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

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51 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 Products of transportation research or other innovations that are feasible solutions to needs require actions by people and organizations to ensure change in practice or realization of ben- efits. These actions require a variety of resources to get the job done. Identifying and securing sufficient resources for T2 is a fundamental component in the guided T2 effort leading to the product’s adoption, deployment, and use. The fact that resources are needed to accomplish T2 is common knowledge among research managers, T2 implementation practitioners, and many technical staff members of user organiza- tions. Yet, having the appropriate resources at hand for T2 tasks is a significant accomplishment, and one that contributes to success. To enhance the likelihood of success, this guide is designed to assist in • Identifying the types and extent of resources required and their sources • Providing strategies to illustrate the need for and importance of the resources to stakeholders and decision makers to enable them to commit the resources Categories of Resources In keeping with the definition of T2 provided in Chapter 1, resources are tangible and intan- gible assets used to bridge the gap between identification of a feasible product and its deploy- ment. Resources are diverse and for this guide are grouped into four categories: • Existing infrastructure for T2 implementation/deployment—the operational environment, tools, and techniques that foster innovation • Human—the people participating in moving the product from the source to the recipient, either directly or indirectly, including the influence people wield or confer C H A P T E R 7 Identify and Secure Resources 1. Is the innovation fully researched and understood? If yes, proceed to the next question. If no or unsure, proceed to the component discussion. 2. Have resources been secured/committed? If yes, proceed to the next question. If no or unsure, proceed to the component discussion. 3. Have possible barriers been addressed? If yes, proceed to the next component. If no, proceed to component discussion.

52 Guide to Accelerating New Technology Adoption through Directed Technology Transfer • Fiscal—the funds needed to pay for the costs of T2 activities • Materials and facilities—the physical items required to conduct T2 activities, especially for education, training, and demonstrations and showcases, including samples of the technology being transferred, supplies and equipment, marketing and communications materials, and sites and locations Identifying the Resources Required Where to Start Initially, practitioners should do some background work to become informed. It is necessary to have a grasp of the product, what it does, how it provides solutions to needs, its characteristics, and other aspects of the innovation. It is not essential to know as much about the product as the inventor or researcher, but having an understanding of why it is important to the receiving organization is fundamental. Additionally, it is important to understand in some measure the processes that will take over once the T2 is accomplished. It is important to be familiar with the context of the technology, that is, in terms of the Innovation Adoption Process—the need, the research and development, and the intended deployment. Having this knowledge will assist in determining the required resources. Following this background assessment, the process for identifying resources moves through the following steps: • Scan to see if there are any established practices (elements in a T2 or innovation infrastruc- ture) that can be used—this prevents duplication of effort and piggybacks on lessons learned in the past • Determine and name the participants and their roles and responsibilities • Spread the net wide to locate funding options • Assess the need for materials to accomplish the T2 and necessary facilities or locations where the T2 will occur Use Existing T2 Infrastructure if Available Are there existing proven and accepted practices to accomplish T2 in the organization, and, if so, what are they, and can they be applied to the current effort? Multiple Types of Resources Foster Local Road Safety in Michigan In 2004, the Michigan DOT (MDOT) kicked off its Local Safety Initiative to assist local agencies in Michigan to reduce crashes on the local road network. MDOT’s goal was to transfer knowledge and resources to local agencies to build their technical capabilities and ultimately to reduce the number and severity of road crashes. Useful resources for T2 are more than financial. MDOT’s creative approach was to provide resources in the form of direct engineering support, training, and several safety software tools. MDOT continues to builds partner- ships with local agencies by teaching their staff how to access and analyze crash data, conduct field reviews, and determine appropriate countermeasures. MDOT also directs local agencies toward funding sources. By providing these resources as part of the transfer of safety technologies, MDOT is making progress towards reducing crashes on Michigan’s local road network. (Interviews with Tracie Leix, MDOT, on July 10, 2013, and Dale Lighthizer, MDOT (retired), on July 10, 2013)

Identify and Secure Resources 53 There may be some infrastructure in existence that will help facilitate T2. Usually such infra- structures are built through experience from past T2 efforts or are part of the organization’s effort to foster innovation. The practices used in the past will have been institutionalized to various degrees, providing tools, networks, and processes that can be used for a new T2 effort. Often these established practices provide for other necessary resources. Existing practices to consider might include the following: • A T2 plan that can provide a roadmap for required resources and make resource identifica- tion markedly easier (See T2 Plan Section) • Implementation or deployment plans, plans for action following the T2 work, which will help determine the extent of the T2 effort • Dedicated funding for T2 • Staff assigned to the job of T2 in the source and/or receptor organizations • Communications plans and standardized communication vehicles to foster T2 • Stakeholder groups • Organizational functions or policies fostering innovation Any of these elements of an existing infrastructure are resources that can be applied to a new T2 effort. Scan for such elements; determining their applicability and using them will prevent duplication of effort and will likely save time and other resources. If there are no established, useful practices to assist in T2, or those that are applicable are already part of the T2 effort, next assess the needed human resources. Identify the Necessary Participants Who needs to be involved in a T2 effort? Consider the types of talent required to get to the decision point for deployment of the technology. For most of the participants’ roles, it will be necessary to identify the specific individual(s). The roles are the following: • Champion. This is the primary advocate for the technology who effectively and persistently seeks its adoption and deployment, is technically competent, and has credibility with peers and prospective users. (See Champions Section) This person also may fill the role of one of the technical experts, as described below. • Technical experts. These are the individuals in the source and recipient organizations who understand the technical aspects of the technology to be transferred and are available to – Assist in developing marketing and communications content – Develop curricula content and participate in training and education sessions – Develop content and participate in demonstrations and showcases • Stakeholders. These are the individuals in the source and recipient organizations who have a vested interest in successful deployment of the technology and its benefits. There may be numerous stakeholders such as the following (See Stakeholder Section): – Technology creators/researchers and developers who can provide technical expertise for T2 support, as needed – Organizations (internal and external) who provide fiscal or other assets to accomplish the T2 Organizations (internal and external) that will be affected by the receiving organization’s change in practice when the product is deployed and who have employees that will want to be knowledgeable about the function and use of the product (e.g., other divisions of the recipient organization, outside partners, and professional or trade associations) – Users who will be applying the new product to their work practice – Early adopters, a special category of user: “The early adopter decreases uncertainty about a new idea by adopting it, and then conveying a subjective evaluation of the innovation to near peers through interpersonal networks” (Rogers, 2003, p. 283). Identifying early adopters will assist in targeting marketing and communications activity as well as training and other hands-on activ- ities to people who have a higher likelihood of influencing the decision to deploy the product.

54 Guide to Accelerating New Technology Adoption through Directed Technology Transfer • Administrative staff. These individuals are important contact points for the T2 activities and have access to decision makers and stakeholders (e.g., fiscal personnel, decision maker’s assistant, facilities scheduler, and public affairs staff). • Decision makers. These are the people who assume ownership of the need and its solution, and who control the resources required by the T2 effort. They have the authority in the orga- nization to either foster or impede the progress of the product’s advancement toward deploy- ment. Decision makers are often middle managers responsible for supplying staffing, funds, facilities, and materials. They also may be executives specifically interested in the outcome of applying the innovation. It is particularly important to identify the individual(s) who determine(s) the “go ahead” decision for deployment so T2 efforts can support and speed up the decision-making process. (See Chapter 4.) • Influential decision makers and stakeholders. These individuals can positively or nega- tively affect the job of T2 through lending or withholding their support. These influential people can enhance or detract from the value of the technology being transferred. Their influence generally rests in the importance of their position and the credibility that they possess. Positive influence is an asset and a resource to be used wisely. • T2 practitioners and/or transfer agents. These are individuals in the source or receiving orga- nizations who have the responsibility to foster and accomplish T2 activities. If there are per- sonnel resources available to accomplish the product’s transfer, identify them and use their knowledge and expertise. Identify Funding Sources There are three primary areas for funding the T2 effort: • The organization that is the source of the product, e.g., researcher, product owner, licensee, or vendor • The organization that is the recipient of the product including the research or innovation group facilitating T2, the program office, and field and operational offices • Third-party stakeholders such as academic institutions, contractor organizations, associa- tions, and other government or industry partners. (FHWA and LTAP/TTAP centers may have funding to assist with T2 efforts.) The T2 plan, if available, should provide direction for identifying funding for the T2 effort. However, if there is no T2 plan or there is a need for strengthening the approach to funding the effort, do not hesitate to take action to ensure the availability of these important resources. Working with the product champion, appropriate decision makers, and other stake holders, identify the potential sources of funds available for the T2 effort. Questions to ask are the following: • Are there available funds from the originator of the product to foster its adoption? • Is the product a result of national research and development efforts, and are there T2 funds available from the originating program, e.g., SHRP2, AASHTO TIG, and FHWA Highways for LIFE? • Are there T2 or implementation funds available from the research unit, particularly state planning and research federal-aid funds? • Are there other federal-aid funds such as safety or transit funds available? • Are there program funds available for demonstrations and prototypes? • Can the T2 effort be done with leveraged funds from cooperative research programs? • Are there any organizational matching funds options that can be an incentive to involve stakeholders? • Are there any matching funds programs from third-party organizations?

Identify and Secure Resources 55 • Are stakeholder organizations willing to contribute funds to the T2 effort? • Does the local LTAP and/or TTAP center have funding available for T2 efforts, or are finan- cial resources available from the National LTAP Association including their working groups? • Does FHWA have resources available to assist with T2 efforts? Define and Locate Required Materials and Facilities T2 requires communications and often education and training opportunities as well as hands-on events such as demonstrations and showcases. Based on the T2 plan or a communi- cations plan, determine the types and estimated costs for production of necessary communi- cation and education tools, e.g., brochures, videos, webinars, and training course materials, as well as conducting events such as training seminars. Additionally, depending on the product to be transferred, determine the requirements for materials and supplies for demonstrations or showcases including the sample products under consideration. Furthermore, identify the locations and facilities necessary for the T2 effort: training facility, demonstration site, or showcase facility. Securing the Resources Securing the necessary resources is directly dependent on engaged decision makers and informed and engaged stakeholders. (See Decision Maker and Stakeholder Sections) Consider the following broad steps to create decision maker confidence in the effort and to inform and engage the stakeholders: • Communicate and inform each target group and tailor messages to fit the audience – Provide a clear and concise description of the product – Describe the T2 effort and why it is important – Describe in detail the T2 resources required, their cost, and when they are needed – Provide clear benefits and value of the T2 effort – Communicate progress of T2 efforts • Do not fail to ask decision makers for the specific resources needed • Provide a means to monitor and track T2 efforts What Are Some of the Challenges to Identifying and Securing Resources to Accomplish the T2 Effort? A host of challenges can arise regarding resources. Some of these are the following: • Weak or no T2 plan • Decision maker(s) is(are) a bottleneck • Insufficient resources • No communications expertise • No technical expertise in the receiving or user organization • Lack of consensus for T2 in stakeholders What Are Some of the Tools or Strategies to Overcome the Challenges Encountered? If there is a weak or no T2 plan • Provide guidance to the champion and the decision maker(s) to develop a workable plan (See T2 Plan Section) • Work with the stakeholders to strengthen the plan and fill in gaps

56 Guide to Accelerating New Technology Adoption through Directed Technology Transfer • Determine whether there is a T2 plan used by another organization that would be willing to share it as an example • Find out if there are T2 strategies recommended by the source of the product If the decision maker is a bottleneck • Determine the perceived barrier and address it • Better inform and engage the decision maker through effective communications • Solicit peers to endorse the T2 effort with the decision maker • Enlist support of the champion to sway the opinion of the decision maker If there are insufficient resources • More accurately define the resource need and approach stakeholders for sponsorship • Determine whether stakeholders or partners will supply materials at no cost or in-kind ser- vices to defray costs for communications, education and training, supplies and materials, demonstration sites, and facilities or equipment • Redefine the magnitude of the T2 effort If there is no communications expertise • Hire the necessary marketing/communications talent to assist in the T2 effort • Seek assistance from LTAP/TTAP staff • Enlist others from the organization that have the talent such as public affairs or press office • Determine whether there are similar T2 efforts in other organizations that will share their communications plan and materials as examples If there is no technical expertise in the receiving or user organization • Get technical staff informed and educated, especially the potential early adopters • Bring in expertise from outside the organization, but do so in a manner that retains the ownership of the transferred product with the ultimate user If there is a lack of consensus for T2 in stakeholders • Better inform the stakeholders to get them “on the same page” • Create means to involve stakeholders in the T2 effort • Identify the cause of divergent opinions and address them if possible • As a last resort, acknowledge that the T2 effort may have to go forward without a stakeholder or partner Suggested Reading Rogers, E. M., Diffusion of Innovations, 5th Edition, Simon & Schuster, Inc., New York, NY (2003) pp. 281–285.