Guidelines for Implementation of the Applied Research and Technology Program

DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

Guidelines for Implementation of the Applied Research and

Technology Program

AGENCY: Federal Highway Administration (FHWA), DOT.

ACTION: Notice and request for applications.

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SUMMARY: The FHWA announces guidelines to carry out the Applied

Research and Technology (ART) Program as required in section 6005(a) of

the Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991.

FOR FURTHER INFORMATION CONTACT: Mr. Richard A. McComb, Office of

Technology Applications (HTA-2), (202) 366-2792; or Ms. Vivian Philbin,

Office of the Chief Counsel, (202) 366-0780, Federal Highway

Administration, 400 Seventh Street, SW., Washington, DC 20590. Office

hours are from 7:45 a.m. to 4:15 p.m., e.t., Monday through Friday,

except legal Federal holidays.

SUPPLEMENTARY INFORMATION: The Applied Research and Technology Program,

authorized under section 6005(a) of the ISTEA, Pub. L. 102-240, 105

Stat. 1914, 2170, was established for the purpose of accelerating

testing, evaluation, and implementation of technologies which are

designed to improve the durability, efficiency, environmental impact,

productivity, and safety of highway, transit, and intermodal

transportation systems.

The attached guidelines were developed for the selection and

funding of field Test and Evaluation (T&E) projects under the ART

Program which utilize the Highway Innovative Technology Evaluation

Center (HITEC) for the development of evaluation plans. HITEC, an

independent non-profit organization, was created by the American

Society of Civil Engineer's (ASCE) Civil Engineering Research

Foundation (CERF), in conjunction with the American Association of

State Highway and Transportation Officials (AASHTO) and the FHWA. HITEC

provides a process for the impartial evaluation of new products,

materials, equipment, and services for which industry standards do not

exist. Selection of T&E projects for ART Program funding will be made

by the FHWA on the basis of evaluation plans developed by HITEC.

Authority Sec. 6005(a), Pub. L. 102-240, 105 Stat. 1914, 2170;

23 U.S.C. 307(e) and 315; 49 CFR 1.48.

Issued on January 10, 1994.

Rodney E. Slater,

Federal Highway Administrator.

Purpose and Scope

The Applied Research and Technology (ART) Program, authorized under

section 6005 of the Intermodal Surface Transportation Efficiency Act

(ISTEA) of 1991, Pub. L. 102-240, 105 Stat. 1914, 2170, was established

to accelerate the testing and evaluation of technologies, both domestic

and foreign, which are designed to improve the physical and/or

operating characteristics of highways and transit and intermodal

systems. These guidelines have been developed in direct response to

section 6005(a) of the ISTEA (codified at 23 U.S.C. 307(e)(2)) and

apply to the field Test and Evaluation (T&E) projects. The purpose of

these guidelines is to set forth the FHWA's selection criteria of field

T&E projects for State highway agency construction projects.

The field T&E projects are but one element of the FHWA's Applied

Research and Technology Program. The other elements include (1) the

Applied Research Element, and (2) the Priority Technologies Element.

The former includes support for the development of research and

development (R&D) products, the implementation of new technologies,

international activities, and the funding of the operation of HITEC.

The latter includes the testing and evaluation of the designated

technologies that are specified in section 6005(e) (4)-(8) of ISTEA,

and the other new and innovative technologies identified by the FHWA

and proposed for partnerships.

Proposals for field T&E projects for ART Program funding are

invited from State highway agencies, private entities, individuals, and

other organizations. All proposals will be routed through the Highway

Innovative Technology Evaluation Center (HITEC). HITEC, an independent

non-profit organization, was created by the American Society of Civil

Engineers' (ASCE) Civil Engineering Research Foundation (CERF), in

conjunction with the American Association of State Highway and

Transportation Officials (AASHTO), and the Federal Highway

Administration (FHWA). HITEC provides a process for the impartial

evaluation of new products, materials, equipment, and services for

which industry standards do not exist. Proposals for funding R&D and

other activities not associated with the testing and evaluation of new

technologies will not be evaluated by HITEC.

Applications will be processed by HITEC under its standard

procedures for assessment, planning, evaluation, and reporting on

products, materials, equipment, services, and other technologies. HITEC

will act as the central point of screening of new technologies by the

public and private sectors. Highway agencies are encouraged to have

private individuals submit their ideas and proprietary products

directly to HITEC for screening and possible evaluation. If the

technology requires a full scale field T&E project, HITEC, by working

with the States, will assist applicants in developing and submitting

evaluation plans for T&E projects to the FHWA for possible funding

under the ART Program. State highway agencies may also submit

applications to HITEC for non-commercial technologies. The FHWA will

determine the acceptability of the project for funding.

For those technologies that result in State highway agency

construction projects approved by the FHWA, the program provides for

ART funding of up to 80 percent to State highway agencies for the cost

of installing (constructing) the new technologies as part of a T&E

project. In addition, the costs for testing, data collection,

evaluation, and report preparation associated with the T&E construction

project are eligible for 100 percent ART funds. State highway agencies

conducting T&E projects are required to submit annual interim reports

and a final report to document the project, the data collected, and the

testing and evaluation results. If the technology fails on an operating

highway, a pro rata share of the repair and/or replacement costs to

restore the highway to useable condition may be financed with Federal-

aid funds for that system of highways.

Applications

Applications for technology testing and evaluation and possible ART

T&E funding shall be submitted directly to HITEC. Application

requirements are intended to be simple, brief, and straightforward to

encourage participation by private innovators and others who are

unfamiliar with the highway market.

HITEC has developed an Information and Application Booklet that has

been designed to be a comprehensive, self-explanatory document. It

includes an Application Form as well as a description of the technical

protocols and HITEC operating policies. Written inquiries and

applications should be addressed to: HITEC, 1015 15th Street, NW.,

Washington, DC 20005. The phone number is (202) 842-0555.

Technologies

The definition of new technologies for testing and evaluation

includes those that represent significant changes in the performance or

other relevant characteristics of an existing product, but not the

minor upgrading of a product or the use of the evaluation process to

promote new interest in an existing product. Technologies should be

sufficiently developed to provide a specific product, system, or

process (at least in a prototype stage) for evaluation without further

development. In addition, technologies should employ new materials,

designs, manufactured products, construction procedures, functional

components, or other features that may provide improved service and/or

operating or physical characteristics in the highway or transit system.

Both domestic and foreign technologies are eligible for testing and

evaluation in the program. Note that Intelligent Vehicle Highway

Systems (IVHS) technologies are not eligible for this program. IVHS

technologies are specifically covered under IVHS programs administered

by the Department of Transportation and other agencies; IVHS

technologies will be referred to those programs. T&E projects eligible

for consideration in the program will include (but will not be limited

to) the following categories of technology:

1. Accelerated Construction Materials and Procedures. Projects

under this category will test and evaluate innovative uses and

modifications of concrete, steel, plastics, composites, and other

materials, and innovative procedures for accelerating construction,

including specifications and equipment for pavements, structures,

geotechnical works, and drainage facilities. Rapid-curing materials,

prefabricated components, plug-in replacement modules, automated

construction equipment, robots, and sensors are examples of

technologies that will be considered in this category.

2. Environmentally Beneficial Materials and Procedures. Projects

under this category will test and evaluate the environmental benefits

of alternative materials and procedures used in the planning, design,

construction, rehabilitation, operation, and maintenance of highways.

Air quality improvements and noise abatement systems for construction,

maintenance, and operations; environmentally benign materials for

vegetation control and snow and ice removal; and environmentally safe

paint removal, cleaning, and application are among the hazard-free or

beneficial environmental technologies covered in this category.

3. Materials and Techniques That Enhance Serviceability and

Longevity Under Adverse Climatic, Environmental, and Load Effects. This

category of projects will include projects using materials and

techniques, including design and construction, seeking to enhance the

serviceability and durability of pavements, structures, and

appurtenances under adverse environmental conditions and severe

loadings. Strength enhancing additives or reinforcements, coatings,

sealers, composite designs, in situ supplements, and alternative design

or construction technologies are examples of candidates to be included

in this category.

4. Technologies That Increase Efficiency and Productivity of

Vehicular Travel. This category will include projects, both in the

vehicle and on the roadway, such as traffic control devices and

systems; traffic management systems, strategies, and communications;

information systems; computer-based tools that permit analysis of area-

wide surface transportation needs and operational plans; and other

technologies and procedures that increase the efficiency and

productivity of vehicular travel. Technologies to be explored may

include innovative sensing and information transfer technologies,

operational systems, software, and other technologies affecting

vehicular travel and demand management.

5. Technologies That Enhance Safety and Accessibility of Vehicular

Transportation Systems. Projects under this category will test and

evaluate hardware, software, materials, equipment, and systems that

address improved safety and accessibility of vehicular transportation

systems. Also included will be design, construction, and operational

concepts for improved safety or accessibility of vehicular

transportation systems, such as guidance and control systems,

visibility and traction improvements, and network operations monitoring

and control systems.

Field Locations

T&E projects under the ART Program are required to be incorporated

in projects constructed on highways eligible for Federal-aid. Project

sites for the testing and evaluation of new technologies will be chosen

to insure that an appropriate range of traffic and operations,

cultural, geographic, topographic, climatic, and other necessary site

characteristics are included in the program.

Cost-Sharing

The Federal share of funding for acquiring, installing, or

constructing an approved T&E project will not exceed 80 percent of the

costs of the technology incorporated into the project. Non-Federal

funds for the matching portion of the technologies incorporated into

the project may be provided by cash payments or an equivalent value in

the form of construction services, equipment, materials, or other

services or tangible goods required and used directly for purchasing,

constructing, installing, or otherwise obtaining the approved

technology. In addition, the costs for testing, data collection,

evaluation, and report preparation associated with the T&E construction

project are eligible for 100 percent ART funds.

Cost-sharing using ART funds is not available to assist small

business entrepreneurs, private sector businesses, individuals, and

other private organizations in offsetting standard HITEC fees for

processing and evaluation plan development. The processing fee and

evaluation plan development fees for applications submitted to HITEC by

State highway agencies are eligible for 100 percent ART funding. Funds

are not available under these guidelines for general R&D or for any

technology development costs.

Eligible Construction Costs

Construction features and costs of T&E projects eligible for

Federal cost-sharing are those found to be additional to or different

from the features and costs associated exclusively with conventional

projects or technologies. The additional costs, hereafter referred to

as Delta Costs, are eligible for up to 80 percent Federal funds.

Examples of three basic categories of features which may generate Delta

Costs are as follows:

1. A replacement or substitute for a conventional technology. The

Delta Costs would be the costs for the replacement or substitute, minus

the cost of the conventional technology. An example would be a new

binder used as a substitute for asphalt or portland cement.

2. A new addition to or modification of an existing technology. In

this case the Delta Costs would be the costs of the additional

technology and its incorporation in the project. An example would be

the use of an asphalt modifier for which the material cost of the

modifier and the labor or equipment cost incurred in adding the

modifier would constitute the Delta Costs. If the modification of the

existing technology also required an increase in the preparation,

handling, or placement costs over conventional costs, those increased

costs also would be a part of the Delta Costs.

3. An entirely new technology added to a project. The Delta Costs

in this category would be all of the costs for the new technology to be

incorporated into the project. Examples would be the installation of a

system for heating a bridge deck or the installation of a cathodic

protection system for a bridge structure. In general, Delta Costs will

not include those costs associated with the normal construction of the

project that are not a direct part of the new technology. Examples of

features that normally would not be included in Delta Costs include:

restriping surfaces after overlays, redecking in conjunction with the

installation of a bridge deck heating system, improvement of subsurface

and/or roadside drainage systems in conjunction with a pavement overlay

project, and traffic control during construction (unless it is unique

to the installation or changed in character and cost by the

installation, in which cases the increased costs specifically

attributable to the portions of the project would be included in the

Delta Costs).

Costs for data collection, data analysis, and information

dissemination are eligible for 100 percent ART funding on approved T&E

projects.

In those instances where the technology used on an approved T&E

project fails and the State is required to repair the roadway to

restore it to full standards, a pro rata share of the repair or

replacement costs can be eligible for Federal-aid funds for that system

where the installation took place. Such repair of the roadway will not

be considered maintenance.

Technical Assistance

State highway agencies with approved T&E projects shall be provided

with technical assistance to carry out projects.

Evaluation Plans

When an evaluation plan that includes the construction of a full

scale field T&E project has been developed by HITEC, it will be

submitted to the FHWA for review and proposed ART Program funding. The

following sections shall be included in the evaluation plan for the

proposed T&E project. This information does not have to be submitted

with the application to HITEC, but will be developed as a part of the

HITEC evaluation process.

Project Plan

The specific purpose and objectives of the T&E project must be

delineated, followed by a description of:

1. The components of the technology to be evaluated,

2. The proposed installations, and

3. Planned observations, including qualitative and quantitative

requirements for the term of the project.

A time/phase chart or time line for the complete project must be

included. If the T&E project is to be a part of a larger construction

project, the entire construction project must be described in general

detail, and the new technology described in specific detail within the

project.

Data Collection

The design of each data collection element must be based on the

principles of scientific inquiry and structured so that both the

internal and external validity of the data are fully addressed and the

results can be applied to other situations. A detailed plan for the

collection of data must accompany the proposal for the project. The

plan must, as a minimum, include:

1. The type of data to be collected and the reasons for collecting

it,

2. Criteria and procedures for locating and placing the new

technology and for selecting data collection locations,

3. Instrumentation to be used for each set of data to be obtained,

4. Timing of the data collection (e.g., calendar time, clock time,

environmental conditions if limiting, and the interval between

readings),

5. Procedures for collecting the data, and

6. Frequency and quantity of data to be obtained during the testing

period.

Data collection will be directed toward the determination of

functional performance and life cycle costs and, where applicable, will

include:

1. Design, construction, maintenance, and operations criteria and

cost data,

2. Relevant environmental and operational characteristics and data

at the test site,

3. Interim maintenance and repair history,

4. Assessment of safety in both construction or installation and in

operations,

5. Measures of the impact on traffic operations,

6. Measures of the impact on contiguous property and occupants,

7. Performance data (e.g., visibility, reflectivity, riding

quality, deflection, skid resistance, traffic capacity, and flow

characteristics), and

8. Other data as needed to fully meet the project objectives.

Cost and Budget

Detailed information on the estimated total costs and annual costs

of the proposed project must be presented, with a breakdown of capital

costs for equipment, instruments, and special materials; payroll costs

for labor for installation and operation of the new technology; payroll

costs, travel, and other expenses for observations, data collection,

and analysis; costs for information storage and data retrieval; and

costs for publication and distribution of reports and other proposed

technology transfer activities. The proposed source, amount, and

allocation of funds for the non-Federal portion of the costs must be

described in the cost and budget data section of the proposal. Up to 80

percent of the costs of construction for the T&E project may be

provided by Federal funds; however, the level of cost-sharing offered

by the proposing agency will be a factor considered in the selection of

the projects to be funded under the ART Program.

Reporting Requirements

An annual progress report will be required of each public agency

for each T&E project for which the testing, data collection, and

evaluation is underway. In order to meet Congressional deadlines, the

report must be received by the FHWA no later than September 30 each

year. The report should include:

1. A brief description of the plan for the T&E project, including a

description of the technology being evaluated, the scope and objectives

of the project, the evaluation procedures being used, and the time

period and location(s) for the full program;

2. A detailed description of the activities conducted during the

report period, including the tests performed, the equipment being used,

all test location characteristics, and a compilation of the data

collected to date;

3. A detailed description of any changes or modifications in the

plan that were made or proposed to be made in the project during the

report period, the warrants for the changes, and the expected results

of the changes;

4. If an interim report, a summary of the trends, both short term

and long term, and results to date of the testing and evaluation

program; and

5. If a final report, a detailed summary of the results of the

tests and evaluations and the conclusions drawn from the project,

including the long term prospects of the technology, the intended use

of the results, and the technology transfer plans to be implemented by

the agency conducting the project and those recommended for execution

by the FHWA and others.

Technology Transfer

A discussion of the plans for use of the information derived from

the project must be included in the proposal. Plans for the

implementation of new technologies resulting from the experiment must

include a discussion of the intended development of specifications,

reports, technical papers, training courses, conferences,

demonstrations, or other means of disseminating the useful results

throughout the transportation community.

Selection Criteria

Evaluation plans for the proposed T&E projects prepared by HITEC

and submitted to the FHWA for funding under the ART Program will be

reviewed annually on a fiscal year basis. Selection will be based on

specific characteristics of the projects as presented in the proposals.

The selection criteria to be used by the FHWA in evaluating and rating

proposals are listed below in descending order of priority:

1. Applicability of the proposed project to the categories of

general technologies. Does the project specifically address one or more

of the general categories of technologies covered in the legislation

and discussed above in these guidelines?

2. Timeliness of the proposed project as a part of an approved and

funded construction project of new construction, rehabilitation,

upgrading, or replacement. Does the proposed project fit into an

activity that has been approved and funded for early construction and

that will likely proceed with or without the new technology component?

Is the opportunity for the technology limited to the proposed project

or are there frequent opportunities to fit the technology into similar

projects? Are there unique characteristics of the project (such as

location) that make it especially appropriate for testing and

evaluating the proposed technology?

3. Clarity of focus and applicability of the new technology being

evaluated to areas of need in the national transportation program. Does

the proposed project clearly address a technology of recognized

importance in the national transportation program? Does the proposed

technology offer the potential for solving a major problem in current

highway programs or systems (such as bridge deck deterioration,

pavement failures, snow and ice control, or urban network capacity and

safety)?

4. Level of funding to be provided by the applicant for the T&E

project. While ART funds are available for up to 80 percent of the cost

of construction of the T&E project and up to 100 percent of the

testing, data collection, and reporting, extra consideration will be

given to projects with higher-than-minimum levels of participation by

the applicant agencies. Non-Federal funding may include, in addition to

a monetary match, the furnishing of materials and/or equipment,

specially trained workers used in installing or performing the new

technology, and other tangible contributions of goods or labor

specifically related to the project.

5. Appropriateness of the costs and budget for the project to the

potential return on investment in terms of future increases in safety,

serviceability, productivity, durability, economy, environmental

quality, and other benefits to the national transportation systems.

What is the anticipated cost-benefit ratio for the proposed project?

What are the potential benefits to the nation's transportation system

of the new technology, if successful, in terms of direct cost savings

in construction and/or operations or indirect savings through improved

safety, efficiency, capacity, or other relevant characteristics?

6. Completeness and technical quality of the project plan and

design. The caliber of the plan as a well-designed project will be

assessed. Are the objectives of the project well defined? Are they

specific, realistic, and achievable? Do the steps in the plan focus on

those objectives? Are the installation and evaluation procedures,

including instrumentation and data collection, carefully planned and

described? Is the proposed plan statistically sound? Have the relevant

variables been accommodated in the plan?

7. Suitability of the proposed project location(s) for providing

the needed environmental and operational conditions for the evaluation

of the technology being studied, the required geographic diversity of

locations, and the convenience and accessibility of the proposed

site(s). Is the proposed site for the project suitable to the needs of

the technology and practical for performance of the observations and

data collection?

8. Quality, clarity, comprehensiveness, and applicability of the

proposed technology transfer program. The plan for the use of the

results must be included in the evaluation of the proposal. That plan

must address the following issues: How are the results of the

technology to be used at the completion of the project, if successful?

If unsuccessful? What technology transfer procedures will be followed

for implementation of the new technology in the applicant's agency and

nationally?

Post Selection

On a fiscal year basis, the FHWA will announce the selection of

approved T&E projects for funding under the ART Program from the

candidates submitted by HITEC. This will take place early in the first

quarter of each fiscal year. The FHWA will notify the States of the

approved project(s) and the funding amount(s). The States will be

requested to develop Plans, Specifications, and Estimates (PS&E) for

the construction of the projects. Allocation of Federal funds for

construction will be based on the approved PS&E. Funding of the

approved projects will be through the normal Federal-aid procedures

with the selected States and funding will be processed through the FHWA

field offices.

[FR Doc. 94-1212 Filed 1-18-94; 8:45 am]

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