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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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Suggested Citation:"Appendix A Literature Review References." National Academies of Sciences, Engineering, and Medicine. 2018. Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation. Washington, DC: The National Academies Press. doi: 10.17226/25308.
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A-1 APPENDIX A – LITERATURE REVIEW REFERENCES The following includes the sources that make up the literature review and how they relate to each of the modules. Please note that modules eventually evolved into the building blocks: leadership, empowerment, communication, recognition and measurement that are found in the Guide. Literature Summaries by Module LEADERSHIP | Mission, Vision and Strategy ► Jaakkola, E., & Renko, M. (2007). Critical innovation characteristics influencing the acceptability of a new pharmaceutical product format. Journal of Marketing Management, 23(3-4), 327-346. The authors argue that organizational adoption of an innovation involves distinct processes. Leaders or key decision-makers determine the need to adopt an innovation and communicate that decision to the organization. However, for an innovation to be adopted across the entire organization, the employees have to buy-in as well. Instead of simply informing employees that an innovation is going to be adopted, it may be quicker and wiser for leaders to promote an innovation across the organization, excite employees about the prospect, and then render the decision to implement the innovation. ► Anderson, N., Potočnik, K., & Zhou, J. (2014). Innovation and creativity in organizations a state-of-the- science review, prospective commentary, and guiding framework. Journal of Management, 40(5), 1297-1333. After conducting a thorough review of the literature on innovation and creativity, the authors present several relevant conclusions. There are four specific approaches to levels-of-analysis that researchers tend to use in studying creativity and innovation: (1) the individual, (2) the work team, (3) the organization, and (4) multi-level (encompassing one or more of the previous levels). At present, our primary focus is on the organization level, but how organizational-level creativity relates or is affected by individual and team levels is also an important consideration. The authors see leaders as individuals with the potential to affect other individuals, teams, and the organization as a whole. Unfortunately, they concluded that neither the research on how transformational leadership affects creativity nor the research on how supervisory behaviors (e.g., supervisory support, supervisory expectations of feedback, supervisory developmental feedback and non-close monitoring, supervisory benevolence, abusive supervision) affect creativity is conclusive. Although leadership does affect creativity and innovation, empirical investigations have produced mixed or contradictory results when attempting to uncover the dynamics of how leadership can best enhance creativity and innovation. ► Kim, S., & Yoon, G. (2015). An innovation-driven culture in local government: Do senior managers’ transformational leadership and the climate for creativity matter? Public Personnel Management, 44(2), 147– 168. This study indicates that senior managers actively influence employee perceptions of a culture of innovation. Specifically, when senior managers promote a workplace that recognizes employee creativity and provides the flexibility to change and the resources to realize innovations, employees are more likely to perceive their organization as having a culture of innovation. While promising, it should be noted that the sample data were collected from a local government workforce in Korea. There is no way to know if or how national culture may interact with organizational cultural to affect employee perceptions. ► Frederick, T., Lam, T., & Martin, V. Jaakkola, E., & Renko, M. (2014). A Lean Innovation Model to Help Organizations Leverage Innovation for Economic Value: A Proposal. International Journal of Management & information Systems, 18(2), 99-108.

A-2 The elements that make up a truly innovative company include: 1) a focused innovation strategy, 2) a winning overall business strategy, 3) deep customer insight, 4) great talent, and 5) the right set of capabilities to achieve successful execution. The model proposed in this paper addresses this premise whereby an organization can quickly and cost-effectively assess and address its innovation culture and innovation system gaps. Without an innovative culture, it may be difficult to maximize economic benefit from innovation regardless of the level of maturity of innovation, supporting processes, or infrastructure. There should be an environment of trust and safety throughout the organization from the perspective of leaders, managers, and individual contributors. There should be credible and consistent support from executive leaders in their commitment to innovation. This paper places a significant focus on the impact of social networks in innovation. ► Khazanchi, S., Lewis, M., Boyer, K., (2007). Innovation-supportive culture: The impact of organizational values on process innovation. Journal of Operations Management, 25, 871-884. Innovation is vital, but paradoxical, requiring flexibility and empowerment, as well as control and efficiency. Increasingly, studies stress organizational culture as a key to managing innovation. Yet innovation-supportive culture remains an intricate and amorphous phenomenon. This paper explores how organizational values ‒ a foundational building block of culture ‒ impact a particular process innovation, the implementation of advanced manufacturing technology. To unpack this scarcely studied construct, the paper examines three-dimensions of organizational values: value profiles, value congruence and value practice interactions. This paper attempts to quantify scientifically what is typically seen as qualitative measures. It also explores the conflict of flexibility with control. The report addresses the fact that flexibility is seen as a higher value in innovation, but that control may have a more subtle but substantial impact on an innovation-supportive culture. The report acknowledges a key reality: A major challenge of culture research is the potentially confounding effects of numerous, interwoven factors, requiring thoughtful inclusion of control variables. ► Lawrence H. Orcutt, Mohamed Y. AlKadri, Overcoming Roadblocks to Innovation: Three Case Studies at the California Department of Transportation, Transportation Research Record No. 2109, 2009: 65-73. Orcutt and AlKadri provide this simple definition of innovation for public sector transportation agencies in their Transportation Research Record paper on overcoming roadblocks to innovation: “The creation AND successful implementation of a new useful product that becomes widely used by the transportation industry.” Orcutt and AlKadri also observe “innovation should, and can lead to improving the performance, efficiency, and quality of transportation systems. Innovation is much needed to manage the enormity and complexity of a transportation system.” ► MnDOT; Developing a Culture of Innovation; Transportation Research Synthesis; (2010). MnDOT surveyed states in 2010 on the topic of “developing a culture of innovation.” This and other research directed at state DOTs frequently talks about the importance of establishing and sustaining an innovation culture. ► Siekmeier, J; How Organizations Encourage Innovation: Lessons Learned. Presentations from the 93rd Annual Meeting of the Transportation Research Board (2014). Siekmeier describes MnDOT as a large organization with many moving parts where innovative ideas and activities are often underway, but not well-distributed across the organization. He notes that it is vital for MnDOT to celebrate innovation by creating an innovation “brand” to message and promote innovation excellence by individuals, teams, offices, and districts that showcases innovation so it is visible everywhere and available for everyone to see.

A-3 ► Center for Accelerating Innovation. In FHWA.dot.gov. Retrieved August 2016 from https://www.fhwa.dot.gov/innovation. In April 2012, the FHWA established the Center for Accelerating Innovation (CAI) to serve as the focal point for coordination of internal and external efforts to identify and prioritize innovations by developing, launching, and administering strategic innovation deployment programs such as Every Day Counts (EDC). In the administration of these cross-cutting programs, the CAI is responsible for developing a national network for innovation deployment and for stakeholder collaboration within the highway transportation community, most notably through the State Transportation Innovation Council (STIC) network. The CAI works with FHWA Division Office EDC coordinators and innovation deployment teams to compile information on the state-of-the-practice, as well as the innovation implementation goals, of states and other partners. The CAI website provides access to a variety of resources including information on innovations, technical assistance, and funding opportunities. ► Christensen, Clayton M., Roth, Erik, & Anthony, Scott. Seeing What's Next: Using the Theories of Innovation to Predict Industry Change. Harvard Business Review Press. 2004. Print. The authors point to two factors that set the stage for innovation: ability and motivation. The basic concept is that when an organization’s ability and motivation for change are not present, innovation stalls. However, there are obvious differences between the ability and motivation for change in the public sector compared to the private sector. For example, innovation offers companies a competitive advantage and increased profit. There is no profit reward or threat of new start-ups motivating public sector organizations to innovate. ► The Stanford Social Innovation Review Stanford determines the public sector’s ability to innovate is derived from: 1. Ability to experiment 2. Ability to sunset outdated infrastructure 3. Public-sector motivation is assisted by the existence of: 4. Feedback loops 5. Incentives for product or service improvement 6. Budget constraints for end users all can motivate government innovators in the right direction. These five items, grouped as ability and motivation, were separated into three case studies across the country. LEADERSHIP | Process Definition ► Crossan, M., Apaydin, M., (2010). A Multi-Dimensional Framework of Organizational Innovation: A Systematic Review of the Literature. Journal of Management Studies, 47(6), 1154-1191. This paper consolidates the state of academic research on innovation. Based on a systematic review of literature published over the past 27 years, the researchers synthesize various research perspectives into a comprehensive multi-dimensional framework of organizational innovation, linking leadership, innovation as a process, and innovation as an outcome. The authors suggest measures of determinants of organizational innovation and present implications for both research and managerial practice. ► Pohlmann, M., Gebhardt, C., & Etzkowitz, H. (2005). The development of innovation systems and the art of innovation management — strategy, control and the culture of innovation. Technology Analysis and Strategic Management, 17(1), 1-7.

A-4 This paper identifies two primary obstacles to organizational innovativeness: 1) An insufficient number of individuals trained in innovation management, and 2) a lack of mechanisms to turn a local innovation into an organization-wide innovation. These obstacles highlight the fact that leaders need to partake in innovation management and create policies or procedures that facilitate efficient intra-organizational communication and collaboration. ► Meissner, D., Kotsemir, M., (2016). Conceptualizing the innovation process towards the “active- innovation paradigm”- trends and outlook. Journal of Innovation and Entrepreneurship, 5(14), 862-873. This paper introduces the evolving understanding and conceptualization of innovation process models. It categorizes the different approaches to understand and model innovation processes into two types. First, the so-called innovation management approach focuses on the evolution of corporate innovation management strategies in different social and economic environments. The second type is the conceptual approach, which analyses the evolution of innovation models themselves as well as the models’ theoretical backgrounds and requirements. The second approach focuses on the advantages and disadvantages of different innovation models. ► Visscher, K., Rip, A., (2003). Coping with chaos in change processes. Creativity and Innovation Management. 12(2), 121-128. This journal article focuses on the impact of introducing organizational change. More specifically, it studies the phenomenon of chaos from employees during the change process. The authors are particularly interested in the impact of change consultants in managing employee discomfort with new innovative processes. The paper groups consultants into two types: 1) those who seek to reduce the chaos and discomfort while reinforcing the client’s positive self-image, or 2) those who embrace and use the chaos and discomfort to facilitate difficult discussions and move forward. ► Gardner, John W. Self-Renewal: The Individual and the Innovative Society. New York: W.W. Norton & Company Inc. 1995. Print. Gardner explores why societies, organizations and individuals decay and how they can “renew” themselves to ensure that they are continuing to innovate and remain vital. He writes, “When organizations and societies are young, they are flexible, fluid, not yet paralyzed by rigid specialization and willing to try anything once. As the organization or society ages, vitality diminishes, flexibility gives way to rigidity, creativity fades and there is a loss of capacity to meet challenges from unexpected directions. Call to mind the adaptability of youth, and the way in which that adaptability diminishes with the years. Call to mind the vigor and recklessness of some new organizations and societies — our own frontier settlements, for example — and reflect on how frequently these qualities are buried under the weight of tradition and history.” Gardner argues that to be continually innovative, organizations must recognize the need for renewal. Innovative organizations decentralize decision making to allow for diverse views rather than one “official” doctrine. “If all innovations must pass before one central decision point, they just have one chance to survive and a slim one at that.” Additional qualities of innovative organizations: they protect dissenters, they maintain organizational flexibility no matter how large they are, they make employees feel that they have a role in shaping the future and that the work they do is meaningful. ► Hogan, S. J., & Coote, L. V. (2014). Organizational culture, innovation, and performance: A test of Schein's model. Journal of Business Research, 67(8), 1609-1621. This article provides a model useful for conceptualizing multiple “layers” of organizational culture that can foster innovation. Although this model portrays organizational values (which can be instantiated by organizational

A-5 leaders) as the foundation underlying cultural emergence and change, it also presents opportunities to individually assess and manage specific cultural layers to enhance innovation. ► Siekmeier, J; How Organizations Encourage Innovation: Lessons Learned. Presentations from the 93rd Annual Meeting of the Transportation Research Board (2014). In a 2014 TRB Annual Meeting presentation, MnDOT’s John Siekmeier described the seven major steps in MnDOT’s innovation process, which are key to its innovation culture: 1. Problem identification is an important step because it requires recognition of a need and acknowledgement that failure to act is not acceptable for good stewards of public assets. 2. Research means a systematic controlled inquiry involving analytical and experimental activities, designed to increase understanding of underlying phenomena. Research types include: • Desktop research involves collecting, analyzing, and synthesizing existing information. It can be the basis of further research or can lead directly to implementation. • Basic research means the study of phenomena whose specific application has not been identified. The primary purpose of this kind of research is to increase knowledge. • Applied research is the study of a specific need in connection with the functional characteristics of a system. The primary purpose is to answer a question or solve a problem. 3. Implementation is the process of putting the results of research into practical use in order to realize a measurable return on investment. 4. Technology transfer is the conveyance of research results to entities capable of using the results to produce operational products and also providing ongoing support during deployment. 5. Product development means the translation of research results into prototype materials, devices, techniques, enabling technologies, and procedures for the practical solution of a problem. 6. Product evaluation is the testing of a new product or procedure to determine its ability to perform in an operational environment. 7. Outreach and communication are processes for sharing information about a new product or procedure with specific audiences using targeted messages. ► AZDOT EDC website: https://www.azdot.gov/business/programs-and-partnerships/every-day-counts- initiative/overview (undated). Similar to MnDOT, Arizona DOT’s Arizona Council on Transportation Innovation website describes its culture of innovation as being built around 1) identifying innovative strategies, 2) developing the applications, 3) deploying the technology and testing by using pilot projects, and 4) integrating ideas into routine practices. ► CalTrans, Fostering Innovation within State Departments of Transportation (July 2015). In its 2015 report on Fostering Innovation within State Departments of Transportation, Caltrans found that most DOTs view support by agency leaders as very important for successful innovation. The report emphasizes that a key success factor for innovation efforts in transportation agencies is “a state-based approach to innovation deployment. This approach recognizes that the diverse characteristics that make each state unique ‒ people, geography, climate, economy, urban and rural areas, laws and regulations ‒ also make their transportation requirements different.”

A-6 ► https://www.fhwa.dot.gov/innovation/everydaycounts/about-edc.cfm The STIC concept emerged from the first round of Federal Highway Administration’s (FHWA) EDC initiative, which was started in 2009 “to speed up the delivery of highway projects and to address the challenges presented by limited budgets.” According to FHWA, each state operates its STIC based on its unique business needs and approaches to meeting those needs. The CalTrans Fostering Innovation within State Departments of Transportation, report describes how STICs “bring together transportation stakeholders from all levels of the transportation community to evaluate which innovations are most appropriate for their states. “According to the report, members come from public agencies, metropolitan planning organizations, transportation associations, environmental and historical preservation groups, industry, and academia. Each state council meets regularly to consider all types of innovation, including those fostered by EDC, SHRP2, and other sources. The councils decide which innovations to adopt, develop implementation plans and performance goals, and set the pace for implementation. As the report explains, “the councils put their respective states’ transportation stakeholders in the driver’s seat to select the innovations that best consider a variety of perspectives, from government to industry, and that fit each state’s particular business needs and challenges.” ► Wisconsin Department of Transportation. In Wisconsindot.gov. Retrieved August 2016 from http://wisconsindot.gov/Pages/about-wisdot/who-we-are/dtsd/default.aspx The Wisconsin DOT (WisDOT) program is housed in the Division of Transportation System Development and is coordinated with Wisconsin’s STIC. WisDOT’s Innovation Initiative program focuses on strengthening the agency’s ability to identify, evaluate, and adopt promising materials, technologies, policies and procedures. In particular, the program promotes: • Rapid innovation - Focus on quickly identifying and implementing innovative practices or tools to enhance the delivery of transportation systems. • Aggressive information technology advances - Wisconsin’s program has a special emphasis on leveraging IT systems, tools, and devices to change the way we collaborate and share data, along with streamlining data entry, data compiling, and data use. • Creating a culture of innovation - Changing the way WisDOT views innovation and creating a broader acceptance to change through an environment that believes in innovation. ► https://www.fhwa.dot.gov/innovation/stic/deployment.cfm In 2010, the FHWA introduced the concept of STICs to state transportation departments and industry partners as a way to foster ownership and pride in establishing a process where ideas, innovative techniques and processes can be evaluated and implemented quickly and proficiently. According to FHWA’s STIC deployment website, all 52 states and territories have now formed a STIC. ► www.penndot.gov/about-us/StateTransportationInnovationCouncil/ Pages/default.aspx#.Vz99V-cgsmI Pennsylvania's STIC evaluates well-researched and proven technologies that are ready to be implemented in the field. Technologies, tactics, and techniques that are selected are employed and promoted to become standard practice within the transportation community at the local, regional, or statewide level. The STIC is a cross- section of various stakeholders, state and federal agencies, local governments, research organizations and industry partners that work together to forge an environment of innovation, imagination and ingenuity to pursue specific initiatives and their rapid implementation to deliver a modern and high-quality transportation system to the citizens of the commonwealth. To assist the STIC in selecting initiatives that should be promoted and implemented, Technical Advisory Groups (TAGs) have been created to review, evaluate, and provide

A-7 suggestions on potential benefits and uses of initiatives or techniques. The TAGs are responsible for ensuring that chosen initiatives succeed in improving the transportation system and are required to develop deployment plans and track the initiatives progress. The TAGs created thus far are focused in the following areas: project delivery, construction, maintenance, design; environmental, safety; technology, intelligent transportation systems, materials, and public outreach. ► http://www.pewtrusts.org/en/research-and-analysis/blogs/stateline/2015/2/06/chief-innovation- officers-do-they-deliver A 2015 article published by Pew Charitable Trusts Stateline e-newsletter/blog offers some words of caution about the new chief innovation officer (CIO) trend: “It’s a title that is very vague … and without a chief executive who understands it and looks at it as somebody we need to have, there’s a risk of it not being a very valuable position.” “A lot of what people are talking about in innovation is not that innovative.” Sometimes, cities or states develop a mobile application for a government service and call it “innovation,” when they really haven’t revolutionized how government operates or devised better, thriftier and longer-term solutions for citizens and taxpayers. What innovation officers really need, is the imprimatur of the governor or mayor to challenge the status quo up and down the bureaucratic ranks–even if it means stepping on some toes. You need someone in the executive office – the governor or the mayor – to take on entrenched interests: the bureaucracy, the vendors, or labor, and chart a path to a better solution.” “Tapping someone from outside government often works best. Some states and cities have created “entrepreneurs in residence.” ► Caltrans Division of Research, Innovation and System Information. In DOT.CA.Gov. Retrieved August 2016 from http://www.dot.ca.gov/drisi/ Caltrans Division of Research, Innovation and System Information (DRISI) manages a comprehensive program to research, develop, test, and evaluate transportation innovations sought by its customers. These innovations in methods, materials, and technologies enable Caltrans to promote safety, enhance mobility and sustainability, improve the management of public facilities and services, and protect public investment in transportation infrastructure. The DRISI: • Sets its research agenda based on the involvement and participation of its internal and external customers • Performs applied research • Performs research for all modes of transportation • Provides technical assistance to its customers for deployment of research products • Engages in both short-term and long-term research ► Illinois Department of Transportation. In IDOT.Illinois.Gov. Retrieved August 2016 from http://www.idot.illinois.gov/home/innovation Illinois DOT Office of Innovative Project Delivery - IDOT created the Office of Innovative Project Delivery in 2013 to help deliver transportation projects that meet the many needs of the state through innovative methods of delivery including partnering with the private sector on both technical and financial aspects. ► Texas Department of Transportation. In TxDOT.GOV. Retrieved August 2016 from http://www.txdot.gov/inside-txdot/administration/strategy-innovation.html Texas DOT (TxDOT) Chief Strategy and Innovation Officer Darran Anderson serves as chief strategy and innovation officer. Anderson's duties include leadership and strategic direction for the innovation and

A-8 continuous improvement of people, processes and technology of the agency. He is a Project Management Professional (PMP), a former consultant for a large business, and a program manager for a small business, as well as a retired U.S. Army officer. LEADERSHIP | Managing Risk ► Madjar, N., Greenberg, E., & Chen, Z. (2011). Factors for radical creativity, incremental creativity, and routine, noncreative performance. Journal of Applied Psychology, 96(4), 730. There are different types of creativity. Radical creativity is paradigm-shifting ‒ something completely different than the status quo. Incremental creativity involves minor adaptations to existing frameworks or processes. Different contextual factors are related to different types of creativity. The researchers found that radical creativity was related to resources for creativity, willingness to take risks, and career commitment. The best predictors of incremental creativity were organizational identification and the presence of creative co-workers. The implication seems to be that an organization can take certain measures to make employees feel comfortable voicing ideas and taking risks, and thus make it more likely that individuals will produce radically creative ideas. Of course, not everyone will come up with radically creative ideas, but merely associating with co-workers who do have creative ideas is likely to promote incremental creativity on a cultural level. ► Siekmeier, J; How Organizations Encourage Innovation: Lessons Learned. Presentations from the 93rd Annual Meeting of the Transportation Research Board (2014). Siekmeier describes how as a government entity, MnDOT’s sincere efforts to enhance its culture of innovation can be easily sidetracked when a change of administration occurs. These changes are a distraction and provide a reason to not fully invest in and commit to innovation. Innovation should not be viewed as a cost, but rather as an investment that will enhance future prosperity and opportunity. Agencies must strive to create a culture of innovation that is resilient during political changes, particularly by demonstrating that innovation provides a competitive advantage for the state and a positive return on investment for the state. ► MnDOT; Developing a Culture of Innovation; Transportation Research Synthesis; (2010). In its recent research synthesis on innovation culture, MnDOT (2010) concludes that successful innovation in DOTs requires “balance between a) conservative, evolutionary-minded planning that takes into consideration market demand and socioeconomic and political factors, and b) the political willingness to take calculated, reasonable risks when there is an opportunity.” ► Smart Growth America; The Innovative DOT; (2015) http://www.smartgrowthamerica.org/the- innovative-dot Smart Growth America’s The Innovative DOT notes that innovative DOTs understand that risk and failure are necessary components of innovation. According to the report, this concept is illustrated by Minnesota DOT’s value to “Be Bold,” which includes the statement: “I take risks and accept failure. I will use my failures to identify ways to get better.” The site also observes that managing risk is a necessary component of innovation. ► MnDOT; Developing a Culture of Innovation; Transportation Research Synthesis; (2010). MnDOT’s 2010 Developing a Culture of Innovation study describes the importance of “managing the balance between risk and change, specifically between the more adventurous knowledge seekers willing to tolerate risk and those within an organization who are more conservative and incremental in their approach.” ► Lawrence H. Orcutt, Mohamed Y. AlKadri, Overcoming Roadblocks to Innovation: Three Case Studies at the California Department of Transportation, Transportation Research Record No. 2109, 2009: 65-73.

A-9 Orcutt and AlKadri describe “risk aversive executives [who] hesitate to implement new innovations” as one of the principal road blocks to innovation in DOTs. Orcutt and AlKadri identify six barriers to innovation based on their research at Caltrans, including: • System diversity and complexity – Fragmentation and disagreement among a diverse, decentralized, and multifaceted industry and competition among public works categories for scarce resources have combined to constrain innovation. • Intellectual property and procurement restrictions – Public sector procurement activity is driven by a low-bid process based on specifications and procedures established to satisfy the need for open competition and accountability. Competitive bidding requirements represent a core problem because certain innovations are offered by a single company. Conflict between open public bidding processes and private intellectual property rights can hamper deployment of innovative products • Risk aversion – Public sector decision-makers work in an environment that does not reward risk- taking. If public officials are unfamiliar with the potential of innovative technology or uncertain of its merits, they are reluctant to adopt it. • Resistance or inability to change - When optimal resolution of a product or process performance problem demands a very different set of knowledge than a firm has accumulated, it may very well stumble. • Lack of profit motives - Public-sector innovation is not subject to the profit motive that stimulates commercial innovation. • Lack of product evaluation criteria - New product evaluation guidelines are slow to develop and are under-resourced. Requirements are unclear or not defined. At Caltrans, it is difficult to get business cases for information technology products approved through the extensive and cumbersome Feasibility Study Report process. LEADERSHIP | Power of Government ► Behn, Bob. Public Management Report. August 2005. Iowa State Government application to Harvard Kennedy School: Ash Center for Democratic Governance and Innovation. Innovations in American Government Award Winner (2005). In 2003, the Iowa legislature authorized Governor Tom Vilsack to designate six state agencies as charter agencies. The governor asked for volunteers among the agency leaders, and six agencies agreed to become charters: the departments of Human Services, Revenue, Natural Resources and Corrections; Iowa Veterans Home; and Alcoholic Beverage Division. By becoming charter agencies, these agencies were allowed to waive any personnel rule (subject to Iowa’s collective bargaining agreement); hire staff at any pay grade without any employment cap or full-time employee limit; waive any administrative rule regarding procurement, fleet management, printing and copying, or maintenance of building and grounds, as well as information technology; carry over half of budgeted but unspent funds from one fiscal year into the next; keep the proceeds from the sale or lease of capital assets. In exchange for the freedom from these restrictions, these agencies were expected to generate at least $15 million total in savings. They generated $22 million the first year and $20 million the next. Their successes included: reduced child welfare stays in shelter care by 20 percent, or 10 days; increased children with health coverage by 12 percent in FY05 on top of substantial prior year gains; reduced turnaround time for wastewater construction permits from 28 to 4.5 months; and improved rate of individual income tax refunds issued within 45 days from 75 percent to 94 percent. There has been some criticism

A-10 regarding the need for these restrictions to be lifted in order to actually achieve these results. State Auditor David Vaudt was asked to identify what savings could be directly linked to the agency's enhanced flexibility. His own office acknowledges the challenge of this approach. "It is extremely difficult, if it not impossible, to tell how much it saved," Warren Jenkins, chief deputy auditor told the Des Moines Register. "There was no verification that what they reported resulted from the initiative or if it came from any other reason." Some executives have acknowledged that they could have achieved their positive results without becoming charter agencies. However, this process encouraged them to think differently and not feel restricted by bureaucratic restrictions, which generated more innovation and creative approaches. Thus, while the fiscal savings can be argued, the innovative success has endured. ► hntb.com/ThoughtLeadership/Insights/Unleash-innovation-within-your-DOT (undated). As FHWA’s STIC deployment website explains, innovation is essential to overcoming the basic challenges facing America's highway system, which include “an aging infrastructure, growing traffic volumes and limited staffing and funding resources.” ► North Dakota Department of Transportation. In dot.nd.gov. Retrieved August 2016 from https://www.dot.nd.gov/business/innovate/Call%20for%20Innovation%20Ideas.pdf In a call for transportation innovation ideas, North Dakota State University Upper Great Plains Transportation Institute (UGPTI) is charged with seeking ideas on behalf of North Dakota DOT (NDDOT) for innovative transportation projects, processes and products. All transportation-based contractors, consultants, suppliers, colleges and universities, associations, tribes, local jurisdictions and NDDOT staff are invited to submit ideas for consideration. UGPTI, on behalf of NDDOT, and in partnership with the NDDOT Transportation Innovation Program Team will make a minimum of four calls for ideas over the 2016 fiscal year (October 1, 2015 to September 30, 2016), and will then review and recommend their preferred ideas to the NDDOT Executive Team. COLLABORATION | Engagement ► Venkataramani, V., Richter, A. W., & Clarke, R. (2014). Creative benefits from well-connected leaders: Leader social network ties as facilitators of employee radical creativity. Journal of Applied Psychology, 99(5), 966–975. Findings suggest that the large social networks of managers and supervisors are associated with increased creativity of their direct subordinates. The rationale behind this relationship is that a well- connected leader is exposed to a greater variety of ideas being thought up across the organization, and is therefore better able to convey a variety of current and relevant ideas that the organization supports or is considering to subordinates. This in turn spurs the subordinates to generate radical new ideas of their own. In some ways, this is similar to the observation that many other researchers have made that employees need the opportunity or the time and space to be creative. Additionally, a well-connected leader is thought to be better able to know where and how to obtain the resources to implement creative ideas. The key takeaway is probably not that the organization should rush to promote their most socially adept employees to manager and supervisor positions, but rather that the organization can take measures to promote the cross-fertilization of ideas within the organization and recognize the powerful role managers can play as conduits for conveying and facilitating creative ideas. For example, it may be impractical to say that distinct work groups are suddenly going to interact more and therefore share ideas. It may, however, be quite easy to begin implementing organization-wide or division-wide meetings between managers once or twice a month. This simple step would allow managers to become more aware of ideas and events across the organization, and also allow them to develop a feel for who to contact to facilitate the implementation of creative ideas their subordinates produce.

A-11 ► hntb.com/ThoughtLeadership/Insights/Unleash-innovation-within-your-DOT (undated) This online Thought Leader blog entry on unleashing innovation observes that DOT leaders must constantly assess their core competencies. For example, the article highlights the relevancy of print maps when almost everyone uses GPS devices or smartphones apps and asks, “why spend money to print and distribute specification books when those documents could be posted as PDFs and printed by others at their expense?” ► Siekmeier, J; Enhancing the Culture of Innovation in a DOT; Transportation Research Record E-C199 (2015) Organizational inertia, failure to recognize existing opportunities for innovation, impaired organizational structures, and a complacent organizational culture are all risks for an innovative DOT, according to Siekmeier. In particular, he notes “the organizational structure of many DOTs creates challenges for innovation deployment.” Siekmeier describes the need to strengthen horizontal linkages across silos, and lessen the negative effects of vertical hierarchy. COLLABORATION | Ideation ► Reiter-Palmon, R., & Arreola, N. J. (2015). Does Generating Multiple Ideas Lead to Increased Creativity? A Comparison of Generating One Idea vs. Many. Creativity Research Journal, 27(4), 369-374. How creativity is defined is important not only for how we conceptualize and recognize it in our own minds but also for how we interpret and apply the findings of researchers who have attempted to operationalize and measure creativity in different ways. Some of the primary ways of measuring creativity are originality (i.e., novelty or what is sometimes referred to as “divergent thinking”), idea production (the sheer quantity of ideas produced), and quality (i.e., how useful the idea is). Reiter- Palmon & Arreola (2015) attempted to bring some objectivity to this discussion by using a sample of undergraduate students to see how the number of ideas an individual generated were related to the quality of the ideas generated. Results suggest that generating multiple solutions leads to more novel ideas, but that the more ideas one generates, the less consideration one gives to each idea. The implication is that the idea-generation process should encourage divergent thinking, but someone with authority needs to impose some structure on the process by setting a time limit or settling on a solution so that individuals can switch mental gears from brainstorming to elaborating. In other words, knowing when to stop idea generation is as important as the idea generation process. ► Siekmeier, J; Enhancing the Culture of Innovation in a DOT; Transportation Research Record E-C199 (2015) According to a 2015 MnDOT-authored Transportation Research Record article on enhancing innovation culture, the “worldview of an organization’s employees significantly influences innovation deployment.” The article goes on to describe how individual employees in an innovative DOT act as ‘explorers’ as they perform their job functions and notes that a “well-functioning organization, in ways similar to America’s tradition of success, encourages exploration as the organization embraces greater effectiveness and sustainable resource utilization.” ► Siekmeier, J; How Organizations Encourage Innovation: Lessons Learned. Presentations from the 93rd Annual Meeting of the Transportation Research Board (2014). Siekmeier describes how important the sharing of ideas is to innovation. He explains how MnDOT has a diverse workforce with multiple offices and unique operating structures, which creates many challenges for effective communication and sharing ideas. He describes opportunities that include: • Leveraging social media opportunities (Facebook, Twitter, Wikis, YouTube, and more) • Sharing best practices formally and informally

A-12 • Showcasing new ideas and technologies • Online forums that encourage posting of innovative ideas • Listening channels for connecting with constituents, customers, and suppliers • Creating webinars to share ideas and innovations ► http://www.modot.org/road2tomorrow The Missouri Highways and Transportation Commission launched its Interstate 70-focused Road to Tomorrow innovation program in 2015 as a mechanism specifically designed to help create innovative ways to finance the restoration of I-70 and to deliver a 21st Century transportation system. The Road to Tomorrow website solicits ideas from outside Missouri DOT (MoDOT), but also describes a six-person multidisciplinary team within MoDOT that is dedicated to finding “ways to add value to [Missouri’s] transportation system, enhance funding streams, and prepare MoDOT to integrate 21st century technologies into [the state’s] transportation system and services.” MoDOT Director Patrick McKenna describes the Road to Tomorrow effort for I-70 from Kansas City to St. Louis as “a laboratory for innovation.” To date, the website lists smart highways, truck platooning, truck ferries, data communication, funding, alternate travel, energy, and advertising as issues it has investigated. MoDOT is in the process of establishing pilot projects as a result of its exploration of potential topics of interest. ► http://www.nsw.gov.au/innovate In New South Wales (NSW), Australia, a government-wide program called the Innov@tion Initiative is described as “a significant opportunity for the NSW Government to engage with business, community and other non- government stakeholders to help us deliver services to the people of NSW. This exciting initiative is about opening up Government avenues to the public and combining our considerable know- how.” Focus areas for the NSW Innovation Initiative include congestion, open data, social housing, and open ideas. In the area of congestion, the aim of the Innovation Initiative is “to think more innovatively about how [NSW] existing metropolitan-wide infrastructure could work more efficiently. Private and community sectors can provide innovative solutions to reduce congestion in hot spots on Sydney roads.” Transport for NSW (the state’s DOT) aims to use innovations to “improve travel times on 100 major roads during peak travel periods and grow patronage on public transport.” As of August 2016, the Innovation Initiative’s website indicated it has received “almost 50 innovative submissions on ways to reduce congestion on our roads” An evaluation panel is examining ideas ranging from “advanced technologies and intelligent systems for traffic management to innovative uses of crowd sourced information to improve traffic enforcement on congested roads.” Applicants who best meet the criteria will be invited to provide more details about their proposals for further consideration. ► http://aii.transportation.org/Pages/default.aspx#more-about As described on its website, the AASHTO Innovation Initiative (formerly the AASHTO Technology Implementation Group) advances innovation from the grassroots up ‒ by agencies, for agencies, and peer-to-peer. The program actively seeks out proven advancements in transportation technology, investing time and money to accelerate their adoption by agencies nationwide. Each year, the program selects highly valuable technologies, processes, software, or other innovations that have been adopted by at least one agency, are proven in use, and will be of significant benefit to other agencies. ► https://www.transportation.gov/cio/ideahub IdeaHub, which was started August 2010, allows USDOT employees to “rate, discuss and improve upon innovative ideas to help make the Department a top flight 21st-century agency that is … adaptable, creative and enterprising.” USDOT emphasizes that IdeaHub is not a suggestion box. It allows each of the DOT’s ten operating

A-13 administrations to pursue projects important to their respective employees while facilitating dialogue around ideas that impact the entire Department. On the site, managers and employees can proactively explore mission- driven initiatives to encourage: • Budget savings and increased productivity • Increased engagement and workplace satisfaction • Greater agility and collaboration within the Department • Unfiltered information from all fronts According to USDOT’s website, IdeaHub engages 30 percent of employees and garnered more than 7,500 ideas, over 90,000 ratings, and nearly 25,000 comments. More than 100 employee-submitted ideas have already been adopted. ► https://www.idealink.pa.gov IdeaLink is a password-protected site that solicits ideas from Pennsylvania DOT employees “that will help PennDOT (Pennsylvania DOT) save money, improve morale, create efficiency, make your workplace safer, improve customer service or generate revenue.” ► https://prezi.com/sd2rh5v5urkl/mndots-e-jam-and-sustainability-initiatives MnDOT held an online idea jam, called an E-Magination JAM, or E-JAM, in September 2009. This jam was based in part on IBM’s Innovation JAM model (https://www.collaborationjam.com) which IBM has used as a collaboration tool to help generate innovative ideas and products. Five hundred thirty ideas were submitted over five days, and nearly 1,000 employees cast votes in support of one or more of the submitted ideas. The ideas were then categorized under one of seven themes: Workplace of Choice, Tech Connections, Sustainability, Operational Innovations, Scope Incentives, Public-Private Partnerships, or Targeted Transparency. Lessons learned include: • Use the Internet to encourage collaboration and sharing • Let people comment on each other’s ideas • Allow voting to determine favorite ideas • Let employees be anonymous ► https://www.codot.gov/business/process-improvement/colorado-state-transportation-innovation- council-stic Part of the responsibility of the Colorado STIC is to administer the Colorado STIC Incentive Program. The program offers technical assistance and funds — up to a total of $100,000 per year for all projects — to support the costs of standardizing innovative practices within Colorado DOT (CDOT) and/or other public sector STIC stakeholders. Projects selected for the incentive program must meet these criteria: • The project will have a statewide impact on making the innovation a standard practice. • The activities for which incentives are requested should be included in the STIC's implementation plan and align with FHWA’s Technology and Innovation Deployment Program (TIDP) goals. • The activities funded through the TIDP should be eligible for Federal-Aid assistance and adhere to CFR requirements.

A-14 • The activities in the proposal should be started as soon as practical after notification of selection (preferably within 6 months, but no later than 1 year), and TIDP work must be completed within 2 years. ► New South Wales. In nsw.gov.au. Retrieved August 2016 from http://www.nsw.gov.au/innovate/congestion The NSW Reduced Congestion Innovations considered almost 50 innovative submissions on ways to reduce congestion on our roads. The evaluation panel was impressed by the diversity of ideas and the creativity shown by applicants. Ideas ranged from using advanced technologies and intelligent systems for traffic management to innovative uses of crowd sourced information to improved traffic enforcement on congested roads. Applicants who best meet the criteria will be invited to provide more detail about their proposals for further consideration. The winner is expected to be announced later this year. ► California Department of Transportation. In dot.ca.gov. Retrieved August 2016 from http://www.dot.ca.gov/InnovAward/ The California Department of Transportation (Caltrans) developed its “Find a New Way” contest to offer an award of $25,000 to the Californian with the best unique idea about how to improve the state’s transportation system. Launched in 2015, its mission was to find “the concept that best addresses the contest criteria within Caltrans’ area of responsibility and has the highest likelihood of being successfully implemented.” More than 600 entries were received by the contest’s October 13, 2015 deadline. COLLABORATION | Customer Focus ► MnDOT; Developing a Culture of Innovation; Transportation Research Synthesis; (2010). MnDOT’s 2010 Transportation Research Synthesis titled Developing a Culture of Innovation observes that “the ability to innovate is critical to an organization’s performance, especially for DOTs confronted with managing a large and complex transportation system.” ► http://www.nsw.gov.au/innovate In Australia, web materials promoting the NSW government-wide innovation program, which includes the state’s transportation agency, describe how innovative approaches and technologies are one way to generate “improvements in public services, with more choice, better quality and greater local influence in decision making [that ensure access in the] State to quality services and infrastructure, and a place people will choose to live, work and invest in.” ► Minnesota Department of Transportation. In dot.state.mn. Retrieved August 2016 from http://www.dot.state.mn.us/research MnDOT Research Services is tasked with ensuring that optimal use is made of Minnesota taxpayer dollars dedicated to transportation research. Its vision includes fostering a professional and productive environment that leads to innovative research through global and regional collaboration.

A-15 COLLABORATION | Power of Communication ► Patterson F., Kerrin, M., Gatto-Roissard, G., Coan, P., (2009). Everyday Innovation; How to Enhance Innovative Working in Employees and Organisations. National Endowment for Science, Technology and the Arts. This UK government-funded study focuses on the critical role employee characteristics and behaviors play in innovative working and reveals the key organizational factors that enable or inhibit innovation. The report presents the practical implications regarding how to best facilitate innovative working and promote innovation in organizations. The evidence base for this research was drawn from a comprehensive review of the relevant literature, key stakeholder interviews, case studies and a UK-wide survey facilitated by the Chartered Management Institute (CMI) based on 850 responses from CMI member organizations. ► Wallman, J. P. (2009). An examination of Peter Drucker’s work from an institutional perspective: How institutional innovation creates value leadership. Journal of Academy of Marketing Science, 37, 61–72. In broad terms, this article discusses the relationship between an organization and a marketplace and how the implements of an innovation can affect how an organization is valued by the market. The market’s perception of the organization’s value is similar to accrued credit that the organization can use as a stepping stone into the future. Eventually, the organization can “spend” this accrued credit (one might be attempted to say “credibility”) to improve the likelihood that the market will enthusiastically receive more radical innovations proposed by the organization in the future. If the market accepts radical innovations from the organization, then the organization is fundamentally shifting what the market values. The idea is that the organization does not simply provide a product or service that people value — it can actually shape what is valued. This has implications both within and outside the organization. Begin with baby steps. Small successes build confidence and willingness to engage in more sweeping changes. Grand innovations will not happen overnight, and even if a brilliant innovation is fully conceived in a night, that doesn’t necessarily mean it will be well-received. This also serves to highlight the importance of communication: a brilliant idea poorly explained is not likely to be recognized for its true value. In one sense, the overarching idea may be well-summarized as “empowerment through collaboration”—when the value of creative ideas is recognized by peers, it changes how the peers think and value, but it also reinforces the creator to continue generating and proposing ideas in the future. In this fashion, each creative idea proposed and accepted begins to foster an environment more likely to produce and adopt creative ideas in the future. After all, without support, a creative idea is nothing more than an idea. ► UW-Milwaukee, Center for Urban Transportation Studies; Fundamentals of Innovation, Change and Technology Transfer (Date unknown) http://www4.uwm.edu/cuts/bench/tt.htm According to a 1980s-era UW-Milwaukee, Center for Urban Transportation Studies report on the fundamentals of innovation, “adoption of innovations involves altering human behavior, and the acceptance of change.” In an innovation culture, the article explains, natural resistance to change is overcome by making the reasons for the change clear, communicating with employees about change, demonstrating the rewards for making the change, and introducing change gradually. ► Public Roads article On The Frontlines of Innovation (March/April 2015) http://www.fhwa.dot.gov/publications/publicroads/15marapr/01.cfm Smart Growth America’s The Innovative DOT observes that transportation affects many other areas, including housing choice, access to education, and commerce, and is ultimately a key determinant in the long-term strength of a region and its ability to attract and sustain growth. The authors encourage state DOTs “to work with other state agencies and outside bodies to extract the greatest possible benefit from their combined

A-16 efforts.” FHWA’s Public Roads magazine article on STICs highlights that DOTs often serve as innovation leaders for their states and, working with local, county, and industry stakeholders, play a pivotal role in innovation deployment. ► Innovator newsletter: http://www.fhwa.dot.gov/HFL/innovator Innovator, published by the FHWA CAI, advances implementation of innovative technologies and processes in the highway industry. Its audience is transportation professionals in highway agencies, trade and research groups, academia and the private sector, and the driving public. The Innovator is published six times a year. ► Accelerator newsletter: http://www.dot.state.mn.us/research/accelerator.html MnDOT’s Research Services group is set up to help solve transportation problems by administering research projects for MnDOT and the Local Road Research Board. As a resource for MnDOT staff as well as city and county engineers in kick-starting research and shepherding projects to completion, the staff publishes its Accelerator newsletter about six times a year. EMPOWERMENT | Asses and Adjust ► Adams, R., Bessant, J., Phelps, R. (2006). Innovation management measurement: A review. International Journal of Management Reviews, 8(8), 21-47. This journal article expands the discussion on innovation management measurement. The paper finds that a large number of organizations tend to focus only on the measurement of innovation inputs and outputs, such as financial and human resources spend, speed to market, and number of new products. However, there is a general lack of consideration of innovation process. There is clearly a diverse range of approaches, prescriptions and practices that could be confusing and contradictory. The paper synthesizes a framework of the innovation management process focused on the following areas: inputs management, knowledge management, innovation strategy, organizational culture and structure, portfolio management, project management, and commercialization. Overall, the authors conclude that a single framework of measurement cannot be developed and, in general, managers are not capable of evaluating their own innovation activity. ► Alm, Carl J.J., Jönsson, E. (2014). Innovation Culture in Five Dimensions: Identifying Cultural Success Factors and Barriers for Innovation. Chalmers University of Technology, Master’s Thesis E 2014:062 This study contributes to the understanding of innovation culture by proposing a framework that explains the concept and identifies success factors and barriers that influence its development. The study examines several European examples of innovative cultures. ► Hülsheger, R. U., Anderson, N., & Salgado, F. J. (2000). Team-level predictors of innovation at work: A comprehensive meta-analysis spanning three decades of research. Journal of Applied Psychology, 94(9), 862- 873. Interventions that have the biggest impact on innovation focus on providing an organization with high norms for innovation and creating a climate that is open to change and error friendly. In practice, this can be difficult to achieve because of the balance needed between supporting each other in developing and implementing new ideas and monitoring and critically appraising them. By linking provision of feedback and personal incentives to the accomplishment of the group (rather than the individual), an organization can help establish a cooperative, collaborative environment that is open to innovation. Internal and external communication support innovation by making the exchange of opinions and support easier and clearer. Organizations should therefore strive to build networks within their team, with other teams, and even with other organizations.

A-17 ► Siekmeier, J; How Organizations Encourage Innovation: Lessons Learned. Presentations from the 93rd Annual Meeting of the Transportation Research Board (2014) Siekmeier describes one of the greatest barriers to innovation at MnDOT as “Lock-ins,” which are behaviors, structural processes, and cost elements allowed to exist without clear benefit. Lock-ins inhibit innovation and are barriers to becoming a nimble organization. They include: • Processes and procedures that once worked, but are now a deterrent • Bureaucratic obstacles during funding of innovative activities • Poor alignment of an employee’s strengths and their job duties • Attitudes that inhibit innovation • Consensus decision making that is inconsistent with engineering best practice • Existing rules and institutional inertia, which perpetuate a “that’s how we do it here” attitude • Project lock-in once a project is designed or defined in a request for proposal • Project lock-in once a project is funded EMPOWERMENT | Reward and Recognize ► Lowe, P., Dominiquini, J., (2006). Overcoming the Barriers to Effective Innovation. Strategy & Leadership, 34(1), 24-31. This journal article discusses a dysfunctional approach to innovation based on the findings of a survey of 550 large companies. The authors addressed six major obstacles they found, including short-term focus; lack of time, resources, or staff; leadership expectations of a payoff sooner than is realistic; management incentives that are not structured to reward innovation; lack of a systematic innovation process; and a belief that innovation is inherently risky. The study is focused on four areas to improve innovation effectiveness by referring to common obstacles among companies: leadership and organization; processes tools; culture and values; and people and skills. The article also conducted a case study on Whirlpool to address the company’s approach to innovation. It is believed that innovation diagnostic could be the starting point for companies to improve their innovation effectiveness. ► Kiumarsi, S., Isa, S. M., & Navi, R. R. (2015). The Influence of Organizational Culture on Creativity and Innovation: A Review. International journal of business and innovation, 2(2), 47-58. Creativity is a process of idea development, whereas innovation is adopting and translating new ideas into products or services. For example, innovations may be implementing ideas to reduce costs, improve communications, implement new technologies, or implement a new organizational structure. Culture can directly enhance both the organization’s creativity and innovation, and by enhancing creativity, culture will also have a secondary indirect enhancing effect on innovation. A culture of innovation is both about enhancing creativity and empowering employees to select and turn creative ideas into tangible assets. ► Chen, G., Farh, J., Campbell-Bush, E. M., Wu, Z., & Wu, X. (2013). Teams as innovative systems: Multilevel motivational antecedents of innovation in R&D teams. Journal of Applied Psychology, 98(6), 1018-1027. Innovation goes beyond creativity by requiring championing and implementation of ideas or procedures. There is an interplay in both directions for individual and team-level innovative performance ‒ each affects the other. For example, proactive motivation states at the individual level will promote innovation at both the team and

A-18 individual level. Such states are characterized by an individual’s interest in and capacity to bring about change in their work environment. By empowering employees to realize proactive motivational states, organizations can create a climate that fosters innovation at the team and individual level. Similarly, at the team level, a collective perception that collaborative, innovation-related activities are expected, valued, and supported in the team will encourage innovation (characterized as support for innovation climate). ► HNTB Thought Leader. http://www.hntb.com/ThoughtLeadership/Insights/Unleash-innovation-within- your-DOT HNTB’s Thought Leader column on the topic of “unleashing innovation” at DOTs cites the importance of deploying someone who has “the organization’s respect, has worked there a number of years and consistently demonstrates willingness to think differently.” Such champions for change “interface directly with DOT leaders to replace any internal inertia and resistance with openness to and acceptance of change.” The column also observes that “innovative cultures take root faster when leaders recognize employees whose recommendations are adopted – even if those recommendations don’t produce needle-moving results.” ► Smart Growth America; The Innovative DOT; (2015) http://www.smartgrowthamerica.org/the- innovative-dot Smart Growth America’s The Innovative DOT handbook highlights that while “it might be tempting to launch several new initiatives at once. This is not advised. Rather, consult with both internal and external stakeholders to strategically choose the challenges/reforms to tackle and the solutions to pursue. Remain focused, and provide the support staff required to implement and deliver the desired results. Remain engaged, celebrate successes, and keep the momentum going—even when reforms must be abandoned and new attempts begun.” The report also describes how the best ideas often come from lower levels of an agency, which highlights the need to break down rigid hierarchies that typify many DOTs at state, county, and municipal levels. According to report, creating an innovation culture “can be as simple as inviting employees to converse with leadership, or recognizing good work among peers.” EMPOWERMENT | Google 20% ► Zhang, X., & Bartol, K. M. (2010). The influence of creative process engagement on employee creative performance and overall job performance: A curvilinear assessment. Journal of Applied Psychology, 95(9), 862-873. This article explains that creative process engagement does not necessarily lead to higher job performance and can actually hamper innovation if employees are forced to spend more time than necessary engaged in creative processes. Though further research is needed, individuals who become so caught up in creative processes beyond what is minimally necessary may find themselves more engaged by the exciting and interesting activity processes and neglect critical aspects of their jobs. Organization leaders should therefore use participation in creative processes sparingly to avoid overextending employee resources. ► Dyer, J. H., Gregersen, H., & Christensen, C. M. (2009). The innovator’s DNA. Harvard Business Review, 87(12), 60–67. The author describes what he refers to as five discovery skills that highly innovative individuals possess: associating, questioning, observing, experimenting, and networking. An organization that wants to promote a culture of innovation needs to encourage questioning and experimentation and give employees the time to do these things. Also, associating, observing, and networking are all skills that require breadth of experience to be exercised to their full potential. The organization can implement policies that promote such diversities of experience and thereby promote a culture in which employees are more likely to innovate.

A-19 ► Missouri Department of Transportation. In MDOT.org. Retrieved August 2016 from http://www.modot.org/road2tomorrow The website for MoDOT’s Road to Tomorrow program explains how six staff members at MoDOT are dedicated to administering the department’s innovation program. Initiatives the program’s staff is exploring include solar roadways, smart pavement, Internet of things applications, and truck platooning. ► Siekmeier, J; How Organizations Encourage Innovation: Lessons Learned. Presentations from the 93rd Annual Meeting of the Transportation Research Board (2014) The author explains that an emphasis on making innovation possible is key to MnDOT’s success. MnDOT tries to make innovation possible by leveraging time, dollars, and other resources. This includes creating white space for innovation by allowing time to work on new ideas; holding an innovation bazaar where employees have the opportunity to show fellow employees what innovations are underway; providing funding with minimal bureaucracy to work on innovative ideas; and allowing funding to be rolled over from one biennium to the next so that implementation of innovation concepts can continue. ► http://www.penndot.gov/about-us/PennDOT2020/Pages/default.aspx#.V0i4QucgsmI PennDOT 20/20 is an agency-wide program designed to help PennDOT use innovation to solve current and future challenges. PennDOT 20/20 integrates input from employees and business partners to help ensure the organization is moving in the right direction. A core element of the 20/20 program is use of regular executive management strategic visioning sessions to identify ideas and challenges that are assigned to employee expert teams who develop solutions. Expert teams work in unison with executive management to implement those solutions. ► CalTrans, Fostering Innovation within State Departments of Transportation (July 2015) The CalTrans Fostering Innovation report describes how in Louisiana, people who suggest innovations are expected to champion implementation of change. The report also provides this quote from MnDOT: “We don’t just want idea people; we want people who will be responsible for making ideas into reality.”

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TRB's National Cooperative Highway Research Program (NCHRP) Web-Only Document 248: Research on Creating and Sustaining a Culture of Innovation for Departments of Transportation documents the research process and provides key guidance to implement the research produced in

NCHRP Research Report 885

: Guide to Creating and Sustaining a Culture of Innovation for Departments of Transportation. This guide provides insight on encouraging and sustaining a culture of innovation within the organization, its partners, and other stakeholders. A culture of innovation supports agency managers and staff efforts to encourage and accept innovation as a means to enhance the agency’s success. This guide is designed to assist agencies in assessing their culture with respect to innovation, identifying ways to make the organization more adaptable and open to beneficial change, and sustaining the organization’s adaptability to respond effectively to evolving technology, workforce, and public priorities.

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