Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios (2020)

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5-1 Part B, Appendix 5. Innovation Required Actions Framework (IRAF) Illustrative Example Hyper-performance Materials – Applications of Calcium Sulfoaluminate (CSA) Cement in Pavement PMR Activities Action Responsibility (Person and Unit) Supporting Units and Partners Potential Barriers and Risks Barrier and Risk Mitigation Strategy Start and Completion Dates Estimated Cost (Initial and Ongoing) Part A. Address Critical Success Factor Gaps from the CMF 1. Technology Awareness Context Awareness – Level 2 Need in-depth knowledge of CSA – why, where, how, at what cost, what limitation, risks, where is the research, who is using it, mix designs, placement, QA/QC testing requirements, with what success, lessons learned from their experience. John Smith, Materials & Testing Division Jerry Bauer, Research Division, and E.G. DOT – first to test & apply John Smith’s availability Reassign 25% of John Smith’s work; Delay lower priority projects 11/1/19 to 6/30/20 $35,000 Specific Innovation Awareness – Level 2 Same as above 2. Performance Awareness and Application Alignment with Agency Performance Goals – Level 3 No identified action Performance Measures – Level 2 Gather available CSA cement performance data (absolute and relative to Portland Cement) from Technology Awareness tasks and relate where possible to this agency’s context. John Smith, Materials & Testing Division Jerry Bauer, Research Division; E.G. DOT plus contacts with researchers & early adopters world-wide CSA performance data applicable to this agency may be scarce If insufficient, applicable life- cycle data, limit initial use and set up adjacent comparative test sections 11/1/2019 to 6/30/20 Included in above $35,000

5-2 Action Responsibility (Person and Unit) Supporting Units and Partners Potential Barriers and Risks Barrier and Risk Mitigation Strategy Start and Completion Dates Estimated Cost (Initial and Ongoing) Assessment of Anticipated Benefits and Costs – Level 1 Need capability to do programmatic and project-specific benefit/cost analysis to determine where and whether savings (in user work zone travel time delays, in agency time- sensitive work zone costs, in exposure to worker and user safety risks, etc.) justify the increased expense of using CSA cement. Nancy Jones, Office of Planning State University Economist, Raymond Lawson Lack of in-house analytical capacity to do rigorous benefit/cost analysis Use task-order agreement with University of E.G.; train agency planning staff 7/1/20 – 6/30/20 $45,000 Challenges and Risks – Level 1 Need information on constructability challenges (need for speed, efficiency, temperature sensitivity, etc.) and actual field experience – successes and failures. George Sanders, Office of Construction John Smith, Materials & Testing Division George Sanders is the best to lead this task but will retire before this task is completed George Sanders to mentor Jennifer Rosales, who will be assuming his responsibilities 2/1/20 to 6/30/20 $30,000 3. Emerging PMR Practice and Innovation-Supportive Systems, Programs, and Budgets Agency Research and Development – Level 3 No identified action Agency Pilot Testing – Level 3 No identified action Institutional Knowledge Management System – Level 2 Seek senior management concurrence to set up prototype Knowledge Management System for CSA that could expand to a broad-based agency- wide system. Eileen Portnoy, Human Resources Division John Smith, Materials & Testing Division; Jerry Bauer, Research Division; Elizabeth Bradley, Local Senior management fails to support or Human Resources fails to perform on time Lead staff from other partnering divisions develop a standalone system to manage CSA information 11/1/19 & ongoing $40,000 first year if agency prototype, $15,000 if standalone, ongoing costs to be determined

5-3 Action Responsibility (Person and Unit) Supporting Units and Partners Potential Barriers and Risks Barrier and Risk Mitigation Strategy Start and Completion Dates Estimated Cost (Initial and Ongoing) Technical Assistance Program (LTAP) Center Access to Funding – Level 2 Seek funding to launch CSA innovation under “New Product Evaluation Program” and switch to broader research and implementation funding if early indicators are positive. John Smith, Materials & Testing Division Jerry Bauer, Research Division; Jeremy Gordon, Office of Finance No additional startup funding is available Seek funding through reallocation of priorities within Materials & Testing Division 9/1/19 t0 10/1/19 $100,000 initial startup (included in other costs, don’t double count) additional costs to be determined Assistance from Support Functions – Level 2 Early pilot projects are likely to be under limited competitive procurement because of limited sources of supply and contractors with appropriate experience – will need special exceptions under state procurement rules. Marissa Downs, Contracts and Procurement Division John Smith, Materials & Testing Division Special exception is not approved Seek senior management engagement with supporting benefit/cost analysis and experience from other early adopters 7/1/21 to 12/31/21 Minor Availability of Facilities, Equipment and Test Sites – Level 3 No identified action 4. Innovation-Friendly Culture and Organization Leadership Support; Collaboration and Teamwork; Receptivity to New Ideas; Dedication to Continuous Improvement – Level 2 While present within the Materials and Testing division who primarily leads the innovation of CSA cements, collaboration and teamwork for the CSA initiative can be enhanced with a key core John Smith, Materials & Testing Division Other Core Team members: Jerry Bauer, Research Division; Nancy Jones, Office of Planning Differences among core team member John Smith must be persistent in collaborative approach, where compromise & consensus are the rule. Resort to outside authority as a last resort 9/1/19 & ongoing Minor

5-4 Action Responsibility (Person and Unit) Supporting Units and Partners Potential Barriers and Risks Barrier and Risk Mitigation Strategy Start and Completion Dates Estimated Cost (Initial and Ongoing) team of motivated members. Support from Internal Partners – Level 2 Construction and maintenance divisions must always give priority to real-time, schedule- sensitive field activities, but must identify the least likely to be diverted resources for the CSA initiative. John Smith, Materials & Testing Division Ben Sanders, Construction Division; Robert Reilly, Maintenance Division Ben Sanders &/or Robert Reilly get diverted to other priority activities Identify standby backup resources through Construction and Maintenance Division task- order contracts 10/1/21 to 12/31/22 $50,000 Organizational Barriers – Level 3 No identified action Risk-Reward Response – Level 2 Ensure that a thorough risk assessment is performed following the CSA innovation awareness task and brought to the attention of appropriate leadership and managers prior to proceeding with pilot and field testing. John Smith, Materials & Testing Division Other Core Team members: Jerry Bauer, Research Division; Nancy Jones, Office of Planning; Ben Sanders, Construction Division and Robert Reilly, Maintenance Division Risks are overlooked, risk management strategies are flawed Identify independent risk review team from within and outside the agency to evaluate risk assessment 7/30/20 to 11/30/20 5. Innovation-Supportive Staff Innovation Champion(s) – Level 3 No identified action Staff Capacity – Level 2 Ensure that CSA innovation ranks high among agency priorities and is reflected as such within Materials and Adam Clayton, Chief, Materials & Testing Division Julie Berger, Chief Engineer CSA innovation is an agency priority but staff capacity issue Chief Engineer is asked to intervene after all avenues are explored and all 7/1/19 to 9/1/19 Minor (Staff costs accounted for under other activities)

5-5 Action Responsibility (Person and Unit) Supporting Units and Partners Potential Barriers and Risks Barrier and Risk Mitigation Strategy Start and Completion Dates Estimated Cost (Initial and Ongoing) Testing Division. Reassign 25% of John Smith’s work, do the same for 10% of Jane Jordan’s work as John’s backup and support, and either add staff capacity through new positions or consultant support and/or delay lower priority projects. remains unresolved options laid on the table with pro’s, con’s and recommendation Knowledge Acquisition and Sustainability – Level 3 No identified action 6. Legal, Regulatory and Policy Issue Management Liability Issues – Level 3 No identified action Intellectual Property Issues – Level 3 No identified action Legal and Regulatory Challenges – Level 2 Need waiver from state and federal regulations to use CSA through testing and evaluation notwithstanding limited sources of supply. Marissa Downs, Contracts and Procurement Division Roy Chen, FHWA Division Administrator; Richard Rand, Legal Division, John Smith, Materials & Testing Division Waiver is not approved Chief Engineer and/or CEO are asked to intervene 7/1/21 to 12/31/21 Minor Policy Issues – Level 3 No identified action

5-6 Action Responsibility (Person and Unit) Supporting Units and Partners Potential Barriers and Risks Barrier and Risk Mitigation Strategy Start and Completion Dates Estimated Cost (Initial and Ongoing) 7. External Collaboration Interaction with Transportation Agency and Academic Peers – Level 2 Ensure that information exchange with peer organizations with respect to advancing CSA innovation is maximized, and explore opportunities for collaboration and risk sharing. John Smith, Materials & Testing Division Jerry Bauer, Research Division External coordination (including participation on technical committees and travel to technical meetings) is curtailed due to budget reasons Persist in sustaining collaborative interaction through non- travel, low-cost options 11/1/19 and ongoing $2 – 3,000 per year Communication Beyond the Transportation Community – Level 2 Include under Technology Awareness activity a specific task to search application of the CSA innovation beyond the transportation community. John Smith, Materials & Testing Division Jerry Bauer, Research Division No significant risk or barrier N.A. 11/1/19 and ongoing $2500 Private Sector Outsourcing and Partnering – Level 2 Subject to required regulatory clearances, negotiate with limited supply vendors for reasonable price (consistent with experience to date with CSA). Marissa Downs, Contracts and Procurement Division Roy Chen, FHWA Division Administrator; Richard Rand, Legal Division, John Smith, Materials & Testing Division Cannot obtain CSA materials at a reasonable price Issue a Request for Information among materials suppliers within the state and from nearby states on interest in supplying CSA within reasonable price ranges from experience elsewhere 10/1/21 to 12/31/21 $10,000

5-7 Action Responsibility (Person and Unit) Supporting Units and Partners Potential Barriers and Risks Barrier and Risk Mitigation Strategy Start and Completion Dates Estimated Cost (Initial and Ongoing) Part B. Identify Additional Key Action Items for the Innovation Part C. Perform Agency- Wide, Long-Term Benefit/Cost Assessment for the Innovation Part D. Summarize for Go/No-Go Decision