Accelerating Implementation of Transportation Research Results (2014)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

40 CHAPTER FOUR REPLICATION AND TRANSFERABILITY OF IMPLEMENTATION STRATEGIES AND PRACTICES This chapter provides a discussion on replicating and trans- ferring the strategies or practices found to have potential to accelerate implementation of research results in transporta- tion applications. TRANSFERABILITY OF THE ENVIRONMENT TO AID ACCELERATION OF IMPLEMENTATION It is good news that the strategies and practices used by others in government and the private sector or academia discussed herein make sense for and can be applied to public-sector transportation practice. Even so, some aspects of whether a particular strategy or practice is used create challenges for replication to transportation applications. As seen in the earlier chapters of this document, accelerating implementa- tion involves creating and applying systemwide processes, often bringing in talent not currently within a transporta- tion organization, requiring cultural changes for accepting risk and promoting innovation, or other broad organization- wide activity. To date, transportation organizations are to varying degrees fostering implementation of innovations and research results. Yet an environment predisposed to fostering application of innovations is what can make a remarkable difference in innovations’ rate of adoption. Such environments include commitment to a systems perspective, capacity of the organization to adopt innovations includ- ing providing adequate financial resources and expertise, as well as commitment to an organizational structure that enables and facilitates the interaction of the participants in innovations to positively affect the organization. Creating the environment for innovation is a significant challenge for transferring the case examples and practices to transporta- tion organizations. Overcoming the challenges presented by the environment must be addressed with intentional effort. Systems Perspective The case example and practice descriptions show a number of strategies, methods, and techniques that bear consider- ation for advancement in the highway transportation com- munity. Advancing one or two of these methods can bring about changes and provide a means to accelerate the imple- mentation of transportation research results. However, a consideration for the transportation community might be to change from ad hoc implementation to systematic implemen- tation built on a solid infrastructure supporting the various elemental building blocks of expertise, funding, time, and other items. Taking a systems perspective that incorporates a variety of the case example concepts may provide a better opportunity to create a sustainable process for acceleration of innovations and research results for highway applications. Consider the manner in which many highway research results are currently implemented. Champions for the research and administrative expertise are combined with some funding on a project-by-project basis to push imple- mentation along. Implementation efforts in these highway transportation environments often do not have sufficient pro- fessional technical and implementation expertise and often lack resources needed to work the problem. Implementation, therefore, advances by fits and starts. Often, implementation does not gather sufficient momentum to sustain its activi- ties. Adding a technique here or there depending on what resources can be had—perhaps by using funds from other nonrecurring, underspent areas—is unreliable and unpre- dictable at best. Such an ad hoc approach has not produced the desired impact, which has been recognized as long ago as 1984 when John Burke noted in NCHRP Synthesis 113: Administration of Research, Development, and Implementa- tion Activities in Highway Agencies, “most … departments currently approach the incorporation of new research find- ings in practice on an informal basis.” Creating an implementation infrastructure, resourcing it effectively with talented technical and implementation experts that are given responsibility and time to do imple- mentation, and providing dedicated funding will substan- tially change the way implementation is currently handled in most highway contexts. The transportation community has an option: to recognize the need for and establish sustainable implementation programs that will accelerate implementa- tion of research results or to continue the current manner that is cumbersome and variable and produces only incremental change. Creating this systems perspective will take substan- tial effort, yet it is replicable in every highway transportation context. A systems approach is beginning to be addressed by a vari- ety of highway transportation organizations. One example of this approach, which is yet in the early stages of development, is FHWA’s State Transportation Innovation Council (STIC)

41 initiative. FHWA is encouraging formation of councils that will “provide leadership for the Every Day Counts initiative in each state. The division administrator for each State and his or her equivalent at the state DOT will lead the councils, which will consist of a diverse representation of local stake- holders. The councils will provide leadership to the individual initiative teams, ensure deployment of the selected initiatives, and monitor performance” (McAbee 2012). The STIC ini- tiative is a systematic approach to accelerating technology and innovation deployment and shortening project delivery through directing specific attention to a focused group of market-ready technologies and getting them into widespread use (EDC n.d.). This effort is large scale and proposes to bring together the multitude of partners that participate in providing the transportation infrastructure at the state level. Executives from the state DOT and the FHWA division office provide leadership; working groups are committed to accelerating the implementation and deployment of the various Every Day Counts (EDC) technologies and innovations selected by the STIC; and performance is being monitored to show the progress of the EDC activities. As noted in the previous para- graph, replicating a systematic approach such as STIC’s can be and is being done, but it is requiring substantial effort and resources—leadership, expertise and technical assistance, communication, training, as well as the vetted, proven tech- nologies. Additionally, at the state level, a few DOTs are using a systems approach to accelerate the speed of implementation as well as to increase the number of innovations implemented. The Pennsylvania Department of Transportation created a well-organized and -resourced STIC, and built a Research and Innovation Implementation System to more effectively facilitate the use of innovative tools and methods—particular outcomes of the system are greater efficiency, effectiveness, safety, and cost savings (Bonini et al. 2011). Expertise For transportation departments, the addition of expertise, for the job of implementation, is generally a very difficult undertaking. The decrease in transportation budgets and, often, limits on personnel numbers are a huge hurdle for an agency attempting to add implementation profession- als. Furthermore, the need for technically qualified person- nel for creating research transition teams, for example, can require transferring technical experts from program offices to implementation offices. Such reorganization of techni- cal expertise is scarcely any easier than adding new staff. Although there is such difficulty, the job of implementation must be resourced by qualified, experienced professionals. This may be the most difficult aspect of replicating any of the strategies discussed in the case studies or practice descrip- tions for an existing highway transportation organization. An alternative to adding permanent staff for an organiza- tion that has difficulty increasing employee numbers is pur- chasing the expertise. Such contracting would be through longer-term arrangements with organizations that can cre- ate a sustainable implementation infrastructure within the organization. This approach also can create the opportunity to build organizational capacity for implementation. As the organization learns and the culture becomes more predis- posed to the need for intentional and systematic implemen- tation, recognition of the need for committed expertise will occur, and adding such staff will be less of a hurdle. An essential element of this approach is to create a longer-term commitment to outside staffing so that growth can occur. A number of state transportation departments, such as Louisiana, Iowa, and Ohio, have designated implementation staff committed to fostering and increasing the effectiveness of implementation activities. Other state DOTs such as Penn- sylvania and New Jersey contract for research and technol- ogy implementation expertise. Identifying the appropriate expertise is essential, and when that talent is found, reorient- ing existing funding to support the expertise is the remain- ing hurdle. State planning and research (SP&R) federal-aid research funding includes implementation activities that may be of assistance. Financial Resources Replicating items discussed in this synthesis involves another area of difficulty for many organizations: either (1) redistrib- uting financial resources from other department organiza- tional missions to implementation activities, or (2) identifying new sources of sustainable revenue to fund implementation. Senior management implements organizational priorities, and financial resources for implementation activities will need to be committed by decision makers. With all the examples in this synthesis, management decisions were made to pro- vide adequate financial resources for implementation activi- ties. Similar decisions will be required by any organization that desires to accelerate implementation efforts. A current example—on a national scale—of commitment to funding, as well as providing expertise, for implementation are Stra- tegic Highway Research Program 2 (SHRP2) research and implementation activities. The Three-Year SHRP2 Concept Implementation Plan includes a budget of $75 million (Steudle 2012). The SHRP2 program identified implementation as a critical element of the program and specifically provided fund- ing to enable and speed the implementation and deployment of SHRP2 innovations. In addition to the funds committed through FHWA, current transportation legislation, Moving Ahead for Progress in the 21st Century, specifies support for implementation funding through commitment of a percent- age of SP&R moneys—agreed by AASHTO leadership to be 4%. For other organizations such as the New York State Energy Research and Development Authority, they developed an entrepreneur-in-residence program modeled after others that were mandated—carving out the resources for enhanc- ing implementation from operating funds; they understood the priority for assistance in getting technology implemented.

42 Organization Structural Change Having (1) a systems perspective, (2) appropriate talent, and (3) adequate financial resources, a transportation orga- nization may also require some degree of organizational change to enable implementation personnel be effective in their implementation activities. Such changes may require creating teams or recruiting personnel focused on the job of implementation—located within the research unit or in the program/operations or field office. In a discussion with a former state research manager, placing the imple- mentation experts with the operational staff was seen as a beneficial strategy to speed implementation because the constant exposure of the implementation experts with the operational issues at hand facilitated faster uptake of innovations and research results. Another state DOT is committed to getting implementation-aware research administrative staff in field offices for significant amounts of time to enable better communication with the research unit and to develop strong networks with field personnel. If the first three challenges are met—having a systems per- spective with necessary expertise and resources—the abil- ity to form working groups or teams and accommodate the teams in an effective organizational structure can be done within transportation organizations. TRANSFERABILITY OF THE STRATEGIES AND PRACTICES Information on transferability to transportation users of the identified strategies and practices discussed in this synthesis are presented here and include a listing of potential users of the type of implementation accelerator strategy or prac- tice; comments on the potential for use of the strategy and the ease of its transferability to application within the trans- portation sector; and notes describing necessary actions or resources required to support the transfer. Network of Implementation Experts Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Network of Imple- mentation Experts • Research Program Managers • Implemen- tation Staff • Program and Field Units Informal networks exist now; providing structure and stan- dards are important. Difficult because of the need for mainte- nance of the resources and an insti- tution or organiza- tion to host the activity Network of experts must be identified and main- tained. Can be a collabor- atively sup- ported com- munity of practice. A “home base” to house the community will be necessary. A network of implementation experts is directly transfer- rable to transportation practice based on the examples given in clinical medical practice. The National Implementation Research Network is an exemplary model (http://nirn.fpg. unc.edu/). The desire to be better informed and to share knowledge about one’s expertise is the basis for formation of and participation in user groups or communities of prac- tice. Furthermore, developing working relationships with and having a platform for collaboration among one’s peers is often a place for furthering the state of the art. A structured, viable network of practicing implementation experts within transportation can be accomplished. Those working in transportation research and technology have the beginnings of such types of a network in the AAS- HTO Research Advisory Committee (RAC) task force struc- ture (see RAC website, http://research.transportation.org/ Pages/RACTaskForces.aspx). Additionally, transportation professionals are knowledgeable about the FHWA Resource Center and communities of practice applications sponsored by FHWA. These examples of networking expertise and knowl- edge show a high potential for developing a network of imple- mentation experts within transportation. However, the ease of transferability poses a significant hurdle—that of sponsorship and hosting a “home,” as well as some amount of staff support to maintain and enhance the network. A lesser challenge, yet one that must be met, is identifying the appropriate champion to provide contagious vision and passion to develop the net- work. Hosting and supporting an implementation network of experts could be designed as a collaboratively funded initiative. Implementation Conference Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer (Global) Imple- mentation Confer- ence Wide community of users: • Sponsors and Stakeholders • Researchers • Research Program Managers • Implementation Staff • Program and Field Units • Private Sector Technology and Innovation Firms • Academic Technology Offices Conduct conferences on a peri- odic basis; in-person interaction is highly valuable; lack of pub- lic-sector travel fund- ing can be a barrier; must be endorsed by transporta- tion leadership. Transpor- tation commu- nity has sufficient models for creat- ing con- ference venues. May start regionally or domes- tically and broaden by modal area or geogra- phy. Identifica- tion of influential lead orga- nization to host and promote confer- ence is necessary. The valuable exchange of information experienced by in- person, on-site interactions is recognized as one of the primary

43 outcomes of the Global Implementation Conference. The web- site for the 2013 conference states: “The mission of the Global Implementation Conference is to gather implementation stake- holders to promote collaboration, exchange information about advances in implementation science, practice, and policy, and define key directions for the advancement of the implementa- tion field” (http://globalimplementation.org/gic). Conducting a global conference is not a new experience for transportation professionals, and transferring this strategy to the transportation sector is an easy conceptual leap. Such a conference requires broad-based and influential sponsor- ship and hosting by a nationally recognized organization— organizations that exist in the transportation community. Potential for use of the strategy depends on the ability of the transportation community leadership to endorse, promote, and provide talent and resources for its success. Linking the concept of accelerating implementation of research results and innovation in transportation organizations with the need for more innovative culture in those organizations may be an avenue to creating the needed endorsement and support. Travel to on-site meetings is difficult at best for many state DOTs and others in transportation; a new conference will be difficult to fit into already crowed schedules; and reach- ing the level of critical mass of participation that will foster future sustainability will take time. Manufacturing Extension Partnerships Model Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Manufac- turing Extension Partner- ships Model • Sponsors and Stakeholders • Researchers • Research Program Managers • Program and Field Units • Private Sector Technology and Innovation Firms • Academic Technology Offices Presents opportu- nity for greater private- sector innovation to be available for public- sector transporta- tion applica- tions. Model created by NIST has applica- tion for transpor- tation technol- ogy inno- vation and develop- ment. Creation of a government- supported partnership to advance pri- vate-sector transportation innovations and a frame- work to include pub- lic-sector agency involvement. Creating a manufacturing-extension-partnership-like program that focuses specifically on fostering transportation innovations could be revolutionary for accelerating imple- mentation of innovations into transportation practice. This strategy is a large undertaking and most likely only achiev- able through federal initiative or legislation. However, creat- ing a systematic approach, a unique entity with the primary mission of fostering and supporting transportation inno- vation, could be the generator of more, and more relevant, applicable solutions for transportation needs. Greater avail- ability of relevant innovations can create a technology push for innovation use in both the private and public sectors. The NIST partnership model is a conceptual framework that could be transferred from manufacturing assistance to transportation where it would promote more relevant, cost-effective, applicable transportation innovations. A new transportation extension partnership program, working in partnership with public-sector agencies to supply demonstra- tion and test locations, could provide added credibility to such a program. Creating the program, defining the program ser- vices and operational considerations, and other organizational processes and policies would be difficult. The use of the pro- gram, once created with broad transportation-sector input and adequate resources, could approach the success of the MEP. The outcome of creating such a program is the production of more applicable, credible, useful transportation innovations that will be implemented more effectively and efficiently. The investment is large and the return potential is equally large. Research Project Synopses Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Research Project Synopses • Wide com- munity of users: • Sponsors and Stake • holders • Researchers • Research Managers • Implemen- tation Staff • Program and Field Units • Public Common refrain within transporta- tion: the need for technically accurate, informa- tive, and concise research project results documen- tation. This prac- tice is already in use by some in transpor- tation, but there are no standards or guidance and little incentive to commit resources to create them. Research sponsors to provide resources for synopses development. Collaboration in the trans- portation community to create standards and expectations for such synopses. As is important for fire management practitioners dis- cussed earlier in this synthesis, producing clear, concise, informative research project results synopses is a welcome activity for research management and transportation practi- tioners. The Joint Fire Science Program began with a project to examine research efforts and produce synopses on an ini- tial set of projects. The concept was well accepted and syn- opses became standard practice. Implementing the initiative began with a substantive pilot effort. Developing a standard practice throughout the transportation research community as an expectation of research performance would enable more effective technology transfer and speed the implemen- tation of research results into practice.

44 Similar to the Joint Fire Science Program, research spon- sors have a role in institutionalizing research results synop- ses for the transportation community at large. Sponsors can collaborate to determine standards for elements, content, and quality of synopses and can also identify channels for distribution and exchange among research results users and stakeholders. Sponsors must also be willing to commit the expertise and resources to developing the synopses as well as disseminating the information. The concept of standard transportation research results synopses is easily envisioned, yet it will take a concerted effort by research sponsor organi- zations to adopt this concept as standard practice. Partnership Intermediaries Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Partner- ship Interme- diaries • Research Managers • Implementa- tion Staff • Program and Field Units • Private Sec- tor Technol- ogy and Innovation Firms • Academic Technology Offices Provides implemen- tation expertise for public-sec- tor agencies in which staff hiring is difficult; brings addi- tional expe- rience and talent on an as-needed basis. Bringing in such talent is already being done by some organiza- tions; rec- ognition of when such talent is needed and support of the concept is needed by others. Leadership in endorsing the use of partnership intermediar- ies is neces- sary; model contracting and pro- cesses guid- ance will be helpful. The use of intermediaries in disciplines other than transportation addresses the gaps and differences among various research partners, sponsors, and user organiza- tions working on large research programs. Adapting the partnership intermediary concept to transportation is an easy transition. Partnership intermediaries are the cadre of experts available to enhance the effectiveness of research partnership activities, independent of discipline. Whenever multiple participants are involved in research and the implementation of research results, opportunities exist to ensure a consistent and seamless flow of activity from research to implementation and full deployment of innovations. Many state DOTs do not have the available expertise to ensure that the gaps between researcher and user, and research product and application context, are adequately addressed, mitigated, and closed. Partnership Intermediary Agreements (PIAs) are currently being used successfully in other domains and existing policies and procedures can be customized to transportation applica- tion. The ARS, DoD (Air Force Research Laboratory), and other federal laboratories have documentation that could be used to guide transportation uses. Creation of model guidance, including contracts and policy and procedures, is a relatively low-cost solution to help organizations adopt this implementation accelerator strategy. Well-Defined and Documented Implementation Processes Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Well- Defined and Doc- umented Imple- mentation Processes • Researchers • Research Program Managers • Implemen- tation Staff • Program and Field Units Processes must be tailored to the organi- zational context to increase relevance and usabil- ity; some such pro- cesses are currently in use. Implemen- tation pro- cesses are documented to some degree in many research programs; refining and enhancing what can be done is easily transferra- ble. Development of imple- mentation model docu- mentation that can be customized for imple- mentation profession- als. Well-defined and documented implementation practices are an insurance against knowledge loss as well as an instru- ment to train newcomers to the job of implementation. In addition, such documentation provides the solid base of effective practices on which all implementation efforts will be accomplished. The DoD, Federal Laboratory Consor- tium, NASA, and NOAA all show the importance of con- sistent, well-written, and expert documentation. Similarly, transportation research sponsors and stakeholders can set an expectation for quality and excellence through collabora- tively developing model implementation processes, includ- ing implementation policies, implementation plans that give guidance on the requirements of timelines and responsibili- ties, desk reference manuals, and other documentation. Research program management process guidance has been developed for such items as research program manuals (NCHRP 20-38), performance measures (NCHRP 20-63B), and communicating the value of research results (NCHRP Report 610 2009). Producing research and implementation guidance is a successful practice for transportation and good models of accomplishment are available. More needs to be done, and one project in progress is NCHRP Project 20-89, “Intellectual Property Management Guide for State Depart- ments of Transportation.” The intent of this research project is to produce a guidance document to enhance the effective- ness of research and technology management and the imple- mentation of innovations. Results of this work are not yet available, so there is no basis at this stage of the research to determine how intellectual property issues may affect the implementation speed of innovations. There is excellent potential for the use of such docu- mented tools to assist implementation professionals in per- forming their jobs better. With greater expertise and using best practices, implementation of research results will be

45 streamlined and more efficiently applied. The applicability of the strategy to transportation research programs is high and the barriers to create tools are low. Research, Document, and Share Successful Implementation Strategies Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Research, Docu- ment, and Share Success- ful Imple- mentation Strategies • Research Managers • Implemen- tation Staff • Program and Field Units Little research is done on transporta- tion imple- mentation; communi- cating suc- cessful research findings on implemen- tation strat- egy will fill a knowl- edge gap. Research on implemen- tation prac- tice and strategy is a low priority for many transporta- tion research programs, but general research methods and activi- ties are well established. Leadership to increase pri- ority on need for and value of knowledge about prac- tice of imple- mentation; expertise and financial resources to perform the research and communicate it well. Little research is being done on transportation research management processes, including advancement of the state- of-the-art for transportation research results implementa- tion. In contrast, the private sector exhibits a clear effort to better understand the intricacies of implementation and other research management processes through effective research. As with creating a model to assist in defining and documenting current implementation practices discussed above, results of research that provide more effective strate- gies and new knowledge on implementation practice will be well received by research sponsors, manager, implementers, and users. The potential use of such a strategy has substantial bar- riers owing to the lack of value placed on new knowledge for more effective implementation. Yet with a push for more innovative culture within transportation organizations, there is opportunity to raise the priority for creating new and bet- ter implementation methods and processes. Such research results will enable the organizations to implement practices that foster the innovative culture more readily and rapidly. Intentional effort must also be made to ensure that research on implementation is funded. There are many competing topics for scarce research dollars and a continuing focus and championing of research on implementation practice will have to be done. Technology Readiness Levels Technology readiness levels are a means to more effectively assess a technology’s status for application. The potential for using information related to technology readiness is high; research sponsors and users alike seek data that enable more effective decision making to streamline implementa- tion of research results. TRL information has a specific use. A technology that reaches a level indicates a current status of the level examined, it does not provide the potential for successfully reaching higher levels. Yet TRLs properly used can provide information to assist in advancing a technology toward implementation. Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Technol- ogy Readiness Levels • Researchers • Research Program Managers • Implemen- tation Staff • Program and Field Units Providing an aid to deter- mine potential for imple- mentation will be well received because it increases the likeli- hood of success. Technology maturity/ readiness levels must be tailored for the appropriate types of transporta- tion research outcomes; examination of maturity level tools such as TRLs for highway technology application is in progress. Research and development to produce applicable TRLs, and guidance for their use for transporta- tion research technology outcomes. For this practice to be transferred to transportation research and technology applications, development work and customization of the readiness levels must be done. FHWA has begun this process by conducting a project to determine the applicability of technology maturity tools such as the NASA TRL concepts for selected highway research activi- ties such as the Exploratory Advanced Research Program. Additional development will be necessary to customize this concept to the applied research activities sponsored by state DOTs, academia, and others in transportation. As a working model for transportations is made available, marketing of the value of the practice and champions for its use will be required. These are low barriers to implementation, espe- cially considering that the process is created to streamline implementation and enable more efficient means to accom- plish implementation. Entrepreneur-in-Residence Programs The EIR concept for the public-sector transportation research community has several potential applications. EIRs within transportation can be involved at the pre-competitive stage of research activity, working with public-sector research sponsors to better define the types of products needed by industry and transportation facility owners. The EIR can be more attuned to the research results available and can then

46 work to develop a marketable product outside the relation- ship with the research sponsor. Additionally, public-sector transportation researcher sponsors are becoming more sophisticated in how they address ownership of intellectual property, thus fostering more opportunities for commercial- ization of innovations through licensing and other similar arrangements. As with FDA’s Center for Devices and Radio- logical Health, EIRs working with public sector–funded research could effectively add value to the research results and be involved in commercializing a product for use in transportation applications. Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Entrepre- neur-in- Residence Programs • Sponsors and Stakeholders • Research Program Managers • Implementa- tion Staff • Program and Field Units • Private Sec- tor Technol- ogy and Innovation Firms • Academic Technology Offices High potential for use; brings together uniquely targeted expert entrepre- neurial tal- ent with researchers and users to work collabora- tively on reaching new solu- tions; will create new programs and busi- nesses based on innovative research results. Many variations of the EIR concept shows transfer has low barriers; programs for public- sector transporta- tion orga- nizations can be modeled on public- sector experience in other domains. Availability of entrepre- neurs with technical expertise; resources, people, and funds, to cre- ate an EIR program including model terms and condi- tions of the entrepre- neur’s scope and responsi- bility; aca- demic part- ners may be available for collabora- tion. EIRs also provide a means to add to the technology pipeline with innovations for transportation practice, by assisting the research sponsors to back innovations with a higher degree of relevance to the users. A higher degree of relevance will provide a greater likelihood for a marketable product; a more marketable product will accelerate its avail- ability for application. EIRs are an effective means to more closely involve entrepreneurial talent in the transportation community and to make use of the private sector’s profit motive to accelerate the use of innovations. Creating an EIR program for a public-sector transporta- tion organization will require expertise and perspective not traditionally found in existing DOTs or other similar orga- nizations. Many existing programs have EIRs that are not permanent staff, but agree to serve in the position for a finite time frame. Contracting for such talent rather than adding a permanent position may be a solution for many transpor- tation agencies with strict hiring limitations. Additionally, developing an EIR program may be a means for more effec- tive collaboration with an existing research university part- ner. Such collaboration could advance sponsored research results and innovations enabling them to be better positioned for the marketplace, and thus having potential for more rapid application to transportation practice. Innovation Inducement Prizes Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Innova- tion Induce- ment Prizes • Sponsors and Stakehold- ers • Research- ers • Research Program Managers • Implemen- tation Staff Positive action with few down- sides; pro- vides new incentive to find new solu- tions to long- standing or difficult problems. Gives rec- ognition to research- ers and technical experts. Infrastruc- ture and legal authority must exist to allow cash prize awards. MAP-21 authorizes USDOT Secretary to award cash prizes to stimulate innovation. Sponsor(s) for awards required. Counterin- tuitive pro- cess for transporta- tion community. Well- respected sponsor(s) willing to organize and manage pro- gram; techni- cal experts to provide pro- gram credi- bility; com- pelling prize amounts. The transportation community makes significant efforts to recognize excellent performance and accomplishment among its many participating organizations. For example, AASHTO, TRB, and ASCE, Transportation and Develop- ment Institute (ASCE, T&DI) regularly make awards that give due recognition to outstanding people and for exem- plary contributions to transportation. Some of these awards focus on research-related accomplishments such as the awards given at the TRB Annual Meeting. The function of all of these awards is to recognize a job well done. Prizes for excellence are characteristically recognized and prizes in general have high acceptance within the transportation community. Inducement prizes are used to award scientific and techni- cal goals to be accomplished; the prizes stimulate finding bet- ter solutions to problems, promote innovative means to meet challenges, and build support for addressing pressing needs. Awarding a prize ahead of having a viable and applied result is counterintuitive for the transportation community. Yet, for organizations that want to break existing barriers to long- standing or particularly difficult challenges, those that have not been answered through traditional research problem selection

47 processes, a program to induce and reward viable solutions has significant potential. There are many organizations in trans- portation willing to foster innovation and looking for better solutions. Inducement prizes are successful in various public- sector domains, and models from these domains exist. There is expertise familiar with prize programs currently within trans- portation and a credible, respected inducement prize program for transportation can be created. In particular, inducement prizes in transportation can be designed specifically to foster speeding implementation of innovations to practice. Cash prizes awarded by public-sector transportation organizations must be backed by legal authority. Prece- dence for awarding cash prizes is contained in the current transportation act, Moving Ahead for Progress in the 21st Century Act (MAP-21). The FHWA summary of the act’s highway provision states, “MAP-21 provides new authority for the Secretary to use up to one percent of funds authorized for research and education for a program to competitively award cash prizes to stimulate innovation that has the poten- tial for application to the national transportation system.” An inducement prize for fostering acceleration of research results and innovations to practice may be an excellent can- didate for a prize program. Other members of the transportation community can also consider promoting inducement prizes. Private-sector orga- nizations may have a less complex process to create a prize program without the requirements of public-sector authority requirements. Moreover, the private sector can collaborate to create programs using professional and trade associa- tions, such as ASCE’s T&DI. In addition to nationwide pro- grams, more narrowly scoped innovation inducement prize programs can be fostered that address a geographic/regional area, a specific technical topic, or a single organization. A credible sponsor is required with the financial resources and expertise to develop and manage the program. In particu- lar the prize sponsor must have the technical resources avail- able, from within or from the transportation community, to determine the viability of contending prize proposals. Evidence-Based Practice Scholars Program and Training for Implementation Training and educational focus are integral elements in the medical community culture. When the Menninger Clinic moved to evidence-based practice, a scholars program met the needs to quickly and effectively forward new policy implementation. Work to develop the program was neces- sary, but the acceptance of education as important assisted the implementation. Likewise in transportation, educa- tional and training programs are a well-respected tool to increase organizational capacity—transportation organi- zations endorse the value of creating more knowledgeable and capable employees. Given the support for training, it would seem like an easy transfer of these types of knowl- edge-building tools to be effective in and attractive to trans- portation organizations. However, many transportation organizations have little funding or expertise to commit to training for skills to do tasks considered non–mission criti- cal or collateral to primary responsibilities. Furthermore, creating a scholars program or implementation training cur- ricula most likely only will be considered a priority within organizations that have or are seeking a culture supporting innovation. Because of these organizational constraints, scholars programs and training for implementation have high use potential in some organizations—those foster- ing innovative processes and cultures—and will have little or no relevance to others—those not yet recognizing the value in building professional capacity to affect the speed of implementation activities. Even so, the perception of the need to build knowledge and skills for implementation is growing among public transportation organizations, as evi- denced by more implementation positions being created in state DOT research management units over the past 5 years or more. Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Evidence- Based Practice Scholars Program • Research Program Managers • Implemen- tation Staff • Program/ Operations Units High potential for use; scholars work to solve pressing problems in their own envi- ronment; produces evidence- based results that are imple- mented; promotes culture change. Program conducted in user/ practitioner environ- ment simi- lar to trans- portation experience; program goals and objectives fill similar need occur- ring in transporta- tion. Leadership endorsement within an organization; expertise, funding, and operational sites; program development, scholar and project identi- fication and selection. Training for Imple- mentation • Research Program Managers • Implemen- tation Staff • Program/ Operations Units For orga- nizations seeking change to more innovative culture and opera- tions, high potential for use; for those not yet aware of value of implemen- tation expertise, less interest. Training is more effec- tive when part of overall sys- tematic, multifac- eted approach to implemen- tation (e.g., policy, pro- cess docu- mentation, receptive organiza- tional culture). Desirable to have mature implementa- tion infra- structure in which train- ing supports goals and objectives of accelerating use of innova- tions; requires curricula and course devel- opment, train- ers, and fund- ing to support activity.

48 Currently, the highway community has nothing similar to the EBP program discussed earlier, which focuses on enhancing skills leading to accelerating the potential for implementing innovations. The value to the highway com- munity is that these training activities not only provide skills and knowledge enhancements, but they spur implementation of a specific project of importance to the organization. Pro- fessional capacity is built through project-specific work that also contributes significant accomplishments in assigned responsibilities. In the fall of 2012, the Transportation Research Board announced a new effort titled, “Ahead of the Curve, Master- ing the Management of Transportation Research and Innova- tion.” This initiative is a scholars/training program designed to enhance research and innovation management skills, raise the stature of transportation research and innovation manag- ers, and ensure high-quality research programs contribute to meeting transportation goals (Norman 2012). The initiative is in the scoping stage, and basic implementation practices are a likely candidate for a course of study. Other than the TRB initiative, in order to further enhance skills, courses to create acceleration of implementation and thus speed innovations to practice must be developed. Excel- lent instructors and supportive services for problem solv- ing—for example, technical assistance—also must be part of program development. Nationwide programs or programs for a single organization can be created. If nationwide, a credible transportation community leader organization would be appropriate to take on the role of championing scholars programs or training for implementation. However, a national program is not always necessary. An individual organization can contribute to speeding the use of research results and innovations by developing its own professional capacity through education and training. Partnerships with the private sector are an avenue that could reap significant benefits for highway training venues. For example, the highway construction industry could be a part- ner that provides skills-building expertise as well as enhances competencies for more rapid and effective materials use. It is important to add that feedback from training pro- grams discussed in this synthesis note that sole training courses to increase application of innovations to practice is not sufficient as an implementation accelerator. A systematic approach building an implementation infrastructure includ- ing policy, guidance, training, mentoring, and more were necessary to fully change practice and create a new standard of operation. Organizational Implementation Policy A clear policy that fosters a culture and creates the opera- tional environment to encourage and support implementation practice is an important step for any organization. Organiza- tions such as DOE, mentioned earlier in this synthesis, ben- efit by having workable guidance and goals for technology transfer and application to practice of innovation. With clear policy, the whole of the organization can work toward the expressed goals. Developing policy for organizational pro- cesses is common in transportation organizations. Writing an implementation policy to speed the adoption and applica- tion of innovations is a task that can be done, given expertise to craft the language. Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Organiza- tional Imple- mentation Policy • Sponsors and Stakeholders • Research Program Managers • Implementa- tion Staff • Program and Field Units • Private Sec- tor Technol- ogy and Innovation Firms • Academic Technology Offices Policy guides and formalized operational practice; organiza- tions will- ing to change practice and culture to acceler- ate innova- tion will readily consider effective policy. Writing policy is a known activity— can be done; com- mitment to substantive content and executing the policy takes cham- pions, lead- ership, and culture change; pri- marily a top-down process. Organiza- tional lead- ership to create a cul- ture that endorses, encourages, and pro- vides resources for imple- mentation is critical. However, putting the policy into practice is a more chal- lenging task. The potential for use of an implementation policy and the ability to have this policy become standard operating practice relies heavily on the organizational leadership, as also seen within DOE (U.S. DOE 2011). If leadership fully supports, champions, and encourages the intent as well as the stated content of the policy, there is a substantially greater potential for successful use of the policy. Creating and following a well-designed policy will affect the culture of the organization—enabling strategies for accelerating implementation of research results and other innovations to be a more readily accepted occurrence. Furthermore, leadership also has a role in ensuring that the culture of the organization is accepting of the processes required to foster and accelerate implementation, includ- ing providing the freedom to fail when a well-researched, well-planned process or viable innovation does not realize the anticipated benefits. Organizations with a mature infrastructure for imple- mentation that is not formalized by a stated policy can ben- efit by a more serious treatment of their implementation process. Creating implementation policy brings into con- cert the operational practice with leadership’s endorsement and guidance.

49 Research Transition Teams Strategy Potential Users Potential for Use Ease of Transfer- ability Resources to Support Transfer Research Transition Teams • Sponsors and Stakeholders • Research Program Managers • Implementa- tion Staff • Program/ Operations Units • Private Sec- tor Technol- ogy and Innovation Firms • Academic Technology Offices High potential for use when two or more organiza- tions are involved with creat- ing the research result and applying the result into prac- tice; useful for large and com- plex research project results that require significant change in practice. Requires collabora- tion between organiza- tions and recognition of the need for span- ning the gap that exists between researcher and user. Participating organiza- tions to assign well- qualified experts for team compo- sition; RTT members must have authority to overcome implementa- tion barriers and exper- tise to con- tribute inno- vative solutions; funding to support the activities of the RTT. Research Transition Teams, used by the National Weather Service or NASA-FAA, demonstrate a strategy for collabo- ration, communication, and fostering implementation effec- tiveness between the research sponsor and the practitioner organization that will apply the innovation. The objective of RTTs is to have available to the implementation work a team of experts that has authority and capability to overcome challenges or barriers traditionally encountered when imple- menting a research result or innovation that was created or developed by one organization and that is to be applied within another organization. This situation often occurs in the transportation community; a research organization conducts the research and the products of the research are applied in a research sponsor organization. The two orga- nizations are often an academic or private-sector research partner and a government agency but also can be two differ- ent organizations within one larger entity. RTT members are highly skilled and knowledgeable about the anticipated deliverables, the fiscal, legal, and other aspects of the research result, and the user environ- ment. Additionally, the team is comprised of members from all organizations participating in the research as well as the implementation and use of the innovation. RTTs in transportation can serve as an oversight group to plan and evaluate the implementation progress and its effec- tiveness, to be a collaborative resource for overcoming implementation barriers, and to be a voice to champion the application of the innovation to practice. Importantly team members must have the authority from their respec- tive organizations to provide effective and efficient solu- tions to span the gap that exists between researcher and user. This type of collaborative working group can be par- ticularly effective for implementation of research results that require significant change in operational practice and creating cultural change. Not all the strategies discussed in this document are entirely new to transportation research and technology man- agers. As noted, a number of the strategies are already being used to some degree by transportation research managers and those performing implementation of research results. For example, a few state departments of transportation cur- rently have an implementation procedures manual. However, the advantage that DoD or USDA has is a long track record of experience and a mature infrastructure that ensures sus- tainable activities. In summary, replicating what others outside the highway transportation community are now accomplishing may be difficult for some transportation organizations, and for oth- ers a matter of building on an existing foundation. A number of programs and organizations in the highway community are already addressing some of the concepts and strategies presented herein. For example, the FHWA Highways for Life program is approaching implementation with a systematic perspective that combines highway technical and imple- mentation expertise with some degree of implementation funding integrated into unique teams that accomplish imple- mentation. SHRP2 is building implementation effectiveness through its commitment to well-designed processes for application to practice. Some state department of transpor- tation programs are focusing on implementation of research results and committing to creating cultures in which to fos- ter accelerating innovation. Additionally, the Local/Tribal Technical Assistance Program has been operating for nearly 30 years and has had the opportunity to develop a solid infra- structure that helps sustain value for technology transfer and implementation-related activities. These programs and other programs and practices exam- ined in this study have personnel, fiscal, operational, lead- ership, and cultural costs associated with their success. Likewise, any transportation organization’s efforts aimed at accelerating implementation will incur costs of the activi- ties. There is a very clear trade-off. Achieving greater and faster change in practice resulting from implementing research results and other innovations requires commitment to change and the ability to adequately support and resource that change.