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Surface Transportation Research and Technology AssessmentPrevious Section | Table of Contents | Next Section 3. Technology Innovation and Dissemination ProgramsTechnological innovation, broadly defined, is critical to meeting the ever-increasing demands for transportation system capacity. Efforts must be coordinated across the transportation community to take full advantage of the potential of new technologies, processes, and operational approaches. Fortunately, the current era of steady technological advances and tool development shows great promise. Federal R&T is complemented by the continuing efforts of equipment manufacturers and many service providers to improve their products in response to market forces. Similarly, transportation carriers constantly seek to improve their technology, operations, and practices so they can provide better and more cost-effective services. State and local government agencies with transportation responsibilities also explore how best to carry out their missions within their resource constraints. However, if the benefits of new technologies and innovations resulting from research are to be realized, effective means must be found to transfer the latest knowledge of these tools, concepts, and applications to practitioners in the field. A select group of DOT technology innovation and dissemination programs and activities were reviewed to consider various strategies for fostering innovation, and to identify lessons learned about what is needed for success. The Federal programs discussed in this chapter are those aimed directly at technology transfer or at creating new partnerships for that purpose. They have a near-term focus that could have a significant impact on monitoring, maintenance, and rapid renewal for surface transport infrastructure. For the most part, they focus on developing and implementing technologies that address specific problems, rather than on programs with broader, enabling technological goals. In addition, efforts were made to ensure coverage of all modes of transportation. Beyond the programs considered in this chapter, there are many additional DOT R&D programs and initiatives, such as the Innovations Deserving Exploratory Analysis (IDEA) program. Such programs were not included because their primary goals are to extend the frontiers of knowledge or achieve research breakthroughs, rather than to advance the state-of-the-practice through the adoption of innovative methods and technologies by surface transportation agencies. Market Context for Infrastructure InnovationBefore describing these programs, however, it is useful to acknowledge the substantial difficulties that infrastructure-related innovations and their proponents must overcome before they can move into widespread use. Principal among these barriers is the fragmented nature of both the construction industry (the infrastructure providers) and its market, the public and private owners of surface transportation infrastructure. Most of the surface transportation construction firms are small, local companies and contractors that are the backbone suppliers of labor and equipment for most local projects. The construction industry as a whole has a relatively small number of very large firms that focus on large, complex projects and conduct business both nationally and internationally. 30 In a similar fashion, the market for innovations in surface transportation infrastructure technology is dispersed because the infrastructure ownership is varied (as detailed in Chapter 1). The owners of most highways, roads, and bridges usually are public sector entities, such as state, regional, or local governments. Nearly all of the railroad infrastructure owners are part of the private sector. Regional authorities or major cities own the largest airports. 31 Port terminals and other buildings usually are privately owned, although a private railroad or local government authority may own the connecting surface infrastructure. Taken together, the many infrastructure owners and the fragmented nature of the providers contribute to the slow pace of adopting surface transportation infrastructure innovations. Other major barriers are part of the research and technology innovation development process itself. For example, the process of demonstrating and evaluating innovative approaches and materials for transportation infrastructure (as well as for vehicles and operations) is lengthy and expensive. Implementation may be greatly delayed, or even aborted, by user concerns relating to life-cycle cost, long-term performance, safety, security or other uncertainties normally associated with the innovation process. Overcoming these barriers is critical to reaping the benefits of innovation. Typically, changes in the methods, tools, and materials used in infrastructure construction and maintenance come slowly. Factors inhibiting such change include: uncertainty as to the costs and benefits of implementation, funding constraints or laws that preclude trading reduced life-cycle costs for higher initial investments, a lack of familiarity with new technologies and processes, questions of compatibility with current systems and workforce skills, and institutional and regulatory barriers. These concerns discourage potential vendors and suppliers from developing and marketing innovative products, because they fear limited markets and low profits. In addition, the fragmented nature of the construction industry poses a serious obstacle to realizing the potential advantages of new construction materials, design tools, and concepts. Consequently, credible trial use, evaluation, and demonstration of surface transportation infrastructure innovations usually is necessary to spur the timely deployment of even the most promising new technologies and techniques. This process must be comprehensive and address the full range of issues, including a complete characterization of costs and benefits; workforce requirements; implementation guidance, procedures and training aids; necessary preconditions; and special considerations. With Congressional encouragement, the Department of Transportation and other Federal agencies have responded by developing, supporting, or participating in numerous special programs to facilitate the advancement of significant technology innovations, disseminate results to the transportation community, and promote implementation by public and private sector users. Many R&D and technology demonstration efforts have been undertaken in partnership with state and local governments, industry trade associations and consortia, professional organizations, and universities. Each of the programs highlighted below focuses primarily on either operations or infrastructure; in general, each has as its principal purpose either cooperative research and development or technology transfer. However, in some cases, such as the Intelligent Transportation Systems (ITS) effort, a program may include research and development as well as technology transfer and implementation support. Selected ProgramsPriority Technologies Program (PTP) The Priority Technology Program (PTP) is dedicated to supporting the demonstration, testing, and evaluation of promising market-ready technological innovations to accelerate their implementation. The program was created by the FHWA under ISTEA and was funded at approximately $2 million annually through the end of FY 1997. The PTP adopted a "lead State" concept, in which a State that was interested in benefiting from a particular innovation agreed to a cost-sharing arrangement for demonstrating its potential and for deploying and evaluating its performance in the field. The Strategic Highway Research Program (SHRP) The Strategic Highway Research Program (SHRP) was designed to improve the safety, durability, and performance of the Nation’s aging highways. The five-year, $150 million research program initially was funded by Congress in 1987 from the Highway Trust Fund. The SHRP research emphasized developing innovative technology products in four program areas: asphalt, concrete and structures, pavement performance, and highway operations. State and local transportation officials, members of academia, and industry officials conducted the research. The SHRP was considered successful, producing a number of new technology products and services during its first phase. Among these "products" were the Superpaveâ asphalt materials mixture design and analysis system, winter maintenance techniques combining roadway weather information systems with snow and ice control strategies, and other "products" with direct applicability to highway agency operations. Superpave enables the design, construction, and testing of flexible pavements that last longer and require less maintenance than conventional asphalt concrete pavements. Superpave pavements have the potential to last up to ten percent longer than conventional pavements. However, Superpave is not as forgiving as conventional asphalt paving materials. Using Superpave requires greater technical sophistication and tighter process control on the part of construction crews and inspectors to assure proper results. These factors may represent additional up-front costs to an infrastructure owner. Although specific SHRP research funding ceased in 1993, the benefits of the program continue to be realized through a systematic implementation program funded by FHWA. The Research and Technology Executive Board (RTEB) and the SHRP Implementation Coordination Group (SICG) provide overall oversight and coordination of the FHWA SHRP implementation efforts, including the following:
Products have been developed, modularized, and packaged for Asphalt, Concrete and Structures, Highway Operations, and Long Term Pavement Performance under the guidance of Technical Working Groups (TWGs), which include FHWA, State DOTs, industry, associations, and users. The AASHTO Task Force on SHRP Implementation and the TRB SHRP Committee provide external support and advice. This implementation program is designed to involve the public and private highway community in the development, evaluation, promotion, and adoption of SHRP technology, and to involve private industry in the manufacturing of SHRP products. 33 Many of the Road Weather Information Systems (RWIS) applications received initial support from the SHRP and their products continue to be disseminated, including information on snow and ice control practices and on storm monitoring and communications. Individual State and local transportation agencies are now devoting their own resources to continuing some of the efforts initiated under SHRP, an indicator of the success of the program’s technology development implementation efforts. 34 A comprehensive evaluation of SHRP benefits recently was conducted under the auspices of the FHWA. The "lessons learned" from SHRP are summarized in special issues of TR News detailing the benefits of applied transportation research from the perspectives of the States and of the Federal government. 35 Long-Term Pavement Performance Program (LTPP) The Long-Term Pavement Performance (LTPP) Program was initiated under the SHRP umbrella. The LTPP is a 20-year study of in-service pavement to assess the value of innovative designs, pavement structures, materials, and methods of maintenance and rehabilitation for a broad range of climatic, environmental, soil, maintenance, and loading stress conditions. The program’s ultimate goal is to increase pavement service life by applying the results of these efforts. The LTPP is a partnership involving the FHWA, AASHTO, and TRB; and State and Canadian Provincial DOTs, with industry and academic participation. More than fifteen other Nations also are participating in the program by managing complementary studies. The LTPP is managed by the FHWA with oversight provided by the Research and Technology Executive Board (RTEB), and external advice and comment provided by the TRB’s LTPP Committee. Under TEA 21, it is funded at an annual level of about $16 million. About 85 percent of the funds are allocated to data collection and technical operations support for LTPP and to limited SHRP follow-on field studies; the remainder (approximately 15 percent) is allocated to data analysis. The LTPP is the largest pavement performance research project ever undertaken. The database developed through this program eventually will include twenty years of performance data based on periodic data collection and condition monitoring of approximately 2,800 in-service pavement test sections located throughout the United States and Canada. Data analyses focus on three time periods: near-term (three to five years), mid-term (five to ten years), and long-term (ten to twenty years). Different data products are dynamically integrated into AASHTO guides for material mixes, design and test specifications, and construction and maintenance methods modifications. Most importantly, performance models are developed and refined to generate predictions that are tailored to local environmental and use conditions. Efforts are underway to develop testing protocols for Portland cement concrete bond strength, thermal coefficient of expansion, and creep compliance testing for asphalt mixtures. LTPP research efforts have included developing a non-destructive testing procedure to quantify layer thickness; a localized expert system for rating preventive maintenance treatments; guidelines for preventive maintenance treatments; and a technical assessment of the adequacy of existing procedures for the design of new and rehabilitated pavements. National Cooperative Highway Research Program (NCHRP) and Transit Cooperative Research Program (TCRP) Both the National Cooperative Highway Research Program (NCHRP), which is a cooperative program involving participants from the AASHTO, TRB, and FHWA; and the FTA-sponsored Transit Cooperative Research Program (TCRP) are managed by the TRB. These programs identify selected State research projects of national significance and showcase them to the transportation research community. Such applied research programs serve to generate a pool of promising technologies and also serve as incubators for potential innovations. Local Transportation Assistance Program (LTAP) The LTAP (formerly known as the Rural Technical Assistance Program) has been managed by the FHWA since 1981. Its purpose is to help local transportation agencies meet the growing demand for improved local roads and bridges by providing these agencies with access to highway technologies and training. The program, with annual funding of approximately $10 million, provides hands-on training courses and materials to local agencies. These are provided through the FHWA’s National Highway Institute (NHI), as well as a Nation-wide network of fifty-seven technology transfer centers located at universities, State transportation agencies, and American Indian Tribal Governments. The American Public Works Association (APWA) operates the Technology Transfer Clearinghouse, an LTAP resource center, under contract to the FHWA. Topic areas for assistance include roads and bridges, drainage, equipment, personnel management, materials, project schedules and survey methods, and safety-related activities. ITS Although the ITS program employs somewhat different types of incentives, its purpose is consistent with those of the SHRP and other technology support programs: to identify, promote, develop, and deploy helpful technologies. Since the enactment of ISTEA in 1991, Federal assistance has contributed to significant progress in developing devices and systems that improve traffic management, support the selection of optimum routes and modes by drivers and travelers, and enhance the productivity of the nation’s commercial vehicle fleet on the highway network. Under the stewardship of the JPO, a national ITS system architecture has been drafted. Standards and protocols are being developed to enhance the interoperability of ITS systems and equipment across jurisdictions. Intermodal program emphases are being developed with the guidance of an intermodal steering committee and the support of the JPO. Deployment incentives in the form of special funding are made available to States and localities choosing to implement ITS applications consistent with national guidelines. University Transportation Centers Program (UTCP), and University-Based Consortia and Cooperative Research Programs Since 1987, the U.S. DOT has been investing in the University Transportation Centers Program (UTCP), a network of ten regional university-based research consortia. This program is co-funded by the FHWA and the FTA, with program management provided by the RSPA. The 1998 TEA 21 legislation authorizes $192 million for university transportation research over the next six fiscal years. Each UTC is a consortium of six to twelve universities with a research and education focus based on regional transportation needs. Matching funds are provided by States and local transportation authorities and by industry. At least five percent of UTC funds are dedicated to outreach and technology transfer activities. Under ISTEA, three National Centers and five University Research Institutes (URI) were established. One example is the Infrastructure Technology Institute (ITI) at Northwestern University, which receives funding of $3 million annually; the Center focuses on infrastructure advanced materials research and applications. 36 It operates a national information clearinghouse for technical resources related to infrastructure renewal materials and technologies. Faculty, students, corporate, and State partners also perform research and demonstrations in key technical areas, and cooperate with the Center for Advanced Cement-based Materials (ACBM), also located at Northwestern. The National Science Foundation (NSF), NIST, FHWA, and companies in the concrete and ceramics industries fund the ABCM. Ongoing projects include non-destructive infrastructure test and evaluation (NDT/NDE), advanced coatings to prevent corrosion, and a high-strength weldable steel. Airport Pavement Programs In addition to the FAA’s Airport Pavement Technology Program (discussed in Chapter 2), significant contributions to airport pavement research and technology come from the FAA’s Center of Excellence for Airport Pavement Research. In 1995, the FAA designated the University of Illinois at Urbana-Champaign (UIUC) as a Center of Excellence (COE) in Airport Pavement Research. This COE, which also includes Northwestern University, was established to conduct basic research in the area of airport pavement technology. Currently, the COE is conducting 13 research activities, ranging from the development of "High Performance Concrete for Airport Pavements" to "Mechanistic-Based Airport Pavement Design Concepts/Procedures." Technology Transfer and the Federal Laboratory Consortium Technology transfer, as defined by one DOT administration, is "the process by which knowledge, facilities, or capabilities developed by Federal laboratories or agencies are transmitted to the private sector to expand the U.S. technology base and to maximize the return on investment in Federally funded R&D." 37 The Stevenson-Wydler Act of 1980 (PL 96-480) mandates that each of the more than 600 Federal laboratories establish an Office of Research and Technology Applications (ORTA) and set aside one-half of one percent of their annual research and development (R&D) budget for "technology transfer" purposes. The Federal Technology Transfer Act of 1986 (PL 99-502) further amended this legislation to add incentives for Federal laboratories to work cooperatively with universities and the private sector for the transfer and commercialization of technologies, and formally chartered the Federal Laboratory Consortium (FLC) to assist in this process. The FLC was established in 1974 to act as a service organization for participating laboratories in transferring technologies to the private sector and State and local government. This legislation also enabled laboratories to enter into formal Cooperative Research and Development Agreements (CRDAs or CRADAs) with private companies, educational institutions, and other public agencies. Through these agreements, Federal laboratories can share facilities, equipment, services, and personnel resources (although not appropriated funds) with these non-Federal partners to develop an idea, prototype, or product for introduction into the marketplace. The laboratories are authorized to assign patent rights and license technologies to partners, and to retain royalties paid to them under such arrangements. This authority to enter into CRADAs was extended to government-owned, contractor-operated (GOCO) Federal laboratories by the National Competitiveness Technology Transfer Act of 1989. Partnerships for Technology Implementation Each DOT modal administration has formed partnerships of varying sorts with its constituents. Among the most relevant for infrastructure monitoring and renewal is the FHWA support of the Highway Innovative Technology Evaluation Center (HITEC) and ConMat programs centered at the Civil Engineering Research Foundation (CERF). HITEC: Established by the FHWA in 1992 under a cooperative agreement with the CERF, the HITEC facilitates the evaluation, demonstration and deployment of innovative materials, products, services, systems and technologies for transportation infrastructure applications. To speed up the process of innovation implementation, the HITEC convenes an expert review and evaluation panel for each applicant. These panels are composed of interested public, private, and academic stakeholders, including State and local highway officials and highway users. In many cases, these users become ‘change agents’ themselves and increase the probability that successful applications will be deployed. A Technical Protocol guides the demonstration, testing, and evaluation process, and an Evaluation Report provides details on the product/process performance under operational field conditions, the practicality of construction or production, maintenance requirements, safety aspects, and environmental characteristics. HITEC Highlights are published quarterly to report on the status of ongoing evaluations. The HITEC is a model partnership for successful and timely technology deployment, based on an initial customer survey that identified barriers to innovation in highway materials and construction technologies and tools. In its first year, more than 20 products were submitted to HITEC for evaluation and endorsement. Application fees cover part of the costs of field tests. To date, more than sixty evaluations of innovative infrastructure technologies are in process, many of which involve advanced materials. Each completed evaluation results in a brief Product Evaluation Bulletin, followed by a more complete Evaluation Report. Among the products that have been tested are advanced bridge materials, including composites, which are now being used in at least one bridge in twenty-one states. Other successful evaluations include the composite column wrap for seismic bridge reinforcement; a fiber reinforced polymer bridge retrofit system; a composite plastic marine piling, impervious to corrosion; and a recyclable plastic stop sign with improved reflectivity and night visibility. AASHTO has established a parallel testing effort specifically for its members. This activity, the National Transportation Product Evaluation Program (NTPEP), deals with new products for which accepted testing standards already exist. ConMat: CERF’s ConMat program focuses on using advanced, high-performance construction materials in new construction as well as in the repair, retrofit, and maintenance of existing facilities. Membership and potential collaboration is open to all members of the design and construction community, including designers, fabricators, equipment manufacturers, material suppliers, architects, contractors, and owners. ConMat’s Smart Materials Working Group concentrates on accelerating the commercialization of "smart" materials and monitoring devices, including fiber-optic, strain gauges, piezoelectric and chemical sensors, and ultraflat antennae, micro-electromechanical devices, and microsensors. CERF recently established additional Technology Evaluation Centers to evaluate public works innovations and environmental technologies. In addition, CERF plans to launch a new public-private partnership, the Partnership for the Advancement of Infrastructure and its Renewal (PAIR). Cargo Handling Cooperative Program (CHCP) Other types of Federal partnership aim to implement advanced technologies to streamline Federal maritime regulatory functions and safety and rescue operations for the coastal waterways. For one maritime-related, Federal/private partnership, the goal is to facilitate commercial vessel operations. The CHCP is a partnership designed to foster research and technology development by U.S.-flag carriers. An executive committee composed of representatives from the Maritime Administration, U.S. DOT, American President Lines, Crowley American Transport, and Matson Navigation Company administers the program. The program calls for improvements in cargo handling relating to the identification and prototyping of new technologies for container-chassis mating; as well as testing new technologies related to hand-held computers, electronic seals, tire maintenance and repair, overweight containers, and container stowage planning. MARAD and the private participants fund the CHCP. In each of the five years since the program’s inception, $200,000 per year in Federal funds has been available to the CHCP from MARAD, and the three shipping companies provide additional resources. The ports of Oakland, CA and Jacksonville, FL are serving as test sites for these technologies. Fostering InnovationThe Federal government plays a major role in fostering innovation through its specific and mandated responsibilities, and as part of its broader "stewardship" over the national transportation system. A constant stream of innovative technologies and approaches is being developed by the private sector; but regardless of where an innovation originates, its benefits cannot be realized without effective technology transfer efforts. Recognizing that the barriers to infrastructure-related innovation are substantial, the Federal commitment to fostering innovation includes a responsibility to address impediments to the deployment of potential improvements. DOT has a number of different organizations within its structure that are dedicated to various methods of technology transfer and moving new technologies into the field, both for operations, and to a lesser degree for infrastructure preservation. These DOT surface transportation technology transfer offices include:
Through the programs carried out in these and other modal offices, the respective DOT agencies work with their constituents in a variety of partnership arrangements to facilitate and stimulate the deployment of innovations. Because the emphasis on technology transfer varies among the modes, most of the technology transfer efforts are mode-specific. In only a few instances are cross-modal or intermodal R&T synergies and cooperation actively sought and nurtured. Two examples of cost-effective cross-modal programs are the intermodal applications in the ITS area and the cooperative pavement research done by FAA and FHWA, which is clearly aimed at infrastructure preservation. Doubtless there are other instances, but it is important to recognize that there are many unutilized opportunities for cooperative research that could have sizable potential payoff for R&T. In some cases, such as sensing, locating and communications, technology applications already are used by all the modes and could have cross-modal benefits. Efforts might be undertaken to understand how the advantages of applying a particular technology to one mode may be generalized across other modes. Programs for transferring technologies to address longer term, less conspicuous issues (such as structural fatigue) are more difficult to implement successfully. One way to bolster the use of technology innovations is to use partnerships involving both the public and private sectors, as the HITEC partnership demonstrates. Particularly in the area of rapid renewal, partnerships could leverage the interest of the private sector with the resources of the public sector to speed the adoption of new technology. The most successful technology transfer programs have technologies that are ready for marketing; address problems that are costly, recurring, and highly visible to infrastructure owners; and have champions to lead the deployment among peer practitioners. Moreover, successful demonstrations of surface transportation infrastructure innovations that meet these criteria are critical to promoting their deployment. The Federal Technology Innovation Programs represent some of DOT’s responses to these needs. These programs encompass innovations related to operational safety and efficiency, infrastructure condition monitoring and maintenance, and technology transfer. Selected Federal Technology Innovation Programs are listed in Table 2, with an indication of the problem areas that they address. A review of the relative Federal funding levels for these programs reveals a great deal about the relative support for technology transfer programs related to infrastructure R&T. As shown in the FHWA R&T spending summary in Chapter 2, R&T programs related to infrastructure preservation receive less than half of that Agency’s total spending on R&T. It is reasonable to raise again the question of whether this represents an appropriate Federal investment in programs critical to the future condition and performance of the surface transportation infrastructure. Table 2: Surface Transportation R&T Assessment
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