Guide to Accelerating New Technology Adoption through Directed Technology Transfer (2014)

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

4State departments of transportation (DOTs) and other organizations responsible for devel- opment and management of the surface transportation system seek to enhance both system performance and their capabilities to make improvements. Innovation—adoption of new ideas, products, specifications, and methods, that is, new technology—is an important way to make improvements; to make the system safer, more efficient, more durable, and less likely to have unintended adverse consequences; and to help the DOTs do their jobs faster and more effectively. New technology becomes available from many sources. For example, research may produce new understanding as well as new materials and methods that can be put to good use. Trans- portation system practitioners or users may have insights that can be applied to change how the system functions. Innovation occurs when new technology is actually adopted, put into practice to produce benefits. Adopting new technology is widely acknowledged to be a challenging and sometimes risky business, however. Innovation involves change. Applying new ideas may not work out as planned. An individual’s attitudes, preconceptions, and beliefs often have to change in order to accept new ideas, and these kinds of changes don’t always happen easily. In organizations, individual response to change can range from those who embrace change with excitement to those who resist change as long as possible. Indeed, one of the many factors affecting the rate of change in an organization is how the adopter of an innovation behaves, as described by Everett M. Rogers in his highly regarded work, Diffusion of Innovations, 5th Edition (2003). There are predictable actions that emerge from categories of organizations and individuals as they perform the change required in adopting an innovation. Figure 1-1, adapted from Diffusion of Innovations, shows the distribution of innovation adopter categories. Rogers (2003) describes these adopter categories as follows: • Innovators. Some organizations and individuals may immediately see the benefits of new ideas and have a willingness to accept the risk which comes with being “the first.” These innovators may have an organizational culture that routinely embraces innovation or may simply have a strong champion for making a particular change. • Early adopters. Not far behind the innovators are those who may have a strong interest in an innovation, but who want to look at it more closely before committing to deployment. These early adopters feel the “pull” to bring new ideas and improvements into their organization, are respected opinion leaders, and have the business processes and coordination mechanisms that can make change happen. • Early majority. As more and more people in an organization begin deploying an innovation, the momentum builds for others to join in. This early majority is seldom made up of opinion leaders, but this group has a great deal of interconnectedness with peers. The early majority C H A P T E R 1 Background

Background 5 helps to advance their colleagues from wondering whether they will deploy the change to asking themselves and others why they haven’t deployed the change. This group ultimately brings the majority into the practice. • Late majority. These organizations and individuals are likely to be more risk adverse and may want to wait until the innovation has been accepted by the majority of their peers. The strategy for reaching these organizations and individuals may require a heavy “push” in which any specific barriers standing in the way of deployment are removed. • Laggards. These individuals and organizations are the last to adopt new ideas or innovations. In some organizations there may be a strong aversion to risk, reinforced by an equally strong inclination to continue doing things the way that they have always been done. Sometimes the resistance posed by persistent laggards is overcome only when the change is made mandatory through new standards or regulatory policy. The process underlying Figure 1-1, the diffusion of a new technology into widespread prac- tice, often occurs without focused effort or planned and coordinated action. News reports, professional publications, and word of mouth inform potential adopters about the new product or practice and some of the knowledge recipients will try it out. The information that is shared may be incomplete or even erroneous, thereby obscuring the true benefits of the innovation and discouraging further diffusion. Some would-be adopters will experience failure in their early attempts to adopt the new technology and be deterred from further effort until others have demonstrated success. Others who acquire knowledge of the new technology may have no appropriate opportunity to apply it. Although in the end the innovation may be widely adopted, the delay in acceptance may mean that benefits to users are not fully realized as soon as they might be. If innovation is important to improving transportation system performance, then accelerating the rate of innovation is a worthy goal for DOTs and others responsible for the system’s develop- ment, operation, and maintenance. Robust sharing of knowledge about new technology—within and among organizations—encourages and nurtures innovators and early adopters, thereby yielding this acceleration (Desouza et al., 2009; Rivas and Gobeli, 2005). While knowledge shar- ing can occur through virtually any form of communication, technology transfer (T2) can be a particularly effective mechanism for motivating and facilitating knowledge sharing and acceler- ating innovation. This guide is intended to accelerate the rate of innovation within and among DOTs through guided T2. Innovators play a key role in guided T2 by providing information and evidence to others and showing what is possible, but others have roles as well. Figure 1-1. Adopter categories on the basis of innovativeness (Adapted from Rogers, 2003).

6 Guide to Accelerating New Technology Adoption through Directed Technology Transfer Defining T2 T2 is widely studied, but a review of the extensive literature and discussions with practitioners makes clear that the term has been used in many ways. There is no single, generally accepted definition for T2. As used in this guide, the term T2 refers to a way that ideas, knowledge, practices, products, processes, or techniques are shared between and within organizations. As a purposeful action, T2 involves at least two parties, a source and a recipient, engaged in the sharing of knowledge about new practices, products, processes, or other elements of technology. T2 may be initiated by the source, the recipient, mutually by both, or by a third party acting to facilitate the sharing. The result of T2 is that a recipient has learned about the new technology and is ready, willing, and able to adopt it. Recipients may seek T2 because, for example, they wish to solve a problem, to pursue an opportunity, or to improve their own performance. Sources (such as researchers, inventors, or on-the-job problem solvers) may be motivated by a desire to improve current prac- tice, provide service, or gain economic advantages. Third-party facilitators may be similarly motivated by desire to serve or improve current practices. T2 can begin and end with the sharing of intellectual capital—having acquired knowledge, the recipient may decide against any further action. Usually, however, T2 participants expect that the outcome will be implementation, an application of the technology to address a need or take advantage of an opportunity to transform current practices and improve performance of the organization, the transportation system, or both. Organized efforts to encourage T2 are called guided T2. Figure 1-2 is a graphical representa- tion comparing Rogers’ adopter categories for innovation to guided T2 diffusion. The compari- son points out the potential impact of guided T2. The literature, including the experiences of T2 practitioners, shows the likelihood that guided T2 can reduce the overall time needed to reach a deployment decision. The chart on the left of Figure 1-2 combines Rogers’ categories of adopters with the rate of market penetration or technology diffusion as reflected in the “S” curve. In the early stages of diffusion, adoption is only being done by innovators and early adopters. Market penetration is relatively low and diffusion occurs at a slow pace. Diffusion accelerates and the S curve steepens as the early majority picks up the pace of adoption and the late majority comes on board. Last Figure 1-2. Conceptual representation of the intent of guided T2.

Background 7 to adopt are the laggards; fewer in number than the two groups that preceded them, the pace of adoption decelerates as diffusion approaches 100%. Guided T2 may be visualized as shifting the curve to the left, reducing the time required for a new idea to saturate its market. Through guided T2, early adopters and early majority users are encouraged to “take the leap” sooner. The proof of guided T2 lies in the acceleration of benefits realized by the users or recipients of the new ideas. The Innovation Adoption Process and Guided T2 Guided T2 is embedded in the process that advances innovation and brings new ideas to transportation organizations. This guide refers to the overall process as the “Innovation Adop- tion Process.” The Innovation Adoption Process has four broad phases—need identification, research and development, guided T2, and deployment. Chapters 2 through 11 will focus on guided T2, but it is also useful to understand guided T2 in the context of the overall Innovation Adoption Process. A graphical representation of this process is shown in Figure 1-3. The Innovation Adoption Process begins when an organization defines a need or identifies a problem and then searches for a technology that offers a potential solution. Sometimes research and development activity or an invention can motivate recognition of the need or problem. Poten- tial solutions to problems, such as products that fulfill specific needs or new methods that improve current practices, are referred to in this guide collectively as technologies. Once one or more tech- nologies have been identified for potential transfer, the organization determines the feasibility of the technology for its intended use. Guided T2, as defined herein, formally starts when an identi- fied, feasible technology is available and work begins on transferring it into the organization. The Innovation Adoption Process culminates in a decision to deploy the techno logy or not to deploy it. This section expands on each of the four phases shown in Figure 1-3, defines relevant termi- nology, and provides an example of the Innovation Adoption Process. The Need The Innovation Adoption Process begins with a need, a problem that requires a solution, something that would enable a transportation organization to improve its efficiency, effective- ness, or service to the traveling public. This is shown in the block at the top of Figure 1-3. To respond to that need, the transportation agency may search for an existing solution, one that might be adapted to its situation. That search might begin with a simple query within the organization, which may lead to a wider, more global search for ideas outside of the organiza- tion. If a solution cannot be found internally or externally, it may be found through original research performed or commissioned by the organization. Keep in mind that solutions or technologies in this guide can take many forms, including new or improved knowledge, tools, processes, or practices. Solutions/technologies may be something physical (e.g., a new type of plow blade or a new protocol for communication interfaces in vehicles equipped with intelligent transportation system technologies such as vehicle-to-vehicle or vehicle- to-infrastructure communications) or something intangible, such as improved knowledge about existing practice. One of the challenges of some T2 efforts is dealing with a “solution trying to find a problem.” Lack of a clear understanding of the need that is being addressed by a technology will hinder T2 efforts. Likewise, simply showing that there is a problem that needs a solution may not be enough for effective T2. It is also important to identify the scope of a problem, how often it is

8 Guide to Accelerating New Technology Adoption through Directed Technology Transfer Need WHAT’S IT GOING TO TAKE? Deployment Research & Development GUIDED T2 Components of guided T2 DEFINE THE NEED RESEARCH TO DEVELOP A SOLUTION No feasible solution appears to exist DOES IT WORK? COULD IT WORK HERE? CHECK PREVIOUS STUDIES • Literature search • NCHRP reports • Solicit peers • Domestic scan • International scan • Develop problem statement • Conduct research • Evaluate results • Prototype testing SHOULD WE DEPLOY IT? • Accept as eligible product for projects • Put into standards • Implement deployment plan • Evaluate and share results No No Yes Yes Help people understand they have a need—create a pull Provide guidance to accomplish deployment • Address societal and legal issues • Have an effective champion • Engage decision makers • Develop a T2 plan • Identify, inform, and engage stakeholders • Identify and secure resources • Conduct demonstrations/ showcases • Educate, inform, and provide technical assistance • Evaluate progress • Reach deployment decision FEASIBLE SOLUTION IDENTIFIED Can it work here? Pr im ar y ar ea o f N C H R P Pr oj ec t 2 0- 93 3 LOOK EXTERNALLY Is there a solution in place in other organization(s)? 2 SOLICIT FIELD AND OTHER OFFICES ASK FOR SUGGESTIONS LOOK INTERNALLY Is there a solution in place in this organization? 1 Figure 1-3. Innovation Adoption Process. encountered, and the stakeholders for the problem and the solution. Even technologies that are developed to improve an existing practice or program must demonstrate that they do, in fact, result in a solution to a need. On the other hand, another challenge of T2 is that the potential end users of a technology being transferred may not always know that they have a need. As an example, in promoting technologies that could reduce run-off-the-road crashes, local officials often must first see the data that highlight the extent of the problem on their roads. After understanding the need, they may be far more open to investigating and adopting solutions. T2 opportunities may occur during the need identification part of the Innovation Adoption Process. These opportunities are described later in this chapter.

Background 9 Research and Development The research and development phase of the Innovation Adoption Process is shown in the second block of Figure 1-3. This phase may take different paths depending upon whether an organization finds the tech- nology internally or externally or whether the organization develops a research project with the goal of creating a solution. The process of discovery does not guarantee a solution will be found, but it enables the organization to take a step closer to understanding what may make a solution possible. Whether a search uncovers an existing technology or research leads to the development of a new technology, ultimately, the goal is to have a technology that addresses the original need and that is feasible to put into practice. Feasibility connotes a number of characteristics: practicality, cost-effectiveness, efficiency, and durability, among others. This guide focuses on the feasibility of the solution before mov- ing ahead into guided T2 to ensure that time and resources are not wasted, and expectations are not falsely raised. As a test of feasibility, an essential question to ask is “If this technology were a viable solution for our need, could it be deployed here and now?” Feasibility may be difficult to determine conclusively because even with considerable evaluation and analysis, in the end, it is still a subjective decision. However, the following are some of the points that should be considered in making this determination: • Has the technology been used successfully in similar applications? • Can the technology be purchased or acquired now? • Is the cost within a range that potential users may be able to afford? • Is there compelling evidence for the benefits of this technology? • Are there any legal or administrative barriers that could prevent application? (See Chapter 2.) Does the need still exist? Although a research effort may lead to a significant discovery that could change some aspect of transportation, only when a research result is incorporated into something that could be ready for deployment, is it considered a feasible technology in this guide. Therefore, a prototype that is still being tested and refined may not meet this definition. While there are T2 opportunities that can occur during the research and development phase of the Innovation Adoption Process (as described later in this chapter), at the end of the research and development phase, only the need has been defined and a feasible technology identified. Widespread deployment is not ensured; technology transfer must occur. The feasible technol- ogy is positioned for guided T2. Guided T2 The guided T2 phase of the Innovation Adoption Process can begin once a specific technol- ogy has been identified as a feasible response to a need. This phase is shown in the third block of Figure 1-3. Guided T2 is composed of 10 components: • Address societal and legal issues • Have an effective champion • Engage decision makers • Develop a T2 plan • Identify, inform, and engage stakeholders • Identify and secure resources • Conduct demonstrations/showcases • Educate, inform, and provide technical assistance

10 Guide to Accelerating New Technology Adoption through Directed Technology Transfer • Evaluate progress • Reach deployment decision Together, these components provide practitioners with a “roadmap” for undertaking guided T2, highlighting areas where challenges might be encountered and suggesting how those chal- lenges might be overcome. These components are shown in Figure 1-4 and are described in detail in Chapters 2 through 11 of this guide. Following a systematic approach to T2, that is, guided T2, can position a technology for suc- cessful deployment. Deployment Guided T2 prepares potential adopters for application of the new technology. The deployment phase which then follows is shown in the fourth block of Figure 1-3. Example of the Innovation Adoption Process—the Pennsylvania DOT’s Adoption of the Tow Plow The name says it—a tow plow is a snow plow towed by a plow truck. When combined with a standard “V,” or swivel blade front plow, this device increases plowing width to 25 feet, or two full lane widths. When activated, the wheels of the tow plow turn up to 30 degrees to the right, causing the tow plow to steer out to the right of the plow truck. According to one county main- tenance manager, “The tow plow allows the operator to clear two lanes simultaneously, reduc- ing route time by half. This enhances productivity and saves fuel.” He added it can be equipped with tanks and/or hoppers to spread liquid, granular, or a mix of material, and also can be used as a pre-treatment trailer. When not in use, the tow plow simply pulls directly behind the plow truck as a normal trailer would. The Pennsylvania DOT (PennDOT) adopted the tow plow on a trial basis and began a sys- tematic evaluation. The tow plow was piloted successfully on a major Interstate in 2009. Based on that initial positive experience, PennDOT acquired additional tow plows and has continued evaluating the technology in 10 counties in several regions of the state. PennDOT used an approach for adopting and deploying tow plows that encompassed many of the elements of an effective Innovation Adoption Process. The need to efficiently enhance WHAT’S IT GOING TO TAKE? GUIDED T2 Components of guided T2 Help people understand they have a need—create a pull Provide guidance to accomplish deployment • Address societal and legal issues • Have an effective champion • Engage decision makers • Develop a T2 plan • Identify, inform, and engage stakeholders • Identify and secure resources • Conduct demonstrations/ showcases • Educate, inform, and provide technical assistance • Evaluate progress • Reach deployment decision Pr im ar y ar ea o f N C H R P Pr oj ec t 2 0- 93 Figure 1-4. Ten components of guided T2.

Background 11 levels of winter service for Interstates and traffic routes was recognized. Research, specifi- cally an external scan for possible solutions, identified the tow plow as a promising technol- ogy. PennDOT managers, particularly the maintenance operations director and fleet manager, determined that the tow plow was a feasible solution and moved to acquire and pilot test a tow plow early in 2009. With the maintenance operations director serving as a champion for adoption of the technology and engaging decision makers early on, the guided T2 phase of the Innovation Adoption Process was underway. At PennDOT’s annual maintenance managers meeting in 2009, the tow plow was a fea- tured technology that was demonstrated and showcased. A tow plow educational information bulletin was prepared and disseminated to stakeholders (district and county maintenance managers and equipment operators). PennDOT implemented a tow-plow training program to educate operators, focusing on safety—both for the equipment operators and the motor- ing public. Because snow plows in operation can be difficult for following motorists to see, particularly at night, and because a tow plow is an unfamiliar sight, PennDOT’s press office issued tips to educate motorists. Because the tow plow enables one truck to do the work of two, equipment operators expressed concern that full deployment of this technology would eliminate jobs. PennDOT managers addressed this potential barrier to change by providing assurances that jobs were secure, emphasizing that the efficiencies of tow plows allow for increased levels of winter services. PennDOT continues to evaluate the performance of tow plows and their role in the mix of its fleet of snowfighting equipment. An evaluation committee composed of seven maintenance professionals, one from the central office and six representing field operations, was formed. Their methodology has been thorough and methodical, including elements of formative evalu- ation as well as summative evaluation, using both qualitative and quantitative evidence. Based on what it has learned through this evaluation, PennDOT has reached several key conclusions about using tow plows for its snowfighting operations: • To justify their costs, tow plows should be deployed in regions that get the most snow events; • Tow plows should be deployed on rural divided highways because these roads are suitable in terms of roadway characteristics (number of travel lanes and traffic volume), and travel distances to stockpiles are minimized (based on the locations of PennDOT’s stockpiles); • To maximize efficiency, tow plows should be equipped with hoppers for spreading both dry materials (e.g., salt and anti-skid) and liquids (e.g., salt brine). PennDOT also learned the following: • A truck mounted with a front plow and dual wing plows has about the same plowing width as a truck with a front plow pulling a tow plow, so if a fleet of trucks is already equipped with dual wing plows, tow plows may provide little or no added benefit; and • A tow plow potentially takes the place of a truck and operator, but only reduces costs if the fleet is reduced by one truck and operator. PennDOT’s approach to innovation has been methodical, progressing over about 5 years as of this writing, and its plans for future deployment of the tow plow have, of course, been influ- enced by its guided T2 evaluation. Laying the Foundation for Guided T2 There may be actions that can be taken early in the Innovation Adoption Process that can lay the foundation for a successful guided T2 initiative. Guided T2 can begin even as a need is being identified or a technology is being developed or explored through research. For example, an

12 Guide to Accelerating New Technology Adoption through Directed Technology Transfer innovation champion may be identified while defining a need; decision makers may be engaged very early on to ensure the feasibility of the technology. In fact, during the need identification and research and development phases of technology development, knowledge sharing can build a foundation for subsequent T2 activities, as well as provide an opportunity to explore key issues that could potentially present barriers to deployment. There are many resources available that provide ideas and techniques for managing effective need identification and research and development programs. Although this guide does not seek to summarize or supplant those references, it does suggest how T2 can be integrated into those activities. Further, practitioners may not have the opportunity to affect the development of research products; they may be charged with transferring those products after they have been developed. Therefore, a practitioner may be starting a T2 effort from the most basic level. For this reason, this guide does not suggest that opportunities to guide T2 during the need identi- fication phase are a prerequisite for a successful guided T2 effort. Instead, these opportunities can provide important building blocks that make the future transfer and deployment of the technology more successful and efficient. While this guide focuses on the work to be accomplished in the guided T2 phase of the Innova- tion Adoption Process, there are actions that can be taken in the need identification phase and research and development phase to lay a strong foundation for subsequent efforts to guide T2. Opportunities for Guided T2 During Need Definition There are multiple paths through which an individual or organization can begin a search for new ideas. However, they all have one thing in common—they are based on a need. Need identification initiates the Innovation Adoption Process. It is the starting point that defines why T2 efforts should be undertaken, and it is the compass by which to chart a course to success. As such, the more clearly that the need is defined, the easier it will be to plan T2 activities and focus on what the solution should encompass. The need may be expressed as a problem to be solved or as a desire to improve an exist- ing technology or process. It may be a national problem or a problem that only one county is facing. The need may also arise as the result of a policy, law, or regulation that mandates change. Regardless of its path, need identification begins with some form of need statement that should remain the cornerstone of all subsequent efforts, including T2. Note that the need may be refined as the Innovation Adoption Process unfolds. The research and development phase may provide additional information that could modify or clarify the original need statement. There are generally three broad paths that can be taken, often sequentially, to look for tech- nologies to address a need, as illustrated in Figure 1-5. (Remember that potential solutions to problems, whether they are products that fulfill specific needs or new methods that improve current practices, are referred to collectively as technologies in this guide.) The three paths to Need DEFINE THE NEED RESEARCH TO DEVELOP A SOLUTION No feasible solution appears to exist No No Yes Yes 3 LOOK EXTERNALLY Is there a solution in place in other organization(s)? 2 LOOK INTERNALLY Is there a solution in place in this organization? 1 Figure 1-5. Defining the need in the Innovation Adoption Process.

Background 13 searching for a solution are looking within the organization, looking outside of the organiza- tion, and initiating a research study to develop a solution. Look Within the Organization for a Solution It is possible that another individual within the organization of a practitioner searching for a solution to a problem has already faced the same problem, or a similar one, and has developed or found a solution. The technology may be a new process or approach or even a commercially available product that has been used with success. If the organization has a robust knowledge management system that encourages staff to regularly share ideas and experiences, the practi- tioner searching for a solution may be able to use the knowledge management system to find a technology that fits the defined need. If a knowledge management system exists and the search for a technology is unsuccessful, the system may still provide ideas on where to search next. The implications for guided T2 of taking this path are the following: • If a technology to address a current need is available in an organization, gathering sufficient evidence to document that it has been successfully applied will be helpful in T2 planning. • Documenting the successful application of a technology in an organization can help persuade stakeholders and decision makers to consider it as a potential solution to the identified need. Look Outside the Organization for a Solution With millions of people working in the transportation sector, it is possible that the technol- ogy to satisfy the identified need already exists. Research reports, articles, professional journals, and product specifications are all places to look for potential solutions. The Internet, with its powerful search engines and global access, has greatly facilitated this process. However, Inter- net searches can be daunting, and sometimes they can fail to produce comprehensive reference searches that enable an adequate review of the literature. This is why the services of librarians and researchers that are trained in such investigations are particularly valuable. Other ways to look outside an organization include contacting peers and professional colleagues or soliciting input directly from other organizations that may have similar needs. Another approach is a “scan” of other states or countries to find potential technologies that address the need and then perhaps visiting those locations to investigate their implementation. All of these approaches basically involve looking for technologies that may already exist. However, even after an exten- sive exploration, it may be apparent that nothing currently fulfills the specific identified need, and a technology must be found or developed through original research. The implications for guided T2 of taking this path are the following: • If a technology to address the identified need is available elsewhere, gathering sufficient evi- dence to document that it has been successfully applied will be helpful in T2 planning. • If a technology to address the identified need is available elsewhere, it may need to be adapted in the research and development phase to be made feasible for the agency before full effort can be applied to adoption of the technology. • Documenting the successful application of a technology elsewhere can help persuade stake- holders and decision makers to consider it as a technology to address the identified need. Initiate a Research Study to Develop a Solution A research study provides a systematic approach to discovery. It often begins with the first two steps identified above: a practitioner looking for existing technologies both within and out- side of his/her organization. In cases where a technology is found outside of the organization, it may require further development to match the needs and requirements of the organization. Many state DOTs have the capacity to either undertake research in their own facilities or man- age contracted research conducted by universities, the private sector, or others. In virtually all

14 Guide to Accelerating New Technology Adoption through Directed Technology Transfer of these programs, there is a process for prioritizing, selecting, and funding a research agenda; a systematic approach to developing problem statements articulating the need for the research; and an evaluation process to select a winning proposal. This is an excellent pathway to T2 and provides a rich opportunity to initiate T2 activities early in the Innovation Adoption Process. The implications for guided T2 of taking this path are the following: • The problem statement, which is used to initiate a research project, can be useful in subse- quent T2 efforts particularly if it provides information about the extent of the problem, its cost and frequency, and the target audience. • Engaging stakeholders and decision makers in the identification of research needs can help ensure that problem statements reflect their priorities, as well. • Most DOTs have an analytic ranking, review, and prioritizing process done before funds are allocated to specific research projects. In the end, all participants in the prioritization pro- cess will not only know about the research, but may also feel some ownership for it. Keeping this group informed and engaged as the technology is developed may help in identifying a champion and winning early supporters for implementation. Opportunities for Guided T2 During Research and Development A technology that offers a potential solution to a defined need may be found through an internal search, an external search, or by conducting an original research study. In all cases, additional research and evaluation will be needed before the technology is ready to be trans- ferred. This period of evaluation is not only an opportunity to determine whether a technology actually performs as intended, but is also an opportunity to evaluate the practicality and feasi- bility of the technology as a response to the identified need of a specific environment. The research and development phase of the Innovation Adoption Process (see Figure 1-6) thus provides opportunities to begin laying the foundation for eventual T2 activities and sub- sequent deployment and implementation activities. One way to lay this foundation is to com- municate with stakeholders during the research and development phase; also important is developing leadership for a T2 effort. Finally, the research and development phase offers an early opportunity to assess the feasibility of the proposed technology. Communications Using media to reach both internal and external stakeholders during the research and devel- opment process not only builds support for these efforts, but highlights technologies that may be Research & Development DOES IT WORK? COULD IT WORK HERE? CHECK PREVIOUS STUDIES • Literature search • NCHRP reports • Solicit peers • Domestic scan • International scan • Develop problem statement • Conduct research • Evaluate results • Prototype testing FEASIBLE SOLUTION IDENTIFIED Can it work here? SOLICIT FIELD AND OTHER OFFICES ASK FOR SUGGESTIONS Figure 1-6. Research and development in the Innovation Adoption Process.

Background 15 on the horizon. Although these technologies may not be ready to deploy for years, highlighting them early on can create a “pull” for them when they are ready to be delivered. It is important, however, to avoid building too strong an interest too early, before there is clearly a feasible tech- nology; doing so may lead to disappointed and skeptical stakeholders. Some communication strategies to help guide T2 in the research and development phase are the following: • Build interest in a research program through “Research Alerts” and other information exchanges that can serve as knowledge transfer mechanisms. Transferring information on current research projects can lay the foundation for more detailed, future T2 efforts on com- pleted research projects and newly developed technologies. (See Chapter 9.) • Spotlight some of the researchers in an article in an organization newsletter or outside jour- nal so that they can share information on some of the exciting projects they are working on. These newsletters can share knowledge on the latest innovations at a DOT and efforts to deploy them. (See Chapter 9.) • For high-priority research products, provide management with regular updates on the prog- ress being made. Not only does this deliver timely information and status, but it can also transfer knowledge related to the technology and how it might be useful to the DOT. Leadership One element of most successful guided T2 efforts is having a champion to help bring atten- tion, resources, and, ultimately, support to the technology. This component of guided T2 is highlighted in Chapter 3. In addition to the champion, innovators and early adopters play a significant role in building the momentum for a deployment effort. Finally, the support of organization leaders in allocating the resources needed to make T2 happen is critical. Some strategies for building leadership for a guided T2 effort are the following: • Many organizations have research advisory groups that help set the roadmap for future research. These “Research Advisory Committees” or “Technology Steering Groups” can include not only internal stakeholders, but also external partners and stakeholders. These groups provide a great opportunity to identify people who may use the technology to solve a problem and may be willing to serve as a T2 champion. • Award programs can be established to recognize champions in an organization. The nomi- nation process itself can help identify potential supporters and stakeholders and express the importance of these attributes to management. • A champion may be found within the program office of the DOT that will be the biggest cus- tomer of the technology. In many cases, this may be the office or official that first promoted the research study or defined the need. Keep them engaged in the research and development process by reviewing progress and helping them stay focused. • If the technology is likely to require some commercialization by a manufacturer, software pro- ducer, or other private sector interest, consider involving such a company in the research and development process so that they will have a greater desire to bring the technology to market. Initial Assessment of Feasibility As mentioned earlier, the research and development phase is not only an opportunity to deter- mine whether the technology or research product actually performs as intended, it is also an oppor- tunity to evaluate its practicality and feasibility. This is especially true as transportation research has moved into advanced technology applications such as nanotechnology, telecommunications, robotics, and integrated systems. Implementation of research in these areas presents many unique challenges and potential barriers. It is important to consider these challenges during the research phase before a substantial investment is made in technology transfer and deployment.

16 Guide to Accelerating New Technology Adoption through Directed Technology Transfer Other potential challenges include system integration and compatibility; privacy; patents, licensing, copyrights, and intellectual property rights; economic considerations; standards; and demonstrations and field testing. System Integration and Compatibility. One persistent issue is how to introduce and inte- grate a new application into an existing system. This is particularly important in traffic man- agement and control systems where there is a need to ensure that new hardware, software, and programs are compatible with the other existing elements of those systems. This is made even more complicated by the fact that many of these systems cross and serve multiple jurisdictions and must be compatible with each other. Ultimately, implementing such research products may require further development of the new product or modifications to the existing systems. Although this issue arises in many electronically based systems, it can also arise in intro- ducing innovations that would require modifications to existing maintenance or construction equipment, business protocol, or materials. Again, this simply highlights the importance of thinking through such issues while the product is being developed and tested. Privacy. As new information-sharing technologies emerge, managing information consid- ered private in some contexts has surfaced as an important issue. Individual privacy is a legal issue, and new technologies tend to push the boundaries of legal interpretation. As such, when introducing a new technology, researchers must consider what potential privacy issues may surface during implementation, even if the researchers themselves do not agree with public perceptions or potential legal interpretations. If necessary, changes may need to be made in the technology (e.g., its ability to identify and store information about certain drivers or their vehicles) to accommodate predominant perceptions. Patents, Licensing, Copyrights, and Intellectual Property Rights. Issues relating to intel- lectual property may impact research products even before they advance to evaluation and test- ing and well before T2 efforts. Many state DOT research programs are actually carried out by contracts or agreements with universities or other parties. Universities or other parties may claim ownership of any and all intellectual property rights that result from research done in their lab, on their campuses, or by their researchers. These claims can present a challenge for the “client” (e.g., the state DOT), which has likely paid for that research with public funds. It is therefore important that research managers look carefully at the conditions they set forth in doing con- tract research, particularly as it relates to the eventual deployment of a technology. Economic Considerations. Early in the development phase, it may become apparent that the product may be too expensive to continue into T2 and deployment efforts. This determina- tion may be based on the cost of the product itself, or it may include an assessment of the costs projected to effectively deploy the technology (e.g., cost to develop and deliver specific training, retooling of existing systems, and maintenance and operation costs). If this is the case, research- ers may want to consider developing a more cost-effective version of their work or wait until the expense of manufacturing and delivering the product decreases (as has been the case with many computer components). Standards. Some research products require the adoption of new standards. In these cases, it is important to consider not only the process that may be needed to incorporate these products or processes into existing standards but also what further work may be needed to actually trans- late the products/processes into practical applications and protocols. Demonstrations and Field Testing. Many research products require some field testing or development of a prototype. Testing and evaluation is an excellent time to gather data that will

Background 17 be important in describing the benefits of a product and determining the attributes that would be of most interest to the target audience. Field tests can also be a very effective first step in a guided T2 initiative. Such field tests provide an opportunity to invite prospective users to view the tests. However, the researcher needs to carefully consider whether the product is ready for public scrutiny or whether it would be wiser to conduct field tests in a more controlled environment. As noted in subsequent chapters, hands-on demonstrations of new technologies can be powerful elements of a T2 program. Nonetheless, there needs to be strong confidence that the technology will, in fact, perform as it is intended to. Using This Guide Chapters 2 through 11 of this guide are focused on the guided T2 phase of the Innovation Adoption Process. Each chapter details one of 10 components of guided T2: • Address societal and legal issues • Have an effective champion • Engage decision makers • Develop a T2 plan • Identify, inform, and engage stakeholders • Identify and secure resources • Conduct demonstrations/showcases • Educate, inform, and provide technical assistance • Evaluate progress • Reach deployment decision The 10 components encompass the variety of actions that form a systematic method of approaching T2. Although a specific component may take priority or receive the greatest atten- tion at times during the guided T2 effort, in general, actions relating to many, and perhaps most, components will be ongoing throughout the guided T2 process. Many components will be occurring at the same time. That said, there are some components that logically must be addressed earlier in the T2 process and others later in the process. To provide practitioners with a general framework for when to address particular T2 components, the research team has ordered the 10 components into three tiers: 1. Foundational/Organizational Components. These components establish the infrastructure for the guided T2 process—foundational and organizational activities. Applicable compo- nents are the following: • Address societal and legal issues • Have an effective champion • Engage decision makers • Develop a T2 plan • Identify, inform, and engage stakeholders • Identify and secure resources 2. Knowledge-Building Components. These components address knowledge building and understanding. They are used to inform stakeholders, decision makers, and end users about the innovation—why it is needed, its benefits, how it works, and so forth. These components can help the practitioner prepare training and marketing materials to promote decisions for transfer and deployment. These components may be used at several points in the guided T2 process. Applicable components include the following: • Conduct demonstrations/showcases • Educate, inform, and provide technical assistance

18 Guide to Accelerating New Technology Adoption through Directed Technology Transfer 3. Evaluation and Decision-Making Components. These components evaluate how T2 efforts are proceeding and lead to the final decision regarding going forward to deployment. Appli- cable components include the following: • Evaluate progress • Reach deployment decision In general, the foundational/organizational components should be addressed first, fol- lowed by knowledge-building components, and concluding with the evaluation and deci- sion-making components. These three tiers and their activities are shown graphically in Figure 1-7. In Chapters 2 through 11, the components are presented in tier order, that is, foundational/ organization components are addressed first, knowledge-building components are addressed next, and, finally, evaluation and decision-making components are addressed. Each chapter includes a basic description of the guided T2 component accompanied by actions to consider, challenges and barriers often encountered, and tools and strategies to enhance the effectiveness of T2. Some chapters also provide a list of suggested readings. A graphic at the opening of each chapter shows the component under discussion, the tier to which the component belongs, and all the components in that tier (see Figure 1-8 for an example). Also at the opening of each chapter are leading questions meant to help practitioners deter- mine whether they need to review the component in detail (see Figure 1-9). Users can approach Chapters 2 through 11 as a step-by-step guide to accomplishing guided T2, as a tool to check whether all the necessary steps have been taken or effective practices incorporated, or as a means to determine solutions to a particular challenge. If experienced practitioners can identify the challenge they face as falling into one of the three tiers, they can go directly to that tier and its components. Figure 1-7. Guided T2 component tiers. Figure 1-8. Example graphic indicating component under discussion and tier level. Tier 1: Foundational/ Organizational Components • Address Societal and Legal Issues • Have an Effective Champion • Engage Decision Makers • Develop a T2 Plan • Identify, Inform, and Engage Stakeholders • Identify and Secure Resources

Background 19 All users of the guide should start by determining their T2 experience level according to the following: • Novice. This person is new to T2 and is unfamiliar with the components of guided T2. Nov- ices start with little knowledge of T2 other than they have a product that they want to move toward implementation and deployment. Novices may want to use this guide to – Transfer an innovative transportation technology, practice, or tool that they believe others will find useful or which they have been tasked with implementing – Ensure that T2 is done well – Find effective practices Novice users will likely want to review all three tiers of guided T2 components. • Experienced T2 practitioner. This person is familiar with guided T2 and has worked with some or all T2 components before. This person may be working on a T2 initiative and want to check that he or she has done all that is necessary to ensure success. This person may know how to start a guided T2 effort, but want to ensure that the application is thorough and complete. As with novices, experienced T2 practitioners will probably want to use the guide to – Transfer an innovative transportation technology, practice, or tool that they believe others will find useful or which they have been tasked with implementing – Ensure that T2 is done well – Find effective practices In addition, an experienced T2 practitioner may just want a guided T2 refresher. An experienced T2 practitioner will probably not need to review all three tiers of guided T2 components. Assessment questions at the beginning of Chapters 2 through 11 will help these users quickly focus on the component or components most helpful to them. • Experienced T2 practitioner with a particular challenge to address. This person is familiar with the guided T2 process and is using the guide to address a particular T2 issue or issues. This user will likely want to proceed to the components of most interest and value in meeting their needs, rather than reviewing all 10 components. Assessment ques- tions will help these users quickly focus on the component or components most helpful to them. Users can answer the following questions to determine their next step, based on their user experience level. Figure 1-9. Example of leading questions. 1. Are the privacy, security, intellectual property, and legal issues understood? If yes, proceed to the next question. If no or unsure, proceed to the component discussion. 2. Have the intellectual property rights to the innovation been identified? If yes, proceed to the next question. If no or unsure, proceed to the component discussion. 3. Has the innovation been protected? If yes, proceed to the next component. If no, proceed to component discussion.

20 Guide to Accelerating New Technology Adoption through Directed Technology Transfer Are you an experienced T2 practitioner who wants to check that you have done all that is necessary to ensure successful T2? Are you looking to apply effective practices? If yes, proceed to Chapter 2: Address Societal and Legal Issues. At the start of the component is a series of high-level questions. If you answer yes to each of these questions, move to the next component. If you answer no to any of the questions, you are directed to review the component discussion. Are you an experienced T2 practitioner with a particular challenge to address? If yes, turn to the chapter covering the component that most directly addresses the challenge or, if necessary, the tier most directly related to the challenge and review the components in the tier. If you are unsure of the tier or component to turn to, start at the beginning with the first tier, Foundational/Organizational Components, and the first component, Address Societal and Legal Issues. If yes, review all of the components in order: 1. Establish T2 infrastructure by ensuring that all of the foundational/organizational components are addressed. 2. Review the knowledge-building components to enhance work done laying the foundation for T2. 3. Review the evaluation and decision-making components that lead to possible deployment. If no, choose another experience level. Are you a T2 novice?