[Federal Register Volume 59, Number 12 (Wednesday, January 19, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-1212]


[[Page Unknown]]

[Federal Register: January 19, 1994]


-----------------------------------------------------------------------

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.

-----------------------------------------------------------------------

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]
BILLING CODE 4910-22-P