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34 For a listing of these barriers see Appendix G. Willingness to take risks by trying a new technol- ogy--Action: use new technologies on small pilot In a 1989 study, NCHRP Synthesis 150: Technology projects to reduce the risk. Transfer in Selected Highway Agencies, survey respon- Creating the incentives and motivations to change-- dents were asked to describe their greatest difficulty in the Action: provide visible credit to individuals and divi- transmission of information on new technology in the state. sions leading the effort. The responses are summarized as follows (Hodgkins 1989, Time constraints p. 14): Lack of time for workload--Action: set up partner- ship with researchers to assist in technology transfer Problems with targeting audiences, effort. Determining needed translations, Limited staff and time--Action: try to create "just Lack of resources, when needed" tools, databases, etc. Availability of too much information, Time for experts to collaborate--Action: promote Lack of time on the part of potential users, technology transfer organization and services. Lack of an evaluation methodology, Staffing and workload issues Inability to find appropriate personnel, Lack of human resources--Action: create partner- Resistance to change by users, ships with associations and universities, outside con- Communications, and tractors, and consultants. Lack of participation by end user in identifying needs. Technology transfer must be done in addition to exist- ing workload--Action: share success stories and show benefits to the agency. SURVEY RESPONDENTS--BARRIERS IDENTIFIED AND OVERCOMING THEM Champion/technical expert needed to lead the effort-- Action: work with division management to secure In this synthesis survey, respondents were asked to identify key staff involvement. the greatest challenges to accomplishing technology trans- Staff turnover--Action: offer incentives. fer in their organizations. They also were asked to describe Structural and organizational issues what is being done to reduce or remove those challenges. The Lack unit with responsibility for implementation-- results of the survey revealed that some of the historical chal- Action: continue to rely on project monitors. lenges have not been sufficiently addressed and still require Organizational capacity, who should implement the attention. However, although barriers today may deal with innovations--Action: research unit will assume the similar root causes, they exist in more complex transporta- lead role. tion systems and often with significantly more sophisticated Changing priorities--Action: schedule regular brief- technologies. ings for Deputy Secretary and Chief Engineer. Fragmentation of research roles--Action: new direc- The broad categories of challenges identified by the sur- tor is trying to show value of fully supported program vey respondents are listed here. Each category has a number to increase effectiveness. of representative examples of the challenges as expressed by Commitment of the agency and influential individuals the survey respondents together with the corresponding actions Ensure that only the top projects the various offices taken to reduce or eliminate each challenge. want get funding--Action: there must be a link to the business plan and require executive approval. State DOTs provided these challenges and corresponding Obtaining upper management support--Action: con- actions: duct research showcases, demonstrations, and other upper management visible activities--continue to Change and risk-aversion issues create awareness. Contractor resistance to change--Action: quarterly Lack of interest from organizational personnel-- public meetings with the Associated General Con- Action: simplify the research management process. tractors of America and suppliers to allow for ques- Weak outcomes of research, perceived and actual tions and discussion. Benefits of adoption not compelling--Action: focus Change acceptance--Action: persistence. on projects where benefits are absolute. Resistance to change--Action: education and train- Benefits of adoption not understood--Action: em- ing, have an innovative champion, and capitalize on phasize knowledge sharing on benefits as well as perspective of younger (less attached to tradition) or change. more open-minded staff. Untimely results--Action: continue effort to de- Convincing industry of the reason for change-- liver timely results, focus on retaining project cham- Action: work with industry associations to incorporate pions and be informed about potential technology the changes into their sponsored training sessions. leapfrogging.

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35 Weak research--Action: ensure scope fits antici- Instructors and technical experts pated implementation; be willing to abandon weak Finding and securing trainers and technical experts results. who are credible, experienced, and good commu- Funding and costs nicators--Action: use experts from other LTAP Insufficient funding--Action: avoid research with centers, continually recruit new instructors, adver- implementation costs exceeding management sup- tise and focus on DOT and federal retirees, assist in port, develop a business plan to inform and identify training new trainees, and develop a portfolio of financial needs, diligently seek other sources, estab- qualified instructors across the country within the lish standing RAC responsible for functional area and LTAP network. budget. Funding Increased costs for technology transfer--Action: free Lack of stable funding or "lumpy" funding flow is up more SP&R funds, use fewer paper copies and cir- a deterrent to smoothly running technology transfer culating CDs, add website use. efforts--Action: work with customers on master Funding the implementation--Action: Research Advi- agreements, build up the technology transfer infra- sory Board is more willing to fund more implemen- structure to accommodate funding variances, direct tation of successful outcomes--success adds to future request to legislature and DOT. funding. Insufficient funds--Action: leverage resources and Communications and coordination collaborate with clients, barter, for example, space Communications breakdowns--Action: awareness for technology transfer activity in exchange for free of potential is helpful, involvement of all participants attendance; concentrate on highest customer priorities; on a scheduled basis, inform through multiple media officials do not attend technology transfer events-- formats. provide newsletter summaries; meet at conferences they already attend; share costs; involve users in fund Clear communications at all levels of the department-- appeals; demonstrate value of technology transfer Action: tailor the message to the specific audience. efforts. Ensure knowledge about research results is wide- Marketing, communications, and information spread throughout the organization--Action: provide Making contact with decision makers--Action: be- easier access to final reports and other information by come familiar with tribe's management structure; putting them on the department shared drive. breakfast meetings with administrators and other Measures of performance upper management. Tracking and measuring benefits and costs of Create a "brand identity"--Action: add logo to doc- research--Action: add tracking capabilities to data- uments, present overview of technology transfer pro- base of research projects; develop comprehensive gram, circuit rider emphasis, exhibit at conferences. system for performance measures for time and labor. Outreach to management--Action: target informa- Selecting baselines for benefitcost comparisons-- tion and focus on senior management. Action: identify deliverables early in the project. Information overload--Action: distribute only selected Implementation processes information and use DOT library as references Promote buy-in--Action: develop viable marketing source. strategy, marketing plan. Change No plan or process for implementation of research Resistance to change--Action: encourage participa- results--Action: create a continuous process improve- tion, experiments, and more; drop if marginal results ment study for recommended process and unit received; training. creation. Staffing and time Lack of verification of implementation outcomes-- Too much to do, too little staff--Action: 3-year rota- Action: revise, formalize process, publicize results. tion for workshops, spread out on a schedule. Lack of accurate technology transfer needs assess- DOT reluctant to participate in technology transfer ment--Action: involvement in exchanges, technol- activities owing to time commitments--Action: invite ogy scanning, and participation in committees where agencies in other states to participate. needs will be discussed. No position vacancy for technology transfer--Action: combine the knowledge management and technology LTAP/TTAP centers have significant challenges as well. transfer efforts. These centers experience some of the same challenges as state Materials and courses DOTs, although other challenges are uniquely present for this Developing courses--Action: use other technology group of technology transfer professionals. Survey respon- transfer classes as models. dents identified the following challenges or barriers to tech- Up-to-date materials--Action: recognize library re- nology transfer and also provided brief insights on how these sources for uncopyrighted videos; update one course challenges were overcome. per year, prioritize, use web-based documents, provide

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36 bibliographies; work with instructors before they of research results on both surveys conducted for this study. update their materials. Anecdotal information, however, describes patents and intel- Keeping program fresh--Action: attend national and lectual property as a problem area. In the survey responses, annual meetings. where these issues have arisen, states tended to have some Measure outcomes precedent that allows this factor to be overcome without Inability to measure outcomes--Action: learn from much remark. LTAP/TTAP centers are also inclined to focus other LTAP/TTAP centers. their efforts on readily available techniques and processes Performance measures for implementation--Action: and not spend scarce resources on technologies or innova- national LTAP measures. tions that may have some limitations on use. For further ref- erence, NCHRP Synthesis 312: Facilitating Partnerships in Unexpectedly, legal issues including patents and intellec- Transportation Research contains a listing of the treatment tual property ownership were not reported as primary chal- of intellectual property by state DOTs for research and lenges or barriers to technology transfer or implementation related activities (see Appendix E in that report, p. 75).