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OCR for page 39
4
Implementation Strategy for
A National Infrastructure
Research Agenda
A new force and direction for infrastructure research ~ ret
quired if we "e to overcome the sub~tanti~ barriers to innovation
in the U.S identified in the precarious chapter. The existing institu-
tions for man aging research mode by mode, discipline by discipline,
material by material (concrete amd asphalt, for instance) and ju-
riediction by jurisdiction produce real improvements =d should
be supported ~ their cont~nu~g program of research Ad develop
meet. Much more ~ needed, however, for the nation to overcome
the many existing barriers to innovation, to fib ~ the major gaps
in current research efforts, and tp begin meeting the infrastructure
needs of the 21st century.
Implementing the committee's derision of a new agenda that
captures both crosscutting and modal opportunities requires in-
stitutional as well as technical response. No single government
agency or other organization ~ responsible for the state of all m-
frastructure systems. Rather, Republic works infrastructures is an
umbrella term for services provided by innumerable organizations
representing the various modes. Each mode ~ different historically
and technically as well as in its professional practices, financing
problems, and public attitudes toward it. While this diversity of
outlook and organization ~ both an understandable and effective
response to the great variety of local conditions to which ~nfra
39
OCR for page 40
40
structure must be accommodated, it strode ~ the gray of realiz
ing fully the opportunities for innovation that are needed if we
are to effectively rebuild and update our ~nfirastructure systems.
The committee believes that a new organization ~ needed to iden-
tify voids and opportunities for improvements and that these are
likely to be found only if infrastructure ~ perceived as a whole.
The committee recommend that ~ two-year implementation prm
gram to develop the strategic pl" for this organization, focuming
on the details of mission, financing, managerial structure, "d
constitutency involvement, be initiated i~r~rr ediately.
BulLDlNG ON CUl~llENT PllOGl"MS
How this new organization ~ to be constituted and to func-
tion are issues yet to be addressed. Neverthele - , the committee
can describe certain characteristics this new organization should
have. Such an organization would provide national coherence and
focus for infrastructure research and development, and it would
serve as a catalyst for initiating research. Above all, it must not
detract from the wealth of established and extremely valuable re-
search progeny sponsored by exiting organization (see box on
next page). These programs, and the technical community ~ each
mode, are the primary elements upon which continuing research
and development must be bred. Such programs are linked to the
needs of their respective technologies and the capabiltities of their
professional communities. The close ties betweem these programs
arid the user community that hare been cultivated over the yew
by these programs will be important to the success of the new
agenda of ~nirastructure reteach and development. This ~ par-
ticularly true In the area of technology transfer where some mode
programs have demonstrated succe - . The new organization the
committee envisions should exploit their accumulated wisdom And
experience by building close working relationships with existing
modal program and, where possible, a88istiIlg, strengthening, and
enhancing their current activities.
Research by mode is well established in many areas including,
for example, electric utilities where the Electric Power Research
Institute currently has a $325 minion program; nature gas util
OCR for page 41
41
The Diven~ty of 3~frastruct~ Regears
Research ~ t}`c U.S. relating to ~fr~tr~cture ~ undertilcen
~ a variety of we" by a diverse my of government entities tat. the
federal, state, and local levels, by not-for-profit ~d.other research
organization, academician, add the pirate sector. ]~ mclud"
architect~gmeer~g~construction firms, equipment vendors, and
firm whose principal markets are not currently infrastructure
band but may provide future wirastructure application.
It ~ not the intent of this report to enumerate the detailed
my of orgs~at~o~ conducting ~ffastractllre related research,
but it is worthwhile to md~catc that the mDc of part~cip~ts ~
very broad, Fitly some of the most adduced regears actwities
berg conducted withm metitutional sett~ge not initially thought
of relative to ~fra$tr~ctore Aim. Withm the federal system, far
example, research directly Ad indirectly related to infr~tsmctore
Arcs ~ being conducted at the National Burean of Standard;s, at
the National ~boratones under the pried of the Department of
Energy, and at Department of Defense laboratories including Dose
of the Corps of Engmeere. Regears in suc}t Neckties addresses a
variety of u~frastn~cture~related subjects, including:
don Ad waterway contraction operation and moiety
notice tcc~u~lles, ~
- airport and h-tray construction Ad maintenance te~-
. . .
. nIques~ , . . . . . . . ....
~ nondest~ctne cvatoat~on of str~c~ materials, i::
-- adduced materials for a Bar-Or of application inchamg
contraction, piping, co~nbust~on? filtration,
· - =ore Ad controls, ~
m~rement of public attitudes, :
economic ami policy Types.:
. . .
. . ...
ities where the Gas Research institute manages a $175 million
progrmn, and water works where the American Water Works AN
socisted Research Foundation manages ~ $2.9 million program
(-e box on next page). While applauding these programs, the
committee notes that efforts on research and subsequent intro
auction of new, more efficient, and led costly technology, is not
given sufficient attention by other modes. The new organization
the committee envisions can help to fill the voids, initiating new
programs within certain modes, and in other cases significantly
strengthening existing programs.
OCR for page 42
42
E]c~ic :Power Xes~ch Inn. The Electric Power Regears In-
st~¢te. (EPRI3..m a.pm~te-.¢rganization t}~at..conducts~a.$echnicaI
-I.:. resear~.and:~:.pr.ogram.for-.t}~e electric-ntility industry.
' . ~'.~=atid Ace: 19.73,:`EPRI3.8 '-~id~g- ~:om-es ~from. nearly :500 'U:S. Tile
- Em rep~t~g 70 p.era~nt..of $he.nBtion'~-~lectric power deice.
]$e ~utrion::~t Each mummer -= Awed on -its ~k~tt-5onr
- sa~ ;- gross-. Meres. The .i987 huger .~.-m S325 million, 7
c1ndm~ contract mcP~ditore {or Search :and a envelopment Of S259
-. ~ ~.;~:1987 35:P-.~ mill have.1,l;O;O::actwe-projects~der its manager
- smelt.- .Near-te~ : research .~: ~-ilev.~opment (~dally avail-:
. ~ :able m~vui.lO years): accou~-for:app~ately.61 percent of :
I:P~'s: program fig; Wee -research :.add develo.p~nent
(10~5."ar:co~me~r a~ilable):~.-34..percent; Ed long-term
restart (25 yew ~r.more) is ~:.perccat. ~ ~ .~
~ ~ ,. ~ ..
:G.as much Anode G.as Research .~.t~nte (GRI) ~.a not-for
:~a~p orga~ion-;~! ~tn:ralo~..pipohae Ned din-,
:~Ion. Compasles. -C;~R] plasm manages, and ::6e - lops financing
for .a ~ ma ~.de~lopment program :des~gned -to advance.
: sappy,. tr~spoft~..starage: and ent~:. tec}~-olog~es-~d :to. conduct
basic A. ~,he.~;ng madam for the:.:program..= band
. . ::on ..the.: Volume Of ~ sales mid .tr~portafx~ --Arc-: of ~ ~RI3.s mem- . ..
.:- b.~rs;:.::It-~. Abject ~ anneal .=new..~d approve by .the:.Federal: .:
.- .. Emu . ~I~-a~: iLnd, wIiere- ~ppropruLte' far. :st~te
-.: .~;egulatory aged Ale: 1.987 budget m~at:a }egret of Sty Lyon.
. .; ~ : :; . :=e; program-. includes {;O<3. . K6nre contracts.- :. Ma~tnrers,
- ~ : gas . pipeline: ~ dictfih~. company - , ~ Gas .produce=, sewiee
- ~ - ~ ~mpall.ies; Aroma- .age'icies, ^.major .ellergy ~-rs, and Tesear~
.~ ..and~ ..de-Iop~ebt Contractor joan Wilt. MR! ~..-.m -the imp- of
.:: .-.~s...of,spec~ai.~erest. :~T~.eooperat~n-~;;~he.cost- ~-
. ~--~-..cffecti~ of-~e...program Al Me A: of ~ reship-- .~:
-: -. ~ . .DociiD~:~d~:g :.leads to -. Me.,-at :.:.involVement ~ 4~'s . ..
.: i~dibereby;.~ceste~nolog~r.t~er. Proms
-: ~^ :~:l:gZ8:~:~ Girl the :;e~nr~ totaled :.Sn3
--ante - . Da same~di~l I' me totaled aver
~65~t Ants Wioi Wry ;doDar muted -lD3r; GRI). ~ ~
-I -.;- - .-.Whili- ~a ~g--progi=L.~.~£:-~ ..sc~tific -~-
~ ALGA ~;.~~.r~ta~: Act: ~8 ~:~p~ :on pry d - .
:-. ..vcbpm~ss:~at.mect-.~-t:.a~d..perfor~ce.cateria.set by-the
: ~ A-; of HI AID: condone research Con
I. ; ~4e&ied:;~b'0~is ~-.p~ Ned a
....-~..~.~act~ve]ir~rS~:ipate.i~ Parser
, 2 '.'. ~W ' - , . . ~ . . . , '_ ~ , I, . ,, _ . ,
.~;A__ ~.~ ~:~o=.: :The ..-Amer
--I -: ~n.::Watcr Worlci:A-ciao ~::F.04~i~ (1LWwAR~)
:Ls-a~nonpro6t corporation IS up grate water ~pp~ .md~try
. ' '., ' ', in' '!2~',~' · ' ', ' , - ' ' 'me at' ' '' '-' · I'
_ .
. . .
OCR for page 43
43
to research common problems. AWWARF is run by water n:til-
~ - for water :utilities, with the actnre involvement and support
of en~eenag cc,multaDts,-m~ulactorers, univemities? and other
:~ry-related groups.
: ~ ~roiInc~D;g -aunt $500,~30- per -year, dues constitute:
- AWWAU's :hasic support. The {oundat~on's major new ;~d-
ma: Iffy- is the Ream :Subecri~?tion: Program, through which
water ntHit~:~bscube :to t}te r~esrth program and mane ~ an-
-nap: pays proportionate to the voinme of water they deI=er.
Tli~ concept := moving ~4WW~AR3? ~.to~ ~ goal of a lI0 million
Anal Aged ~ 1990 Ad thereaficr. R-earch contractor ~:on-
Scribe 25 percent.or more of the cost of the projects -ill WhiCIL they
are involved. : i: : ~
Usm~ ~ elaborate olann~ and renew Process. -the {ounda-:
~ _ ~
trod has developed a fire-year plan to sewe as the framework of
:~ts program in the Upcoming yea=. Over 180 projects have been
listed Odes 19 program gem. Mare than 60 of-these projects are
~ already completed or under way.
Rl:SEAlICH ID DEVELOPMENT ACROSS MODES
The technical communities in each mode generally have gem
arate controb, political constituencies, and funding mechanisms.
Despite the diversity of function there are technical and manage-
rial operations that are cormnon to many of the separate modes.
These cro~cutt~g activities can be supported by common re-
search and development efforts, some of which win occur only
if stimulated by an organization formed for that purpose. Such
an organization would bring together the various modal commu-
n~ties to encourage an exchange of experiences and ideas. The
introduction of new technologies in field not normally related to
infrastructure (e.g., aerospace engineering and ocean engineering)
to these modal communities would also be a target of such an orga-
nization. The Vitiation of programing aimed at Strewing barriers
to innovation that are common to various modes would be part
of its agenda. In addition, there are research needs which Fire
out of a systems approach to infrastructure facilities, in which
broad goad and objectives transcending the boundaries of single
modes are defined by an organization with the goal of developing
cro~cutt~g opportunities for improvement.
The case study on nondestructive testing represents ~ area
where research across modes cart be utihized effectively. Research
on NDE techniques ~ ongoing and ~ desirable at many locations.
OCR for page 44
44
Detailed product engineering ~ properly conducted by individual
utilities and other modal research programs. However, research
which involves such topics as standards development and tech-
nology transfer, those topics common to all the modes utilizing
this technique, is needed to provide ~ technology base for both
equipment and associated software. Provision of this technology
base is best suited to a Angle unit where coordination and stan-
dardization can be more readily achieved. A centralized research
program can overcome the problems inherent ~ ~ion-oriented
agencies or utilities, and command the resource investment needed
to accomplish this task.
LESSONS LEARNED FROM THE
STRATEGIC HIGlIWAY RESEARCH P1tOGRAM
In its work on implementation, the committee kept in mind
other efforts to create new research programs, of which the most
recent ~ the Strategic Highway Research Program (SHRP). This ~
a five-year, $150 million program, under the aegis of the National
Research Council, intended to significantly enhance highway ret
search. SHRP is newly initiated and it is too early to judge its
impact or succor. However, the committee believes the process
leading to the unplementation of SHRP can be used ~ a mode!
for understanding the difficulties of creating an infrastructure ret
search program. As noted in the box on page45, SHRP took no led
than fire years to launch. This period was needed to educate and
encourage the participation of the highway professional and user
community, as well as the Congress which authorized its program
fund~ng.3
3 The Strategic Transportation R - carch Study (STRS) which led up to
the initiation of SHRP was also conducted at the National R-earn} Council.
This study produced a prioritized research agenda for the highway industry.
The study took approximately 18 months to complete under a budget of
$170,000 (1980 dollars), and was conducted ~ a committee of 13 volunteers
with the support of two full-time professional staff. The task recommended
by the committee has a significantly larger scope and constituency and should
anticipate correspondingly larger budget and staff.
OCR for page 45
45
STRS and SHIP
The Committee on Infrastructure Oration suggests that one
cu'Tent model for how opportunities for mirastracture research and
Oration may be identified and captured ~ the Strategic Highway
~search Program (SHRP). Managed by the National Research
Council, SOP is a newly initiated five~year, S150 million research
program directed at em areas of high technology: asphalt, long-
term pavement performance, m~nten~cc effectivene - , protection
of bridge components, cement and concrete, and snow and ice
removal.
While the need for sndh a program had become mereasingly
apparent over a period of some years, the genesis of SHRP was
a Strategic Transportation R - ea=}t Study (STRS), conducted
by the Transportation R - earch Board of the National Research
Council. The STRS effort, which took nearly two years to complete,
directly Evolved may of the highway industry's managers. This
participation kindled management interest ~ research and assured
the program's relevance to practical problems. The relearn topics
selected were ones wine" mnovatio~ pronged to yield significant
monetary savings.
RecogisLug that highway research, like highway contraction,
is dispersed m small fragments among a great variety of-relatively
small units, with no Angle agency having the money or mandate to
address the biggest problem, STRS became the vehicle for iden-
tibring potentially valuable but neglected projects. For eec~nplc,
relearn topics with high potential payoffs, topics that have been
d~proportionate},r neglected in period work, topics on which re
Farm will require overcoming sn~tantial-org~mational barriers,
or topics that requme long-term commitments were felt to desire
special scatty. Based on screemag criteria soc}t as these, STHS
recommended a small number of regears arch where a major,
concentrat-1 new effort could yield results to provide the md--
try with the bash for a quantum Improvement us; its matenals,
practices, Ed producti~nt~r.
The STRS effort produced ~ report entitled Amcnca's Sighed:
A=deratin, the Scarce for ~nnoua~` That report proposed a film
year research program, estimated its mat, and suggested how to
*and it. It did not suggest a specific argan=stional structure,
noting as option for operating the program both modifications
of existing organ~ationn or creating a new organization such as a
"special-purp~, chartered, nonprofit reseal ageDc~r.. Congre - ,
creating SHRP, took t}tc latter course.
The approach that Ed to the Strategic Highway Research
Program ~ now berg emulated {or public transit, again through a
strategic traD - ortation research outlay. The recommendation of
that study will be tailored to the specific problems and opport~i-
ties faced by public tramit ~8~ throughout the Unwed Stat - .
This committee considered the STRS and SHRP model in rearms
its recommendation presented ~ Chapter 4.
OCR for page 46
46
MOVING B1:YOND 1~IST~G PROGRAMS
The new organization can use existing research programs as
a foundation to move beyond the barriers to innovation to pro-
~ride a national coherence, focus, and stimulus for infrastructure
research. Such an organization would approach its objective with
a double strategy: (1) to initiate, strengthen, enhance, or assist,
as necessary, the various programs of research, development, and
technology transfer that are associated with the many modes of
infrastructure, ~d (2) to create a program of research, develop
meet, ~d technology transfer that addresses problems common
to more than one mode and that provides a systems approach to
meeting the needs of future communities.
The committee recommends that the Congress establish and
provide funding for an unplementation program to determine the
managerial structure, roles, and funding mechanisms for this con-
t~nu~ng organization. The unplementation program should formu-
late a national strategy for infrastructure reteach and develop
meet, including a statement of goals, objectives, priorities, and an
operating plan which would identify immediate targets of c~ppor-
tunity. ~ concert with the shaping of this new organization, the
infrastructure modes shoed be encouraged to strengthen their
own programs In a manner similar to the highway and transit
endeavors (SHRP and STRS) noted earlier In this chapter.
The committee recognizes that the task of formulating a new
and continuing organization for infrastructure research will be
difficult and complex, involving army participants. The specific
charge and structure of a contusing organization will depend on
the answers to some difficult questions to be addressed by the
implementation program including:
Which institution Could 6c logical to house such an orga-
nization? A number of federal institutions are currently active
in at least one of the modes of infrastructure. Some of these
include the Environmental ProtectioI1 Agency, the Department
of Tr~n~portatioIl, the Army Corps of Engineers, the Bureau of
Reclamation, the National Science Foundation, and the National
Bureau of Standards. ~ addition, there are many private orga-
~zations, some of which are described earlier ~ this report. An
infrastructure research program could be housed ~ one of these
institutions, but there are other competing advantages to creating
a new entity an entity which draws in the states and some of the
OCR for page 47
47
major local governments, the primary funders and operators of
infrastructure facilities. A careful evaluation of the benefits and
deficiencies of one organization over the other deserves attention.
~ How wd! this organization interface untie the states, local
and regional government, federal agencies, national laboratories,
private industry, professional societies, univers~tics, etc. ? Bow will
the organizational structure maintain balanced representation from
the many constituencies involved? An organizational structure
which balances the needs and desires of ad the various constituen-
cies wiD require special care and consideration. Representation
and rotation of membership on the go~rern~g bond of such an
Organization, for example, may address this constituency balance
issue. An evaluation of the many alternatives possible here wiB be
needed.
. How will this organization be funded? Possible sources of
financing for an infrastructure research agenda can be described
in three generic categories: (1) voluntary contributions from ~nter-
ested parties, (2) "mandatory funding through government am
propriations or regulatory maculate, and (3) government incentives
to encourage voluntary funding. Within these generic categories
are a variety of financial instruments. Voluntary contributions are
funds provided at the discretion of government agencies, contrac-
tors, suppliers and professionals. Mandatory funding includes line
item appropriations, ear-marking ~ percentage of appropriation
accounts, apportionment of a percentage of budget accounts ret
fated to infrastructure, arid regulatory requirements to allocate
a percentage of grant recipients' operating revenue. Incentives
include super-match~g ration for voluntary expenditures or fa-
vorable tax treatment for such expenditures through accelerated
expensing or tax credits.
An external funding source will require an acountability mech-
anism such as (1) political accountability through use of a govern-
mental agency, (2) public interest accountability through broad-
based governance, and (3) financial accountability through re-
quired matching financial contribution. Ascertaining the most
appropriate Binding mechanism for this orgariization as well ~ the
appropriate accountability mechamem will involve carefi~1 plan-
ning from financial, legal, and political perspectives.
~ How wRith" organization conduct in bumne"? What lim-
itations should be considered on the scope of I activities? The
OCR for page 48
48
specific charter of this organization must be thoughtfully consid-
ered with inputs provided from the many constituencies involved
with infrastructure facilities. Of necessity, the scope of the orga-
n~zation wiD be limited and could range from planning research,
to contracting with others who conduct research, to conducting
research within the organization, itself. The charter should define
limits appropriate for the organization.
What ~ the research agenda that this organization' should
tie addressing? What egor~should receive high priority?Although
this report provides some illustrative examples in Chapter 2 of the
types of research that are needed, a more comprehensive effort at
developing and prioritizing research, development, and technology
transfer projects ~ required. The needs, both within and across
modes, can be prioritized after careful study and deliberation with
the user community.
Answem to the question outlined above were beyond the
scope of this committee's alignment and resources, and it was
felt that the resolution of these questions should involve a larger
constitutency than the membership of the committee aDowed.
The best answers to questions such as these ~D only come from
those indi~ridus~ and organization which wiD be impacted by the
ampere the user groups, professional organizations, city man-
agers, and university researchers, for example. The most critical
players will have to be involved in formulating the answers in order
for the results to be acceptable.
Recogn~z~g these limitation, the committee drew from the
experience of the Strategic Highway Research Program. The pros
cess leading up to the organi~.ation and funding of this program
lasted five years and included delineating an appropriate research
agenda followed by consensus building and support gathering prior
to the initiation of the program. The Rues addressed prior to the
establishment of SHRP and, more importalltly, the process of con-
stituency building which resulted in the creation of SHRP provide
many lessons applicable to the formation of a program of infuse
structure research.
One difference between an Off - tructure research program
and the SHRP program ~ scope. The SHRP program involves
a relatively narrow field of research In one mode highways-
while ~ inFrmtrUcture program must effectively deal with a scope
encompassing many modes. Thus the program of research for
infrastructure facilities is not directly comparable to the program
OCR for page 49
49
of SHRP. However, the process leading up to the implementation
of SHRP has may parallels.
TH1: 1~?IEMENT=ION PROGRAM
The committee recommends that an implementation program
should be started immediately to plan and initiate the continuing
orgar`~zation. The committee believes this program, while ambi-
tious, can be accomplished within two years. The implementation
program should include the following tasks:
· develop a strategic plan which embodies crowers to the
questions raised above;
bean developing a national agenda of research and develop
ment for mfi~"tructure systems that identifies the current
gasps in research and notes research opportunities for ad
drese~g problem common to several modes. This activity
is expected to become an ongoing task of the permanent
organization;
bring into the program the talent and expertise of the
caries existing modal research groups;
establish minimum goad ~d criteria for research and an
plementation;
identify early targets for research; ~d
.
.
inform federal agencies, the user and professional commu-
n~ties, and the public of the opportunities for research in
building a more effective infrastructure system.
The implementation program should utilize representation
from many disciplines including scientists, engineers, economists,
urban planners, social scientists, legal experts, and government
officials.
The committee recommend that Congress identify an organ
uzation to house the implementation program, set a budget for
the program, and establish a tune free for the conduct of its
busme - .
EXPECTED }tESUITS
Within two years the work of the unplementation program
should be complete and the formation of the continuing organiza-
tion underway. The cotta ng orgar Cation wiD then become the
primary catalyst for:
OCR for page 50
50
Encouraging the development of necessary reteach prm
grams where they are deficient,
Giving attention to prong long-term research projects
which do not now- have readily apparent constituent inter-
ests,
Fostering research broadly applicable to all parts of our
infrastructure.
In these ways, the continuing organization will become a vital
part of a new set of fore" intended to counter the exiting barriers
to innovation described ~ the third chapter of this report. It
will also guarantee the ice" and provide the leadership required
to ensure that existing systems serve the public better arid that
alternative systems are developed where appropriate.
The committee has no illusions that it will be easy to construct
ail effective research program that applies broadly to the system
in which we travel, do our work, educate our children, obtain our
water, and remove our wastes. It will be frustrating, at turner
contentious; and it will require continual good will, patience, and
resources. But the committee also believes that it can be done, if
done carefully, sy~tematicaDy, and with attention to the views of
Al parties. If done well, the committee believes that the United
States can gain enormous benefits In the quality of the services
that support the environment in which Americans live add work
in the next century.
Representative terms from entire chapter:
implementation program
