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Change, improvement, and innovationbased on highway research have longbeen important to the highway system.Developing and implementing highway

innovations through research is primarily a public-sector activity—the public sector generally owns andmanages the highway system. However, researchactivities often are undertaken in conjunction withthe highway industry’s private sector.

Yet highway research and technology (R&T) is nota single, centrally managed program but consists of

many individual programs, includinga federal highway

R&T

program,1 the various state R&T programs, theNational Cooperative Highway Research Program(NCHRP), and many private-sector activities. Univer-sities also contribute significantly to highway research.

TRB’s Research and Technology CoordinatingCommittee (see sidebar, page 29) was established toprovide a continuing, independent assessment of theFederal Highway Administration’s (FHWA’s) R&Tprogram. The committee recently examined the pro-gram’s focus and activities in light of the needs of thenation’s highway system and the roles and activitiesof other highway R&T programs. Special Report 261:The Federal Role in Highway Research and Technologypresents the findings and a proposal for a change indirection to strengthen the overall R&T enterprise.

Roster of ProgramsEach highway R&T program has its own role andspecific responsibilities based on ownership and pur-pose. Nonetheless, the programs are not isolated fromeach other, and all benefit from professional interac-tion and the exchange of information.

◆ FHWA’s R&T program responds to the agency’smission and responsibilities for carrying out thefederal-aid highway program authorized by Congress.The R&T program addresses a range of topics, pre-dominantly aimed at incremental improvements totrim construction and maintenance costs, boost systemperformance, add highway capacity, reduce highwayfatalities and injuries, minimize adverse environmen-tal impacts, and offer various user benefits, such asfaster travel times and fewer hazards. Only a smallportion of the program funding, however, supportsresearch on breakthrough technologies to improvehighway performance and reduce costs.

N E W T R B S P E C I A L R E P O R T

Special Report 261: The Federal Role in Highway Research and Technologyis available from TRB (see PublicationsOrder Form in this issue).

The Federal Role in Highway Research and TechnologyTime for a Change of DirectionW A L T E R J . D I E W A L D

1 The term “federal highway R&T program” refers to thecombined responsibilities and actions of Congress, theadministration, and FHWA in funding federal highwayresearch, determining research needs, setting researchprogram priorities, and executing the research program.

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◆ Each state highway agency has a research pro-gram that addresses technical questions or problemsof immediate concern to the agency in terms of localneeds and conditions. The state programs shareresults with other states, often generating consider-able interest.

◆ NCHRP’s applied research addresses issuescommon to most states and appropriate for a single,focused investigation.

◆ Private-sector research encompasses individualprograms conducted or sponsored by (1) companiesthat design and construct highways and supplyhighway-related products, (2) national highwayindustry associations, and (3) engineering associa-tions active in construction and highway transporta-tion. The research tends to focus on near-term issueswith a goal of improving business operations or cre-ating a business advantage.

◆ Finally, university researchers work under con-tract to FHWA, state, NCHRP, and private-sectorhighway R&T programs and also provide educationand training opportunities for future transportationprofessionals.

The roles described above are logical for the indi-vidual programs, beneficial to the national highwayR&T effort, and unlikely to change because of suc-cessful track records and strong constituencies.

Assessment of Federal ProgramFour contextual features of the highway industry andhighway innovation are important for understand-ing what the federal role is and what it could be:

◆ First, federal highway R&T has many externaland internal stakeholders, including Congress, highwayusers, the highway industry, the people and communi-ties served and affected by highways, as well as FHWAoffices, other U.S. Department of Transportation modaladministrations, and other federal agencies.

◆ Second, the federal program is one of more than50 programs that sponsor highway research in theUnited States. Federal highway R&T cannot operateautonomously.

◆ Third, highway innovation is difficult becausethe industry is decentralized, its procurement prac-tices provide little incentive for innovation, and thepublic sector is averse to risk. Widespread imple-mentation of innovations often requires proactivetechnology transfer.

◆ Finally, for many decades the federal govern-ment—primarily through FHWA—has provided sub-stantial funding for highway R&T, has supportedstate R&T through the State Planning and Research(SP&R) and other programs, and has gathered and

disseminated information about research activitiesand promising results.

RecommendationsThe federal role in highway R&T is vital to innova-tion. Only the federal government has the resourcesto undertake and sustain high-risk—but potentiallyhigh-payoff—research, and only the federal govern-ment has the incentives to invest in long-term, fun-damental research. FHWA’s R&T program mustaddress this critical responsibility.

Focus and FundingFHWA’s R&T program should focus on fundamental,long-term research aimed at achieving breakthroughsin understanding transportation-related phenomena.At least one-quarter of the funds should be invested inresearch that has potential for high payoffs, althoughriskier and more time-consuming. Current expendi-tures in this area are less than 0.5 percent of theagency’s R&T budget—too low for an activity that isappropriate to a federal agency and that is unlikely tobe pursued by state and private-sector R&T programs.

FHWA should undertake research aimed at (1)gaps not addressed by other highway R&T programs,and (2) emerging issues with national implications.State, private-sector, and university highway R&Tprograms encompass successful problem-solvingefforts, but they do not invest in certain kinds ofresearch for several reasons, including scope, scale,and time frame.

FHWA should allocate approximately one-half ofits R&T resources to these types of research. Thisleaves one-quarter of FHWA’s R&T resources forother activities related to the agency’s mission, includ-ing research related to policy and regulations, tech-nology transfer and field applications, education andtraining, and technical support.

Shareholder InvolvementFHWA’s R&T program should be more responsiveto—and influenced by—the major stakeholders inhighway innovation. Stakeholder involvement shouldbegin with the identification of the problem and thencontinue through to implementation of the solution.To maintain an appropriate focus on fundamental,long-term research, decision making should balancestakeholder requests with expert, external technicalreview of research areas and directions that holdpromise for breakthroughs.

Decisions also should reflect a strategic vision forthe national transportation system. Substantive stake-holder involvement in decision making, priority set-ting, and resource allocation is essential to ensurethat FHWA’s research program addresses the prob-

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lems faced by those who build, maintain, use, and areaffected by the nation’s highways. Informing Con-gress about stakeholder perceptions of highwayresearch needs and priorities poses a significant chal-lenge for the agency.

Competition for FundsFHWA’s R&T program should be based on open com-petition, merit review, and systematic evaluation ofoutcomes. Competition for funds and merit review ofproposals are the best ways of ensuring the maxi-mum return on investment and of addressing strate-gic national transportation system goals.

Designating specific projects or research institu-tions without open competition may bypass creativeproposals prepared by the most qualified individualsand organizations throughout the nation and may notreflect the consensus of national highway stakehold-ers. Merit review and evaluation should include pan-els of external stakeholders and technical experts.

Technology ScansFHWA’s highway R&T program should promoteinnovation by surveying research and practice world-wide to identify promising technologies, processes,and methods for use in the United States. The infor-mation from the surveys or technology scans shouldbe disseminated to all highway stakeholders.

FHWA’s research managers are well positioned toassume this role because of their extensive interactionswith state highway agencies, private industry, otherfederal agencies, universities, and key highway researchorganizations throughout the world. Through these

interactions, research managers can identify and pro-mote promising innovations and can disseminate theinformation to all highway stakeholders.

University Research The University Transportation Centers (UTC) are akey element of the federal highway R&T program.The UTC program provides one of few opportunitiesfor highway and transportation researchers to pursueinvestigator-initiated research. Although the amountof funding available for individuals is modest, thefunds are vital for attracting some of the nation’s bestyoung minds to highway and transportation researchand play an important role in supporting graduateeducation.

University transportation research funded underthe UTC program should be subject to the sameguidelines as FHWA’s R&T program—open compe-tition, merit review, stakeholder involvement, andcontinuing assessment of outcomes—to ensure max-imum return on the funds invested.

State ProgramThe SP&R program began more than 60 years agoand has become an important component in thenational highway R&T effort. The research portion ofthe SP&R program forms the cornerstone of statehighway agency R&T programs. The federal SP&Rresearch funds, which amounted to $185 million in2001, are matched by state funds on at least a 20:80(state-to-federal) basis. Although this contribution issignificant, some states spend additional state fundson highway research.

C.Michael Walton (NAE), University of Texas at Austin, ChairJoel D. Anderson, California Trucking Association,West

SacramentoDwight M.Bower, Idaho Transportation Department, BoiseJohn E.Breen (NAE), University of Texas at AustinForrest M.Council, University of North Carolina Safety

Research Council, Chapel HillFrank L.Danchetz, Georgia Department of Transportation,

AtlantaReid Ewing, Rutgers University, New Brunswick, New JerseyIrwin Feller, Pennsylvania State University, University ParkJack Kay,Transportation Consultant, Orinda, CaliforniaLeon Kenison,Transportation Consultant, Bow, New HampshireJoe P.Mahoney, University of Washington, SeattleKaren M.Miller, District I Commission for Boone County,

Columbia, Missouri Sandra Rosenbloom, University of Arizona,Tucson

James E.Roberts (NAE), California Department ofTransportation, Sacramento

Michael M.Ryan, Pennsylvania Department of Transportation,Harrisburg

David Spivey, Asphalt Paving Association of Washington, Inc.,Seattle

Dale F.Stein (NAE), Michigan Technological University,Tucson,Arizona

David K. Willis, AAA Foundation for Traffic Safety,Washington,D.C.

Liaison RepresentativesJohn Horsley, American Association of State Highway and

Transportation Officials,Washington, D.C.Dennis Judycki, Federal Highway AdministrationMarci Kenney, Federal Highway Administration

Research and Technology Coordinating Committee

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The SP&R program not only facilitates individualstate highway R&T programs, but also fostersresearch collaboration and partnering among thestates in pooled-fund projects. Congress should con-tinue to authorize the program.

Strategic Highway ResearchThe committee also endorses the findings and rec-ommendations of the congressionally requested studyto determine the need for and focus of a future strate-gic highway research program (F-SHRP). TRB’s Spe-cial Report 260: Strategic Highway Research: SavingLives, Reducing Congestion, Improving Quality of Lifecalls for a large-scale, fixed-duration strategic researchinitiative aimed at the most important problems cur-rently facing public highway agencies.2

F-SHRP is designed to yield research products forimmediate use. It will complement a federal highwayR&T program focused on long-term, fundamentalresearch. The proposed funding for the F-SHRPresearch derives from federal-aid highway programallocations that otherwise would be spent on con-struction, maintenance, and other authorized activi-ties. These allocations should not be used to fundother state and federal highway R&T programs.

Implementing ReformsThe Research and Technology Coordinating Com-mittee advocates a strong federal highway R&T pro-gram designed to maximize the investment of publicfunds in a research effort that is vital to the nation’seconomy and quality of life. FHWA must providestrong leadership, clear vision, stakeholder involve-ment, and accountability in all facets of the program.

If these reforms are implemented, the committeewould support a significant increase in the agency’sR&T budget. An FHWA R&T budget at twice thecurrent level—although significant—would amountonly to about 1 percent of annual total public high-way expenditures. Even this increase would leave thefunding low compared with research expenditures inother important sectors of the economy or other fed-eral mission agencies.

Finally, the committee recognizes that reformingthe federal highway R&T program according to therecommendations will require the cooperation andcontributions of Congress, FHWA, and highway R&Tstakeholders. Congress provides the funding and thefunding flexibility; FHWA manages the program andconducts research; and highway R&T stakeholderscontribute in many ways, including implementinginnovations.

Therefore if Congress agrees with the committee’srecommendations for an improved federal highwayR&T program, it should provide FHWA with thefunding and the funding flexibility necessary toundertake the recommended changes. Without thechanges in the R&T funding and funding flexibility,FHWA will be unable to reform its R&T program asthe committee has recommended.

If FHWA’s highway R&T program cannot bereformed, highway R&T stakeholders should explorewith Congress other mechanisms for carrying outfederal highway research. Highway transportation istoo important, the stresses are too severe, and theneed for innovation is too critical to do anything less.

Walter J. Diewald, Senior Program Officer, TRB, servedas study director for this project.

2 Available from TRB Bookstore, www.TRB.org/trb/bookstore/, or see Publications Order Form in this issue.See also TR News, January–February 2002, pp. 69–71.

The committee found that research is needed in many areas, including such traditionaltopics as the composition of highway pavement materials. At FHWA’s Turner-FairbankHighway Research Center in McLean,Virginia, highway research engineers use acceleratedloading facility machines to run tests on alternative pavement designs (structures ormaterials) or on identical pavement designs in alternative loading configurations.