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7PURPOSE AND SCOPE Technology transfer is a means to directly affect the rate and nature of innovation and improvements to the transportation system. Whether there is a new device to apply or a more effective manner of performing a task, technology transfer is an essential part of that innovation. Because of the inte- gral role technology transfer plays in all areas of transporta- tion, a synthesis of current practice is important for trans- portation practitioners and managers alike. This synthesis presents an overview of the technology transfer practices currently used within the highway transportation commu- nity. It is intended to assist in speeding innovation to prac- tice, thus increasing safety, enhancing performance, and reducing costs. The synthesis documents successful prac- tices, discusses challenges encountered, and identifies needs to promote improvements for technology transfer activities and processes. The scope of the synthesis includes technology transfer practices within state departments of transportation (DOTs) and other programs or organizations such as the Local and Tribal Technical Assistance Programsâ (LTAP/TTAP) Tech- nology Transfer Centers and the Resource Center and divi- sion offices of FHWA. Technology transfer within the acad- emic and private sectors is addressed to a lesser degree, and although there is substantial activity, most is focused on commercialization, an area not emphasized by state DOTs. DEFINITIONS A number of terms familiar to the transportation commu- nity are used in this document. Although many definitions for these terms may be acceptable, the following are used herein. Adoption or application to practiceâmaking a technol- ogy or innovation an organizationâs standard operating procedure or causing the technology or innovation to be used as the generally accepted means for accom- plishing a specific task. Such action is an outcome of implementation of research results or technology transfer activities. Deploymentâsystematic process of distributing an inno- vation for use. This term implies a relatively broad use, rather than pilot, demonstration, or incidental use of the innovation. A technology can be considered deployed when it is used multiple times within an organizational or group context, such as use resulting from a newly written specification. Education and trainingâprocesses encompassing a vari- ety of instructional methods to cause learning. For the most part, when using the terms education or training, this document implies formal or organized instruc- tional opportunities for learning. Implementation of research resultsâused in highway transportation and particularly by the research com- munity to describe the various activities required to put an outcome of a research project into widespread use. This term is often used synonymously with tech- nology transfer by those in research. The activities can span the entire duration of the research project and extend until the research result is adopted, for example, as part of a standard operating procedure. Implementation activities may be pilots or demon- strations, training, technical assistance, provision of needed resources, or any activity that fosters use of the research result. Innovationâprocedure, product, or method that is new to the adopting organization. The item may be a result of research or may be a new application of an existing improvement that has been used in another context or other organization. Knowledge transferâdiverse activities causing the flow of knowledge from one person, group, or organization to another. Such knowledge transfer can be a system- atic process to identify, capture, and share tacit knowl- edge to enable it to become explicit knowledge. Technologyâterm used very broadly to include practices, products, processes, techniques, and tools. Technology transferâactivities leading to the adoption of a new-to-the-user product or procedure by any user or group of users. New-to-the-user means any improvement over existing technologies or processes and not only a recent invention or research result. Technology transfer includes research results imple- mentation and product or process deployment. Activ- ities leading to the adoption of innovations can be knowledge transfer, training and education, demon- strations and showcases, communications and mar- keting efforts, technical assistance, and more (Wal- lace et al. 1998, pp. 2â3; Schmidt et al. 1984, p. 1). In addition, technology transfer in this transportation CHAPTER ONE INTRODUCTION
context also includes the complex process of change, a comprehensive achievement dealing with cultural as well as technical issues. LITERATURE AND DATA SOURCES There were three major sources of data used to develop this synthesis: surveys, interviews, and a literature review. The most important of these sources was a survey that was sent to AASHTO Research Advisory Committee (RAC) mem- bers. A second very similar survey was sent to LTAP and TTAP Assistance Programsâ centers. Completed surveys were received from 39 research units (38 states and one Canadian province) and 23 LTAP/TTAP centers. Data from the survey are generally expressed as the number of occurrences, per- cent of total responses, or as an average value of responses for the particular survey element. The surveys are included as Appendix A. In total, there are 51 LTAP centers (50 states and Puerto Rico) and 7 TTAP centers. The response rate for the survey from LTAP/TTAP centers was 40%. More responses were desirable from the centers; however, the information received was from a representative sample of centers including 2 TTAP centers, 6 LTAP centers that have operations within the DOT, 23 LTAP centers funded by the DOT but operated by others, and 1 LTAP center that operates within the DOT as well as having others outside the agency operating the pro- gram. The response rate from the state DOTs was 75%, and one response was received from the Quebec Ministry of Transportation. A list of respondent organizations is included in Appendix B. To augment data from these surveys, interviews were con- ducted with a number of research managers and LTAP/TTAP center directors. Those contributing to the synthesis are listed in Appendix B. The survey for both the state DOTs and LTAP/TTAP centers included four focus areas. Initially, the questions centered on general information about the technology trans- fer and implementation activities carried out by the respon- dentâs agency, including program size, structure, management, and funding. Three other focus areas, successes, challenges, and needs were included in the questioning. Respondents were asked to provide reasons for successes, to detail spe- cific challenges to technology transfer or implementation of research results, and to discuss what was done to mitigate the challenges. The surveys also requested that respondents identify needs for improvements in technology transfer processes. In addition to the formal surveys distributed, a short e-mail survey was sent to RAC members in conjunction with a related project, âScoping Study for a Technology Transfer Toolboxâ (Harder 2003a). This survey is included 8 in Appendix A. The Technology Transfer Toolbox Scoping Study was done concurrently with this synthesis. Data from that study were available for this synthesis. The Technology Transfer Toolbox Scoping Study describes tools that are needed in the transportation community to facilitate the per- formance of technology transfer. The work done on that study provided information that was particularly relevant for the synthesis. Academic researchers, state DOT research managers, and FHWA resource center and division office staff involved with technology transfer were interviewed in the course of that study. Additionally, the TRB Committee on Technology Transfer and the FHWA Office of Profes- sional Development, both sponsors of the Technology Trans- fer Toolbox Scoping Study, provided useful information for the synthesis. To give a more complete picture of technology transfer in the transportation community, information about tech- nology transfer processes in private organizations was re- viewed for the synthesis. These reviews and the very large volume of published material on academic technology trans- fer provided a perspective of another aspect of technology transferâpatents, intellectual property ownership, and/or commercializationâperhaps precursors to future public- sector practices. Government publications and business management liter- ature provided substantial background information on the manner in which technology transfer is conducted in both the public and private sectors. EBSCOhost® and ProQuest® databases were the primary sources for business literature. The Transportation Research Information Services (TRIS) database and the TRB Library were particularly significant sources of information about transportation technology transfer activity both on the federal and state level. In addi- tion, TLCat, the National Transportation Library Trans- portation Library Catalog (comprised of electronic document references), provided important references for this work. Because of the nature of technology transfer, much informa- tion is directly available on the World Wide Web. References and the bibliography note such availability. Other sources of information were the state DOT re- search unit peer exchange meetings and a report based on 51 state DOT research unitâs exchanges (50 states and the District of Columbia). The report, âPeer Exchange: A Value Added Program Management Toolâ (Harder 2001), is a syn- thesis of the concepts, methods, and recommendations from research peers having participated in research, develop- ment, and technology peer exchanges throughout the United States. Implementation of research results, including the dissemination of research results, marketing, and commu- nications are among the various topics considered by the peer exchanges. In addition, the synthesis study project panel provided key information. The foundational strategies and perspectives on
9users and their needs shared by the panel were central to the formation of this document. ORGANIZATION Chapter one of the synthesis provides the introduction to the topic, describes the purpose and scope of the project, defines important terms that are used in the study, identifies the pri- mary sources of information used for this report and describes the content and organization of material in the document. Chapters two through six examine the various aspects of the practice of transportation technology transfer. ⢠Chapter two includes a general overview of the topic, establishing the fundamental issues related to technol- ogy transfer. The current context for technology trans- fer in highway transportation and in other public- and private-sector venues applicable to highway transporta- tion are discussed. ⢠Chapter three details successful technology transfer practices and discusses their application, the context in which they were performed, and the ease of replication. The chapter also identifies factors affecting successful technology transfer and presents information on the evaluation of technology transfer practices. ⢠Chapter four addresses the challenges to technology transfer. A variety of barriers are discussed and, where applicable, solutions for overcoming the challenges are detailed. ⢠Chapter five describes the perceived needs of the sup- pliers and users of technology transfer processes. ⢠Chapter six details findings and conclusions from the study and identifies suggestions for future research.