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special report 313 Framing Surface Transportation Research for the Nation’s Future

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TRANSPORTATION RESEARCH BOARD 2014 EXECUTIVE COMMITTEE* Chair: Kirk T. Steudle, Director, Michigan Department of Transportation, Lansing Vice Chair: Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies, University of California, Davis Executive Director: Robert E. Skinner, Jr., Transportation Research Board Victoria A. Arroyo, Executive Director, Georgetown Climate Center, and Visiting Professor, Georgetown University Law Center, Washington, D.C. Scott E. Bennett, Director, Arkansas State Highway and Transportation Department, Little Rock Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, Virginia (Past Chair, 2013) James M. Crites, Executive Vice President of Operations, Dallas–Fort Worth International Airport, Texas Malcolm Dougherty, Director, California Department of Transportation, Sacramento A. Stewart Fotheringham, Professor and Director, Centre for Geoinformatics, School of Geography and Geosciences, University of St. Andrews, Fife, United Kingdom John S. Halikowski, Director, Arizona Department of Transportation, Phoenix Michael W. Hancock, Secretary, Kentucky Transportation Cabinet, Frankfort Susan Hanson, Distinguished University Professor Emerita, School of Geography, Clark University, Worcester, Massachusetts Steve Heminger, Executive Director, Metropolitan Transportation Commission, Oakland, California Chris T. Hendrickson, Duquesne Light Professor of Engineering, Carnegie Mellon University, Pittsburgh, Pennsylvania Jeffrey D. Holt, Managing Director, Bank of Montreal Capital Markets, and Chairman, Utah Transportation Commission, Huntsville, Utah Gary P. LaGrange, President and CEO, Port of New Orleans, Louisiana Michael P. Lewis, Director, Rhode Island Department of Transportation, Providence Joan McDonald, Commissioner, New York State Department of Transportation, Albany Abbas Mohaddes, President and CEO, Iteris, Inc., Santa Ana, California Donald A. Osterberg, Senior Vice President, Safety and Security, Schneider National, Inc., Green Bay, Wisconsin Steven W. Palmer, Vice President of Transportation, Lowe’s Companies, Inc., Mooresville, North Carolina Sandra Rosenbloom, Professor, University of Texas, Austin (Past Chair, 2012) Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, Missouri Kumares C. Sinha, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, Indiana Gary C. Thomas, President and Executive Director, Dallas Area Rapid Transit, Dallas, Texas Paul Trombino III, Director, Iowa Department of Transportation, Ames Phillip A. Washington, General Manager, Regional Transportation District, Denver, Colorado Thomas P. Bostick (Lt. General, U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, D.C. (ex officio) Rebecca M. Brewster, President and COO, American Transportation Research Institute, Marietta, Georgia (ex officio) Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S. Department of Transportation (ex officio) David J. Friedman, Acting Administrator, National Highway Traffic Safety Administration, U.S. Department of Transportation (ex officio) John T. Gray II, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, D.C. (ex officio) Michael P. Huerta, Administrator, Federal Aviation Administration, U.S. Department of Transportation (ex officio) Paul N. Jaenichen, Sr., Acting Administrator, Maritime Administration, U.S. Department of Transportation (ex officio) Therese W. McMillan, Acting Administrator, Federal Transit Administration, U.S. Department of Transportation (ex officio) Michael P. Melaniphy, President and CEO, American Public Transportation Association, Washington, D.C. (ex officio) Victor M. Mendez, Administrator, Federal Highway Administration, and Acting Deputy Secretary, U.S. Department of Transportation (ex officio) Robert J. Papp (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security (ex officio) Lucy Phillips Priddy, Research Civil Engineer, U.S. Army Corps of Engineers, Vicksburg, Mississippi, and Chair, TRB Young Members Council (ex officio) Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation (ex officio) Peter M. Rogoff, Acting Under Secretary for Policy, U.S. Department of Transportation (ex officio) Craig A. Rutland, U.S. Air Force Pavement Engineer, Air Force Civil Engineer Center, Tyndall Air Force Base, Florida (ex officio) Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S. Department of Transportation (ex officio) Barry R. Wallerstein, Executive Officer, South Coast Air Quality Management District, Diamond Bar, California (ex officio) Gregory D. Winfree, Assistant Secretary for Research and Technology, Office of the Secretary, U.S. Department of Transportation (ex officio) Frederick G. (Bud) Wright, Executive Director, American Association of State Highway and Transportation Officials, Washington, D.C. (ex officio) * Membership as of February 2014.

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SPECIAL REPORT 313 Framing Surface Transportation Research for the Nation’s Future Committee on National Research Frameworks: Application to Transportation TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES Transportation Research Board Washington, D.C. 2014 www.TRB.org

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Transportation Research Board Special Report 313 Subscriber Categories Research (about research); administration and management; policy Transportation Research Board publications are available by ordering individual publi- cations directly from the TRB Business Office, through the Internet at www.TRB.org or nationalacademies.org/trb, or by annual subscription through organizational or indi- vidual affiliation with TRB. Affiliates and library subscribers are eligible for substantial discounts. For further information, contact the Transportation Research Board Business Office, 500 Fifth Street, NW, Washington, DC 20001 (telephone 202-334-3213; fax 202- 334-2519; or e-mail TRBsales@nas.edu). Copyright 2014 by the National Academy of Sciences. All rights reserved. Printed in the United States of America. NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Insti- tute of Medicine. The members of the committee responsible for the report were chosen for their special competencies and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to the pro- cedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. This report was sponsored by state departments of transportation through the National Cooperative Highway Research Program. Library of Congress Cataloging-in-Publication Data Framing surface transportation research for the nation’s future / Committee on National Research Frameworks, Application to Transportation. pages cm — (Transportation Research Board special report ; 313) Includes bibliographical references and index. ISBN 978-0-309-29490-4 (alk. paper) 1. Transportation—Research—Economic aspects—United States. 2. Transportation— Research—United States—Management. 3. Transportation—Research—Management. 4. Research—United States—Management. I. National Research Council (U.S.). Trans- portation Research Board. Committee on National Research Frameworks, Application to Transportation, issuing body. II. Series: Special report (National Research Council (U.S.). Transportation Research Board) ; 313. HE192.55.U6F73 2013 388.072'073—dc23 2013049670

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a man- date that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. C. D. (Dan) Mote, Jr., is president of the National Acad- emy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examina- tion of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the sci- entific and engineering communities. The Council is administered jointly by both Acad- emies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. (Dan) Mote, Jr., are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, con- ducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied activities annually engage about 7,000 engineers, scientists, and other transporta- tion researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administra- tions of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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Committee on National Research Frameworks: Application to Transportation Sue McNeil, University of Delaware, Newark, Chair William L. Ball, Merriweather Advisors, LLC, Grosse Pointe Farms, Michigan Irwin Feller, Pennsylvania State University (emeritus), State College Robert E. Gallamore, Gallamore Group, LLC, Rehoboth Beach, Delaware Genevieve Giuliano, University of Southern California, Los Angeles David L. Huft, South Dakota Department of Transportation, Pierre Dennis C. Judycki, Federal Highway Administration (retired), Annandale, Virginia, and Red River, New Mexico Tschangho John Kim, University of Illinois at Urbana–Champaign (emeritus), Fairfax, Virginia Laurie G. McGinnis, University of Minnesota, Minneapolis Herbert H. Richardson, Texas A&M Transportation Institute (emeritus), College Station Peter F. Sweatman, University of Michigan, Ann Arbor Nigel H. M. Wilson, Massachusetts Institute of Technology, Cambridge Transportation Research Board Staff Jill Wilson, Study Director

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Preface In recent years, the U.S. economic climate has exerted increasing pressure on both public- and private-sector research budgets to limit or reduce spending, even though research is critical to the nation’s future prosper- ity and the well-being of its inhabitants. At the same time, the United States, like many of its competitors in Europe and Asia, has increasingly sought to base research investment decisions on evidence about poten- tial outcomes and impacts and on the use of best practices. In the public sector in particular, increasingly formalized requirements for strategic planning and quantitative evidence of performance seek to ensure that research dollars are well spent. Efforts across the federal government are exploring improved ways of evaluating research investments and seeking a better understanding of how best to create usable knowledge through research. In the transportation sector, concerns about the adverse effects of constraints on research budgets are by no means new. During a 1995 forum on future directions in transportation research and development (R&D), participants expressed concern about likely declines in transpor- tation innovation should major reductions in federal research budgets occur.1 More recently, research managers at state departments of trans- portation have sought improved ways of ensuring that their research investments, although constrained, are cost-effective and lead to produc- tive outcomes. Given this background, the state departments of transportation, through the National Cooperative Highway Research Program, asked the 1 Transportation Research Board. 1995. Conference Proceedings 9: Forum on Future Directions in Transportation R&D. TRB, National Research Council, Washington, D.C. vii

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viii Framing Surface Transportation Research for the Nation’s Future Transportation Research Board (TRB) to take on a related assignment: to consider whether and how the lessons learned from transportation research in other countries, and from research in domestic nontranspor- tation sectors, might be used to improve surface transportation research in the United States. Such improvements would help ensure that related budgets, under sometimes severe constraints, are used as beneficially as possible. To conduct the study, TRB assembled a committee of 12 members under the leadership of Sue McNeil, professor of civil and environmen- tal engineering at the University of Delaware. Committee members were chosen for their expertise in transportation research management across academia, government, industry, and other sectors; R&D strategic planning; innovation and technology transfer; and research models and crossnational perspectives. The committee convened eight meetings between November 2010 and November 2012 (see Appendix A). Two workshops, held in conjunction with the third and fourth meetings, were attended by invited speakers from transportation research organizations in other countries and from nontransportation research organizations in the United States. The work- shops were structured to facilitate informal discussions among partici- pants and to foster a lively and open exchange of information and ideas. The committee also undertook information-gathering activities dur- ing the 90th and 91st TRB annual meetings held in Washington, D.C., in January 2011 and January 2012, respectively. Committee members met informally with individuals from foreign transportation research organizations, and a two-part session on national research frameworks provided (a) further input from transportation research managers from other countries and (b) an opportunity to gather suggestions from U.S. stakeholders about possible improvements to the nation’s surface trans- portation research enterprise (see Appendix A). ACKNOWLEDGMENTS The committee thanks the many individuals and organizations that con- tributed to this study through formal presentations, correspondence, telephone calls, and informal discussions. Special thanks go to the guest speakers from transportation research organizations in other countries

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Preface ix who gave generously of their time in traveling to and participating in the committee’s workshops in Washington, D.C., in July and October 2011. The contributions of U.S. Department of Transportation repre- sentatives Debra Elston (Federal Highway Administration) and Kevin Womack (Research and Innovative Technology Administration) are gratefully acknowledged. The committee also thanks Andy Lemer, Cooperative Research Programs, TRB, for his advice and encouragement throughout the study, and Jack Jernigan, Federal Highway Administra- tion, for his informative responses to requests for information. Jill Wilson managed the study under the supervision of Stephen R. Godwin, Director of TRB’s Studies and Special Programs Division. Dr. Wilson also drafted major portions of the final report under the committee’s guidance. Amelia Mathis and Mai Quynh Le were respon- sible for meeting logistics and also assisted in communicating with committee members. This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the Report Review Committee of the National Research Council (NRC). The purpose of this review was to provide candid and critical comments to assist TRB in making the report as sound as possible and to ensure that it meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. The NRC thanks the following individuals for their review of this report: Mort Downey, Parsons Brinckerhoff, Vienna, Virginia; Anson Jack, Rail Safety and Standards Board, London, United Kingdom; Paul Kern, The Cohen Group, Washington, D.C.; Herbert Levinson, trans- portation consultant, Wallingford, Connecticut; Harold (Skip) Paul, Louisiana Transportation Research Center, Baton Rouge; Ralf Resch, Allgemeiner Deutscher Automobil-Club, Munich, Germany; Bernard Robertson, DaimlerChrysler Corporation (retired), Bloomfield Hills, Michigan; Kumares Sinha, Purdue University, West Lafayette, Indiana; and James Turner, Association of Public and Land-grant Universities, Wash- ington, D.C. Although the reviewers provided many constructive com- ments and suggestions, they were not asked to endorse the committee’s

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x Framing Surface Transportation Research for the Nation’s Future findings, conclusions, or recommendations, nor did they see the final draft before its release. The review of this report was overseen by National Acad- emy of Engineering member Elisabeth Drake, Massachusetts Institute of Technology (retired), and National Academy of Sciences member Susan Hanson, Clark University. Appointed by the NRC, they were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the content of the report rests solely with the authoring committee and the institution. Suzanne Schneider, Associate Executive Director, TRB, and Karen Febey, Senior Report Review Officer, TRB, managed the report review process. The report was edited by Steven J. Marcus and copyedited by Elaine Eldridge; the prepublication files for posting to the TRB website were formatted and prepared by Jennifer J. Weeks; the editorial produc- tion was done by Janet M. McNaughton; and the book design and pro- duction were coordinated by Juanita Green, under the supervision of Javy Awan, Director of Publications, TRB.

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Contents Executive Summary 1 1 Introduction 5 Role of Research 6 Making Wise Research Investments 8 Charge to the Committee 10 Committee’s Approach 12 Organization of the Report 14 2 Building Blocks of National Research Frameworks 17 Framework Functions 18 Framework Attributes 23 3 Current State of U.S. Surface Transportation Research 36 U.S. Surface Transportation Research Enterprise 36 Selected Research Programs 44 Strengths and Weaknesses of Current Research Framework 59 Opportunities for Improvement 65 4 Transportation Research Frameworks in Other Countries 70 Committee’s Strategy for Gathering Information 70 Transportation Research Organizations 72 Approaches to Research Functions 77 Lessons Learned 86 Highlights 91

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5 Research Frameworks in Domestic Nontransportation Sectors 95 Committee’s Strategy for Gathering Information 96 Research Organizations 97 Approaches to Research Functions 101 Lessons Learned 109 6 Recommendations 113 Value of a National Research Framework 113 Build and Implement a New National Research Framework 116 Build a More Productive Federal Research Enterprise 127 Raise Awareness of Surface Transportation Research 140 Concluding Observations 144 Appendices A Committee Meetings and Other Activities 148 B Workshop Discussion Papers 154 Study Committee Biographical Information 159