University Grants, Small Business Innovative Research, and Idea Programs

FRA UNIVERSITY RESEARCH GRANTS PROGRAM

Purpose: This Program enhances FRA’s safety R&D program by developing cooperative research relationships with selected academic institutions.  In doing so, FRA is establishing Strategic Partnership Initiatives, and supporting Transportation Education and Training.  Each year, a small number of grants are awarded with a typical value in the range of $100,000 to $200,000 and a combined value of about one million dollars.  Applicants are encouraged to consider sharing the cost of their proposed projects or identify in-kind contributions.  Awards are made to universities that have expertise that complements FRA’s R&D program.

Approach: Announcements are normally published in the Federal Register once every three years soliciting proposals from accredited academic institutions in identified areas of research. Applicants must have demonstrable expertise in rail transportation research, and have a minimum of five years of rail-related research experience. Each proposed project in each area of interest is evaluated on the following criteria: (1) overall scientific and/or technical merit; (2) the degree to which it may improve railroad safety; (3) the likelihood for near-term adoption of the research results; (4) the extent to which the proposal fits into the FRA’s overall research program; and (5) the reasonableness and realism of the proposed cost, and the availability of funds to include consideration of proposed cost-sharing (cash or in-kind contributions).  Qualified applications are ranked in order of qualifications, probability for success, and the degree to which the proposed project fits into the FRA’s overall research program.

SMALL BUSINESS INNOVATIVE RESEARCH (SBIR) PROGRAM

Purpose: This program stimulates technological innovation, uses small business to meet federal research and development needs, increases private sector commercialization of innovations derived from Federal research, and encourages participation by small, disadvantaged companies in developing technological innovations.  The Small Business Research and Development Act of 1992 authorized the SBIR program.  This program is funded through project funds that reside in other R&D programs, and thus benefits the entire program spectrum.  The budgetary and technical resources can be applied to these programs in a timely and cost-effective manner.  By enabling small, high technology companies to start up and prosper, the SBIR contributes in a larger sense to the domestic economy and technology infrastructure.

Approach: The program is administered by the Volpe Center for all USDOT Operating Administrations.  Research topics are solicited from the various agencies throughout the Department, and the topics appear in an annual solicitation for proposals issued by the Volpe Center.  Individuals who submit the topics evaluate the proposals, and winners are chosen based on evaluations and agency needs.  Firms selected to receive an award embark on the following three-phase process: Phase I - conduct feasibility-related experimental or theoretical research for R&D efforts up to $100,000; Phase II - perform principal research effort with a performance period of approximately 2 years and funding up to $750,000; and Phase III - perform commercialization of the research conducted under Phases I and II, with no funding limit.  Phase III is to be conducted with either non-Federal funds or non-SBIR government funded contracts.

TRANSPORTATION RESEARCH BOARD IDEA PROGRAM

Purpose: The TRB IDEA (Ideas Deserving Exploratory Analysis) program explores the feasibility of unproven technical concepts, novel applications of proven concepts, or advances that have not yet been tried or tested for application in transportation practice.  The TRB is a unit of the National Research Council, which is the principal operating agency of both the National Academies of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities.  The IDEA program focuses on high-payoff concepts, or advances that have not yet been tried or tested for application in transportation practice, products, systems, tools, or techniques that accelerate the development and deployment of advanced technologies, methods, or processes for surface and intermodal transportation systems.

IDEA projects are product- or results-driven investigations.  An IDEA award is a one-step process designed to carry out an assessment of a concept or novel application of a product or result for transportation practice.  The IDEA program is not intended to provide continuing support for basic or long-term research or to evaluate commercially available products used in transportation practice.  The program solicits proposals on innovative concepts applying advanced communications, information, sensor, and automated control technologies or other concepts that can advance the deployment of high-speed intercity passenger rail service in the United States.

The High-Speed Rail IDEA program is administered by the TRB and is funded jointly by the FHWA, NHTSA, FTA, and FRA.  The selection of IDEA projects is based on the uniqueness of results for HSR and HSR deployment in support of the USDOT national program on ITS.

The Transportation Safety Technology IDEA Program, initiated in FY 2001, is administered by TRB and is funded jointly by NHTSA, FMCSA, and FRA.  It explores the feasibility of new technical concepts and methods that have potential to significantly enhance transportation safety, but that have a high enough degree of uncertainty that they aren't likely to find financial support from other sources.  TST-IDEA will solicit proposals for projects to develop or test innovative transportation applications, it will maintain a committee of experts to select the most promising proposals, and it will administer the selected projects through contracts with the proposing individuals or organizations.

Approach: Research topic areas are solicited from the various Operating Administrations in USDOT.  The topic areas then appear in an annual solicitation for proposals issued by the TRB, which convenes panels of experts to evaluate the proposals, and winners are chosen based on technical evaluations, funds availability, and probability of success of the proposed work.  Cost sharing by proposers is strongly encouraged but is not mandatory.  Firms selected to receive an award embark on the following process: Phase I - conduct feasibility-related experimental or theoretical research for R&D efforts up to $100,000 and Phase II - perform field demonstration (a performance period of approximately 2 years and funding up to $250,000).