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Date of Change	Change
October 17, 2007	The purpose of this amendment is to cancel Broad Agency Announcement (BAA) No. DTFH61-07-R-00117 for the FHWA Exploratory Advanced Research Program. This BAA was originally issued for a one year period beginning January 19, 2007, and ending January 18, 2008. However, programmatic changes have resulted in a decision to cancel the existing BAA and to issue a new BAA for the same program in the near future. The new BAA will reflect a common cut-off date for submission of pre-proposals rather than an open year-long solicitation. Please continue to monitor FedBizOps for the posting of the new BAA for this program.
July 19, 2007	Old address removed and new one added
July 19, 2007	Deadline to submit BAA Pre-proposals and Full Proposals for FY2007 funds closed. Text for Pre-proposals and Full Proposals seeking FY2007 funds removed
June 15, 2007	Deadline to submit FY2007 BAA Full Proposals Extended from June 15, 2007 to June 29, 2007
June 15, 2007	Address to submit Full Proposals changed to: Federal Highway Administration Office of Acquisition Management 1200 New Jersey Avenue, SE Mail Drop: W36-481 Washington, DC 20590 Attn: Ben Zaslow (HAAM-30)

PROPOSER INFORMATION PACKET (PIP)
SUPPLEMENT TO BAA DTFH61-07-R-00117
EXPLORATORY ADVANCED RESEARCH PROGRAM

The information provided in this document, in addition to that provided in the Federal Business Opportunities (FedBizOpps) Announcement, BAA No. DTFH61-07-R-00117 constitutes a Broad Area Announcement (BAA) as contemplated in FAR 6.102 (d)(2)(i).

Technical Point of Contact (POC): Dr. Steven B. Chase, FHWA, (202) 493-3038, steve.chase@dot.gov.

Contracting Officer: Benjamin Zaslow, FHWA, (202) 366-4251, benjamin.zaslow@dot.gov.

SUMMARY OF IMPORTANT DATES

This BAA is open for one year from the date of the FedBizOpps announcement. While pre-proposals may be submitted at any time during the open period of this BAA, those proposers who wish to be considered for fiscal year (FY) 2007 funding MUST submit proposals in accordance with the following schedule:

• BAA Opens (19 January 2007).
• FY2007 BAA Initial Contract Awards (30 June 2007). Extended to 30 September 2007.
• BAA Closes One Year from Publication Date.

INTRODUCTION

Public Law 109-59: The Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) modified chapter 5 of Title 23 to establish an Exploratory Advanced Research Program. The specific language in the law is:

(g) EXPLORATORY ADVANCED RESEARCH PROGRAM.—Section 502(e) of such title (as redesignated by subsection (b) of this section) is amended to read as follows:

(e) EXPLORATORY ADVANCED RESEARCH.—
(1)IN GENERAL.—The Secretary shall establish an exploratory advanced research program, consistent with the surface transportation research and technology development strategic plan developed under section 508 that addresses longer-term, higher-risk research with potentially dramatic breakthroughs for improving the durability, efficiency, environmental impact, productivity, and safety (including bicycle and pedestrian safety) aspects of highway and intermodal transportation systems. In carrying out the program, the Secretary shall strive to develop partnerships with public and private sector entities.
(2) RESEARCH AREAS.— In carrying out the program, the Secretary may make grants and enter into cooperative agreements and contracts in such areas of surface transportation research and technology as the Secretary determines appropriate, including the following:

(A) Characterization of materials used in highway infrastructure, including analytical techniques, microstructure modeling, and the deterioration processes.
(B) Assessment of the effects of transportation decisions on human health.
(C) Development of surrogate measures of safety.
(D) Environmental research.
(E) Data acquisition techniques for system condition and performance monitoring.
(F) System performance data and information processing needed to assess the day-to-day operational performance of the system in support of hour-to-hour operational decision making.

Under this authority, the Federal Highway Administration (FHWA) is soliciting for proposals to the Exploratory Advanced Research Program for research and development (R&D) projects that could lead to transformational changes and truly revolutionary advances in highway engineering and intermodal surface transportation in the United States. The objectives of this BAA are consistent with the research areas contained in SAFETEA-LU, and also are consistent with the Draft Transportation Research, Development, and Technology (RD&T) Strategic Plan 2006-2010 prepared by the Research and Innovative Technology Administration. This is the plan developed under section 508 of SAFETEA-LU and referenced in the authorizing language. In particular, the plan identifies the following research areas as Departmental priorities for surface transportation and these are implicitly included within the scope of this Broad Agency Announcement.

• Human-Automation Interaction. Conduct and support research leading to an increased understanding of human-machine interactions related to safety performance.
• Application of Enhanced Transportation Safety Data and Knowledge. Conduct and support efforts to convert the large quantities of data produced by applications of digital technology into useful knowledge that can improve transportation safety.
• Congestion Reduction Policy Research and Technologies. Strengthen policy research and analysis on congestion reduction, congestion pricing, and innovative financing, and conduct RD&T to evaluate the effectiveness and market acceptance of traveler and traffic information technologies, products, and services.
• System Resilience and Global Logistics. Conduct and support RD&T to identify freight bottlenecks and changing transportation patterns and to develop and implement technologies to enhance the efficiency of cargo flows.
• Energy Efficiency and Alternative Fuels. Conduct and support research to understand the impact of fuel prices and fuel efficiency on mobility, opportunities to improve fuel efficiency, transportation requirements associated with alternative fuel infrastructures, and safety impacts of alternative fuel vehicles.

FHWA is especially interested in building upon, adapting, or otherwise leveraging and utilizing the R&D investments made by other Federal exploratory advanced research programs such as those of the Departments of Defense, the Department of Energy, and the National Science Foundation.

The Federal share of the cost of a project or activity carried out under this program is limited by Section 5101(b) of SAFETEA-LU to 50 percent, unless otherwise determined by the Secretary of Transportation. Accordingly, “partnership” is an important evaluation criterion under this BAA.

PROGRAM SCOPE

The program scope is intentionally ambitious and broad to address the wide spectrum of topics and strategic objectives that the funded investigations will support. Applied research in a wide spectrum of sciences and technology areas is intended. This research, while high risk and perhaps longer term, is undertaken with a specific problem or need in mind. Basic research is not within the scope of this program. All research is intended to have the common objective of addressing specific technology and knowledge gaps, many of which are described. Strategically, this research will help the FHWA improve highway safety, reduce congestion on the Nation's highways, reduce environmental and health impacts of the Nation's highways, and reduce the long term costs and improve the efficiency of the Nation's highways. This program is intended to spur innovation and focus on high risk and high payoff R&D projects. Incremental advances and demonstrations or evaluations of existing technologies are not within the scope of this program.

OBJECTIVES

This program shall support scientific investigations and studies to advance the current knowledge and state of the art in the sciences and technologies employed in the planning, design, construction, operation, maintenance, and management of the Nation's highways. Strategically, this research will enable and expedite the development of revolutionary approaches, methodologies, and breakthroughs required to drive innovation and greatly improve the efficiency of highway transportation.

Given the exploratory and high-risk focus of this program, it is anticipated that the results of these investigations will not be methods or technologies that will be immediately implementable and will most likely result in new knowledge and concepts that while proven, will require further development before they would be ready for full implementation. It is envisioned that these results will undergo further development via the other applied R&D programs of the FHWA and others.

The FHWA engaged a large number of stakeholders over the past year to identify themes or areas of research that promise transformation and possible breakthroughs in technology. The research focus areas and research needs described below are intended to guide potential Offerors and are based upon the authorizing legislation, the U.S. Department of Transportation (USDOT) R&D Strategic Plan, the Strategic needs of the FHWA, and the results of the three Advanced Research Think Tank Forums held at different locations in 2005. Summary reports on each of the Forums are available from the FHWA Corporate Research and Technology Web site http://www.fhwa.dot.gov/crt/initiatives/arjuly05.cfm. Offerors are encouraged to review these documents for useful information about the intent and scope of the Exploratory Advanced Research Program. These focus areas illustrate the breadth and scope of topics and the interdisciplinary nature of the research being solicited. These are offered to suggest possible topics for proposals and are provided to help Offerors in the development of proposals. This information is not intended to limit the focus, direction, scope, content, or creativity of proposals.

There are six focus areas for proposals. They are:

• Highway Safety.
• Dramatic Breakthroughs in Planning and Environment.
• Innovative Solutions to Understanding and Applying Transportation Policy.
• Innovative Operations Solutions to Reduce Traffic Congestion.
• Innovative Infrastructure Solutions.
• Cross-cutting Exploratory Advanced Research.

Attachment A provides background and exposition of each focus area, as well as some examples of potentially promising areas for exploratory advanced research. These examples are not intended to be all inclusive, and all creative and innovative ideas and solutions will be considered.

RESEARCH DESCRIPTION

R&D proposals are requested for the research areas identified under the Objectives section and in attachment A, and that address either the specific or general gaps in knowledge, understanding, technology, or capability identified above, or other areas where the potential for breakthrough innovation exists.

In submitting proposals, offerors are reminded that the intent of this program is to fund applied research that, while high risk and perhaps longer term, is undertaken with a specific problem or need in mind. Basic research is not within the scope of this program

GENERAL INFORMATION

The FHWA has budgeted approximately $20.0 million over the next 3 years to fund this research program. A total of approximately $10.0 million is available for funding multiple efforts in FY2007. Additional funding may also become available. Multiple awards, typically of 12-36 month duration, are anticipated. The size of initial individual awards is anticipated to vary from $100K for short term efforts to as high as $3M for longer term projects. FHWA may select for award all, none, or a subset of the acceptable proposals to construct a balanced program meeting its needs. The number of awards, and their dollar values, will vary depending on the merit of proposals received and their potential to lead to transformational changes and truly revolutionary advances in highway engineering and intermodal surface transportation. The Federal share of the cost of a project or activity carried out under this program is limited by Section 5101(b) of SAFETEA-LU to 50 percent, unless otherwise determined by the Secretary of Transportation.

Offerors should prepare proposals with a baseline period of performance of 12 months and, if needed, with one or two options each with a 12-month period of performance, or with periods of performance based on anticipated future phases of the research effort, generally not exceeding a total of 36 months. Award dates for proposals selected for FY2007 funding will be prior to October.

Only U.S. Government evaluators will make selections under this BAA. The announcement, in conjunction with this BAA Proposer Information Package (PIP), constitutes the Broad Agency Announcement as contemplated by FAR 6.102(d)(2). A formal RFP or other solicitation regarding this announcement will not be issued. Requests for same will be disregarded. The U.S. Government reserves the right to select for award any, all, part, or none of the proposals received in response to this announcement. In addition, the U.S. Government reserves the right to award either contracts, grants, or other instruments determined to be of benefit to the U.S. Government in achieving the goals of this program.

This BAA is an expression of interest only and does not commit the U.S. Government to pay any pre-proposal or proposal preparation costs. All responsible sources capable of satisfying the U.S. Government's needs may submit proposals, which will be evaluated. Historically Black Colleges and Universities (HBCU) and Minority Institutions (MI) are encouraged to submit proposals and join others in submitting proposals. However, no portion of this BAA will be set aside for HBCU and MI participation due to the desire to solicit ideas as broadly as possible.

It is the policy of the FHWA to treat all proposals as competitive information and to disclose the contents only for the purposes of evaluation. The U.S. Government may use selected support contractor personnel as special resources to assist in administering the evaluation of the proposals. These persons are restricted by their contracts from disclosing the proposal information or using it for other than performing the administrative task. Contractor personnel are required to sign nondisclosure statements. By submission of your proposal, you agree that your proposal information may be disclosed to those selected contractors for the limited purpose stated above.

ADMINISTRATIVE INFORMATION

Offerors are required to follow the guidance contained in this PIP. The PIP provides information on proposal format, the submission process, evaluation and funding processes, and other general information. All administrative correspondence or questions on this BAA should be directed to the Contracting Officer at the following email address: benjamin.zaslow@dot.gov

EVALUATION CRITERIA

Evaluations will be performed using the following criteria listed in descending order of relative importance:

• Quality and Technical Merit: Overall scientific and technical merit of the proposal including plans to objectively measure the value and impact of the research.
• Partnership: Degree to which the proposal develops partnerships with public- and private-sector entities. Note that the Federal Share of the cost of a project or activity carried out under this program is limited by Section 5101 (b) of SAFETEA-LU to 50 percent, unless otherwise determined by the Secretary of Transportation. Therefore, significant partnering is an essential aspect of this program.
• Contributions / Relevance to the FHWA and DOT: Potential contributions of the effort to the Agency's mission, including potential impact and relevance, proposed relationship to the user community, and contribution to the national technology base.
• Capabilities and Experience: Overall capabilities, including the qualifications, capabilities, and experience of the proposed principal investigator, team leader, and key personnel who are critical in achieving the proposal objective; the offeror's qualifications, capabilities, and experience in related technical areas; and the offeror's facilities and demonstrated ability for achieving the proposal objectives. For proposals involving prototype development this will include availability (either inhouse, through subcontract, or through industrial affiliates) of design and development tools/capabilities appropriate to the proposed prototype.
• Total Cost and Cost Realism: Proposed cost to the Federal U.S. Government (cost realism will be used only as an evaluation criterion for proposals, which have significantly under- or over-estimated the cost to complete the effort).

Individual proposal evaluations will be based on acceptability or nonacceptability without regard to other proposals submitted under the announcement. Selection will be based primarily on scientific or technical merit, partnership, relevance and importance to agency, and availability of funds. Total cost and cost realism and reasonableness will only be significant in deciding between two technically acceptable proposals. Note that not all technically meritorious proposals may be funded due to budgetary constraints.

GENERAL INFORMATION REGARDING PRE-PROPOSAL AND FULL PROPOSAL PROCESS

Proposals will be evaluated using a two-part process: pre-proposals and full proposals. The FHWA will evaluate pre-proposals against the evaluation criteria outlined above. Those offerors whose pre-proposals are of interest may be invited to submit a formal full-proposal, as described below. Offerors whose pre-proposals are determined not to be of interest are not precluded from submitting a proposal and may do so if they desire.

The Technical Point of Contact will contact all offerors submitting pre-proposals, either with a letter informing them that the effort proposed is not of interest to the U.S. Government, or with a request for a formal cost and technical proposal approximately 45 days after pre-proposal submission.

Offerors may submit more than one proposal when the proposed effort includes multiple disparate objectives and tasks, covers multiple or disparate technologies areas, or would have a more supportable budget if provided in parts. The area of focus for the proposal must be clearly identified in the proposal title on the cover page.

The FHWA may select for award all, none, or a subset of the acceptable proposals to construct a balanced program meeting its needs. It will be of added value for the proposing organization's management to demonstrate flexibility in support of this approach. Examples of support are strong internal backing with matching funds, innovative approaches in contracting and leveraging current and past technology development efforts that support this program.

INSTRUCTIONS FOR SUBMISSION OF FULL PROPOSALS

NOTE: The information below is provided for planning purposes. The FHWA reserves the right to revise the requirements of this section prior to issuing requests for full proposals.

Full proposals may be submitted at any time during the 1-year open period of this BAA. Full proposals are to be submitted by an authorized organizational representative. The specific deadline for submission of full proposals will be determined after the evaluations of the pre-proposals are completed.

The original proposal and 10 copies shall be submitted to the address below and an electronic copy shall be sent to Benjamin.Zaslow@dot.gov.

Mailing Address:

Federal Highway Administration
Office of Acquisition Management
1200 New Jersey Avenue, SE
Mail Drop: W36-481 Washington, DC 20590
Attn: Ben Zaslow (HAAM-30)

(Please show the BAA number and closing date on the forwarding envelope.)

Full Proposals shall consist of two separate volumes:

• Volume I—Technical Proposal and Management Approach
• Volume II—Cost Proposal and Business Information
  

The proposals shall be prepared in the following format: 8.5 by 11 inches, 1.5 line spacing or double line spacing, in at least 10-point font type. All proposals should be submitted in Microsoft Word processing program or Adobe Portable Document Format (PDF).

VOLUME I—TECHNICAL PROPOSAL AND MANAGEMENT APPROACH

Volume I must be no longer than 36 pages in length. Foldouts shall be counted as a single page. The contents of any appendices shall count against the 36-page limit and shall be limited to figures that directly support items discussed in the text of the proposal. If items are included in an appendix, which is not explicitly discussed, in the basic proposal, the proposal may not be reviewed. Proposals with Volume I in excess of 36 pages may not be reviewed. Proposals with less than the maximum number of allowed pages will not be penalized. Offerors are encouraged to submit concise, but descriptive, proposals.

Volume I of the proposal shall include the following sections, each starting on a new page:

(a) Cover Page: This must include the BAA number, proposal title, project duration, type of business (large business, small disadvantaged business, other small business, HBCU or MI, other educational, or other nonprofit), complete list of subcontractors, technical and administrative points of contact including addresses, telephone numbers, electronic mail addresses (if any), and facsimile machine numbers.

(b) Executive Summary: The summary (3 pages maximum) should include: (1) a description of the proposed visionary technology or system and how the proposed effort will meet the objectives of the BAA, (2) a description of the significant innovative ideas proposed, (3) a comparison of these innovative ideas with current approaches and the current state of the art, (4) the expected impact of the research if successful, (5) a brief description of the technical approach and the key technology and system development milestones for proof of concept (6) the process and metrics recommended for measuring the impact of the developed technologies and system, and (7) a summary of the anticipated program deliverables.

(c) Innovative Claims (optional): The innovative claims should provide a summary of significant innovative technical claims (2 pages maximum). Identify any innovative technologies and technical ideas to be pursued and the expected impact on the state of the art if the proposed efforts are successful.

(d) Vision: In the vision, describe (2 pages maximum) the proposed technology or system and how the proposed effort will meet the objectives of the BAA. Describe the impact and relevance of this proposed research or technology development effort to the creation of a revolutionary concept/design/component(s)/system for the Nation's intermodal transportation systems. Describe the contribution and relevance of this proposed effort to related FHWA and highway programs and activities, where appropriate.

(e) Technical Rationale: The technical rationale section (6 pages maximum) must include technical arguments to substantiate the technical quality and merit of the claims made in the above sections (b), (c), and (d), provide a summary description of the technical approach, consistent with sections (f) and (g) below, and also provide an comparison with other ongoing research indicating both advantages and disadvantages of the proposed effort/approach. Describe and order the two or three most challenging technical areas and activities related to the proposed research or technology development. Indicate approaches for mitigating technical and schedule risk should proposed technologies produce weaker than anticipated results. Describe any parallel or alternative development approaches or technologies, and the rationale for their use. Indicate the potential impact of these alternatives on the performance goals and objectives of this BAA.

(f) Statement of Work (SOW): This section (6 pages maximum) must detail the relevant background information, the objective(s) of the proposed effort, the overall planned scope of the effort, and the technical approach for accomplishing the proposed effort. A chart of the proposed Work Breakdown Schedule (WBS) must be provided to describe both the high-level tasks and the subtasks at a level of detail sufficient to ensure that individual subtasks are clearly identified and allocated to a single project group or functional group within the proposing organization or to a single clearly identified subcontractor. For each task and subtask, provide a description of the proposed effort, significant timing constraints associated with the specific task and subtask to be performed (such as, "this task y can only be initiated after successful completion of task x"), the anticipated duration in both calendar time (weeks) and in resource time (man-hours and man-weeks), the planned specific utilization of personnel from specific project groups, functional groups and subcontractors, and also the anticipated results, products, or deliverables associated with the completion of each tasks and subtasks.

(g) Schedule, Milestones, and Evaluation Metrics: This section must provide a summary (3 pages maximum) of the schedule, milestones, and associated evaluation metrics for the proposed effort. A Plan of Action and Milestones (POA&M) format will be utilized in which the technical tasks and subtasks from the SOW, described in section (f) above, will be listed along the vertical axis of the schedule chart and time, with planned program phases (in 12-month increments), calendar year and fiscal year identified along the horizontal axis of the schedule chart. All significant experiments, simulations, lab demonstrations, and field demonstrations to be performed should be identified. Each milestone on the chart(s) will be numbered. There will be a separate table listing each of these milestones, the planned dates of completion, the planned evaluation metrics, and the criteria for successful completion of the milestones. This table must be specific, with both goal and specific quantified performance criteria (or range of anticipated performance) described for each planned milestone. This section must also provide a summary description of any Measures of Effectiveness expressions planned to be utilized in this development effort. A descriptor of the proposed approach to designing experiments, simulations and demonstrations to ensure consistent and effective software/system development and associated test planning should be provided if appropriate. Techniques or methodologies to facilitate repeatable, risk mitigation experimentation in all phases of the proposed development effort should be described.

(h) Deliverables and Products: This section (2 pages maximum) must consist of two subsections: Deliverables and Products. The deliverables subsection must describe and enumerate the anticipated contract deliverables for the proposed effort, both preliminary and final. The products subsection must describe and enumerate any additional anticipated results or products, including transferable technology expected for users on this program or for developers or users on related programs. This products subsection should address specific innovative approaches the offeror will take to facilitate technology transition. This products subsection should contain a clear description of how results will be made sharable to other funded highway research programs and what use these results might be to these other activities. Any restrictions on software, other data, or hardware developed under proposals that would affect this practice should be clearly identified in this section. The U.S. Government expects to obtain no less than Government Purpose License Rights to all software delivered as a part of these funded efforts. All software deliveries, preliminary and final, will include as a minimum, well-documented source code in electronic readable format, overall software architecture documentation, overall and individual module interface documentation, and a users operations manual. All hardware deliveries will include all documentation necessary to reproduce (assemble) and operate the delivered hardware system(s).

(i) Proprietary Claims: This section (1 page maximum) must provide a summary of any proprietary claims to results, software, hardware, prototypes, or systems supporting and/or necessary for the use of the research, results, software, hardware, prototype, or system proposed for development under this BAA. Any claims made in other parts of the proposal, such as in sections (c) and (h) above, which would impact the claims in this section must be identified in a cross-reference table in this section. As mentioned in section (h) above, the U.S. Government expects to obtain no less than Government Purpose License Rights to all software delivered as a part of these funded efforts. If there are no proprietary claims this section shall consist of a statement to that effect.

(j) Management Plan: This section (2 pages maximum) must describe the overall approach to management of this effort, including a brief discussion of the proposed organization and the use of personnel and other resources. Provide a description of how the proposed effort, as described in the WBS, will be executed. Refer to significant tasks and subtasks identified in the SOW (section (f) above) and to the Schedule, Milestones, and Evaluation Metrics (section (g) above) and provide a rationale for allocation of resources to proposed project groups, functional groups, and subcontractors. Indicate planned U.S. Government research and facility interfaces, and planning, scheduling, and control practices. This section should also describe the partnership structure between the entity proposing work and other public- and private-sector entities funding or otherwise substantially participating in the work, including State departments of transportation, metropolitan planning organizations, universities, foundations, etc.

(k) Technology Transition Plan: The technology transition plan (1 page maximum) should describe the plans and capabilities to accomplish technology transition. It should describe the anticipated stage of development of the technology at the completion of the proposed effort and the anticipated overall approach to advancing the technology further, through either further applied research, commercialization, or other mechanisms.

(l) Facilities: This section should include a description (2 pages maximum) of the facilities that would be used for the proposed effort.

(m) Experience: This section should include a description (2 pages maximum) of relevant capabilities, work, and significant accomplishments in areas associated with proposed research area or in closely related areas. Associate the described relevant experience to the specific project group or functional group in the proposing organization or to the specific proposed subcontractor(s).

(n) Key Personnel: This section should include a list of key personnel (1 page maximum), with title and identification of association to a specific project or functional group within the proposing organization or to a specific proposed subcontractor. Indicate the proposed amount of effort (man-hours) to be expended by each person during the proposed program (by both calendar year and by fiscal year). Resumes shall be provided for all key personnel. Resumes shall not exceed 1 page, and are not included in the total page limitation for this part of the cost proposal.

(o) Qualifications: This section should include a concise summary of the relevant qualifications of all key personnel proposed along with other major sources of support for them (limited to no more than 1 page per key person). If necessary, the U.S. Government will request additional resume and qualification related information.

(p) Other Proposals: This section must include a summary list of all current and pending proposals (2 pages maximum) being executed or proposed to be executed with the support of personnel proposed in this effort. This list should be ordered by the size of the effort and should include start and end dates, total project costs, and the average amounts of time (man-hours per month) planned or currently being expended on each effort. The list should be organized by names of the key personnel and other significant senior personnel. If the summary list is greater than 2 pages in length, indicate at the bottom of the second page the number of additional current and pending proposals and the total project cost associated with these remaining efforts. If required, a request for the complete list will be made.

(q) Bibliography: This section should include a bibliography (1 page maximum) of relevant technical papers and research notes, which support the technical concepts and innovative ideas described in this proposal.

VOLUME II—COST PROPOSAL AND BUSINESS INFORMATION

Volume II of the proposal shall be limited to a maximum of 12 pages not including the cover page. If necessary, the U.S. Government will request additional cost backup information, as appropriate. Volume II shall include a 1 page overall budget summary of costs for the entire effort (including all options proposed, if any) by each major cost category, and a 1 page overall summary of costs by tasks and subtasks. Separate cost information shall also be provided for the basic effort and for each option proposed, supported by detailed cost breakdowns, by both fiscal year and by calendar year, of labor hours by labor category and tasks/subtasks, materials by vendor quotes and purchase history, travel, computer, and other direct costs and indirect costs. An explanation of any estimating factors, including their derivation and application, shall be provided. An SF1411 is not required for this submission of your proposal. Details of any cost sharing to be undertaken by the offeror shall also be included in the cost section.

Volume II must include the following sections:

(a) Budget Summary: In addition to the two 1 page overall summaries identified above, provide a detailed cost breakdown (4 pages maximum) showing costs by each major cost category, such as personnel, equipment, travel, and other miscellaneous expenses (such as benefits/overhead rates), on a monthly schedule for each phase of the proposed program (basic period and any options periods), assuming a 15 August 2007 award date. Provide expanded cost data for the personnel cost category. Include a separate cost line for each proposed personnel designation (such a Program Manager), including proposed personnel name, labor rate, and percent time on project. Additionally provide a detailed cost breakdown (4 pages maximum) showing summary costs by task and subtask, on a monthly basis for each 12-month phase of the proposed program by both calendar and fiscal year assuming a 15 August 2007 award date. Use the same task or subtask numbers as described in the SOW in the Technical Proposal and Management Approach.

Include the following table of cost data for each U.S. Government fiscal year (FY), which extends from October 1 to September 30:

YEAR     FY 2007     FY 2008     FY 2009

BASE (Phase 1)

Option (Phase 2)*

Option (Phase 3)*

Total Cost

^{* if applicable}

(b) Matching Funds Summary: Provide a summary description of any matching contributions (1 page maximum). Describe the type of funds (cash, in kind, etc.), and its contribution and relationship in enhancing the proposed effort.

(c) Budget Details: Include any other relevant details that support sections (a) and (b) above (1 page maximum). If necessary, the U.S. Government will request additional cost backup information, as appropriate.

(d) Other Business Information: Awards that exceed $550,000 to organizations other than small businesses must include a Small Business Subcontracting Plan in accordance with FAR Part 19.7.

Include the following mandatory business information regarding your company:

• Business Size.
• Federal Tax Identification Number (TIN).
• Dun & Bradstreet Number (D&B D-U-N-S^® Number).
• Name and contact information (mail address, telephone, and electronic mail address) of your authorized business representative/point of contact.

ATTACHMENT A: BAA FOCUS AREAS

I. HIGHWAY SAFETY FOCUS AREA

The human and economic loss due to highway crashes in the United States remains at unacceptable levels. More than 43,000 people die on America's roadway every year and almost 3 million are injured. The USDOT, States, localities, and private sector organizations all are working to dramatically improve safety and reduce the numbers of fatalities and injuries by 20 percent by the end of 2008. The ability to reach this goal has been constrained by a number of factors. Renewed research, technology, and innovations are key components to finding solutions to the problems. The current R&D program at FWHA and other USDOT agency programs are directed at short-term safety improvement initiatives, as well as, longer-term research, especially into intelligent transportation system (ITS) solutions. Major research into the understanding of crashes, especially from the integrated perspective of the driver, vehicle, and infrastructure is underway as part of the Strategic Highway Research Program (SHRP) II at the National Academy of Sciences/Transportation Research Board. Exploratory advanced safety research proposals that would supplement and complement these existing research programs are sought. Proposals dealing with the following areas, each more fully defined below, are especially welcomed.

1. Enhanced understanding of the importance of the visibility of the roadway. This could include improved understanding of various levels of roadway lighting, as well as minimum levels of sign and pavement markings visibility to the driver, both at night or daytime.
2. Innovative technologies to detect the presence of pedestrians or other vulnerable road users either at designated/typical crossing locations, or at mid-block/unexpected areas; determine the potential conflict of the user and a highway vehicle; and develop methods to warn the parties in time to avoid a crash.
3. In concert with the States, vehicle manufacturers, and others in the private sector, create the parameters for a long-term ground traffic control system that would individually monitor all drivers and vehicles, their roadways, and environmental conditions; assess the likelihood of a crash or vehicle conflict on a real-time basis; utilize a communications system to warn of potential conflicts; and eventually have the capacity to take control of vehicles in unsafe circumstances that could not be prevented, but for such assumption of vehicle control.
4. Enhanced understanding of the relationship between the vehicle (all types) and the roadway, especially with regards to maximizing the friction capacity between the vehicle and road surface to improve vehicle control.

Increased Understanding of Driver Visibility

While there is general agreement that reduced visibility is a causative agent in the rate and severity of nighttime crashes, previous research has not been able to provide a definitive correlation between visibility issues and roadway safety. There is a lack of knowledge regarding the quantity and quality of the visual parameters that will insure that drivers and other road users obtain the necessary information to make appropriate decisions. This is especially true regarding the required luminance of pavement markings and highway traffic signs. It is also not possible at this time to provide reliable crash modification factors (CMFs) for fixed roadway and intersection lighting. A more basic understanding of how road users acquire visual information is the key to determining how best to meet their needs.

Previous studies have indicated that the overall roadway nighttime fatal crash rate, measured as fatalities per 100 million vehicle miles traveled (fatalities/100M VMT) is about three times higher than the daytime rate, while the injury crash rate is 1.5 times higher at night than during day. The fatal crash rate for pedestrians is difficult to judge due to limited information on exposure, but research does indicate that pedestrian fatalities are 3-to-5 times more likely during darkness than when daylight is present.

Research needs

Exploratory advanced research involving roadway visibility should define appropriate concepts and research topics that will significantly advance the understanding of how drivers acquire and act on visual information while driving at night.

An improved understanding of the visual requirements of drivers and other roadway users will permit agencies to make better decisions regarding installation of lighting systems and selection of traffic sign and pavement marking materials. Past research has indicated that the fatal crash rates may be reduced by 15 percent or more when appropriate visibility-related countermeasures are installed. Having definitive CMFs will assist agencies in using scarce public funds to provide the best benefit-to-cost ratio, and should result in significant reductions in the nighttime crash rate and severity of crashes.

Technologies to detect and warn pedestrians and drivers of potential conflicts

In 2005, 4881 pedestrians were killed in traffic crashes, accounting for more than 12 percent of all traffic fatalities in the United States and an additional 64,000 pedestrians injured in traffic crashes. Because of these injuries and fatalities, pedestrian safety was identified as one of the vital areas in the USDOT Strategic Plan (FY06-FY11); the Safety Strategic Goal states: “Enhance public health and safety by working toward the elimination of transportation-related deaths and injuries.”

In addition, the USDOT Strategic Plan's Research and Technology Strategy (#42) states: “Increase infrastructure and operational improvements which enhance the ability of travelers to remain on the roadway, reduce the adverse consequences of roadway departure, improve intersection safety and protect pedestrians and bicyclists in the roadway environment.”

In general, 50 percent of all pedestrian fatalities are caused by pedestrian inattention/error and 50 percent are caused by driver inattention/error. Most pedestrian fatalities in 2005 (74 percent) occurred in urban areas, approximately 80 percent of the fatalities at nonintersections, and 20 percent at intersection locations. Thus, the need to improve pedestrian safety requires not only site-specific technologies, such as those technologies that would be deployed at intersections, but also technologies to assist pedestrians that may enter the roadway at any location. Concepts to address these crash types were the subject of an ITS-funded project scheduled for release shortly.

Research needs

Accordingly, the FHWA is interested in exploring automated pedestrian detection and warning solutions (infrastructure based, vehicle based or some combination of both) that prevent both intersection and nonintersection pedestrian-related crashes. The warnings should be given to the driver and/or to the pedestrian. The focus of this innovative technology is to reduce pedestrian injuries and fatalities in the United States.

Currently, there are no commercial infrastructure-vehicle based systems that can detect pedestrians and provide a warning to the driver and/or the pedestrian of a potential conflict at all locations. Automated systems that can do the following have the potential to save lives: detect pedestrians on the sidewalk and along roadways; discriminate between pedestrians and/or vehicles that are a danger and those that are not; determine danger levels (immediate danger, warning, etc), and provide warnings to pedestrians, drivers, or both.

Development of an Integrated Safety System

For decades, highway safety research initiatives have focused on improving the individual components that produce safe driving or cause crashes—drivers, vehicles, and the roadway. Recently, research has expanded to include examination about how the interaction of multiple areas can affect safety. For example, research is being conducted on how humans interact with various vehicle-based technologies, or how drivers perceive and change behavior with different road designs and operational conditions. Currently, the ITS safety research program includes projects regarding vehicle-to-infrastructure communications, as well as, cooperative infrastructure-to-vehicle crash avoidance systems.

Additional insights regarding the relationship of the driver (and his or her actions or inactions while driving) with the vehicle and different roadway designs, and traffic/operational conditions are anticipated as part of the SHRP-II in vehicle and road data collection projects. While these exact relationships may not become known until the end of the program (2010), the analytical, scientific, and technological advancements are needed to take full advantage of the knowledge developed from the SHRP-II and other safety research projects. The ultimate goal would be to create a comprehensive and completely integrated safety system that would serve as a ground-based traffic control system that could improve safety and better manage traffic.

Research needs

There are many elements that would need to be researched, developed, tested, and evaluated before such a system is possible. Thus, projects to identify and sort out the type and breadth of subsystems and interactions that would be needed to research and create such a system. Advanced research projects could assess the initial feasibility of the integrated safety system approach, including required components, research fields, information requirements, analytical methods, needed participants (government, academia, and private industry), and preliminary cost-benefit analysis.

Additional research gaps to implement the system exist in the following areas:

• Real-time, two-way communications between all vehicles and an infrastructure traffic control system.
• Storage and processing of information associated with all vehicles on all roads.
• Modeling of individual vehicle movements, including identification of potential conflicts and remedial actions (warning or active vehicle controls) to prevent a crash.
• Understanding of the human factors and behavioral issues of a totally integrated, real-time system.
• Onboard vehicle technologies.
• Infrastructure requirements and operational requirements.

Understanding of the Relationship between Vehicle Dynamics and Roadway Friction Capacity

Roadway departure is the most critical factor among the causes of highway fatalities. The challenge to reach the 1.0 death per 100 million VMT goal for highway safety will never be achieved unless the fatalities associated with roadway departure is improved. With the consideration of the fact that driver-related fatalities are 90 percent of all highway fatalities, the vehicle and the roadway are required to be optimized for drivers to operate the vehicle on the road in safer driving conditions.

For many years, the auto industry has been focusing on the research of vehicle dynamics to keep the vehicle on the roadway, while the roadway has been designed without fully investigating the mechanics between the vehicle and the roadway. Thus, understanding the dynamic interactions between the vehicle and roadway components are imperative to reduce the fatalities associated with roadway departure, skidding, and stopping distance. Especially, the study of the dynamic relationship between vehicle tire and roadway friction is mandatory to reduce the fatalities of roadway departure significantly.

Research needs

There are many complicated parameters to understand the vehicle dynamics on the roadway including tire mechanics and vehicle stability. The roadway safety parameters also have to be redefined and expanded to meet the highway safety requirements considering vehicle dynamics and driving conditions. The friction capacity between the roadway and the vehicle is the only common parameter to understanding their dynamic interactions.

This research aims at understanding the dynamic behaviors of various types of vehicles on the roadway in terms of roadway frictions. There are two aspects of understanding vehicle-to-infrastructure interaction: vehicle tire to road surface interaction and vehicle stability to roadside geometric design and roadside conditions. Thus, this advanced research, which fills the gap between the reality and the future needs, redefines the dynamic parameters of the roadway; identifies the major safety contributors among parameters; defines dynamic interactions between the vehicle and the roadway; and finds solutions to reduce the fatalities associated with roadway departures.

II. PLANNING AND ENVIRONMENT FOCUS AREA

There are two fundamentally different ways to think about breakthroughs in planning, environmental analysis, and reality acquisition.

The first view is to assume that the trends of the past 80 plus years are, while not destiny, reasonably close to it. That is, traffic, both passenger and freight, will continue increasing and that highways will be needed to accommodate this increasing traffic. In this view, more will need to be known about how to plan these highways; more will need to be known about how to avoid, minimize, and mitigate the environmental consequences of constructing these highways; and more will need to be known about dealing with the property acquisition and management issues associated with these highways.

Among the activities associated with planning are considerable data acquisition activities. This includes traffic volume, speed, time of day, and time of year variations; spatial distribution of population; employment and commercial activities; and similar items. These data items are used to, for example, calibrate traffic models and forecast future traffic. Many of the metropolitan areas (with populations over 50,000) have traffic models that are used as bases for producing long-range (i.e., 20 plus years) transportation plans. The traffic models require the data on current volumes, speed, etc. Obtainment of these data is an expensive task, so much so that some areas use what is, in effect, simulated data.

Other related conditions, such as accidents and pavement conditions also are monitored. The data for these conditions are used to, within the context of the long-range plans noted above, develop medium range metropolitan programming documents, which show highway and transit projects expected to be implemented in 5 years, typically. The pavement related data acquisition for this activity is sometimes a mixture of the reports of various agencies (e.g., States, cities, counties, villages, park districts), depending on the agency that has maintenance responsibility for the road.

It might be possible, using current or near-future technology to improve the data collected, systemize the data for easier use, and reduce the cost of the data collection for both the 20 plus year planning activity and the 5 year programming documents.

Among the activities associated with environmental analysis is the task of monitoring levels of various species of chemical compounds (or in some cases, elements) in the vicinity of current and planned highways, in the water, in the soil, and in the air near the highway. The monitoring is done both preceding environmental documentation (e.g., an Environmental Impact Statement (EIS)) of a highway action (e.g., location/design approval), and as part of ongoing system analysis. One important use of such data is to calibrate existing predictive methodologies. As with traffic, each of the species would have a concentration that varied by time of day and time of year. Existing monitoring typically is done by State and Federal resource agencies (e.g., U.S. Environmental Protection Agency (EPA), State air quality agencies). The quality of the data thus obtained may be suboptimum or for many species (i.e., complex toxins), entirely absent. This task also might benefit from use of near-future technology to improve both the data collected and cost of data collection.

The second way to think about breakthroughs is to assume that at least some of the trends noted above may be reversed. That is, it is possible that at some time the trend of increasing traffic with time (passenger, freight, or both) would be reversed. There have been several short-term reversals of this trend in the past 80 years or so (less travel during gas rationing during World War II and during the two gasoline shortages in the 1970s). What would be desirable would be an early prediction system that would indicate the potential for a reversal in the trend of increasing traffic, based on technological change.

III. INNOVATIVE SOLUTIONS TO UNDERSTANDING AND APPLYING TRANSPORTATION POLICY

The focus of exploratory advanced research in the area of transportation policy is to understand the complex socio-economic interdependencies of surface transportation systems and the policies that create, maintain, and operate these systems. The intent of this research also is to develop the ability to model, analyze, and plan surface transportation solutions over different spatial and time scales.

These innovations are expected to originate either from new ideas or else from adaptations of ideas from other fields or disciplines. The innovations expected to result from this advanced research program, if successful, should provide policy makers with forecasting tools that can be used to predict possible transportation outcomes based on financial decisions, conditions, and performances of the existing transportation system trends and future transportation trends.

This effort will solicit the external research community for innovative advanced research proposals that focus on transportation policy issues.

Proposals would explore higher risk research with potentially dramatic breakthroughs addressing the interdependent relationships between surface transportation systems, innovative financial mechanisms used to fund major infrastructure projects, advanced modeling systems, and tools that could be used to analyze and predict future impacts of various transportation scenarios. Initial submissions would propose relatively high-level concepts or ideas, and one or more would be selected for further pursuit to determine if the idea had merit. Any projects selected for funding will represent a major departure from practice or transportation research sources, and hence will involve risks, particularly including whether the innovation can be transferred practically to real-world transportation applications.

The following identifies some examples of potentially promising areas for exploratory advanced research in the transportation policy area. This list is not intended to be inclusive, and all creative and innovative ideas and solutions will be considered.

• Analytical Approaches to Multimodal Investment Analysis.
• Emerging Issues in Innovative Finance.
• Alternative Futures to Freight Mobility.
• Integration of Transportation Data from Multiple Sources.
• Travel Demand Response to Travel Pricing.
• Geospatial Data Acquisition for Highway System Performance Monitoring.
• Advanced Approaches for Identifying Fuel Tax Evasion Practices.

Analytical Approaches to Multimodal Investment Analysis

Background

Most analyses of transportation infrastructure investment, financing mechanisms, and pricing policies focus on potential investments or policies within a single transportation mode such as highways, railways, or transit. These single modal analyses effectively ignore one of the most salient features of a interconnected transportation network, namely the impact that investments in one mode can have on other modes. These effects can be either complementary (such as investments in port capacity that increase the demand for freight shipments by rail or truck) or diversionary (such as mass transit upgrades that relieve pressure on parallel highway routes).

While the need for more comprehensive analysis is clear, significant research is needed before tools to perform such analysis could be developed. More understanding is needed of the barriers that would need to be overcome to advance this field, including integrated, comparable data inventory and extraction systems across different modes; development of new analytical techniques to simultaneously evaluate and compare policies and investments across modes; and institutional arrangements and organizations that can hinder or facilitate comprehensive transportation analysis.

Research Needs

Currently, the relatively small numbers of multimodal analyses that are performed are generally part of the alternatives analysis phase of a major investment study. Such efforts are costly, and generally focus on a narrowly targeted area. Research that includes an evaluation of these techniques and determines which aspects or data might be applicable for more broad-based policy and investment analysis is needed.

To move forward on actually developing applied tools for multimodal analysis, research is needed to understand the existing barriers. It would also involve bridging a critical knowledge gap concerning the implications of pricing in a multimodal context.

Proposals that address one or more of the following items, or others identified by the solicitor, are welcome.

• An understanding of the barriers to multimodal analysis and how the barriers could be overcome.
• An understanding of the data requirements for performing multimodal analysis and the resources that would be required to collect such data.
• Basic techniques that could be used in developing and applying multimodal analysis tools.
• Institutional structures needed to support this type of analysis.
• A conceptual framework for analyzing pricing in a multimodal context.

Emerging Issues in Innovative Finance

Background

State and local governments are exploring many innovative strategies to finance needed highway improvements. Many of these innovative strategies involve unique partnerships with the private sector that raise questions about whether the strategies are in the public interest and represent good stewardship of public resources. Other strategies involve new ways of pricing highway facilities that would make highway pricing more like that of other network-based utilities. Questions in many cases revolve around legal and financial elements of the projects with which the public, many State legislators, and other interest groups are unfamiliar. Those same projects that are financed innovatively, however, may also generate substantial revenues for the public agencies that could allow other projects to be advanced far sooner than if decisionmakers had to wait for other sources of revenue to become available. More State and local agencies might be able to leverage the value of their existing highway systems and more efficiently price those systems if those agencies better understood and could convey the benefits of various approaches to financing and partnerships. Many of these same issues also pertain to the provision of other public infrastructure and services. Practices and experiences in those areas will be investigated to identify aspects that may be transferable to highways.

This type of advanced research could examine details of recent partnership agreements, including long-term leases of facilities to the private sector in return for large, upfront payments. Legal and financial factors that make projects attractive to the private sector could be explored in detail along with issues that public agencies should examine when considering such partnership arrangements. Provisions that have been used to protect the public's interest in the highway asset concerning such issues as security, operations, physical conditions, and toll rates, could be examined, compared, and critiqued. Partnership arrangements in other sectors that may have similarities to highways in terms of the legal, financial, and public interest issues could be identified and evaluated. Partnership arrangements in other sectors possibly could be examined to determine whether there are elements that might have applicability to highways. Research could also examine issues related to more equitable and efficient pricing that may be incorporated into public-private partnership agreements, or implemented by public agencies.

Research Needs

Research is needed to explore the techniques, practices, and concepts that are at the breaking edge of highway finance, pricing, and administration. Many of these practices involve new and somewhat controversial public roles in managing transportation systems. Research in this area would provide information that is not available anywhere else and involves new ways of thinking about highway assets and financing and pricing transportation systems. An important component of this research would be to identify methods and experiences in other sectors that may have applicability to highways.

IV. INNOVATIVE OPERATIONS SOLUTIONS TO REDUCE TRAFFIC CONGESTION

In May 2006, former Transportation Secretary Norman Y. Mineta announced a major initiative to reduce congestion on the Nation's transportation network. The Texas Transportation Institute has estimated that in 2003, traffic congestion across the Nation cost the economy over $65 billion per year¹, a figure that has more than doubled since 1993. This figure would be even higher if it accounted for the significant cost associated with the unreliability of the transportation system to drivers and businesses, the environmental impacts of idle-related auto emissions, or increased gasoline prices. Major sources of congestion on the highway network include bottlenecks, incidents, adverse weather, poor signal timing, and work zones. Congestion caused by these sources is difficult to mitigate due to the lack of mechanisms to control traffic demands and prevent gridlock where capacity limitations exist. In addition, this inability to control demand is exacerbated by the fundamental economic fact that individual motorists' price for transportation service does not reflect the full cost of congestion from their use of the highway facilities.

The purpose of the Operations exploratory advanced research program is to identify, develop, and assess promising innovations that could provide significant operational and technological improvements that have the potential to dramatically reduce traffic congestion. These innovations are expected to originate either from new ideas or from adaptations of ideas from other fields or disciplines. The innovations expected to result from this advanced research program, if successful, should provide considerable relief to drivers, and significantly reduce the costs of congestion.

This area of solicitation will solicit the external research community for innovative advanced research proposals that focus on congestion mitigation issues. Proposals would explore longer term, higher risk research with potentially dramatic breakthroughs addressing the causes and consequences of traffic congestion. Initial submissions would propose relatively high-level concepts or ideas, and one or more would be selected to pursue further to determine if the idea had merit. Any projects selected for funding will represent a major departure from practice or transportation research sources, and hence will involve risks, particularly including whether the innovation can be transferred practically to real world transportation applications.

The following identifies some examples of potentially promising areas for exploratory advanced research to reduce traffic congestion significantly. This list is not intended to be all inclusive, and other creative and innovative ideas and solutions will be considered.

Mobility Applications for Vehicle Infrastructure Integration

Background

The effectiveness of traffic management applications always have been limited by the human element, because drivers' choices and personal characteristics limit the capability of traffic management systems to achieve the levels of performance that are theoretically possible, and by the economic and technical barriers to providing new services. The emerging Vehicle Infrastructure Integration (VII) partnership offers opportunities to use advanced vehicle, roadside, and communication technologies to overcome these limits, by providing new services that offer additional choices that significantly improve performance of the transportation system. Two aspects of driver behavior, vehicle speed and following distance, could be controlled potentially, with the concurrence of individual drivers, and allow the theoretical potential of advanced traffic management systems to be realized. Alternatively, fully automated control of vehicles could offer enhanced benefits to travelers in passenger cars, commercial vehicles, and transit buses and other multiuse vehicles.

Traffic flow research has shown that fundamental traffic parameters of flow, speed, and density vary considerably from freeway section to freeway section and over short-time intervals. These dynamic variations reflect physical factors such as ramps, number of lanes, and lane use characteristics, and traffic factors such as the mix of heavy vehicles, weaving, lane changes, and the presence of driver distractions such as incidents. Although desirable speeds and flows theoretically can be achieved, the limited capabilities to control demand, today, generally cannot prevent the onset of congestion or reduce the adverse impacts.

The first research hypothesis is that an advanced traffic management system can measure traffic flow on individual highway sections, determine “optimal” flows and speeds for the near future, and then use direct communication to individual vehicles to allow the optimal traffic flow to be achieved. Traffic upstream of a bottleneck, for example, can be slowed down earlier so that densities at the bottleneck section will be less, and consequently flows and speeds higher, than if upstream traffic had not been slowed. This approach would improve traffic performance at the bottleneck, and also overall, even though some vehicles would slow earlier than anticipated. This counterintuitive hypothesis agrees with some theoretical research, but must be further developed and tested with actual data and validated simulation models.

Another research hypothesis is that VII technologies can be used to increase traffic flow levels significantly, even in “mixed” traffic where VII vehicles and other vehicles share the same lanes. This concept will require vehicles to track vehicles ahead of them, to recognize whether these vehicles themselves are equipped with VII technologies, and to adjust automatically the vehicles' speeds and following distances. This concept would require determination of parameters for safe following characteristics and of driver behavior and acceptance limits for different drivers. By allowing VII vehicles to safely follow other vehicles at shorter headways, significantly higher traffic flows can be achieved.

Fully automated control of vehicles can eventually provide even greater mobility and safety benefits, as driver errors can be eliminated and driving efficiencies improved. Furthermore, driver costs for commercial goods movement and transit buses potentially can be reduced or eliminated through automation, therefore allowing greater economic efficiencies and potentially improved services performance.

Mobility applications that offer significant improvements over current systems will require significantly new concepts that make use of vehicle-vehicle and vehicle-roadside cooperation and possibly also vehicle automation and control. As these services do not exist today, advanced research using sophisticated models and recently available microscopic traffic data will be needed to develop the concepts and evaluate their potential. The timeframe for the development and deployment of these services is significantly longer than is usually acceptable to the ITS and other USDOT research programs, which historically have focused on much near-term prospects and research topics that can be deployed much earlier.

Research Needs

Exploratory advanced research is needed to develop new mobility concepts, validate driver behavior and acceptance, and then assess the feasibility and mobility benefits through simulation studies. Some specific research gaps to support advanced mobility applications for VII are identified below. Proposals addressing one or more of these gaps, or others identified by the proposer, are welcome:

• Development and validation of speed management concepts to improve traffic flow and safety on freeways and arterials.
• Development and validation of innovative car following services that can improve traffic flow and safety on freeways and arterials.
• Identification of innovative traffic signal control methods that could use vehicle-infrastructure communication to improve traffic flow on arterials.
• Analysis of innovative transit services that can, through automation, provide cost-effective and higher quality access from homes to local community centers and regional transit connections.
• Analysis of the role and value of fully automated vehicle-highway systems that can provide increased accessibility, higher capacity and use, and greater safety.
• Fundamental travel behavior studies and analyses to improve the understanding of future travel needs and the potential and acceptance of innovative future transportation services.
• Fundamental research on vehicle-vehicle and vehicle-infrastructure communication and control concepts that can enable advanced transportation services.

Heuristic-based Solutions for Traffic Management Systems

Background

Heuristics provide satisfying solutions in a cost effective manner. Heuristics are often used for very complex problems where finding a perfectly optimal solution is not feasible or cost effective. Heuristics were pioneered in the 1940s-1960s for solving complex military and space (i.e., NASA) problems. The field of Operations Research has developed and used heuristics for many complex applications for many years. For example, large, global companies often use heuristics to solve complex enterprise integration and optimization problems with supply chain management.

This research would examine other industries, such as military, computer science, and enterprise integration, for state-of-the-practice usage of heuristics in solving complex optimization problems, and evaluate the feasibility of applying these heuristic applications to the field of intelligent transportation systems (ITS). Currently in the field of ITS, many vendors and academic researchers are creating overly complex solutions that attempt optimality, but often with little success. For example, many incident detection algorithms have been created that attempt to automatically detect roadway crashes based on roadway loop detectors. These algorithms have proved ineffective in reality, due to a preponderance of false-positive incident notifications.

Traffic signal coordination is another example where a fresh look at heuristic-based solutions may prove beneficial. Transyt-7F, a popular traffic signal optimization program, has used a heuristic-based approach (i.e., hill-climbing algorithm) for signal coordination. This approach has proven successful, but the algorithm is more than 20 years old and there may be heuristic-based solutions from other industries that can provide a fresh view of the traffic signal optimization problem. Other ITS-based optimality problems that could benefit from heuristics include calculating real-time traveler information, providing real-time route guidance, determining real-time, high-occupancy toll (HOT) lane tolls, and using automated highway technologies.

Research Needs

Heuristics represent a practical solution to very complex problems and, as such, the end product of this research is to recommend practical, acceptable (yet not perfectly optimal) solutions to ITS problems that have vexed practitioners and stymied systems developers for years. Application of the best current algorithms to traffic signal systems have been shown to improve traffic performance, by reducing delay and stops, by up to 20 percent. One can anticipate that the significantly improved traffic control methods that could be developed from heuristics could provide performance improvements at least at this level.

Traffic control systems typically are developed in an incremental manner, using algorithms and computational methods familiar to traffic engineers and systems developers. Advanced research would involve an examination of recent and emerging methods applied elsewhere to identify new algorithms and methods developed in other fields that might be capable of providing significantly improved traffic control systems. Promising ideas would be further developed and assessed to evaluate their potential effectiveness.

Development of an Origin-Destination Data Model

Background

Origin-destination (O-D) tables are needed for highway operations and transportation planning purposes. Despite the need for O-D tables, assembly of these tables has historically required surveys of travel behavior, which have been limited due to the high cost of conducting these surveys. To fill the gap, estimation methods have been developed and applied with limited success. The best available model, the “maximum entropy” method, uses traffic counts and available O-D patterns from previous (and typically outdated and inaccurate) travel surveys as a starting point. Although the model can estimate traffic movements that replicate the traffic counts on highway links used as input, the accuracy of the resulting data is poor and the model cannot provide data in real time.

O-D data tables cannot be developed without expensive surveys and extensive traffic count data. This project would enable a scan of algorithms and computational methods used in other fields in order to identify an estimation model that can provide highly accurate O-D table data in real time. Emerging computational methods such as use of artificial intelligence, knowledge-based expert systems, and computer-friendly math methods, will be investigated for application to O-D estimation. Particular attention will be focused on methods of using O-D data available for short segments of the street and highway system as a basis for estimation of regional traffic patterns and flows.

Research Needs

An improved O-D data model would enable highway operators to apply significantly more sophisticated route diversion and system load balancing methods to improve traffic flow and to allow drivers to avoid congestion. Emerging corridor management strategies would particularly benefit from the availability of accurate O-D data, as operators will be challenged to provide effective responses to non-recurring incidents arising from sources such as accidents and work zones without a significantly better knowledge base of driver destination intentions.

If the initial results of this advanced research project confirm that a new O-D data model appears to be feasible, another phase of the research will investigate the concept using actual data. The algorithms developed in the first phase of the advanced research project would be validated against actual O-D movements from test data.

Identification of Pavement Materials to Enable Radio Communication for Advanced Transportation Management

Background

Developments in nanotechnology and materials science promise the potential of materials that can be placed in pavement and used to support radio communications networks. This project would involve an examination of materials science, electronics, and other fields where materials with such properties might be identified, and an initial assessment of the feasibility of adding these materials to pavements to enable radio communications to support advanced transportation management applications. The materials might be added when the aggregate material is prepared, applied when the pavement is formed, or else added in a subsequent operation.

Although researchers working with some nanotechnologies have postulated and achieved the communication between discrete nanoparticles, and have linked nanoparticles to form nanowires, the development of specialized particles to be placed in pavements to support new communication services has not been investigated yet. The feasibility of achieving the communication function within concrete or asphalt materials themselves and within the hostile roadway environment have not yet been considered, and must be viewed as quite speculative.

The new materials envisioned could address the SAFETEA-LU Exploratory Advanced Research area, “Data acquisition techniques for system condition and performance monitoring.” In addition, the materials could reflect the vision of the Advanced Research Think Tank recommendations under Transportation Infrastructure with respect to nanotechnology.

Research Needs

The purpose of this specific research would be to determine whether advanced materials can be developed and deployed in pavements to support network radio communication services. If so, these new materials could enable new applications such as automated and pervasive system condition monitoring and performance monitoring that would not be possible otherwise. This communication innovation also would reduce the costs of communication for traffic management and other public purposes.

The research also would consider the feasibility of exploiting the communication properties of the new material to support network communication functions, and then assess the advantages and disadvantages of the new material and associated infrastructure in comparison with existing communication through wireline or wireless processes.

If the results validate the technical concept and confirm that deployment may be practical, a second phase of the project will involve the development of prototype materials and limited testing in the laboratory to further determine the potential communication characteristics.

Enhanced highway condition and performance monitoring through advanced data management methods

Background

Transportation systems operators must work with a broad set of source data and information, combine and qualify the information to yield better management of the roadway and travel assets, and disseminate the information when needed by travelers. One component of this complex process is data fusion. The overall effectiveness of data fusion needs to be evaluated in a systems context, taking into consideration the overarching system mission and purpose, architectures, data processing capabilities, data validation and verification, human-system interface, and institutional arrangements.

Input data quality continues to be a hindrance to the offering of more advanced transportation system management services. Current practices focus on “fix and find” methods without long-term, systemic attention to data quality issues. One of the key issues is the different perspective held by stakeholders on the level of satisfaction with the existing data quality and the associated remedies and costs to make improvements. Resolution of data quality issues will require partnerships among the data owners and users to reach a shared solution.

Research Needs

The gap that exists today in highway data quality is widely known. The challenge is to develop effective data fusion, data mining, and non-parametric approaches towards assessing highway conditions and performance that will overcome the existing gaps in data quality. Several States either have or are in the process of defining a list of core data elements that they rely upon for determining the performance level in key lines of business. Some of these data elements may not necessarily correspond with the data that has been collected by the subject state. However, through data mining and data fusion processes it may be possible to infer the desired data with an acceptable level of data quality.

One example of the use of data fusion to overcome data quality gaps is real-time condition monitoring to estimate travel times across specific segments within a network. Accurate condition monitoring is currently limited by of the expense of intensive sensor deployment across a broad geographic area. To overcome this limitation, some States and their private partners have investigated the potential for inferring travel speeds on freeways. The moderate success of these tests could be further bolstered by research on how data from different sources compare along the same route segments, and then whether a data-centric data fusion model can be applied towards estimating correlation measures over a broader coverage area.

Research into cognitive-based data fusion techniques could offer the ability to predict system-wide impacts from no-notice events such as a gas main rupture, rapid wild fire, or terrorist event. Techniques such as fuzzy logic are currently applied in other domain areas such as meteorology. Although the reliability of the data that most transportation agencies possess is dubious, it may be possible to begin defining fuzzy logic approaches to address no-notice events of significance. For example, advanced research could explore computing methods that take in data from a variety of sources in real time, correlate against event impacts recorded in an archive system, test out and evaluate a variety of possible outcomes, and then identify the likeliest impact on the transportation network when a sudden even occurs.

V. HIGHWAY INFRASTRUCTURE FOCUS AREA

The FHWA has a long history in developing advanced highway technology and supporting the practical application of technical innovations and advancements. This practice is continued under SAFETEA-LU, which authorizes the Federal surface transportation programs through the end of Fiscal Year 2009.

In the area of infrastructure R&D, the focus of FHWA's efforts has been to deliver tools and knowledge that enable the U.S. highway system to provide the public with a high level of service and long life at reasonable cost, while minimizing annual maintenance demands. In addition, it is hoped that the U.S. highway infrastructure can enhance rather than degrade the environment, and can be readily adapted to changing demands.

In order to achieve this vision, infrastructure R&D must address quality standards, specifications for materials and systems, construction practices, and effective system preservation approaches and tools. Much of the FHWA's R&D in the infrastructure arena is focused currently on delivering short-term products as identified by the Agency's partners and stakeholders. However, there is also a need for research that supports the development of the next generation of highway infrastructure, addressing such issues as quality performance data, improved materials and systems, improved fabrication and construction practices, and new decisionmaking tools and models.

The FHWA is soliciting for research ideas and concepts that support these current and future highway infrastructure needs. At this time, the specific areas of greatest interest include the following:

Next Generation Infrastructure Materials—The civil engineering community and the FHWA are interested in innovative or alternative materials that have the potential to reduce or eliminate shortcomings of existing materials; may enable broader use of innovative pavement and structural elements, which have not found wide use for economic reasons, despite superior technical performance, and which may encourage the development of entirely new types of structures and pavements.

Breakthrough Construction Technologies that Include Real-Time Quality Control—Improved performance of pavements and structures can occur in part through improved quality control of materials and construction. Several breakthrough technology innovations in real-time quality control have been incorporated over the years into automated concrete and hot mix asphalt plants. There is both a need and the potential for more such real-time quality control innovations throughout all elements (mix transport, placement, lay down, consolidation, curing, etc.) of the construction process. Developing and implementing the innovations should result in savings gained from a better performing, more cost-effective constructed product, and the use of fewer quality control and quality assurance personnel to measure and monitor quality.

Systems-Based Analytical Modeling and Design Tools or Methodologies—The design and analysis of pavements and structures must be based on fundamental engineering to enable the optimized use of resources and contracting methods. Innovative technologies and advanced computing power should be applied to enhance the understanding of the relationships between materials and construction to performance, and provide the ability to predict the expected performance of structures and pavements.

Systems and Methodologies for Improved Infrastructure Management—Develop innovative ideas, techniques, and tools for the collection, integration, analysis, and interpretation of infrastructure management system data for efficient management of infrastructure assets and effective communication with owners and stakeholders.

These high-interest areas are described further below.

Next Generation Infrastructure Materials

Background

The civil engineering community, and the FHWA are interested in innovative or alternative materials for three reasons: 1) they have the potential to reduce or eliminate shortcomings of existing materials, 2) they may enable broader use of innovative pavement and structural elements, which have not found wide use for economic reasons, despite superior technical performance, and 3) they may encourage the development of entirely new types of structures and pavements. The three reasons seem logical, but are they compelling? In public works the future choice may be appalling: watch the last decade's progress in rehabilitating the infrastructure get eaten up by rising maintenance costs and constantly accruing needs, or raise taxes to unacceptable levels just to maintain the existing infrastructure at its current status quo. If there is a possibility that construction productivity and the longevity of public works may be increased by the use of new materials, the transportation community is compelled to investigate them. New infrastructure materials are periodically developed, and products using the new materials are invented, tested, and—usually after a span of decades—worked gradually into everyday practice until they become accepted standards. Steel, concrete, and asphalt all followed this path. These are the major developments. On a finer scale, improvements and adaptations of conventional materials occur constantly. Entirely new materials, such as fiber-reinforced polymer composites, have an extremely difficult time becoming standard materials. They were invented in 1916, but have only been making halting steps into the highway infrastructure in the last three decades.

State bridge and pavement engineers are really interested in two things: lowering initial costs and extending service lives. New materials or next generation materials will not be adopted for their own sakes. They will be judged on their ability to meet these two criteria. Existing research and prototype construction can generate data for initial costs, but the transportation community is unable to provide any valid predictions of service life. When a new material presents a tradeoff between purported longer service life for a higher cost, potential users tend to adopt a wait-and-see stance towards it: Let someone build a prototype and see how it fares. With established materials, the transportation community can make reasonable assumptions about their behaviors in the future. With entirely new materials, the transportation community cannot. Research should concentrate on developing the ability to predict the behavior of those materials—and the pavements and structures built from them—over very long periods of time.

Research Needs

The proposed research would develop a method for predicting long-term material behavior, and from that, long-term structural performance of bridges and pavements. The following stages in research are required to do this:

• Empirical Testing for predicting long-term material performance.
• Mechanistic approaches for modeling complex systems.
• Establish analytical link between accelerated testing of material degradation and structural/pavement behavior.

It is proposed to develop this method for several or all of the following applications and types of new materials:

• Structures:
  • Advanced Superstructure and Deck Elements.
  • High Performing Cementitious Composite Materials.
  • High Performing Metals Optimized for Durable Structures.
  • Fiber Reinforced Polymer (FRP) Systems.
• External Barrier Protection and Structural Retrofit Systems for Decks, Superstructures, and Substructures.
  • Advanced FRP Materials with Enhanced Durability to Mitigate Degradation.
  • Polymer Coating Systems to Slow Degradation.
• Adaptive Materials to meet stability and vibration limits (and to present strength and durability).
  • High Strain Electro-Active Actuator.
  • Flexible Piezoelectric Elements.
  • Adaptive skins of cable elements to counter wind and rain forces—Macro Actuators to counter extreme event live loads—Virtual Bridge Deck Cross Sections (change shapes of edges/ surface roughness).

• Pavements:
  • Advanced Wearing Courses.
    • Epoxy asphalt.
    • High Performing Cementitious Materials.
  • Composite Pavements.
  • Advanced Paving Materials.
    • Use of nanomaterials.

Breakthrough Construction Technologies that Include Real-Time Quality Control

Background

The road and bridge construction process is a labor-intensive process that calls for not only contractor construction and quality control personnel, but also agency oversight and quality assurance personnel. The process involves elements such as materials production, plant batching or mixing, transporting, placing, compacting or consolidating, finishing, and curing. The potential for material and construction problems to occur exists during every one of these phases, and the sooner a problem is identified, the sooner it can be corrected. Ideally, a quality control problem should be identified before the product is in place and will not require expensive removal. At any rate, where corrections or adjustments can be made promptly, the result is a higher-quality product that will perform better. Additionally, any real-time continuous monitoring of construction quality can significantly reduce labor, which would be required to correct otherwise possibly extensive low-quality areas. The number of agency inspectors and technicians also can be reduced, particularly if the employed continuous real-time monitoring technology includes an automatically generated record of the quality being produced or constructed.

Several technology innovations have been introduced in recent years. One example of a construction element that has benefited tremendously from the technology is concrete/hot mix asphalt plant production, utilizing the development and use of automated batch plants that are equipped with continuous monitoring/testing devices (to measure gradation, temperature, moisture, etc). The continuous recording of quantities has decreased the need for testing personnel while at the same time assuring a higher quality, more uniform, batched mix. However, there is a need and the potential for similar advancements with respect to all other elements of the construction process. There is also a need to monitor quality and curing during the material placement process to ensure the proper conditions are present for decks and slabs to develop their intended properties.

Research Needs

For concrete pavements and structures, a need exists for improved devices or systems that provide real-time measures of quality characteristics/properties such as durability, segregation, thickness, smoothness, curing effectiveness, moisture loss, consolidation, surface texture, steel cover and location, strength, water-cementitious ratio, etc. For asphalt pavements, a need exists for improved devices or systems that provide measures of several of the above plus others such as asphalt content, volumetric properties, etc. There is also a need to incorporate the real-time measurement devices into an integrated intelligent paving system that will predict future pavement or bridge deck performance during the construction process. Some potential nondestructive testing technologies that could be applied or further developed, either individually or in combination, are infrared thermography, electromagnetic sounding, acoustic techniques, X-ray computed tomography (XCT), and magnetic tomography, to name but a few. The use of embedded electronics, that is, “smart” materials and radio frequency identification (RFID) devices, also can be considered to allow improved detection/measurement with any of the technologies.

For concrete bridge systems, the need exists to develop technologies that can monitor degradation and corrosion of reinforcing cables and steel. Much of this activity occurs in inaccessible areas that are difficult to inspect. Methods to assess time dependent degradation of decks and slabs will extend the quality assessment process throughout the life cycle of structures. There also would be a benefit to having technologies that can provide real-time assessment of loads and load histories on structures and pavements. This data would be very useful for long term structural assessment and transportation planning purposes.

Systems-based Analytical Modeling and Design Tools or Methodologies

Background

Although sophisticated analytical modeling and design tools exist, to a large extent the state of the practice in the design of highway infrastructure is to use simplified methodologies and/or empirical relationships. Economic and technical barriers in many cases prevent advanced methodologies from being utilized, especially when dealing with the large number of routine projects. For the average designer in dealing with routine structures and pavements, it is often not economical to conduct sophisticated analysis and design. Simplified design and analysis for even routine projects, however, should be based on sound fundamental engineering that relate factors such as materials and construction to performance.

Analysis and design procedures have always been limited in their effectiveness by assumptions made, and when simplified procedures are used the results can lead anywhere from over conservative to inaccurate designs, as well as to forensic analyses that are open to interpretation. Current practices and/or methodologies limit the capability to achieve the levels of performance that are theoretically possible, and to make optimized decisions based on sound engineering principles.

Emerging technologies, if developed properly, offer opportunities to improve analytical modeling and design capabilities, and provide for more realistic designs and performance prediction analyses. Simulation and modeling capabilities can offer enhanced benefits to designers including the opportunity to address constructability issues, serviceability, and resource availability issues. The capability to fundamentally predict performance also provides the foundation for performance based (or end result) specifications. Advanced analysis and design of transportation structures and pavements is needed and can be achieved by advanced simulation and fundamental modeling and the development of next generation design and analysis methodologies.

Research Needs

Exploratory advanced research is needed to develop methodologies integrating modeling, analysis, design, optimization, simulation, and predictive capabilities for pavements and structures. Applications that offer significant improvements over current systems will require significantly new concepts and/or the application of theories that had previously been limited by computational power. As these capabilities do not exist today and/or are not routinely applied on routine infrastructure projects, advanced research using sophisticated methodologies will need to be developed and their potential evaluated.

Studies conducted in this area should strive to develop modeling capabilities, which provide physics and other fundamentally based models delivering improved computation efficiency, accuracy, resolution, and parameterization requirements. Ultimately, the goal is to fundamentally analyze and predict the expected performance of structures and pavements to ensure the best use of available resources.

Systems and Methodologies for Improved Infrastructure Management

Background

Pavement and bridge management systems initially evolved from a need to store the large amounts of information (data) created and collected during the design, construction, and maintenance of these infrastructure assets. However, the role of pavement and bridge management systems has evolved significantly over the years. Inadequate funding, aging infrastructure, increased capacity demand, elevated public scrutiny, and a need for more and improved accountability all have combined to create significant challenges for State and local highway agencies. The current situation demands that the importance and function of pavement and bridge management systems no longer can be merely as information warehouses. It is critical that these management systems develop into tools that provide effective and efficient management of the transportation infrastructure. In addition, increased competition for funding among the different components of highway networks has made it problematic to sufficiently fund separate pavements and bridges management efforts. Therefore, integrated infrastructure management systems that can provide effective and efficient management of all highway system components from an economic standpoint, but that have the flexibility to manage them separately from an engineering standpoint, are needed.

Research Needs

The ability of infrastructure management systems to meet today's needs and tomorrow's challenges depends on their ability to provide accurate and appropriate information and analyses needed to effectively manage and maintain the transportation infrastructure under a complex and demanding set of conditions. The systems should integrate design, materials, construction, maintenance, and monitoring information to allow comprehensive analysis and timely and accurate prediction of future performance that is vital for efficient management of the highway infrastructure. The prediction models should be based more on fundamental engineering properties and principles and less on empirical relationships that can be applied readily to innovative materials and construction techniques introduced used in today's infrastructure. The systems should be based on sound life cycle cost analysis principles that addresses agency and user costs, that adequately addresses the inherent uncertainties and risks involved and provide appropriate and credible information tailored to the needs and understanding of the various users—engineers, executives, legislators and the public.

The specific research needed to move infrastructure management systems to meet these challenges may include:

• The determination of infrastructure remaining service/residual life based on engineering measures.
• The development of fundamentally based performance prediction models.
• The development of advanced life cycle cost methods that include user costs and addresses inherent uncertainties.
• The development of techniques for integration of design, materials testing, construction, maintenance, and monitoring information for comprehensive analysis and prediction of pavement and bridge behavior.
• The adaptation or development of improved data mining or knowledge discovery techniques.

VI. CROSS-CUTTING EXPLORATORY ADVANCED RESEARCH

It is recognized that the needs identified above, although of definite interest to the FHWA, are not all inclusive. It is anticipated that there will be creative and innovative research topics and ideas that, while not specifically addressing the needs identified above, are worth consideration. There also are research topics that are more fundamental or enabling in character and as such cut across the focus areas identified above. In fact, although presented within a specific focus area, several of the ideas presented above do cut across focus areas. In keeping with the Congressional intent of the Exploratory Advanced Research Program, the FHWA is interested in any proposals for longer-term, high-risk research that could bring about dramatic breakthroughs for improving the durability, efficiency, environmental impact, productivity, and safety (including bicycle and pedestrian safety) aspects of highways and intermodal transportation systems. In submitting proposals, the Offerors are reminded that the intent of this program is to fund applied research that, while high risk and perhaps longer term, is undertaken with a specific problem or need in mind. Basic research is not within the scope of this program.

¹ Texas Transportation Institute (“TTI”), 2005 Urban Mobility Report, May 2005 (http://tti.tamu.edu/documents/mobility_report_2005.pdf), p. 1.

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