important contributions in the long-term areas

highlighted above. DOT has active research proceeding on a variety of topics:

Physical Infrastructure

R&D includes development of stronger more durable, less expensive,

easier-to-maintain materials; nondestructive testing and infrastructure monitoring techniques;

improved design and construction practices; recycling and re-use of byproducts and waste

products; and designs and construction approaches for more effective intermodal facilities. 

Information Infrastructure

R&D includes network-based approaches to traffic control; collision warning and

avoidance systems; technology for automated vehicle control and information systems; positive

train control; developing the capacity to deal with hazardous materials incidents; antilock

braking systems; vehicle safety information systems; information systems for drivers and other

travelers; and advanced vehicle fleet management techniques.
v

Next Generation Vehicles and Fuels

R&D includes identifying near-term options for improving motor carrier safety;

improving vehicle safety for children riding in passenger vehicles; evaluating the

characteristics of vehicle crashes to determine hazards and safety needs; developing

countermeasures for improved frontal crash protection; developing improved crash test

dummies; developing nonelectric high-speed passenger locomotives; examining the safety of

tilting high-speed rail cars; continuing the development of advanced transit bus technology;

and developing and applying fuel cells in transportation vehicles.

Human-Centered Transportation Systems

R&D includes continuing work to identify and reduce the impacts of driver fatigue on

transportation safety; developing improved displays for vehicle operators and controllers;

developing a better understanding of the degrees of impairment associated with specific blood

alcohol levels; developing more effective applications of advanced navigation technologies to

improve safety; improving the placement and level of integration of vehicle gauges for

transportation drivers; and updating drug and alcohol program implementation guidelines.

Intermodal Systems Assessment, Design, Planning, Management, and Operations

R&D in this area includes analysis of the sustainability of transportation systems;

exploring the capability of supercomputer-based transportation planning models; continuing

development of the National Advanced Driving Simulator (NADS); identification of injury

mechanisms and outcomes in vehicle crashes; development of services to meet the special

mobility needs of children, the elderly, and the handicapped; conducting "Bridges to Work"

demonstrations to help unemployed inner-city dwellers rejoin the workforce; and examination

of innovative financing techniques for transportation.

The document also explores the potential of DOT's cooperative programs with various sectors

of the transportation industry through university based research and training programs;

cooperative research programs with state and local governments; and fellowships to help

continue the education of promising transportation professionals. Closely related,

improvements in procurement and research support mechanisms also hold significant promise

for improving the quality and responsiveness of America's transportation R&D to its national

needs.
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SECTION I: INTRODUCTION

Surface Transportation Research and Development Plan

Fourth Edition

I.a. The Role of Transportation in Society

The high level of mobility and access made possible by the US transportation system is critical

to the economic well-being and quality of life of all Americans. The average person in the US 

travels approximately 17,000 miles annually, and 12,600 ton-miles of freight is moved each

year per person. The ability to live far from the workplace, stores, and entertainment, to drive

hundreds of miles on a weekend, or to fly across the country or to another continent on

vacation or business, traveling whenever one wishes at an affordable cost, is a key component

of most Americans' definition of a high level of quality of life. Indeed, on average, about 18

percent of household expenditures are for transportation.

More generally, transportation is an essential element in the functioning of the US economy. 

The sheer physical size of the US makes a high-quality, high performance and efficient

national transportation system central to our economic efficiency and global competitiveness.

Approximately 8 percent of the US workforce is employed in transportation-related functions,

and total expenditures on transportation represent 11 percent of the gross domestic product.

The Nation’s transportation system is vast in scope, including 3.9 million miles of roads, 1.4

million miles of oil and natural gas pipelines, 123,000 railroad route miles, and 26,000 miles

of navigable waterways. There are more than 5,000 public-use airports, over 500 public

transit operators, and 145 major ports. This infrastructure carries more than 4 trillion

passenger-miles of travel and 3 trillion ton-miles of freight each year. There are nearly 200

million automobiles and light trucks–1.8 personal motor vehicles per household–that provide

87 percent of the total passenger-miles traveled. Most of the remainder is associated with

5,500 commercial airliners, nearly 740,000 buses of all kinds, 11,000 rail transit cars, and

2,000 intercity passenger railcars. The freight fleet encompasses 1.7 million combination

trucks and nearly 6000 freight cars, as well as 31,000 barges, 5,000 towboats, and about

40,000 inland waterway vessels.

The physical presence and operation of this large and varied transportation system carries with

it significant adverse societal impacts which pose a continuing challenge to the entire

transportation community. While the US transportation system remains the safest in the

world, and has shown steady improvement in this regard during the last several decades, it still

accounts for almost half of all accidental deaths–more than 43,000 per year currently, about 95

percent of which arise in motor vehicle mishaps. The societal cost of transportation deaths,

injuries and property damage has been estimated at $150 billion per year.
2

Transportation activities are a significant source of environmental pollutants and other adverse

effects. Highway vehicles alone produce a substantial fraction of four of the six pollutants for

which the Environmental Protection Agency has set ambient air quality standards, and

transportation as a whole is responsible for about one-third of US emissions of carbon dioxide,

the primary greenhouse gas associated with potential global climatic change. Other societal

impacts of transportation include noise, water and groundwater contamination, oil spills, oil

storage leaks, solid wastes, and scrappage of vehicles and components (e.g., batteries and

tires).

I.b. National Vision, Strategic Goals and Measures for Transportation

More than ever before, technological leadership is vital to our national interests. As stated in

the recent National Science and Technology Council (NSTC) report, Technology in the

National Interest, “Our ability to harness the power and promise of leading-edge advances in

technology will determine, in large measure, our national prosperity, security, and global

influence, and with them the standard of living and quality of life of our people.”

Technology is particularly essential to the health of our transportation system. America’s

transportation system comprises a growing network of highways, transit systems, railroads,

waterways, airports, airways, seaports, and pipelines that is critical to the nation’s vitality and

economic well-being. Innovations in transportation contribute to America’s global

competitiveness and national security. They enhance our environment and local communities. 

And, perhaps most importantly, they save lives and reduce the risk of accidents and injuries. 

The NSTC Coordinating Committee on Transportation R&D (CTRD) recently completed the

Transportation Science and Technology Strategy as a rationale and framework for guiding

Federal long-term, strategic research and technology development that will make our

transportation system safer, more productive, and more efficient. The Strategy supports the

vision of the Committee, set forth in the Strategic Planning Document published in 1995, and

the Administration’s National transportation goals:

“The Committee’s vision is of a sustainable and seamless intermodal

transportation system that effectively ties America together and links it to the

world. This system will help citizens and businesses satisfy their needs by

providing efficient, safe, secure, and environmentally friendly transportation of

people and goods. It will result from a strengthened partnership among

government, academia, and the private sector focused on effective management 

and renewal of existing infrastructure, strategic deployment of new technologies

and infrastructure, and on R&D which supports each of these.” 

Based on its consideration of likely trends through the year 2020, the NSTC CTRD has

defined five strategic goals for transportation to ensure progress toward this vision, and

identified potential measures of overall progress toward those goals. These are summarized
Additional measures under consideration include: number of security incidents and threats by type of facility; 1

level of transportation-related crime affecting goods movement and/or business and personal travel.

Additional environmental indicators applicable to transportation are also under development. Examples 2

include: states reporting highway-related wetlands losses; states reporting road salting as a significant source of

groundwater contamination; and percent of population exposed to transportation-related noise associated with

health and other effects.

Additional measures under consideration in this area (see Section II, Chapter 6) include city-specific total hours 3

of delay and/or speed distributions on different highway categories. Economic measures under consideration

include volume-specific national passenger and freight transportation expenditures.

3

below in Table I-1, and discussed at greater length in Section II of this report, which also

addresses the evolutionary nature of the development of such measures.

Strategic Goal Outcome Measure

Provide a safer transportation system. Level of reduction in transportation-related

fatalities, injuries, and property losses.

Achieve a high level of transportation Level of public trust and confidence in the

system security. security of the Nation’s transportation

network as determined through national

surveys.1

Improve environmental quality and energy Number of major areas not now attaining

efficiency. legislatively-mandated air quality standards

that reach these air quality goals by 2020.2

Foster economic growth and productivity Level of cost-effective passenger and freight

through global passenger and freight throughput.

services.

3

Ensure improved access to and increased Degree of increased and enhanced access

mobility on the Nation’s transportation and mobility of the elderly, the poor, and

system. other transportation-disadvantaged

populations.

Table I-1. National Strategic Goals and Measures for Transportation

I.c. Conceptual Approach to Transportation Research and Development

Comprehensive and well-founded planning is essential for 21st century transportation

challenges and opportunities to be met. A carefully structured framework and process are
National

Goals

Partnership

Initiatives

Enabling Research

Education and Training

4

Figure I-1. Strategic Planning Approach

particularly necessary so that limited Federal research, development, and education and

training resources can be managed and leveraged to achieve a strong and balanced overall

program.

The NSTC CTRD is a central part of this planning process. Created in 1994, the Committee’s

role is to ensure that the Federal investment in transportation R&D is (1) coordinated to ensure

efficient use of Federal funds aimed at this mission; (2) focused on projects identified by users,

industry, and other stakeholders as being the most critical to achieving success in agencies'

missions; and (3) limited to areas where it is clear that major public benefits can only be

achieved through cost-shared Federal research.

Through its initial planning efforts (with major involvement of the transportation community)

the Committee has completed the first Transportation Science and Technology Strategy to help

Congress, the White House, and Federal agency heads to establish National transportation

R&D priorities and coordinated research activities in support of National goals for the

transportation system. The Strategy is based on the results of numerous outreach events,

environmental scans, and an analysis of the transportation system's current and future

strengths, weaknesses, opportunities, and threats.

The Strategy has a four-tiered approach to the shaping and implementation of surface

transportation research, ultimately involving stakeholders at every stage in the process:

! Strategic Planning and Assessment to establish a research framework that

embodies National Goals and establishes associated measures of transportation

system performance by which research projects can be selected and evaluated.

! Strategic Partnership Initiatives-- leveraged, multi-agency, and public-private

in nature–that focus on the aggressive

exploitation of rapidly evolving

technological opportunities and the

introduction of innovative equipment

and operations into the transportation

enterprise.

! Enabling Research in areas that

support long-term transportation goals

and contribute to long-term innovation

and offer significant impacts affecting

many modes of transportation, but have

benefits too diffuse, uncertain, or far in

the future to motivate sufficient private

sector investment.
5

! Transportation Education and Training to assure the continued availability–in

a time of rapid technical, demographic and other changes–of the highlyqualified transportation professionals and workers upon whom depends the

design, construction, operation and maintenance of the Nation’s transportation

system, ultimately determining its safety and performance.

I.d. Relationship between NSTC Strategy and this Plan, and Vision for the Future

This Surface Transportation Research and Development Plan addresses each of the above tiers

in detail, and also presents the long-term view of the Department’s strategy for surface

transportation R&D. Program-level plans addressing funding and staffing levels, and progress

milestones will be developed through a strategic R&D planning process conducted in each of

the Department’s operating administrations. This process will be coordinated within DOT

through its Research and Technology Coordinating Council. Although this process has already

involved a wide range of ongoing interagency coordination activities, the transition toward the

more exhaustive and intensive collaboration is yet to come. It is anticipated that the

Department’s program-level R&D plans will be structured based on the broad directions

established in the NSTC Transportation Science and Technology Strategy beginning in FY

1999.

The central finding of the Council on Competitiveness, in its April 1996 report Endless

Frontier, Limited Resources: U.S. R&D Policy for Competitiveness, is that “R&D

partnerships hold the key to meeting the challenges of transition that our Nation faces.” This

appear to be particularly true in the transportation enterprise. Because of the range of

stakeholders in transportation, the successful creation of such partnerships among the private,

public, and academic sectors will require more extensive, and earlier, involvement of these

groups in the strategic planning of transportation research.

The Transportation Science and Technology Strategy completed recently by the NSTC

represents a significant step in that direction. It establishes a research agenda for the Federal

government which will form the basis for program-specific R&D plans developed by

individual agencies, including those within DOT, for FY 1999 and beyond. There was

substantial input from industry and academia, as well as from a few levels of government. 

However, it is now important to carry the process of coordinating the broad directions to the

program level in a coherent, coordinated strategic planning framework.

Existing program-level plans, as evidenced by the third section of this Surface Transportation

Research and Development Plan, were established according to goals not fully accepted by this

Strategy. Nonetheless, ongoing coordination processes will be effective in refocusing the 
6

relationships with the agenda of the Strategy. These relationships are illustrated in the first

chapter of Section III.

The Department’s vision is that the Administration’s interagency Strategy will become the

cornerstone of an expanded and integrated strategic planning process in which industry,

government, and academia all participate actively. Ultimately, the Strategy, and plans for its

implementation and assessment, would be documented through four key components:

! A National Transportation Science and Technology Strategy—A strategy for

transportation-related research throughout industry, government, and academia,

developed through cooperative participation of all of these stakeholders.

! A National Transportation Research and Development Plan--A program-level

plan for implementation of the Strategy, identifying specific

private/public/academic partnerships and enabling research activities, developed

as above.

! A DOT Transportation Research and Development Plan--A program-level plan

for R&D to be conducted by all (including nonsurface) DOT operating

administrations, identifying specific activities in support of partnerships and

enabling research needs, developed on a coordinated but agency-specific basis.

! An Assessment of the Impact of R&D Investments at All Levels--An ongoing

assessment of the degree to which transportation R&D programs are leading to

the achievement of National goals for the transportation system.

Completion of the NSTC Transportation Science and Technology Strategy represents an initial

step toward an expanded and integrated strategic planning process. This Surface

Transportation Research and Development Plan is focused on surface transportation, and is, on

a program-specific level, structured in terms of FY 1998 budget plans that preceded this

Strategy. The Department expects to move subsequent editions of this report toward this

broader vision by expanding the report to cover all transportation modes, and structuring

program-specific budget plans in terms of the Strategy and its successors.

I.e. Authority

This is the fourth in a series of congressionally required plans submitted by the Secretary of

Transportation to the Congress pursuant to Section 6009(b) of the Intermodal Surface

Transportation Efficiency Act of 1991 (ISTEA). The third edition of the plan was submitted

in September 1996.
7

I.f. Plan Objectives and Congressional Mandate 

ISTEA requires that an integrated National surface transportation research and development

(R&D) plan be developed that focuses on surface transportation systems needed for the next

decade. The congressionally mandated objectives of the plan are: 1) to develop a range of

technologies needed to produce convenient, safe, and affordable modes of surface

transportation to be available for public use beginning in the mid-1990's; and 2) to maintain a

long-term advanced research and development program in order to provide for the next

generation of surface transportation systems. In addition, ISTEA requires that the plan include

the following:

"(A) Details of the Department's surface transportation research and development

programs, including appropriate funding levels and a schedule with milestones,

preliminary cost estimates, appropriate work scopes, personnel requirements, and

estimated costs and goals for the next three years for each area of research and

development.

(B) A ten-year projection of long-term programs in surface transportation research and

development and recommendations of the Research and Development Coordinating

Council of the Department of Transportation and the plan of the National Council on

Surface Transportation Research.

(C) Recommendations on changes needed to assure that Federal, State, and local

contracting procedures encourage the adoption of advanced technologies developed as

a consequence of the research programs in this Act [ISTEA]."

I.g. Scope

Surface transportation R&D, broadly defined, is conducted by a number of Federal

organizations (e.g., DoD, DOT, EPA, DOE), by State and local government agencies, by

academic institutions, and by the private sector. Within that context, this plan focuses on the

surface transportation research underway or planned within the six DOT administrations with

direct responsibility for surface transportation:

! Federal Highway Administration (FHWA) 

! National Highway Traffic Safety Administration (NHTSA) 

! Federal Railroad Administration (FRA)

! Maritime Administration (MARAD)

! Federal Transit Administration (FTA)

! Research and Special Programs Administration (RSPA).

Other departmental research, including that conducted by the Federal Aviation

Administration's (FAA), the U.S. Coast Guard (USCG), and the Office of the Secretary of
8

Transportation (OST) is addressed when it correlates specifically to research being conducted

on surface transportation issues. In particular, FAA's Aviation Human Factors Program,

discussed briefly in Section III, is specifically related to the human factors programs being

conducted in FRA, NHTSA, FHWA, FTA, MARAD, and USCG. Other FAA research and

technology programs are also related. The Aviation Security program remains a top priority,

and the Airport Pavements program continues efforts to improve airport pavement in order to

accommodate the next generation of very large aircraft. These efforts are detailed in FAA's

1997 Plan for Research, Engineering, and Development published in January 1997. The

Surface Transportation Research and Development Plan also discusses activities of the Bureau

of Transportation Statistics (BTS), as these have a very direct role in supporting the

Department's strategic planning and system assessment efforts. As mentioned above, it is

hoped that this report can be expanded in the future to encompass all of the Department’s

transportation research, not just the surface elements.

The near-term section of this plan focuses on research underway or planned in FY 1997, 1998,

and 1999. In response to the directive in ISTEA, the plan provides details of the surface

transportation R&D programs, including funding levels, milestones, and personnel

requirements. The plan's long-term outlook outlines a conceptual approach to transportation

R&D that includes ongoing strategic planning; priority partnership R&D initiatives, ten of

which address surface transportation; a set of six broad-based enabling long-term research

areas critical to long-term progress in transportation; education and training to maintain a

skilled transportation workforce in the future; and the measurement of progress toward

strategic goals and of performance of specific programs. The plan's final chapter on

contracting provides an overview of current contracting practices, summaries of recent changes

in legislation and regulations, and brief descriptions of relevant contracting studies and task

force efforts that are currently in progress or have been completed since the last edition of this

plan.

This edition of the R&D plan, like the previous edition, emphasizes a strategic vision for

surface transportation R&D activities. As in the three previous editions, the Department has

relied extensively on its ongoing outreach activities in establishing R&D priorities. For this

edition of the plan, comments specific to the plan have been obtained through a number of

processes discussed in Section II. The Department has supplemented its ongoing outreach

efforts through an intensive solicitation of outside input specifically related to this report,

including first-ever publication on the Internet.

I.h. Plan Organization

This plan is divided into the following sections related to surface transportation R&D:

! Section II presents a strategic vision and direction for surface transportation, establishes

a context for that vision by examining a number of key future trends and issues, and

presents a range of specific initiatives and long-term enabling research areas relevant to
9

surface transportation. The plan emphasizes long-term integration and coordination of

departmental R&D efforts in implementing these core endeavors, as well as partnering

to leverage scarce R&D resources in the private, public, and academic sectors. This

section also discusses the development of performance measures as a necessary

underpinning of ongoing strategic planning for effective resource utilization.

! Section III outlines the Department's near-term (FY 1997-1999) surface transportation

research program in five major areas: (1) physical infrastructure; (2) information

infrastructure; (3) next-generation vehicles and fuels; (4) human-centered transportation

systems, and (5) intermodal systems assessment, design, planning, management, and

operations. This Section also discusses related university and cooperative research

activities, and gives an overview of administrative and facility planning associated with

these programs. Relationships between the Department's near-term R&D programs

and the partnership initiatives and enabling research areas identified in Section II are

explored in the first chapter of Section III.

! Section IV discusses contracting procedures affecting the Department and its grantees.

I.i. Changes From the Last Edition

As noted above, this edition, like the last, presents a long-term vision for surface

transportation and a strategic plan for long-term R&D activities in one section, and an

overview of near-term activities in a following section. This fourth edition of the report,

drawing heavily upon the recently completed NSTC Transportation Committee Transportation

Science and Technology Strategy, establishes a tiered structure for transportation R&D,

consisting of the four components discussed above. This structure, presented in the second

section of the report, moves away from a strict distinction between near- and long-term R&D,

and toward a more focused set of long-term research areas, and a set of strategic initiatives

which could be pursued immediately, and are more pointedly oriented toward private/public

partnering.

The third section, as in the previous edition, describes the Department's near-term R&D

programs, and consists of eight chapters that rely heavily on the framework established by the

Transportation Committee of the National Science and Technology Council (NSTC). 

Although most of the content of this section is similar in structure, scope, and detail to that of

the last edition, the third chapter, which addresses information infrastructure R&D, has been

expanded to reflect the finer details of the ITS program, as well as the distribution of

responsibility within DOT operating administrations.
11

SECTION II

STRATEGIC PLAN FOR SURFACE TRANSPORTATION

RESEARCH AND DEVELOPMENT
13

CHAPTER 1

TRANSPORTATION IN 2020

Worldwide, a number of forces are converging to shape the direction of transportation over the

next two decades. Understanding these changes is critical to formulating a vision and goals for

transportation. Key among these global changes are significant shifts in demographics,

accelerated economic growth and globalization, growing urbanization and motorization,

increasing concerns for safety and security, and changing technological trends.

As we enter the 21st century, these global issues and trends will present transportation decision

makers and researchers with a dilemma: how to meet the increased demand for transportation

while also addressing the sometimes conflicting values of safety, security, economic

productivity, environmental quality, energy efficiency, and accessibility. 

In the past, changing transportation needs have typically been met through innovations in three

areas: transportation vehicles; the physical infrastructure that supports their use; and the

people who design, build, operate, and maintain the vehicles and infrastructure, and who plan

and manage the transportation enterprise. More and more, the burgeoning demands on the

transportation system will be met through a fourth means: the development and deployment of

an information infrastructure that underlies transportation’s physical infrastructure. In fact,

on component of any strategy to meet transportation needs will in fact be a stimulation of

alternatives to physical travel, where such a substitution is appropriate and effective.

Each of the four areas of innovation will be key to meeting the emerging global issues and

trends discussed below and are the foundation for the planning process, partnership initiatives,

enabling research, and education and training efforts that compose the above-mentioned NSTC

Strategy.

II.1.a. Changing Demographics

Two major demographic changes will influence the scope and character of world transportation

demand in the 21st century: population growth and the aging of the population in the

industrialized world. Over the next 25 years, world population is projected to grow from its

present 5.5 billion to 8.5 billion people. By far, most of this growth will be in the cities of the

developing world. The increased demand for transportation for this growing population will

require the expansion of existing infrastructure—highways and transit systems—and perhaps

new transportation alternatives. At the same time, in the U.S. and many other developed

countries, the geographic and financial resources available to build new physical infrastructure

is sufficiently limited that an emphasis on efficient management and operation of existing

systems, which can be facilitated through the judicious application of information technology,

is vital. 
14

While industrialized countries’ populations will stabilize and perhaps even decline, there will

be further aging of these populations. Today, over 12 percent of the United States’ and 14

percent of Europe’s population is over 65. By 2020, over 20 percent of the population in the

industrialized world will be this age.

The United States alone will experience far greater growth in its elder population: an

estimated 53 million people will be over 65 in the U.S. by 2020. This dramatic growth in the

aging population will necessitate new approaches to transportation and mobility, among them

changes in traditional transit services, transportation infrastructure, and vehicles. At the same

time that this is taking place, other demographic shifts with similarly important implications

for transportation demand will continue in the U.S.

For example, the increased presence of women in the workforce, which will be further

encouraged by welfare reform, could further increase dependence upon private vehicles. 

Salaried women, more often than their male peers, shoulder the bulk of the responsibility for

the day-to-day management of U.S. households, which often translates into a chained sequence

of related trips to and from destinations such as workplaces, day care centers, and grocery

stores.

II.1.b. The Information Technology Revolution

With rapidly increasing access to and use of personal computing technology, both at home and

work, the steep rise in use of the Internet, and growth in services which permit easy access to

the vast array of available electronic information, Americans are rapidly becoming accustomed

to being "plugged in" in real-time. This is also leading to the expectation of access to

real-time information on transportation mode choices and traffic conditions. It is also leading

to changes in travel patterns, as more workers can conduct business at home or from locations

other than their office, including their car or on other modes of transportation.

Historically, physical mobility has been a primary means through which people have gained

access, and that mobility has been distributed primarily based on financial means. However,

the creation, distribution, and use of information has become ever more central to the life of

modern societies, and access to services and even employment can be increasingly be achieved

through information transfer, rather than physical mobility. Of course, physical mobility will

continue to be a prerequisite for many jobs, services, and leisure activities, and a variety of

effects associated with telecommunications advances could stimulate travel and transportation

demand. Information technology will, therefore, play a prominent role both in shaping future

transportation demands, and in enabling new management and operational practices that make

it easier to meet those demands in an era of constrained expansion of physical infrastructure.
15

II.1.c. Economic Growth and Globalization

Although there continues to be incredible poverty throughout the world, economic growth in

selected regions is providing a base for the development of newly emerging upper and middle

income classes. Gross domestic product per capita is steadily increasing in many countries. 

This trend is quite dramatic in newly industrialized countries, particularly in several Pacific

Rim nations. More people have more disposable income, after paying for food, shelter, and

other necessities, than in any other period in human history. This income, combined with the

influence of the mass media and telecommunications, will continue to create a booming travel

and tourism market. As world tourism becomes an increasing share of transportation demand,

the capacity of many nations’ surface and air transportation infrastructures will be strained.

In parallel with growth in international tourism and travel will be corresponding increases in

international goods movement. Low-cost communication and transportation networks have

already resulted in a global manufacturing and marketing enterprise. In this interdependent

world economy, continued growth in international trade will increase the demand for freight

transportation facilities and place increasingly stringent cost and reliability requirements on

transportation networks, particularly intraregional networks that link increasingly dispersed

networks of interconnected businesses. Coupled with this, use of information networks for

“virtual” conduct of business may reduce demands for some kinds of personal travel, while

simultaneously increasing demands for other kinds of passenger and freight services.

II.1.d. Urbanization and Motorization

About 45 percent of the world population currently are urban dwellers. By 2025, more than 60

percent of the projected 8.5 billion people in the world will be living in cities—many of them

in megacities with populations of 10 million or more. Together with economic development,

growth in the world's urban areas has led to a dramatic increase in the number of motor

vehicles over the past 25 years. In 1970, there were 246 million vehicles registered in the

world, 44 percent of them in the United States. By 1992, the world had 614 million vehicles,

two and a half times the number in 1970, with only 31 percent in this country. In fact, the

global fleet has been growing linearly since 1970, with each year bringing an additional 16

million vehicles. Should this trend continue, there would be more than 1.1 billion vehicles in

the world fleet by 2025. Along with the world’s growing reliance on motor vehicles has come

a concomitant increase in environmental and energy impacts—global carbon emissions,

petroleum consumption, air pollution, and congestion. Moreover, coupled with high

population growth rates and a growing vehicle fleet, sprawling urban development is a major

cause of pollution, congestion, and poverty in many of the world’s cities.

In the United States, suburban sprawl has led to spatial disparities in the location of

employment centers and concentrations of urban poor, who are now required to find work

under the recently enacted welfare reform law. The internal migration of the population,
16

 combined with migration from abroad and with the rapid suburbanization of homes and jobs,

have been linked to:

! substantial population and employment growth in the west and south;

! concentrations of migrants from abroad in a limited number of states;

! major growth in suburb-to-suburb commutes;

! major growth in reverse (i.e., urban core to suburb) commutes; and

! increased distances between home and all trip destinations.

These patterns, which vary in specific manifestation from one region to the next, have

profound implications. Employees who both work and live in low density places have

scattered travel patterns--they do not travel along highly concentrated corridors, and they have

few alternatives to the private car when they travel. Employees who live in the core of

metropolitan areas but work in the suburbs also create nontraditional commutes and may have

limited travel options. Overall, these population and land use trends accelerate the travel

patterns linked to the growth of a service-based economy, leading to longer work and nonwork

trips, more scattered origins and destinations, and greater dependence on single-occupancy

private vehicles.

II.1.e. Safety and Security of the Global Transportation System

Over the next two decades, continued growth in world transportation demand will lead to

heightened concerns for transportation safety and security. For example, along with growth in

automobile use will come the potential for a dramatic increase in automobile-related deaths and

injuries. This is particularly true for many countries in the developing world, where the

number of motor vehicles is growing far faster than the physical, legal, and institutional

infrastructures needed to accommodate them. From 1968 to 1985, automobile fatalities

increased by more than 300 percent in eight African countries and by almost 200 percent in six

Asian nations. Even in the more industrialized countries, where safety records are typically

good by historical standards, the private automobile will continue to present safety risks. Still

other concerns will arise from the growth of air transportation and its increasing use for

international travel. Greater demand for air travel will place additional stress on an already

overburdened aviation system. As countries seek to accommodate demand by moving toward

“free flight” (described further in Section II.a.3.iii) and a global infrastructure for air traffic

management, questions may arise concerning the reliance on satellite and digital technologies,

the increasing dependence on complex software-based aids and systems, and the need for

global standards and interoperability. Moreover, the troubled state of the world and the

attractiveness of aviation as a terrorist target make it likely that aviation security, as well as

security in other modes of transportation, will be a major area of concern well into the 21st

century.
17

II.1.f. Technological Trends

One clear reality of the late 20th century is the power of technology and the advances that can

be achieved when it is applied in the right way, to the right problems, and in concert with

more effective institutional relationships and a better understanding of the social forces that

shape travel behavior, land use, and transportation needs. The magnitude and pace of

improvements in the next century will depend on the investment of energy, imagination, and

public and private resources made at the close of the 20th century. By 2020, advances in

computer, information, and communications technologies will have dramatically changed ways

of organizing and managing transportation and business activities. There will be an increasing

number of potential alternatives for various transportation functions, each offering real

benefits. For example, the transportation vehicles manufactured 25 years hence can be

expected to offer dramatic advances in sustainability, performance, and cost, based on

refinement and innovation affecting almost every component. The Administration's

Partnership for a New Generation of Vehicles (PNGV) will yield significant improvements

leading to lighter weight, lower cost materials, improved emission characteristics, and greatly

lessened petroleum requirements. In general, technological advances will be critical factors in

ensuring that the overall transportation system is brought to its full potential in terms of

life-cycle economics, energy efficiency, and minimal adverse societal impacts.

The Department has conducted an environmental scan of the key technological trends which

are projected for the next five to ten years, and has examined their potential impacts on the

National transportation system and DOT. The general findings of this exercise are

summarized below in Table II-1-1.
18

Trend Impact on DOT

Information: Accelerated application of advanced Increasing role for DOT to set standards and guide

electronics, information systems, and control systems the development of international standards for

to transportation. Over the next five years, these information system interfaces and electronic, safety,

information-related technologies will enable the security, and communications systems.

collection, management, integration, and distribution

of transportation-related information in less time Increasing pressure to allow flexibility in the use of

(<1/100 current), with better fidelity (>10 to 100 grant funds for installation or retrofit of electronic

times more information), and broader applications. and information technologies in current and future

The Nation’s transportation system will enter the systems.

information age.

Sharing information on approaches for integrating

and applying security measures on a multi-modal

basis, and for maintaining closer operational links

with law enforcement officials, fire departments,

hospital units and the military is imperative.

Will enable concurrent Federal, regional, state, and

local planning, and national-level traffic management

and infrastructure monitoring.

Materials: Stronger, lighter, and environmentally Need to maintain emphasis on development and

friendly advanced composites and materials will application of advanced materials established in DOT

revolutionize the construction, maintenance, and Strategic Plan is imperative. The benefits to

repair of transportation guideways, vehicles, and transportation in the materials area are long-term. 

systems. Research must be sustained in spite of increasing

focus on near-term results from R&D.

Need to continue leverage and apply advanced

materials developed for military or aviation use in

other areas of transportation.

Need to incentivize the use of new structural

techniques and materials in transportation systems.

Need funding for the development of new and

innovative materials with multi-modal applicability.

Energy and Environmental Technologies: New Improvements may generate pressure from the public

power systems, combined with lighter structures, will and environmental groups to revisit and tighten some

improve the energy efficiency and environmental emissions and fuel economy standards.

compatibility of transportation vehicles. The first

“sustainable” transportation systems will begin to

emerge.
19

Human Factors: Increasing knowledge and Coupled with increases in the population of elderly

acceptance of “human-centered” system design and persons, the entire area of specialized or personalized

technology integration concepts will promote safer transportation will have to receive greater emphasis.

and more user-friendly transportation services, which

are more accessible to mobility-limited users. To assure continuing application of military and

aerospace applications of human factors discoveries,

closer working relationships among DOT, DOD, and

NASA will be necessary.

Standards for operator training will have to be

reassessed on a multi-modal basis as increasing

application of improved simulators to the function

takes place.

Modeling of individual human performance and

reactions, along with vehicle performance

simulations, will enable “virtual” testing and

training.

Industrial Design: Advanced three-dimensional DOT will need advanced planning and policy

models and simulations will foster new vehicle formulation, simulation, and modeling tools to

design concepts, container designs, terminal represent intermodal interactions well.

management approaches, and traffic management to

promote intermodal operations and facilitate transfers Increasing pressure for DOT to take a role in the

between the modal elements of the transportation standardization of containers, data exchange formats,

system. etc., to facilitate intermodal trade.

More sophisticated and faster screening techniques

will be needed to monitor system security while

increasing passenger and freight throughput.

DOT will have to maintain a workforce which is

technically qualified over a broader range of

management and technical disciplines.

Table II-1-1. General Technology Trends, Impacts on DOT
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CHAPTER 2

STRATEGIC GOALS AND THE ROLE OF RESEARCH

II.2.a. National Goals for Transportation

Considering the likely 2020 future, the NSTC Committee on Transportation R&D has defined

a set of strategic goals and measures that encompass safety, security, environmental quality,

energy efficiency, economic productivity, accessibility, and mobility. Investment in

transportation research, technology, and education can significantly improve the probability of

attaining these goals. These goals, summarized above in Table I-1, are discussed at greater

length below.

The White House and Federal agencies, in conjunction with the National Research Council

(NRC), have been working to identify strategic goals and appropriate measures to determine

the impact of Government research and technology investments on the performance of the

national transportation system. For example, over the past two years the NRC has conducted

roundtables for key members of the Federal transportation enterprise and supported the

definition of National transportation goals and strategic partnerships and measures.

What follows is a more detailed discussion of the five major transportation goals upon which

both the NSTC Transportation Science and Technology Strategy and this plan are based. 

Potential measures of success and program performance are discussed below in Chapter 6.

II.2.a.i. Transportation Safety

A core transportation objective is to reduce deaths and injuries and to minimize the dangers

associated with all modes of transportation. Worldwide, 250,000 people a year are killed in

transportation accidents and over 10 million injured. The fatality and injury rates in

developing countries are 3 to 4 times those of the U.S. As the number of motor vehicles in

the developing world increases, world fatalities may reach 1 million per year, with 40 to 50

million injuries. Another consequence of growing demand will be a doubling of the world

civil aviation fleet. At current accident rates, a doubling of civil aviation traffic implies more

than 4,500 annual aviation-related fatalities worldwide by 2025.

Today, more than 40,000 people are killed on our Nation's highways each year—the

equivalent of a DC-9 crashing and killing all of its occupants every day of the year. Many

fatalities are caused by errors in driver judgement due to inadequate or untimely information

necessary to avoid a collision. Human error is the most pervasive fundamental problem and

the greatest limitation to improving transportation safety and efficiency. Thus, a major focus

of the transportation enterprise's R&D activity is to understand the causes of, and determine

the means to eliminate, human error as it relates to the safe operation of vehicles in all modes
22

of transportation. Increasingly, transportation is experiencing a paradigm shift toward active

accident prevention as a vital complement to passive prevention measures (e.g., highway

design) and occupant protection.

Although these activities are directed at the most important root cause of accidents, it would be

unrealistic to expect that they could prevent all accidents. Research in the areas of fault

tolerance and crashworthiness have been important to reducing the damage caused by accidents

that do occur, and a continued commitment to these activities will be of vital importance now

and in the future. For example, NHTSA is currently initiating research activities to improve

the characterization of new structural materials that may be used in next-generation vehicles,

which will help to ensure the proper design of applicable safety standards. FRA and FTA

have nearly completed a five-year plan for a joint Commuter Rail Safety Research Program,

which would address the following key safety elements: structural integrity and passenger

protection; suspension system performance; wheels and other components; signal systems and

train control; grade crossing hazards; human factors; fire safety; and emergency preparedness.

These and other major issues ensure that safety concerns will continue to be integral to many

transportation R&D initiatives.

II.2.a.ii. Transportation Security

Security is a key element in retaining the public's trust and confidence in the global

transportation system. Yet, in the last few decades, the threat of hijacking and deliberate

sabotage has become real and highly visible worldwide. In the aviation arena, for example, it

is an enormous challenge to keep all weapons and explosive materials off an airplane carrying

several hundred people and their highly varied luggage. At the same time, recent plots or

actual attacks have been made against railroad, mass transit, and highway targets, both

domestically and internationally. 

The security of transportation’s information infrastructure is another area of growing concern. 

A transportation system permeated with information technologies could prove highly

vulnerable to malicious and terrorist attacks focused on introduction of false information into

the system or interference with computer and communication system operation. As

transportation systems become increasingly integrated with information systems, the potential

increases for widespread system disruption and personal injury as a result of such security

breaches.

II.2.a.iii. Environmental Quality and Energy Efficiency

Environmental and energy concerns affect transportation system development worldwide. 

Everywhere, transportation is becoming the focus of concerns about fossil fuel consumption,

global warming, and air quality. For instance, current scenarios estimate that the world

demand for petroleum, by far the primary fuel source for transportation, could double to as
23

much as 150 million barrels per day. Critical fuel supplies to a nation could be disrupted over

the short or long term by local conflicts, natural disasters, economic downturns, or conscious

political decisions.

As cities grow and the demand for transportation increases, the resulting growth in

transportation activity places nearly unsustainable pressure on land use, traffic congestion, and

air and water quality. The emissions caused by petroleum consumption contribute to both

human health problems and the possibility of global climate change. Although very important

progress has been made in reducing emission rates over the past 25 years through the

application of technologies such as 3-way catalytic converters and closed-loop fuel control

systems, cars, trucks, and other vehicles are still major sources of carbon monoxide, volatile

organic compounds, nitrogen oxides, and fine particulate matter. Highways have been blamed

for erosive and contaminated runoff and ruination of wetlands. At the same time, communities

have formed coalitions that vigorously protest the risks of hazardous materials transport, such

as oil spills, and the adverse impacts of transportation noise. 

Combined with the dramatic forecasts for growth in world population and transportation

demand, these issues have given environmental and energy concerns prominence on the

national agenda at the same time that physical and financial constraints are limiting expansion

of existing transportation infrastructure to meet demand. Potential strategies to reduce travel

demand face tremendous challenges, and it is increasingly apparent that intelligent

management and operation of transportation systems will be critical to meeting these wideranging and often conflicting demands.

II.2.a.iv. Economic Growth and Productivity

Trade and tourism are areas of great significance to the world's economy. Tourism alone may

be the single biggest economic activity in the world today, accounting for over one-tenth of the

total global gross product. And, as population and disposable income both grow, a dramatic

increase in international passenger travel can be anticipated. In particular, this trend will

stimulate growth in air travel, and thus the need for user-preferred routes and schedules, new

and expanded airport facilities, and associated transportation connections throughout the world.

Such growth also will stimulate the demand for finished goods, which in turn will expand

growth in freight transportation services worldwide. Oceanborne trade is expected to increase

at an average rate of 4.5 percent between 1994 and 2005. Just-in-time goods movement—with

the goal of minimum inventories—is increasing both the number of trips made by parts

suppliers and final assemblers' deliveries to purchasers, creating the need for more efficient

and reliable freight movement through urban and suburban centers. At the same time, the shift

of manufacturing to the developing world and the increasing "out-sourcing" of component and

parts production will necessitate increased freight movements during the manufacturing process

itself.
24

Transportation decision makers at all levels will need to respond rapidly to these demands for

passenger and freight services. Yet, many local officials are not aware of the significance of

these issues to their regions' economies or of the infrastructure and operational needs of these

activities. If they are to consider the entire transportation system—including all modes and the

connections among them, both locally and internationally—as well as alternatives to physical

travel in making major transportation decisions, transportation officials will need better

planning tools, information, and technologies to assess the impacts of such choices.

With today’s highly competitive surface transportation enterprise and research, it would be

very easy for the U.S. to become a Nation of technology importers and purchasers, rather than

innovators and sellers. Both the Transportation Science and Technology Strategy and this

Surface Transportation Research and Development Plan, consistent with the intent of ISTEA,

emphasize opportunities for cooperation with industry and “strengthening the manufacturing

capabilities of United States firms in order to produce products for surface transportation

systems.”

While looking toward long-term gains and technological advances, it is also critical to ensure

continued attention to incrementally evolving customer needs and deployment opportunities. 

Established infrastructure and systems are such that applied research represents the majority of

research needed to meet ongoing repair and restoration needs.

II.2.a.v. Accessibility and Mobility

The recent major growth in suburb-to-suburb commutes and "reverse" commuting (city center

to suburb), new and decentralized employment locations, variable employment schedules, and

the growing number of non-commute trips, particularly for women, create considerable

challenges for fixed-route transit services and other alternatives to private automobile travel. 

The challenge for the transportation enterprise will be to manage limited resources effectively

to provide access and mobility for all segments of the population.

Among the transportation enterprise's primary missions is to help local agencies provide

essential, affordable transportation services to those who—because of age, disability, income,

or personal preference—do not use an automobile. For example, estimates suggest that by the

year 2020, one out of six members of the population will be over 65, with the fastest growing

cohort those least likely to have easy access to automobile transportation—the population 85

and older. Likewise, children, as well as those of any age with physical disabilities have

considerable mobility needs. Welfare reform places renewed emphasis on the importance of

mobility for those attempting to access and retain employment but do not own an automobile. 

The spatial disparity of where new employment centers are located and where many of the

poor live points to a serious mobility gap.
25

As is discussed in II.1.b, information technology will be an important factor in the evolution

of future travel patterns, and will also play a critical role in the management and operation of

transportation systems to meet future mobility requirements.

II.2.b. The Role of Research

The goals described above present the entire transportation enterprise with a challenge of great

magnitude, particularly in a time of financial constraints, growing demand, and

decentralization and devolution of transportation responsibilities. From the DOT perspective,

there is an additional imperative to find more effective and less costly means of carrying out

Federal operational and regulatory responsibilities. Research, and the innovation that it

enables, will be a critical component in the National response to this challenge. The

stimulation and fostering of innovative technologies and methods in transportation will thus be

central to meeting national needs in the next century.

Fortunately, these challenges, and the associated necessity for continuing innovation, arise in

an era richly endowed with a wide range of steadily-advancing technologies and tools that,

effectively applied, have great promise for resolving current or anticipated problems. 

Innovation is seldom a smooth process, and realization of significant change in transportation

systems–tightly linked to their environment and characterized by very long-lived infrastructure

and vehicles–is complex and difficult. Research and development enables and stimulates

innovation by the three both parallel and interconnected paths which are described below.

II.2.b.i. Development of New Technologies

Various modes of transportation have at times been revolutionized by the development of

practical realizations of new technologies, such as the diesel locomotive and the jet engine. 

Major research efforts are currently under way to improve the fuel efficiency of personal

motor vehicles and provide propulsion based on non-petroleum sources, such as electricity or

alternative fuels, perhaps using advanced energy conversion technologies such as fuel cells. 

While rare, innovations yielding a quantum leap in economic efficiency, speed, or safety can

transform the operations and role of affected transportation functions or modes, and

dramatically change the performance of the entire system. New technologies may be essential

to the solution of problems that would otherwise be intractable.

II.2.b.ii. Introduction of Existing Technologies into Transportation

The most common way in which R&D affects transportation lies in fostering and facilitating

the adoption of technological advances in many fields into transportation applications. The use

of information technology throughout the transportation enterprise is a particularly prominent

current example, accompanied by application of improved materials in physical infrastructure

as well as vehicles, nondestructive testing and inspection techniques, computer-aided design,

and environmental engineering. Such technology is enabling the necessary transition from an
26

emphasis on building new physical infrastructure to meet transportation demand to an emphasis

on effectively managing transportation systems to improve operational efficiency.

The introduction of innovative technologies itself raises many questions and challenges,

including not only technical considerations but also uncertainties as to cost, effectiveness, and

unintended consequences. Specific focused research initiatives are often essential to rapid and

effective integration of available technologies in transportation functions.

II.2.b.iii. Increased Knowledge for Decisions and Actions

Whether innovation derives from new or existing technologies and operational concepts, a

broad foundation of data, knowledge and understanding–concerning both transportation and the

relevant technologies–is required for diagnosis of perceived transportation problems,

identification of potential solutions or opportunities, comprehensive characterization and

evaluation of alternatives (including their interaction with the people who use and operate

them), and development of effective deployment strategies. Understanding of the interactions

between humans and transportation systems, whether as users, operators or designers, is far

from complete.

Transportation policies and decisions, whether public or private, must address a steadily

widening range of considerations. Many stakeholders are involved, and the technical realities

and uncertainties are generally complex. National policies can place heavy burdens on state

and local agencies for planning and decision making in technically complicated areas. An

example of ongoing research to ease this burden is the development of the sketch planning tool

known as the ITS Deployment Assessment System. Without such tools and other needed

information and data, it would be very difficult to meet these challenges.

II.2.c. Federal Involvement in Research and Development

The essence of Federal involvement in R&D was concisely stated in a 1995 report of the

President’s Council of Economic Advisors: "First, successful R&D in private companies

depends on the flow of new ideas and trained people stemming from basic research and

pre-commercial R&D. Federal support of these activities is vital. Second, the Federal

government sponsors much applied research to improve its own capabilities in such areas as

National security, health, and transportation." The nonprofit, nonpartisan Council on

Competitiveness echoed this theme: "The Federal government must meet its long-standing

obligation to stimulate civilian research."

With respect to transportation, this obligation takes the form of Federal research and

technology initiatives, increasingly conducted in partnership with the private sector and

academia, to stimulate innovation across the transportation enterprise. Although development

of advanced transportation technology and improved operations is largely the responsibility of

the private sector, focused federal investment in research, development, test, evaluation, and
27

technology dissemination can have great impact in the many areas in which market-driven

R&D efforts are impeded by technological and other uncertainties as well as strong

institutional impediments. The basic criteria applied are that the research must support

long-term National goals, but with benefits too widespread, uncertain or distant to motivate

private sector firms to invest independently. In addition, the largely non-Federal nature of the

transportation sector mandates that R&D be conducted in collaboration with the firms who will

ultimately design and manufacture products for the marketplace, the organizations that will

operate and maintain the resulting systems, and the shippers and passengers who will use

them. 

Federal R&D is also called for where it is necessary to support the efficient performance of

agency mission responsibilities, such as operation of federally-provided transportation-related

services, guiding of public investment in the transportation system, and regulation of

transportation safety and security. 

II.2.d. National Transportation Science and Technology Strategy

Careful planning is essential for managing and leveraging limited Federal research,

development, and education and training resources to meet 21st century transportation

challenges and opportunities.

The NSTC Coordinating Committee on Transportation R&D (CTRD) was created in 1994 to

ensure that the Federal investment in transportation R&D is (1) coordinated to ensure efficient

use of Federal funds aimed at this mission; (2) focused on projects identified by users,

industry, and other stakeholders as being the most critical to achieving success in agencies'

missions; and (3) limited to areas where it is clear that major public benefits can only be

achieved through cost-shared Federal research. 

Through its initial planning efforts—with major involvement of the transportation

community—

the Committee has completed the first Transportation Science and Technology Strategy to help

Congress, the White House, and Federal agency heads to establish National transportation

R&D priorities and coordinated research activities. The Strategy is based on the results of

numerous outreach events, environmental scans, and an analysis of the transportation system's

current and future strengths, weaknesses, opportunities, and threats. The Strategy provides a

framework for National partnership initiatives, enabling research, and education and training

necessary to achieve National transportation goals. The vision, goals and conceptual approach

that underlie the Strategy are presented in Section I of this plan, which highlights those

elements that focus on the surface transportation system. As described in Section I.c, the

Strategy has four components: (1) Strategic Planning and Assessment; (2) Strategic

Partnership Initiatives; (3) Enabling Research; and (4) Transportation Education and Training.
28

II.2.d.i. Strategic Planning And Assessment

The institutionalization of a continuing transportation R&D strategic planning and assessment

process will enable policy makers and implementers to adjust the allocation of scarce national

R&D and other resources to meet changing requirements. This ongoing process, involving the

establishment of a broad consensus among all levels of government, industry, and academia,

will (1) establish and assess transportation goals in accord with a changing external

environment; (2) identify strategic technology partnerships to support transportation goals; (3)

identify a long-term enabling research agenda to support future transportation goals; and (4)

develop measures of progress against national goals to evaluate the impact of Federal R&D

investments. Outreach to leaders in industry, state and local government, academia, the

research community, and other stakeholders has allowed the Federal Government to gather

facts and analyze trends that give an objective picture of where we stand in the transportation

"world," and of the external and internal pressures and factors likely to affect our future. 

As observed during the March 1995 TRB/NSTC Forum on Future Directions in Transportation

R&D, technological integration is needed at all levels to rectify current inadequacies in the

following areas:

System Assessment--There is a need for improved data, analyses, and assessments in all

aspects of transportation system performance.

Policy Research--Although technology is also important in systems assessment, there

are critical issues that are more institutional or policy oriented than technical.

Intermodal Research--Advances in the characterization and modeling of system

operations will be required in order to take full advantage of the opportunities to

improve system efficiencies through effective use of all modes.

As is discussed in detail in Chapter 6 of this section, this ongoing activity necessary for

effective management of all subsequent components of the Strategy must be supported by

effective performance measurement. Through its current interagency strategic planning

processes, the Department is currently vigorously pursuing the identification of a wide range

of performance measures that address the transportation system as a whole, specific

transportation modes, progress toward ultimate societal goals, and the success of individual

programs.

II.2.d.ii. Strategic Partnership Initiatives

The Strategy specifically proposes a set of 12 research initiatives to be pursued as partnerships

among government, industry, and academia. Particularly in transportation, which is a very applied

discipline, investments in basic science and research are often best undertaken in collaboration and

the exchange of people and ideas among Federal agencies, state and local governments, private
29

companies, universities, public interest groups, and other stakeholders. Strategic partnerships can

be an effective means to expedite the research process and speed the introduction of valuable

innovations into transportation systems and operations. These initiatives do not address the entire

body of research needed to ensure desired improvements in transportation, or to meet all basic

DOT responsibilities. They represent unique opportunities for leveraging of scarce resources to

achieve rapid gains in specific technical areas.

The twelve partnership initiatives are listed below and presented in detail in Chapter 3 of this

section. The initiatives fall into three categories: (1) transportation information infrastructure; (2)

next-generation vehicles; and (3) transportation physical infrastructure.

! Transportation Information Infrastructure

Smart Vehicles and Operators

National Intelligent Transportation Infrastructure

Next-Generation Global Air Transportation

Enhanced Transportation Weather Services

Enhanced Goods and Freight Movement at Domestic and Int’l Gateways

Accessibility for Aging and Transportation-Disadvantaged Populations

Local Environmental Assessment Systems

! Next-Generation Vehicles

Next-Generation Motor Vehicles and Ships

Aviation Safety Research Alliance

! Transportation Physical Infrastructure

Total Terminal Security

Monitoring, Maintenance, and Rapid Renewal of the Physical Infrastructure

Environmental Sustainability of Transportation Systems

II.2.d.iii. Enabling Research

Transportation inherently is based upon the application of a wide range of scientific and

engineering disciplines, some of which are specific to transportation, and some of which have

broader applicability. Innovation in transportation therefore necessitates ongoing R&D focused

on adaptation of more-generic technologies examination of aspects unique to transport functions.

The societal benefits of innovation can often be widely dispersed or require a long time period for

realization. Hence, economic, institutional and other constraints make research of this type

unattractive for private investment. In these areas, Federal R&D is warranted, accomplished

wherever possible in multi-agency collaborations. The NSTC Transportation S&T Strategy

identifies six areas of long-term enabling research that are appropriate and promising in terms of
30

their potential contributions to transportation innovations. These are listed below and discussed

in detail in Chapter 4 of this section.

! Human Performance and Behavior

! Advanced Materials

! Computer, Information, and Communication Systems

! Energy Conversion for Propulsion

! Sensing and Measurement

II.2.d.iv. Transportation Education and Training

The benefits from national investments in transportation, whether based on existing or innovative

technologies, are dependent on the transportation professionals and workers responsible for the

design, construction, operation, and maintenance of the overall system. In the case of new

technologies or novel applications, it becomes all the more important to assure that an

appropriately trained workforce, with sophisticated technical knowledge and a strong

understanding of the societal context within which transportation functions. This area is not new

to the Federal government, which has a long history of supporting education. Current DOT

activities include the University Transportation Centers Program, the Eisenhower Fellowships, the

Aviation Education Program, and the National Highway and National Transit Institutes. 

Transportation today is undergoing great change—experiencing advances in technology,

undergoing organizational transformation, and continuing globalization along with the world

economy. These changes require that the Department and partner agencies expand efforts that

will enable current and future generations of transportation professionals and workers to meet the

demands of the 21st century. The three focal points of support for education and training

investment are noted below and discussed at length in Chapter 5 of this section.

! Introduction of Transportation Concepts: Elementary and Secondary Education

! Vocational and Technical Training

! Transportation Degree Programs: International and Multi-disciplinary

! Mid-Career Transportation Training

II.2.e. The R&D Role of the Department of Transportation

Innovation in transportation calls for a balanced and integrated approach that links parallel

streams of research, development, test and demonstration, and implementation. This entire

process must be based on a clear understanding of specific transportation objectives and

institutional, regulatory, and economic constraints. The translation of a tested and proven

advance into revenue service or operational improvements often necessitates a major

investment in providing users with sufficiently convincing evidence of its performance and

probably benefits and with the knowledge needed to apply the innovation effectively.
31

The Department sponsors a range of research and development activity to support fulfillment

of its core responsibilities, which are as follows:

! Establishing standards for safety and other key aspects of the transportation

system, facilitating deployment of safe and effective transportation equipment

and systems.

! Distributing funds to state agencies, transportation providers, and other related

institutions to plan, construct, and operate the transportation system.

! Interacting with other Federal agencies to carry out broader Federal mandates

such as the Clean Air Act and National security policies.

! Providing law enforcement and traffic management systems for the Nation’s

airspace and waterways.

R&D is critical to the Department’s ability to meet the multiple, and sometimes conflicting

demands the Nation places on its transportation system, particularly in an era of scarce

resources. As the national steward of the transportation system, the Department has a unique

responsibility to work in partnerships with state agencies, transportation providers, and other

related institutions to ensure that the Nation fully capitalizes on technological, operational, and

institutional innovations.
33

CHAPTER 3

PRIORITY STRATEGIC PARTNERSHIPS

A wide range of transportation R&D is needed to support basic DOT responsibilities, such as

the establishment and enforcement of safety regulations. Strategic plans for this research are

established by each of the Department’s operating administrations, which collaborate on an

interagency basis through the Department’s Research and Technology Coordinating Council,

and with stakeholders through a range of processes, and participate jointly in the development

of departmentwide strategic planning documents such as this Surface Transportation Research

and Development Plan.

Improvement is highly desirable in many aspects of transportation, and interesting and

attractive innovative technological and operational concepts abound. Without an ongoing

commitment to transportation research and development, the Nation would risk a high level of

importation of key technologies. It has been estimated that the global ITS market for surface

transportation will be in the hundreds of billions of dollars by 2025. However, it is clear that

Federal government research over the next ten years, both that addressing basic governmental

responsibilities, and that designed to take advantage of new opportunities for improvement,

must be conducted in a climate of severe fiscal restraint. Ongoing consideration of the broad

transportation R&D context will be essential, and will encompass important activities

throughout the Federal Government, academia, the States, and industry.

The second tier of the NSTC Science and Technology Strategy, and one of its critical

elements, is the identification of research partnerships among government, industry, and

academia. One of the tenets of the President's Committee of Advisors on Science and

Technology is that the Nation can best profit from investments in basic science and research

through partnerships and the exchange of people and ideas among Federal agencies, state and

local governments, private companies, universities, public interest groups, and other

stakeholders. For agencies with transportation R&D responsibilities, strategic partnerships can

expedite the research process and speed the introduction of much-needed new technologies into

transportation systems and operations. Based on broad public and private sector input, this

Strategy identifies twelve partnership initiatives, ten of which address surface transportation,

offering some of the greatest benefits for transportation. Chapter 6 of this Section addresses

the importance of an ongoing process to measure the performance and benefits of these

initiatives and the whole of transportation R&D, and to integrate this into an ongoing strategic

planning process.
34

Criteria for Partnership Initiatives

! Addresses a real recognized need.

! Has a technology focus--ideally a selfcontained, readily implemented piece of

technology.

! Market for the technology-based

improvement exists--if successful with the

technology, could rely on existing market

forces and the private sector for widespread

implementation.

! Is a need for a Federal role, with benefits to

the Nation as a whole--taxpayers, traveling

public, industry; the initiative could not

proceed in a timely fashion without Federal

involvement, support, or coordination, but

also requires private sector cooperation and

participation.

All of these initiatives build on

recommendations from various outreach

events and meet all of the criteria listed to

the right. The role of the Federal

government in planning the details of these

initiatives, and in implementing those plans,

will vary depending upon the nature of the

initiative and the range of partners.

These initiatives do not cover the full scope

of the Nation’s long-term surface

transportation needs and, in particular, do

not address the full range of DOT

responsibilities. They are not intended to do

so. However, they will help to make

important and visible progress toward the

long-term the National goals for

transportation identified above in Chapter 2,

and reflect prioritization of activities and

resources in an era of limited resources. 

The initiatives fall into three overlapping and interrelated categories: (1) transportation

information infrastructure; (2) next-generation vehicles, and (3) transportation physical

infrastructure.

! Transportation Information Infrastructure

Initiative #1: Smart Vehicle and Operators

Initiative #2: National Intelligent Transportation Infrastructure

Initiative #3: Next-Generation Global Air Transportation

Initiative #4: Enhanced Transportation Weather Services

Initiative #5: Enhanced Goods and Freight Movement at Domestic and International

Gateways

Initiative #6: Accessibility for Aging and Transportation-Disadvantaged Populations

Initiative #7: Local Environmental Assessment Systems
35

Initiative: Smart Vehicles and Operators.

Goal: Reduce the occurrence of accidents in all modes of transportation

through an enhanced understanding of human performance and behavior; the

application of human-centered technological aids and systems for accident

avoidance; and the development of advanced materials and technologies for

vehicle operator training.

Participants: DOT (FHWA, NHTSA, FAA, FTA, FRA, USCG,

MARAD), DOC, and other Federal agencies; the technology community;

vendors; states; associations of vehicle operators; transportation companies;

and vehicle manufacturers.

Benefits: A safer highway, railroad, transit, and waterways system, with

fewer deaths, injuries, suffering, and property loss, accompanied by a

reduction in trauma injuries for the U.S. health care system; reduced

transportation vehicle repair costs; and, potentially, reduced automobile

insurance premiums.

! Next-Generation Vehicles

Initiative #8: Next-Generation Motor Vehicles and Ships

Initiative #9: Aviation Safety Research Alliance

! Transportation Physical Infrastructure

Initiative #10: Total Terminal Security

Initiative #11: Monitoring, Maintenance, and Rapid Renewal of the Physical

Infrastructure

Initiative #12: Environmental Sustainability of Transportation Systems

II.3.a. Transportation Information Infrastructure

II.3.a.i. Smart Vehicles and Operators

The first priority in safety is prevention—stopping accidents before they occur. The great

majority of transportation accidents involve at least some degree of operator error brought on

by fatigue, inattention, or incapacitation. An appropriate response to these concerns can be
36

formulated only on the foundation of a solid understanding of human characteristics as they

relate to vehicle operation.

Technical advances, particularly in information technologies, now offer many possibilities in

terms of devices to warn operators of unsafe circumstances, or to suggest or even initiate

corrective actions. The ITS program, for example, specifically includes elements intended to

assure full exploitation of these opportunities. Additionally, innovative means of inspecting

and monitoring the condition of vehicle and infrastructure components, periodically or while in

operation, can make it possible to take corrective action before an accident occurs.

This partnership initiative incorporates a wide variety of R&D activities associated with

accident avoidance. For conciseness, they are discussed here in three broad groups: human

performance, accident avoidance technologies, and operator training and education.

Human Performance: Research directed toward better understanding of operator

performance in transportation systems now offers great promise. As these results are

incorporated in vehicles, infrastructure, and overall system design and operation, and

accompanied by new technological aids to provide information and alerts to operators,

dramatic safety benefits will result. Among other activities, this initiative will support

the development of new simulator capabilities, such as those now being completed for

motor vehicle operator research, that will add substantially to our understanding of

operator behavior and decision making and assist in the evaluation of the

human–machine interface.

Accident Avoidance Technologies: An important use of advanced information

technology in transportation is the deployment of devices to improve operator

awareness, warn operators of hazardous circumstances or imminent threats, or initiate

responses to hazards. The ITS program, for example, includes a substantial component

that seeks to exploit these possibilities through vehicle–wayside communications,

whether by on-board devices or variable message signing. This proposed initiative will

assess the potential of an additional category of opportunities for preventing accidents—

vehicle-based systems, such as Positive Train Control. Other such systems include

"smart ships," vessel tracking systems, air traffic alert and collision avoidance systems,

synthetic vision (e.g., night vision aids), smart cruise control, collision warnings or

automated braking, devices to detect vehicles in "blind spots," and sensors to detect

that operator alertness has dropped to a hazardous level.

Training and Education: Even with a greatly improved understanding of human

performance and a set of advanced collision-avoidance technologies that draw upon that

knowledge, training and education will continue to be vital to ensure that vehicle

operators are knowledgeable about safety systems and safe operational procedures for 

the vehicles they operate. This initiative will support the development of interactive 
37

Initiative: National Intelligent Transportation Infrastructure.

Goal: Deploy an intelligent transportation infrastructure across the United

States within the next decade.

Participants: DOT (FHWA, FTA, FRA, NHTSA); State DOTs; MPOs;

emergency response and law enforcement agencies; private industry.

Benefits: Reduction in travel times in metropolitan areas; faster life-saving

emergency response and fewer congestion-related traffic incidents; more

efficient public services; reduced petroleum consumption; improved air

quality; increased infrastructure capacity without costly new construction;

enhanced information system security.

programs (e.g., CD-ROM video games, simulators) to train and evaluate vehicle

operators under a wider range of operational scenarios than is currently possible.

II.3.a.ii. National Intelligent Transportation Infrastructure

Over the last decade, traffic in metropolitan areas has increased at a far faster rate than

available road capacity. The daily vehicle- miles of travel per lane of urban highway has

grown by nearly 30 percent, and this has led directly to greater congestion, energy use, air

quality problems, and sprawl. During the past 15 years, both the number of trips per person

and the miles per trip have increased at about 3 times the rate of population growth. 

Vehicle-miles traveled in urban areas have been growing at about 4 percent a year. In the face

of this explosive growth in travel, the transportation system's capacity has not kept pace. 

DOT estimates that to just equal the growth in vehicle-miles traveled, the U.S. transportation

system would need to build approximately 35 percent more highway capacity. Doing so for

50 of our most congested metropolitan areas—for which the total cost of congestion is $43

billion a year— would cost about $150 billion.

Congestion also has an impact on commercial motor vehicle travel, particularly when coupled

with the administrative burden associated with regulatory compliance. Motor carriers are

legally required to obtain numerous and information-intensive credentials and clearances for

interstate operations. On the average, interstate carriers may deal with five or six public

agencies within each of the states in which they operate. Regulatory compliance not only

creates administrative inefficiencies and redundancies, but it increases labor costs. Total

compliance costs for the industry are estimated to be as high as $5 billion a year. The costs to

the public sector are even greater, due to the volume of paperwork associated with motor

carrier inspections, credentialing, and tax collection. 
38

Rural transportation poses yet another set of challenges. The transportation needs of rural

areas differ significantly from those of cities. Although less than 40 percent of annual

vehicle-miles traveled are on rural roads, these roads account for 60 percent of all traffic

fatalities because of higher speeds and relatively slow emergency response. Many rural

residents are isolated, without a car or access to public transportation. Thirty-eight percent of

rural residents live in areas without any transit services; another 28 percent live where the

level of service is negligible. Moreover, visitors to rural tourist areas have limited access to

directions and to other basic travel information.

Intelligent transportation systems, or ITS, offer promising solutions that respond to these

pressing challenges in urban, commercial, and rural surface transportation. These systems are

diverse and versatile, combining telecommunications, computer, sensing, and electronics

technologies to provide real-time information to traffic managers and travelers on traffic,

weather, navigation, and vehicle diagnostics—in much the same way that the air traffic control

system does for air traffic—to achieve greater system efficiency, safety, and convenience. 

In partnership with state and local agencies and industry, this partnership initiative will support

the creation of a national intelligent transportation infrastructure—a transportation

communications and information backbone—that will help to ensure that the various ITS

strategies being deployed across the country are integrated, interoperable, intermodal, and

secure. This national infrastructure comprises three broad systems:

Metropolitan ITS Infrastructure: This infrastructure will integrate advanced traffic

management, traveler information, and public transportation systems to meet the needs

of metropolitan areas.

Commercial Vehicle Information Systems and Networks: This will integrate data,

technology, and communications systems to make safety regulation of commercial

vehicles faster and more effective, and to make compliance transactions more efficient

for both motor carriers and regulators.

Rural ITS Infrastructure: This infrastructure will upgrade communications and

information technologies in rural communities and link rural areas to the metropolitan

information infrastructure.

Through this initiative, Federal agencies will work with industry and state and local partners to

deploy various elements of this overall infrastructure. The Federal role will include providing

incentives for deployment, supporting public–private model deployments and technology

demonstrations, developing innovative financing and acquisition processes, promoting the

acceptance of national standards, providing training and technical assistance, and pursuing

focused research and development. A major component of this effort will address the security

concerns arising from opening new avenues of communication among transportation agencies,

emergency services, other agencies, and the traveling public. Together with the increasing
39

Initiative: Next-Generation Global Air Transportation. 

Goal: Enhance aviation system safety, efficiency, and capacity by

demonstrating next-generation concepts for air traffic management and

validating the associated technologies, procedures, and operational benefits.

Participants: DOT (FAA, Coast Guard); NASA; DOD; airlines;

manufacturers.

Benefits: Improved safety and efficiency of the air transportation system in

the face of increasing demand in domestic and oceanic airspace; advancement

of the state of the art in aviation communications, navigation, surveillance,

weather, and decision-support systems; promotion of Government–industry

cooperation in critical areas of aviation technology; and improved U.S.

balance of trade for aviation technologies and products.

dependence on information and communication technologies, this trend has heightened

transportation systems' vulnerability to information security problems.

II.a.3.iii. Next-Generation Global Air Transportation

Recent Government–industry partnerships have developed a number of advanced technologies

for air traffic management, as well as consensus on operational improvements required for

enhancing the safety, flexibility, and efficiency of air traffic management operations. In

particular, the "free flight" concept, developed in collaboration with U.S. airspace users,

envisions a system wherein aircraft operators have wide latitude for selecting flight paths,

speeds, and altitudes that best satisfy their operational requirements; the air traffic management

system imposes restrictions only to ensure that aircraft are separated and that other essential

safety requirements are met. 

Most of the technologies that would foster free flight have been developed and tested on a

small scale. The next step in the practical application of these technologies is integration,

demonstration, and validation in the operational environment. This activity not only will set

the stage for national deployment of the next- generation air traffic management system, but

will affirm U.S. leadership in aviation by show-casing the new technologies and promoting

global markets for U.S. aviation products.

This initiative will implement and validate advanced air traffic management technologies and

procedures under real-world conditions. The activity is essential to FAA and industry efforts

to evaluate the consequences of changes in the operational concepts and procedures required to

exploit the new technologies. The potential of the new technologies has been successfully

demonstrated—on a limited scale for helicopters—at the 1996 summer Olympics in Atlanta. 
40

Initiative: Enhanced Transportation Weather Services.

Goal: Improve transportation safety and efficiency by demonstrating the

data-integration capabilities necessary to provide short-term, very small scale

weather forecasts.

Participants: DOT (FAA, FHWA, Coast Guard, FRA); NWS; private

vendors; state and local agencies.

Benefits: In aviation, improved capabilities for flight planning and severe

weather avoidance, greater system throughput, reduced fuel consumption,

and lower deicing costs for airports; for ocean shippers, financial savings due

to forecasts that allow planning for the most efficient routes; and in surface

transportation, reduced highway accidents and related injuries, lower costs

for trucking firms, and lower snow- and ice-control costs for state and local

highway departments.

There, the FAA, in partnership with the Olympic Committee, industry, helicopter operators,

and NASA, demonstrated the use of satellite-based navigation and surveillance techniques in

managing the large number of passenger, cargo, and security helicopters supporting the games.

The proposed effort would implement and demonstrate the new system in two regions, one

each in Alaska and Hawaii. Hawaiian airspace is an ideal location because it is geographically

isolated and serviced by a relatively small number of aircraft, making technology upgrades

more affordable and manageable. Further, because Hawaii is a popular international

destination, it offers a unique opportunity to showcase U.S. technologies for the rapidly

growing aviation markets in Asia and elsewhere. Alaska also has the advantage of relative

geographic isolation. In addition, it provides challenging weather conditions and terrain that

the new system addresses by providing relevant safety information in the cockpit. The

demonstration in Alaska therefore will validate the ability of the new technologies to

significantly increase the safety of flight operations.

This initiative will exploit and expand existing partnerships among industry, airspace users, the

FAA, NASA, and DOD. These collaborations created the concept of free flight, and have

been productive in developing and testing the new air traffic management technologies that

provide a basis for the next-generation system. Safe Flight 2000 is the essential next step in

air traffic management system development.

II.3.a.iv. Enhanced Transportation Weather Services

For the transportation system, the safety, mobility, and economic impacts of adverse weather

conditions are considerable. According to a report of the Office of Science and Technology
41

Policy (OSTP), each year weather causes or contributes to 6,000 fatalities on U.S. highways

and 800 aviation-accident-related deaths. The OSTP estimates that more than half of all flight

delays are attributable to weather, and that uncertainties in predicting flight-level winds add a

quarter billion dollars annually to the nation's aviation fuel bill. Moreover, the FHWA states

that between 25 and 35 percent of all intercity road accidents occur during adverse weather,

with the risk of accidents increasing during bad weather by a factor of from 2 to 5.

Advances in weather technologies and meteorology during the past decade offer the promise of

mitigating many of the impacts of severe weather on transportation. Among these are new

observation systems, such as Doppler radars and Automated Surface Observing Systems;

advances in computing speed and capacity; and greater fundamental knowledge of weather

systems. In fact, weather observation and information-processing capabilities have expanded

so greatly that it is now feasible to combine weather data from many sources into massive

databases and manipulate the data with numerical models to produce reliable short-term

weather forecasts for individual roads, traffic arteries, bridges, airport runways, air corridors,

ports, and waterways. However, the full potential of such small-scale forecasting will not be

realized without further improvements in weather data integration and dissemination. Of

immediate utility, when available, will be the results of the ongoing research to develop

message sets and protocols for the road-weather information system under the National

Transportation Communications for ITS Protocol (NTCIP) project.

The benefits of such improvements are already being demonstrated. For example, at

Chicago's O'Hare International Airport, the National Center for Atmospheric Research, as

part of an FAA initiative, has combined radar and sensor data to provide snowfall predictions

for up to 30 minutes for 1-square-kilometer areas of the airport complex. The data integration

is accomplished using a high-performance computer workstation. Snowfall forecasts are

displayed in graphical form on monitors in the airport and airlines' operations centers. This

same capability will be demonstrated at New York's LaGuardia Airport in collaboration with

the Port Authority of New York and New Jersey.

Building upon this work and the forecasting capabilities already developed by the NWS, this

partnership initiative will provide the planning and underlying infrastructure required to

integrate all radar, sensor, and satellite data with local geographical information within a

selected state and provide 30-minute, and eventually up to 120-minute, localized statewide

weather forecasts.

II.3.a.v. Enhanced Goods and Freight Movement at Domestic and International Gateways

The Nation’s economic success relies on access to worldwide markets for its goods and

services. However, as other countries vie for global and U.S. markets, America’s competitive

position continues to be challenged. Critical to the Nation’s future competitiveness is the

development of an enhanced integrated transportation system for the movement of international 
42

Initiative: Enhanced Goods and Freight Movement at Domestic and

International Gateways.

Goal: Enhance U.S. economic growth by expanding the overall share of

global and domestic trade markets through advances in transportation

technology and systems.

Participants: DOT (MARAD, FRA, FAA, FHWA, NHTSA); DOC; and

other organizations representing the public, private, and defense sectors.

Benefits: A more productive, competitive national economy and a more

flexible, efficient, and seamless U.S. freight transportation system.

and domestic freight, based on advanced infrastructure technologies and more efficient

communication and information systems.

It is increasingly accepted that efficiency is improved and costs reduced when international and

domestic freight moves along integrated “pipeline” systems from origin to destination, linking

various modes as required. Reliance on just-in-time production and inventory management

practices has increased the demand for better freight transportation, yet inefficiencies at any

point in the pipeline can disrupt the total system—resulting in reduced profits for transportation

providers and higher costs for freight shippers and consumers. The goal of freight

transportation R&D must therefore be to develop seamless intermodal networks for the entire

trip—from origin to destination.

This partnership initiative will develop segments of such a seamless, intermodal freight

transportation system. On the water side, this initiative will focus on advanced terminal design

and operating systems that complement changing ship designs and operations. On the land

side, this effort will incorporate advances in high-speed freight rail networks, truck/container

transport and handling systems, truck/airport interface systems, and rail/truck/water interface

systems. This will include consideration of revolutionary concepts such as unmanned

underground tube freight capsules. Such concepts must be considered from the standpoint of

capital and operational cost, as well as compatibility with current freight transport systems--

staff at the Volpe National Transportation Systems Center have, for example, recently

completed an initial study of such issues for the tube freight concept. Each of the above

segments also will require application of communication and information systems technology

and infrastructure.

As a public–private partnership, this initiative will dovetail and supplement existing programs

that address critical elements of an enhanced, integrated freight transportation system. One

such program is the President’s shipbuilding revitalization initiative. This program’s R&D

element, called MARITECH, focuses on advanced commercial ship designs and modernization
43

Initiative: Accessibility for Aging and Transportation- Disadvantaged

Populations.

Goal: Create seamless regional alternative transportation systems serving the

needs of the elderly and transportation-disadvantaged while optimizing the

existing human and capital investment in paratransit.

Participants: DOT (FTA, FRA, FAA, FHWA, NHTSA); HHS; private

vendors; and state, regional, and local government agencies.

Benefits: Reduced health care costs for the elderly; reduced welfare

expenditures and improved job placement and retention for welfare

recipients; and reduced public outlays for new equipment through improved

management of existing infrastructure and assets.

of shipyard facilities, processes, and procedures. Another element of the President’s

revitalization plan is the Title XI loan guarantee program, which to date has financed more

than $143 million in U.S. shipyard modernization projects.

II.3.a.vi. Accessibility for Aging and Transportation-Disadvantaged Populations

Although the United States possesses one of the safest and most extensive passenger

transportation systems in the world, the system is unable to provide optimal mobility for

selected and growing portions of the population. These segments include the elderly, the

physically challenged, and the poor:

! Today, 12 percent of the population is 65 or older. Estimates suggest that by the

year 2020, up to 20 percent of the population will be over 65, and the fastest

growing cohort will be those least likely to have easy access to automobile

transportation—those 85 and older.

! Those young or old with physical disabilities have considerable mobility needs.

Transportation to medical facilities, schools, training centers, and workplaces

are critical to their health and well-being.

! The transportation needs of the poor, particularly inner-city and rural

populations, have been an important priority in national transportation and

human service policies. However, recent welfare reform legislation requiring

states to implement welfare-to-work programs places renewed emphasis on the

importance of mobility for those attempting to access and retain employment.
44

Even for those with access to automobiles, mobility is not assured. In many urban areas, road

congestion extracts a high cost in delay, irritation, safety, energy use, and adverse

environmental impacts. Yet, demand for transportation services continues to increase. Most

areas in the U.S. where such congestion is a problem can no longer respond by simply

building more physical infrastructure. The answer necessarily lies in innovations that permit

more effective and efficient use of the existing system, with greater intermodalism and

seamlessness among the varied system elements.

Government investment in paratransit has provided the vast majority of the transportation

options available to these populations. Paratransit is typically defined as flexible-route, lowor medium-capacity vehicles serving a predetermined group of people, such as the elderly, for

a fee. The need for these services is growing. Demand-responsive paratransit nationwide has

doubled the number miles traveled over the last 10 years to nearly 600 million miles per year.

Although paratransit fills an important transportation gap for many parts of the population, its

financial viability has been underwritten with substantial government funding—Federal, state,

local, and private—rather than from its own revenues. High operating costs and poor

management strategies that do not optimize the use of drivers and vehicles have made such

services costly and less than fully responsive to their riders’ mobility needs. 

This partnership initiative will improve the regional mobility of the elderly and transportationdisadvantaged through better management of paratransit operations and assets. This will be

achieved by developing, deploying, and testing a program that will utilize selected information

system technologies and applications, including automatic vehicle location, state-of-the-art

vehicle communications, geographical information systems, computer-aided dispatch, and

electronic fare collection. These technologies will be integrated into a centralized regional

control system to manage otherwise independent paratransit operators. Centralized dispatch,

monitoring, and fare collection for regional paratransit services provided by transit properties,

Councils on Aging, and human service providers within a single region will be conducted from

a regional mobility management center.

Although a number of "smart" technologies are currently being used or individually

demonstrated throughout the country, no single regional testbed exists that attempts to manage

all paratransit services within a region. The power and reduced cost of commercial

off-the-shelf information, communication, and navigation systems makes possible the

deployment of a regional access and mobility program.

II.3.a.vii. Local Environmental Assessment Systems

Assessment of environmental impacts, and of the cost-effectiveness of countermeasures, is in

most cases a very difficult process. For example, urban air pollution depends in part on

vehicle emission characteristics, patterns of travel, weather and climate conditions, and very
45

Initiative: Local Environmental Assessment Systems.

Goal: Further develop data, validated models, and a comprehensive

knowledge base to support analysis of transportation-related environmental

impacts and alternative strategies, including use of “virtual travel,” by all

levels of government and the private sector.

Participants: DOT, EPA , other responsible Federal agencies, state and

local environmental authorities, National Laboratories, the private sector,

academia.

Benefits: Improved ability of government agencies to respond strategically

to environmental objectives and to characterize the transportation

implications of those objectives.

complex atmospheric chemistry and physics. Moreover, it is often not possible to predict

accurately the travel behavior changes that may be associated with a particular air-quality

change, whether involving road construction, traffic control, or demand management.

As a result, many uncertainties surround the environmental aspects of major transportation

investment and regulatory decisions. This can be an especially serious problem for local

government planning bodies, which often lack the sophisticated tools and technical staff needed

to deal with such complex issues. Significant new opportunities, including new operational

practices made possible by dramatic improvements in information technology, are being made

available to MPOs and local agencies. However, in order to understand the possibilities and

make effective choices, these organizations require models capable of predicting the range of

impacts of such practices.

Problems also can arise in the degree to which environmental regulatory agencies appreciate

the transportation impacts of their decisions. Since the consequences for transportation system

performance, public health, and overall quality of life can be severe, it is critical that the

Federal Government conduct a wide range of research activities focused on clarifying all

aspects of major transportation-related environmental issues. The recently proposed tightening

of U.S. standards for ambient concentrations of ozone and fine particulate matter, for

example, would likely expand the geographic scope of non-attainment and create the need for

additional measures to reduce transportation sector emissions. This topic also has a large

international component. International agreements to limit emissions of carbon dioxide and

other gases could have profound consequences for domestic transportation.

Another need that this initiative will address is for an increased understanding of the

relationship between transportation and land use decisions. This effort will support the

development of analytical tools that MPOs and other transportation decisionmakers can use to
46

assess the implications of transportation projects for overall sustainability, including land use,

economic development, and accessibility.

The development of such tools is the primary objective of FHWA’s Highway Planning

research program, discussed below in Section III, Chapter 6. Priorities of this program

include the development of sketch planning tools for assessing ITS deployment options; the

development of innovative data collection methods; and implementation of the Travel Model

Improvement Program (TMIP) and TRansportation ANalysis SIMulation System

(TRANSIMS) program.

This partnership initiative will develop data and analytical models to provide a comprehensive

environmental knowledge base to support decisions, policy formulation, and transportation

investments in all modes. It will expand and build upon the work conducted under the TMIP,

an interagency effort aimed at developing a new generation of travel demand models. The

TMIP includes both research to enhance current modeling practice and a longer term initiative

to develop a new approach using the latest advances in computing technology (known as

TRANSIMS). This new approach uses microsimulation to depict travel patterns and couple

them with a modal emissions model, allowing Metropolitan Planning Organizations (MPOs)

and other agencies to fully analyze the implications of various transportation investments on

both travel characteristics and emissions.

Another need that this initiative will address is for an increased understanding of the

relationship between transportation systems and land use decisions. This effort will support

the development of analytical tools that MPOs and other transportation decision makers can

use to assess the implications of transportation projects for overall sustainability, including

land use, economic development, and accessibility.

II.3.b. Next-Generation Vehicles

II.3.b.i. Next-Generation Motor Vehicles and Ships

There are four prominent national concerns which, together, will require significant advances

in transportation vehicle technology. First, the U.S. relies on petroleum to provide more than

95 percent of the energy required for transportation, and it has been estimated by some

researchers that even a brief supply curtailment (i.e., 2 years) could drain $500 billion from

the economy. Second, although the U.S. has advocated the adoption of binding international

commitments to stabilize the atmospheric concentration of greenhouse gases, continued growth

of U.S. transportation sector emissions is projected under current policies. Third, while recent

improvements have been realized in urban air quality, additional measures for mobile sources

would be required to meet tighter proposed standards for ozone and fine particles. Finally, 

U.S.-based component and vehicle manufacturers face growing international competition, and

must continue to make technological gains to compete effectively in the world marketplace.
47

Initiative: Next-Generation Motor Vehicles and Ships.

Goal: Develop internationally competitive, domestically produced motor

vehicles and ships that achieve unprecedented gains in fuel efficiency,

environmental performance, and operational performance.

Participants: DOT (FTA, FRA, MARAD, NHTSA, Coast Guard); DOC;

EPA; DARPA; DOE; state and local authorities; National Laboratories;

universities; component suppliers; fuel producers; engine and vehicle

manufacturers; fuel cell producers; and new energy conversion technology

manufacturers.

Benefits: Reduced economic vulnerability to petroleum supply curtailments;

reduced emissions of greenhouse gases, ozone precursors, and fine

particulate matter; improved transit service; improved intercity transportation

service in high-density markets with airport capacity and landside access

constraints; improved global competitiveness of U.S. truck, bus, and

locomotive manufacturers; establishment of domestic manufacturers as

leaders in production of new energy-conversion systems; revitalization of

U.S. maritime carriers and shipyards; and provision of surge capacity

essential to national security. 

This partnership initiative responds to these concerns through R&D leading to the development

of transportation vehicles that are more efficient and far less polluting. Specifically, this effort

will seek to develop the next generation of:

Highway Vehicles: This initiative will continue the PNGV and Advanced Technology

Transit Bus (ATTB) activities and will supplement them by also focusing on dramatic

improvements in medium- and heavy-duty-vehicle fuel efficiency. This complements,

and must be coordinated with ongoing research supporting the establishment of

effective safety regulations applicable to such vehicles--a core DOT responsibility. In

1993, the Clinton Administration joined in a historic partnership, the PNGV, with the

Big 3 automakers to establish global technical leadership in the development and

production of affordable, fuel-efficient, low-emission automobiles that meet today's

safety and performance standards. However, while automobiles account for 40 percent

of the nation's transportation energy demand, heavy vehicles—buses and trucks—still

consume 25 percent of the total energy used for transportation. These vehicles, which

tend to use diesel fuel, are also responsible for major shares of transportation sector

emissions of nitrogen oxides and fine particles. In recent years, the FTA has worked

collaboratively with the transit industry to develop the first prototype ATTB. This bus

uses lightweight composite materials and an electric drivetrain to achieve a 
48

four-to-five–ton reduction in curb weight, low emissions, and reduced fuel

consumption.

Locomotives: DOT's Strategic Plan calls for the development of high-speed rail as a

viable transportation option in select corridors. The primary market for this service is

generally perceived to be trips of from 100 to several hundred miles in length. 

Although many routes may well prove viable for higher speed trains—in the range of

100 to 125 MPH or faster—applications in the U.S. require a non-electric highacceleration locomotive. Although most high-speed technology uses electric

propulsion, virtually the only portion of the U.S. rail system currently electrified is the

Northeast Corridor—and the cost of electrification is daunting. This partnership

initiative will support the development, test, and demonstration of non-electric,

high-speed rail technology to establish a technological context in which public agencies

and private industry can proceed to implement new rail services.

Ships: International freight transport is critical to this country's participation in the

global economy. Total oceanborne foreign trade in 1994 had a value of $566 billion, up

13 percent from the previous year. Moreover, commercial sealift is the primary means

of deploying military assets abroad. Sufficient surge capacity, including readiness for

conversion of ports and a portion of the commercial fleet from civil to defense

functions, is therefore essential to national security. It is thus important to the nation

that there be a U.S. merchant fleet capable of competing internationally on a cost and

service basis. By supporting focused R&D designed to stimulate and foster innovation

in ship design and shipbuilding, this initiative will provide Federal participation and

leadership necessary to ensure national defense readiness and to restore the health of the

U.S. maritime industry. This includes not only ship structure but also ship propulsion. 

For example, recent Navy demonstrations of fuel cells could form the basis for a

partnership with the Coast Guard to develop this technology for wider use in ships and,

potentially, for land transportation vehicles such as locomotives, buses, trucks, and

automobiles.

II.3.b.ii. Aviation Safety Research Alliance

Great strides have been made over the past 40 years to make flying the safest of all of the

major modes of transportation. Aviation accidents have leveled off at extremely low rates. 

However, although the accident rate is very low, it has stayed relatively constant for the past

decade or so. Moreover, the significant projected growth in air traffic in response to global

demand has the potential to cause the total number of accidents to rise dramatically throughout

the entire aviation system over the next 20 years.
49

Initiative: Aviation Safety Research Alliance.

Goal: Provide the technology to reduce fatal aviation accident rate by a

factor of five in 10 years and a factor of 10 in 20 years.

Participants: NASA, DOT (FAA), DOD, airlines, manufacturers,

universities.

Benefits: Reduced aviation accidents and accident- related fatalities and

improved capacity to meet safely the growing world demand for air

transportation.

This partnership initiative addresses these long-range issues proactively through an alliance

between government and industry to develop and deploy innovative technologies and products

that (1) reduce human-error-caused accidents in aviation by a factor of ten over 20 years; (2)

eliminate hazardous weather as a cause of aviation accidents; and (3) reduce by half accidents

due to malfunctions of safety-critical aviation systems. The FAA will continue its research

that focuses on addressing immediate operational safety issues and results most frequently in

safety- critical rulemaking. In contrast, the innovations that will be the outcomes of this

research alliance will be developed for incorporation by industry as new products in future

aircraft or as additions or alterations to existing aircraft or procedures. Specific areas for this

long-range technology development include:

Aircraft Systems: Prevent malfunctions of aircraft equipment and systems through

innovations in aircraft design, manufacture, monitoring, inspection, and repair prior to

malfunction.

Human Factors: Eliminate human- caused mishaps through human- centered aircraft

and system design, alternative procedures and processes, and improved education and

training.

Environment: Ensure separation between aircraft and hazardous weather, terrain and

obstructions, other aircraft and their wakes, and hostile action (military/security).

II.3.c. Transportation Physical Infrastructure

II.3.c.i. Total Terminal Security

The years since the outbreak of Middle Eastern terrorism in the 1960s have seen an

intermittent cycle of both increases and declines in major incidents of public terrorism or

violence throughout the world. The occurrences of such incidents is often, of course, heavily
50

Initiative: Total Terminal Security.

Goal: Develop a standardized approach to assessing the security threat at

transportation facilities and implement a standard security package

specifically tailored to that level of threat.

Participants: DOT, the intelligence community, domestic law enforcement

agencies, state and local transportation and law enforcement agencies, airport

and port authorities, and public and private transportation service providers.

Benefits: Greater security for transportation users and operators through the

development of a standard approach for assessing vulnerabilities and risks at

transportation facilities and the collection of valuable information regarding

cost-effective allocation of security resources and implementation of security

measures.

dependent on local or regional political circumstances. However, recent events in both the

U.S. and other parts of the world—including the bombings of the World Trade Center, the

Federal Building in Oklahoma City, and Olympic Park, and several attacks against transit

operations in such widely scattered cities as Tokyo, Paris, and Baku—have focused

considerable attention on the vulnerability of transportation facilities and the potential for

another upsweep in the number and severity of terrorist attacks.

Because of their visibility, transportation facilities and operations have frequently been the

target of such incidents. It is only prudent that transportation officials carefully study the

potential threat to their own facilities and operations and develop cost-effective measures that

can be taken to minimize the number and severity of incidents. Doing so, however, will

require the participation and assent of all agencies and organizations active in this area,

including Federal, state, and local agencies with transportation, law enforcement, and threatanalysis responsibilities; airport and port authorities; and private transportation service

providers. 

This initiative will modify an approach taken by the State Department for application to major

transportation terminals, facilities, and operations. This concept, called “Total Terminal

Security,” will enable the transportation community to apply a standard, acceptable

methodology to the allocation of security resources and implementation of security measures at

each location. In practice, this concept will cover the range of major security elements,

including physical security and public access controls, personnel security, perimeter security,

technical security, and, where relevant, communications and information systems security.

One example of a transportation facility to be included in this approach is domestic airports.

Under this initiative, new systems for detecting weapons and explosives will be incorporated
51

with other developments in physical security and passenger profiling into a “package”

implemented at three to five airports to assess its effectiveness as a total integrated system. The

selected airports will become operational laboratories for validating the integration of airport

and airline security, new security technology, and the participation of various organizations

such as local government agencies, the Federal Bureau of Investigation, and others. Using

three to five different airports will help to identify problems that may arise when the total

security concept is applied to specific airports. The airports’ security systems will be

evaluated in terms of passenger and cargo throughput, delay time due to the inspection

process, and operating costs. If the total security concept works as well as expected, the test

airports will serve as models for the rest of the Nation’s airports and for the international

community. 

This airport security activity is already well under way. The Federal Aviation Administration

has accomplished simulations of total security packages and, based on these simulations, has

developed projected deployment plans. This initiative would expand current work to the three

to five operational tests at airports and develop similar integrated security packages for other

transportation facilities, including shipping, rail, and transit terminals.

II.3.c.ii. Monitoring, Maintenance, and Rapid Renewal of the Physical Infrastructure

The Nation’s transportation infrastructure is aging—its elements either nearing or exceeding

their design life. This aging infrastructure must be incrementally restored, renewed, and

strengthened. Many elements also require capacity expansion if our growing needs for

transportation are to be met. Yet, there is a pressing need to “do more with less” in

maintaining the physical infrastructure for surface, air, marine, and multimodal nodes in

transportation. The DOT Report to Congress, 1995 Status of the Nation’s Surface

Transportation System: Conditions and Performance, estimated that an annual investment of

approximately $57 billion would be required from all sources just to maintain current

conditions, with $80 billion required to provide a higher level of service by correcting existing

deficiencies, including expanding capacity. Moreover, several major airports, which were not

addressed in this report, suffer from severe and growing landside congestion delays and

capacity shortfalls, while more than $4 billion is spent each year to maintain, repave, and

expand existing runways.

Reducing the backlog of needed infrastructure rehabilitation and renewal, and meeting the

critical need for improved infrastructure performance and capacity, poses major challenges in

terms of life-cycle cost, safety, reliability, and environmental impacts. The growing

maintenance funding gap can be bridged only by restructuring the technology base for physical

infrastructure renewal.
52

Initiative: Monitoring, Maintenance, and Rapid Renewal of the Physical

Infrastructure.

Goal: Stimulate and facilitate the effective use of both innovative and

conventional construction designs, structures, materials, and methods in the

rehabilitation, renewal, and replacement of the physical transportation

infrastructure.

Participants: DOT, DOD, DOC (NIST), NSF, CERF, transportation

construction firms, manufacturers, state and local transportation agencies.

Benefits: Improved safety and economic productivity of the physical

infrastructure through reduced likelihood of catastrophic failure, lower

life-cycle investment for system renewal and expansion, and fewer service

interruptions.

This initiative proposes strategic joint R&D investments in key technologies to ensure the safe

operability of the aging infrastructure and timely detection of deteriorating conditions. These

infrastructure technologies fall within three areas:

Renewal Engineering: This technology area covers the use of improved materials,

designs, and methods for infrastructure. Specific technologies include new construction

methods such as automation and robotics, trenchless and other advanced tunneling, and

efficient cut-and-cover; advanced structural materials, including durable composites and

metal-composite hybrids; and advanced paints and spray coatings.

Advanced Infrastructure Inspection, Monitoring, and Maintenance: Included in this

technology area are nondestructive test and evaluation technologies and “smart” sensors

and materials, such as embedded fiber optics for visual inspection or strain

interferometry, shape-memory alloys, and ultrasonic or magnetic corrosion detection.

Environmental Engineering and Technologies: This area promotes the use of recyclable

materials and environmentally benign technologies to prevent or mitigate the adverse

environmental impacts of infrastructure construction and operation. These materials

and technologies include green barriers to shield noise and improve air quality; paint

and spray recovery systems; non-toxic and recyclable bridge and road coatings, asphalt

mixes, and additives; geotextiles for slope stabilization and surface-life extension; and

use of recycled tires, plastics, and pavements in infrastructure applications.
53

Initiative: Environmental Sustainability of Transportation Systems.

Goal: Investigate the technological and behavioral implications of alternative

transportation infrastructures and development patterns to determine those

that minimize impacts on long-term environmental sustainability.

Participants: DOT, EPA, DOE, HHS, HUD, the private sector, academia,

nongovernmental organizations, and state and local government agencies.

Benefits: Improved ability to understand the linkages between transportation

and the environment, and how more sustainable transportation systems

benefit society.

II.3.c.iii. Environmental Sustainability of Transportation Systems

Transportation systems have been recognized as having major impacts on environmental

sustainability. The transportation sector accounts for about one-third of domestic contributions

to greenhouse gas emissions and is the fastest growing contributor both domestically and

internationally. Transportation sector impacts upon the health of soils and aquatic resources,

as well as habitat disruption, are often irreversible, with unknown long-term ecological

consequences. The land use decisions made by governments and individuals are long- lasting

and to a large extent determined by the availability of inexpensive transportation choices.

These issues are not easy to address and create substantial challenges for the research

community. Finding solutions that enhance the sustainability of transportation systems

requires applications of technology as well as an understanding of the behavioral and social

sciences. Research is needed to determine the technology necessary to design transportation

systems and development patterns that provide access to economic, social, and recreational

opportunities such that permanent (i.e., unsustainable) environmental degradation is minimized

or avoided.

Examples of potential research areas under this initiative are:

Behavioral research associated with development patterns: Technical solutions for devising

development patterns that produce environmentally cleaner and safer environments are a

means of reducing vehicle-miles of travel (VMT) both to reduce environmental problems

and to increase the safety of communities. Research is needed to determine how aspects of

human behavior such as mode choice, travel demand, and driver behavior are affected by

development scale, the scale of hierarchical transportation infrastructures, and their

interaction.
54

Impacts of transportation infrastructure on climate change: Providing additional

transportation capacity "induces" or attracts new trips, as acknowledged by the recent

Transportation Research Board special report, Expanding Metropolitan Highways. Both

short-term and long-term effects tend to reduce any initial travel- time benefits associated

with increases in capacity. Additional research is needed to clearly document both shortand long-term effects, especially the implications for greenhouse gas emissions. Research

is also needed to determine whether transportation infrastructure can be designed in concert

with development patterns such that accessibility is maximized.

Information technologies and sustainable development: Many information technologies

offer solutions that can increase the sustainability of transport systems, especially when

combined with development patterns that are more sustainable. For example,

telecommuting offers the promise of accessibility without mobility and may be particularly

beneficial for promoting development of sustainable communities. Research into the

behavioral implications of telecommuting and other information technologies, such as

adaptive transit dispatching, can identify the implications for sustainability, such as

whether they result in major changes in travel demand and patterns.

Infrastructure needs associated with revitalizing urban areas and cleaning up brownfield

sites: Brownfields typically are abandoned and mildly contaminated sites that require

minimal clean-up efforts. Redevelopment of these and other urban sites can promote

sustainability by avoiding development of ex-urban greenfields. Urban infill development

can reduce the need for building ex-urban transportation infrastructure and reduce VMT

growth. Urban brownfield sites also often have unmet infrastructure requirements that

need to be addressed. Technological solutions, such as information technologies, may be

able to identify and facilitate clean-up requirements while providing a transportation

solution for abandoned urban areas.

Sustainable freight movement: Efforts to reduce traffic congestion and emissions in urban

areas have often taken the form of restrictions on freight movement in favor of facilitating

(primarily single-occupant-vehicle) personal travel. Additional research is needed on the

long-term regional economic and environmental impacts of current freight policies and

opportunities provided by new information technologies, intermodal facilities, and

market-based measures for improving the energy efficiency of freight movement in

urbanized areas.

Overall, this partnership initiative will address the sustainability of building and operating the

interrelated and complex systems of transportation and development that drive, and are driven

by, economic activities. The focus will be on behavioral sciences and interactions with

technology in determining how people react to different systems to achieve sustainability.
55

Criteria for Enabling Research

! Supports long-term national transportation

goals.

! Benefits too widely spread for any one

company to recover its investment at a

profit.

! Cost or risk is too great for any individual

company to bear alone.

! Benefits too far in the future to pass

threshold of private investment criteria. 

CHAPTER 4

DEVELOPMENT OF THE ENABLING TECHNOLOGY BASE

Innovations in transportation generally result from application of a wide range of scientific and

engineering disciplines not specific to transportation. Continual research in these areas is

necessary to provide a solid foundation for the steady advances in transportation technology

required to meet the demands of the 21st century. Yet, the long-term nature and often diffuse

benefits of such research means that market forces may be insufficient to motivate private

investment. Moreover, while many Federal agencies conduct research in these areas, that

R&D is typically focused on the agencies’ specific concerns—not on broader national needs. 

As stated in the General Accounting Office report on Surface Transportation Research

Funding, Federal Role, and Emerging Issues, as well as by numerous transportation officials,

"the current mix of research projects gives too little emphasis to basic, long-term, high-risk

surface transportation research." Examples of such research that is conducted by the

Department of Transportation include the Crash Avoidance Research and Automated Vehicle

Control and Information Systems programs.

The third tier of the NSTC Transportation

Science and Technology Strategy identifies

six long-term research areas. These are

consistent with the principles of the

President’s Committee of Advisors on

Science and Technology, meet the criteria

listed in the box to the right, and support

one or more transportation system elements. 

These enabling research areas are (1) human

performance and behavior; (2) advanced

materials; (3) computer, information, and

communication systems; (4) energy and

environment; (5) sensing and measurement;

and (6) tools for transportation modeling,

design, and construction.

In the third edition of this Surface Transportation Research and Development Plan, DOT

shaped a long-term research agenda that would facilitate realization of the Department’s vision

and strategic goals by focusing on transportation challenges for the 21st century and

identifying priorities for allocation of scarce R&D resources. The report identified sixteen

strategic long-term R&D thrusts (Section II, Chapter 4) that, to a large degree, were based

upon and incorporated existing R&D activities. The descriptive framework used did not imply 
56

any particular new approach or process for implementation. Rather, the report proposed that

each thrust area be pursued in a manner based on, and in harmony with, existing efforts.

The NSTC group of six enabling research areas represents a consolidation of the full set of

programmatic long-term surface transportation R&D thrusts identified in the third edition of

the Surface Transportation Research and Development Plan. It also reflects significant

prioritization according to the above-mentioned criteria for Federal support. Table II-4-1

illustrates the relationships between the current enabling research areas and the previous longterm R&D thrusts.

Long-Term Research Thrust Systems tion.

Enabling Research Area

Human

Performance

 and

Behavior

Advanced mation, and and ModelMaterials and Environ- Measure ing, deCom- Tools for

puter, TransInfor- Energy Sensing portation

Communi ment ment sign, and

cations construcTransportation System X X X X

Assessment and Knowledge

Base

Intermodal Freight X X

Transportation

Revitalization of the U.S. X X

International Freight Transport

Industry

Improved Materials, Designs, X X

and Methods for Renewal

Engineering

Advanced Technologies for X X

Inspection, Monitoring, and

Maintenance of Vehicles and

Infrastructure

Application of Information X X X

Technologies to Transportation

Systems Operations

Advanced Technology for X X X X

Intermodal Public Transit

Systems
57

Technical Foundation for High X X X X

Speed Ground Transport

Systems

Accident Avoidance X X X

Accident Survivability X X

Safety Data and Analysis X X X

Security in Surface X X X

Transportation

Environmental Impact Data, X X X

Models, and Knowledge Base

Environmental Engineering X X

and Technologies

Accessibility for Persons with X X

Personal Mobility Limitations

Intermodal Transit System X X

Innovation

Table II-4-1. Relationship between Long-Term R&D Thrusts and Enabling Research Areas

II.4.a. Human Performance and Behavior

For transportation systems to achieve high goals for performance and cost, their design,

realization, and use must be based on (1) extensive knowledge of user needs; (2) limitations

associated with human performance and behavioral characteristics; and (3) understanding of

the many factors affecting the interaction between humans and automated systems.

Human error or inadequacy in vehicle or system operation, maintenance, or inspection is a

leading factor contributing to safety and security problems. This arises in part because basic

system design, operational procedures, or training programs do not take fully into account the

characteristics likely among the people responsible for operating the system. Research in the

behavioral sciences provides a critical foundation for building the needed transportation

knowledge base to avoid such flaws.

Better understanding of human behavior is particularly needed in system control and

operations, including the effects of fatigue, work–sleep cycles, working environment,

boredom, and drug and alcohol use; response to emergency situations; testing of readiness to

perform duties; and interactions among co-workers. In addition to affecting safety, problems

associated with these topics cause operational inefficiencies that lower overall productivity. A

broadly based research program will yield behavioral science results and methodologies for all

modes of transportation, enabling more efficient use of scarce resources.
58

II.4.b. Advanced Materials

Technical advances in the defense and consumer sectors have produced a rich inventory of

materials and associated structural concepts, tools, and techniques for their use. Enabling

research in this area supports applications to transportation infrastructure, including the

demonstration of effectiveness and long-term viability and, often, the reduction of costs to a

competitive level. Examples include high-performance concrete, new steel alloys, innovative

composite materials and adhesives, imaginative structural concepts, computer-aided design

techniques, automated construction and maintenance tools, and new approaches to corrosion

protection and control.

Similarly, transportation safety and energy use are greatly influenced by the materials from

which aircraft, ships, and surface vehicles are manufactured. For example, the PNGV seeking

a three- fold increase in automobile fuel economy is exploring the use of high-performance

steel, aluminum, magnesium, and glass- and carbon-fiber composites for body structures. 

Each potential application of an innovative material poses new challenges in terms of material

cost, manufacturing processes, joining and adhesives, characterization of failure mechanisms,

environmental concerns, and costs compatible with transportation uses.

II.4.c. Computer, Information, and Communication Systems

Worldwide, transportation is being transformed by the growing overlay of an information

infrastructure on the existing physical infrastructure yielding a system in which information

technologies and ready access to many types of information are integrated into virtually all

elements and functions to enable greater efficiency, safety, and improved performance. 

Effective and rapid exploitation of these innovations will require a substantial and ongoing

enabling research and development effort associated with system concepts, characterization of

alternative configurational and technical choices, and development and harmonization of a

wide range of standards.

For example, increased use of wireless communication throughout the society and economy

will require a solid technical and economic knowledge base to support policy decisions

regarding allocation and efficient use of electromagnetic spectrum and sophisticated mobile

data communications technologies. Similarly, many important transportation applications use

the highly-accurate Global Positioning System for position-finding and navigation. Many

technical as well as financial and institutional issues must be resolved to assure that this system

evolves and is managed in a manner that fully reflects the growing needs of civil transportation

users. The basic standards for electronic data interchange, database synthesis, and system

interoperability are being addressed by appropriate trade and technical organizations, but the

Federal Government has a critical role to play in facilitating that process.

The growing complexity of intelligent systems and ever greater dependence on them for human

safety and functioning of the society will require a high level of reliability and robustness. 
59

Similarly, a transportation system permeated with information technologies has significant new

vulnerabilities to terrorist and other malicious attacks. Coordinated Federal research is

needed in software modeling and verification techniques and High-Confidence

Systems—information systems that provide users with high levels of security, reliability, and

restorability. High- Confidence Systems are resistant to failure and malicious penetration or

damage, and respond to interference via adaptation or recovery.

Information technology also plays a critical role in technology integration which is essential to

rectify current inadequacies in system assessment, policy research, and intermodal research, as

well as the widely supported needs in basic, long-term, high-risk research.

II.4.d. Energy and Environment

Economic and environmental characteristics of transportation vehicles are determined to a

large degree by the means by which stored energy is provided and converted into kinetic

energy. Each candidate technology is typically of potential relevance to at least several modes

of transportation, and many have the ability to improve both energy efficiency and emission

characteristics. Research in this area includes electric propulsion and battery concepts,

advanced internal combustion engines, hybrid designs, and incorporation of innovations such

as fuel cells and flywheel energy storage. As discussed above in II.3.b.i., one promising

example for which a near-term partnership may be warranted is the Diesel-fed fuel cell

demonstrated recently by the Navy--another such example is the FTA fuel cell transit bus

program. A variety of alternative fuels are possible, each with strengths and weaknesses in

terms of economics, practicality, and indirect impacts. Market forces tend primarily to

motivate propulsion system research for near-term application, necessitating cost-shared

Federal R&D—such as the PNGV— to explore the longer term and higher risk technologies.

II.4.e. Sensing and Measurement

The wide range of information technologies now being incorporated into transportation

systems has steadily increased the value of real-time monitoring and inspection of

transportation vehicles and infrastructure. "Smart structures"—roads, bridges, runways,

tunnels, and others with a network of embedded sensors—can yield lower cost with increased

safety margins by continually providing detailed condition status and information, under

normal as well as abnormal circumstances. "Smart vehicles" similarly depend to a large degree

on sensing their environment and operating circumstances, processing that information, and

communicating with other “smart” structures and vehicles to coordinate responses. The

benefits of coupling sensing, computing, and communicating in this manner include safety,

vehicle and infrastructure lifetime, and optimized maintenance practices. 

Monitoring of weather and air quality has direct application to transportation. These examples

make clear the value of low-cost, high-performance devices to make an extremely wide range

of physical measurements, which can then be coupled to computer chips capable of generating
60

warnings or adjusting operation directly. A virtually unlimited number of physical

mechanisms and sensing concepts are potentially available, but devices of special importance

to transportation will be identified and brought to fruition only to the degree that the

transportation community makes these needs known and establishes their potential economic

and operational value.

II.4.f. Tools for Transportation Modeling, Design, and Construction

Enabling research in this area provides tools, knowledge, information, and techniques to

improve dramatically the efficiency and effectiveness of (1) assessing system requirements; (2)

planning and designing system improvements; (3) evaluating alternative operational concepts

and strategies; (4) estimating performance characteristics likely to result from innovations; and

(5) managing system operations. Specific areas of research include:

Transportation System Design Tools: Tools and methods—such as computer models and

simulations and computer-aided design, integrated across all institutions involved in the

planning process—that support system planning and design, including process reengineering, with emphasis on broad system engineering and integration to assure that the

resulting system makes effective use of all components in efficiently achieving a high level

of performance.

Characterizing and Modeling System Performance and Impacts: Means by which system

performance—such as mobility, safety, security, and economics—is measured, assessed,

and integrated into system design and operation processes and decisions.

Transportation and Logistic System Operations and Management: Information technology

and other tools to support operation and management of transportation and logistic systems,

and to assure seamless integration across organizational, modal, and institutional interfaces.

Transportation Planning, Economics, and Institutions: Development of a broad knowledge

base and identification and characterization of needs and interests of all parties involved

with the transportation system; understanding the economic, financial, and institutional

context for transportation.
61

CHAPTER 5

EDUCATION AND TRAINING

The Nation’s investment in research and technology is critical to the transportation system’s

safety, efficiency, and capacity to support national goals. Equally important, however, is our

continuing investment in the human capital, the transportation professional and worker, who is

responsible for the design, construction, operation, and maintenance of the system.

The Federal Government has long supported transportation education. Current programs

administered by DOT are crucial to ensuring the professional capacity of the transportation

enterprise. The University Transportation Centers Program, the Eisenhower Fellowships, the

Aviation Education Program, and the National Highway and National Transit Institutes are

representative of the Government's continuing investment in transportation education and

professional enhancement.

Through these programs, the Department supports the development of trained transportation

professionals; sponsors the pursuit of promising research efforts, many of which address

immediate and practical system needs; and provides a stimulus to small and minority-owned

businesses capable of addressing high-priority research issues confronting transportation.

Transportation today is undergoing great change—experiencing advances in technology,

undergoing organizational transformation, and continuing globalization along with the world

economy. These changes require that current and future generations of transportation

professionals and workers be responsive to a dynamic environment:

! Advanced Technology: Transportation technology once focused on traditional building

materials, standard construction techniques, and combustion-engine-powered vehicles.

Newly developed and deployed transportation technologies reflect advances in

telecommunications, information systems, energy storage, and advanced electronics and

materials. The transportation professional and worker must be educated and trained to

adapt these technologies to the existing transportation infrastructure, and to take advantage

of new operational practices as a means to provide capacity that, in the past, would have

been added through the construction of new physical infrastructure. Moreover, these new

technologies require the workforce’s capacity to provide a supply of new workers, as well

as train many existing workers, to operate and maintain these new systems.

! Organizational Transformation: The transportation organizational environment continues

to change, and there is an accelerating shift away from construction of new physical

facilities, and toward management practices that achieve operational efficiency gains, often

through the application of information technology. ISTEA began the trend toward

devolution of authority to state transportation agencies. Likewise, the movement toward
62

Criteria for Education and Training

! Build professional capacity of industry and

State/local transportation agency staffs.

! Create general public awareness of

transportation benefits.

! Ensure a globally competitive workforce.

! Prepare next-generation transportation

professionals with multi-diciplinary

education.

intermodal planning, finance, and operations has resulted in many highway departments

evolving into state "transportation" departments. These new agencies are only now

learning to address the competing needs of regional public mobility and freight movement

with environmental and societal concerns. The combined impacts of devolution and

transportation agency changes demand that professionals be taught the most effective and

innovative management techniques.

! Globalization: Transportation continues to reflect a global economy. Business

manufacturing and logistics chains now rely on the transportation operations and facilities

of many countries. Likewise, increased world business and leisure travel requires that

transportation professionals be aware of changing customer needs. For example, Japan,

France, and Germany require their university transportation students to work in

transportation abroad prior to graduation to provide them with a better understanding of

global transportation operations.

These changes in transportation demand new

initiatives to address the evolving needs of

the transportation workforce. The NSTC

Transportation Science and Technology

Strategy defines four key education and

training initiatives that meet the criteria

listed in the accompanying box.

II.5.a. Introduction of Transportation

Concepts: Elementary and Secondary

Education

Transportation permeates every aspect of the

nation's economy, yet little effort is made to

show elementary and secondary students the

connection between their studies and the transportation systems around them. Many students

are lost to the transportation profession simply because they have been given no incentive to

pursue subjects such as math and science that are essential to advancing in the field. Of even

greater importance is the school system's responsibility to produce citizens capable of making

informed choices in a democracy. We are shortchanging ourselves and our posterity when we

fail to provide our young people with the knowledge of how transportation systems connect

them to each other and the world. This initiative will stimulate collaborative public–private

partnerships to assist educators in developing and delivering transportation education modules

that are fully integrated into the curriculum for each grade level.
63

II.5.b. Vocational and Technical Training

Transportation has been and continues to be a major source of the nation's jobs. The need for

well-trained and efficient transportation workers is crucial to the safety and competitiveness of

the transportation system. This initiative supports collaborative investments with vocational

schools, community colleges, and industrial training institutes to ensure a steady supply of

capable workers to the transportation enterprise.

II.5.c. Transportation Degree Programs: International and Multidisciplinary

This initiative will build upon existing DOT programs to foster the development of

transportation degree programs based on multidisciplinary curricula. In the face of increasing

globalization of transportation, the nation's institutions of higher learning must prepare their

graduates to deal with transportation as a complex issue of systems with global dimensions. 

This program will assist universities in their development of multidisciplinary programs

focused on identifying and resolving transportation issues in an increasingly international

arena.

II.5.d. Mid-Career Transportation Training

Dramatic changes in technology and organizational transformations have left many

transportation professionals and workers unprepared. Where technologies and training once

changed only every 20 years, today the half-life of rapidly advancing technologies may be

anywhere between 3 and 5 years. Such rapid development requires that current workers and

professionals be educated in the latest technological advances in ITS, diagnostics, materials,

command/control systems, and related applications. Likewise, transportation agency managers

require the management tools necessary to meet their new responsibilities and evolving

missions. This initiative will ensure that the current generation of transportation workers and

professionals has the capacity to apply the most innovative technologies and techniques.
65

CHAPTER 6

MEASURING SUCCESS AND ESTABLISHING FUTURE DIRECTIONS

II.6.a. Performance Measurement

Over the past several years, the use of performance measures to evaluate program effectiveness

as a key feature of performance-based management has increased dramatically, both in the

public and private sectors. The ongoing “re-engineering” of American business and industry

has placed a premium on performance monitoring and evaluation to establish the impact of

changes or restructurings. “Benchmarking” performance, both internally and against

competitors, has also become a key managerial practice, as businesses endeavor to minimize

unnecessary costs and maximize productivity and competitiveness, both domestically and

abroad. Major decision with regard to staffing, markets, product line, expansions and R&D

are now made in the presence of carefully developed and maintained performance monitoring

systems, to which are tied continuously improved policies, guidelines, and procedures.

Performance-based management concepts are not new to the public sector, although they bear

important differences to their private sector counterparts. In the public sector, governments

and their agencies practice the concept of “planned program budgeting,” where objectives are

set, and budgets are allocated and programs are evaluated in relation to performance against

those objectives.

The key differences in application of these principles between private and public sectors may

be in the nature of the objectives and, consequently, the types of “things measured.” 

Businesses must staunchly adhere to a “bottom-line” standard, and hence make hard decisions

based on cost and profitability criteria. In the public sector, the criteria are often less clear

cut. Public managers are often faced with balancing “social” objectives with physical and

economic performance. These social objectives can be difficult to quantify or measure, and

imply important political as well as economic tradeoffs.

Notwithstanding these difficulties, public sector performance measurement has grown

significantly in the face of resource constraints, and a restructuring of public programs and

organizations. The climate in which Federal programs now operate makes clear the need for

increased accountability and justification of expenditures and policies.
66

Table II-6-1. GPRA Implementation Schedule

October 1993 Designation of agencies as pilot

projects for performance plans and reports for FY

1994-1996.

October 1994 Designation of agencies as pilot

projects for managerial accountability and flexibility

for FY 1995-1996.

May 1997 OMB is to report to the President

and Congress on the results of the pilot projects.

September 1997 Agencies submit first annual

performance plans for 1999 to OMB. Before the

beginning of FY 1998, all agencies are to have

completed and submitted to OMB a 5-year strategic

plan (updated at least every three years).

October 1997 Designation of agencies as pilot

projects in performance budgeting for FY 1998-

1999.

January 1998 All agencies are to prepare annual

plans setting performance goals, generally expressed

in “objective, quantifiable, and measurable” form,

beginning with FY 1999.

March 2000 Agencies are to submit annual

performance reports for FY 1999 to the President

and Congress.

March 2001 OMB reports to the President and

Congress on the results of all the performance

budgeting pilots and recommends whether or not

performance budgeting should be required.

II.6.a.i. Government Performance and Results Act

Perhaps the greatest force driving these

trends in the public sector is the Government

Performance and Results Act of 1993

(GPRA), P.L. 103-62, enacted on August 3,

1993. It requires the development and use of

performance measures for agency

management, and may ultimately provide the

foundation for the use of performance

measures in allocating budgets. It also

requires Government-wide implementation of

strategic planning, annual program

goal-setting, and annual program

performance reporting of expenditures in the

federal budget in 1997. Agencies are to

develop annual plans, setting performance

goals, beginning with FY 1999. The overall

schedule for GPRA implementation is shown

in Table II-6-1.

The Department is currently in the process of

developing its first performance plan under

GPRA. This plan will identify performance

goals and measures that, taken as a group and

considered along with external factors, will

provide valuable insight into the performance

of DOT programs. However, many benefits

of Federal programs take several years to be

realized, and only then are the results

reflected in data.

Performance goals are being developed to

reflect a high-level view which cuts across

the Department. More detailed goals and

discussions of how goals will be achieved

will be contained in performance plans developed by each of the Department’s operating

administrations.

The spirit and intent of GPRA is to improve Federal program effectiveness and public

accountability by promoting a new focus on results, service quality, and customer satisfaction. 

The establishment of quantitative performance measures and goals that could be used to

effectively manage resources is, however, a nontrivial task. For example, the Department’s
67

most important strategic goal is the promotion of safe and secure transportation. There are

many different potential measures of safety, each of which has specific merits and deficiencies. 

Examples of just three potential measures currently under consideration by the Department are

shown in Table II-6-2:

Potential Measure Pros Cons

Per-capita transportation fatalities Gives broad perspective on Sensitive to external changes in

divided by the overall mortality transportation facilities. the U.S. mortality rate.

rate.

Average years of potential life lost Magnitude of years of potential Implied emphasis on preventing

before age 65 due to life lost to transportation accidents the untimely death of young

transportation accidents. demonstrates the tremendous people may not be acceptable to

benefit to society of transportation everyone.

safety programs.

Number of fatalities from Easily measured and understood, To reduce total fatalities, the

transportation accidents. weights each life equally. transportation system will have to

get safer at a faster rate than that

with which its use increases.

Table II-6-2. Potential Measures for Transportation Safety

As this table indicates, the choice of measures can reflect different concerns and, perhaps, lead

to important differences in policy based on the indicators used. In addition, the establishment

of causality for program management can be very challenging when a wide range of policies

and programs are implemented over years or decades, during which time an even wider range

of external factors can influence results or outcomes.

Through initial development of an overall DOT performance plan, and the publication of a

Transportation Science and Technology Strategy, the Administration has begun to identify

broad performance goals and measures for the National transportation system. A preliminary

set of measures associated with the National goals for transportation have already been

identified in Table I-1. Several elements of the Department, in particular NHTSA and the ITS

Joint Program Office, have identified performance measures for FY 1998 R&D programs

before being required to do so under GPRA. However, many of these measures, summarized

in Appendix B, are somewhat preliminary in nature, and they may not yet reflect ongoing

interagency coordination processes. As such, the Department has deferred presenting them in 

the remainder of this section of the Surface Transportation Research and Development Plan.
68

II.6.a.ii. Indicators Applicable to Specific Phases of Inputs, Outputs, and Outcomes

Broad long-range planning documents, such as the NSTC Transportation Science and

Technology Strategy and this Surface Transportation Research and Development Plan,

emphasize long-term societal goals such as a safer transportation system. Progress toward

such goals is measured using broad system-level indicators, an example of which, in this case,

might be the total annual number of transportation-related fatalities. It must, however, be

understood that progress toward ultimate outcomes results from the combined effects of

research, implementation, and external factors. More specific indicators of performance are

required at the program level, and these indicators must flow from the system-level goals

through a series of intermediate measures.

In Assessment of Fundamental Science, NSTC has identified several principles for the

assessment of fundamental science programs--these principles are also of value in the initial

consideration of applied research that is more typical of transportation R&D. These principles

include:

! Clear definition of program goals.

! Development of criteria intended to sustain and advance the excellence and

responsiveness of the research system.

! Establishment of performance indicators that are useful to managers and encourage

risk taking.

! Avoidance of assessments that would be inordinately burdensome or costly or that

would create counterproductive incentives.

! Incorporation of merit review and peer evaluation of program performance.

! Use of multiple sources and types of evidence; for example, a mix of quantitative

and qualitative indicators and narrative text.

! Production of assessment reports that will inform future policy development and

subsequent refinement of program plans.

! Communication of results to the public and elected representatives.
69

This report also defines several general categories of performance measures, summarized

below in Table II-6-3:

Quantitative Qualitative

Publication Counts Merit Review with Peer Evaluations

Patent Counts International Standing

Citation Counts

Contributions to Other Goals

Rate-of-Return, Other Economic Measures

Table II-6-3. General Categories of Performance Measures for Research

For transportation research and development, performance measures that fall into these general

categories are of use in assessing specific programs. However, because many of those

programs are more directly oriented toward intermediate and ultimate outcomes, consideration

of a wider range of hierarchical performance measures is critical for transportation R&D.

II.6.a.iii. Framework for Measuring the Performance of Transportation R&D

In its Transportation Science and Technology Strategy, the NSTC CTRD has developed a

tiered approach to planning transportation R&D, which is presented above in Chapter 2. This

approach organizes the different realms of research into groups which produce a logical

sequence of outputs and inputs--some activities producing outputs that are, in turn, inputs to

subsequent activities. This sequence, through interactions with external factors, results in a set

of intermediate and ultimate outcomes. Within the context of transportation research and

development, this model is illustrated in somewhat more detail below in Figure II-6-1.

As this figure demonstrates, any specific R&D project draws upon a range of resources, and

produces research outputs (e.g., technologies), which in turn, can result in outcomes at

subsequent stages through subsequent activities. In order to be effective as management and

planning tools, performance measures must be appropriate to the hierarchical level at which

they are applied:

! At a high level, performance goals and indicators must be established for ultimate

outcomes related to the National transportation system.

! For project planning and management, considerably more direct measures of

program outputs are needed.
Information, Ideas, Educated

People, Facilities, Finances

Specific R&D Projects

Enabling Technologies,

Research Products

Commercialized System

Improvements

Integrated Partnertship

Initiatives

Implemented Improvements

Intermed.

Outcomes

Ultimate

Outcomes

Intermed.

Outcomes

Immed.

Outcomes Resources Activities Outputs

Impact on National Goals

“Why do it?”

“How can it be accomplished?”

Examples

Accumulated Influence of External Factors

70

Figure II-6-1. Logical Model for Programs and Outcomes

! These program outputs need to be linked to intermediate and ultimate outcomes

through a well-chosen series of intermediate measures.

As discussed below, the Department is currently developing measures at all three levels as part

of the budget planning process for fiscal year 1999.

II.6.a.iv. Research and Development Contribution to Top-Level Goals

In the above-mentioned strategy document, the NSTC CTRD has identified five potential

general measures which apply to the National goals for the transportation system, as presented

below and in Table I-1.

These high level measures of what are, from a transportation perspective, ultimate outcomes,

provide a very general indication of the overall performance of the National transportation

system. They apply to all modes of transportation, and to the system as a whole. The focus

of this report is on surface transportation only. These measures have a great deal of

integrating power--that is, they measure the combined results of both DOT’s programs and the
71

full range of external factors, and involve measurement beyond the transportation sector. By

the same token, they have very little resolving power, and would be of little use as measures

of success of any specific R&D program.

Strategic Goal Outcome Measure

Provide a safer transportation system. Level of reduction in transportationrelated fatalities, injuries, and

property losses.

Achieve a high level of transportation Level of public trust and confidence

system security. in the security of the Nation’s

transportation network as determined

through national surveys.

Improve environmental quality and Number of major areas not now

energy efficiency. attaining legislatively-mandated air

quality standards that reach these air

quality goals by 2020.

Foster economic growth and Level of cost-effective passenger and

productivity through global passenger freight throughput.

and freight services.

Ensure improved access to and Degree of increased and enhanced

increased mobility on the Nation’s access and mobility of the elderly,

transportation system. the poor, and other transportationdisadvantaged populations.

Table II-6-4. National Strategic Goals and Measures for Transportation

The Department is currently considering a wide range of more specific--for example, with

respect to mode--potential performance goals and measures applicable to the transportation

system, to be used in budgetary planning for fiscal year 1999, per GPRA. In doing so, the

Department is following a number of related guiding principles, examples of which include:

! Outcomes are always influenced by external factors beyond the program’s or

agency’s control--performance goals and indicators must reflect how agencies will

strive to influence these elements not entirely in their control.
72

! Goals must be stated in terms that are clearly understandable to one’s “next door

neighbor.”

! Goals must be externally focused--the unique things programs do that provide value

to the public. 

! Goals must be clearly linked to mission.

! Goals should be ambitious, but realistic.

! Outcome goals should be independent of how they will be achieved.

! Goals and measures are part of a bigger communication process. Communicating

the value of programs in terms which are ultimately comparable with other Federal

programs will allow high-level decision makers to set government-wide priorities.

! Performance measures must be relevant to senior management, and usable in

managing activities and resources.

! Measures must be credible externally--including credible data and a credible

program evaluation process.

! Imperfect measures are acceptable. The process is evolutionary.

The Department is currently examining nearly fifty different candidate measures of

performance of the National transportation system. In doing so, DOT must consider the

degree to which potential measures adhere to the above principles, and must weigh the policy

issues, such as that shown in Table II-6-2, which are inherent in the choice of measures. An

illustrative and noninclusive list of candidate measures follows:

Performance Aspect Sample Measure

Accessibility--Coverage Highway system supply (lane miles, by

classification, condition, etc.) per “demand unit”

(capita, employee, square mile, VMT)

Accessibility--Proximity Percent of potential passenger travelers within x

miles or y minutes of specified transportation service

(interstate/4-lane highway; local public transit

service; intercity bus or rail service; scheduled air

service)
73

Accessibility--”Realistic” or “Functional” Access Number of persons who can reach a specified

destination (local, intercity, international) by

applicable mode (transit, intercity bus or rail,

scheduled) within specified limiting service

parameters (e.g., no more than 1 transfer, no more

than x hours/minutes of delay, no more than y%

circuitry)

Quality of Service--Level of Service Percent of highway lane miles with peak hour

volume to capacity (V/C) ratios>0.9; Change in

percent of lane miles which are at V/C>0.9 (1)

outside peak periods, and (2) for expressway

facilities

Quality of Service--User Satisfaction Passenger assessment of level of quality/satisfaction

and/or degree of change in: travel time, speed, cost,

number of alternatives, congestion, reliability,

safety, etc.

Quality of Service--Efficiency Carrying efficiency of passenger modes (private

vehicle persons per vehicle mile; transit passengers

per seat-mile, intercity air, rail, bus load factors)

Economic Health and Competitiveness Cost of transportation reflected in final cost of goods

and services (transportation CPI vs. manufactured

goods CPI)

Social Equity, Mobility, Quality of Life Percentage of day devoted to traveling for persons,

households

Security Number of incidents (terrorism, highjackings, theft,

vandalism) associated with transportation activities

per utilization unit (e.g., per capita, per person-trip,

per service operation, per dollar of travel/shipment

expenditure, etc.)

Safety Number of transportation accidents, injuries,

fatalities per “demand unit” (e.g., per person-trip,

passenger mile, VMT, type of facility, major mode)

Environment Emissions rates of transportation modes (passenger

vehicles, transit, air, rail, freight, modes), current

year/models and fleet average

Energy Fuel consumption rates (mpg or Btu per mile) of

transportation modes (passenger and freight), current

year and fleet average

Table II-6-5. Sample Performance Measures for the National Transportation System
74

Over the next several months, the Department will be choosing from these and other

performance measures to develop a set that will be the most useful for initial performancebased budget planning.

II.6.a.v. Intermediate Measures

In preparing its fiscal year 1999 budget, the Department will face three fundamental challenges

in making explicit its performance-based management of scarce public resources. It must

establish a set of overall goals for the performance of the National transportation system, and

identify a set of indicators of progress toward those goals. It must begin to identify

intermediate measures of performance which, for a given program, go beyond the direct

outcomes of that program, but are also less subject than the high-level performance indicators

for the transportation system as a whole to the influence of factors external to that program.

Finally, the Department must identify means by which the performance of individual

programs, including R&D programs, can be measured.

In the example given below in II.6.a.vi, a yearly assessment of the extent to which NHTSA’s

Crash Avoidance Research program has accelerated the development of crash avoidance

products by the private sector provides just such an intermediate measure of performance. A

major focus for the next several months will be the identification of such measures for the

range of the Department’s research programs.

II.6.a.vi. Measurement of Outputs

In some ways similar to that resulting from basic research, the knowledge gained through the

applied research that is more typical of transportation R&D is not always of immediate value,

and is not always applied immediately. For example, a research program may yield a

technology which has the potential to prevent a specific type of transportation accident, but the

deployment of that technology could be limited by policy considerations (i.e., regulatory

agenda) and/or market conditions. As a result, performance measures for transportation R&D

may be expressed in terms of direct outputs and more intermediate outcomes.

For example, in its FY 1995 Performance Report (March 1996), NHTSA, which was chosen

by OMB as a GPRA pilot, identified the following measures for its Crash Avoidance

Research: (1) timely dissemination of research results, (2) timely response to short-term

rulemaking needs, and (3) acceleration of private sector development of crash avoidance

products. Obviously, the ultimate objective of NHTSA’s Crash Avoidance Research is the

prevention of specific types of collisions--however, these measures of direct outcomes (1 and

2) and intermediate impact (3) will give a much more direct measure of performance of the

research program itself.

Initial efforts by DOT operating administrations to develop performance measures for

transportation R&D programs have, in general, yielded measures that fall into the general
75

categories identified in the NSTC report on Assessment of Fundamental Science, or are

similarly specific to direct program outputs. In many cases, R&D programs have also been

linked to high-level outcomes they are designed to influence. Appendix B presents a detailed

list of preliminary performance measures developed to date by DOT for its R&D programs.

II.6.b. Summary

Strategic planning and assessment--the basis for efficient utilization of scarce public resources--

must be pursued on an ongoing basis, and must be founded upon an evolving process for

measuring both progress toward ultimate societal goals and performance of specific funded

programs. With respect to surface transportation research and development, multi-sectoral and

multi-modal top-level outcomes, which can be measured by high-level performance indicators,

are the result of technologies and systems that are actually implemented as part of the National

transportation system. In the future, such technologies and systems, whose success can be

measured by outcome indicators that tend to be somewhat more specific and modally-oriented,

will increasingly be developed through partnerships that capitalize on opportunities for

private/public resource leveraging. These technologies and systems will be founded upon an

enabling technology base that is established and enhanced on a long-term basis, and progress in

doing so will be measured both in terms of direct technological outputs and, in some cases,

intermediate outcomes. A technologically capable workforce will be a key resource input at

this and all higher levels, and success in providing this resource will be measured as a direct

output of education and training. Only by committing to regularly measure progress at all

levels and conduct strategic program planning and assessment can the Nation ensure the most

efficient and effective possible utilization of its resources for surface transportation research

and development.
77

SECTION III

NEAR-TERM PLAN FOR SURFACE TRANSPORTATION

RESEARCH AND DEVELOPMENT
79

CHAPTER 1

NEAR-TERM SURFACE TRANSPORTATION RESEARCH: INTRODUCTION

Relationship between Future Plans and Current Activities

In sections I and II of this report, the Department has presented a four-tiered approach to the

shaping and implementation of surface transportation research, consisting of the following

elements:

! Strategic Planning and Assessment to establish a research framework that embodies

National Goals for the transportation system and establishes associated measures of

transportation system performance which can be used to prioritize and evaluate related

research programs. In sections II.2.d.i and II.6.b, the report discusses the need for an

ongoing commitment to strategic planning of transportation R&D informed by evolving

measures of performance.

! Strategic Partnership Initiatives that focus on the aggressive exploitation of rapidly

evolving technological opportunities and the introduction of innovative equipment and

operations into the transportation enterprise, through leveraging of multi-agency and

public/private resources. Chapter II.3 identifies twelve such partnerships, ten of which

relate to surface transportation.

! Enabling Research in areas that support long-term transportation goals and contribute to

long-term innovation and offer significant impacts affecting many modes of transportation,

but have benefits too, diffuse, uncertain, or far in the future to motivate sufficient private

sector investment. Chapter II.4 presents six enabling research areas which will be

particularly important for transportation, and relates these to the Department’s previouslystated long-term objectives for surface transportation R&D.

! Transportation Education and Training to assure the continued availability of the highlyqualified transportation professionals and workers upon whom depends the design,

construction, operation, and maintenance of the Nation’s transportation system, ultimately

determining its safety and performance. Chapter II.5 address the need for training

initiatives relevant to mid-career education, vocational training and education, and

international transportation curricula building.

The body of activities presented in Section II, which is based upon the recently completed

NSTC Transportation Science and Technology Strategy, has important relationships to surface

transportation research currently conducted with DOT. However, although they in many ways

support and enhance ongoing research related to fundamental DOT responsibilities discussed

above in II.2.e, it must be recognized that these statutory responsibilities require a broad base
80

of research activities, not all of which can be neatly aligned with a specific initiative or area of

long-term enabling research. The elements of Section II call attention to focused areas of

unique opportunity. To the extent that these elements arise from and/or support the

Department’s current research activities, the relationships are indicated in general terms in

Table III-1-1.
Priority Strategic Partnerships* Enabling Res. Areas** Educ./

Program Title 1 2 3 4 5 6 7 8 9 10 11 12 A B C D E F Training

Federal Highway Administration (FHWA)

Highway Safety

Pavement Research Program

Structures Research Program

Environmental Research

Right-of-Way Research Program

Policy Research

Transportation Planning Research

Motor Carrier Research

ITS -- Research and Development 

ITS -- Adv.Veh.Control and Info. Systems

ITS -- Architecture and Standards

ITS -- Operational Tests

ITS -- Evaluation

ITS -- Mainstreaming

ITS -- Program Support

ISTEA Section 6058 Funds

Technology Assessment and Deployment

National Advanced Driver Simulator

Local Technical Assistance Program

Fairbank Building Renovation

National Highway Institute

University Transportation Centers

University Research Institutes

State Planning & Research Program

Strategic Highway Research Program Implementation

Eisenhower Transportation Fellowship Program

Applied Research & Technology

Seismic Research & Development Program

Timber Bridge Research Program

GPS Support

*Priority Strategic Partnerships **Enabling Research Areas

1. Smart Vehicles and Operators A. Human Performance and Behavior

2. National Intelligent Transportation Infrastructure B. Advanced Materials

3. Next-Generation Global Air Transportation C. Computer, Information, and Communications Systems

4. Enhanced Transportation Weather Services D. Energy and Environment

5. Enhanced Goods and Freight Movement at Domestic and Int'l Gateways E. Sensing and Measurement

6. Accessibility for Aging and Transportation-Disadvantaged Populations F. Tools for Transportation Modeling, Design, and Construction

7. Local Environmental Assessment Systems

8. Next-Generation Motor Vehicles and Ships

9. Aviation Safety Research Alliance

10. Total Terminal Security

11. Monitoring, Maintenance, and Rapid Renewal of the Physical Infrastructure = strong relationship

12. Environmental Sustainability of Transportation Systems = partial relationship

81

Table III-1-1. Relationships between Near-Term R&D Plans, Partnership Initiatives, and Enabling Research.
Priority Strategic Partnerships* Enabling Res. Areas** Educ./

Program Title 1 2 3 4 5 6 7 8 9 10 11 12 A B C D E F Training

FHWA (cont'd)

Research & Technology Technical Support

Administration

National Highway Traffic Safety Administration (NHTSA)

Safety Systems

Biomechanics

Partnership for a New Generation of Vehicles

Crash Avoidance--Driver/Vehicle Performance

Heavy Vehicles

Fatal accident reporting system (FARS)

National Accident Sampling System (NASS)

Data Analysis

State Data Program

Occupant Protection Survey

Special Crash Investigations

Technology Transfer Programs

Vehicle Research and Test Center

Highway Safety Research

Administration

Federal Rail Administration (FRA)

Equipment, Operations & Hazardous Materials Research

Track, Structures, and Train Control

Safety of High Speed Ground Transportation

R&D Facilities

Administration

Next Generation High-Speed Rail

*Priority Strategic Partnerships **Enabling Research Areas

1. Smart Vehicles and Operators A. Human Performance and Behavior

2. National Intelligent Transportation Infrastructure B. Advanced Materials

3. Next-Generation Global Air Transportation C. Computer, Information, and Communications Systems

4. Enhanced Transportation Weather Services D. Energy and Environment

5. Enhanced Goods and Freight Movement at Domestic and Int'l Gateways E. Sensing and Measurement

6. Accessibility for Aging and Transportation-Disadvantaged Populations F. Tools for Transportation Modeling, Design, and Construction

7. Local Environmental Assessment Systems

8. Next-Generation Motor Vehicles and Ships

9. Aviation Safety Research Alliance

10. Total Terminal Security

11. Monitoring, Maintenance, and Rapid Renewal of the Physical Infrastructure = strong relationship

12. Environmental Sustainability of Transportation Systems = partial relationship

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Table III-1-1 (cont’d). Relationships between Near-Term R&D Plans, Partnership Initiatives, and Enabling Research.
Priority Strategic Partnerships* Enabling Res. Areas** Educ./

Program Title 1 2 3 4 5 6 7 8 9 10 11 12 A B C D E F Training

Maritime Administration (MARAD)

Industry Competitiveness

Intermodal Development

Maritime Safety

Shipyard Revitalization

National Security

Administration

Federal Transit Administration (FTA)

New Bus Vehicles and Infrastructure

Advanced Bus Propulsion Systems

New Rail Vehicles and Infrastructure

Transit Services Management Innovation

Rural and Specialized Transportation 

Metropolitan / Rural Policy Development

Planning and Project Development

Safety and Security

Human Resources

Transit Cooperative Research Program

National Transit Institute

University Transportation Centers

Rural Transit Assistance Program

Administration

Research and Special Programs Administration (RSPA)

Hazardous Materials Research

Pipeline Safety Research

Research and Technology

Emergency Transportation

*Priority Strategic Partnerships **Enabling Research Areas

1. Smart Vehicles and Operators A. Human Performance and Behavior

2. National Intelligent Transportation Infrastructure B. Advanced Materials

3. Next-Generation Global Air Transportation C. Computer, Information, and Communications Systems

4. Enhanced Transportation Weather Services D. Energy and Environment

5. Enhanced Goods and Freight Movement at Domestic and Int'l Gateways E. Sensing and Measurement

6. Accessibility for Aging and Transportation-Disadvantaged Populations F. Tools for Transportation Modeling, Design, and Construction

7. Local Environmental Assessment Systems

8. Next-Generation Motor Vehicles and Ships

9. Aviation Safety Research Alliance

10. Total Terminal Security

11. Monitoring, Maintenance, and Rapid Renewal of the Physical Infrastructure = strong relationship

12. Environmental Sustainability of Transportation Systems = partial relationship

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Table III-1-1 (cont’d). Relationships between Near-Term R&D Plans, Partnership Initiatives, and Enabling Research.
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Presentation of DOT Near-Term R&D Plans

The Department’s near-term plans for its surface transportation research and development are

presented in detail in the remainder of this section, which retains the organizational structure

used in the third edition of this report. The NSTC Committee on Transportation Research and

Development has identified R&D priorities in the following broad elements of the

transportation enterprise

! Physical Infrastructure for Transportation

! Information Infrastructure for Transportation

! Next-Generation Transportation Vehicles

! Human Performance in the Transportation System

! Transportation System Assessment Tools and Knowledge

These general categories are used in Section III as a structure for near-term R&D planning. 

To this structure, the Department has added the following two elements which cut across the

above five categories, and enhance the Nation’s ability to achieve gains in these areas:

! DOT Investment in University Research, Education, and Cooperative Activities

! DOT R&D Facilities and Administrative Support for R&D

The chapters devoted to these areas provide notation indicating which of the five NSTC

categories cover specific programs in these two areas. It should be noted that many of the

Department’s R&D programs make important contributions to progress in more than one of

the above categories. For purposes of this report, each program is presented in the chapter

addressing the area to which that program contributes to the greatest relative degree.

For each planned research program, a description is presented with key milestones and budget

and staffing data. The table entry “NA” is used to indicate cases in which information was not

available at the time of publication. The format used is as follows:

Program Title (Lead Administration) FY 1997 1998 1999

Funding in $thousands for each fiscal year

FTE in full-time-equiv. for each fiscal year

Program description, with key milestones for fiscal year 1998.
85

CHAPTER 2 

PHYSICAL INFRASTRUCTURE

Most of us take America's superb transportation physical infrastructure for granted--our roads,

railroad tracks, transit systems, airports, railroad terminals, bridges, tunnels, and navigable

waterways are unmatched in all the world. However, as stated in the Clinton Administration's

technology policy, Technology for America's Economic Growth, A New Direction to Build

Economic Strength, “...one of the greatest challenges we face is to rehabilitate and maintain

the huge stock of infrastructure facilities already in place."

Infrastructure renewal is also a core element of the Department's Strategic Plan. DOT is

committed to achieving the goal of a coherent and interconnected multimodal National

Transportation System. As stated in the plan: "transportation infrastructure strengthens

America by bringing people and communities closer together, spurring trade and commerce to

meet the new demands of a global economy...Our challenge now is to shift our attention from

what we've built to how we can make it work better for our country - through the adaptation

and modernization of our existing infrastructure." In response to the Administration's

identification of transportation infrastructure renewal as a National priority area, the NSTC

Committee on Transportation R&D endorsed the President's four major transportation physical

infrastructure strategic R&D goals:

1. Develop technologies, advanced materials and methods to efficiently maintain and

renew the aging transportation infrastructure.

2. Improve existing infrastructure performance (Lifecycle cost, environmental impact,

service life, traffic capacity, safety).

3. Develop and expand technology base for innovative vehicles and systems and for

intermodal integration.

4. Enable efficient infrastructure emergency response and quick recovery after

disasters.

In addition, the Committee has identified a number of crossmodal and generic R&D priority

thrusts. These include:

1. Nondestructive Test, Inspection and Evaluation, diagnostic sensors, technologies

and modeling tools

2. High performance materials
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3. Automation and robotics for renewal engineering

4. Emergency response technologies (e.g., seismic damage repair)

5. Intermodal hazards reduction (e.g., highway/rail and transit crossings)

6. Tools for infrastructure maintenance and prioritization management

The current US transportation infrastructure includes 3.9 million miles of roads; 575,000

bridges, 180,000 miles of railroad track, 11,000 miles of urban rail, 1,264,000 miles of

natural gas pipelines, 26,000 miles of navigable waterways, and airports and seaports. The

United States' 3.5 million miles of surfaced roads carry one-third of the ton-miles of domestic

freight and nearly 90% of passenger-miles traveled. High-performance airports are central to

long-distance public transportation. Public expenditures for construction and maintenance of

the highway system alone, derived largely from direct user fees as well as non-user-based tax

revenues, are approximately $80 billion per year, requiring a workforce of about 800,000

people.

Obtaining the best life-cycle performance from America's surface transportation infrastructure

is thus of great importance not only to users, but also to government at all levels. The

Department's 1995 Status of the Nation's Surface Transportation System: Conditions and

Performance Report to Congress is the latest in a series of biennial reports that track changes

in transportation physical and operating characteristics, finance, and usage patterns. The

report finds that personal and freight demands on our systems are at an all time high and are

expected to increase with population and economic growth, but at a slower rate than in past

decades.

Although this Surface Transportation Research and Development Plan focuses on surface

infrastructure research (highways, transit and rail facilities, pipelines, ports), there are areas in

which coordination with aviation infrastructure research will be increasingly important. For

example, market shifts toward very large aircraft are making it necessary that runway surfaces

be upgraded to endure the forces associated with these heavy planes--even though there are

important differences in loading characteristics, coordination between FHWA and FAA on

pavement materials research will be important to ensure the widest possible application of

improvements in this area.

Near Term Efforts

Emphasis in the area of surface transportation physical infrastructure research is on

technologies and procedures associated with: operational efficiency, durability, performance,

safety, environmental impacts, renewal and maintenance, real-time nondestructive inspection

and monitoring of infrastructure condition and performance; improved design and construction

concepts and practices, processes, structures, materials, resource use, and disposal of
Throughout Section III, funding levels for each fiscal year are expressed in thousands of dollars, and staffing levels 4

are shown as Full-Time-Equivalents (FTE).

Not available at the time of publication. 5

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construction process wastes, recycling and reuse of byproduct and waste materials, as well as

design and construction principles and technologies specifically relevant to intermodal

connection points. The surface transportation programs that have physical infrastructure as

their major focus are listed below and described in the paragraphs that follow:

Highway Safety (FHWA) FY 1997 1998 1999 4

Funding 8,650 9,000 NA5

FTE 22.8 22.8 NA

FHWA continues to focus on improving the safety of the highways in the United States. Great

advances have been made in the last 20 years but more needs to be accomplished to reduce the

more than 40,000 fatalities, 3 million injuries, and $100 billion in economic loss incurred

annually due to highway crashes. The FHWA safety research program is directed at

improving both the design features of the roadway, and traffic control systems so drivers of all

ages can use the highway system in the safest and most productive manner. The research

program focuses on driver and pedestrian decision behavior and the highway features such as

traffic management, traffic control devices, highway design geometry, signage, markings, and

environmental conditions. Current research efforts include:

! Night Visibility Enhancement - Over half of all highway fatalities occur during the hours

of darkness. FY 1997 is the first year of a 3-year funded consortium project of private and

public participants to address: the impact on highway safety, durability of fluorescent

materials, preliminary cost/benefit analysis, feasibility of more efficient UV light sources,

health and environmental considerations, installation and maintenance costs, manufacturing

and marketing problems, infrastructure issues, implementation strategies, and how the

concept can be meaningfully demonstrated.

! Highway Safety Information Management - The highway safety information management

program will develop high quality, easily accessible highway safety information systems

and provide the technology and analytical tools for the analysis of highway safety

problems. The FY 1997 program will provide for the continued improvement and

operation of the Highway Safety Information System (HSIS). This effort will include

development of supplemental roadway and traffic volume files; full incorporation of

advanced technologies such as pen-based computers and GPS receivers; and significant

improvements to methodologies for problem identification and safety analysis. The
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program will also include an evaluation of administrative, technological, and analytical

improvements to the design and operation of state accident and roadway data systems.

! Interactive Highway Safety Design Model - The objective of the IHSDM program is to

develop a series of interactive computer programs that will enable highway designers and

design reviewers to assess the potential safety effects of specific geometric design

decisions. Vehicle Dynamics, Driver, Accident Analysis, Traffic, and Policy modules are

being developed to allow examination of the entire roadway design including the roadway

alignment, the roadway cross-section, and the roadside. Full implementation will occur as

these modules are integrated into commercially-available computer aided design (CAD)

packages. Where appropriate, funds are being leveraged by conducting research in

conjunction with the National Cooperative Highway Research Program (NCHRP).

! Roadside Safety Hardware - In 1995, run-off-the-road crashes resulted in 8,000 deaths and

estimated societal costs of more than $38 billion. The objective of this research effort is to

reduce the severity of run-off-the-road crashes by developing crashworthy roadside safety

hardware and other roadside features that can effectively accommodate a diverse vehicle

fleet. The research is focused on the development of advanced computer simulation

techniques that will reduce the need to rely on crash tests alone and will allow evaluation

of safety hardware for a wide range of vehicle types and impact conditions. To insure that

the roadside hardware and the vehicles are treated as a "design system", this research

program is coordinated closely with NHTSA.

! Pedestrian and Bicyclist Safety - Crashes involving pedestrians and bicyclists account for

more than 15% of traffic fatalities. This effort is in support of the Department's National

Bicycling and Walking initiative, which aims to safely accommodate increased numbers of

pedestrians and cyclists in the highway environment. The goals of the program are (1) to

double the current percentage (7.9%) of total trips made by bicycling and walking, and at

the same time, (2) to reduce by ten percent the number of bicyclists and pedestrians killed

or injured in traffic crashes. This program will develop improved planning techniques,

new methods for identifying problem locations, innovative engineering countermeasures,

and training tools to guide users in the implementation of improved pedestrian and bicycle

facilities.

! Human Factors Research for Highway Safety and Intelligent Transportation Systems - The

goal of this program is to increase highway safety by improving the compatibility between

drivers (including commercial vehicle operations), basic highway design functions, traffic

control devices, and smart technologies to enhance highway safety, traffic control centers

and traffic flow. The primary current research areas include: updating the Older Driver

Handbook; investigating driver response to traffic control devices and other safety

countermeasures; and evaluating the influence of highway design on driving behavior.
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! Engineering Improvements for Enhanced Safety and Operations - Growth in traffic and

congestion is causing a shift from arterials onto local roads, where speed and conflicts with

nonmotorists are major concerns. The aim of this research is to identify, develop, and test

engineering measures to safely and effectively manage speed, increased traffic, driver

decisions, traffic control, and nonmotorists consistent with the function and use of different

road facilities.

Major milestones for fiscal year 1998 will include:

! Beta testing of selected IHSDM modules through cooperative agreements with State DOTs

and/or design consultants.

! Standardized software for analyzing crash test data and preparing test reports. This

software will help to promote international harmonization of testing standards.

! Completion of a study assessing bicycle safety countermeasures.

! Simulation and field study evaluation of the effects of geometry and environmental factors

on drivers’ selections of headway, in order to identify those countermeasures that are the

most effective in helping drivers to maintain proper headway.

! Enhancement of network traffic simulation models to evaluate the effect on delay and

conflicts of innovative intersection designs such as jug handles and continuous flow

intersections, for a range of traffic conditions.

Pavement Research Program (FHWA) FY 1997 1998 1999

Funding 13,731 11,150 NA

FTE 24 24 NA

The goal of the FHWA Pavements Research Program is to develop more cost-effective and

better-performing pavements. The development of these technologies is an evolving process

which includes three stages of utilization: current practices, best practices, and state-of-the-art

practices.

Although there are significant differences in the typical loading profiles (e.g., longitudinal

motion of multi-axle line-haul trucks compared to rapid vertical motion of much heavier

aircraft), FHWA works closely with FAA on the improvement of pavements. FAA is

currently seeking partners to share the cost of building a pavement test facility that would

enable testing of new pavements, and the identification of the best possible replacements at 
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airports where heavier new transport and cargo aircraft pose a particular problem for runway

deterioration.

FHWA’s Pavement Research Program is currently divided into three major focus areas:

! Pavement Management - Continuing efforts are being made to implement protocols or

pavement condition data collection and analysis, and to develop nondestructive pavement

evaluation technology.

! Quality Improvements - Continuing efforts are being made to validate the Superpave

mixture design and analysis systems; to develop performance-related specifications; to

develop guidelines for crumb rubber modified (CRM) asphalt pavement design and

construction; to investigate alkali-silica reaction (ASR) potential in existing Portland

cement concrete (PCC); to develop the use of high performance concrete in pavement

applications; and to support Superpave performance models management, WesTrack, and

the AASHTO Materials Reference Laboratory (AMRL).

! Long-Term Pavement Performance - The largest pavement performance research project

ever undertaken, the 20-year LTPP research encompasses 2,600 in-service pavement test

sections, and includes two sets of experiments: the General Pavement Studies (GPS) and

the Specific Pavement Studies (SPS). The LTPP data base will serve as a critical resource

for pavement performance research and will yield improved pavement performance model

and design procedures.

Major FHWA pavement research milestones planned for fiscal year 1998 will include:

! LTPP data analysis will yield 8 to 10 specific pavement quality enhancements.

! Results from the tire footprint pressure study.

! Guidelines for CRM asphalt pavement design and construction.

! Modeling of load transfer in PCC pavements.

! Pavement performance models for new pavement designs.
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Structures Research Program (FHWA) FY 1997 1998 1999

Funding 14,362 15,256 NA

FTE 15 15 NA

FHWA's Structures Research Program strives to obtain (1) measurable improvement in the life

cycle costs of US highway structures built after 2005 and (2) observable inspection and

maintenance cost savings or extensions of services life in all common types of existing

structures without degradation of highway safety or the environment.

Specific current objectives include:

! Research on the physical and chemical characteristics of new high-performance materials

so as to develop definitive criteria and guidelines for their use in the repair, rehabilitation,

and construction of bridges.

! Improvements to the reliability, speed, and user-friendliness of nondestructive evaluation

(NDE) methods for quality control during construction; improvements to the ability to

detect hazardous conditions during bridge inspections; development of reliable, fast, and

efficient global NDE for bridge monitoring; and development of new technologies and

techniques for integrating quantitative NDE into bridge management systems.

! Finding better means for assessing the vulnerability of bridges to seismic and other natural

forces; developing improved guidelines and design criteria for the design and construction

of bridges to resist these forces; and developing improved methods of retrofitting existing

structures against natural hazards.

! Conducting higher-risk exploratory research to investigate new techniques for

nondestructive characterization of materials.

Major FY 1998 milestones will include:

! Durability testing, design criteria guides, and surface-preparation guides for interfacial

adhesive behavior of structural adhesives.

! Completed construction of FHWA’s facility (i.e., a bridge) with known signatures that can

be used to test, evaluate, and calibrate NDE equipment.

! Technical guidance for determining the response and design of miscellaneous highway

structures under wind load and vibration.
Discussed further in Chapter 6, under the description of FHWA's Transportation Planning Research. 6

Discussed further in Chapter 6, under the description of FHWA's Transportation Planning Research. 7

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! Study of new techniques for measuring fatigue in aging steel, for acoustic microcrack

detection, and for measurement of steel corrosion in reinforced concrete.

! Construction of at least 50 bridges utilizing high-performance materials.

Environmental Research (FHWA) FY 1997 1998 1999

Funding 5,443 5,566 NA

FTE 5.0 5.0 NA

FHWA's Environmental Research Program addresses highway impacts on air quality,

wetlands, water quality, hazardous waste sites, communities, aesthetics, and noise. The goals

of the environmental research program include: better capability to understand and predict the

impacts of highway transportation systems on the natural environment, cultural resources, and

the local community; development of methods to avoid and mitigate those impacts and enhance

the environment; the integration of environmental considerations into the system planning and

project development processes in a cost effective manner; and share innovations with FHWA

partners in State and local governments. The major current research areas include:

! Air Quality - Assisting States and Metropolitan Planning Organizations (MPOs) with

meeting Clean Air Act requirements by providing improved analysis methodologies, and

information on the relationship of transportation programs and emissions on air quality

levels. Assisting EPA in its efforts to develop a new and more accurate mobile source 6

emissions model. Examining the impacts on the transportation program, and the 7

additional control strategies that are necessary, resulting from new and tighter National

Ambient Air quality Standards for ozone and fine particulate matter.

! Wetland Resources - Developing methods to delineate, identify, restore, and protect

existing wetlands, and identifying innovative wetlands restoration and creation projects

around the nation.

! Water Resources - Updating research on highway storm water runoff to account for new

highway construction techniques, new motor fuel constituents (e.g., MTBE), changes in

engine emissions, and new vehicle components.

! Environmental Process - Providing training and technical assistance to facilitate effective

implementation of the FHWA National Environmental Policy Act (NEPA) process.
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! Community Impacts and Public Involvement - Evaluating policy, procedural, technical,

and legal issues associated with community impact assessment and mitigation options and

evaluating data needs, assessment techniques, and methodologies to allow for the efficient

determination of community dynamics and impacts of proposed transportation projects.

! Historic and Archeological Preservation and Aesthetics - Providing tools necessary to meet

technical and procedural requirements related to the preservation of historic and

archeological resources, identifying highway maintenance practices which can benefit

visual quality such as the use of wildflowers and other native plant species.

! Highway Traffic Noise - Developing technology transfer resources that address

advancements in construction noise measurement, analysis, and abatement.

Major fiscal year 1998 milestones will include

! Documentation and evaluation of the effectiveness of transportation programs that are

initiated to meet mobile source emissions budgets.

! Completion of a Mitigation Manual for Estuarine Wetlands.

! Publication of an evaluation of ultra-urban best management practices for controlling storm

water runoff from highways.

! Consideration of the impacts of current technology such as ITS on the social,

environmental, and economic impacts of a transportation project.

! Identification of state-of-the-art predictive methodology for dynamic social

characteristics/factors.

! Publication of design standards for the rehabilitation and preservation of historic highway

bridges.

! Development of a videotape which addresses noise-compatible land use planning.

Right-of-Way Research Program (FHWA) FY 1997 1998 1999

Funding 322 365 NA

FTE 0.25 0.25 NA

FHWA's Right-of-Way (ROW) Research Program enhances State and local government

highway agency capabilities in right-of-way program management, technical development and
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information sharing. This research effort includes studies that identify and advance right-ofway management methodology; right-of-way technical innovation; and harmonious land use

applications.

New research efforts in FY 1997 will include video imaging to enhance understanding and

presentations of highway impacts for property owners and in condemnation cases, and

additional assessments of right-of way impacts of Federal programs and policies.

FY 1998 milestones include:

! Dissemination of possible “benchmarks” to improve the quality of ROW program

management.

! Deployment of interactive video imaging tools for key right-of-way related functions.

Technology Assessment and Deployment (FHWA) FY 1997 1998 1999

Funding 13,811 14,800 NA

FTE 27 27 NA

The purpose of FHWA's Technology Assessment and Deployment program is to identify and

assess innovative research results, technology, and products and to promote the application of

those that are determined to be of potential benefit to the highway community. Key areas of

interest currently include:

! Roadway Applications - Development of innovative solutions to keep pace with asphalt and

concrete pavement rehabilitation.

! Structures and Soils - Application to structural components (e.g., bridges, retaining walls,

tunnels, structural signposts) of innovative technology, including high-performance

structural materials, modern rational design codes, nondestructive evaluation systems,

seismic retrofit techniques, ground improvement methods, and scour protection systems.

! Safety and Design - Safety outreach, hardware, and programs; and motor carrier safety. 

Examples include a red light running campaign, countermeasures for older road users, and

automated brake testing technology for commercial vehicles.

! Traffic and Motor Carrier - Implementation of new and emerging technology in traffic

management, simulation, and demand management, and to facilitate the safe and efficient

movement of goods by the motor carrier industry.
A portion of the funding for the LTAP is through Section 6004 of ISTEA. 8

95

! Technology Marketing - Technology transfer through workshops and demonstrations on

breakthrough technologies, international technology scanning, cooperative research, and

participation in international organizations.

! Technology Operations - Use of advanced media (e.g., Internet, online systems, intranet,

CD-ROM, CD-Interactive, multimedia, etc.) to improve the ability to reach users

throughout the highway community.

FY 1998 milestones will include:

! Initiation of a demonstration project to assist highway officials in using life-cycle cost

analysis (LCCA). This activity will outline the process, identify key data and assumptions,

and provide hands-on training on how to perform LCCA.

! Completion of the development, beta testing, and implementation of a comprehensive

computer program for designing bridges for extreme events such as ship impacts and

earthquakes.

! Incorporation of the Commercial Vehicle Information Systems pilot technology into the

Advanced Law Enforcement Response Technology vehicle.

! Demonstration and promotion of leading-edge corridor management technology for

freeway and urban arterial traffic control.

! A videotape and multimedia course which shares techniques for the cost-effective use of

heat straightening for the repair of damaged bridges.

Local Technical Assistance Program (FHWA)8 FY 1997 1998 1999

Funding 8,827 12,000 NA

FTE 2 2 NA

The FHWA's Local Technical Assistance Program (LTAP) improves access to highway

technology for local communities. The LTAP, with its 57 LTAP technology transfer

centers—one in each state, one in Puerto Rico, and six to serve American Indian tribal

governments—serves as the primary channel through which innovative transportation

technology and training are delivered to both urban and rural communities. Training is

provided in a number of ways: workshops at various locations throughout a State; circuit-rider 
96

visits to local transportation agencies for on-site tutorials or hands-on training; field

demonstrations; and lending of training materials (e.g., videotapes, manuals, workbooks).

Key FY 1998 products and milestones include:

! A traffic safety assessment course and field guide for local officials.

! A videotape and pocket field guide on fundamental field testing procedures necessary for

basic maintenance and design of gravel roads.

! CD-ROM publication of all LTAP reference information, newsletters, and special reports.

Technical Training (FHWA)

National Highway Institute

FY 1997 1998 1999

Funding 4,269 8,000 NA

FTE 13 13 NA

The National Highway Institute (NHI) has a legislative mandate to provide education and training

to Federal, State and local transportation agencies in a proactive effort to apply state-of the art

transportation technologies emanating from FHWA R&D programs. As such, it is the leading

resource within FHWA for providing high quality comprehensive education and training programs

tailored to meet the needs of transportation professionals at all levels of the Federal, State and

local government as well as U.S. industry. In addition, the NHI is structured to share this

information with the international transportation community. The NHI envisions the utilization of

both traditional and modern instructional techniques to provide high quality education and

training in transportation technology that customers will find to be affordable, convenient and

timely. 

Domestically, the customer base of the NHI is changing, and the number of students is expected

to grow by 25 percent in FY 1998. State DOTs are downsizing, and much of their construction,

maintenance and operations are being shifted to contractors who are already beginning to seek

NHI training. The remaining State DOT engineers now have to be knowledgeable in a range of

subjects so they need a wider variety of NHI courses each year. The number of NHI customers

from industry has grown from five percent to 11 percent in four years and is expected to climb to

15 percent in FY 1998.

Internationally, the NHI offers specialized courses to foreign professionals in areas such as

technology transfer techniques, advanced pavements technology, and international bridge

inspection. The NHI markets its courses in some 30 countries and teaches a few international

courses in the United States so that foreign professionals can link up with members of the U.S.

transportation industry.
97

The NHI is meeting these challenges by improving its procurement procedures and modernizing

its instructional techniques. In addition to conventional classroom training, NHI deploys or plans

to deploy a variety of instructional technologies such as CD-ROM, electronic performance

support systems, interactive computer, and virtual reality simulations; and a host of course

delivery techniques such as just-in-time training, networked delivery of instruction, satellite

broadcast, teleconferencing, and audio and video. These technologies and techniques are

optimally adapted to the audience.

The NHI is active in several other areas related to education and training. The NHI operates a

College Curriculum Program that makes its training manuals and materials available to university

professors for use in updating their courses. The NHI conducts conferences, congresses,

distinguished lecture series, seminars, symposia, and workshops; exhibits its services at World

Trade Fairs; provides technical assistance to its international customers; administers an

international personnel exchange program for FHWA offices; receives over 100 international

visitors per year; manages the AASHTO/FHWA personnel exchange program; provides oversight

to the FHWA university transportation centers and institutes programs; and grants fellowships to

students and faculty members who are pursuing or plan to pursue careers in transportation. 

Current activities include:

! Delivering over 500 course presentations on over 120 transportation topics to more than

16,000 participants.

! Conduct presentations that promote intermodal transportation, stimulate understanding of the

cross-cutting issues, and foster seamless interaction among the various transportation modes. 

! Providing a program of at least 12 courses addressing pavements and materials issues,

including Superpave, to train State and local transportation agency staffs. Pavements and

materials represent the largest share of capital investment by public agencies.

! Delivering a series of courses on structural foundations. These courses will aid transportation

officials in averting bridge failures from natural disasters such as floods or earthquakes.

! Introducing a formal program of NHI courses for the private sector, including transportation

companies, contractors, consultants, firms, and materials suppliers. This program is expected

to become self-supporting in three years.

Key milestones for fiscal year 1998 will include:

! Delivering over 600 course presentations on over 125 transportation topics to more than

20,000 participants.
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! Augmenting classroom training for the 4,000 additional students who will be taking NHI

courses in FY 1998 with Distance Learning, "Just in Time" Training, and Interactive

Computer Training.

! Develop three more computer-based training courses, similar to the one last year on

transportation safety, that will utilize the modern technique of "Just-in-Time" training to

provide instruction to workers on the job.

! Develop and present a new course on seismic retrofitting of transportation bridges. The

course will be based on technology identified in FHWA research.

Implementation of the Strategic Highway

Research Program (FHWA)

FY 1997 1998 1999

Funding 20,000 0 NA

FTE 16 NA NA

A six-year program of product implementation and continuation of the Long-Term Pavement

Performance program related to the Strategic Highway Research Program (SHRP) was

authorized under ISTEA. The benefits of the SHRP are being realized through its systematic

implementation. Products of the research program are being developed under the guidance of

technical working groups, which include FHWA field organizations, industry associations, the

Transportation Research Board, and users. Their work includes the following:

! Prepare and conduct showcase packages of technology modules for demonstration and

delivery to the states via FHWA regional offices and through workshops for state planners

and industry.

! Operate a Technology Delivery Team to address Superpave with representation from the

research and development, technology applications, and program offices within FHWA.

Key products and milestones for FY 1998 include:

! Continue implementation of SHRP products for local governments.

! Complete development and field trial of improved prototype Performance Related

Specifications for concrete pavement.

! Initiate studies to evaluate the Superpave mixture tests and performance models for rutting,

fatigue cracking, and low temperature cracking.
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! LTPP verification sections designed and constructed and field assistance provided for

Superpave technology.

! Continue demonstrations of the latest test procedures and equipment using the concrete

mobile laboratory.

! Design, construct, and evaluate projects using criteria established for high performance

concrete pavements.

! Develop interim specifications for Performance Related Specifications for Portland cement

concrete and hot-mix asphalt pavements and begin validation of performance models

established for use in PRS for concrete paving.

! Complete interim development and assessment of the SHRP binder direction tension test.

! Demonstrate high performance concrete procedures, materials, and equipment to improve

the durability and performance of concrete; this will follow up on SHRP concrete

durability findings and address additional performance, environmental, and quality issues.

! Accelerate development of performance related specifications for asphalt and concrete

pavements. Findings from the WesTrack full-scale accelerated loading test track of the

effects of construction and materials variability on asphalt pavement performance will be

analyzed to develop pay factor adjustments and to identify construction and materials

quality control parameters.

! Work with the State DOTs to adopt the Superpave binder specification by 1997 and adopt

the volumetric mix design specifications by 2000 through five Superpave Regional Centers,

a pooled-fund equipment purchase for States, a full program of training through the

National Asphalt Training Center, and technical assistance.

! Refine concrete and structures technologies and through such means as showcase

workshops, introducing them to State DOTs and contractors.

! Ensure that all applicable SHRP products are now provisional AASHTO standards for use

by the States and industry.

! Provide information on the products and the schedule for implementation activities through

FHWA's SHRP Information Clearinghouse.

! Continue to work internationally to promote cooperation in the use of SHRP technology,

including cooperative efforts with Canada, Latin and South America, the European

Community, and Japan.
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Technology Implementation Partnership Program

(FHWA)

FY 1997 1998 1999

Funding 0 11,000 NA

FTE 0 NA NA

The great value of close partnerships between Department modal administrations and State,

local, private, academic, and other entities was proven by ISTEA's implementation of the

Strategic Highway Research Program (SHRP) products. It is essential that the Department

continue its strong partnership role with State DOTs, the Transportation Research Board, and

industry to move technology and innovation into common practice. The Technology

Implementation Partnership Program would foster such alliances that support efforts in

high-payoff areas.

The Technology Implementation Partnership Program's predecessor, SHRP, received $108

million as part of the ISTEA legislation. SHRP successfully promoted

transportation-community partnerships, with most of the program's implementation efforts

directed toward sharing technology with the States and industry, supporting the test and

evaluation of products, and associated training and communications activities. This approach

has been very successful in terms of the number of individuals who have been introduced to

the technology, the extensive product trials, and adoption of the products by the States and

industry. The "SHRP Lead States Program," which has recently been initiated by the

AASHTO SHRP Implementation Task Force, is an excellent example of the effectiveness of

partnerships among Department modal administrations, the State DOTs, and industry. 

Expected FY 1998 products and milestones include further development and implementation

support in high-payoff areas, such as the Superpave system. FHWA is working with States,

academia, and industry to establish a complete program that is well validated, implements

performance prediction algorithms, and is universally adopted. The Technology Partnerships

Program, too, would support other key alliances.

! Initiation of regional technology excellence centers.

! Initiation of user-producer groups.

! Increased LTPP product implementation.

! Increased technology access/exchange programs. 

! Improve information-dissemination networks to reach beyond States to cities,

counties, and other localities.
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Long-Term Pavement Performance (FHWA) FY 1997 1998 1999

Funding 6,000 15,000 NA

FTE 0 NA NA

The Long-Term Pavement Performance (LTPP) program is a 20-year project initiated under

the Strategic Highway Research Program (SHRP). The goal of the LTPP program is to

extend the life of highway pavements through achievement of the following:

! Evaluate existing design methods.

! Develop improved pavement design methodologies and strategies for the

rehabilitation of existing pavements.

! Develop improved design equations for new and reconstructed pavements.

! Determine the effects of loading, environment, materials properties and variability,

construction quality, and maintenance levels on pavement distress performance.

! Determine the effects of loading, environment, material properties and variability,

! Establish a national long-term pavement data base to support SHRP objectives and

future needs.

LTPP is the largest pavement performance research project ever undertaken. It involves

periodic data collection and condition monitoring of approximately 2,200 in service pavement

test sections, located throughout the United States and Canada, over a 20-year period. The

LTPP research includes two sets of experiments: the General Pavement Studies (GPS) and the

Specific Pavement Studies (SPS). The GPS experiments focus on existing pavements and the

designs most commonly used in the United States and Canada. Individual test sections offer a

wide range of values for key study variables and selected covariates. The SPS experiments

involve test sections constructed specifically for the LTPP research and focus on the efficacy

of specific pavement design factors involved in new pavement construction, the application of

maintenance treatments to existing pavements, and pavement rehabilitation. 

Major activities and accomplishments for FY 1997 include:

! Handbook(s) for the design and construction of long-lived Portland Cement

Concrete (PCC) pavements were developed including: (1) guidelines for the

selection of k values on the basis of soil type and site conditions or backcalculation;

(2) validation of the NCHRP 1-30 performance model for rigid pavements; (3)

quantitative estimates of the effects of key design features and practices on PCC
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pavement performance; and (4) improved performance prediction models for PCC

pavements.

! A validated temperature prediction procedure for asphaltic concrete (AC)

pavements; temperature adjustment procedures for backcalculated moduli,

deflections, and basin characteristics; draft standard for temperature prediction and

correction in the structural evaluation of AC pavements was developed.

! A new hot-mix asphalt (HMA) pavement design handbook providing guidance on: 

(1) use of backcalculated and laboratory moduli in pavement design; (2) estimation

of moduli from other materials data; (3) consideration of drainage conditions in

pavement design; (4) characterization of the subgrade, including seasonal

variations; and (5) estimation of AASHTO layer coefficients in light of seasonal

variations in layer moduli was published.

Expected FY 1998 milestones include:

! "Master Analysis" of all LTPP data to develop improved pavement design

methodologies and strategies for the rehabilitation of existing pavements for new

and reconstructed pavements and to determine the effects of loading, environment,

material properties and variability, and construction quality on pavement distress

and performance.

! Completion of all laboratory materials testing of SPS and GPS test samples.

! Completion of construction of all SPS projects.

Advanced Research (FHWA) FY 1997 1998 1999

Funding 0 10,000 NA

FTE 0 NA NA

The advanced research concept exists in response to the observed need to have research and

development units dedicated to the investigation of new, emerging or advance technologies

which have potential, for long range application in highway engineering R&D and in safety

and traffic operations R&D. This is to ensure that there is a central focus and continual

surveillance of emerging and advanced technologies. The main activity areas for the advanced

research program reflect the current and future needs of research and development and are:

! Diagnostic methods

! Materials characterization
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! Modeling and simulation technologies

! Artificial intelligence and mathematics

! Advanced sensor and communications technologies

Expected FY 1998 products and milestones include:

! Preliminary guidelines for diagnosis of ettringite-related distress.

! Full scale installation of Bragg grating fiber optics monitoring system on one or

more highway bridges.

! Completion of digital waveform-based acoustic emissions measurement

! Field evaluation of portable neutron/gamma spectroscopy system for detection of

chlorides in Portland cement concrete.

! Completion of testing of the effect of fatigue on the fundamental properties of aging

steel.

! Preliminary model identified for drowsy driver warning system.

! Initiation of at least one formal study applying multi-criteria optimization methods. 

Two possible topics are optimum intersection light timing or optimum safety project

selection over a network.

! A breadboard tool will be completed combining object oriented approaches with

graphical user interface to allow rapid prototyping and analysis with visual

presentations. This tool (the Equation Shell) will be of use to researchers for

analysis of data, the incorporation of research findings in the development of new

products, and as an technology transfer mechanism.

! Vehicle magnetic signature database: This database will update vehicle magnetic

signatures which were last measured during the early 1970's.

! Smart loop detector field test and evaluation: This effort will determine smart loop

detector performance specifications and develop functional specifications for

detector communications to the traffic controller.
The FTE to administer this program are located in various research and technology offices throughout FHWA. 9

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Applied Research and Technology Program

(FHWA)

FY 1997 1998 1999

Funding 41,000 0 NA

FTE NA NA NA 9

ISTEA Section 6005 laid out the Applied Research and Technology (ART) Program with the

goal to accelerate the testing, evaluation, and implementation of technologies to improve the

durability, efficiency, environmental impact, productivity, and safety of highway, transit, and

intermodal transportation systems. The legislation had several requirements and special

provisions:

! It required the development of Guidelines for the selection of technologies to be tested.

! It broadly described the types of technologies to be tested.

! It designated specific technologies that were to be tested.

! It required the projects to be carried out on the "Federal-aid systems" with the Federal

share not exceeding 80 percent.

! It provided for technical assistance to the States and for an annual report to Congress.

! It provided funding of $35.0 million for fiscal year 1992 and $41.0 million for each of the

fiscal years 1993-1997 for the overall program and provided funding of not less than $4.0

million per fiscal year for heated bridge technologies, not less than $2.5 million per fiscal

year for thin bonded overlays, and not less than $2.0 million per fiscal year for all weather

markings.

To implement the provisions of the legislation, FHWA, through the Research and Technology

Executive Board, developed a program composed of three elements: Priority Technologies,

Test and Evaluation through the Highway Innovative Technology Evaluation Center (HITEC),

and Applied Research. The programs are jointly administered by the Associate Administrators

for Safety and System Applications and Research and Development with funds assigned to a

variety of headquarters offices carrying out the program. 

Priority Technologies involve the implementation and evaluation of technologies specified in

the legislation and other priority technologies that have been identified by FHWA and

proposed for partnerships through general solicitation. Test and Evaluation Through HITEC

involves full-scale testing of new technologies of projects originating in both the public and

private sector coming through HITEC. The use of HITEC was incorporated into the
The FTE to administer this program are located in various research and technology offices throughout FHWA. 10

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Guidelines that FHWA developed. Applied Research projects support the development of

R&D products, the implementation of new technologies and support for International activities

and the Advanced Research Program.

Key products and milestones for FY 1998 will include:

! Continue the Priority Technology Program through which projects identified by FHWA

fields offices to accelerate the testing, evaluation, and implementation of new and

underutilized technologies that will benefit the intermodal transportation system by

improving the durability, efficiency, environmental impact, productivity, and safety. The

program operates through cost-sharing partnerships between the public and private sectors.

! Complete or continue evaluations of thin bonded overlay projects at sites around the

country.

! Complete or continue evaluations of heated bridge deck projects at sites around the

country.

National Technology Deployment Initiatives

(FHWA)

FY 1997 1998 1999

Funding 0 56,000 NA

FTE 0 NA NA 10

The National Technology Deployment Initiatives (NTDI) will build upon the success of the

Applied Research and Technology Program (ISTEA Section 6005), which focused on the

application of new and innovative technologies. The NTDI will focus on accelerating the

implementation of technologies that will address a set of specific "customer driven" technology

goals, such as improving safety of nighttime driving, driving in wet weather, and other periods

of limited visibility; reducing the delays and accidents resulting from construction and

maintenance work; improving quality and durability of construction materials; extending the

life of the current infrastructure; and incorporating technologies in all phases of construction

and operations that support and enhance the environment. This program will have two major

components to support the achievement of these goals: authorized funding and program

incentives.

The National Technology Deployment Initiatives (NTDI) program is designed to greatly

expand the application of innovative technologies to directly benefit transportation system users

through reduced delays, extended life of the transportation infrastructure, improved system

reliability, improved safety, enhanced environmental features, and support for sustainable
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growth. These goal areas directly respond to input received by the Department as part of

reauthorization outreach efforts, in addition to priority concerns of customers, as identified by

the 1996 National Highway User Survey commissioned by the National Quality Initiative

(NQI) Steering Committee.

This proposed program would be designed to deliver resources to a focused set of program

areas that will result in significant, tangible benefits to transportation users. A major theme is

to foster actual deployment of projects so that users will quickly benefit from applications of

innovative technologies, leading to greater acceptance and willingness by States and others to

use alternative funding sources for such projects.

Proposed goal areas directly address areas that are very high priorities of our customers, as

indicated by the recent survey conducted for the NQI Steering Committee. Characteristics of

the program follow:

Customer-Driven—The program objectives, delivery mechanisms, and schedule would

target innovative technologies that have tremendous potential to result in direct, tangible

benefits to customers. The involvement of public and private area stakeholders will be

important to the program design and widespread dissemination of lessons learned,

quantifiable results, and products developed.

Deployment-Focused—This program would also be designed to "get projects on the

ground" in order to show results from application of the technologies and deliver expected

user benefits. Emphasis will be on supporting States and other implementers with funding

and technical assistance in the deployment of innovative technologies. Where needed to

directly support the deployment goals, program funding will also support highly focused

research, test, evaluation, training, and demonstration efforts.

Innovative Delivery Mechanisms—The program would use both innovative and traditional

mechanisms. Potential features include authorized funding for participation by States and

other implementation agencies, program incentives, regulatory flexibility, and cooperative

projects. Resource and risk pooling in concert with key public and private technology

partners is also envisioned.

Multimodal Support—The technology goal areas address universal themes such as extended

infrastructure life, use of better performing materials, transportation network efficiency,

and environmental enhancement. Applications of these technologies will benefit roadway,

transit, and railway systems.
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Through this program, the Department, along with key technology partners, would potentially

address six specific goal areas:

! Reduce delay and improve safety within construction and maintenance work areas.

! Extend the life of the current infrastructure.

! Increase system durability and life with high performance materials.

! Support and enhance the environment with use of innovative technologies.

! Increase use of alternative modes to improve community-level transportation

service.

! Minimize snow and ice impacts to the transportation system.

The NTDI program must remain responsive to the very dynamic nature of technological

development and progress within transportation agencies. These advances may originate within

the transportation community, or from other areas such as materials science, human factors,

and structural design/construction engineering. In addition, the priorities of users and

capabilities of delivery organizations do change over time. For these reasons, the Department

would be encouraged to develop and maintain close working relationships with other public

and private sector entities, and be authorized to add new goal areas and refine existing areas as

needed.

The NTDI program would be managed by the Department as a major element of the overall

Research and Technology Program. All of the R&T program elements are designed to be

complementary, with the NTDI program providing the key resource to help "close the gap"

between current construction, maintenance, and operation practices, and greatly expanded

adoption of innovative technologies. It is expected that the FHWA will be the lead agency for

this program, in cooperation with other Department modal administrations, including the

Federal Transit Administration, the Federal Railroad Administration, the National Highway

Traffic Safety Administration, and the Research and Special Programs Administration. Key

program operation/management features would include:

Program Evaluation/Assessment of Opportunities—To the extent possible, program goals

will be quantifiable, and continuing evaluation will be used to define need for redirection.

New technologies that may support the goals should be identified, evaluated, and applied

expeditiously.

Partners/Stakeholders—Regular interaction with key stakeholders regarding program

delivery mechanisms, refinement of goal statements, cooperative efforts, and other matters

is essential. These stakeholders include public sector entities such as State DOTs, local
108

governments, and local transit authorities; private sector companies; industry associations;

and academia.

Information Sharing—The overall goal of increasing adoption of innovative technology

requires that decisionmakers at the State and local levels have quick and efficient access to

reliable, up-to-date information. This is expected to be an important focus of the NTDI

program's management system.

Technology adoption by public agencies and private companies entails a fair degree of risk.

Public agencies, in particular, have been reluctant to adopt innovations that have not been

proven to be effective or that do not appear to have continuing, long-term support. Reliable,

consistent funding would be a necessary feature of the NTDI program.

Seismic Research Program (FHWA) FY 1997 1998 1999

Funding 2,000 0 NA

FTE 2 0 NA

This FHWA research program for the seismic protection of bridges studies the seismic

vulnerability of highways, and bridges on the Federal-aid system and works to develop and 

implement cost-effective methods of retrofitting such systems to improve their seismic

performance. Remaining efforts in FY 1997 include:

! Complete evaluation of approaches for portraying the National hazard exposure to the

highway system.

! Complete development of design time history ground motion.

! Complete seismic retrofit of shear-critical bridge columns with final report.

! Complete development of training course for seismic retrofitting for bridges.

! Complete study of "Effect of Spatial Variation of Ground Motion on Highway Structures."

! Complete Liquefaction Remediation Techniques for Bridge Foundations.
The FTE to administer these activities are located at various offices within FHWA. 11

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Timber Bridge Research Program (FHWA) FY 1997 1998 1999

Funding 1,000 0 NA

FTE 1 0 NA

FHWA's Timber Bridge Research Program focuses on developing new timber bridge systems,

and/or improving present systems which permit the efficient use of primary commercial wood

species and previously under utilized species for transportation use. Remaining activities in

FY 1997 include:

! Standard plans for several timber bridge types.

! Computer design aids, and interactive designs.

! New NCHRP 350, Test Level 3 bridge rails.

! Refined design criteria to update AASHTO codes.

! Find alternative stressing systems for post-tensioning stressed deck bridges.

Research & Technology Technical Support

(FHWA)

FY 1997 1998 1999

Funding 0 10,000 NA

FTE11 0 NA NA

Responsibility for transportation research in the U.S. is highly decentralized. States,

universities, private entities, as well as the Department of Transportation all play important

roles in defining the research agenda, and in conducting the actual research. FHWA research

and technology technical support ranges from sponsorship of the Transportation Research

Board (TRB) and AASHTO; to funding for the Small Business Innovation Research (SBIR)

program; to data processing and editorial support for the Turner-Fairbank Highway Research

Center (TFHRC); to quarterly publication of Public Roads, which features developments in

FHWA’s policies, programs, and research and technology.
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Track, Structures, and Train Control (FRA) FY 1997 1998 1999

Funding 7,346 7,746 NA

FTE 3 NA NA

The goal of FRA's Track, Structures and Train Control research program is to improve the

safety and reliability of the Nation’s railroad tracks by participating with industry in efforts to

address track geometry and material, signal defects, and other train control systems. Track

defects are one of the leading cause of train accidents, and the damage associated with those

accidents totals on the order of $50 million annually. The program will work to develop

technology to discover such track defects before failure; develop methodologies for predicting

service life of track and signal components and how they behave under dynamic conditions;

develop protocols to improve efficiency in inspection, preventive maintenance, repair, and

renewal actions; and develop technology to enable safe train operation in a heavy tonnage

environment. Research will increase emphasis on the testing, analysis, and evaluation of

safety-critical track, grade crossing, signal system components, inspection devices, and vehicle

response to track irregularities. Current research efforts include:

! Track and Components - Quantifying the resistance of concrete-tie tracks to lateral

buckling from heat and load stress; measuring track impacts of heavy vehicles with

improved suspensions; assessing performance of improved steel material for select track

components.

! Inspection and Detection - Improving and automating track geometry measurement for

derailment risk assessment; assessing the feasibility of rail flaw detection through

horizontal shear electromagnetic acoustic induction.

! Track/Train Interaction - Developing algorithms for the real-time assessment of the safe

limits of track geometry; identifying the correlation between track geometry/stiffness and

wheel/rail forces; developing computer models for simulating the dynamic interaction

between vehicle and track.

! Signals, Train Control, Communications, and Electrification - Assessing the reliability of

new technologies embedded into existing signal systems; improving methods for detecting

train presence on track and grade crossing approaches; developing means for assuring

safety of electrified railroad operations in new corridors.

Key milestones for FY 1998 will include:

! Improved track inspection protocols based on an improved understanding of crack growth

rate for newly-discovered rail flaw type initiated by stress and heavy wear deformation.
111

! Novel methods or standards for rating the safety of track condition using newly-integrated

track and vehicle models.

! Improved means for integrating train presence sensors and train control systems.

! Assessment of the safety impacts of data transmission “backbones” for sensor and control

elements of intelligent train systems.

Next Generation High-Speed Rail Facilities Improvements (FRA)

As part the Next Generation High-Speed Rail Program, discussed below in Chapter 4, FRA

will be providing funding to the State of Oregon to upgrade tracks, control systems, and

terminals on the Portland-Eugene Corridor. Included in the project will be an examination of

new techniques for the construction and maintenance of track for high-speed passenger

operations.

Intermodal Development (MARAD) FY 1997 1998 1999

Funding 0 0 NA

FTE NA NA NA

The goals of the Maritime Administration's Intermodal Development program are to assess and

deploy innovative technology and management practices for all components of the

transportation system infrastructure to improve system capability, efficiency, productivity,

safety, environmental sensitivity, and military utility. In addition to SBIR agreements

discussed in Chapter 7, there are four research programs under Intermodal Development:

1. Intermodal Transportation Research Program -- This program works to improve the

efficiency of all aspects of the flow of cargo and data from origin to destination in U.S.

domestic and international trade through the introduction of advanced technologies and

operating systems designed to enhance productivity, reduce costs, and increase service quality. 

MARAD assists U.S. ocean carriers, inland waterway operators, stevedores, terminal

operators, ports, and others involved in intermodal transportation through National multimodal studies and joint MARAD/industry cost-shared research and development. MARAD

provides for coordination of intermodal studies with the Department’s Office of Intermodalism

and other modal administrations, as well as other Federal, state, and local agencies.

2. Cargo Handling Cooperative Research Program -- This cost-shared program is carried out

under a cooperative agreement between MARAD and industry members to improve the cargo

handling productivity of American carriers. The research activities are jointly selected by the

participants.
112

3. Commercial-Military Transportation Research Program -- This program focuses on the

identification and development of marine intermodal transportation technology which can be

used to meet military and commercial requirements.

4. Port Development Planning Research Program -- The Maritime Administration's Port

Development Research Program goal is to determine port requirements for U.S. ports in order

to improve transportation system capability, efficiency, productivity, and safety. The program

also ensures that ports are able to operate with efficiency and minimal disruption during times

of National emergency. Related near-term activities include:

! Complete the study and workshop on the impact of future fleet and trading pattern

changes on port infrastructure requirements.

! Completion of the National Freight Transportation and Logistics Model, which will

provide planners with the ability to identify potential infrastructure constraints and

allow for the testing of options to address the constraints.

! Initiate development of a port productivity program designed to assist U.S. ports in

enhancing their marine terminal productivity and facility utilization.

! Develop analytical methodology for assessing the security vulnerabilities of marine

terminals.

! Examine the special problems and future role of small and modern-sized U.S.

ports.

! Examine the issues associated with competition between U.S. ports and regional

economic efficiency and cooperation in planning.

New Rail Vehicles & Infrastructure (FTA) FY 1997 1998 1999

Funding 200 800 NA

FTE NA NA NA

Transit agencies operating rail above grade and in subways find it difficult to provide greater

capacity, and agencies developing new starts are continuing to experience cost overruns. 

Studies have shown that communication-based train control systems provide greater throughput

at far less cost than infrastructure expansion. Other future benefits of this technology are

grade crossing protection, real-time customer information, and commercial adaptation by

freight railroad companies (which should lower cost to transit operators). Projects 
113

participating in the FTA Turnkey Demonstration Program are already starting to demonstrate

the cost control and financing benefits of the turnkey method of infrastructure project delivery.

FY 1998 activities will include offering technical support in completing development and

deployment of the advanced technology train control system, exploring other uses of

communication-based technologies including improving commuter rail safety, initiating the

update of the subway environmental design handbook based on testing completed at the

Memorial Tunnel test site in West Virginia, providing further support to the Turnkey

Demonstration Program, and assisting with implementation of the FTA Innovative Finance

Initiative.

Pipeline Safety Research (RSPA) FY 1997 1998 1999

Funding 1,644 1,648 NA

FTE NA NA NA

RSPA's Pipeline Safety Research program provides technical competence to assess pipeline

integrity, determine ways to rehabilitate or rebuild pipelines, and set long-term performance

goals for improvements. Current research activities include:

! Information Systems - Facilitating risk-based planning through the integration of operator

compliance systems with incident and other operational data bases; improving wide area

network links to resource availability, operator safety measures and recommendations for

regulatory development; and testing applications of a national pipeline mapping system.

! Research Studies - Completing evaluation of leak detection system performance; evaluating

pipeline design and operating criteria, including leak before rupture, fracture mechanics,

and pressure limitations; and modifying existing nondestructive diagnostic technology used

to detect wall thinning to detect external dents and flaws caused by external forces.

! Compliance - Completing an assessment of the degree to which tanks meet American

Petroleum Institute (API) standards.

! Management and Analysis - Redesigning risk prioritization processes to focus on field

practices.

Major FY 1998 products and milestones will include:

! An evaluation of the first year of expert information systems operations and strategic plan

for improving analytical capabilities.
114

! A study of steel strength and toughness limitations.

! A study of plastic and composite distribution gas piping technology.

! Testing of the second generation risk prioritization model.
115

CHAPTER 3

INFORMATION INFRASTRUCTURE

Introduction

The importance of timely, accurate and complete information to effective transportation

planning and operations has become undeniable in recent years. New communications and

information systems technologies are developing rapidly, and there are unprecedented

opportunities for making substantial improvements to transportation through their effective

implementation.

In order to capitalize on the potential advantages of these new technologies, the Department of

Transportation has established as a strategic goal to "Create a new alliance between the

Nation's transportation and technology industries to make them both more efficient and

internationally competitive." [Strategic Goal #3 in the Department’s Strategic Plan]. This goal

envisions a future intermodal transportation network in which each mode uses information

systems and technologies to operate more effectively, both by themselves and as an integral

part of the larger, seamless transportation system for moving people and goods safely and

efficiently throughout the United States and to and from foreign destinations.

This vision for the future of transportation has striking similarities with depictions of the

evolution of the National Information Infrastructure, or the NII. In fact, the direct parallel

between effective transportation and effective communications services has been pointed out by

noting the NII can "have the same effect on U.S. economic and social development as public

investment in the railroads had in the 19th century." [Federal Interagency Information

Infrastructure Task Force, The National Information Infrastructure Agenda for Action",

September 1993]. There has already been discussion of the advantages of defining a

'Transportation Information Infrastructure' or 'TII', to encompass those components of the NII

whose primary purpose is to expedite the flow of passengers and freight on the National

transportation system. If this concept were adopted, then the Federal government and the

Department of Transportation would have significant and important new responsibilities.

However, a coordinated and comprehensive Federal approach to managing this intersection of

transportation and communications has yet to be formulated. This would be a complex

endeavor that would need to address a number of topics, such as:

! the need to support large numbers of both mobile and fixed users and platforms;

! the need to transmit significant amounts of data in real-time or near real-time;
116

! the need for seamless inter-connectivity among communications modes (wired,

wireless, hybrid) and regions, both nationally and internationally, including

managing the allocation and use of communications spectrum;

! the need for high reliability and survivability for safety-critical and National

security-related applications; and

! the need to ensure compatibility among the regulations, legislation and

administrative procedures of numerous public authorities at the local, regional,

state, National and international levels. 

Even given these daunting parameters, it is in fact possible to integrate state-of-the-art

communications and information systems technologies into transportation. In many ways, the

Intelligent Transportation System (ITS) program, previously known as Intelligent Vehicle

Highway Systems (IVHS), is a model for the advantages that can accrue when the latest

information and communications technologies are applied to transportation. 

Intelligent Transportation Systems (ITS)

The ITS program arose in the late 1980s out of an awareness that parallel advances in such

fields as electronics, communications, control, and information processing technologies offered

a unique opportunity to make profound improvements in the Nation's surface transportation

system. The ITS program seeks to apply these technologies in a manner that will enable the

public to use the Nation's surface transportation infrastructure and energy resources to help

achieve multiple goals simultaneously, including: improved safety, increased efficiency of

transportation operations, reduced environmental and energy impacts of transportation

activities, enhanced economic productivity, and enhanced mobility for transportation users. 

The Federal Government is only one, although a major, participant in the National ITS

program. Other players include private electronics, communications, and transportation

technology companies; professional societies and organizations; consumer and industry groups;

academia; and State and local governments. In addition, the Intelligent Transportation Society

of America, or ITS America, is utilized as a Federal Advisory Committee to advise the DOT

on the ITS program.

The primary role of the Federal Government, and of DOT in particular, in this program is to

assure the development and deployment of a truly compatible, nationwide ITS system. This is

accomplished through a number of coordinated activities. DOT encourages and coordinates

the development of uniform technologies, standards, and associated knowledge bases. Because

of its statutory mandate, the Department also provides a National emphasis and perspective on

the safety aspects of ITS. It funds high-risk research that has the potential for a significant 
117

public benefit, but is not sufficiently attractive for the private sector to pursue. It also plays a

major role in ITS operational tests, technology assessment, and program planning.

Within DOT, the Joint ITS Program Office, or JPO, is housed in the FHWA and reports to the

ITS Management Council chaired by the Deputy Secretary, and consisting of the

administrators of FHWA, NHTSA, FTA, FRA, and FAA, as well as to the General Counsel,

the Assistant Secretary for Transportation Policy, and the Assistant Secretary for Budget and

Policy. The JPO coordinates the Department's overall ITS activities within FHWA itself,

NHTSA, FTA, FRA, RSPA, and OST. Other Federal organizations with significant roles in

the ITS program include the Departments of Treasury, Commerce, Justice, and Energy; the

Federal Communications Commission, the Environmental Protection Agency, and the National

Laboratories. 

The Department's ITS program has already achieved a number of significant accomplishments. 

It has cooperated with ITS America to produce a National ITS Program Plan in March 1995,

and has developed a coordinated set of “road maps” that mark milestones and critical paths for

achieving program objectives. It has stewarded 77 operational tests that have demonstrated the

viability of “first generation” ITS technologies and services. It has launched an aggressive

short- and long-term research program that has moved technologies largely unfamiliar in

transportation five years ago into actual use. It has identified institutional barriers to ITS

implementation, and proposed solutions to remove those barriers and mainstream ITS

deployment. It has developed a national architecture that can facilitate the integration and

interoperability of ITS user services. It has identified and promoted technical standards that

assure hardware and software compatibility. It has created new models of private/public

partnerships. It has developed plans to meet educational and human resource needs. Finally,

as is discussed below, it has set national goals to encourage widespread ITS deployment.

The Federal Deployment Strategy for ITS

In addition to conducting an ITS research, development, and testing program, Congress

directed the Secretary of Transportation to promote the nationwide deployment of ITS to solve

transportation problems. In early 1996, the Department announced national deployment

objectives to create:

! Infrastructure for metropolitan areas that would integrate nine first-level ITS

advanced travel management services. These services would apply to traffic signal

control, freeway management, transit management, incident management,

electronic toll collection, fare payment, railroad grade crossings, emergency

management, and regional multimodal traveler information centers.
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! Commercial Vehicle Information Systems and Networks (CVISN) that would form

a communications and information backbone to support and integrate ITS services

that aid commercial motor carrier operations.

The Department also expects to create an intelligent transportation infrastructure that would

enrich and improve transportation services in the Nation’s diverse rural communities. The

Department formed these deployment objectives gained from the program’s extensive research

over the past five years, which indicate that smart transportation systems are technically

viable, that ITS offers demonstrable benefits, that user acceptance of ITS user services is

growing, that institutional barriers pose the greatest challenge to ITS deployment, that

deployment is happening in an narrowly focused and disconnected fashion. These findings

collectively reinforce the advantages of having a set of 'core infrastructure' elements in place

in different regions throughout the Nation. Once installed, these elements would generate for

public awareness the real safety, security and congestion benefits of ITS technologies. They

would also serve as the foundation for the deployment of more advanced ITS features as they

became available. In order to save time, save lives, and improve the quality of life for all

Americans, the Department plans to facilitate deployment of intelligent transportation

infrastructure in the following areas:

! Metropolitan -- Full implementation, including advanced travel management

systems and advanced public transportation systems capabilities, in 75 of the largest

metropolitan areas in the Nation within 10 years.

! Commercial Vehicle Operations -- Deployment of CVISN to achieve safe and

efficient shipping operations and enable electronic business transactions by the year

2005 in all states.

! Rural -- Upgrade technology in 450 other communities, rural road, and the National

Highway System as warranted.

A range of activities are underway in support of these goals. The Model Deployment Initiative

has chosen four urban sites that will become models for other metropolitan areas to emulate as

they plan the deployment and implementation of an integrated, fully functioning advanced

travel management system. The ITS program will also support continuing standards

development and professional capacity building activities. The Department has formed

partnerships with Maryland and Virginia to prototype the CVISN technologies and demonstrate

and refine the operational concepts. In 1997, the Department will launch seven CVISN pilots

or model deployments, all of which have now been selected, of electronic data interchange,

clearinghouses, Safety and Fitness Electronic Records (SAFER), and state systems compliant

with CVISN architecture. The Department is developing a strategic plan to achieve the rural

goals for ITS, and plans to facilitate the near-term deployment of an integrated rural travel

management system that will provide emergency management services, traveler information,

and safety and hazard warnings unique to the requirements of rural drivers.
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Future Directions for ITS

As was mentioned previously, the Department's ITS program can already claim a number of

successes. As the focus of the program moves from planning and R&D increasingly to the

more complex stage of implementation, however, new themes will come to dominate the

Department's activities. Over the next several years, the following themes are expected to

become prominent, and are reflected in the Department's ITS plans:

! accelerating the installation of advanced travel management systems and CVISN at

the state and local level through deployment incentives;

! field testing new technologies such as crash avoidance systems and advanced

vehicle control and information systems;

! refining ITS system architecture and developing technical standards; and

! training the “next generation” of transportation planners, engineers, and managers,

to provide the professionals needed to design and build future intelligent

transportation systems from a systems integration perspective.

In addition to these major themes, a number of issues will need to be discussed and resolved in

order to maintain the momentum of the ITS program. For example, there are important

questions over the wireless spectrum needs of a fully installed ITS network and guaranteeing

that the requisite bandwidth will be available when it is needed. There is also concern from

the private sector over the impact of publicly-owned wireline communications systems,

especially those based on fiber optic cables, that may support ITS but have considerable excess

capacity that could be offered or sold to other users. Finally, responsibility for the effective

long-term maintenance of the vast array of software, system architecture and technical

standards generated by ITS, and resident in a number of separate public and private sector

organizations, must be confirmed. The Department is taking action in each of these areas to

begin the process of addressing and resolving these concerns.

NHTSA Collision Avoidance Research

The Collision Avoidance Research program, administered by NHTSA, seeks to facilitate the

identification and development of effective safety-related ITS products and systems that will

contribute to a safer driving experience for all highway users. In pursuit of this goal, it is

envisioned that a wide variety of innovations can be implemented to supplement the driver's

ability to maintain vigilance and effective vehicular control. These innovations -- many of

which will rely on state-of-the-art communications, information systems and sensor

technologies -- would monitor the drivers' own physiological condition, enhance perceptions
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of the driving environment, provide additional information about potential safety hazards,

warn of impending collisions, assist in making appropriate vehicular maneuvers and even

intervene with automatic controls to help avoid such collisions. Thus, the collision avoidance

program supports a number of the Department of Transportation's major goals, including:

contributing to the National economy, advancing U.S. technology, and supporting the safety of

the transportation system.

The collision avoidance program is pursuing a multifaceted research and development effort

incorporating five major thrusts:

Thrust #1 Develop research tools such as portable data acquisition systems that can be

installed in vehicles, and utilize these tools to develop a better understanding

of driver-vehicle interactions and in estimating safety benefits of potential

countermeasures concepts.

Thrust #2 Conduct detailed analysis of crash databases, develop descriptions of specific

crash problems to be addressed (road departure, rear-end, lane

change/merge, backing, etc.) and identify potentially promising

countermeasures for further research.

Thrust #3 Develop performance guidelines for countermeasures associated with these

crash categories, as the basis for developing crash avoidance systems.

Thrust #4 Work cooperatively with private industry and research institutions to

facilitate the commercial development of promising crash avoidance

systems.

Thrust #5 Assess the safety of ITS mobility- and productivity-enhancing systems to

make sure they do not degrade safety.

The NHTSA collision avoidance program addresses the collision problems in three

countermeasure areas, focusing on countermeasures for specific collision types, system

approaches that enhance driver performance under certain situations, and approaches for

mitigating the consequences of collisions. Over the next five years, several activities will

receive increased emphasis: rear-end collision avoidance, intersection/railroad collision

avoidance, single vehicle road departure collision avoidance, lane change/merge collision

avoidance, heavy vehicle stability enhancement, drowsy driver monitoring, driver vision

enhancement, and automated collision notification.

The significant near-term products and current and planned activities of the NHTSA crash

avoidance program can be found in the program summaries in this chapter (‘Research and

Development--Crash Avoidance’, ‘Operational Tests--Collision Avoidance’, and ‘Crash

Avoidance--Driver/Vehicle Performance’), as well as in other chapters of this report (‘Crash
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Avoidance Research--Heavy Vehicles’ in Chapter 4, and ‘National Advanced Driving

Simulator’ in Chapter 6).

Other Information Infrastructure Programs

In addition to ITS and crash avoidance, other surface and non-surface DOT programs also

reflect applications of information technologies to transportation. FRA’s Next Generation

High-Speed Rail program is funding three positive train control projects which utilize datalink

communications and GPS positioning. The Maritime Administration (MARAD) manages an

Industry Competitiveness program which places a high priority on the identification of

information, communications and navigation systems and technologies that can improve the

U.S. maritime industry's competitiveness. The Research and Special Programs

Administration's (RSPA) Hazardous Materials Research program relies heavily on the

application of information and navigation technologies to support its regulatory enforcement

responsibilities. The Response Management Support program, also in RSPA, manages crisis

management systems that enable the Secretary of Transportation and senior DOT officials to

respond effectively to natural disasters or other National emergencies. Other non-surface

transportation activities that have an important impact on surface transportation can be found in

the Federal Aviation Administration's Aviation Satellite Navigation program, and the U.S.

Coast Guard's work in differential GPS.

Finally, there are several related surface transportation R&D programs with a major

information technologies content which are described in other sections of this document. The

data collection and analysis and system assessment activities undertaken by the National

Highway Traffic Safety Administration (NHTSA), the Federal Transit Administration (FTA)

and the Bureau of Transportation Statistics (BTS), for example, are described in Chapter 6 of

this section.

Near Term Efforts

The remainder of this chapter presents the Department’s near-term program plans for

information infrastructure research and development. The Department’s ITS research and

development is funded through the FHWA budget, under the following broad program titles:

! ITS Research and Development

! Advanced Vehicle Control and Information Systems

! Operational Tests

! Evaluation/Program Assessment

! Architecture and Standards

! Mainstreaming
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! Program Support

! ISTEA Section 6058 Funds

It is at this level that budget authority for the ITS program is defined, and the budget data

presented in this report reflect that authority. Because several of these funding categories

encompass a broad range of specific research activities, in some cases managed by different

operating administrations within the Department, this chapter describes the specific activities

of the ITS research program at an additional level of detail. The allocation of funds for those

specific activities is managed and reported separately by the ITS Joint Program Office (JPO),

within the discretion afforded to the Department by statute. The Department’s other

information infrastructure research is presented using the same approach as in the previous

chapter.

Research and Development (FHWA) FY 1997 1998 1999

Funding 28,605 45,500 NA

FTE NA NA NA

Activities included in ITS Research and Development include: Traffic Management and

Control, Crash Avoidance Research, Enabling Research, Rural Research, High Risk Research,

Other Research, Advanced Transit Management Research, Commercial Vehicle Operations,

and Highway/Rail Intersection Innovative Development Research. Each of these programs is

described in detail below.

Research and Development--Traffic Management and Control (FHWA/FTA)

Research in traffic management and control will improve efficiency and mobility by

developing improved methods for managing traffic, evaluation tools to support the required

investment decisions, interface specifications, and technical assistance to the end users of the

products. These products will facilitate the adoption and implementation of advanced traffic

management and control techniques by state and local transportation agencies.

Current research activities include:

! Development of a Traffic Research Laboratory (TREL) which is a simulator for the testing

and integration of ATMS technologies.

! Field testing of real-time traffic adaptive signal control (RT-TRACS) implementing various

control algorithms operating in different geographical locations and under differing traffic

conditions.
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! Completion of functional requirements for sensors and detectors needed to support ATMS

and facilitate the industry-driven development of sensors to meet those requirements.

! Investigation of surface street incident detection issues and achievement of acceptance from

the user community for definition of what constitutes a surface street incident.

! Development of a functional design to integrate traffic, planning, and other analytical tools

and practices for use by Metropolitan Planning Organizations (MPOs) in the development

of Transportation Improvement Programs (TIPs).

Key milestones for FY 1998 will likely include:

! Testing of innovative traffic signal control algorithms for use with RT-TRACS that

increase its effectiveness, such as those for surface street mass transit systems or those that

allow for forecasting of traffic demand on a network-wide basis.

! Development of the overall design for a prototype traffic analysis tool for use by MPOs in

the development of TIPs and provide them with the functionality to assess individual

intelligent transportation infrastructure components.

! Integrate transit and APTS capabilities in the development of planning models.

Research and Development--Crash Avoidance (NHTSA)

NHTSA’s Crash Avoidance research facilitates the development and deployment of effective

collision avoidance systems and other motor vehicle systems using intelligent technologies to

reduce the number of collisions, prevent injuries, and improve safety in automobile crashes. 

This research also ensures that safety is not degraded by new ITS products that may be

introduced by automobile manufacturers.

Current research activities include:

! Completion in FY 1997 of development of a System for Assessing the Vehicle Motion

Environment (SAVME). This new research tool will provide the capability of

quantitatively describing the variety of dynamic vehicle interactions experienced during

normal driving and how drivers react to these situations. This information will be useful

for defining test conditions and analyzing potential benefits of collision avoidance systems.

! Completion in FY 1997 of the development and validation of the Data Acquisition System

for Crash Avoidance Research (DASCAR). This new research tool will provide the

capability to perform detailed studies of driver behavior during normal driving operations. 
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This information will be useful for developing performance requirements for collision

avoidance systems and for analyzing the potential benefits of collision avoidance systems.

! Evaluation of the impact on safety of the ADVANCE route guidance and navigation

operational test.

! Completion of a cooperative agreement with a consortium of motor vehicle manufacturers

and suppliers, focused on cost reduction and advances in manufacturing techniques related

to collision avoidance systems.

Key milestones for FY 1998 will include:

! Final performance standards for all major first-generation advanced technology collision

warning/avoidance systems will be completed.

! Automated Collision Notification (ACN) operational field test and independent evaluation

will be completed.

! Refinement efforts for a commercially viable system for Drowsy Driver Detection in heavy

vehicles will be completed.

Research and Development--Enabling Research

Enabling research will contribute to the efficiency, mobility, and personal productivity of

transportation through research in human factors and communications and navigation

technologies.

Current research activities include:

! Completion of human factors empirical research regarding travelers’ information needs and

preferences for routing, departure times, and rerouting information, as well as research

concerning the structure of routing messages, driver routing and rerouting decision

sequences.

! Delivery of guidelines and user requirements for augmentation of the Global Positioning

System (GPS) for surface transportation users.

! Development of a model of electromagnetic compatibility used to develop guidance on the

compatibility of ITS devices in a roadway environment.
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Key milestones for FY 1998 will likely include:

! For the In-Vehicle Information System behavioral model and support system effort, the

system specification document, the human computer interface specification, and the

software specification will be completed.

! Technical support of the ITS petition to the FCC for a spectrum allocation from 5850-5925

MHZ, and uncluttered and relatively clear band, for short-range communications.

! Demonstration that the Dedicated Short Range Communication (DSRC) equipment will not

interfere with satellite communications equipment, which will be sharing a “co-primary”

status with DSRC if FHWA’s petition to the FCC is granted.

Research and Development--Rural Research (FHWA)

The Rural ITS Research and Development program has been focused on a limited group of

projects that are required to ultimately enable public and private agencies to deploy a set of

user services that will reduce rural traffic fatalities, increase use and availability of rural

transit, and increase rural transportation efficiency.

Current research activities include:

! Evaluating satellite communications systems for Mayday applications.

! Assessing the needs of rural transit operators and transit users.

! Assessing the institutional and technical issues of some of the Rural ITS service groupings.

Key milestones for FY 1998 will likely include:

! Completion of the second of two field projects recommended and conducted under the

“Rural Applications of ITS” contract. This consists of the measurement and transmission

of real-time delay information to a portable changeable message sign (CMS) at a work

zone.

! Initial resolution of some of the critical issues identified in the first assessment of Rural

ITS groupings.
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Research and Development--High Risk Research (FHWA)

FHWA’s High-Risk ITS Research promotes innovative operational and/or analytical tests

which have significant potential to help accomplish long-term goals established by the ITS

Strategic Plan but do not attract substantial non-Federal commitments because of the level of

risk involved.

Major activities for FY 1997 include:

! Completion of 10-15 projects under the Innovations Deserving Exploratory Analysis

(IDEA) program, with some portion resulting in the successful marketing of an ITS

product.

! Completion of approximately 30 research projects on various ITS-related topics.

This research program will end in FY 1997.

Research and Development--Other Research (FHWA)

For a number of otherwise unclassified essential activities and service functions directly related

to the ITS research program, fundamental research of a longer term nature is planned,

focusing on areas of safety and mobility as they relate to efficiency.

Current research activities include:

! The three ITS Research Centers of Excellence successfully completed their five year ITS

research programs, as evidenced by the establishment of continuing programs of ITS

funding independent of the Federal grant.

! Five new ITS IDEA products successfully reached the marketplace. Ten other grants were

completed. Twenty new IDEA projects were funded.

Key milestones for FY 1998 will likely include:

! Award of three Research Centers of Excellence grants.

! Direct user input on new technology under development as to its ability to meet customer

expectations.
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Research and Development--Advanced Transit (FTA)

By the very nature of its route structure, fixed route public transit serves a limited segment of

the population. It is therefore difficult to expand ridership within that limited market. This

research will provide an approach to expand the available market in a cost-effective manner. 

The objective will be to increase transit ridership by, for example, identifying the degree to

which buses should most cost-effectively deviate from fixed routes to serve new customers.

Current research activities include:

! Development of the capability to integrate a vehicle diagnostics system with an existing

AVL/CAD (Automated Vehicle Location and Computer Aided Dispatch) system to

optimize the potential of the vehicle’s wireless data network.

Key milestones for FY 1998 will likely include:

! Guidelines for specifying and deploying flexibly routed fleet management systems with

capabilities to include: deviation and flexible routing; real-time passenger counting

systems; and guidelines for specifying and deploying flexibly routed fleet management

services.

Research and Development--Commercial Vehicle Operations (FHWA)

Commercial Vehicle Operations (CVO) research is focused on SAFER and CVISN activities,

which will lead to advanced technology to achieve safe and free movement of trucks and buses

throughout North America, and to streamline the regulatory process.

Current research activities include:

! Model deployment of a CVISN system with the capability to support roadside electronic

verification and one-stop purchase of credentials.

! Electronic clearinghouses for the International Registration Plan and International Fuel Tax

Agreements.

! Software to support carrier-to-State and State-to-State electronic data interchange (EDI) for

credentials.

Key milestones for FY 1998 will likely include:

! States deploying CVISN in FY 1998 will have received central support to assist in the

software linkages and other technical assistance necessary for successful deployment.
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! Completion of the “black box” being developed by Sandia National Laboratories to aid in

understanding commercial motor vehicle crashes.

! Completion of the CALSPAN project on visual imaging technology, used to automate the

measurement of brake push rod travel in brake testing, reducing the need to employ the

manual processes used by inspectors.

Research and Development--Positive Train Control Systems (FRA)

This FRA research effort will explore advanced communication system technologies, and

develop and operationally test cost-effective train control systems with the potential to

significantly reduce highway-rail intersection (HRI) hazards while minimizing disruptions to

highway and rail users.

Current research activities include:

! Complete evaluation of Vehicle Proximity Alert Devices from tests in actual railroad

corridors. Summarize each system’s strengths and weaknesses and provide suggestions for

improvements.

! Continue evaluation of Positive Train Control (PTC) systems in Illinois and Michigan, and

of the Positive Train Separation (PTS) system in the Pacific Northwest.

! Evaluate system compatibility between PTS and highway-traffic management systems in

the Pacific Northwest high-speed corridor.

Key milestones for FY 1998 will likely include:

! Demonstrate an interactive intermodal traffic control system using the real-time,

continuously updated train location data available as a result of implementing advanced

communications-based train control systems. Demonstrate that train control and highway

traffic management systems correctly communicate with each other.

! Evaluate the effectiveness of techniques such as existing active standard highway traffic

signal devices, intersection video surveillance, remote monitoring of detection equipment

integrity at grade crossings, traffic advisory and active roadside message devices, devices

capable of full blockage of HRIs when necessary for safety, and automated collision

avoidance and notification systems.
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Automated Vehicle Control and Information

Systems (FHWA)

FY 1997 1998 1999

Funding 22,000 26,000 NA

FTE NA NA NA

The Automated Vehicle Control and Information Systems (AVCIS) program is a broad

program area which includes the work that has been previously undertaken in the Automated

Highway System (AHS) program. The change in program title reflects the emerging focus of

current AHS efforts and the focus of the Department on the goal of developing an integrated,

human-centered intelligent vehicle which can enhance driving performance and travel

efficiency and substantially reduce accidents. In future years, other ITS program work which

contributes to this goal (e.g., collision avoidance research and operational tests) will be

included in this program area.

Section 6054(b) of the ISTEA legislation established as a goal that the Department of

Transportation develop an automated highway and vehicle prototype and demonstrate its

feasibility by 1997. In pursuit of that goal, the Department of Transportation entered into a

cost-shared cooperative agreement with the National AHS Consortium (NAHSC) in October

1994. Core consortium members include Bechtel, the California Department of

Transportation, Carnegie Mellon University Robotics Institute, Delco Electronics, General

Motors, Hughes Aircraft, Martin Marietta, Parsons Brinkerhoff, and the University of

California Partners for Advanced Transit and Highways (PATH) Program. The NAHSC is

responsible for specifying, developing and demonstrating a prototype AHS. That

demonstration will take place in the first week of August 1997 on a 7.6 mile stretch of I-15

near San Diego.

This demonstration represents an important milestone in the Department’s collaboration with

industry to investigate the feasibility of the Automated Highway. However, the Department’s

social and institutional investigations indicate that it would be unrealistic to pursue an approach

that involves new, exclusive rights of way dedicated to automation. Full automation is likely

to evolve incrementally from an increasingly intelligent vehicle. This has focused much of the

effort on the incremental components of an intelligent vehicle and their user-friendly

integration.

An important outcome of the above-mentioned demonstration will be a tighter focus on nearer

term features that enhance driving performance and the human factors that are involved with

the driver interface. The AVCIS effort is currently a complement to and will ultimately

include the ITS Crash Avoidance Program. It extends the benefits achieved from the crash

avoidance effort through application of vehicle-to-vehicle and limited vehicle-to-roadside

communication and cooperation. Given a shorter focus and the expectation of marketable

products, it may be appropriate to have the private sector assume a larger share of the

partnership.
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Currently, the AHS program is conducting numerous research, development, and testing

activities, examples of which include:

! In FY 1997, successful demonstration of AHS proof-of-technical-feasibility will be a major

national event showcasing the potential of vehicle-highway automation for 21st century

transportation. The demonstration will be conducted on HOV lanes located in the median

of I-15 in San Diego, and will integrate basic collision avoidance capabilities with new

capabilities in automated vehicle control, with the vehicles and the highway cooperating as

a unified system.

! A comprehensive set of institutional/social analyses will yield guidelines for deployment of

AHS with respect to land use and sustainable development, an assessment of regional air

quality improvements resulting from AHS implementation, guidelines for integrating AHS

as a new capability into the transportation planning process, recommendations as to optimal

public/private roles in deployment and operations, assessment of AHS operations and

maintenance impacts, recommended strategies for mitigating liability, and cost/benefit

assessments of AHS concepts.

! Enabling technology R&D is an ongoing activity upon which development of the ultimate

AHS prototype will be based. Specific tasks that will be completed in FY 1997 include: 

initial forward-looking radar build decisions, short-range radar test results, stereo

processing for lane and obstacle detection, blind spot sensor test results, color video

sensing test results, and definition of critical software validation methods.

Key milestones for FY 1998 will include:

! Continued development of enabling technologies.

! Detailed assessment of user demand and other societal and institutional investigations.

! Results of site-specific case studies.

! Evaluation of the most promising concepts.

! Construction and testing of critical subsystems of the most promising concepts.

The Department of Transportation is in the process of merging all vehicle-focused ITS

activities into a multi- agency research and development program, which will be entitled the

Intelligent Vehicle Initiative (IVI). The IVI will emphasize the significant and continuing role

of the driver in highway safety.
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Operational Tests (FHWA) FY 1997 1998 1999

Funding 54,992 24,500 NA

FTE NA NA NA

ITS Operational Tests address the following areas, each of which are described below in

detail: ATMS/ATIS, APTS, CVO, Collision Avoidance, Rural Tests, and Model

Deployments.

Operational Tests--ATMS/ATIS (FHWA/FTA)

The goal of ATMS/ATIS Operational Tests is to investigate and evaluate various travel

management and technologies standards in a field environment to determine their ability to be

integrated, successfully implemented, and to operate with various existing systems and

technology.

Current research activities include:

! Testing and integration of various R&D products and standards in a field research test

environment, including RT-TRACS and map database standards.

A key milestone for FY 1998 will be:

! Testing of various additional technologies and standards in a field research test

environment.

Operational Tests--APTS (FTA)

The goals of FTA’s APTS Operational Tests are to extend the benefits of Automated Vehicle

Location and Computer Aided Dispatch (AVL/CAD) to small suburban and rural transit

operators, and to demonstrate the viability of smart cards that combine the contactless

read/write capability desired for transit operation with the contact approach suited for

commercial bank cards.

Current research activities include:

! Implementation of Transit Variable Message Sign operational test.

! Implementation of Next-Generation Kiosk and Transit Information operational test.

! Implementation of Advanced Fare Media operational test.
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! Implementation of Advanced Fleet Management operational test.

Key milestones for FY 1998 will include:

! An operational test of a Regional Fleet Management system, shared by a number (20-30)

of transit agencies within a given region.

! An operational test of a hybrid bank-proximity card.

Operational Tests--Commercial Vehicle Operations (FHWA)

This operational test will bring together individual operational tests such as smart cards, data

recorders (black box), emissions checking, and electronic braking systems and link them into a

comprehensive system that will warn the driver of faulty systems and send critical information

to the roadside to facilitate the electronic inspection of vehicles. The expectation is to allow

the driver to voluntarily take a commercial vehicle out of service prior to a mandate by a

public safety official, and to improve the vehicle throughput by bypassing the manual

inspection process. The test is also expected to develop a drowsy driver detection system that

will continuously measure and record driver performance, and using an early warning system

to reduce crashes.

Current research activities include:

! Pilot testing the use of onboard sensors and diagnostics to expedite roadside safety

inspections of drivers and vehicles.

! Development of a prototype for integrating Smart Card technology, especially for driver

safety information.

! Operational tests at the Nogales, Otay Mesa, Santa Teresa, Buffalo, and Detroit border

crossings. Border crossing projects in Laredo and El Paso are already underway. 

Documentation of costs, benefits, and institutional solutions. Refinement of site designs

and recommendations for automation at additional crossings.

Key milestones for FY 1998 will include:

! Demonstration of on-board vehicle diagnostics, providing the capability to warn the driver

of faulty systems such as lights and brakes, determine compliance status of the carrier,

verify emissions at high and slow speeds.
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! Assessment of the factors that contribute to commercial motor vehicle accidents and

development of applicable monitoring technologies.

! Integration of lessons learned from smart card, black box, and electronic braking

operational tests, and development of a pilot model to allow for electronic inspections and

driver warnings.

Operational Tests--AVCSS (NHTSA)

NHTSA’s operational testing of Advanced Vehicle Control and Safety Systems (AVCSS)

facilitates the development and deployment of effective collision avoidance systems and other

motor vehicle systems using intelligent technologies to reduce the number of collisions, and

ensures that safety is not degraded by new ITS products that may be introduced by automobile

manufacturers.

Current research activities include:

! Actual on-the-road testing and data collection on 1,000 vehicles equipped with Automated

Collision Notification (ACN) systems.

! Actual on-the-road testing of 10 vehicles equipped with Intelligent Cruise Control (ICC)

systems.

! Initiation of on-the-road testing, data collection, and independent evaluation of heavy

trucks equipped with ICC.

Key milestones for FY 1998 will include:

! Completion of ACN and ICC Operational Test independent evaluations.

! Continuation of testing, data collection, and evaluation of ICC-equipped heavy trucks.

Operational Tests--Rural (FHWA)

Rural operational testing by FHWA will evaluate the technical and organizational feasibility of

ITS to address user needs in real-world rural environments. Examples of potential test

categories include speed issues, weather and safety advisories, rural mobility management, and

infrastructure-based road departure avoidance.
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Current research activities include:

! Completion of Phase I rural user needs case studies in 10 locations to determine ITS

deployment planning needs.

! Provision of technical assistance for rural ITS planning.

Key milestones for FY 1998 will include:

! Completion of the evaluation plan for the field operational test initiated in FY 1997.

! Initiation of up to three additional field operational tests.

Evaluation/Program Assessment(FHWA) FY 1997 1998 1999

Funding 2,000 9,000 NA

FTE NA NA NA

ITS Evaluation includes both Field Evaluations and ITS Program Assessment, which are

described separately below.

Evaluation/Program Assessment--ITS Field Evaluations (FHWA/NHTSA/FTA)

Field operational tests of ITS will focus on assessing improvements as measured in six primary

measurement areas: (1) reductions in crashes; (2) reductions in fatalities; (3) increases in

throughput, (4) reductions in travel time; (5) improvements in customer satisfaction; and (6)

savings in public and private sector costs. In addition, the Joint Program Office (JPO) will be

working with DOE and EPA to measure energy and emissions impacts of ITS.

Current research activities include:

! Based on the outcome of FY 1996 ITS Field Operational Tests (FOTs), recommended

strategies will be developed for completing existing FOTs and beginning new research and

FOTs.

! An ITS Program Assessment Support (PAS) contract is expected to yield approximately 20

field operational test evaluation reports, completed Model Deployment evaluation strategy

documents, baseline data collection plans, and the initiation of model deployment baseline

data collection.
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Key milestones for FY 1998 will include:

! Evaluation strategy reports and baseline data collection plans for FY 1998 operational field

tests.

! Evaluation baseline reports for intelligent transportation infrastructure Model Deployment

sites, CVISN Model Deployment sites, and the Capital Beltway Traveler Information

System Showcase.

! Evaluation of final reports from many of the FOTs.

Evaluation/Program Assessment--ITS Program Assessment (FHWA)

In order to evaluate the effectiveness of the ITS program, FHWA carries out a range of

benefits estimation and validation activities. These include: canvassing the public and private

sectors for benefits with which refinements may be made to hypotheses regarding the national

benefits of ITS in term of the six measures identified above; assessing the value of ITS relative

to alternative approaches (e.g., adding lanes to highways, reserving lanes for HOVs during

peak travel periods); tracking the deployment of partial and integrated ITS throughout the

Nation; and assessing the effectiveness of ITS institutionalization.

Current research activities include:

! Collection of ITS empirical measures, and incorporation into simulation models to project

benefits of more widely deployed versions of ITS.

! Establishment of an initial set of hypotheses predicting the effectiveness of ITS in a few

important measurement areas, based upon benefits assessments using empirical, statistical,

and modeling procedures.

! Expansion of the ITS definition of intelligent transportation infrastructure elements into

operational definitions that will enable state and local transportation officials to asses their

own progress in deploying the intelligent transportation infrastructure. National progress

toward achieving stated policy goals to deploy intelligent transportation infrastructure over

the next decade will be reported.

Key milestones for FY 1998 will include:

! Documentation of early benefits and lessons learned from case studies of the design,

building, and early implementation phases of Model Deployment sites.
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! Completion of modeling predictions of ITS effects in Model Deployment site areas, based

upon baseline data collected in FY 1997 and FY 1998.

! Analysis of questionnaire data on early indicators of customer satisfaction with CVISN and

intelligent transportation infrastructure Model Deployments.

! Publication of a refined set of hypotheses regarding quantitative goals for the effectiveness

of ITS.

! Completion of a longitudinal study of economic benefits of ITS across select U.S. cities.

Architecture and Standards (FHWA) FY 1997 1998 1999

Funding 5,000 13,000 NA

FTE NA NA NA

ITS Architecture and Standards provides for the development of ITS Architecture and ITS

Standards, discussed below in detail.

Architecture and Standards--Architecture

In order to ensure the rapid and widespread deployment of ITS systems and components on a

nationwide basis, an ITS National System Architecture was completed in July 1996, describing

how the various ITS systems and components will smoothly interact with each other. This

architecture, which is to be developed as a fully consensual process, will guide -- and not

mandate -- consistent decisions among investors, producers and purchasers of ITS products and

services so that the risk of incompatibility is minimized. 1997 is the trial year for getting the

architecture out into the hands of implementors. Until such time as all the required standards

are published and catalogued to provide implementors with appropriate technical direction,

revision of the technical information in the architecture will provide an important design

reference for cities and states, and will help to insure that current implementors don’t repeat

the mistakes made by earlier adopters.

Current research activities include:

! Assisting standards development organizations in the development of ITS standards. 

Providing insight into national/regional interoperability aspects of the architecture

standards requirements documentation.
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! Completion and distribution of the ITS user documents. Support to Model Deployments to

ensure adherence to the national architecture.

! Incorporation of the Highway-Rail Intersection user service into the national architecture

documentation.

Key milestones for FY 1998 will include:

! Assisting standards development organizations (SDOs) in the development of ITS standards

that were identified in the national architecture.

! Continuing the update of the architecture as a result of deployment experience.

! Beginning translation of the maintenance of the architecture to the appropriate standards

organization. Development of an architecture maintenance transition plan to effect ITS

interface definition maintenance to the standards development community.

Architecture and Standards--Standards (FHWA/FTA)

The objectives of the standards program are to provide an environment in which public sector

agencies and others have multiple vendors from which to choose; to promote the creation of an

ITS market through interoperability of multiple vendor products; to ensure safety through

standards for human factors and operational guidelines; and to facilitate the deployment of

integrated systems.

Current research activities include:

! Making a wide range of ITS standards available for operational use, examples of which

include: a protocol for dedicated short-range communications (DSRC); Electronic Data

Interchange (EDI) standards for roadside electronic verification and purchase of

credentials; and standardized message sets for automatic vehicle identification, vehicle

navigation, and Mayday messages.

! The National Transportation Communications for ITS Protocol (NTCIP) will deliver the

final message format specifications for traffic signal control and variable message sign

devices, as well as complete initial message format specifications for roadway weather

information systems, closed circuit television, and highway advisory radio devices.

! Initiation of approximately 10 additional activities in the areas of message set and

foundation standard identified as high priority areas by the architecture.
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Key milestones for FY 1998 will include:

! Initiation of activities for the remaining message set standards currently defined by the

architecture.

! Provision of approximately 10 additional standards for operational use.

! Assistance in training public sector agencies in the utility and use of the ITS standards.

! Requirements for standardizing the efficient processing of time-varying transit information

on a Geographic Information System (GIS).

Mainstreaming (FHWA) FY 1997 1998 1999

Funding 0 22,000 NA

FTE NA NA NA

ITS Mainstreaming activities will include: Technical Assistance, Planning/Policy initiatives,

Training, and Awareness and Advocacy. Mainstreaming activities in each of these areas are

discussed below.

Mainstreaming--Technical Assistance (FHWA/FTA)

DOT has been assisting state and local officials and private sector participants in the

development of plans for "early deployment" of ITS products and services for commercial

vehicle safety regulations and travel management. In the CVO area, this has included

supporting states in the development of CVO deployment business plans, holding regional

forums and supporting institutional and technical studies which help the CV community -- both

public and private -- to understand ITS programs and benefits and be prepared to incorporate

them into their ongoing activities.

Technical assistance related to mainstreaming includes transferring the results of ITS research

and development, operational tests, and Model Deployment efforts; sharing the lessons learned

in overcoming institutional barriers and enhancing interjurisdictional cooperation; and

providing national leadership in the reengineering of current business practices by States and

motor carriers.
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Current technical assistance activities include:

! Establishment of the ITS Assistance Network (ITSAN) designed to provide “real world”

technical assistance through a “peer-to-peer” information exchange on intelligent

transportation infrastructure deployment issues and problems associated with state and local

agency technical personnel in both highway and transit fields.

! Provision of direct technical assistance to transit authorities in the design, development,

procurement, and implementation of ITS. Completion of preliminary investigation and

data collection on the integration of transit fare collection and stored value bank cards.

! Completion of study of legal, security, and privacy issues related to CVO, especially

onboard systems.

Key milestones for FY 1998 will include:

! Showcasing intelligent transportation infrastructure components and integrated systems at

the Model Deployment sites to elected officials and transportation professionals through a

variety of scanning reviews and “distance learning” information sessions.

! Provision of technical guidance to border States as they implement the international border

clearance program.

! Presentation of approximately 70 seminars and workshops covering lessons learned and

best practices, along with technical project guidance.

Mainstreaming--Planning/Policy (FHWA)

Planning initiatives are undertaken by state and local governments in 40 metropolitan areas to

enhance system performance through the integration of system planning and system operations. 

By providing technical, best practices and guidance materials to over 400 state and local

planning organizations, FHWA can facilitate the consideration of ITS and congestion

management options within the context of regionwide multimodal transportation planning.

Current activities include:

! A pilot effort to provide funding to two metropolitan planning organizations (MPOs) and

one state transportation department to support the startup of regionwide congestion

mitigation and system operations initiatives.
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! A guidebook to expand the capacity of MPOs to consider the mobility impacts of

accident/incident-induced congestion and the ITS-related tools available to speed response

and clearance activities.

! Updating Integrating Transportation Planning and ITS--An Interim Handbook to provide

better ITS effectiveness evaluation tools.

Key milestones for FY 1998 will include:

! Initiation in 40 areas of a program supporting local initiatives to merge transportation

system operations with the system planning functions.

! Development and distribution of rural intelligent transportation infrastructure program

guidance materials.

! Availability to state and local transportation planners and decision makers of information

on the costs, benefits, and impacts of deploying congestion management and intelligent

transportation infrastructure strategies.

Mainstreaming--Training (FHWA/FTA)

ITS Mainstreaming activities include an intensive and focused ITS training program for

professional capacity building to state and local transportation personnel. The objective is to

train public sector professionals to a level of expertise commensurate with their duties and

responsibilities in the planning, design, implementation, operation, and maintenance of current

and future ITS projects.

Current training activities include:

! Development of a five year business plan for implementing the training objectives set forth

in the Strategic Plan for ITS Professional Capacity Building.

! Pilot testing and presentation of two ITS short courses: “Transit Management Systems”

and “Regional Transportation Information Systems”.

! Training for States/carriers on how to automate the collection, reporting, and auditing of

electronic mileage and fuel records by State.

Key milestones for FY 1998 will include:

! Initiation of delivery of training to over 4,000 state and local officials and transportation

professionals over a two year period.
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! Provision of 100 university scholarships to encourage young professionals to enter ITSrelated fields and seek employment in Federal, State, and local transportation management

agencies.

! Provision of ITS technician training modules, supporting professional certification

programs through “distance learning” and computer-based techniques to those who cannot

afford to travel to receive needed training.

Mainstreaming--Awareness and Advocacy (FHWA/FTA)

This ITS activity increases the awareness, involvement, and understanding of ITS--its benefits,

its capabilities, and its operations--among public officials, stakeholder groups, and the general

public.

Current awareness and advocacy activities include:

! Provision of ITS support information, presentations, and other material to assist field

offices in their efforts to promote deployment of intelligent transportation infrastructure

components.

! Support information and ITS advocacy needs and exhibits at approximately 10 major

events during FY 1997.

! Delivery of over 100 seminars and short courses on various ITS topics to U.S. DOT

headquarters and field office staff during FY 1997.

Key milestones for FY 1998 will include:

! Awareness and advocacy programs will emphasize the capabilities and benefits of

intelligent transportation infrastructure systems and technologies in meeting regional

transportation needs.

! A major campaign will be initiated to increase public awareness of traveler information

services that can be used while considering travel mode options and routes in advance of

making routine and special trips.
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ITS Program Support (FHWA) FY 1997 1998 1999

Funding 7,761 10,000 NA

FTE NA NA NA

The Program Support function provides for the central coordinating role of the U.S. DOT in

the ITS program. This role includes facilitating the development of a National consensus

among public and private sector participants on the goals, plans and progress of the ITS

program, as well as ensuring that the various ITS activities receive proper technical review and

integration.

This function also supports the Cooperative Agreement with ITS AMERICA, a chartered

Federal Advisory Committee, for program planning and assessment; and support for MITRE

Corporation to provide the Department with program management and system engineering

services in support of the ITS program. Additionally, it provides for information management

support, local area network services, and technical and program advice in specific areas such

as advanced traffic management system applications and system architecture.

Current program support activities include:

! Technical support on issues relating to standards development and radio frequency

spectrum acquisition and auctioning, and analytical work that addresses the benefits and

costs of various ITS services.

! Technical and program policy advice on specific topics, including advanced traffic

management applications and system architecture development, under service contracts

with experts in selected program areas.

Key milestones for FY 1998 will include:

! Activities, both internal and external to DOT, that support development of consensus or

decisions on critical ITS program issues.

! Technical review to analyze and coordinate technical information as required in support of

the Advance Public Transit Systems Program.
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ISTEA Section 6058 Funds (FHWA) FY 1997 1998 1999

Funding 113,000 0 NA

FTE NA NA NA

Through fiscal year 1997, Section 6058 of ISTEA authorizes the appropriation of up to $113

million per fiscal year for the ITS (formerly, IVHS) Corridors Program established under

Section 6056, and for other ITS activities. The ITS Corridors Program is intended to

stimulate the application of ITS technologies to corridors in which their application will have

particular benefit, and is focused upon those with the following characteristics: (1) high traffic

density, (2) severe or extreme nonattainment of U.S. standards for ambient ozone

concentration, (3) a variety of transportation facilities, (4) constraints to physical infrastructure

expansion, (5) a significant mix of passenger, transit, and commercial motor carrier traffic, (6)

complex traffic patterns, and (7) potential contribution to implementation of the Department’s

Strategic Plan for the ITS program. The allocation of Section 6058 funds to other areas is

authorized based on potential improvements in operational efficiency, commercial

productivity, safety, and motorist and traveler performance, and on reductions in regulatory

burden.

ITS Deployment Incentive Program (FHWA) FY 1997 1998 1999

Funding 0 100,000 NA

FTE NA NA NA

As is discussed above, the Department has formed an ITS deployment strategy for the next

decade which has as its primary goals (1) full implementation of intelligent transportation

infrastructure in 75 of the Nation’s largest metropolitan areas, (2) deployment of CVISN in all

interested states, and (3) upgraded intelligent transportation infrastructure technology in 450

rural communities and the NHS. While it is appropriate that ISTEA provide greater flexibility

for local decisions on the operations and enhancements of existing systems, these goals

represent a new layer of infrastructure that will enable intermodal systems management, to

achieve efficiency gains needed to accommodate future travel demand and global commerce. 

The promise of intelligent transportation infrastructure and CVISN can be realized only if they

are implemented as national systems, using common standards and a common architecture.

Full achievement of the Department’s goals for intelligent transportation infrastructure and

CVISN deployment would require a new annual set-aside of $1 billion. By targeting initial

funding of $100 million in FY 1998 towards deployment of integrated intelligent transportation

infrastructure and CVO elements in both metropolitan and rural areas, the Federal government

can make important progress toward attainment of the critical mass necessary to accelerate

standards and meet other program objectives.
GPS Support is classified as a Physical Infrastructure research activity. 12

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GPS Support (FHWA)12 FY 1997 1998 1999

Funding 0 2,100 NA

FTE 0 NA NA

The Department of Transportation has worked with the Department of Defense via the GPS

Joint Program Office (GPS JPO) to add an option to the Block IIF satellite contract for a

second civil frequency (called L5). The addition of L5 to the GPS satellites will allow civilian

users of the system to obtain greater accuracy than available with the existing single frequency. 

In the area of differential or augmented GPS, a preliminary assessment of the technical

feasibility of expanding the USCG system to cover the remainder of the U.S. has been

completed, and a final report will be completed shortly. Work on an implementation plan has

also commenced. 

The funds requested for FY 1998 represent half of the estimated cost in FY 1998 to perform

this work.

Crash Avoidance--Driver/Vehicle Performance

(NHTSA)

FY 1997 1998 1999

Funding 1,000 1,000 NA

FTE 2.0 2.0 NA

This program's goals are to help drivers of all types of vehicles avoid crashes or to lessen the

severity of crashes that do occur by: improving driver direct and indirect visibility; improving

tire traction performance; improving vehicle braking, directional, and rollover stability;

improving vehicle lighting, signaling, and marking; ensuring compatible driver/vehicle

interfaces; developing objective test procedures for collision avoidance systems; and acquiring,

archiving, and making available to customers driver/vehicle performance characterization data. 

Research activities include the following:

! Continue research into the performance of antilock braking systems of light vehicles;

assessment of driver reaction and driver feedback to activation of the antilock feature;

assessment of brake performance on various surfaces;

! Develop protocols for combining simulator and test track experimental data into objective

test procedures that could serve as the basis for performance-based standards or

regulations;
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! Conduct research into issues associated with vehicle rollover such as developing a

methodology for determining critical characteristics of vehicles and developing test

procedures for demonstrating the impact on vehicle stability and rollover propensity; and

! Provide support for collision avoidance rule making activities on an as-needed basis.

A key milestone for FY 1998 will be to complete evaluation of the interaction between drivers’

actions and antilock braking system performance.

Grade Crossing Research (FRA)

The goal of FRA’s grade crossing research activities is to develop, characterize, and

demonstrate technologies that can reduce the frequency of accidents at railroad grade

crossings. Current priorities include:

! Using driver behavior models to devise improved crossing warning and control systems.

! Demonstrating a comprehensive approach to minimizing hazards on a developing highspeed corridor; testing in-cab warning systems; mitigating poor ride quality and reducing

high track-train forces at chronic problem track locations.

For FY 1998, key milestones will include:

! Providing new technologies in grade crossing and noise measurement systems.

! Achieving full corridor coverage for a “Sealed Corridor” demonstration on the CharlotteRaleigh corridor in North Carolina.

Industry Competitiveness (MARAD) FY 1997 1998 1999

Funding 0 0 NA

FTE NA NA NA

One of the responsibilities of the Maritime Administration is to foster the development of a

competitive U.S. maritime industry that contributes to both the Nation's economic growth as

well as important National security goals. A top priority of MARAD's Industry

Competitiveness program is to assess and deploy effective and innovative information,

communications and navigation systems and technologies that will improve the efficiency,

productivity and safety of the National maritime transportation system.
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In pursuit of this goal, MARAD has expanded participation by the maritime industry in the

Ship Operations and Cargo Handling Cooperative Programs, which facilitate the development

and sharing of new technologies in these fields. Both of these government/industry

cooperative efforts are industry-led and cost-shared. One current project is the development of

an integrated Reliability Availability Maintainability Database (RAM) designed to collect

ships’ equipment failure/corrective maintenance data. The U.S. maritime industry, and

foreign fleets as well, have a worldwide need for such a database which can be achieved only

with Government participation and leadership.

This program also assesses advanced information systems designed to improve vessel operating

safety and efficiency, and conducts research on innovative cargo handling equipment,

techniques and systems. The program has also supported the development of these

technologies, such as a shipboard Personal Computer-based training system for ship crews. 

Finally, designated National Maritime Enhancement Institutes will participate in these activities

as appropriate.

Hazardous Materials Research (RSPA) FY 1997 1998 1999

Funding 1,161 1,167 NA

FTE 2.2 2.2 NA

RSPA's hazardous materials safety (HMS) program is a comprehensive nationwide safety

program to protect the Nation from the risks to life, health, property, and the environment

inherent in the transportation of hazardous materials by water, air, highway, and railroad; to

protect the environment from damage by oil and other pollutants; and to ensure the safe

transportation of food. The research and development program provides the technical and

analytical foundation necessary to support DOT's regulatory, international standards

development, compliance, and emergency response activities in the area of hazardous materials

(HM) transportation safety. Current research and development efforts are organized into three

program areas:

! Information Systems - Continuing to refine the intermodal database; integrating registration

data into the Hazardous Materials Information System (HMIS); and assessing the feasibility

of enabling industry to file incident reports electronically.

! Research and Analysis - Completing a general risk assessment of HM transport by hazard

class, quantity, and packaging; and completing over 12 projects on a range of specific HM

risk assessment and technology issues. 

! Regulation Compliance (Testing) - Continuing contractor package testing.
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Major milestones for FY 1998 will include:

! An assessment of the technical needs for receiving incident report data in electronic form.

! Analytical support for basic rulemaking activities including preparation of regulatory

evaluations and related risk-based assessments.

Emergency Transportation (RSPA) FY 1997 1998 1999

Funding 68 69 NA

FTE NA NA NA

The Office of Emergency Transportation, located in RSPA, provides the Secretary of

Transportation and senior DOT officials with an effective ongoing emergency response

capability within the overall interagency context of the Federal Response Plan (the Federal

Government's plan for performing disaster assistance missions). The Response Management

Support program is responsible for maintaining and enhancing the Department's ability to

provide these decision-makers timely information in the event of a crisis. In particular, this

effort focuses on the ability to assess the effects of a natural disaster on the National

transportation system, as well as effective tracking of the flow of critical relief supplies during

the response phase. This activity researches available crisis management software systems,

including mapping and communications capabilities, and implements improvements to them.

Related Departmental Activities

Aviation Satellite Navigation (FAA)

The Federal Aviation Administration's Navigation program, includes two major program

elements. The first element, Satellite Navigation, supports the operational use of satellite

navigation technologies such as the Global Positioning System (GPS) and the International

Marine Satellite (INMARSAT) in civil aviation. A number of ITS concepts and systems also

utilize GPS for surface navigation and vehicle location purposes. The second element,

Navigation Systems Development, identifies and evaluates new navigation technologies and

concepts that may be applicable to civil aviation. This includes assessing the feasibility of

transitioning from primarily ground-based to satellite-based navigation systems, and

contributing to the updating of the Federal Radionavigation Plan (FRP).
148

Improve Search and Rescue Capability (USCG)

The U.S. Coast Guard is the leader in maritime search and rescue. The speed with which

USCG responds, and the effectiveness of its search tools and methods directly affects the

probability that it will successfully locate persons and vessels in distress. Recent efforts to

improve these capabilities include: evaluation of new laser illuminator technology to increase

the effectiveness of night vision goggles; heavy weather tests of GPS/Argos self-locating

datum marker buoys used to define search area movement; and a feasibility study of using

advanced very high resolution radar satellite image data to provide ocean current surface data

for computer-assisted search planning. Near-term priorities include: improved statistical tools

for search planning; modeling of multi-sensor searches and multiple searches in the same area;

and investigating the potential use of satellite altimeters and wind/wave scatterometers for

obtaining near real-time sea surface wind and current data.

Waterways Safety and Management (USCG)

One of the primary responsibilities of the U.S. Coast Guard is to facilitate the safety and

efficient use of the Nation's waterways. Towards this end, the USCG's Waterways Safety and

Management program investigates and applies new and emerging navigation, communications,

display and information systems technologies to marine navigation. These activities include

continuing the development and enhancement of the Advanced Vessel Traffic System (VTS),

developing a ship transit risk model, as well as assessing new concepts for buoys, navigational

lights, and other short-range aids to navigation. The program also supports the

implementation of International Maritime Organization (IMO) standards for Electronic Chart

Display Information Systems (ECDIS) and Electronic Nautical Charts within the U.S.

Improve Maritime Law Enforcement Capability (USCG)

USCG has a significant role as a law enforcement agency to reduce the flow of illicit drugs

and alien migrants to our shores, and to protect our fishing grounds by enforcing national and

international fishing laws and agreements. To improve its law enforcement capabilities in an

era of increasing sophistication on the part of traffickers, the USCG conducts research to

improve its surveillance and vessel search processes, and its nonlethal compliance processes. 

Specific research activities include: defining capabilities and limitations of candidate remote

sensing equipment, developing data fusion techniques for sensor queuing, developing synthetic

imagery for fues data from multiple sensors, and integrating data from multiple sensors in a

single display for real-time use and decision support.

Command, Control, Communications, Computers, and Intelligence Integration (USCG)

USCG decision makers at all levels of command need timely and accurate information. 

Advances in information and communications technology provide the opportunity for

development of integrated Command, Control, Communications, Computer, and Intelligence
149

(C4I) systems, which will provide these officials with more timely information through state of

the art technology. Specific USCG research priorities in this area include: integrating USCG

operational databases, developing future mobile communications requirements, investigating

satellite communications architecture for wide area network capability between mobile

platforms and shore units, investigating commercial communications initiatives, and

developing system simulations of proposed National Distress System (NDS) replacement

systems to validate performance and ensure interoperability.
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CHAPTER 4

NEXT-GENERATION VEHICLES AND FUELS

Transportation vehicles are a major element of our transportation system. In fact,

transportation's performance, safety, security, cost, environmental impact, economic

consequences, and contributions to quality of life are all determined largely by the vehicles

that carry people and goods. Today, our transportation system faces several major challenges

that are directly related to vehicles and fuels: increased global competition for our

transportation industries, economic exposure to fuel price instability, attainment of the

National Ambient Air Quality Standards (NAAQS), reduction of greenhouse gas (GHG)

emissions, and increased demands for mobility from our citizens. Meeting these challenges

will require a next generation of vehicles and eventually, fuels, that meet rigorous standards

for reliability, cost, safety, energy use, and environmental impacts. Thus, a strategic goal for

transportation R&D is enhancing the overall performance of vehicles of all types, while

expanding the range of available alternatives.

Unlike physical infrastructure improvements, a large number of which the Government is

responsible for, vehicle technology improvements are achieved through long-term R&D that

optimizes and leverages the use of both public and private resources. Federal investment is

needed to reduce the risk to the private sector and to assure a continuous flow of innovation.

In its Strategic Planning Document for 1995, the NSTC Committee on Transportation R&D

identified a number of major program objectives for transportation vehicle R&D. Among

these are the following:

! Develop a personal motor vehicle that will deliver up to three times the fuel

efficiency of today's comparable vehicles while reducing emissions, without

compromising performance, safety, room, and utility.

! Develop and introduce manufacturing technologies and practices that will reduce

the time and cost associated with designing and mass-producing this new personal

motor vehicle.

! Improve and regain the U.S. position in the world truck and bus market.

! Assure that advanced truck and bus technologies consider accessibility, energy

efficiency, and environmental impacts.

! Facilitate innovation in rail vehicle design and construction by introducing

advanced materials, communications, and control technologies.
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! Improve the propulsion and emission performance of intercity and commuter

locomotives, and expand the range of alternatives available to meet future

transportation needs.

! Develop strong and competitive international ocean shipping and domestic water

transportation industries.

! Develop a strong and competitive commercial ship design and production

capability.

Near-Term Efforts

The majority of DOT's near-term vehicle research is aimed at meeting the transportation

committee's objectives. Specific programs are discussed below:

Motor Carrier Research (FHWA) FY 1997 1998 1999

Funding 7,399 8,541 NA

FTE 9 9 NA

The Office of Motor Carriers' (OMC) research program includes the following: (1) human

factors research on commercial driver alertness, medical fitness, drug and alcohol use, and

driver licensing and training (discussed in Chapter 5, below); (2) evaluation and promotion of

safety-enhancing vehicle and data- reporting technologies; (3) establishing and undertaking

program analysis activities; (4) undertaking a comprehensive, multiyear regulatory review to

make regulations more enforceable, understandable, and performance-based; and (5) creating

more opportunities for innovation, partnerships, and shared financing in the pursuit of OMC

research objectives. Non-driver-related OMC research includes:

! Technology — Review ITS technologies to determine near-term applications for improving

motor carrier safety and productivity. Determine the effectiveness of various technologies

and their impact on the operations of multiple-trailer commercial vehicles. In coordination

with NHTSA, assess feasibility of alternative braking technologies (e.g., electric), as well

as recommendations for the marking and identification of commercial motor vehicle

replacement parts and accessories. Assess the feasibility of standards for "after market"

brake linings and other brake system components.

! Information Analysis — Implement a system to improve the validity and reliability of

information in the motor carrier Census File update. Analyze the effectiveness of fines and

penalties, as well as technical assistance and education programs, in achieving motor
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carrier and driver compliance with safety regulations. Evaluate the characteristics of

reported crashes by different motor carrier operations, vehicle types, crash locations, and

other pertinent factors.

! Services and Partnerships — Continue efforts to develop and implement new, cost-effective

reporting, recordkeeping, and registration procedures.

! Creating more opportunities for innovation, partnerships, and shared financing in the

pursuit of its research objectives.

Major milestones for FY 1998 will include the identification of potential technologies for rapid

and reliable roadside inspection activities, and the development of an effective interface

between SAFETYNET and ITS data systems.

Safety Systems (NHTSA) FY 1997 1998 1999

Funding 6,488 8,338 NA

FTE 16.01 16.02 NA

Frontal, side, and rollover crashes account for most of the deaths and injuries to occupants of

passenger cars and light trucks and vans. Ejections, pedestrian impacts, and fires also cause

death and injury. The goal of this research is to provide improvements in vehicle structure and

occupant compartment design, in combination with improvements in restraint systems. These

improvements require research in test procedures, injury likelihood measurement, and

countermeasure development and evaluation. A second goal is to foster international

harmonization in the pedestrian, frontal offset, vehicle compatibility, and functional

equivalence research areas, including the following:

! Evaluating the reliability of rollover test procedures.

! Analyzing the feasibility of modeling the early phase of air bag deployment.

! Continuing to update and maintain the vehicle attributes crashworthiness database.

! Continuing to test various impact configurations.

! Evaluating designs of modified vehicles to establish the effectiveness of side-impact

countermeasures.

! Using the developed seat model, investigate countermeasures that would mitigate whiplash

and other injuries.
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! Continuing work on a near-term, economical crash sensor to reduce occupant injuries.

! Continuing R&D on advanced air bag systems.

A milestone for FY 1998 will be to evaluate production vehicles and develop countermeasures

for improved frontal crash protection.

Biomechanics (NHTSA) FY 1997 1998 1999

Funding 7,437 10,587 NA

FTE 8.54 8.54 NA

Within the framework of the newly established National Transportation Biomechanics

Research Center, biomechanical research efforts will continue to build on the program of

increasing our biomechanical understanding of the impact injuries and developing technologies

that will reduce impact injuries on the Nation’s highways. These efforts will expand the

Department’s expertise and capability in the area of impact biomechanics, improve and

promote the use of biomechanics in all transportation modes, as well as adapt this technology

to impact safety efforts within both the civilian and military sectors. NHTSA's Biomechanics

research program pursues efforts that (1) study physical conditions and human consequences of

real-world crashes with multidisciplinary teams of medical, engineering, and crash

investigation professionals; (2) provide a detailed understanding of the forces, motions, and

distortions the human body experiences in a crash and their relationship to the extent and

severity of resulting injuries; (3) create detailed computer models of the human body that can

simulate human impact response and trauma; and (4) develop and improve dummy components

and other mechanical trauma assessment devices that evaluate human impact risk. Ongoing

efforts include:

! Conducting hospital-based, in-depth crash injury studies at four trauma centers.

! Continuing experiments to increase public safety with better seat belt and air bag systems.

! Conducting experiments to increase public protection in side impacts.

! Continuing experiments to determine neck trauma and validate neck computer model.

! Continuing to develop human thorax computer model.

! Continuing upgrading and updating of existing crash dummies.

! Studying brain trauma resulting from crashes.
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A major milestone for FY 1998 will be computer linkage of detailed hospital-based injury

studies completed and on-line. Efforts of existing centers coupled with efforts of additional

three centers maintained by independent funding. Applicability of research in biomechanics to

multiple modes will be actively pursued by NHTSA.

Partnership for a New Generation of Vehicles

(NHTSA)

FY 1997 1998 1999

Funding 2,496 2,496 NA

FTE 0.00 0.00 NA

This NHTSA program provides technical support for the Administration's Partnership for a

New Generation of Vehicles (PNGV) initiative. As the focal point within DOT for the PNGV

program, the goal of the research is to ensure that the PNGV-developed vehicles will meet

existing and anticipated safety standards and that the overall crash and other safety attributes

are not compromised by their light weight or use of new advanced materials used in production

of these vehicles. Ongoing work will:

! Continue to develop advanced computer models to evaluate the crashworthiness of

conceptual designs.

! Continue research in the area of lightweight materials such as advanced composites.

Develop new, unique material models for use in the FEM code.

! Provide the required PNGV transportation infrastructure analyses.

! Provide peer review study of the conceptual designs.

A key FY 1998 milestone will be to continue to develop analytical capability to support the

PNGV program.

Heavy Vehicles (NHTSA) FY 1997 1998 1999

Funding 595 595 NA

FTE 7.47 7.48 NA

The goals of this research effort are to reduce the Nation’s health care costs by improving

heavy vehicle crash avoidance and crashworthiness capabilities, e.g., better braking, enhanced

dynamic stability and improved occupant crash protection. Heavy vehicles constitute 3 percent

of the vehicle population, accumulate 7 percent of the vehicle miles traveled, but are involved

in 13 percent of all fatal crashes. Most of these fatalities (approximately 4,000 each year) are

occupants of smaller vehicles involved in collisions with heavy trucks. This represents more
Includes $2,000k for FRA Human Factors research. 13

Includes $2,000k for FRA Human Factors research. 14

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than 25 percent of the light vehicle occupants who are killed annually in two-vehicle collisions.

Near-term research includes the following:

! Complete a cooperative program with industry to develop braking stability performance

test procedures for air-braked trailers in support of rulemaking.

! Expand joint efforts with industry to develop information and data needed by government

and manufacturers to further improve truck safety performance through the use of

electronic braking.

! Continue feasibility assessment of methods for reducing the severity of truck/car frontal

collisions.

! Continue to foster the application of advanced technology to improve the collision

avoidance performance of heavy vehicles.

An FY 1998 milestone will be to complete evaluation of test procedures to measure friction

properties of heavy vehicle brake linings.

Equipment, Operations, and Hazardous

Materials Research (FRA)

FY 1997 1998 1999

Funding 5,545 5,509 NA 13 14

FTE 5 5 NA

This FRA program is designed to improve safety and enhance productivity within the railroad

industry by reducing accidents caused by unanticipated and catastrophic equipment failure,

inefficient or ineffective operations, and the inadvertent release of hazardous materials.

Current activities, which emphasize technologies to identify defects well before failure and to

ensure safe operations at higher speeds, include the following:

! Equipment - Evaluating wheel stress nondestructive evaluation (NDE) techniques;

completing “end user” development of a wheel defect detection device; validating the

performance specifications of advanced braking systems; completing the preliminary

analysis of cab car crashworthiness; and completing the preliminary dynamic performance

specifications of conventional passenger vehicles.
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! Hazardous Materials - Completing studies on tank car/lading compatibility; completing

Phase I of the stub sill fatigue crack growth study.

Major FY 1998 milestones will include:

! Publication of results of evaluation of an improved roller bearing wayside inspection

method.

! Publication of the tank car 15,000 mile service loads measurement report.

Safety of High-Speed Ground Transportation

(FRA)

FY 1997 1998 1999

Funding 4,600 5,250 NA

FTE 1 1 NA

The goals of this FRA program are to provide validated technologies and data bases to support

FRA rulemaking related to high-speed rail safety; to develop new inspection technologies to

monitor the safety performance of high-speed passenger rail equipment; and to provide an

knowledge base for public and private decision making related to high-speed rail systems.

Current research efforts include:

! Developing crash energy management concepts for occupant protection.

! Assessing the adequacy of track strength under loads from high cant deficiency (tilt)

operations.

! Evaluating the actual safety performance of prototype high-speed positive train control

systems.

Major milestone for FY 1998 will include:

! Providing technical evaluation of the Florida/FOX high-speed rail system and technical

support to the Amtrak high-speed trainset under development.

! Updating fire safety guidelines and evaluation methods.

! Completing passenger seat impact test and evaluation.
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Next-Generation High-Speed Rail (FRA) FY 1997 1998 1999

Funding 26,176 19,595 NA

FTE 4 4 NA

This FRA program's goal is to develop, demonstrate, and validate cost-effective high-speed

(125-150 mph) passenger rail technology that operates on existing infrastructure in the U.S., to

reduce per-mile upgrade costs from about $10 million to $2-3 million, and to make proven

high-speed rail technologies available to States for implementation by the year 2000. Current

research activities include:

! Non-Electric Locomotives - Demonstrating the operating and maintenance characteristics

of new locomotive designs; demonstrating the operability of flywheel energy storage in the

laboratory; testing active locomotive noise control.

! Planning Technology - Updating and integrating user-friendly high-speed rail operational

and economic performance computer forecasting models for State planning.

For FY 1998, key milestones will be include:

! Incorporating flywheel system into a locomotive and preparing for testing.

! Evaluating revenue service performance of advanced nonelectric locomotives in one or

more corridors.

Shipyard Revitalization (MARAD) FY 1997 1998 1999

Funding 0 0 NA

FTE NA NA NA

This program addresses the implementation and execution of President Clinton's Plan entitled

"Strengthening America's Shipyards: A Plan for Competing in the International Market." In

support of this initiative, the Congress enacted legislation on November 30, 1993, containing

the National Shipbuilding Initiative (NSI). This legislation serves as a catalyst for promoting

construction of ships in U.S. shipyards as part of the transformation from a primarily military

focus to one serving the international commercial marketplace. Goal 3.7 of the DOT's

Strategic Plan commits the Department to "Implement the President's new shipbuilding

initiative to enable American shipbuilding to be more competitive globally." As the U.S. 
159

Government's commercial shipbuilding advocate, the Maritime Administration is undertaking

the initiatives identified in the President's program. These are:

! Ensuring Fair International Competition

! Improving Competitiveness

! Eliminating Unnecessary Government Regulation

! Financing Ship Sales through Title XI Loan Guarantees

! Assisting International Marketing

An important milestone for FY 1998 will be to continue the implementation of these National

goals. The full implementation of the mission of the Maritime Administration's National

Maritime Resource and Education Center will provide the industry with: a coordinated

administration of MARAD MARITECH funded projects designed to improve shipbuilding

processes and the development of new and improved ship designs; support for U.S. efforts at

reaching consensus on domestic and international standards and regulations affecting the

competitiveness of the U.S. maritime industry; access to comprehensive Marine Standards and

International Standards Organization (ISO) 9000 and 14000 information; and MARAD

sponsored topical seminars, training and other resource support as requested by the industry.

Given sufficient funding, another element for consideration is the Ship Structure Cooperative

Research Program. The goals of this cooperative research program are to investigate ship

structural problems, pursue new technology, and develop structural design, analysis and

fabrication techniques in areas of common interest. The research is defined and directed by

the Ship Structure Committee with assistance from the Committee on Marine Structures,

Marine Board of the National Research Council. The Ship Structure Committee is jointly

funded by participating agencies, which include the Maritime Administration, the U.S. Coast

Guard, the Military Sealift Command, the U.S. Navy, the American Bureau of Shipping,

Transport Canada, and the Canadian Defense Research Establishment. MARAD is unable to

contribute funds in 1997, but has been allowed to continue to participate in the Cooperative's

program decision making process.

Key milestones for the Ship Structure Cooperative Research Program include: the completion

of research on hull monitoring systems, visual detection of structural defects, weld repair

adequacy, corrosion control during fabrication and improved fatigue life of weld details; and

the awarding of contracts for new research in the Ship Structures Cooperative Research

Program as chosen by U.S./Canadian government participants.
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New Bus Vehicles and Infrastructure (FTA) FY 1997 1998 1999

Funding 6,500 11,000 NA

FTE NA NA NA

This FTA program aims to improve the safety, service, and cost-efficiency of public

transportation through research and adoption of new technology, management practices. The

program also emphasizes the introduction and safe use of alternative fuel buses. The program

will develop and demonstrate new vehicles and vehicle technologies that significantly lower

operating and maintenance costs and improve air quality, and will foster the commercialization

of these new technologies. FY 1998 program activities include the following:

! Complete prototype construction and field testing of the Advanced Technology Transit Bus

(ATTB), initiate work on development and deployment of advanced technology subsystems

for transit buses, and provide engineering support for the new bus model testing program

in Altoona. The ATTB utilizes light-weight materials, advanced structural design, and new

passenger information systems and electronics and consumes less fuel, thus lowering

operating costs. The ATTB will also meet clean air emission standards, and its no-steps,

low-floor design will provide improved access to persons with disabilities.

! The Demonstration of Universal Electric Subsystems (DUETS) program is developing and

testing an advanced alternatively fueled electric-hybrid drive system, advanced suspension

components, and advanced vehicle control networks for transit bus applications. The

resulting technologies will provide ultra-low emissions along with improved vehicle

handling and interfaces with intelligent transportation systems (ITS). FTA will encourage

further adaptation of electrical hybrid technologies developed by the DUETS program for

wide application in electric and hybrid electric vehicles for meeting Clean Air Act and

Americans With Disabilities Act requirements.

Advanced Bus Propulsion Systems (FTA) FY 1997 1998 1999

Funding 9,500 8,000 NA

FTE NA NA NA

This program's goals are fourfold: develop and demonstrate a low- and zero-emission

propulsion system for transit vehicles with lower operating and maintenance costs; foster

introduction and commercialization of low- and zero-emission transit vehicles; complement

efforts under the PNGV program for automobiles; and enhance the vitality, competitiveness, 
161

and responsiveness of U.S. industry in the fuel cell, electric, and hybrid-electric propulsion

market. Work includes:

! Completing the development of fuel cell propulsion systems for transit buses. Fuel cells

promise highly efficient and environmentally acceptable propulsion, with twice the

operating efficiency of a typical diesel engine, with negligible emissions, and none of the

range limitations of battery-powered buses. Both the phosphoric acid fuel cell and the

proton exchange membrane fuel cell technologies are being developed for bus propulsion

systems. This will include demonstrating a fuel cell on the ATTB. Partnering with FTA

in this multi-year program are the Defense Advanced Research Projects Agency (DARPA)

and the Department of Energy.

! Continued research into safe handling of fuel for fuel cells and for technical support to

augment the capabilities of the FTA staff to conduct engineering analysis and evaluation of

emerging bus propulsion technologies. FTA will continue to collaborate with DARPA, the

Department of Energy, the Environmental Protection Agency and the Department of

Interior (National Park Service) for near-term applications.

! Accelerated demonstration of more efficient hybrid-electric and all electric transit vehicle

technologies, which will become the next stage of improvement from diesel buses currently

in operation.

Related Departmental Activities

Servicewide Safety and Environmental Compliance (USCG)

To facilitate compliance with safety and environmental laws, USCG conducts a range of

research efforts in the areas of vessel safety, pollution prevention, aviation engineering

support, and vessel loss exposure and risk analysis. Current activities with the potential

applicability to other surface modes include: development and laboratory testing of a fuel cell

propulsion module to determine engineering, safety, and economic characteristics; and

development in conjunction with EPA of portable methods to measure ship air pollution;

assessment of current USCG cutter emissions.

Support for Interagency Ship Structure Committee (USCG)

As discussed above, the Ship Structure Committee (SSC) coordinates interagency efforts by

sponsoring research projects of mutual interest that apply advanced technology to the

maintenance, repair, and economical construction of ships. USCG support of these efforts

focuses on advanced composites, rupture resistant cargo ship designs, failure definition for

assessing structural reliability, and in-service nondestructive methods for assessing fatigue and

fracture properties of ship structures.
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CHAPTER 5

HUMAN-CENTERED TRANSPORTATION SYSTEMS

Acting as operators, crew members, or passengers, people are essential components of all

transportation systems. Their capabilities, decisions, and performance significantly affect the

transportation system's overall safety and efficiency. Likewise, there is no doubt that reducing

or mitigating human errors could improve safety: Approximately 60 to 80 percent of all

transportation accidents involve some form of human error.

Today, transportation is undergoing a revolution. We are developing, introducing, and

adopting many new technologies, largely based on advanced information and computer

systems, to assist transportation operators in making critical decisions. If properly employed,

these technologies can dramatically improve transportation safety, reliability, and productivity. 

However, these gains will in large part depend on properly incorporating the human as a

central element in the new systems.

As they are applied to transportation, advanced technologies often do not achieve their full

potential because of a failure to consider fully the human factors involved in technology use. 

If we are to realize significant improvements in safety and efficiency, it is imperative that we

design, employ, and operate new technologies from a "human-centered" perspective. Humancentered approaches recognize that technology can be only as good as the humans that operate

it. The success of human-centered technology comes from putting people first and recognizing

that the human contribution is a critical part of technology development and implementation.

The NSTC Committee on Transportation R&D has identified three components of humancentered technology:

! Human-centered interfaces — Focusing design, product, and systems development

to fully anticipate, take advantage of, and effectively use human capabilities.

! Human-centered operations — Focusing on ways to make operation of systems more

effective and safe through improvements in procedures, training, and selection.

! Human-centered systems integration — Focusing systems design, construction, and

implementation to include fully the human user in the assessment of safety, security,

environmental risk, comfort, efficiency, economics, and choice.

By contributing to safety and productivity, R&D in the area of human-centered technology

supports National goals for economic growth, competitiveness, and job creation. Because

human performance R&D often lacks private support, and because human performance is

crucial to the safety of the transportation system, Federal investment and leadership is
Funding for this program is included in the Motor Carrier Research program, discussed in Chapter 4. 15

164

required. The objective of Federal efforts supporting the development of human-centered

transportation systems is to ensure that needed data and methods are available to U.S.

industries that design and produce advanced transportation technologies. The following

surface transportation programs have human-centered concerns as their primary focus. Related

near-term programs are discussed in the next section.

Near-Term Efforts

Commercial Vehicle Operator Human Factors (FHWA)15

The objective of this program area of the FHWA Office of Motor Carriers (OMC) is to ensure

that commercial motor vehicle (CMV) drivers are physically qualified, have the knowledge

and skills necessary to operate safely, are appropriately licensed, and are alert and unimpaired

behind the wheel. The program embraces a broad range of topics, including CMV driver

medical qualifications, loss-of-alertness/fatigue, substance abuse, and driver training.

Research results may form the technical foundations for changes to DOT's Federal Motor

Carrier Safety Regulations, which primarily govern trucks and buses in interstate commerce. 

Accordingly, the topics for research are highly applied. The experimental designs provide

representative models of real-world motor carrier operations. Near-term research activities

include the following:

! Human Factors - New logistical realities such as just-in-time delivery and “zero”

inventories, tagging and tracking, and communications, require the commercial driver to

shoulder increased responsibilities for the efficient and timely movement of commodities. 

Consequently, human factors research has been, and will continue to be a top priority for

OMC’s research program.

! Technology - This includes research to develop and apply technology to monitoring driver

activities in-vehicle, promoting the safe operation and maintenance of CMV components

and systems, improving cargo securement, safe accommodation of multi-trailered

combination vehicles, and safe transportation of hazardous materials. 

! Information Analysis - The OMC Analytic Strategic Plan resulted in a number of

recommendations to increase the role of analysis in planning. Models are being developed

to measure the effectiveness of the OMC’s major safety programs, and data collection for

and testing of those models is currently underway.
165

! Regulatory Reform - The zero-base review of the Federal Motor Carrier Safety Regulations

(FMCSR) was designed to examine all facts of commercial motor vehicle safety as though

no regulations existed, through a comprehensive multiyear effort. The objectives are to

improve CV safety, eliminate unnecessary burdens, improve the enforceability of existing

regulations, make the regulations more understandable, and provide for the adoption of

performance-based guidelines.

! Service and Partnerships - This includes cooperative research activities that aid State and

local improvements to vehicle safety, inspection, and maintenance. The “no-zone”

initiative, an effort to publicize the need for safe vehicle operation around commercial

motor vehicles, is a current priority.

FY 1998 milestones will include:

! Dissemination of information about the impact of fatigue on drivers engaged in loading and

unloading of vehicles, driving in local/shorthaul operations, and using sleeper berths.

! Identification of diagnostics that can effectively warn commercial drivers of faulty systems

(e.g., brakes), verify vehicle emissions, determine the compliance status of the motor

carrier, and offer an assessment of the factors contributing to CMV accidents.

! Development of a multi-disciplinary crash investigation course.

Highway Safety Research (NHTSA) FY 1997 1998 1999

Funding 5,123 5,123 NA

FTE 17.15 18.15 NA

NHTSA's Highway Safety Research Program is designed to change the knowledge, attitudes,

and behavior of drivers, passengers, pedestrians, bicyclists, and others who share the road. 

Results of the program are directed at both roadway users and at organizations, such as law

enforcement agencies, the judiciary, and the senior citizen and health care communities, which

are in a position to influence roadway users. The program has eight major components, with

the largest effort aimed at reducing the effect of driver alcohol and drug use — clearly the

principal cause of driver performance failure and a high priority for NHTSA. Key initiatives

and ongoing research in each of the components include:

! Alcohol and Drugs — Determine the feasibility of expanded breath testing programs, assess

use of advanced communications technologies to detect suspended drivers, develop

prototype countermeasure programs for high-risk target groups, and improve police DWI

patrol procedures and methods for detecting alcohol- and drug-impaired drivers.
166

! Occupant Protection Use — Develop better data on the causes for low usage rates in youth,

rural residents, and minority groups. Develop strategies to improve levels of seat belt law

enforcement. Conduct a biennial National survey on occupant protection issues. 

Determine crash consequences of common forms of child safety seat misuse.

! Older Driver Research — Identify ranges of common impairments and determine methods

for measuring and modeling performance of drivers with various levels of impairment. 

Develop guidelines for police, licensing agencies, physicians and allied health

professionals, and friends and family members to assist older drivers in making appropriate

decisions about driving.

! Pedestrian and Bicycle Safety — Develop cost-effective countermeasures for states and

localities. Assess public attitudes and awareness of pedestrian and bicyclist safety

problems. Evaluate pedestrian safety zone approaches in reducing crashes involving older

pedestrians. Develop safety countermeasures for specific types of bicyclist/motor vehicle

crashes. Examine the involvement of various populations in alcohol-related pedestrian

crashes.

! Speed and Unsafe Driving — Complete 1) a crash investigation study to determine when,

where, and under what conditions speeding leads to crashes; and 2) a nationwide driver

survey on why drivers speed and engage in other unsafe driving behaviors, including the

conditions under which such behaviors occur. Develop enforcement strategies.

! Driver Education — Adapt curriculum materials to fit two-phased instruction coordinated

with states' provisional or graduated license systems. Develop support training modules,

including the use of parents and other adults in improving driving practice and decisionmaking skills and the use of electronic simulators to improve the teaching of safe driving.

! Driver Fatigue and Inattention — Collect and analyze information regarding the role of

fatigue and inattention in crashes. Develop and test technological, informational, and

educational countermeasures to reduce the incidence of these factors.

! Evaluation — Document and assess implementation processes and evaluate existing and

new countermeasure programs to determine their impact and suitability for widespread

adoption. Evaluate occupant protection demonstration grants, alcohol-impaired driving

countermeasures, the Safe Communities Program, and various other innovative state and

local programs.

! Emergency Medical Services (EMS) — Render technical assistance and support for the

development of organized systems of emergency medical care. Provide the technical

foundation and support to facilitate further research among the broad EMS community.
Included in funding for FRA Equipment, Operations, and Hazmat research ($5,545k in FY 1997). 16

Included in funding for FRA Equipment, Operations, and Hazmat research ($5,509k in FY 1998). 17

167

! Social Marketing — Identifying sub-groups of the population that are most in need of

intervention, devising approaches that will be effective with those sub-groups, and

choosing delivery mechanisms that will effectively reach them.

! Injury Control — Identify traffic injury patterns, design interventions to address the

identified causes, and field test the resulting programs to determine the extent to which

they reduce the number of injuries.

A major milestone for FY 1998 is to determine the crash risk for various blood-alcohol levels.

Human Factors Research (FRA) FY 1997 1998 1999

Funding 2,000 2,000 NA 16 17

FTE 2 2 NA

This FRA research program is designed to improve railroad industry safety and productivity

through an improved understanding of human performance, and through the development,

characterization, and demonstration of technologies and practices that fully support system

operators. Current activities include the completion of the evaluation of test designs for

dispatcher workload, stress, and fatigue; reporting on optimal acoustic warning system

research; and reporting on dispatcher training practices. A major FY 1998 milestone will be

the publication of advanced ergonomic design concepts for operator displays for new

generation locomotive cabs and dispatcher control centers.

Maritime Safety (MARAD) FY 1997 1998 1999

Funding 0 0 NA

FTE NA NA NA

MARAD's program focuses on a human-centered approach to the practical application of

behavioral science principles to implementation of people improvements in transportation

maritime systems. Improvements are necessary because of the high probability of human

error, the extreme competitiveness in international trade, the rapid introduction of automation

advances combined with great pressures for low manning levels, and the significant safety and

environmental impacts of maritime accidents. Research initiatives are accomplished largely 
168

through industry-government cooperatives involving industry leadership. Near term

cooperative research initiatives include:

! Human Factors Cooperative Research Program with the Federal and the six State Maritime

Academies. The program consists of shared research efforts to apply human factors

knowledge and advanced technologies to improve safety and performance of maritime

transportation. Projects benefiting the entire industry are identified and their execution

shared by the cooperative members. Projects range from developing a bibliographic data

base of maritime human factors resources for the World Wide Web to reforming the

education of cadets to include human factors elements such as bridge resource management

concepts to developing a consensus view of the maritime transportation system in the

twenty first century. 

! Vessel Piloting Cooperative Program with the American Pilots Association (APA) with its

more than 50 member associations. The program works through the APA Navigation and

Technology Committee and develops efforts that seek to apply advanced technologies to

provide practical improvements to the safety of piloting operations in U.S. waterways. 

Focus is on human factors aspects and ship-pilot interactions and the use of advanced

electronics and technology. 

One FY 1998 milestone for the Vessel Piloting Cooperative is to complete test and evaluation

of portable navigation technologies by pilot associations through the Piloting Cooperative and

report results to the industry through workshops or symposia.

Safety and Security (FTA) FY 1997 1998 1999

Funding 650 1,100 NA

FTE NA NA NA

The performance of transit operators is a key determinant of the personal safety of transit

passengers, and of the ability to deter security threats to transit passengers, vehicles, and

facilities. The goals of FTA's Safety and Security work are to improve personal security and

operational safety, to develop and demonstrate new and innovative security and safety

technologies, and to improve emergency management planning. These goals are accomplished

primarily through a program of technical assistance workshops, training, and regulatory

support. Ongoing research projects include the following:

! Regulatory Support — Provide assistance to grantees and states in implementing Federal

requirements for drug and alcohol testing of safety-sensitive employees and for state safety

oversight of fixed rail systems through the dissemination of training materials and technical

guidance.
169

! Industry Support — Provide training for approximately 6,000 students annually through the

Transportation Safety Institute on subjects that include system safety, accident prevention

and investigation, system security, emergency management, and alternative fuels handling. 

Collect, analyze, and publish safety and security data. Provide outreach to transit

authorities through a National clearinghouse and bulletin board on safety and security

matters.

! Security — Provide technical assistance to transit systems seeking to replace traditional

security strategies with more proactive, creative approaches. Conduct security audits to

support enhancement of transit security operations.

An important milestone for FY 1998 is to implement a process for auditing grantees’ drug and

alcohol testing programs.

Related Departmental Activities

Aviation Human Factors (FAA)

FAA human factors programs are responsive to the National Plan for Civil Aviation Human

Factors. This plan, jointly developed by the aviation industry, academia, NASA, DOD, and

the FAA, establishes a behavioral research agenda and strategies to enhance the safety and

efficiency of the aviation system. The FAA core research program includes:

! Human-Centered Automation — Establishment of human interface design principles and

criteria for automated and advanced systems.

! Selection and Training — Establishment of criteria and techniques for efficiently acquiring

and training aviation personnel.

! Human Performance Assessment — Establishment and utilization of measures to assess

individual, crew, and organizational human performance in aviation systems.

! Information Management and Display — Establishment of critical human performance

parameters required to effectively transfer information in the aviation system.

! Bioaeronautics — The bioengineering, biomedicine, and biochemistry associated with

performance and safety.

Marine Safety (USCG)

This Coast Guard program addresses a variety of issues concerning professional and

nonprofessional operators with a wide range of skills, from highly trained ship masters to
170

barge operators, fishing boat crew, and recreational boaters. Human factors data on operation

of oceangoing vessels is shared with the Maritime Administration. Near-term research

priorities include:

! Developing methods to improve crew alertness on towing vessels.

! Developing risk-based resource allocation methods.

! Improving the understanding of the causes of human error through data collection and

incident analysis.
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CHAPTER 6

INTERMODAL SYSTEMS ASSESSMENT, DESIGN, PLANNING, MANAGEMENT,

AND OPERATIONS

System assessment capabilities need to be applied across the wide range of activities and

externalities associated with the entire transportation enterprise; covering both the system as a

whole as well as its individual elements. This need is evident in the research, investment,

operational and policy decisions made by both public agencies and the private sector. In many

cases, the results of a single system assessment activity -- whether it be data and information

or analytical judgments -- can support a wide range of transportation decisions. In general,

however, it is possible to sort the application of transportation system assessment capabilities

in the Federal government into two broad categories: support for infrastructure planning,

design, management and operations; and support for public policy decision making.

Infrastructure Planning, Design, Management and Operations

Perhaps the most clear-cut role for system assessment lies in the planning and design of

transportation infrastructure construction and rehabilitation activities, and in managing existing

facilities. Without credible quantitative measures of current performance, the degree of need

for improvements in one area cannot be judged or compared to other uses of the same

resources. The multi-dimensional costs and benefits -- covering economic, safety,

environmental, energy, and mobility and access issues -- of alternative courses of actions,

including the decision to "do nothing", can only be known if the data, analytical tools,

performance measures, and other elements of system assessment are available. 

Similar issues arise in evaluating choices among operational strategies and practices. For

example, better understanding of flows on networks, and the underlying transportation needs

that shape them, can facilitate improved system management and operations and better

maintenance, fleet assignment, and vehicle replacement decisions. This is equally true for a

public sector transit agency or for a private sector airline or trucking company. Broad system

assessment knowledge is even more important in responding to complex topics such as

tradeoffs between demand management and increased capacity.

At present, widespread gaps exist in our capabilities in this area. Many of the models and data

available to address these issues often provide an inadequate foundation for satisfactory

resolution. And the current movement toward shifting many transportation infrastructure

responsibilities to Metropolitan Planning Organizations (MPOs) and other state and local

authorities creates the challenge of assuring that these organizations, which often possess

limited resources, have the tools and information necessary to make cost-effective long-term

decisions. Thus, there is a need for better infrastructure investment-related models that can be

applied by authorities without high level skills and that can cover such topics as life-cycle
172

costs; the incremental costs associated with attaining accessibility, environmental and other

social goals; and intermodal system optimization.

Public Policy Decision Making

Policy and other decision making, including decisions about transportation research and

development, require effective data collection and analysis. The absolute and relative values

of research in infrastructure materials, vehicle technologies, intelligent transportation systems,

and other topics can be judged only on the basis of substantive estimates and comparisons of

their impacts on the cost, quality and availability of transportation services and equipment. 

What would the impacts be of potential innovative transportation technologies, such as a

passenger car with 3 times current fuel efficiency? In the transport of hazardous materials,

where are the most serious risks for harm and what improvements will have the greatest

payoffs? How can new technologies be deployed to benefit transportation? Making the best

and most cost-effective transportation investment decisions requires a solid and robust

capability for assessment of existing and innovative transportation technologies and their

potential impacts. Many DOT programs have associated assessment efforts and BTS serves

DOT needs as a policy-neutral focal point for National transportation data.

While outside input is essential, the Federal government can and must take the lead. It is in

the best position to coordinate efforts by the transportation community to assess the

opportunities and challenges of the future. It can play a key role in developing the necessary

knowledge and tools, given the long time-frame associated with transportation investments, the

potentially broad impacts of regulatory and policy decisions, and the need for a broad

perspective in monitoring social, economic, demographic, and technological trends.

As is discussed in Chapter 6 of Section II, among the most important elements of system

assessment are performance measures, data, analytical tools, technology assessments, and

awareness of anticipated trends. These are discussed in greater detail in that portion of the

report. The Department's plans for R&D in these areas over the next 3 years is presented

below.

Near Term Efforts

Policy Research (FHWA) FY 1997 1998 1999

Funding 5,328 8,000 NA

FTE 6.0 8.0 NA

The objectives of FHWA's policy research program are to provide efficient and timely data

collection, management, and dissemination concerning highway transportation; to perform
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quantitative analysis of key economic, energy, and financing issues that must be addressed in

developing highway policy; and to develop systems and tools to analyze highway system

condition, performance, and efficiency.

Policy research is essential for the development of Federal highway policies that are responsive

to Federal interests in promoting interstate commerce and improving the competitiveness of

domestic products in international markets. Policy research addresses many of the short- and

long-term Federal highway policy issues raised in the Intermodal Surface Transportation

Efficiency Act of 1991 (ISTEA), and will provide analytical tools and data needed to analyze

highway program alternatives for the 21st century. Current research efforts include:

! Data Management and Dissemination - To support the needs and expectations of the

transportation program, including the NHS, FHWA partners with State and local data

collection agencies to address fuels and finances, system performance, traffic monitoring,

surveys and censuses, and data dissemination.

! Analysis of Economic, Energy, and Financing Issues - In order to address the

unprecedented interest in economic, environmental, energy, and financing issues affecting

the highway program, FHWA policy research supports analyses of long-term relationships

between highway and intermodal accessibility and the productivity of firms in various

industries; development of an improved understanding of the importance of highway

transportation to production processes in various industries; and improving analysis

methods to explicitly consider external costs and benefits associated with highway

investments.

! Productivity and Efficiency of Highway Investments - In order to appropriately weigh

investment alternatives, it is important to understand both direct and “external” benefits

and costs. The Highway Economic Requirements System (HERS), which supports the

biennial report to Congress on the conditions and performance of the Nation’s surface

transportation system, requires updating to provide greater accuracy under a wider range of

conditions and circumstances. Truck size and weight (TS&W) and highway cost allocation

research is also included in this area.

Major milestones for fiscal year 1998 will include: 

! A test of remote sensing for traffic monitoring will be conducted. Aerial imaging and

ground counts will be integrated into an estimate of total area wide travel.

! Guidance to States and MPOs based on evaluation of early innovative financing efforts. 

This research will summarize and evaluate experiences in implementing innovative

financing strategies in different situations as well as examine implementation of new

strategies that are being tested.
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! Evaluation of the implications of technological and other innovations affecting passenger

and freight transportation on future investment requirements. One specific element of this

analysis will be to more explicitly include intelligent transportation infrastructure

investment in estimating future investment requirements.

Highway Planning Research (FHWA) FY 1997 1998 1999

Funding 5,889 16,025 NA

FTE 4.0 6.0 NA

FHWA's highway planning research program is designed to develop cost effective methods for

State, regional and local governments to evaluate transportation investments and alternatives. 

Its further goals are to develop and disseminate improved metropolitan and statewide

transportation planning methods to enhance the understanding and analysis of land use,

intermodal transportation, congestion and environmental interrelationships and to implement

planning processes that meet legislative requirements. 

Current research priorities include:

! Travel Demand Models - This includes the development and dissemination of improved

methods for major investment studies and methods to assess alternative multimodal

investment proposals, including social and environmental costs. The Travel Model

Improvement Program (TMIP), which is conducted jointly with OST, FTA, EPA, and

DOE, is a major emphasis in this area. This effort includes the Transportation Analysis

and Simulation System (TRANSIMS) program, a major initiative to develop a new

generation of transportation models using a microsimulation approach. This is a multiyear

project performed by the Los Alamos National Laboratory.

! Congestion Management and Mobility Enhancement - The objective of this research is to

develop tools to support MPOs, State DOTs, and local governments in their transportation

analysis and investment decisions.

! Finance and Economic Analysis - Increased emphasis is being placed on utilizing

innovative ways of financing federal-aid highway projects. Financial analysis tools are

needed in order that these innovative financing mechanisms may be considered within the

financial segment of the transportation planning process.

! Training, Education, and Technical Assistance - A comprehensive planning research

program is being established to close the gap between state-of-the-art and state-of-thepractice in the next five to ten years. Background information and intermodal planning 
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procedures will be integrated with advanced technologies such as GPS, GIS, and

multimedia presentations to promote better multimodal planning.

! ITS Deployment Assessment System - A sketch planning tool is being developed to assist

planners in considering ITS alternatives in the course of their analysis of future needs. 

IDAS is being developed specifically to complement TRANSIMS.

! Alternative Data Collection, Analysis, and Use - Downsizing of government data collection

programs, and the formalized requirements for statewide intermodal planning necessitate a

major activity to provide data necessary for intermodal planning at all levels of

government. This activity will focus on innovative collection methods, effective analysis

and presentation techniques, and refinement of intermodal information systems.

! Sustainable Transportation: Land Use and Redevelopment Planning Tools, Cases, and

Pilots - This new initiative will address an array of issues, as broad as metropolitan areas

contribution to global climate change, and as specific as the benefits of restoring and

redeveloping contaminated areas for infill development. Over a multi-year period, FHWA

will develop analytical tools to support MPOs, State DOTs, and local governments in their

transportation analysis and economic development decisions from the standpoint of their

land use and environmental impacts. FHWA will help fund pilot projects to demonstrate

the effectiveness of these tools and to determine alternative strategies for fostering

sustainable transportation and development, including reinvestment in abandoned or

underutilized industrial and commercial areas in the urban core.

Major milestones in FY 1998 will include:

! Identification of freight, vehicle, and person forecasting procedures in use by the States.

! Case studies of State DOT and MPO application of methods for identifying and relieving

congestion.

! A report addressing how States and MPOs integrate multimodal transportation investments

and economic development analysis in transportation planning processes.

! Technology transfer on forecasting procedures for vehicles, persons, and freight.

! Demonstration of the application of advanced technology for intermodal data collection.

! Identification and assessment of effective methods of collaboration of planning efforts

traditionally conducted at different jurisdictional levels (e.g., State, metropolitan, county,

city, or town).
Funding through FHWA/ITS from ISTEA Section 6058. 18

Funding through FHWA. 19

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National Advanced Driving Simulator

(NHTSA/FHWA)

FY 1997 1998 1999

Funding 14,000 12,250 NA 18 19

FTE NA NA NA

In February 1996, the National Highway Traffic Safety Administration (NHTSA) announced

the award of a $34.1 million contract to TRW's Transportation System Division in Sunnyvale,

Calif., for the development, testing and installation of the National Advanced Driving

Simulator (NADS). This simulator will offer a major advance in helping researchers to

understand the human factors involved in traffic crashes, in order that their frequency can be

reduced.

The NADS will be the world's most technically sophisticated research driving simulator,

capable of providing test drivers with an experience that nearly duplicates real world driving. 

The facility will be located at the University of Iowa in Iowa City at the Oakdale Research

Park. The University of Iowa was selected for the NADS site based on the recommendations

of the National Science Foundation, which helped NHTSA to conduct a National competition

among major transportation research universities for the potential site for the NADS. The

construction of the simulator will be completed in 39 months and it will become operational in

spring 1999, under the NHTSA’s stewardship.

The University of Iowa has agreed to provide cost sharing to the NADS project in the amount

of $11.58 million. This will include the design and construction of a $5.7 million building,

which will be a facility dedicated to housing the simulator operation.

The NADS will primarily be used to conduct fundamental research in traffic safety, integrated

vehicle safety systems, and advanced vehicle design. The NADS could also be used for

human factors research, since it will be able to put drivers in realistic problem situations such

as the sudden appearance of a child in the road, a skid on glare ice or an oncoming vehicle

driving over the centerline. Imminent crashes can be simulated without the unwanted and

unsafe consequences of crashes on the highway. The study of driver reactions can lead to

potential improvements in vehicles, highway and vehicle design, and advanced safety systems.
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Current NADS priorities are to:

! Complete the detailed design and design review of all subsystems.

! Initiate fabrication, installation, and test of the facility.

An important milestone for FY 1998 will be to complete facility building construction.

Fatal Analysis Reporting System (NHTSA) FY 1997 1998 1999

Funding 5,242 5,242 NA

FTE 6.40 6.41 NA

The FARS annually compiles detailed information regarding the drivers, occupants, vehicles

and environmental conditions associated with all fatal motor vehicle crashes occurring in all 50

states, the District of Columbia, and Puerto Rico. Maintenance of this data base is based on

52 cooperative agreements between DOT and the governments of these jurisdictions, which

cover the collection and coding of data on fatal motor vehicle incidents. Among the data

categories included in FARS are: demographic data and alcohol levels of fatalities, use of

safety belts and child restraint devices, types of vehicles and their crash-related movement

("first harmful event"), types of road and roadway surface conditions, time of day, light and

atmospheric conditions, and emergency medical services response times.

FARS is a key database for the study of fatal crashes and their causes, as well as the

development and implementation of possible measures to ameliorate the number of such

incidents and their severity. Users include researchers, analysts and policy makers from

Federal, state and local government, universities and other research organizations, private

interest groups and the transportation industry. A key fiscal year 1998 milestone will be the

completion of the first year of a second five-year cooperative agreement with the 50 states,

Washington D.C., and Puerto Rico.

National Automotive Sampling System (NHTSA) FY 1997 1998 1999

Funding 9,658 9,658 NA

FTE 10.67 10.68 NA

The NASS is an extensive, nationwide data collection system managed by NHTSA's National

Center for Statistics and Analysis, which compiles information on both fatal and nonfatal

motor vehicle crashes. The NASS has two components: the General Estimating System

(GES) and the Crashworthiness Data System (CDS). In the GES, data collectors regularly
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visit several hundred law enforcement agencies and select a random sample of approximately

52,000 Police Accident Reports (PARs) from among the more than 6 million such reports filed

annually in the United States. The CDS contains crashworthiness-related data from detailed

investigations of approximately 5,500 passenger vehicle crashes annually.

Information from these samples is entered into the NASS databases and is made available to

Government agencies, researchers, transportation businesses, insurance companies, and the

general public. These NASS resources are used extensively to identify and analyze trends in

motor vehicle crashes, to discern highway safety problem areas, to support highway safety

rulemaking and research (such as ITS), and to form the basis for cost and benefit analyses of

potential highway safety initiatives. A major milestone for fiscal year 1998 will be the

collection and coding of NASS data in 26 states.

Data Analysis Program (NHTSA) FY 1997 1998 1999

Funding 1,635 1,935 NA

FTE 13.88 12.82 NA

The NHTSA Data Analysis Program supports the agency's achievement of its Government

Performance and Results Act of 1993 (GPRA) performance goals by providing sampling,

statistical design, and quality control support to NHTSA's major data collection systems,

including the FARS, CDS, and GES. These services are provided to both internal (NHTSA)

and external (other Federal agencies, nongovernmental) customers of these important highway

safety data systems. This program also produces regular statistical reports on highway safety

and motor vehicle crashes.

Among the uses of the data made available through this program are evaluations of the

effectiveness of NHTSA's crashworthiness, crash avoidance, and traffic safety efforts, as well

as relating human, vehicle, roadway, and environmental factors to the frequency of crashes

and injuries. A key milestone for fiscal year 1998 will be the identification of injury

mechanisms and associated outcomes in motor vehicle crashes.

State Data Program (NHTSA) FY 1997 1998 1999

Funding 3,041 3,041 NA

FTE 9.61 9.61 NA

In addition to NHTSA, individual states also manage highway safety databases, compile

statistics, and prepare reports on highway safety and crashes. NHTSA's State Data Program is

the major interface between the agency and these state level data systems. The Program
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obtains highway safety data files for NHTSA from 17 different states, assists states in making

improvements to state data collection efforts and data systems, and promotes the development

of linked databases that combine information from motor vehicle crashes and the medical

outcome of treatment for crash victims. This latter function is particularly important to

meeting NHTSA's health care initiatives.

Among the program's near-term goals are promoting the increased use of linked crash and

medical outcome databases by states. The results of this effort can be then used by the states

to develop and evaluate initiatives to prevent injuries from traffic crashes and enhance health

care for crash victims. Major milestones for the 1998 fiscal year will be obtaining,

documenting, and making available for use the data files from 17 states and awarding

cooperative agreements to up to two additional states to link and use their crash and medical

outcome databases.

Occupant Protection Survey (NHTSA) FY 1997 1998 1999

Funding 300 300 NA

FTE 1.00 1.00 NA

The goal of the Occupant Protection Survey program is to support NHTSA's efforts to

promote the increased use of safety belts, child safety restraints, and motorcycle helmets by

the general public. This was accomplished by a second National Occupant Restraint Use

Survey, which was conducted in FY 1997. Periodic surveys of safety belt and child safety seat

use and misuse are critical needs of our safety belt use program. A major milestone for fiscal

year 1998 will be the analysis and publication of results comparing the FY 1994/1995 and the

FY 1996/1997 National Occupant Protection Use Surveys.

Special Crash Investigations (NHTSA) FY 1997 1998 1999

Funding 331 1,031 NA

FTE 1.07 1.07 NA

NHTSA's major data activities -- such as FARS, NASS, and the Data Analysis Program --

cover the vast majority of highway safety and vehicle crash circumstances. However, there

are specific safety-related topics which require a more focused and detailed approach. The

Special Crash Investigations program tackles these problems. It is the agency's primary

resource for studying the safety issues associated with new technologies, such as air bags and

alternative fuels, as well as potential motor vehicle safety defects. In pursuit of this goal, the

program conducts approximately 50 detailed crash investigations annually covering such

diverse issues as school bus crashworthiness and fatalities, potential vehicle safety defects, the
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performance of automatic restraint systems, and electric vehicles. A major milestone in fiscal

year 1998 will be the creation of an electronic file of all special crash investigations.

Technology Transfer Programs (NHTSA) FY 1997 1998 1999

Funding 40 40 NA

FTE 1 1 NA

The goal for this program is to provide more timely information about NHTSA's safety

research and development results, contracts, and reports to the interested motor vehicle and

traffic safety community by periodically publishing and distributing a technical journal, Auto

& Traffic Safety. It contributes to the larger goal of a healthy, educated citizenry. The major

fiscal year 1998 milestone will be the production of two additional issues of this journal.

National Security (MARAD) FY 1997 1998 1999

Funding 0 0 NA

FTE NA NA NA

The fifth goal of the MARAD Strategic Plan is to "provide sealift for National security and the

National defense." The American maritime industry is a vital component of our Nation's

defense, both in providing strategic sealift and in supporting the shipbuilding and repair

industrial base. MARAD is a partner with the industry and the Department of Defense

(especially the U.S. Transportation Command) in ensuring that this goal is met. New R&D

initiatives in this area for fiscal year 1998 include:

! Initiation of projects to assist in the administration of the Maritime Security Program

(MSP) and related functions to ensure the availability of a modern, efficient merchant

marine to support National security objectives.

! Initiation of analysis of various sealift planning strategies under different mobilization

scenarios taking into account factors such as manning requirements and availability,

increased use of containerization and other commercially adaptable cargo handling

practices by the military, geographic effects on trade, multiple theatre conflicts, and

varying lift requirement levels.
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Transit Services and Management Innovation

(FTA)

FY 1997 1998 1999

Funding 1,500 700 NA

FTE NA NA NA

The goals of the Transit Services and Management Innovation Program are to enhance transit

services to improve the quality of life for all Americans through research, demonstrations,

technical assistance, and evaluation of innovative transportation methods and services that

enhance mobility, access, transit operations and management, and intermodal services. This

includes deployment of innovations in fare policies, structures and fare collection methods and

techniques such as bus route evaluation standards, customer satisfaction index, passenger

transfer policies and application of GIS databases. The request also involves project case

studies, formal project evaluations, and technical information dissemination to facilitate

technology transfer and encourage widespread adoption of successfully demonstrated service

and management innovations, including updating current technical information for the FTA

Internet Home Page, publishing and distributing technical reports and abstracts, and

conducting workshops and seminars.

Rural and Specialized Transportation (FTA) FY 1997 1998 1999

Funding 2,500 2,500 NA

FTE NA NA NA

Through the Rural and Specialized Transportation Program, FTA will bring together the

Administration's various rural and specialized research and technical assistance efforts in order

to provide adequate assistance to develop innovative and creative solutions to many problems

that impact the rural and specialized transportation industry. Major current activities include

the following:

! Service experimentation, technical assistance, and governmental resource coordination, as

well as advanced technologies in customer information, dispatching systems, and automatic

fare collection. Special emphasis will be placed on service innovations for citizens

impacted by welfare reform and residents of rural areas.

! Formulating vehicle maintenance research for specialized accessible equipment as it

impacts the Americans with Disabilities Act.

! Developing research and technical assistance for the development of universal securement

systems for rural and specialized transit systems.
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Major FY 1998 milestones will include:

! Technical assistance to enhance mobility for the disabled, and low income transportation

passengers in rural areas.

! Innovative transportation strategies for services provided by the Departments of Health and

Human Services, Education, Agriculture, and Labor.

! Team Transit demonstration project in Minneapolis, technical support for the autonomous

dial-a-ride transit system under development in Corpus Christi, Texas and the Independent

Transportation Network (ITN) demonstration for elderly transit customers in Maine.

Metropolitan/Rural Policy Development (FTA) FY 1997 1998 1999

Funding 300 1,000 NA

FTE NA NA NA

The goals of FTA's Metropolitan/Rural Policy Development research are to develop better

estimates of transit's condition, performance and long-term investment needs; identify and

evaluate the benefits of transit; conduct research into the relationships between transit and land

use planning; provide technical assistance to encourage the use of and develop new innovative

financing techniques; support the State Infrastructure Bank pilot program; and conduct

outreach on transit's contribution to the future of cities and neighborhoods. This includes the

refinement of national data on transit's role and performance in serving needs of passengers

and communities, including transit's role in providing basic mobility, relieving traffic

congestion, and contributing to community vitality.

Transportation Planning and Project

Development Research (FTA)

FY 1997 1998 1999

Funding 700 1,200 NA

FTE NA NA NA

FTA funds research in support of the metropolitan and statewide transportation planning and

project development process. Activities carried out under the Planning and Project

Development program ultimately assist state and local transportation planners in implementing

the multimodal planning requirements contained in ISTEA. The major objective of these

activities is to develop a better understanding of social, environmental, and economic

phenomena related to transportation investments in order to develop and encourage the use of

better evaluative tools and processes for transportation planning and priority setting.
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Human Resources (FTA) FY 1997 1998 1999

Funding 150 500 NA

FTE NA NA NA

FTA's activities related to Human Resources are intended to encourage increased minority and

female employment in the transit industry and methods and techniques to train and maintain

qualified transit operations personnel, including: providing training for grantees to enable

them to successfully implement their diversity programs; providing courses in minority high

schools and colleges/universities to prepare students for careers in transit; and developing

methods and techniques to train unemployed persons and underemployed employees for

entry-level employment and higher-level employment. These resources will bolster efforts to

promote careers in transit to assure a pipeline of qualified educated persons entering the transit

industry. The request will also provide support for meeting Federal requirements, including: 

conducting an outreach program for disadvantaged businesses to advise them of special

initiatives that offer significant contracting opportunities; conducting training for ADA

compliance reviews and complaint investigations to ensure full compliance; and incorporating

environmental justice requirements, which safeguard minority communities against adverse

environmental and safety impacts, into on-going civil rights compliance reviews.

National Transit Institute (FTA) FY 1997 1998 1999

Funding 3,000 3,000 NA

FTE NA NA NA

The NTI, located at and managed by Rutgers University, assists the transit industry in the

training and development of its workforce by developing and conducting training in support of

the transit industry, mostly in the field. The NTI plays a key role in FTA's efforts to build

professional capacity in the transit industry, particularly as it relates to the introduction and

deployment of new technology and related support systems. FTA, the NTI and the transit

industry have formed a partnership around the need to train and develop transit professionals at

a time when resources are shrinking and demands for greater efficiencies in performance and

productivity are rising. 

Curriculum has been developed to train transit operators in how to implement and meet

Federal regulations, standards and policy initiatives, such as the ADA and Clean Air Act

Amendments. In addition, courses are available that provide hands-on experience in new

technological methods and techniques. Subjects such as geographic information systems (GIS)

and automatic vehicle monitoring are just a small sample of offerings underway. NTI will

continue to promote best practices in training and make available subject matter experts at

conferences and workshops.
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Rural Transit Assistance Program (FTA) FY 1997 1998 1999

Funding 4,500 4,964 NA

FTE NA NA NA

The Rural Transit Assistance Program (RTAP) provides training and technical assistance for

rural public transportation operators, improves professionalism and safety of rural transit

services, and supports coordination with human service transportation providers. Major

activities include training for drivers, mechanics, and rural public transportation managers;

support for implementation of drug and alcohol testing requirements; and technical assistance

needed by rural transit and human service transportation providers. Major fiscal year 1998

milestones will include

! Provision of training and technical assistance to rural transit operators in each state.

! Increased use of information and communications technology to support transfer of best

practices.

Research and Technology (RSPA) FY 1997 1998 1999

Funding 6,580 5,296 NA

FTE NA NA NA

The goal of RSPA’s Research and Technology (R&T) program is to provide departmental

leadership for national transportation research by advancing U.S. transportation technology

and the U.S. transportation enterprise; by providing the Department with the technical and

analytical base to ensure that R&D planning decisions are technically and strategically sound;

and to apply technological advances to improve U.S. transportation system mobility, safety,

security, and efficiency.

Current RSPA R&T activities include:

! Completing a Government-wide Transportation Science and Technology document.

! Holding 3-5 national roundtables on R&D strategies and performance measures.

! Conducting strategic planning for transportation research, culminating in the annual

development of the Department's Surface Transportation Research and Development Plan.
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! Conducting analysis and developing working papers supporting the Department’s

participation in the interagency National Science and Technology Council (NSTC) and

DOT’s internal R&T Coordinating Council and Steering Committee.

! Conducting a program-level evaluation of the effectiveness of the University Research

Institutes (URI) program.

! Investigation of the potential for robotics for maintaining transportation structures, and of

the potential for application of biomechanical and nanotechnology systems in

transportation.

Key FY 1998 milestones will include:

! Second editions of departmental Transportation Technology and Intermodal/Multimodal

strategic research plans.

! An operational departmentwide R&D project tracking system.

! An expanded National Agenda for Human Factors Related Transportation Safety Research.

Related Departmental Activities

Transportation Policy and Planning Research (OST)

The OST Policy office conducts research activities and studies concerned with planning,

analysis, and information development needed to support the Secretary’s responsibilities in the

formulation of national transportation policies. These responsibilities include: developing and

coordinating environmental, energy, and safety policy; developing and implementing

transportation economic policy; formulating and providing overall transportation

radionavigation and positioning policy; and developing and coordinating aviation and

international policy. Specific near-term research efforts in these areas include: 

! Developing recommendations for improving transportation in a maturing society.

! Determining the feasibility and cost of applying the ADA to the marine passenger vessel

fleet and related shoreside facilities.
186

! Providing overall management for the Travel Model Improvement Program (TMIP) and

coordinating the various projects funded by the sponsoring agencies (FHWA, FTA, EPA,

DOE, and OST).

! Synthesizing the best analyses performed to date on U.S. economic and trade trends and

assessing their implications for future freight transportation requirements and federal

programs and research priorities.

! Preparing the next edition of the Federal Radionavigation Plan (FRP).

! Strategic planning for long-term satellite navigation technology.

! Providing technical support to the Positioning/Navigation Executive Committee and

Working Group.

! Interaction with civil users of GPS and other federally-provided radionavigation systems.

! Continuing analysis of the effects in the U.S. and Mexico of the removal of legal barriers

to truck and bus operations in each country.

Bureau of Transportation Statistics (BTS)

BTS was created by the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA),

partly in response to the perception that the data available to support transportation policy

making and decisions were not sufficient for that purpose. BTS fulfills several important

functions:

! Compiling, analyzing, and publishing a comprehensive series of transportation-related

statistics.

! Coordinating data collection across the Federal government and identifying both short-term

and long-term data collection needs.

! Issuing guidelines for the accurate and reliable collection of the information.

! Making the data readily accessible.

The mission of BTS is the establishment and maintenance of a comprehensive information

infrastructure for transportation statistics and analysis from the perspective of users and

markets, rather than specific transportation modes. Key customers are national, state, and

local governments; transportation-related associations and the broader transportation

community; private business and industry; and consumers. The goal of BTS is to provide

transportation-related information to decision makers to enable them to make good decisions in
187

a timely manner, and with the right data. These decisions focus most importantly on

transportation infrastructure investment, policies and planning, as well as on economic policy,

safety, national defense, and national welfare.

BTS is committed to providing quality customer service and actively reaching out to and

supporting the Department, the transportation community, and the public. BTS is responding

to this challenge with the following efforts:

! First, the Bureau produces and distributes several data compilations, including the National

Transportation Statistics and the 1990 Census Transportation Planning Package (CTPP)

data tabulations in statewide and urban packages.

! Second, the Bureau is actively engaged in three major multimodal surveys on domestic

freight movements, passenger movements, and transborder freight flows.

! Third, the Bureau prepares a number of analytical studies to address and help facilitate the

national dialog about important issues such as the contribution of transportation

infrastructure to economic growth, international competitiveness, and environmental

quality. The centerpiece is BTS’s Transportation Statistics Annual Report, which

summarizes the state of the U.S. transportation system, the quality of the available

statistics, and planned efforts to improve these statistics.

! Fourth, the Bureau has established a Geographic Information System (GIS) Center to

provide data integration, display service, and analysis. 

! Fifth, the Bureau provides public access to data and reports through a wide spectrum of

channels and is developing new technologies to provide electronic library and archival

services. Services include Internet, a toll-free statistical information hotline, and fax-ondemand.

Near-term BTS goals include the following:

! Integrating data on transportation from a variety of surveys (including Commodity Flow,

American Travel, Rail Waybill, Waterborne Commerce, Air Passenger, and Domestic

Transportation of Foreign Trade Surveys).

! Developing national performance measures and supporting interpretive material to answer

the basic questions: is the system getting better or worse and what do we mean by better

or worse. Particular emphasis will be placed on measures that capture the shipper and

traveler perspectives.

! Improving tools for unburdensome data collection, data analysis, and information

dissemination.
188

! Developing, with the Bureau of Economic Analysis, a Transportation Satellite Account. 

A major milestone in fiscal year 1998 will be publication of results from the first American

Travel Survey and data collection for the second Commodity Flow Survey.

BTS Interaction with Other Groups

BTS participates in many Departmental and Federal activities. As discussed above, BTS

provides information, analytical tools, and other services central to the National Transportation

System initiative. BTS is a major partner with other DOT Operating Administrations in the

development of new monitoring and forecasting methods for several key aspects of the Travel

Model Improvement Program (TMIP). For the Administration’s PNGV initiative, BTS is

leading DOT’s efforts examining infrastructure issues. As DOT’s lead agency on the Federal

Geographic Data Committee, BTS sponsors projects that directly support the National Spatial

Data Infrastructure.

Long-Term Outlook

An effective system assessment capability is essential to assuring that the goals of

sustainability, economic vitality and personal mobility and access are fully incorporated into

the transportation decision and policy making processes. Expanding research and development

efforts in system assessment can help in attaining these goals. For example: 

Recent technological advances in fields such as electronics, communications and information

systems have magnified the potential benefits of data and information to the transportation

community. Electronic Data Interchange (EDI) offers the possibility of real time data

collection; computing power and new applications such as spreadsheets and Geographic

Information Systems (GIS) enhance the ability to convert that data into valuable information;

and the rapidly expanding information infrastructure will completely redefine the nature of

making that information accessible.

Further support for the development of programs based on advanced computer and modeling

and simulation techniques will enhance BTS’s ability to address national transportation-related

technical and policy issues.

Effective cost-benefit analyses require as complete and accurate a collection of actual costs and

benefits as can be assembled. Currently, data on many of these are either missing or only

partially available, especially in such areas as economic benefits and the environmental and

human health costs of various transportation activities. Cost-benefit analyses are increasingly

important as we face ever decreasing options for expanding capacity through infrastructure

investment and transportation demand management strategies.
189

Research is just beginning on the behavioral responses of transportation users and providers to

various transportation policy initiatives. This research is vital because future gains in

throughput will likely rely more on economic incentives and other management strategies and

less on adding physically to the transportation network.

Our current transportation system is the product of many elements -- including transportationrelated institutions, organizations, incentives, policies, and others -- that are continually

interacting with each other. There is a need to increase our understanding of this “nonmaterial infrastructure” so stakeholders can interact with each other more effectively in

planning and operations.
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CHAPTER 7

DOT INVESTMENT IN UNIVERSITY RESEARCH, EDUCATION, 

AND COOPERATIVE INITIATIVES

Transportation efficiency and National productivity are inextricably linked. The capacity of

the transportation system to enable the Nation to respond to international economic challenges

is an increasingly critical factor in transportation research, development, and education.

America's future prosperity depends on new ideas and the people who will develop and apply

those ideas to ensure the safe and efficient movement of people and goods. In its role as

steward of the transportation enterprise, the DOT invests in the ideas and the education of the

people who will contribute to the transportation system of the future.

The transportation enterprise is undergoing great change. Technological advance, new trends

and approaches to logistics, and institutional change are transforming how the public and

private sectors operate.

Technological Advance

The development of new applications and the conversion of defense-related technologies to

transportation uses will demand new knowledge, approaches, and education. The application

of new information technologies, that are the basis of intelligent transportation systems, 

promise improved safety and mobility. The successful deployment of ITS requires that

transportation research now include investigations of how modern communications, computer

and sensor technologies may be integrated into surface transportation. 

Innovations in other technologies promise to improve the transportation system. New

materials could greatly increase the durability and longevity of infrastructure. Next generation

propulsion systems and alternative fuels could revolutionize all modes of transportation. New

analytical methods and modeling techniques may improve our understanding and operation of

the transportation system. However, if successfully deployed, these technologies and methods

will require an educated work force to understand how such technological advances can be

successfully integrated into the transportation system and a trained work force to operate and

maintain these new systems.

Trends in Transportation Operations and Logistics

Transportation companies and shippers' logistics departments have had to accommodate

profound changes in their operating environment. These changes include increased

international competition, the technology-driven move to integrated logistics processes, 

intermodalism, and the increasingly global outlook of major customers. The demand for the

efficient, timely, and global movement of goods now dictates the application of technologies
192

that optimize the use of information and the entire transportation system as one. This

approach to goods movement requires that transportation professionals be trained in the use of

new information technologies and in the array of technologies available to respond to customer

demands on a global scale.

Institutional Change

In addition to advances in technology and business logistics, the transportation enterprise is

undergoing institutional change. Transportation policy makers, planners, and operating

departments at all levels of government are now increasingly sensitive to the implications of

transportation on the natural environment and communities. Resolving transportation issues is

no longer only the application of technology or the construction of a new facility--today’s

transportation professionals must understand the broader context of where transportation fits in

a societal, economic, political and institutional framework in order to develop, plan, deploy,

and operate effective transportation systems.

Strategic Co-Investment in Universities and Research Institutions

Since World War II, universities and collaborative research partnerships have been the

intellectual centerpiece of Federal policy for research, education, and innovation in all policy

areas. Federal research and development grants and contracts have been integral to new

discoveries, education of new researchers and the training of operators so to provide a steady

stream of ideas to improve the Nation's security, health, and industry. DOT invests

strategically in and partners with state and local governments, transit properties, universities,

and research and training institutions to ensure that the transportation system maintains an

adequate knowledge base and a pool of transportation professionals to operate a safe,

competitive, and sustainable transportation system.

DOT relies particularly on universities because of their unique resources, capacity and

qualifications in the area of knowledge-building, education and technology transfer, and their

ability to bridge all sectors of the transportation enterprise. 

The vast majority of scientists and researchers are located in institutions of higher learning.

The largest proportion of government, corporate, and other institutional investment in

research, development, and education is in universities. Compared to other cabinet

departments DOT invests far less in university-based research. However, DOT's policy is to

leverage its comparatively small investment by strategically co-investing with others, enabling

it to take full advantage of all the talent, resources, and knowledge being developed in

universities. The benefits to the transportation enterprise from this leveraged co-investment

strategy far exceed the likely gains of investing in any one corporation or specialized

laboratory.
The UTC Program funded through FHWA and FTA, and is classified as a System Assessment activity (see 20

discussion inSection III, Chapter 1).

$6,000k under FHWA budget, $6,000k under FTA budget. 21

$6,000k under FHWA budget, $6,000k under FTA budget. 22

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Transportation is increasingly a multi-disciplinary field. Advances, such as ITS, and

institutional changes resulting from ISTEA and the CAAA necessitate research and education

efforts in engineering, planning, and the social and behavioral sciences. The university

community offers a unique environment where each of these specialties may be brought to bear

on specific transportation issues and research problems. Moreover, the "business" of

universities is the creation of new knowledge and education. DOT views the capacity of

universities to assist the Department in education as integral to its mission of promoting

transportation and ensuring that there is a well trained work force available to the

transportation enterprise.

In addition to providing a mechanism for co-investment and education, universities are able to

provide a vital bridge to all transportation stakeholders. For example, universities conduct

considerable research on projects funded by the freight community and local governments. The

Department's work with universities thereby provides another means by which DOT learns of

specific issues that may impact transportation, but that are not yet a major focus of the Federal

Government.

Near Term Efforts

The near-term efforts in this area include the continued support and management of the

University Transportation Centers Program, University Research Institutes; National Highway

and Transit Institutes; Dwight David Eisenhower Transportation Fellowship Program; State

Planning and Research Program; and the Small Business Innovation Research Program.

University Transportation Centers Program20 FY 1997 1998 1999

Funding 12,000 12,000 NA 21 22

FTE NA NA NA

DOT's University Transportation Centers Program (UTCP) represents a major investment in

fostering transportation innovation and in developing human capital on a variety of

transportation issues in its nationwide network of universities. The UTCP was established in

1987 and is managed centrally, with funding provided by both highway and transit titles of

ISTEA. The Federal funds are matched by sources such as industry, the universities, and State

and local governments. Funded by FTA and FHWA and managed by RSPA, the program's
The URI program is classified as a System Assessment activity. 23

 President Clinton’s proposed National Economic Crossroads Transportation Efficiency Act (NEXTEA) would 24

consolidate and modify the University Research Institutes and the University Transportation Centers programs.

It would continue the ten regional university transportation centers. The current array of national centers and

institutes, each of which concentrates on a particular transportation issue specified in statute, would be

consolidated into a single system.

194

missions are to strengthen education, research, and technology transfer of transportation

knowledge and skills by addressing regional and National transportation needs. A minimum of

5 percent of each UTC's total funding is dedicated to technology transfer.

Ten university consortia were competitively selected in 1988, 1 in each of the 10 standard

Federal regions. In the current program, each center has a lead university and additional

participating universities. By the end of its fifth year, the program encompassed a total of 63

universities (including 7 minority institutions) and involved more than 1,400 students and

faculty. The ten regional centers were recompeted for the last three years of the authorization

(FY 95-97). Three additional National centers were established by DOT in 1992 as a result of

ISTEA. The new UTC's are: 1) the National Center for Transportation Management,

Research, and Development at Morgan State University in Baltimore, 2) the National Rural

Transportation Study Center at the University of Arkansas in Fayetteville, and 3) the Center

for Transportation and Industrial Productivity at New Jersey Institute of Technology in

Newark.

Education, research, and technology goals received strong affirmation as Congress extended

the program for six additional years. Evaluation of proposals and selection of programs for

future years are currently in progress.

University Research Institutes23, 24 FY 1997 1998 1999

Funding 6,250 6,000 NA

FTE NA NA NA

ISTEA also established the University Research Institutes (URI) program, which is also

managed centrally for the Department by RSPA but funded by FHWA. The intent of the

program is to provide centers of excellence in transportation research. The Institutes include

the following: 1) a National Surface Transportation Policy Studies Institute based at San Jose

State University; 2) an Infrastructure Technology Institute, based at Northwestern University;

3) an Urban Transit Institute, based at both North Carolina A&T University and the University

of South Florida as lead of a consortium of Florida universities; 4) an Institute for IVHS

Concepts, based at the University of Minnesota's Center for Transportation Studies, which is 
195

managed by FHWA in conjunction with other ITS Regional Centers of Excellence; and 5) an

Institute for Transportation Research and Education based at the University of North Carolina. 

Together the UTC's and URI's will help attract quality students toward careers in

transportation, and will facilitate communication between state DOT's and other transportation

organizations. In addition, they will provide effective technology transfer of research resulting

from efforts at the Centers and Institutes. 

The major fiscal year 1998 objectives are to continue to fund promising research efforts that

represent advances in surface transportation. Research projects are chosen after funds are

granted to the member institutions.

ITS Research Centers of Excellence

FHWA R&D has three competitively selected and one Congressionally mandated Research

Centers for Excellence (RCEs) established to provide ITS research solutions, promote ITS

technologies, and provide professional development to prepare ITS professionals to design,

build, and operate intelligent transportation systems. These are located at the University of

Michigan, Texas A&M, Virginia Polytechnic Institute and State University, and the University

of Minnesota. Recent major accomplishments of these institutions are wide-ranging, and

include:

! Research in Commercial Vehicle Operations involved the application of Automated

Vehicle Location (AVL) systems to snow and ice removal and the extension of AVL

systems to include dynamic route guidance for vehicles in a time-sensitive (e.g., JustIn-Time) delivery environment.

! One center developed and implemented in the field a first-generation real-time

multimodal traffic adaptive control system.

! One center has developed and demonstrated a Wide-Area Incident Management

Software System (WAIMSS) as well as point diversion modules, which is scheduled for

use in the new Suffolk, Virginia Traffic Management System (TMS) in 1997.

! Center researchers have developed and fabricated optical fiber-based sensors for vehicle

(i.e., cars and truck) classification, weigh-in-motion, and visibility condition

classification.

! RCE researchers have developed and tested sensor and communication technology,

including a wireless digital communication receiver, ultra-wide band communications, 
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and a passive acoustic sensor for vehicle detection, position location, and automated

control.

National Maritime Enhancement Institutes

In 1990, the Maritime Administration designated four universities as National Maritime

Enhancement Institutes in recognition of their ability to provide leadership in solving problems

confronting the maritime industry. The designation of Institutes was authorized under Public

Law 101-115 (authorizing appropriation for fiscal year 1990 for the Maritime Administration). 

The four Institutes are the University of California at Berkeley, the Louisiana State University,

the Massachusetts Institute of Technology, and Memphis State University.

The University of California was designated for technology research relating to the

maintenance and operation of shipping fleets including human factors issues. The Louisiana

State University chooses to be known as the Institute for Maritime Transportation Systems

Research. The Massachusetts Institute of Technology designation was made to the DOT

Region I University Transportation Center at MIT for the full range of activities authorized by

the legislation. The Memphis State University together with the University of Tennessee and

the University of Kentucky are known as the Inland Waterways Studies Institute. Each of the

Institutes is either part of a regional DOT University Transportation Center or is part of a

university consortium with multimodal, multidisciplinary research capabilities.

No funding is available for the administration of the National Maritime Enhancement

Institutes. The fiscal year 1998 objective for the Institutes is to provide a resource for the

implementation of the funded Maritime Administration research program.

National Cooperative Highway Research Program

The NCHRP is a unique applied research program designed to respond to the needs of the state

highway and transportation departments by solving important operation problems in highway

transportation. NCHRP resources are a combination of state voluntary contributions of 5.5

percent of their Federal apportionment of planning and research funds. The NCHRP is

administered by TRB under a three-party agreement between FHWA, National Academy of

Sciences (NAS) and AASHTO. Since its inception in 1962, the NCHRP has administered 789

research projects with total funding of more than $149 million. The NCHRP's close

association with AASHTO and its position within the National Research Council have enabled

the program to carry out many important research tasks resulting in practical products used by

state highway agencies and others.

Major activities planned for fiscal year 1998 include:

! Through AASHTO, solicit and administer research on behalf of the various State

departments of transportation to address commonly shared problems.
The TCRP is classified as a System Assessment activity. 25

197

! Support ongoing projects for state-of-the-practice reports, legal histories on topical

issues, IDEA topics, international information sharing, and concerns affecting the

administration of State departments of transportation.

! Prepare various guidance documents on multimodal transportation planning, geographic

information systems, traffic control devices for the aging driver, impacts of economic

trends on transportation, implementation of transportation control measures, and HOV

(high occupancy vehicle) systems.

! Develop models for determining carbon monoxide concentrations at intersections and

vehicle emissions.

! Make significant research contributions to the Highway Capacity Manual for the year

2000.

! Support the implementation of SHRP products, primarily SUPERPAVE, through

additional research.

! Develop a strategic plan for roadside safety research.

! Produce several training programs on construction activities.

! Support activities for implementing a new philosophy in bridge design.

! Produce a design catalog for pavement types.

Transit Cooperative Research Program (FTA)25 FY 1997 1998 1999

Funding 8,250 8,250 NA

FTE NA NA NA

The TCRP is an important component of the Federal Government's support of transit

innovation. Since it was authorized in 1961 by ISTEA, the TCRP has been producing a

continuing flow of research results of significant importance to the transit industry, which is

directly involved in identifying and prioritizing TCRP research projects. The TCRP

emphasizes developing near-term research solutions that address immediate, practical needs,

providing funds to solve contemporary problems and develop needed improvements in the

efficiency and safety of transit operations, customer service, assessment of transit's benefits 
The Eisenhower Transportation Fellowship Fund is classified as a Physical Infrastructure activity. 26

198

and economic impacts, marketing, maintenance, management practices, human resources

development, and planning techniques. 

The TCRP fosters increased cooperation among Federal, state, local and private sector

research organizations in the transportation field, improving communications and facilitating

technical information transfer. Participants include members of the transit community and

researchers throughout the Nation. The TCRP Oversight and Project Selection Committee

(TOPS), an independent governing board, develops a research and demonstration agenda for

TCRP that is responsive to the needs of the transit industry. The Transportation Research

Board administers the program, convening expert technical panels to define the scope of

projects, evaluate proposals and guide projects through completion. The American Public

Transit Association ensures that research results are widely disseminated to the transit industry.

The TCRP serves as an important, broad-based complement to FTA national R&D programs,

which must be more narrowly focused on a limited number of nationally significant

innovations. The TCRP fosters greater cooperation among transportation providers and

suppliers, State and local agencies and other key segments of the industry in conducting

problem-oriented research relevant and useful to the industry. TCRP meets the near-term

research needs of the transit industry by consolidating, focusing and strengthening research

directly responsive to the day-to-day operational problems of transit.

Dwight David Eisenhower Transportation

Fellowship Program (FHWA)26

FY 1997 1998 1999

Funding 2,000 2,000 NA

FTE 1.0 1.0 NA

The Dwight David Eisenhower Transportation Fellowship Program was authorized by ISTEA

in 1991. Its purposes are to attract the Nation's brightest minds to the field of transportation,

to enhance the careers of transportation professionals by encouraging them to seek advanced

degrees, and to retain top talent in the transportation community of the United States. The

program encompasses all areas of transportation and awards fellowships to students and faculty

members from colleges and universities across the United States.

The Eisenhower Transportation Fellowship Program awards five fellowships: Graduate

Fellowships, Grants for Research Fellowships, Historically Black College and Universities

(HBCU) Fellowships, Hispanic Serving Institutions (HSI) Fellowships, and Faculty

Fellowships. The Program has a Tribal Colleges Initiative whose purpose is to identify

transportation activities at tribal colleges in order to provide fellowships for Native American

students and faculty. The Program is administered by the National Highway Institute in the
The State Planning and Research Program is classified as a Physical Infrastructure activity. 27

As discussed in the text, this funding (and that for FY 1998) represents a 2.0% set-aside of State Federal-aid

28

highway apportionments.

199

Federal Highway Administration and provides a critical investment in advancing, improving,

and maintaining technical expertise in the transportation community.

In fiscal year 1998, the Program expects to award fellowships to over 120 students and faculty

members, including at least four fellowships to Native American students and faculty

members.

State Planning and Research (FHWA)27 FY 1997 1998 1999

Funding 80,367 80,367 NA 28

FTE NA NA NA

 Individual states and FHWA cooperate in the support of highway R&D through the State

Planning and Research (SP&R) Program. States receive 2.0 percent of their total Federal-aid

highway apportionment as SP&R funding to be used for conducting highway planning and

research activities. State highway agencies allocate the SP&R funds between planning and

research. In FY 1997, states will spend about $80 million of SP&R funds for research,

development, and technology transfer activities. States also have an option to pool their SP&R

and other available funds in nominal amounts to sponsor National and regional cooperative

studies of common interest and concern. 

Major activities for fiscal year 1998 include the completion of state research on quality

assurance in highway design, construction and maintenance, improving traffic control devices,

countermeasures to address bridge pier scour, and improving pavement drainage.

Small Business Innovation Research Program

The Small Business Innovation Development Act of 1982 (P.L. 97-219), reauthorizing

legislation (P.L. 99-443), and Small Business Research and Development Act (P.L. 102-564)

seek to encourage the initiative of the private sector and to use small and minority-owned

businesses as effectively as possible in meeting Federal R&D objectives. To comply with the

statutory obligations of the Act, DOT has established a SBIR Program which conforms to

guidelines and regulations provided by the Small Business Administration (SBA). Annually,

small businesses are solicited to submit proposals for innovative research that address highpriority requirements of the Department and have the potential for commercialization. The 
200

activity is funded by the DOT operating administrations, and by statute has to be a given a

percentage of the Department's extramural research budget.

The DOT SBIR Program is managed by the John A. Volpe National Transportation Systems

Center in Cambridge, Massachusetts. The Volpe Center develops integrated systems

approaches to critical transportation issues, particularly those that cut across multiple modes of

transportation. Its unique role as a multimodal center assures that it will direct the DOT SBIR

Program to stimulate technological innovation by inviting small businesses to submit research

proposals that address high priority research issues confronting transportation. In FY 1996,

SBIR awards were made in a number of surface transportation research areas, including:

Phase I Awards (6 Months) Phase II Awards (24 Months)

Energy Absorbing Utility Poles Transportation GIS Model

Material for Composite Bridges Vehicle Axle Detectors

Basalt Fiber Reinforced Concrete Fatigue Crack Detection

High-Speed Composite Flywheels Transit Decision Support System

Internet-Based Highway Capacity Software Advanced Traffic Enforcement Technology

Intermodal Operations Planning System Dynamic Intrusion Sensing System

The Department's SBIR Solicitation for FY 1997, available in hard copy or through the

internet, closed for receipt of proposals on May 1, 1997, but was available for access

electronically through the World Wide Web (WWW) site maintained by the Volpe Center

(http:\\www.volpe.dot.gov). Priority research topics for surface transportation include, but

are not limited to the following:

! Portable Microwave System for Measurement of Fatigue Cracks

! Incorporating Remotely Sensed Data in the Transportation Planning Process

! Portable Sensor for Accurate Speed Measurements

! Development of Breakaway Guy Wires for Utility Poles

! Vehicle-Based Animal Deterrent

! Pavement Ice Sensors

! Feasibility of Vehicle Borne Detection of Broken Rail

! Turnout Improvements for Enhanced Safety

! Inspection/Test Method for Finding/Sizing Crack Type Defects in Railroad 

Tank Cars Covered with Insulation or Thermal Jackets

! Improved Knuckle Coupler with Air and Electric Connections

! Safety Intrusion Detection Devices - Transit Applications

! Improved Maintenance Techniques Linked to Capital Development

! Transit Fare Collection Decision Models for Fare Policy and Cost Analysis

! Unobtrusive Eyelid Closure and Visual Point of Regard Measurement Device

! School Bus Interior Flame Retardant Materials

! Application of Advanced Technology to Reduce Driving While Suspended

! Automated Crash Scene Documentation
201

Consistent with NSTC recommendations for transportation-related strategic focus areas for the

SBIR, the Department is considering the following topics, among others, for its FY 1998 SBIR

Solicitation: composite-bonded aircraft structures inspection; systems assessment and modeling

of interface environments; crack detection in bridges using remote sensing; and concretecomposite material manufactured from recycled plastics. The final solicitation will be built

upon both these recommended research areas and the emergence of priorities in other areas.
Considered a Physical Infrastructure activity (see discussion in Section III, Chapter 1). 29

Considered a System Assessment activity. 30

Considered both a Vehicle- and Physical Infrastructure-related activity. 31

Considered a Human Behavior-related activity. 32

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CHAPTER 8

DOT R&D FACILITIES AND ADMINISTRATIVE SUPPORT FOR R&D

In order to carry out its responsibilities for the management of DOT-funded R&D, and the

actual implementation of a number of key activities, the Department devotes a portion of its

funding and personnel to administration of these resources. Near-term funding and FTE levels

devoted to R&D administration are as follows:

Operating Funding FTE

Administration

1997 1998 1999 1997 1998 1999

FHWA 10,026 10,327 NA NA NA NA 29

NHTSA 12,600 13,082 NA NA NA NA 30

FRA 2,181 2,283 NA 2 2 NA 31

MARAD 0 0 NA NA NA NA

FTA 2,223 2,270 NA NA NA NA 32

In addition, DOT maintains several actual facilities in which it conducts research supporting

Departmental missions. Near-term funding requirements associated with maintaining and

refurbishing these facilities are as follows:
Considered a Physical Infrastructure activity (see discussion in Section III, Chapter 1). 33

Considered a vehicle-related activity. 34

204

Fairbank Building Renovation (FHWA)33 FY 1997 1998 1999

Funding 500 2,000 NA

FTE 0.20 0.25 NA

The objective of this activity is to complete the renovation of the Fairbank Building, which

houses a number of laboratories, and office space for FHWA researchers. The first two stages

of renovation are now complete, including new rest rooms; elevator; heating; ventilation and

air conditioning equipment; as well as renovation of five laboratories (the bituminous

mixtures, concrete, corrosion, pavement binders, and photographic labs). The Stage 3

contract is underway. This stage will complete the renovations of all laboratories except for

the aerodynamics laboratory.

Work to be performed in FY 1998 includes completion of office space and corridor

renovations (including installation of a sprinkler system), renovation of the aerodynamics

laboratory, removal of asbestos, provision of handicap access at main entrance, and insulation

of exterior walls and attic.

Vehicle Research and Test Center (NHTSA)34 FY 1997 1998 1999

Funding 799 799 NA

FTE 0.2 0.5 NA

The Vehicle Research and Test Center (VRTC) is the in-house research, development, test and

evaluation laboratory for the National Highway Traffic Safety Administration (NHTSA). 

VRTC provides engineering analysis in support of NHTSA defect investigations and

rulemaking initiatives. Long term research programs in the areas of biomechanics, crash

avoidance and crash worthiness are also performed at VRTC.

VRTC is located on contractor owned property. The agency leases the building and work

areas. All expenses associated with maintenance of the facility are covered by the government

via VRTC administrative funds. These include: utilities (heat, sewage disposal, electricity,

phone equipment), lease of GSA vehicles, janitorial services, supplies, copier expenses, etc.

VRTC houses over $2 million worth of specialized test fixtures and equipment. A significant

amount of this equipment is ADP and electronics equipment. Calibration, maintenance,

replacement and upgrade of this equipment is required on a yearly basis.
Considered both a Vehicle- and Physical Infrastructure-related activity. 35

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Department approval has been granted for a space expansion at VRTC. In response to a

request for more space, the contractor has proposed relocating VRTC to a new building at the

same location. When this occurs, increased lease and maintenance costs would be expected, as

well as relocation costs. Negotiations regarding the design, cost and timing of the relocation

are ongoing and nearing completion. A move in FY98 is anticipated.

R&D Facilities (FRA)35 FY 1997 1998 1999

Funding 420 850 NA

FTE 1 1 NA

This program area is intended to protect the Government’s capital investment in facilities and

equipment at the Transportation Technology Center (TTC) in Pueblo, Colorado. A worldclass proving ground for railroad equipment, the government-owned TTC represents a facility

capital investment of over $200 million. While the facility is operated for FRA under a nocost contract with the Association of American Railroads (AAR), the AAR is only required to

provide routine maintenance for buildings and equipment. The R&D Facilities Program is

therefore essential for sustaining the viability of TTC's research capabilities by continuing to

replace or refurbish facilities or equipment that can no longer be economically maintained by

AAR. Current activities include environmental law compliance and R&D facilities restoration. 

Environmental Law Compliance includes completing construction of new wastewater treatment

facility. R&D Facilities Restoration includes:

! Completion of upgrade of Railroad Test Track to permit 150 mph testing of Amtrak’s

Northeast Corridor trainsets.

! Completing post-closure groundwater monitoring in wells at solid waste management

units.

! Upgrading electrical equipment in DC substations.

! Replacing servo-controllers on the Simuloader in the Rail Dynamics Laboratory.

! Installing heavier running rail on approximately two miles of 3rd-rail DC-powered test

track to allow testing of dual-mode locomotives.
206

New initiatives scheduled for FY 97 include:

! Rebuilding a trueing machine that enables railroad car steel wheels to be reprofiled

without dismounting from truck assembly;

! Installing heavier running rail on approximately 2 miles of 3rd-rail test track to enable

testing of dual-mode locomotives;

! Upgrading on-site ambulance support; and

! Re-roofing rectifier substation #2.

Ongoing projects include the complete restoration of all solid-waste management units.

Key FY 1998 milestones will include:

! Initiation of testing of Amtrak’s Northeast Corridor trainsets.

! Upgrading emergency vehicles used for ambulance and firefighting support services.

! Re-roofing three buildings used for secondary support facilities.
207

SECTION IV. CONTRACTING PROCEDURES

Section 6009(b)(3)(C) of ISTEA calls for:

Recommendations on changes needed to assure that Federal, State, and local

contracting procedures encourage the adoption of advanced technologies developed as

a consequence of the research programs in this Act.

Experience has shown that Government contracting procedures significantly impact the

adoption of advanced technologies. While it is understood that many traditional procedures

(e.g., low-bid contracting with performance specifications) are in place to reduce risk, protect

investments, and ensure accountability, at times such traditional procedures have the dual

effect of discouraging innovation and failing to support the overall purpose of reducing life

cycle costs through improved performance and durability.

As an example, current highway regulations facilitate separation of design from construction,

primarily to obtain as much competition as possible during the highest cost phase of

construction programs. This process also opens more opportunities to small and mid-sized

construction firms which may not have architectural and engineering capabilities. By adding

another party and step to the acquisition process, however, the procedures raise questions of

contract performance and product liability responsibilities whenever new or unusual designs or

construction technologies are attempted. Local government buyers tend to avoid

"unnecessary" risks until innovations are thoroughly tested and available on the open market.

In responding to ISTEA's call for contracting procedures that promote advanced technologies,

the Department is committed to determining which practices impede innovation and the

alternatives or incentives that are available to encourage the use of innovations. The October,

1994 Acquisitions, Reengineering, and Realignment Task Force (ARRTF) studied DOT’s

contracting and acquisitions procedures, and recommended ways to streamline the present

system.

A number of innovative recommendations have resulted from this process, many of which

have been implemented in recent months. The Department’s new Re-invention Laboratory is

one example of the outgrowth of these efforts. Modeled after other recently established reinvention laboratories within the Federal government, including NASA’s, the Lab was created

to increase flexibility and innovation in DOT’s acquisition processes by allowing freedom,

i.e., a waiver, from compliance with various administratively-imposed requirements. This is

done primarily through the Agency's implementation and interpretation of the statutes and

regulations. As an example, the regulations do not require proposals to be in written form, so

oral proposals are now often used. With the Re-invention Lab, DOT now also has a means for

experimenting with pilot programs for re-engineered processes. Among the issues the Reinvention Lab addresses include: establishing performance measurements and standards to
208

assess the success of pilot programs; assessing and managing the risks associated with

implementing changes such as greater delegation of authority and reduced file documentation;

re-engineering other processes and conducting pilot programs to determine potential benefits;

influencing the development of Federal regulation and new procurement legislation; and

addressing the multitude of cultural issues in the DOT procurement community.

In addition to these efforts, DOT has increasingly been making use of the flexibility offered by

the provisions of ISTEA. This has enabled the use of a number of innovative financing tools

including leveraging tools (e.g., flexible match; bonds and debt; ISTEA Section 1021 Loans;

ISTEA Section 1044 Toll Investment Credit) and cash flow tools (advance construction; partial

conversion of advance construction; phased funding; and tapering) and has promoted the

increasingly necessary trend of public/private partnerships.

This chapter discusses a number of these innovative new financing tools, programs, and task

force efforts along with an overview of current contracting practices and recent Federal actions

on procurement laws and regulations.

Overview of Current Contracting Practices

Since DOT does not own nor operate surface transportation systems, contracts for all but about

3 percent of federally assisted surface transportation programs will be placed and managed by

DOT grantees or subgrantees, such as State, county, and city governments, regional and

municipal authorities, special districts, and Amtrak. Of the contracts placed by DOT, the

largest dollar amount is for building and rehabilitating roads in National Parks and Forests. 

The remainder (only about 1 percent) of the Department's annual surface transportation funds

is used for DOT sponsorship of research, development, training, technical assistance, and

technology transfer. 

In the future, the number of grantees and subgrantees can be expected to increase. More

decision making responsibilities have been vested in State and local governments by flexible

funding provisions of ISTEA. Nationally, funding emphasis has shifted from completing the

Interstate System to maintaining and improving the National Highway System, including local

highways and access to intermodal facilities. Congestion mitigation, air quality, and regional

traffic management systems can be expected to lead to increased involvement of city and

county governments and regional agencies.

Through the Intelligent Transportation Systems (ITS) program authorized by ISTEA, the

Department has increased its emphasis on using advanced sensing, computing, and

communications technologies to improve the productivity of existing infrastructure. ITS

developments will undoubtedly lead to increases in the variety and quantity of local

procurements of hardware and software. This growing diversity of agencies and products 
209

underscores the need for a continuing effort by DOT to understand the effects of Government

contracting practices at all levels.

General Requirements for DOT Grantees

Procurement procedures for State and local governments under grants and cooperative

agreements that use Federal funds are set forth in title 49, Code of Federal Regulations (49

CFR, Part 18), "Uniform Administrative Requirements for Grants and Cooperative

Agreements to State and Local Governments" (the common grant management rule). The rule

applies to all grants and subgrants awarded by DOT. Issued in 1988, the rule called for a less

intrusive Federal role in grantee procurement activities. It responded to an Executive Order

directing Federal agencies not to substitute their judgment for that of the recipient unless the

matter is primarily a Federal concern, and that agencies, to the maximum extent feasible, defer

to the States to establish standards, rather than setting National standards.

The common grant management rule prohibits Federal agencies from imposing additional

administrative requirements, unless required by statute, and encourages grantees to avoid

detailed or burdensome application requirements for subgrants. A key provision is that States

are to follow the same policies and procedures they use for procurements using non-Federal

funds. However, the procurements must conform to applicable Federal law. Grantees and

subgrantees are to follow the provisions of Part 18 and use their own procedures reflecting

applicable State, local, and Federal laws. Procurement transactions are to be conducted in a

manner providing full and open competition. While this rule covers the majority of grantees,

the States are authorized to follow their own procedures used for procurements from nonFederal funds. Noncompetitive procurements are permitted only under exceptional

circumstances.

49 CFR Part 18 invokes Federal laws that apply to contracts awarded under any federally

financed program. Examples are: Equal Opportunity Employment, Anti-kickback, Clean Air,

Clean Water, and Davis-Bacon. For the convenience of State and local government grantees,

and to assure universal application, FHWA requirements specify use of a uniform contract

attachment. FTA lists laws and regulations which apply specifically to transit programs in its

master agreement.

The grant management rule for universities and other not-for-profit institutions is 49 CFR Part

19.

Federal Aid Highway Programs

The objectives of highway design and construction contracting procedures are to minimize

costs and risks, obtain essential uniformity in nationwide highway systems, and accelerate the

rate of new construction nationally. In addition to the common grant rule, 23 CFR Parts 172,

633, and 635 provide detailed contracting procedures and forms for engineering and design
210

contracts and for construction contracts. For engineering and design contracts, the regulations

permit any form of competitive negotiation that uses qualification-based procedures. For

highway construction, the regulations require low-bid procedures.

The regulations have been undergoing evaluation and refinement since the Federal-aid

Highway Program began in the 1950s. They have been modified to respond to changes in

National policies and laws and have been continuously tested by litigation. As was mentioned

earlier, highway regulations facilitate separation of design from construction, primarily to

obtain as much competition as possible during the highest cost phase of construction programs;

a process that also opens more opportunities to small and mid-sized construction firms which

may not have architectural and engineering capabilities. This additional step to the acquisition

process, however, raises questions of contract performance and product liability

responsibilities whenever new or unusual designs or construction technologies are attempted. 

In turn, risk-averse local government buyers tend to avoid "unnecessary" risks until

innovations are thoroughly tested and available on the open market, and at competitive cost.

FHWA is able to use the greater flexibility of its R&D and demonstration programs to develop

and test new construction technologies, materials, and processes. FHWA grantees are

encouraged to participate in advanced technology programs through the NCHRP and the

agency's R&D and special experimental projects. The special experimental projects include

evaluating innovative contracting practices such as cost-plus-time bidding, lane rental, designbuild contracting, and warranty clauses. 

Building Partnerships with Innovative Financing

With current constraints at the Federal level, Federal funding in many programs will

undeniably be limited in the future. Coupled with this, State and local governments are under

similar constraints and face competing demands for various vital needs. The best response to

this may likely be the new trend toward partnerships with the private sector. Many of the

United States' international competitors already employ this tactic. 

In January of 1995, President Clinton announced the "Partnership for Transportation

Investment." Also known as "Innovative Financing," the term covers a broad range of

strategies including the use of leveraging and cash flow tools. DOT's involvement with

Innovative Financing began with provisions in ISTEA that allowed experimentation with

varied ways of financing advanced technology projects. Over the last three years, DOT has

aggressively pursued such experiments.

Many such projects employ single financing techniques, while others combine techniques to

obtain the greatest benefits from the flexibility allowed under such programs as the FHWA's

Test and Evaluation 045 (TE-045) program (a program which allows for the testing of many of

the Innovative Financing ideas generated). Incentives for using Innovative Financing, and

ones which have been realized, include the ability to complete projects more quickly as well as
211

the opportunity to begin more projects. Moreover, Federal dollars have leveraged additional

dollars and private investment in infrastructure has grown.

The primary goals of Innovative Financing are to: create incentives for the States to take full

advantage of ISTEA's financing opportunities; to learn what new financing strategies and

policies work best and make necessary changes; to assist the States in their efforts to leverage

their current funding and produce additional funds - both public and private; and to move

projects into construction more quickly than under traditional financing procedures.

Innovative Financing, working within the existing statutory framework, allows many of the

existing restrictions and requirements to be waived and gives local decision makers greater

flexibility and authority. Such experimentation is critical in that the current system of paying

for projects only through grant reimbursement is increasingly being considered outdated; the

"red tape" required slows projects and increases costs, making it difficult for States and

localities to involve private investors.

These innovative financing tools, designed to make more funds available to transportation

providers, include leveraging tools such as: Flexible Match; Bonds and Debt; ISTEA Section

1012 Loans; and ISTEA Section 1044 Toll Investment Credits. Other innovative tools used,

referred to as cash flow tools, include: advance construction; partial conversion of advance

construction; phased funding and tapering.

As an example of Flexible Match, the Maine Department of Transportation is constructing an

intermodal truck-to-rail transfer facility near the Town of Fairfield. Located about one mile

from the Interstate, the facility will provide for the transfer of truck freight from major U.S.

highways to key rail lines, both in Maine and throughout New England. Under the Innovative

Financing effort, a private rail company is contributing material, equipment, and services for

use in the project. The State is crediting the value of the rail contributions toward the State's

share of project costs. The rail contribution saves the State $1.57 million, which can be used

elsewhere for transportation.

Bond and Debt Financing is demonstrated by the Conway Bypass project in South Carolina. 

The South Carolina DOT plans to build a link between U.S. 17 and other major roads that lead

to the Grand Strand/Myrtle Beach area, increasing access to the State's largest tourist area. 

FHWA is applying the TE-045 ISTEA Section 1012 loan approach to a non-toll facility with a

dedicated revenue repayment source. This loan for the estimated construction cost of the

project provides cash to service the bonds supporting the project. Bond principal and interest

on the project will be repaid using TE-045 flexibility. By combining Innovative Financing and

innovative contracting, this project is expected to save over $100 million, with construction

accelerated by 20 years. Local sales tax revenues will also fund a portion of the project.

As an example of the ISTEA Section 1012 Loan, the Texas Department of Transportation has

constructed an 8-lane bridge and supporting facility between Laredo, Texas and Nuevo
212

Laredo, Mexico. The project includes a loan of $11 million from the State to the City of

Laredo. The loan financing the bridge, which is expected to cut congestion brought about by

the increased traffic expected from NAFTA, will be paid for by toll revenues and rental

income from other users of the facility. 

The Maryland Department of Transportation used Section 1044 Credits earned from toll

revenue expenditures to make needed highway capital improvements. Under an innovative

approach to the Section 1044 Maintenance of Effort requirement, the State has used about

$18.9 million in toll credits in FY 1995 based on a prospective Maintenance of Effort test. 

State credits will be used as the State share for funds on the I-70 project near Frederick,

Maryland among others. This frees up State funds (which may otherwise have been required

to meet matching requirements) for use on other projects.

The Butler County Highway in Ohio is an example of using Advance Construction. The Ohio

DOT will construct a four-lane, 10.3-mile road and extra lanes on the Interstate to

accommodate a proposed interchange. The project, which costs $95 million, is based on State

legislation that established a transportation improvement district in the area. Because of the

good prospect of future Federal funds, the State can borrow more easily to finance the project

and, as a result of Advance Construction eligibility and flexibility, the State can obtain better

financing for an intergovernmental loan and/or private bonds for the project.

Interstate route improvements in Pennsylvania, including three major reconstruction projects

along high-volume interstates and expressway routes, are currently being financed through

Partial Conversion of Advance Construction funds. The Federal share of all three projects is

approximately $45 million. The State will partially convert Advance Construction projects,

saving as much as 5 percent of the State's FY 1995 obligational authority and making it

possible to advance other "ready-to-go" projects earlier in the authorization period.

In New Jersey, a new viaduct will be constructed and three bridge decks replaced using

Phased Funding. In this way, the State can spread costs over two years and make more

efficient use of Federal funds, enabling the project to begin a year early. Phased Funding will

enable several other bridge replacement-eligible projects which might otherwise have been

delayed six to eight months to be obligated at a significantly faster pace.

The Michigan DOT has utilized Tapering Non-Federal Matching Shares in their recent

widening of a State truck line aimed at increasing capacity to alleviate congestion problems. 

The project costs for Phase II are approximately $70 million with authorized Federal

participation of $57.3 million. Tapering will enable Michigan to achieve better cash flow

management during the riskier early project stages.

On November 28, 1995 Congress enacted P.L. 104-59, the National Highway System

Designation Act of 1995. Sections 311, 313, and 322 of this Act take innovative financing

one step further by making permanent the financing technology demonstrated under TE-045. 
213

In addition, Section 350 established a 2-year State Infrastructure Bank (SIB) Pilot Program that

will allow States to recycle transportation funding and leverage additional investment in

transportation infrastructure over a long-term period. The Department views the SIB Pilot as a

means of advancing a multiple financing strategy.

While many of the early projects utilizing Innovative Financing have been ones to build new

roadways, other modes, including transit, rail, and aviation, have high potential. For

example, airport construction, which relies on the capital markets for as much as three-quarters

of its funding, has long been a model for involving the private sector in public projects.

As an example, Northern Southern Railroad recently paid to add a third track on a rail rightof-way in Cincinnati, greatly reducing rail congestion. The Railroad will be reimbursed for

this over time through the State's ISTEA allocation using Advance Construction Funding.

Three FTA grantees, the Chicago Transit Authority (CTA), the Bi-State Development Agency

(Illinois and Missouri) and New Jersey Transit (NJT), recently concluded innovative financing

transactions that together generated nearly $57 million dollars in additional transit revenues. 

All three are U.S. tax-based transactions involving U.S. taxpayers. While the transactions

confer certain tax deferment and depreciation benefits, they will nonetheless be "tax-positive"

to the Treasury, and earn approximately $65 million as a result. The CTA entered into a U.S.

leveraged sale/leaseback (“Pickle" lease) of approximately $831 million in rail cars. CTA

transferred title to the vehicles to a private investor, and will lease them back over a 20-year

period. The CTA has received approximately $47 million in profits. Bi-State concluded a

similar Pickle lease of $59 million in rail cars, and received $3.8 million in profit. NJT closed

a Pickle lease of some $125 million in locomotives and rail cars, and received $6 million in

profit. The lease terms allow the grantees to maintain control and use of the equipment in

mass transit service, as required by Federal law. They regain title to the equipment at the end

of the lease period.

Transit Equipment and Construction Contracts

Although DOT-assisted transit programs follow the common grant management rule, FTA

maintains a circular, (C 4220.1D, "Third Party Contracting Requirements") to assist grantees

and regional offices in interpreting the procedures that are specifically applicable to transit

agency procurements. The circular and its referenced laws and regulations emphasize that all

procurement transactions are to be conducted in a manner providing full and open competition. 

In addition, 49 USC 5323(h) and 49 USC 5307(d)(1)(E), formerly sections 3(a)(2)(C) and

9(e)(3)(E) of the Federal Transit Act of 1964, as amended, forbid the use of Federal grant or

loan funds to support procurements utilizing exclusionary or discriminatory specifications.

However, grantees are encouraged to use "value engineering" clauses and may use

procurement by competitive proposals in lieu of sealed bids. (Value engineering clauses cover

situations where a contractor comes up with an idea, after the work has begun, that saves
Section 348 of the Department of Transportation and Related Agencies Appropriations Act, 1996 36

(Pub. L. 104-50) exempts the FAA from many governmentwide procurement statutes and regulations.

214

money. The clause, most often utilized in construction projects, allows for the contractor and

government to share the savings.) The competitive proposal method allows consideration of

such factors as technical risks, life cycle costs, technical performance, and management

approach, as well as initial costs. However, because of State and local regulations most

authorities continue to rely on definitive specifications and low-bid contracting, or on low-bids

for life cycle costs. Life cycle costs refer to initial and future costs such as maintenance,

reconstruction, rehabilitation, restoring, and resurfacing costs over the life of the project.

Unlike the high-volume construction programs of FHWA, most new rail starts, busways,

downtown people movers, and urban rail modernization programs have been acquired as

systems with contracts tailored individually for the unique circumstances of each project. For

purposes of programmatic or technical approvals, major transit programs are often divided into

phases; however, separate contracts for design and construction contracts are not required. A

variety of design-build methods have been used by transit authorities, including turnkey

projects.

On May 7, 1996, FTA launched the publication of the Best Practices Procurement Manual. 

This Manual provides recipients of FTA funds suggestions on conducting third party

procurements to assist them in meeting the standards of FTA Circular 4220.1D. The Manual

consists of suggested procedures, methods, and examples which FTA encourages. These are

based on the Federal acquisition process, Comptroller General decisions, and "Best Practices"

of grantees and others in the industry. The Manual is envisioned as an ongoing and expanding

document. It will be updated periodically with both new subjects as well as additions or

changes to existing subjects. The additions/changes will be based on: (1) changes in statutes,

(2) the result of recent court decisions, (3) the need for further clarification, and (4) new or

innovative practices of grantees. The Manual is located on the Internet World Wide Web

under the FTA Homepage. The internet location enables FTA to provide its customers with

the latest and newest information using the fastest means possible. Additionally, FTA solicits

"best practices" of its grantees and others in the industry. After review by FTA, new and or

innovative practices will be added to the manual.

Acquisitions by DOT

All DOT organizations that acquire supplies and services are governed by DOT's

Transportation Acquisition Regulation (TAR) and Transportation Acquisition Manual (TAM)

that implement and supplement the Federal Acquisition Regulation (FAR). Together these 36

documents provide a detailed set of rules governing all phases of acquisition, including

procedures to contract for all products and services, including R&D.
The site address is http:\\www.volpe.dot.gov. The closing date for the FY 1997 solicitation was May 1, 1997. 37

http:\\www.dot.gov 38

http:\\www.sbaonline.sba.gov 39

215

In addition to contracts, DOT employs more flexible cost-shared vehicles like Broad Agency

Announcements (BAAs), grants to research institutions, cooperative agreements, other

transactions, and Cooperative Research and Development Agreements (CRADAs) to leverage

the limited R&T resources available. While the use of CRADAs had been somewhat limited

in the past, the FAA - among other modes - has been quite active in using these agreements as

the benefits of using them are increasingly realized. CRADAs are cost-sharing vehicles that,

through encouraging early industry buy-in, ultimately promote the development of

commercially viable products and services. The public and the Department have benefitted

considerably from the results of long-standing cooperative research programs with universities,

industry and professional associations (e.g., AASHTO, AAR, APTA), and the Transportation

Research Board of the National Research Council.

Contracting in the Electronic Age

DOT has increasingly been using such tools as the Internet to both ease and expedite many of

the government's contracting and grant procedures. From posting information ranging from

university research grants to contract solicitation and award, the Internet is increasing

accessibility and, in many ways, promoting the advanced technologies aspired for with the

passage of ISTEA.

Among the vast grant- and contracting-related items that are housed on the Internet are: 

experimental university R&D programs; university transportation-related R&D grants; grant

management requirements; contract solicitations and awards; and information on the uses of

DOT contracts, grants and cooperative agreements, among other items. With such information

readily accessible, the government has essential access to current university and private sector

research, enabling both better and quicker assessment of available research and technologies. 

At the same time, the Internet provides universities and the private sector access to the latest

information and opportunities in DOT's contracting and grant environments.

In a climate where it is increasingly felt that federally-sponsored research and development

should be pushed toward cooperative funding, the Internet--by increasing information flow--is

enhancing the opportunity for such partnerships. For example, the Department's two most

recent SBIR Program Solicitations both were made available on the World Wide Web (WWW)

site for the Volpe National Transportation Systems Center. Many other DOT RFPs and CBD 37

notices are available through the Department's WWW site, and a wealth of procurement 38

information can be accessed via the Small Business Administration (SBA) WWW site.39
216

Other items on the Internet that have enabled DOT's contract and grant information to reach a

wider audience are the posting of such items as: Executive Orders; various recent rules and

regulations changes that affect the grant and contracting environment; and contract reporting

requirements, among others. This has been a significant benefit in that all modes now have a

common and accessible vehicle to turn to for updated policies and procedures. This has been

helpful in setting more uniform standards across the modes. 

Recent Federal Actions on Procurement Laws and Regulations

Federal Acquisition Streamlining Act of 1994 (PL 103-355)

On October 13, 1994, President Clinton signed the Federal Acquisition Streamlining Act of

1994 into law. Most of the provisions of the Act are being implemented through changes to

the Federal Acquisition Regulation. There are over 90 sections of the law that were addressed

through that process. Key provisions affecting R&D procurements that are in effect include:

! Clarification of the agency authority to execute multiple-contractor task- and 

delivery-order contracts. Within DOT, such model processes were pioneered at

RSPA's Volpe Center. The Center's multiple contractor resource base (known as the

OMNI program) has been used for over eight years to obtain technical support for

projects managed by the Volpe Center. This practice has now been adopted by OST on

behalf of all operating administrations.

! On acquisitions of less than $2,500 or 0.1% of total project cost, whichever is greater

for Buy America provisions, the requirements to reserve procurements for small

business and to comply with provisions of the Buy America Acts have been eliminated.

! Establishment of a Congressional policy that Federal agencies should not be required by

legislation to award new contracts or R&D grants to specified non-Federal entities, and

that any program, project, or technology identified in legislation be procured through

merit-based selection procedures.

When fully implemented and translated into rules, other provisions of the Act will undoubtedly

assist in accelerating the adoption of advanced technologies developed as a result of programs

authorized by ISTEA.

Federal Acquisition Reform Act of 1996

On February 10, 1996, President Clinton signed into law the National Defense Authorization

Act for Fiscal Year 1996, which contained, in Division D, the Federal Acquisition Reform Act

of 1996 (FARA). In general, FARA amends various provisions of the Armed Services

Procurement Act, the Federal Property and Administrative Services Act of 1949, the Office of
217

Federal Procurement Policy Act, and the Federal Acquisition Streamlining Act of 1994 to

further streamline the Federal procurement process. Key provisions include:

! Statutory approval thresholds for justifications for other than full and open competition

were increased.

! Offerors excluded from the competitive range, or that are otherwise excluded from the

competition prior to selection, may request a debriefing prior to contract award.

! FARA provides for a new "two-phase" selection procedures for the design and

construction of a public building, facility or work. Under phase-one, only information

pertaining to prospective offerors' technical approach and qualifications are solicited;

no cost/price or detailed design information are requested at this phase. Phase-two of

the competition solicits technical proposals (design concepts and/or proposed solutions),

and cost/price information from those offerors selected following phase-one in

accordance with the solicitation. 

! FARA provides for special simplified procedures for the procurement of commercial

items valued between $100,000 and $5 million. This authority is in addition to the

authority for simplified acquisition procedures authorized by FASA for acquisitions

between $2,500 and $100,000.

! FARA exempts contracts and subcontracts for the acquisition of commercial items from

Cost Accounting Standards.

! The Procurement Integrity Act was amended in its entirety. In general, the certification

requirements have been eliminated, and the intentional disclosure by Government

personnel, and the intentional acquisition by any person (other than as is provided by

law) of bid/proposal, or source selection information prior to award of a Federal

contract is prohibited.

49 CFR Parts 18 and 19, The Grant Management Rules

In April 1995, the Office of the Secretary issued a final rule amending 49 CFR Part 18, raising

the dollar threshold for small purchases to $100,000. The NPRM also proposes to raise the

threshold for DOT approval of several grantee agency actions. Although not aimed primarily

at stimulating new technologies, the changes are intended to reduce the administrative burden

on grantees, and may accelerate the acquisition of studies and expert assistance necessary to

introduce technological innovations. With passage of the Federal Acquisition Streamlining Act

of 1994, a new simplified acquisition threshold for universities and not-for-profit institutions

under CFR Part 19 was set at $100,000. 
218

23 CFR Parts 420 and 511, State Planning and Research Program Administration

On July 22, 1994, FHWA published a final rule amending these sections to grant States greater

responsibility and flexibility for the management and oversight of their research, development,

and technology transfer initiatives supported with FHWA planning and research funds. The

rule also reflects the requirements in 23 USC 307(c) for research, development and technology

transfer activities.

23 CFR Part 637, Quality Assurance Procedures for Construction

On June 29, 1995, FHWA published a final rule that revised its general requirements for

quality assurance procedures for construction on Federal-aid highway projects. The revision

permits use of contractor testing results in the overall acceptance program and could permit

more rapid introduction of advanced construction and testing techniques.

Interim Policy Statement on Life-Cycle Cost Analysis (LCCA)

On July 11, 1994, the Federal Highway Administration (FHWA) published an interim policy

statement on life-cycle cost analysis for public comment (59 Federal Register 35404). The

interim policy responds to ISTEA requirements to consider life cycle costs in the design and

engineering of bridges, tunnels, and pavements. The policy also implements the Presidential

Executive Order 12893 of January 26, 1994, "Principles for Federal Infrastructure

Investments," that requires benefits and costs to be measured and discounted over the full life

cycle of each project. Subparts B and C of the final rule on implementation of ISTEA

management systems (23 CFR 500.207 500.307) require use of LCCA for bridge and

pavement management systems. LCCA contracting provides an incentive to contractors to

adopt new materials and technologies, and monitoring of integrity and prioritization of

maintenance, which improve the durability of infrastructure and save costs in the long run.

To support preparation of the policy statement, FHWA and AASHTO held a jointly sponsored

symposium in December 1993, to learn more about LCCA practices among States and to

identify research, training, technical assistance, and policy-related needs to improve LCCA

practices. Issues and research needs identified at the symposium were: how to establish the

appropriate analysis period, how to value and properly consider user costs, and how to choose

the appropriate discount rate.

Participants in the symposium identified research data needed to predict pavement and bridge

performance and forecast future traffic. One significant point brought out was that "...the

results of LCCA may favor selection of improvements with higher initial costs in order to

achieve significant long-term savings in overall investment requirements. It may indicate, for

instance, that more projects warrant reconstruction rather than rehabilitation strategies, that

early intervention with preventive maintenance is cost effective, or that somewhat higher

designs or levels of service may be appropriate for some facilities." Aside from the important
219

information gathered at the symposium, offering incentives to encourage use of newest

technologies may also promote greater creativity among the States.

Comments on the interim policy statement were submitted in October of 1994. Taking these

into consideration, FHWA plans to release a final LCCA policy statement this summer. 

FHWA will develop training and technical assistance materials to supplement analysis

techniques developed by AASHTO in the National Cooperative Highway Research Program.

Department of Transportation and Related Agencies Appropriations Act, 1995, P.L. 103-331

Provisions in each of the Department’s appropriations acts for fiscal years 1995, 1996, and

1997 authorize the Secretary of Transportation to enter into grants, cooperative agreements and

other transactions with any entity in execution of the Technology Reinvestment Project (TRP)

conducted by the Department of Defense Advanced Research Projects Agency. The language

was necessary because several of the Department's administrations did not have statutory

authority to enter into "grants, cooperative agreements, or other transactions" and may be

called upon to accept interagency funds transfer, award and manage TRP projects.

National Highway System Designation Act of 1995

Under the National Highway System Designation Act of 1995, the Secretary is required to

establish a program for Life-Cycle Cost Analysis and Value Engineering Analysis. The Act

mandates that the Secretary "establish a program to require States to conduct an analysis of the

life-cycle costs of each usable project segment on the National Highway System with a cost of

$25,000,0000 or more." Analysis of the life-cycle costs refers to "a process for evaluating the

total economic worth of a usable project segment by analyzing initial costs and discounted

future costs such as maintenance, reconstruction, rehabilitation, restoring, and resurfacing

costs, over the life of the project segment."

The Act also states that the Secretary must "establish a program to require States to carry out a

value engineering analysis for all projects on the National Highway System with an estimated

total cost of $25,000,000 or more." Value engineering analysis refers to a systematic process

of review and analysis of a project during its design phase by a multidisciplined team of

persons not involved in the project. The team's objective is to provide suggestions for

reducing the total cost of the project and providing a project of equal or better quality. The

outcome of such analysis may include suggestions for combining or eliminating otherwise

inefficient or expensive parts of the proposed design for the project or the total redesign of the

proposed project using different technologies, materials or methods.
220

Recommendations Regarding Future Contracting Procedures

ISTEA reauthorization represents an opportunity to update contracting procedures to encourage

the adoption of advanced technologies developed through private and public surface

transportation research and development. As is discussed earlier in this report, one of the

Department’s most important priorities over the next decade will be accelerated widespread

deployment of infrastructure for metropolitan and rural areas, and for commercial vehicles.

Although innovative and flexible financing and procurement methods will be essential to the

achievement of these and other departmental technology deployment objectives, ingrained state

and local transportation agency financing and procurement processes have made the adoption

of “true” private/public partnership arrangements difficult. The next surface transportation

authorization needs to sanction innovative financing and procurement approaches, including

private/public partnerships, State Infrastructure Bank (SIB) financing, electronic payment

technologies, design/build contracting, life-cycle cost evaluation, and negotiated bid awards.

In addition, FTA proposes to augment its current R&D authority under 49 U.S.C. 5314 by

allowing the Department to enter into grants, contracts, cooperative agreements and other

agreements with consortia to promote the early deployment of innovation in mass

transportation technology, services, management, or operational practices. The program

would be carried out in consultation with the transit industry by competitively selecting

public/private partnerships which share costs, risks, and rewards of early deployment of

innovation with broad applicability. FTA also proposes the authorization of an International

Mass Transportation Program, through which the Secretary would engage in activities to

inform the U.S. domestic mass transportation community about technological innovations

available in the international marketplace, and in activities that may afford domestic businesses

the opportunity to become globally competitive in the export of mass transportation businesses

and services.
APPENDICES
Funding FTE

Program Title FY 1997 FY 1998 FY 1999 FY 1997 FY 1998 FY 1999 Page

Federal Highway Administration (FHWA)

Highway Safety 8,650 9,000 NA 22.80 22.80 NA 87

Pavement Research Program 13,731 11,150 NA 24.00 24.00 NA 89

Structures Research Program 14,362 15,256 NA 15.00 15.00 NA 91

Environmental Research 5,443 5,566 NA 5.00 5.00 NA 92

Right-of-Way Research Program 322 365 NA 0.25 0.25 NA 93

Policy Research 5,328 8,000 NA 6.00 8.00 NA 172

Highway Planning Research 5,889 16,025 NA 4.00 6.00 NA 174

Motor Carrier Research 7,399 8,541 NA 9.00 9.00 NA 152

ITS -- Research and Development 28,605 45,500 NA NA NA NA 122

ITS -- Adv. Vehicle Control and Info. Systems (AVCIS) 22,000 26,000 NA NA NA NA 129

ITS -- Architecture and Standards 5,000 13,000 NA NA NA NA 136

ITS -- Operational Tests 54,992 24,500 NA NA NA NA 131

ITS -- Evaluation/Program Assessment 2,000 9,000 NA NA NA NA 134

ITS -- Mainstreaming 0 22,000 NA NA NA NA 138

ITS -- Deployment Incentive Program 0 100,000 NA NA NA NA 143

ITS -- Program Support 7,761 10,000 NA NA NA NA 142

ISTEA Section 6058 Funds 113,000 0 NA NA NA NA 143

Technology Assessment and Deployment 13,811 14,800 NA 27.00 27.00 NA 94

National Advanced Driver Simulator 0 12,250 NA NA NA NA 176

Local Technical Assistance Program 8,827 12,000 NA 2.00 2.00 NA 95

Fairbank Building Renovation 500 2,000 NA 0.20 0.25 NA 204

National Highway Institute 4,269 8,000 NA 13.00 13.00 NA 96

University Transportation Centers Program 6,000 6,000 NA NA NA NA 193

University Research Institutes 6,250 6,000 NA NA NA NA 194

State Planning & Research Program 80,367 80,367 NA NA NA NA 199

Implementation of the Strategic Highway Research Program 20,000 0 NA 16.00 NA NA 98

Technology Implementation Partnership Program 0 11,000 NA 0.00 NA NA 100

Long-Term Pavement Performance 6,000 15,000 NA 0.00 NA NA 101

Advanced Research 0 10,000 NA 0.00 NA NA 102

Dwight David Eisenhower Transportation Fellowship Program 2,000 2,000 NA 1.00 1.00 NA 198

Applied Research & Technology 41,000 0 NA NA NA NA 104

National Technology Deployment Initiatives 0 56,000 NA 0.00 NA NA 105

Seismic Research Program 2,000 0 NA 2.00 0.00 NA 108

Timber Bridge Research Program 1,000 0 NA 1.00 0.00 NA 109

GPS Support 0 2,100 NA 0.00 NA NA 144

Research & Technology Technical Support 0 10,000 NA 0.00 NA NA 109

Administration 10,026 10,327 NA NA NA NA 203

Subtotal--FHWA 496,532 581,747

Appendix A: Index of Near-Term R&D Funding and Staffing Plans

A-1
Funding FTE

Program Title FY 1997 FY 1998 FY 1999 FY 1997 FY 1998 FY 1999 Page

National Highway Traffic Safety Administration (NHTSA)

Safety Systems 6,488 8,338 NA 16.01 16.02 NA 153

Biomechanics 7,437 10,587 NA 8.54 8.54 NA 154

Partnership for a New Generation of Vehicles 2,496 2,496 NA 0.00 0.00 NA 155

Crash Avoidance--Driver/Vehicle Performance 1,000 1,000 NA 2.00 2.00 NA 144

Heavy Vehicles 595 595 NA 7.47 7.48 NA 155

Fatal Analysis Reporting System (FARS) 5,242 5,242 NA 6.40 6.41 NA 177

National Automotive Sampling System (NASS) 9,658 9,658 NA 10.67 10.68 NA 177

Data Analysis Program 1,635 1,935 NA 13.88 12.82 NA 178

State Data Program 3,041 3,041 NA 9.61 9.61 NA 178

Occupant Protection Survey 300 300 NA 1.00 1.00 NA 179

Special Crash Investigations 331 1,031 NA 1.07 1.07 NA 179

Technology Transfer Programs 40 40 NA 1.00 1.00 NA 180

Vehicle Research and Test Center 799 799 NA 0.20 0.50 NA 204

Highway Safety Research 5,123 5,123 NA 17.15 18.15 NA 165

Administration 12,600 13,082 NA NA NA NA 203

Subtotal--NHTSA 56,785 63,267

Federal Rail Administration (FRA)

Equipment, Operations & Hazardous Materials Research 5,545 5,509 NA 5.00 5.00 NA 156

Track, Structures, and Train Control 7,346 7,746 NA 3.00 NA NA 110

Safety of High-Speed Ground Transportation 4,600 5,250 NA 1.00 1.00 NA 157

R&D Facilities 420 850 NA 1.00 1.00 NA 205

Administration 2,181 2,283 NA 2.00 2.00 NA 203

Next-Generation High-Speed Rail 26,176 19,595 NA 4.00 4.00 NA 158

Subtotal--FRA 46,268 41,233

Maritime Administration (MARAD)

Industry Competitiveness 0 0 NA NA NA NA 145

Intermodal Development 0 0 NA NA NA NA 111

Maritime Safety 0 0 NA NA NA NA 167

Shipyard Revitalization 0 0 NA NA NA NA 158

National Security 0 0 NA NA NA NA 180

Administration 0 0 NA NA NA NA 203

Subtotal--MARAD 0 0

Appendix A: Index of Near-Term R&D Funding and Staffing Plans

A-2
Funding FTE

Program Title FY 1997 FY 1998 FY 1999 FY 1997 FY 1998 FY 1999 Page

Federal Transit Administration (FTA)

New Bus Vehicles and Infrastructure 6,500 11,000 NA NA NA NA 160

Advanced Bus Propulsion Systems 9,500 8,000 NA NA NA NA 160

New Rail Vehicles and Infrastructure 200 800 NA NA NA NA 112

Transit Services and Management Innovation 1,500 700 NA NA NA NA 181

Rural and Specialized Transportation 2,500 2,500 NA NA NA NA 181

Metropolitan / Rural Policy Development 300 1,000 NA NA NA NA 182

Transportation Planning and Project Development Research 700 1,200 NA NA NA NA 182

Safety and Security 650 1,100 NA NA NA NA 168

Human Resources 150 500 NA NA NA NA 183

Transit Cooperative Research Program 8,250 8,250 NA NA NA NA 197

National Transit Institute 3,000 3,000 NA NA NA NA 183

University Transportation Centers Program 6,000 6,000 NA NA NA NA 193

Rural Transit Assistance Program 4,500 4,964 NA NA NA NA 184

Administration 2,223 2,270 NA NA NA NA 203

Subtotal--FTA 45,973 51,284

Research and Special Programs Administration (RSPA)

Hazardous Materials Research 1,161 1,167 NA 2.20 2.20 NA 146

Pipeline Safety Research 1,644 1,648 NA NA NA NA 113

Research and Technology 6,580 5,296 NA NA NA NA 184

Emergency Transportation 68 69 NA NA NA NA 147

Subtotal--RSPA 9,453 8,180

Surface Transportation--Operating Administration Subtotals

Subtotal -- FHWA 496,532 581,747 NA NA NA NA

Subtotal -- NHTSA 56,785 63,267 NA NA NA NA

Subtotal -- FRA 46,268 41,233 NA NA NA NA

Subtotal -- MARAD 0 0 NA NA NA NA

Subtotal -- FTA 45,973 51,284 NA NA NA NA

Subtotal -- RSPA 9,453 8,180 NA NA NA NA

Total Surface Transportation R&D Funding Requirements 655,011 745,711

Appendix A: Index of Near-Term R&D Funding and Staffing Plans

A-3
B-1

APPENDIX B. PRELIMINARY PERFORMANCE MEASURES

FOR DOT R&D PROGRAMS

R&D Program FY 1998 Performance Measures

ITS R&D -- Traffic Management and vehicle throughput, travel time

Control

ITS R&D -- Crash Avoidance Research percentage of collisions, fatalities, serious injuries, and property

losses eliminated by advanced crash avoidance technologies

ITS R&D -- Enabling Research throughput, customer acceptance, cost; reduction in fatalities,

injuries, crashes, property damage, wrong turns, and miles per trip

ITS R&D -- Rural Research reduction in fatalities, injuries, and crashes; increased accessibility

to services, use of system, traveler comfort; reduced fleet operating

costs for the public sector; reduced transportation costs for the

private sector

ITS R&D -- Other R&D safety and mobility as it relates to efficiency

ITS R&D -- Advanced Transit reduced transit travel times, reduced accidents and fatalities,

Management Research reduced costs, increased operating efficiencies, increased customer

convenience, increased overall transit usage, decreased congestion

ITS R&D -- Commercial Vehicle reduction in crashes; reduction in fatalities; increases in people or

Operations goods moved per unit of time; reductions in travel time;

improvements in customer satisfaction; savings in cost to public

and private sectors

ITS R&D -- Positive Train Control reduction in the number of accidents at highway-rail intersections

Systems (HRIs), in fatalities and severity of injuries to motor vehicle

occupants in accidents at HRIs, in delay and congestion associated

with railroad traffic blocking HRIs; development and deployment of

technologies for test in rail corridors, and determination of

suitability for nationwide deployment

ITS -- Advanced Vehicle Control and reduction in fatalities, crashes, and injuries; increase in

Information Systems vehicles/unit tim; reduction in travel time; reduction in

transportation costs for business; reduction in fleet operating costs

for public sector
B-2

ITS Operational Tests -- ATMS/ATIS mobility and productivity measures of customer satisfaction and

cost

ITS Operational Tests -- APTS reduced capital costs resulting from multiple operators sharing the

procurement and maintenance of capital equipment; increased

passenger convenience, transit usage, and customer acceptance

resulting from the development of a proximity card integrated with

commercial/retail stored-value card

ITS Operational Tests -- Commercial reduction in crashes and travel time

Vehicle Operations

ITS Operational Tests -- Advanced measurement of the effectiveness of individual crash avoidance

Vehicle Control and Safety Systems countermeasures on a fleet of vehicles

ITS Operational Tests -- Rural reduction in fatalities, injuries, and crashes; increased accessibility

to services; use of system; traveler comfort; reduced fleet operating

costs for public sector; reduced transportation costs for business

ITS Evaluation/Program Assessment -- reduction in travel time, crashes, and fatalities; increases in

ITS Field Evaluations throughput; improvements in customer satisfaction; savings in costs

to public and private sectors; measurement of energy and emissions

impacts of ITS

ITS Evaluation/Program Assessment -- reduction in travel time, crashes, and fatalities; increases in

ITS Program Assessment throughput; improvements in customer satisfaction; savings in costs

to public and private sectors; measurement of energy and emissions

impacts of ITS; assessment of ITS acquisition and life-cycle costs;

number of deployed intelligent transportation infrastructure systems

that integrate the capabilities of appropriate elements to achieve

maximum traffic management efficiency

ITS Architecture and Standards -- percentage of intelligent transportation infrastructure deployments

Architecture based on the architecture, number of standards developed for key

interfaces identified by the architecture

ITS Architecture and Standards -- approximately 10 draft standards will be developed and available

Standards for use by the ITS community

ITS Mainstreaming -- Technical presentation of over 40 seminars and workshops; as many as 25

Assistance different best practice publications
B-3

ITS Mainstreaming -- Planning/Policy state and local planning initiatives in 40 metropolitan areas;

provision of technical, best practices, and guidance materials to

over 400 state and local planning organizations

ITS Mainstreaming -- Training training of over 4,000 public sector officials and transportation

professionals; ITS technician training and certification program

available to over 500 technicians; over 100 university scholarships

in effect

ITS Mainstreaming -- Awareness and ITS technologies and systems showcased at major events and

Advocacy annual meetings of professional associations and stakeholder

organizations; development and implementation of a traveler

information awareness campaign

ITS Program Support successful and effective management of the ITS program

Safety Systems (NHTSA) completion of 75% of planned research tasks/timely dissemination

of research results; on-time responses to short-term rulemaking

needs; meet customer needs for timely dissemination of research

results as measured by end of year assessment of contractor reports

and staff technical papers published and staff presentations; degree

to which projects support agency crashworthiness rulemaking

activities

National Transportation Biomechanics completion of all planned project tasks in 75% of the biomechanics

Research Center (NHTSA) research projects approved and ongoing in FY 1998; provision of

on-time responses to short-term rulemaking needs; meet customer

needs for timely dissemination of research results as measured by

end of year assessment of contractor reports and staff technical

papers published and staff presentations

Crash Avoidance Research -- number of rollover crashes prevented through improved

Driver/Vehicle Performance (NHTSA) understanding of factors that affect ABS effectiveness and on-theroad rollover phenomena

Crash Avoidance Research -- Heavy reduction in the number of heavy truck crashes and fatalities

Vehicles (NHTSA)

Fatal Analysis Reporting System creation of the 1997 FARS electronic data file on over 42,000

(NHTSA) fatalities by July 1998
B-4

National Automotive Sampling System creation of annual electronic data files for NASS by August 1998

(NHTSA) for the Crashworthiness Data System (CDS) and September 1998

for the General Estimates System (GES); increase the number of

NASS CDS cases by 40% by 1999

Data Analysis Program (NHTSA) response expected to more than 100 statistical analyses, more than

2,500 information retrievals for internal customers, and more than

5,000 information retrievals for external customers

State Data Program (NHTSA) provision of up to 15 quality state databases

Special Crash Investigations (NHTSA) creation of an electronic file off all special crash investigations

Occupant Protection Survey (NHTSA) a national survey to measure occupant restraint use

Partnership for a New Generation of completion of all planned project tasks in 75% of the research

Vehicles (NHTSA) projects approved and ongoing in FY 1998; meet customer needs

for timely dissemination of research results as measured by end of

year assessment of contractor reports and staff technical papers

published and staff presentations; degree to which these projects

support the PNGV program

Vehicle Research and Test Center earlier determinations of recall requirements, with resultant

(NHTSA) reduction in crashes and injuries caused by defective components or

vehicles; development of a Child Restraint System Database;

reduction of out-of-position child fatalities through initial

deployment of “smart” airbag systems; timely direction of NHTSA

inventory of anthropomorphic test dummies toward tests supporting

compliance testing, rulemaking initiatives, R&D projects, and

advanced dummy development

National Advanced Driving Simulator an improved understanding of the nature of driver-related causes of

(NHTSA) crashes; assistance in the development of applicable technology

countermeasures

University Transportation Centers project-level reviews using third party experts to assess the quality

(FHWA/FTA) of individual projects and courses as they are developed; centerlevel reviews using teams of departmental managers to evaluate the

performance of individual centers and institutes in all areas of

responsibility; program-level reviews by departmental program

managers and policy officials to assess the relative value of the

program as a whole
B-5

University Research Institutes (FHWA) project-level reviews using third party experts to assess the quality

of individual projects and courses as they are developed; centerlevel reviews using teams of departmental managers to evaluate the

performance of individual centers and institutes in all areas of

responsibility; program-level reviews by departmental program

managers and policy officials to assess the relative value of the

program as a whole

Hazardous Materials Research (RSPA) completion of 75% of planned project tasks/timely dissemination of

research results, on time response to short-term rulemaking,

international standards development and significant safety problem

needs; meet customer needs for timely dissemination of research

results as measured by end of year assessment of contractor reports

and staff technical papers and staff presentations; degree to which

projects support agency rulemaking, international standards

development and program activities

Bureau of Transportation Statistics focus groups and interviews to develop a better understanding of

how transportation decisions are made, and how BTS data and

analysis have played a role, and might in the future; customer

surveys; “hits” or downloads, along with IP address type analysis

provides initial data for BTS internet analysis; automated search of

citations and references to BTS data will provide initial impressions

from which to develop surveyable populations for BTS analysis

publications which have a broad distribution and broad policy

audience
C-1

APPENDIX C. LIST OF ACRONYMS

A.

AAA = American Automobile Association 

AASHTO = American Association of State Highway and Transportation Officials

ABS = Antilock Braking System

ADA = Americans with Disabilities Act of 1990

AHS = Automated Highway System

ATMS = Advanced Traffic Management System

ATP = Advanced Technology Program

AVCIS = Advanced Vehicle Control and Information Systems

AVI = Automatic Vehicle Identification

AVL = Automatic Vehicle Location

B.

BART = Bay Area Rapid Transit

BTS = Bureau of Transportation Statistics

C.

CAD = Computer-Aided Design

CAA = Clean Air Act

CAAA = Clean Air Act Amendments of 1990

CADRE = Critical Automated Data Reporting Elements

CALTRANS = California Department of Transportation

CBD = Commerce Business Daily

CDROM = Compact Disc-Read Only Memory

CDS = Crashworthiness Data System

CERF = Civil Engineering Research Foundation

CFR = Code of Federal Regulations

CMS = Changeable Message Sign

CTPP = Census Transportation Planning Package

CTRD = Coordinating Committee on Transportation Research and Development

CVO = Commercial Vehicle Operations

D.

DARPA = Defense Advanced Research Project Agency

DOC = Department of Commerce 

DOD = Department of Defense
C-2

DOE = Department of Energy

DOJ = Department of Justice

DOT = Department of Transportation

E.

ECDIS = Electronic Chart Display Information System

EPA = Environmental Protection Agency

ETMM = Electronic Toll and Traffic Management

F.

FAA = Federal Aviation Administration

FAR = Federal Acquisition Regulation

FARS = Fatal Analysis Reporting System

FEMA = Federal Emergency Management Agency

FHWA = Federal Highway Administration

FRA = Federal Railroad Administration

FRP = Federal Radionavigation Plan

FTA = Federal Transit Administration

FTE = Full-time equivalent

FY = Fiscal year

G.

GAO = General Accounting Office

GES = General Estimates System

GIS = Geographic Information Systems

GPRA = Government Performance and Results Act

GPS = Global Positioning System

H.

HHS = Department of Health and Human Services

HPMS = Highway Performance Monitoring System

HSGT = High Speed Ground Transportation

HSR = High Speed Rail

HSRC = Highway Seismic Research Council

I.

IDEA = Innovations Deserving Exploratory Analysis

IITF = Information Infrastructure Task Force

IMO = International Maritime Organization
C-3

ISTEA = Intermodal Surface Transportation Efficiency Act

ITN = Independent Transportation Network

ITS = Intelligent Transportation System (formerly IVHS)

IVHS = Intelligent Vehicle Highway System

J.

JPO = Joint Program Office

L.

LCV = Longer Combination Vehicles

LTPP = Long-Term Pavement Performance

M.

MARAD = Maritime Administration

MDP = Moving Deformable Barriers

MPO = Metropolitan Planning Organization

N.

NAC = National Automotive Center

NADS = National Advanced Driving Simulator

NASA = National Aeronautics and Space Administration

NASS = National Automotive Sampling System

NAFTA = North American Free Trade Agreement

NCEER = National Center for Earthquake Engineering Research

NCHRP = National Cooperative Highway Research Program

NDE = Non-Destructive Engineering

NHS = National Highway System

NHTSA = National Highway Traffic Safety Administration

NHS = National Highway System

NII = National Information Infrastructure

NIST = National Institute of Standards and Technology

NOAA = National Oceanic and Atmospheric Administration

NSC = National Security Council

NSF = National Science Foundations

NSTC = National Science and Technology Council

NWS = National Weather Service, Department of Commerce
C-4

O.

OMB = Office of Management and Budget

OMC = Office of Motor Carriers

OST = Office of the Secretary of Transportation

OSTP = Office of Science and Technology Policy

P.

PAR = Police Accident Report

PRS = Performance-Related Specifications

PNGV = Partnership for a New Generation of Vehicles

R.

R&D = Research and Development

R&T = Research and Technology

RFI = Request for Information

ROW = Right-of-Way

RSPA = Research and Special Programs Administration

S.

SAE = Society of Automotive Engineers

SBA = Small Business Administration

SBIR = Small Business Innovation Research

SHRP = Strategic Highway Research Program

SP&R = State Planning and Research

T.

TCRP = Transit Cooperative Research Program

TMS = Traffic Management System

TPR = Transit Planning and Research

TRB = Transportation Research Board

TRP = Technology Reinvestment Project

TTC = Transportation Test Center
C-5

U.

USC = United States Code

USCG = United States Coast Guard

USGS = United States Geological Survey

UTC = University Transportation Centers

V.

VMT = Vehicle Miles Travelled

VME = Vehicle Motion Environment

VNTSC = Volpe National Transportation Systems Center 

VTS = Vessel Traffic System

W.

WWW = World Wide Web