Federal Enabling Research
In this report, the term "Enabling Research" is defined as research and development activities with clear potential relevance to one or more transportation modes or functions, regardless of the objectives for which it is conducted or the performing agency. Enabling research includes activities described under three Federal budget categories. For civil agencies, these are Basic Research, Applied Research, and Development. The comparable Defense Department terms are 6.1 (Basic Research), 6.2 (Applied Research), and 6.3 (Advanced Technology Demonstration). Since the focus of this document is on research relevant to transportation, but for which no specific application has been identified, enabling research is not expected to yield operational implementation for at least five years.
As set forth in the NSTC Transportation Science and Technology Strategy (September 1997), the following characteristics make enabling research appropriate for Federal involvement and funding:
- Supports long-term national transportation goals;
- Has benefits that are too diverse for a single company to recover and profit from its investment;
- Is associated with cost or risk that is beyond the capacity of any individual company; and
- Generates benefits that will begin to be realized too far in the future to pass the threshold of private investment criteria.
Categories of Enabling Research
The NSTC National Transportation Science and Technology Strategy (April 1999) defines seven categories of enabling research:
- Human Performance and Behavior;
- Advanced Materials and Structures;
- Computer, Information, and Communication Systems;
- Energy, Propulsion, and Environmental Engineering;
- Sensing and Measurement;
- Analysis, Modeling, Design, and Construction Tools; and
- Social and Economic Policy Issues
These categories are described and categorized in Section 3.
The Federal Research Community
The transportation research community includes participants from the public, private, and academic sectors. These organizations work individually and in partnership to perform fundamental and advanced research with transportation implications.
The US Department of Transportation has the most direct and explicit Federal responsibility for transportation. Nearly all DOT Operating Administrations carry out important transportation research directed toward improved performance of their agency missions and, more generally, to strengthen the national transportation system. However, several other agencies also conduct a substantial amount of transportation-related research as part of their respective missions. The broad thrust of these activities is described below.
Department of Commerce. Much of the transportation-related R&D conducted under DOC is performed by the National Institute for Standards and Technology (NIST), which has as its primary mission, the promotion of US economic growth by working with industry to develop and apply technology, measurements, and standards. This research is particularly visible in its lead role in the Partnership for a New Generation of Vehicles (PNGV) program and in its construction materials research, much of which is relevant to transportation. Research conducted by the National Weather Service is also important to the entire transportation enterprise.
Department of Defense. The Department of Defense accounts for nearly half of all Federal R&D. As a large contributor to R&D for the Federal government, and with a mission inherently requiring mobility and logistics, many transportation-related advancements are achieved through their R&D efforts. These include DoD participation in the Department of Commerce-led PNGV research and other surface vehicle technologies, aviation/aeronautical technology, ship design and propulsion, satellite positioning and communications, design tools, and information technologies.
Many defense programs include significant consideration of human performance in operation of aircraft. The Defense Advanced Research Project Agency has provided substantial funding in areas including electric vehicles and maritime technologies. The Technology Reinvention Project grants awards directed toward commercialization of innovative transportation-related applications.
Department of Energy. The Department of Energy is primarily concerned with energy conservation and reduction of petroleum dependence, so it is naturally involved with transportation. The transportation energy program R&D budget request for FY 2000 is $306 million; more than half of this is associated with PNGV. It is responsible for the major part of Federal PNGV funding. Overall, the transportation energy program emphasizes alternative fuels and electric propulsion. DOE has 20 major laboratories and similar facilities. Many have strong capabilities in materials, energy conversion and storage, electronics, instrumentation, and system and data analysis.
Department of Transportation. Most of the DOT operating administrations have R&D programs in support of their various missions. Due to their explicit transportation focus and the variety of the topics pursued, each is described separately below.
Bureau of Transportation Statistics (BTS). BTS is not formally included within the DOT Research and Technology Budget Submission. However, its funding is authorized in the Research section of the Transportation Equity Act for the 21st Century. BTS provides the critical knowledge and understanding of our transportation system that is needed in the assessment of research needs and opportunities, as well as in formulation of policy.
Federal Aviation Administration (FAA). FAA's research includes security technology, programs addressing weather, aircraft safety, and the role of human performance and behavior in safe performance flight crew, maintenance and controller functions. Another major R&D component focuses on operation, maintenance and renewal of the air traffic control system. Airport research involves advanced payment design methodologies and testing as well as important safety programs (e.g., crash and fire rescue, runway and taxiway markings and lighting).
Another strategic research area involves partnerships with NASA, DoD, states and industry. This assures low-cost access to space through improved technology and operations for the rapidly growing commercial space transportation sector. It also relates to the safe integration of new spaceports and routine launch operations of reusable vehicles into the National Air Space Management System.
Federal Highway Administration (FHWA). FHWA has a program to assure the development and widespread application of advanced technology and innovative approaches in ongoing operation, maintenance and renewal of the nation's highway systems, as well as safety and environmental enhancement.
Federal Motor Carrier Safety Administration (FMCSA). Formerly an office within FHWA, FMCSA became a separate DOT operating administration on January 1, 2000. It is responsible for the issuance, administration, and enforcement of Federal laws and regulations addressing motor carrier and driver safety, hazardous materials, and drug and alcohol testing requirements.
Intelligent Transportation Systems Joint Program Office (ITS JPO). The DOT Intelligent Transportation System Program, managed by the ITS Joint Program Office and housed in FHWA, is fostering and supporting application of advanced information technologies to improve surface transportation mobility, capacity, safety and environmental compatibility. Major program elements include development of an intelligent vehicle and supporting deployment of information infrastructure for rural and urban highway applications, commercial vehicle operations, and public transit systems.
Federal Railroad Administration (FRA). FRA conducts a railroad safety R&D program that addresses human factors, rolling stock and components, track and structures, track-train interaction, train control, highway-railroad grade crossings, hazardous materials, train occupant protection, railroad system safety, and R&D facilities and equipment. FRA also sponsors technology development and demonstration projects to facilitate introduction of high-speed passenger rail services.
Federal Transit Administration (FTA). FTA research is aimed at stimulating application of technological innovation in transit system operations, including programs such as development and testing of hybrid-electric buses and fuel cell and battery-powered propulsion systems.
Maritime Administration (MARAD). MARAD does not currently have an explicit research budget, but it does participate actively in several important cooperative programs to advance innovation in shipbuilding and marine operations.
National Highway Traffic Safety Administration (NHTSA). NHTSA R&D conducts research to improve vehicle crash avoidance and crashworthiness; collects and analyzes crash data regarding the vehicle crashes through the National Center for Statistics and Analysis; in conjunction with FHWA, conducts the intelligent vehicle initiative research; develops national guidelines for crash injury mechanisms through the National Transportation Biomechanics Research Center; and with FHWA, has developed and is building the National Advanced Driving Simulator.
Research and Special Programs Administration (RSPA). The RSPA agenda emphasizes transportation strategic planning and system assessment in support of DOT and NSTC. In addition, RSPA conducts continuing R&D in support of its responsibilities in pipeline safety and transport of hazardous materials.
US Coast Guard (USCG). Coast Guard research is focused on technologies, materials and human factors topics directly related to improvement of mission performance. USCG is partnering with the Navy, DOC, and other DOT modes to design, develop and test a standard fuel cell propulsion system for marine and other heavy-duty vehicular applications.
Intermodal Cooperation on Cross-Cutting Research. The Department conducts a variety of activities, typically coordinated by the Office of the Secretary or the Research and Technology Coordinating Council, that address cross-modal R&D and related issues such as human factors and climate change.
Environmental Protection Agency. EPA research bearing on transportation primarily involves abatement, control and compliance, and specific programs on air and water quality.
National Aeronautics and Space Administration. NASA has a long and distinguished history of aeronautical R&D. While topics such as propulsion, aerodynamics and control systems have predominated, NASA is also now emphasizing aviation safety and air traffic management technology. NASA is also exploring a new generation of environmentally compatible and economically feasibly subsonic and high-speed civil transport aircraft.
National Science Foundation. The National Science Foundation is an independent Federal agency responsible for promoting science and engineering through programs that invest over $3.3 billion per year in almost 20,000 research and education projects in science and engineering. Its mission includes initiation and support of scientific and engineering research and programs to strengthen scientific and engineering research potential.
R&D Funding Overview
The seven Departments and agencies described above cumulatively, in fiscal year 1998, had an R&D budget authority of approximately $57.5 billion, a figure that has been relatively constant during the 1990s. This represents 80 percent of total Federal R&D for all organizations. The distribution of all R&D funding among these agencies is presented in Figures 2-1 and 2-2. The dominance of the Department of Defense, which receives two-thirds of the total FY1998 R&D budget authority for the selected agencies, is clear. R&D identified as transportation-related enabling research (as defined in this plan) totals $4.75 billion. In addition, a further $3.13 billion is invested in R&D of transportation relevance in areas other than the seven defined in the National Transportation Science and Technology Strategy as enabling research.3 The data for the subset of are shown in Figures 2-3, 2-4 and 2-5. Although the patterns are similar, there are significant differences in agency totals due to the portion of each agency's R&D funding relevant to transportation. This can be seen in Figure 2-5, which shows the percentage of each agency's R&D budget identified as transportation enabling research.4
| Note: The material in the following figures is derived from the RaDiUS database for FY 1998 budget authority. RaDiUS provides the most comprehensive resource available for identifying multi-agency Federal research expenditures at present, but full consistency across agencies is not possible due to variability among agencies in terms of definitions, reporting categories, and in some cases, methods of calculation.
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