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Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure (2020)

Chapter: Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices

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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
×
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Suggested Citation:"Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices." National Academies of Sciences, Engineering, and Medicine. 2020. Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure. Washington, DC: The National Academies Press. doi: 10.17226/25757.
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59 C H A P T E R 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices To overcome the potential risks and challenges associated with emerging PMR practice devel­ opment and implementation, significant changes in how agencies do business is required to direct agencies’ capabilities toward encouraging, developing, and implementing these practices. Most agencies appear to face similar potential risks and challenges. While the substance of PMR practices is often technical, many of the potential risks and challenges are “non­technical,” dealing primarily with processes and organizational issues. Approaches and strategies for overcoming the risks and challenges associated with PMR prac­ tices can be derived from relevant experience. Such approaches will allow agencies to assess their capabilities for advancing emerging and innovative practices and to identify means to enhance their capabilities for dealing with risks and challenges associated with these practices. Institutional Inclination and Capacity The previous chapters focused on the examination and selection of exemplary emerging PMR practices worthy of consideration. This chapter, however, focuses on preparation (rather than prediction) for the implementation of these practices. Transportation agencies should be prepared both for the range of future PMR scenarios and for opportunities to capitalize on those practices that would improve an agency’s efficiency and effectiveness as well as customers’ experience. Many of the emerging PMR practices will be inherently challenging for transportation agen­ cies to take on by themselves, particularly when they are driven by technologies and market forces beyond their domains. This is particularly true where advanced technologies and the PMR practices emanate from sectors beyond transportation, yet can provide dramatic benefits to transportation agencies. Advancing the state of the practice in highway PMR in these circum­ stances will require collaborative efforts and partnerships, among peers, at the national level, and with industry drivers of change that will influence agencies’ directions and decisions. To aid transportation agencies, the research team has identified a pathway for advancing desir­ able practices. While this pathway was intended for emerging and innovative practices related to PMR, it is appropriate for other applications. Hence, this chapter does not discriminate between PMR­related and other emerging and innovative practices. The pathway incorporates a succes­ sive, yet iterative series of actions: awareness, advocacy, assessment, adoption, and action plan.

60 Strategic Issues Facing Transportation Awareness and Advocacy Awareness of emerging and innovative practices begins with a recognition that the world is changing rapidly and that no institution (e.g., state departments of transportation) and no institutional responsibility (e.g., highway PMR) will be left untouched. Furthermore, awareness specific to highway PMR innovative activities requires an understanding of potential benefits and costs, both external to customers and internal to the agency (discussed in Chapter 4) to make the case for emerging and innovative PMR practices on a case­by­case basis. The research team has assembled a database of the 16 emerging/innovative PMR practices that have high potential relevance and value to future highway PMR activities (discussed in Chapter 3). This database helps (1) identify the anticipated impacts of specific PMR practices on seven key disciplines associated with highway PMR (pavement, structures, drainage and roadside assets, TSMO, CAVs, maintenance and construction equipment, and information technology (IT)/data and (2) identify those emerging PMR practices that will have an impact on specific disciplines as well what those impacts will be. These 16 emerging practices are examples of virtu­ ally limitless PMR practice possibilities looking toward a 50­year horizon, as many other PMR practices almost certainly will emerge over time. The advocacy of emerging and innovative practices typically follows a critical threshold of awareness. Advocacy can occur both in a top­down and bottom­up manner by agency leadership as well as by practitioners. It involves communicating and cultivating knowledge gained from awareness, in both of which leadership and practitioners play a significant role. A precursor to making a case for PMR innovative practices is to recognize a long­range vision for the nation’s future highway network looking 50 years into the future as well as an understand­ ing of various trends and driving forces that would shape the way in which highway infrastruc­ ture will be maintained, preserved, and renewed. Long-Range Vision The vision statement plays an important role in setting the context for how emerging and inno vative practices will be achieved and how transportation agencies should think strategically as well as tactically to embrace and advance them; Table 13 presents a sample of such a statement.

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 61 Table 13. Vision statement for PMR. In the year 2070, the nation’s multimodal transportation system remains anchored by a ubiquitous highway network that has been transformed over the past half-century despite chronic limitations of available resources. These transformations have dramatically improved the safety, efficiency, reliability, and durability of what is now more accurately characterized as the vehicle-highway network, or VHN. The term VHN reflects a paradigm shift toward an ever-increasing integration in the relationship between infrastructure and its users through automated, self-driving vehicles, as well as vehicles connected to one another and to the roads they traverse. The magnitude of changes can be measured using the pervasive data that have been collected on both the usage and the infrastructure side of the VHN since the year 2020 when performance measurement came into its own among transportation organizations. While the data reflect considerable variation from place to place, a view of national trends provides the best way to appreciate how far we have come over the past five decades. The most dramatic and revered change has been the extraordinary reduction in the absolute number of road-related fatalities and personal injuries despite a more than 70 percent growth in vehicle miles traveled. Over the same period, we have significantly expanded the carrying capacity of existing roads and dramatically improved overall reliability (as measured by point-to-point travel time consistency within peak and off-peak time periods). Even more important to our customers than these VHN-centric measures of performance is the daily liberation of many minutes, and occasionally hours, from the time-consuming and stressful task of “non-pleasure” driving to the more useful and satisfying time that can now be spent as vehicles self-navigate the network virtually flawlessly on roads and bridges that are in a significantly better state of repair than they were 50 years ago. The role of streets and highways—particularly among the 20 percent that compose arterials and carry 75 percent of the vehicle miles—has been significant in achieving these breakthroughs in safety, reliability, and efficiency. The physical network has been transformed through innovations in PMR materials, tools, approaches, and technologies. This is manifested by increased infrastructure instrumentation that has facilitated V2I communication, as well as by breakthroughs in the efficiency and cost-effectiveness of PMR activities resulting from practices such as the following: • Predictive-proactive PMR regimes for roadway assets; • Remote sensing and structural strength monitoring; • Self-diagnosing, reporting, and work ordering; • Hyper-performance materials that provide virtually perpetual highway infrastructure; • Artificial intelligence to manage daily operations and respond to disruptive events; • 3D printing and quick turn-around replacement of prefabricated repair elements for riding surfaces; and • Use of robotics in repair and construction activities. A three-fold increase in the expected life of bridges and a doubling in the average structural life of pavements, despite significant increases in permissible axle and gross vehicle weights, have led to improved conditions and performance with little or no increases in real dollars available on an annual basis. A 50-percent reduction in the average elapsed time between identifying the need and completing repairs, and a 75-percent reduction in average downtime during which travel lanes are taken out of service for PMR activities are reasons why national surveys have shown significant improvements in customer experience and satisfaction. Having reaped the benefits of 50 years of research and development in PMR materials, tools, approaches, and technologies, with still more to come as we continuously strive to improve, we can now say that our VHN is dramatically safer, more efficient and reliable, and in better condition than it was half a century ago, with little or no increase in real (inflation-adjusted) PMR costs. The seeds that were sown over this period have produced a bountiful harvest.

62 Strategic Issues Facing Transportation The Future Context This vision suggests that a robust and increasingly resilient and adaptive network of streets and highways will continue to be needed into the future and that this network will continue to include pavements, bridges, tunnels, drainage systems, and other components of highway infrastructure that are familiar in today’s world and will remain familiar in the evolving con­ text. However, the ways of maintaining, preserving, and renewing highway infrastructure will change significantly over the next three to five decades. These changes will occur in response to inevitable changes in the level and patterns of usage of the system; introduction of innovative practices (materials, methods, and technologies); and availability of the financial and human resources. While the mix of drivers of future change is likely to vary, the ensuing scenarios must cover the entire domain of PMR­related possibilities. It is not feasible, nor is it necessary, to define these scenarios precisely over a 50­year timeframe beyond describing general trajectories in trends (e.g., growing population and increasing traffic). Rather, the implications of these drivers and scenarios help inform what practices may be most beneficial to address those challenges and risks that agencies will face as they navigate an evolving and uncertain future. Chapter 2 discussed key future drivers and their implications for PMR needs, and Table 2 presented a broad range of drivers and scenarios that inevitably will evolve over the next 30 to 50 years, and their implications to PMR­specific activities. If not already engaged, agencies are encouraged to track these drivers and monitor their implications on PMR needs to stay ahead of the curve and proactively seek opportunities to apply responsive emerging practices. Making the Case for PMR Being innovative just for its own sake is not sound justification; there must be sound reasons to justify the investment and commitment of time and energy required to advance the state­of­ current practice. Agency leaders and practitioners need to consider the following unique reasons when advancing PMR practices: • PMR activities are a priority; • PMR activities consume a large share of highway agency budgets; • PMR activities are never­ending; • Embracing emerging and innovative PMR practices can attract talent; and • Emerging and innovative practices are pathways to opportunities by providing good customer service, enhancing agency credibility, and attracting necessary resources. PMR Activities Are a Priority. Taking good care of existing assets that are essential to a highway agency’s mission is obviously fundamental to its success. It is difficult to imagine how to make a case for anything of higher priority, other than responses to emergencies. What could be more basic than achieving well­founded performance goals for physical condition, safety, mobility, reliability, and resilience? Nonetheless, it is common for highway agencies to be pressured to divert resources that should be allocated to PMR activities toward system expansion projects. This creates even stronger pressure to become more efficient and cost­effective in fulfilling basic PMR functions. PMR Activities Consume a Large Share of Highway Agency Budgets. Even where PMR activities are underfunded, they typically consume the largest share of an agency’s budget. Therefore, prac­ tices that reduce life­cycle PMR costs while achieving a targeted performance outcome should

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 63 be worth considering. In most instances, the returns on an upfront investment occur over time, and so the pressures of keeping a lid on annual budgets can be a significant restraining force. Any expectation of PMR activities becoming less costly over time without compromising on performance outcomes must come from new and better ways of doing business. Of course, if the objective is to improve on current performance levels, the “savings” will result from practices that provide the most cost­effective and efficient means toward that end. PMR Activities Are Never Ending. Highway infrastructure wears out over time but it must always be kept in an acceptable operating condition. This means never­ending investments in PMR activities that may range from snow removal to major reconstruction, recurring annual operat­ ing expenditures to retain and restore existing service, or periodic capital investments that add years to the useful life of an asset. The impact of PMR outlays and the opportunities represented by emerging and innovative PMR practices should therefore be viewed not just in terms of annual budgets, but in terms of the life­cycle of highway assets. This is not always easy to do given the fiscal and political realities of annual budgeting, but it is a vitally important factor requiring upfront outlays in expectation of downstream benefits. Embracing Emerging and Innovative PMR Practices Can Attract Talent. It is common for highway agencies to have difficulty in attracting young professionals to preservation and maintenance functions. It is easier to find interest, particularly among graduate engineers, in areas such as highway design, structures, traffic engineering, hydraulics, geotechnical engineering, and con­ struction engineering. All of these areas are connected and essential to PMR operations. At the same time, actively encouraging the exploration of emerging and innovative PMR practices that leverage the leading edges of technology becomes a self­reinforcing way of attracting talent to leadership roles in PMR activities. These leaders will more broadly see the need for and benefits of such practices, thereby improving the likelihood of continuing to attract the necessary talent and potential champions. Emerging and Innovative PMR Practices Are Pathways to Opportunities. Indirect benefits relating to economic well­being, vitality of communities, societal equity, and environmental quality are largely derivative of more directly measurable performance goals such as safety, mobility, access, reliability, and resilience; PMR activities affect all of these areas. Therefore, improving highway agency PMR practices presents an opportunity to enhance the experience of those who use or are affected by the streets and highways under the agency’s purview. All such stakeholders may be viewed as customers whose increased satisfaction can be thought of as fueling an upward spiral of improved credibility in the realms of public perception and politics. It is in these worlds that an agency’s reputation is formed. Is it well run or poorly managed? Does it provide good service? Is it responsive to evolving needs and shifting conditions? Is it a leader among its peers? Does it deliver value for money? Agencies that fare well in these intertwined perceptions are more likely to be viewed as worthy of the confidence vested in them by stakeholders and by those who control their purse strings. They are also more likely to be supported in their continued efforts to advance their PMR practices. In an era of growing emphasis on performance, accountability, and transparency, public agen­ cies cannot afford to be viewed as victims of indifference or inertia when it comes to embracing a culture of continuous improvement. Those organizations that have kept up with the leading edges of practices to provide improved service to customers will become increasingly evident among political leaders and are more likely to receive the resources needed to sustain the upward spiral of continuous improvement.

64 Strategic Issues Facing Transportation The Importance of Leadership Seeking out and implementing emerging and innovative PMR practices requires leadership and an organizational culture that fosters self­awareness, continuous learning, and adaptation to beneficial changes. For the purpose of this research, leadership positions include not only the CEO but also senior managers who have a role in decision making and responsibility for implementing those decisions, and who thereby have an impact on the long­term direction and day­to­day activities of the organization. Gaining Leadership Attention for PMR Practices Not unique to transportation is the all­too­often, yet understandable, focus of leadership on the most visible and consequential areas of responsibility—revenues, budgets, operations, system enhancement decisions, stakeholder engagement, and politics. PMR is often viewed as routine and mundane in the absence of pressing issues, and therefore less prominent on the leader ship’s radar—except when low­key PMR issues lead to major problems, such as an un­ planned system closure resulting from inadequate attention over time. When it comes to emerging and innovative PMR practices, it may require special effort to ensure that this vital but often less visible area receive attention of leadership. The following sec­ tion discusses the responsibility among PMR practitioners to find ways of gaining the attention of an organization’s leaders. In addition, leaders must be sensitive to the potential tendency of affording insufficient attention to PMR areas and the consequences that can result from under­ engaging in PMR issues. Leaders would do well to periodically carve out the time in their busy schedules to ensure that PMR, and the opportunities for promising PMR practices that raise the bar, do not get overlooked. Importance of Front-Office Engagement It is possible, but unlikely, for emerging/innovative PMR practices to occur in organizations in the absence of active leadership support. In their 1982 widely read book, In Search of Excellence, Tom Peters and Robert Waterman, Jr. refer to “skunkworks,” a term coined by Lockheed dur­ ing World War II, which Wikipedia defines as “… a group within an organization given a high degree of autonomy and unhampered by bureaucracy, with the task of working on advanced … projects.” Skunkworks are considered incubators of innovation populated by self­starting cham­ pions who work apart from the mainstream organization to come up with game­changing ideas that offer dramatic improvements to products and processes. For skunkworks to have an impact, however, the fruits of their efforts must affect the enterprise, which means that organizational leadership must buy in. Some leaders have been known to encourage skunkworks not only in the hope of achieving transformational breakthroughs, but also to keep mainstream units who are engaged in process and product improvements on their toes. Some degree of organizational inertia and hesitancy (if not outright hostility) to change are virtually inevitable barriers, even in top­notch organizations. For emerging/innovative practices to flourish in an organization, leadership must be onboard, whether through visible and encouraging actions or through less visible but no less important support for champions who will challenge the status quo in a quest for continuous improvement. Such practices must not only be encouraged and supported, but must also not be impeded by the enterprise as a whole and all of its component parts, such as:

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 65 • Planning and resource allocation processes, • Procurement and administrative procedures, • Management systems and information technologies, • Recruitment and promotion practices, • Education and training. External Communication Leaders must also communicate beyond the agency to generate understanding and support for investment and change, and in particular, to obtain endorsement and resources from outside influ encers (e.g., legislators, private industry, customers, etc.). Leaders will ideally continuously and consistently educate these external audiences on the benefits and progress (or failures) of innova­ tive practices. Successful communication frames these practices in terms of how it solves an exist­ ing, well­defined problem; how the outcomes tie to agency strategic initiatives or goals; how it will improve internal efficiency and effectiveness, and how the customer experience will be enhanced. Top-Down Perspective Leaders understand the big picture at the enterprise level and are in the best position to rec­ ognize opportunities for such emerging/innovative practices that cut across and extend beyond organiza tional boundaries. While interest in specific practices is often viewed more in the domain of the practitioner, leaders are in the best position to facilitate a multidiscipline, inter­ office systems approach to identifying the value and impacts of those practices that intersect agency disciplines and functions. This includes anticipating potential differences and facilitating a collaborative approach, both within and where appropriate, beyond the agency’s boundaries. Bottom-Up Listening Cultivating a welcoming atmosphere for emerging/innovative practices also calls for leader­ ship and other management positions to listen to customers, practitioners, peers, and others in the private sector and academia. It requires leaders that encourage feedback and ideas from staff at all levels, including those at the front lines who carry out the work and often see firsthand the greatest need and potential for significant improvement. If the perception among front­line workers is that they are expected to do as they are told without making waves, then the organiza­ tion is losing one of its most potent sources of input about where emerging/innovative practices are needed and which ones are most likely to succeed. Leaders must balance numerous priorities and often cannot afford to devote extensive time to exploring all issues in­depth. They may not possess a background steeped in the technical specifics of PMR. As a result, they must receive and act upon the counsel of PMR practitioners who can provide the necessary understanding of the importance of PMR improvement. Walking the Talk While virtually none in leadership positions would claim to be anything but supportive of emerging/ innovative practices, as with any other aspect of leadership, it is whether leaders “walk the talk” that counts in the end. Leaders talking up the value of such practices is an important step, but “walking the talk” requires a lot more than just talk, it requires responding to probing questions on innovation; Table 14 provides a list of such questions.

66 Strategic Issues Facing Transportation Leading Edge Versus Bleeding Edge A conscious practice among agency leadership may be to strive to be on the leading edge of best practices, proven in peer agencies with similar circumstances, while simultaneously avoiding the “bleeding edge,” where costs and risks associated with these practices are likely to be greater. This may not be a bad practice. Agencies that strive to be in the forefront of innovation more typically focus on a select number of areas that are important to them and in which they have made significant investments to establish and sustain a critical mass of expertise and capability. Get the Ball Rolling Even where the practice is to learn and adapt from the experiences among pioneering peers, or from developments led by industry (as in the case of CAVs and construction robotics), it is important to “get started” in terms of awareness, keeping up with advancements, and gearing up for a technology transfer. This can be done by making early investments in staff and other required resources given the lead times typically required between a decision to move forward and ultimately achieving the sought­after outcome. Failure to start the ball rolling, even when the innovative practice may be some time away or seemingly outside the domain or control of the public agency, could result in drifting toward the back of the pack or rushing into or reacting to a situation for which the agency may be ill­prepared. Table 14. Questions leaders should ask themselves to better position themselves for taking advantage of emerging and innovative PMR practices. • Are you in touch, at least in general terms, with where key parts of the organization stand in their current PMR practices compared with peers, compared with state-of-the-art and leading-edge practices, and compared with those that are just beginning to find their way into practice? • Do you understand the relationship between how the organization does business today and the external drivers that will influence how it must do business tomorrow to fulfill customers and stakeholder expectations? • Are you fostering a culture that encourages objective and collaborative self-scrutiny at all levels, a passion for learning and continuous improvement, and the unwavering obligation of leadership and management to seek out ideas from front-line staff? • Does interest in improvements arise from bottom-up champions? • Are there regular processes in place that result in an agency-wide perspective on the relative need for, value from, and priority of advancing innovative practices? • Are you recruiting, screening, and advancing staff at all levels, from the front lines to the front office, who grasp the importance and are fully supportive of a forward-looking culture of improvement? • Are analytical processes in place to evaluate potential benefits and costs (both internal to the agency and external to customers) in reaching investment decisions into innovative practices? • Are performance metrics in use that identify current, targeted, and actual outcomes? • Are you confident that systems and programs are in place that support rather than impede the never- ending search for better ways of doing business? • Do you provide the necessary resources to support a learning organization and the testing of innovative approaches? • Do you recognize and accept that inherent in innovative practices is the risk of falling short of expectations, while learning from experiences that reduce the risk over time? • Do you celebrate successes internally in ways that demonstrate the importance of seeking out beneficial practices, and externally in ways that build respect for and confidence in the agency?

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 67 This hesitancy or inability to get started may be due to the short­term thinking. It is ask­ ing a leader to rise above understandable instincts to focus primarily on short­term problems and to invest energy and resources toward emerging and innovative practices whose benefits in years to come they may be unlikely to experience. Another constraint that may dampen inter­ est in these practices over the long run stems from the process of annual budgeting and the “not­ essential­on­my­watch” discounting of long­term benefit characteristic of agency as well as elected leaders. This has led to enormous pressures to focus on “first” or initial costs and quick successes in making investment decisions. The “first cost” approach takes the emphasis away from analyzing benefits and costs on a life­cycle basis and discourages upfront investments in anticipation of long­term outcomes. Winners, Losers, and Vested Interests Emerging PMR practices may ultimately result in cost savings and service improvements that accrue to the benefit of public­sector agencies and the customers they serve. Invariably, however, they may have certain short­run or long­term negative impacts on some individuals or groups who have a vested interest in the status quo and who may therefore attempt to steer a highway agency away from these practices that would damage their interests. Similarly, those who may gain from certain changes may press for those changes, whether or not net benefits are in the offing. Both sides would tend to exaggerate their claims and apply pressure to agency and political leadership in an attempt to tilt the playing field in their direction. None of this helps the case for objective, merit­driven practice, but it reflects a reality that often must be addressed. Change Management Finally, it is important for agencies to consider the need for change management processes when implementing new practices. The potential for resistance to change from legacy systems and practices should not be ignored, particularly among practitioners whose skillsets may no longer be needed and from managers whose area of responsibility may be diminished. An essen­ tial aspect of change management is finding and designating internal champions to navigate the complex maze of formal approvals and informal buy­in through collaborative and motivational approaches that can build support and overcome resistance without leaving a destructive and potentially counterproductive wake. Top management support and staying power is critical to sustain not only the investment of funding, but also the investment of time and energy, which can be just as scarce, when dealing with barriers to change. The Importance of Practitioner Pressure Seasoned practitioners who specialize in technical disciplines know that to advance the state­ of­the­practice toward the leading edge requires not only a threshold of technical expertise, but just as important, an enterprising, proactive approach that results in upward pressure on leader­ ship to invest in innovative practices. This is particularly true for PMR­related activities, where many of the opportunities for improvement are highly specialized and may not appear on the radar of even the most progressive and enlightened leaders. If agency leadership has done its job well in recruiting and advancing top­tier technical talent and in fostering a learning culture that seeks out and welcomes the opportunity to test new ways of doing business, there will inevitably be a bottom­up, practitioner pressure that complements and amplifies top­down agency leadership to encourage innovative practices. The most daunting

68 Strategic Issues Facing Transportation challenge for practitioners lies in advocating for a new practice in an organization whose leader­ ship and culture may fall somewhat short of these ideals. Seasoned practitioners understand that they cannot rely on the pull of leadership alone to advance new practices. The case can be made that the push from practitioners is perhaps even more important. With the support of practitioner champions, embarking on a strategic path in anticipation of future changes can occur even in an organizational culture somewhat indifferent to fostering change. Alternatively, without practitioner champions acting as strong advocates, no amount of top­down initiative can force emerging/innovative practices. Champions While the major waypoints on the road to emerging/innovative practices have a certain commonality—awareness, advocacy, assessment of benefits and costs, assessment of capability, adoption, and action plan—there is no standard process to reach and progress through those waypoints. The specific route can and usually will involve twists and turns, starts and stops, suc­ cesses and setbacks. That is why champions are an essential part of embracing new approaches and advancing to the leading edge. Champions may come from any quarter. Typically, they are practitioners who are excited about a prospective new practice in their area of expertise that could represent a significant step forward in enhancing the agency’s efficiency and effectiveness. The best champions are wellsprings of passion, pressure, and persistence about the practices that have captured their interest. They are also realists who recognize that not everyone will be as enthusiastic as they are, and that it will require focus, fortitude, and the ability to communi­ cate their ideas and address the concerns of others to succeed in advancing a new way of doing business. Just as leaders must build trust with external stakeholders by communicating the benefits and progress (or failures) of new practices, practitioners must brief and educate leadership, who may have a limited background on the technical details of PMR and limited time to devote to the subject. Presentations and discussions with leadership need to be clear, concise, and to the point, and tailored to their particular interests and concerns, which must be researched and anticipated. Involving leadership at key points of any PMR peer exchange activities is beneficial to both groups. As with leaders’ communication, emerging/innovative practices need to be framed in terms of how it solves an existing, well­defined problem; how the outcomes tie to agency’s stra­ tegic initiatives or goals; how it will improve internal efficiency and effectiveness; and how the customer experience will be enhanced. Practitioner pressure from a champion is most effective in combination with supportive technical discipline managers (e.g., section or branch chiefs) who have technical knowledge, a broader perspective, and access to resources and the decision­making process. In fact, the cham­ pion may be the discipline manager. Two or more co­champions is also a possibility. There is strength in numbers, but ultimately it becomes important for one person to become “first among equals” if the early stages of upward pressure and the downstream process of development and deployment are to proceed at a healthy pace. Although there are clear benefits of champions staying with the effort from inception to adoption, there may be times when the champion role is given to another. Similarly, the upward pressure may need to continue past the early stages to ensure that well­meaning launches do not prematurely fail, particularly when changes in staffing occur or counter­pressures from skeptics and status­quo advocates take root. Table 15 presents a list of “Tips for Champions of Emerging and Innovative PMR Practices” in the form of questions practitioners must ask themselves as they deploy strategies to inform and convince leadership of the value and benefit of emerging and innovative PMR practices

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 69 to help win support for their pursuit. Leadership will want to know how to implement these practices, not just why. Framing the argument (making the case), incorporating input from appro priate parties, and anticipating and preparing for questions from leadership are all critical considerations. Peer Agency Pressure and Opportunities State transportation agencies enjoy a longstanding tradition of particularly close inter­ relationships at the technical discipline level and the leadership level through AASHTO and four regional counterpart organizations. These connections among peer agencies and peer pro­ fessionals provide invaluable insights, as well as opportunities for practitioners to advocate for emerging/innovative PMR practices and for collaboration in advancing these practices. Neither practitioners nor agency leaders relish being seen by their peers or by their stakeholders as lag­ ging behind others who operate under similar circumstances. These interrelationships have been a key driver of the longstanding desire among most transportation agencies, individual leaders, and discipline managers to advance the state of their practices. All state transportation agencies aspire to be “above average.” The opportunities stemming from these interrelationships include the following: • Identifying emerging/innovative PMR practices being advanced among peer transportation agencies and determining potential relevance and value added on the home turf. • Soliciting peer agency experience with specific emerging PMR practices to obtain objective feedback and to temper less­than­objective claims from innovation advocates or critics. • Providing “ammunition” in advocating advancement of an emerging PMR practice in the home agency. • Exploring possible partnership arrangements with peer transportation agencies to mitigate risks and spread the costs of advancing leading­edge practices.

70 Strategic Issues Facing Transportation Table 15. Tips for champions of emerging and innovative PMR practices. • Look for improved/innovative opportunities that arouse your curiosity: – What are your agency’s “beyond the leading-edge” practices and opportunities? – Does your experience and interest align with those opportunities? • Become the expert in that emerging or innovative practice and what it can do for your agency: – Where is the leading edge? – What has been their experience? – What is the state of the practice in your agency? Among peers? • Prepare an agency needs assessment and reality check (invite colleagues to critique): – How real is the opportunity? – How high is the priority? – Are the benefits likely to outweigh the costs? – Are there any insurmountable barriers? • Conduct a personal interest assessment: – How enthused am I about this specific emerging or innovative practice? – Am I willing to be a champion? – Is there someone better suited and interested? • Prepare a capability assessment [complete the capability maturity framework (CMF)]: – What are the critical success factors (CSFs)? – Do we have threshold capability to advance this practice? – What are the capability gaps that must be addressed? • Develop an action plan [complete the required actions framework (RAF)]: – What action steps are needed for threshold capability? – With whom do we need to collaborate? – What are the barriers, risks, and strategies to address them? – What other actions are needed? • Perform a benefit–cost analysis and determine whether to recommend – Do we have a good estimate of costs (including significant contingency)? – Have we identified and monetized benefits? – Is it clear that benefits outweigh costs? – Is it clear that this practice should be advanced? • Line up support with peers – Have we identified units affected or whose support is needed? – Have we done all we can to bring them on board? • Present the Case—Practitioners to Leaders – Are we convinced? Are we energized? – Do we know who will impact the decision and address their likely concerns? – Do we know who will make the decision and address their likely questions? – Have we boiled down the pros and cons to bare essentials? – Have we defined all options for whether and how to proceed? – Have we prepared a compelling case? – Are we ready for a “Round Two” if “Round One” falls short?

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 71 Emerging PMR Practice Assessment, Adoption, and Action Plan Moving beyond awareness and advocacy, agency capabilities and required actions can be as­ sessed for individual PMR practices deemed worthy of investigation. Table 16 introduces seven CSFs deemed essential to fostering emerging practices generally within the agency and to ad­ vancing specific strategies. These factors are designed to help agencies cultivate and evaluate their capabilities to advance innovative practices and to identify the actions required to assess and ultimately implement those that prove worthy into agency practice. Table 16. Critical success factors. Critical Success Factors Explanation Awareness with Emerging or Innovative PMR Practice Being in-tune with the state of the art, emerging and innovative practice trends, and where we are in our practice Awareness with Performance and Application Awareness of how well we are performing compared to others, how good is our performance tracking, and how do we use this performance awareness in evaluating outcomes and setting targets Supportive Systems, Programs, and Budgets for Emerging and Innovative PMR Practices Systems, programs, and budgets in place that facilitate consideration of innovations Friendly Culture and Organization Toward Innovative Practices Commitment to continuous improvement, receptivity to change, willingness to invest in beneficial practices, ability to assess risks versus rewards, willingness to take prudent risks, tolerance for setbacks, ability to learn and adjust from experience Supportive Staff for Emerging and Innovative Practices Possession of the right staff in knowledge, skills, experience, and buy-in of innovative practices Legal, Regulatory, and Policy Issue Management Being adept at dealing with legal, regulatory, and policy challenges External Collaboration Communication and collaboration with key public- and private-sector interests and influences within and outside the highway community Two capability assessment tools were developed using the CSFs to facilitate the assessment and advancement of emerging and innovative PMR practices. These are (1) the Practice CMF to evalu­ ate a particular emerging or innovative PMR practice and (2) the Organization CMF to evaluate the agency’s ability to foster emerging and innovative practices. The purpose of this assessment is to determine if the agency, unit, or discipline possesses sufficient capability across the seven CFSs to evaluate and potentially adopt these PMR practices, and what key action steps would be necessary. Overview of Capability Maturity Model The capability maturity model (CMM), which evolved from concerns associated with the early years of software development, has recently been used as a management tool to evaluate and guide improvement capabilities and effectiveness of organizational processes. It combines into a single framework the key features used in agency­effectiveness management tools such as quality management, organizational development, and business process reengineering concepts.

72 Strategic Issues Facing Transportation Capability model­based improvement frameworks (e.g., CMF) are now being used by FHWA and state transportation agencies focused on improving transportation agency capabilities related to new technology and process developments such as TSMO and connected vehicles. A CMF has several important features that make it a practical tool for improvement of transporta­ tion programs: • It presumes that improvements in outcomes (such costs and performance) can be systemati­ cally managed. • It identifies a high­level vision of capability as a target and provides a common language for discussion of how to get there. • It focuses on a relatively small set of specific dimensions—processes and institutional arrangements—that together support the capability for higher levels of performance, such as in fostering an emerging or innovative practice. • It recognizes that improvements in any agency must be implemented in realistic, evolutionary, doable steps to reach the next level of capability; the steps can be identified and managed, with each level clearly defined by criteria. Improvement in one CSF is dependent to a significant degree on the level of capabilities in the other factors. That is, improvements in technical areas such as performance awareness and application are dependent on the development of capabilities in one or more institutional areas that provide the staffing, organization, or a collaborative basis for improving technical processes and programs. Therefore, from the point of view of fostering emerging and innovative PMR practices (or other agency activities), the strategic management challenge must focus on all CSFs simultaneously, affording priority to that CSF that the agency judges as currently at the lowest level of capability. In addition to the practice CMF, a follow­on framework for a practice RAF provides a tem­ plate for laying out a high­level action plan for determining whether and how to advance a given emerging or innovative PMR practice. The combination of this CMF and the RAF should provide the essential information for making a go/no­go decision on whether to commit to ad­ vancing the practice—moving from adoption to action. Similarly, in addition to the organization CMF, a follow­on framework, organization improve­ ment framework (OIF) provides suggested strategic actions to cultivate, advance, and apply innovative practices within the agency, unit, or discipline. The combination of the organization CMF and OIF facilitates an examination of general capabilities at any level of the organization, ranging from the enterprise as a whole to individual units within the agency, to foster innovative thinking required to cope with the emerging PMR practices. In doing so, agencies draw upon the same seven CSFs used in assessing capabilities. These tools are the focus of the Leadership’s Guide, but may also serve technical managers who are interested in understanding to what extent emerging or innovative practices are cultivated within their discipline areas, and how they can go about facilitating positive change to improve identified weaknesses. Capability Assessment and Advancement Since the principal focus of practitioners is likely to be on considering PMR­related emerging and innovative practices within a specific discipline or disciplines, their primary interest would be in assessing capability with respect to practices of interest. Therefore, the CMF is the assess­ ment tool for the practitioner to use more regularly. Nonetheless, just as leadership must do at a broader enterprise level, fostering innovation within a particular unit or discipline is equally

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 73 important to being able to assess and advance innovative PMR practices. Indeed, the practitioner is likely to be called upon to identify, and be required to support organizational­level improve­ ments necessary to advance emerging and promising PMR practices. Capability Maturity Framework (CMF) The Practice CMF assists the practitioner in determining the extent to which the agency, unit, or discipline is positioned to seriously evaluate and potentially adopt an emerging or innovative PMR practice by assessing key capabilities and identifying potential gaps. Use of the CMF is an internal assessment exercise based on the general process described in the next sections. (See Table 17.) Who Leads the Assessment? The CMF assessment can be conducted individually by an interested staff person, ideally one who is inclined to champion emerging and innovative practices (e.g., the manager or a staff member of a key agency unit responsible for highway PMR), or collaboratively by a group of motivated managers and staff. How Is the Assessment Conducted? The CMF assessment is a straightforward process of systematically evaluating the specific capabilities of a practice in terms of each CSF. These factors are numbered in a recommended order but can be assessed in any order that suits the user. The user considers the criteria under each of the three levels and selects the level that most closely describes the agency’s, unit’s, or discipline’s capability relative to the PMR practice in question. The value of the level (1, 2, or 3) is not the focus of the assessment as much as is gaining an understanding of agency capability and potential gaps in capability relative to the factor criteria. For example, a user may consider all three criteria for a particular factor and decide that certain elements of Level 1 and certain elements of Level 2 apply at the same time and choose to characterize the agency’s capability as somewhere between levels. The agency’s ability to advance a specific emerging PMR practice levels are defined as follows: • Level 1: The agency is in a relatively weak position to advance the PMR practice, with signifi­ cant gaps in capability. • Level 2: The agency is in a potentially tenable position to advance the practice, but should address some gaps in capability that could pose risks to a successful implementation. • Level 3: The agency is well­positioned to advance the PMR practice. To complete the assessment, all components of the seven CSFs must be evaluated. Depending on the user’s preference and the context in which the evaluation was conducted (e.g., individual or facilitated workshop), the assessment output will be a set of CSF levels, potentially accompa­ nied by notes delineating the agency strengths/advantages and weaknesses/disadvantages that support these levels.

74 Strategic Issues Facing Transportation What Is the Assessment Outcome? A key outcome of the CMF assessment is to identify the gaps in capability between current agency practice and a threshold target level deemed necessary to advance a specific emerging PMR practice. The user defines the target level that should be unique to the agency for this specific PMR practice and the gap in capability that has surfaced. Application of the CMF does not imply that Level 3 must necessarily be achieved in all cases, but provides a general “ideal boundary” for the user to determine a reasonable target level for the specific PMR practice being considered. Application of the CMF will determine whether (1) there is a critical mass of capa­ bility existing or achievable in a reasonable timeframe to consider advancing the specific PMR practice or (2) there is a desire to advance the PMR practice. If there is receptivity in advancing a particular practice, it will be necessary to systematically define the key steps required to address significant gaps in capability that may have been revealed by the CMF assessment. These steps would also need to be integrated with all other significant actions that will be required to formally incorporate the PMR practice into the agency’s, unit’s, or discipline’s work program and advance the practice through applied research and development, evaluation, testing, and demonstration phases (as applicable). These actions will be identified by the RAF as discussed in the next section.

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 75 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Le ve l 1 Le ve l 2 Le ve l 3 1. A w ar en es s C on te xt A w ar en es s: Le ad in g ed ge p ra ct ic es ; S ta tu s of R &D in p ro gr es s; P ro bl em s be in g ad dr es se d; A lte rn at ive ap pr oa ch es b ei ng d ev el op ed an d te st ed La rg el y un aw ar e or v er y lim ite d aw ar en es s an d in te re st So m e aw ar en es s an d m od er at e in te re st in fo llo w in g th e fu nd am en ta l a nd a pp lie d re se ar ch a nd d ev el op m en t H ig h le ve l o f a w ar en es s an d ke en in te re st in c lo se ly fo llo w in g fu nd am en ta l an d ap pl ie d re se ar ch a nd d ev el op m en t in th is a re a Sp ec ifi c Aw ar en es s: W ha t i t i s; W ha t i t d oe s; W he re it sh ou ld w or k w el l; W he re it m ig ht n ot a pp ly ; L ev el o f e ffo rt an d re so ur ce s re qu ire d (s ta ffi ng , ex pe rti se , f ac ilit ie s, e qu ip m en t, tim e an d bu dg et ) La rg el y un aw ar e of th e sp ec ifi c pr ac tic e H av e so m e aw ar en es s of th e pr ac tic e an d ex pe rie nc e am on g ea rly a do pt er s H av e be en c lo se ly tr ac ki ng th e em er gi ng pr ac tic e an d ex pe rie nc es in th e te st in g an d tri al s am on g ea rly a do pt er s 2. P er fo rm an ce Al ig nm en t w ith A ge nc y Pe rfo rm an ce G oa ls Al th ou gh p ot en tia lly b en efi ci al , it is u nc le ar if th e PM R p ra ct ic e ad dr es se s a pr io rit y pr ob le m o f th e ag en cy Th e pr ac tic e ad dr es se s a re co gn iz ed p ro bl em an d an in fe rre d, th ou gh n ot e xp lic itl y de fin ed , pe rfo rm an ce g oa l o f t he a ge nc y Th e pr ac tic e ad dr es se s a si gn ifi ca nt pr ob le m a nd a n ex pl ic it pe rfo rm an ce go al o f t he a ge nc y Pe rfo rm an ce M ea su re s Aw ar e of p er fo rm an ce g oa ls as so ci at ed w ith th e PM R pr ac tic e, b ut li ttl e or n o hi st or y or e xp er ie nc e w ith a pp lic ab le pe rfo rm an ce m ea su re s an d m ea su re m en t p ra ct ic es Ab le to re la te p er fo rm an ce g oa ls a ss oc ia te d w ith th e PM R p ra ct ic e to s pe ci fic pe rfo rm an ce m ea su re s, u se d at a on e xi st in g pr ac tic e as a b as el in e, a nd e st ab lis h m ea su re m en t p ra ct ic es th at c an e va lu at e its pe rfo rm an ce Fu ll c ap ac ity to a cc es s hi st or ic pe rfo rm an ce d at a an d ap pl y m ea su re m en t p ra ct ice s to d efi ne , a pp ly, an d co m m un ica te p er fo rm an ce m ea su re s th at c ha ra ct er ize th e pe rfo rm an ce o f t he PM R p ra ct ice in th e co nt ex t o f a ge nc y pe rfo rm an ce g oa ls As se ss m en t o f A nt ic ip at ed Be ne fit s an d C os ts Ag en cy b en efi ts a nd c os ts a re a t le as t q ua lit at ive ly id en tifi ed w ith a re as on ab le le ve l o f c er ta in ty, an d fo cu s on o ut pu ts ra th er th an ou tc om es Ag en cy b en efi ts a nd c os ts a re q ua nt ifi ed a nd an al yz ed . O ut pu ts a re m ea su re d an d re la te d to in pu ts re qu ire d an d ou tc om es a re d efi ne d. Li m ite d re co gn iti on o f e xt er na l b en efi ts a nd co st s Ag en cy a nd e xt er na l b en efi ts a nd c os ts ar e qu an tifi ed a nd a na ly ze d on a li fe - cy cl e ba si s, a nd in pu ts , o ut pu ts , a nd ou tc om es a re w el l d efi ne d C ha lle ng es a nd R is ks Th er e is a g en er al , l ar ge ly in tu iti ve a nd s ub je ct ive un de rs ta nd in g of th e ch al le ng es an d ris ks in a pp ly in g su ch P M R pr ac tic e bu t t he y ar e no t w el l or ga ni ze d or p re se nt ed C ha lle ng es a nd ri sk s in a pp ly in g su ch pr ac tic es a re id en tifi ed in a m ix o f i nt ui tiv e an d su bj ec tiv e as se ss m en ts a s w el l a s so m e ex pl ic it, s ys te m at ic ri sk m an ag em en t, bu t s tra te gi es fo r s ur m ou nt in g ch al le ng es an d m an ag in g ris ks a re g en er al a nd n ot co ns is te nt ly w el l-d efi ne d An e xp lic it, s ys te m at ic , r is k m an ag em en t fra m ew or k is u til iz ed to id en tif y ch al le ng es a nd ri sk s, a nd d ev el op w el l- de fin ed s tra te gi es fo r s ur m ou nt in g th em Ta b le 1 7. T h e P ra ct ic e C M F. (c o n ti n u ed o n n ex t p ag e)

76 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Le ve l 1 Le ve l 2 Le ve l 3 3. P ra ct ic e- Su pp or tiv e Sy st em s, Pr og ra m s, a nd Bu dg et s Ag en cy R &D Th e ag en cy d oe s no t e ng ag e in ap pl ie d R &D o f s uc h pr ac tic es Th e ag en cy o cc as io na lly u nd er ta ke s ap pl ie d R &D o f s uc h pr ac tic es th at m ay s ol ve a pr ob le m o f c on ce rn th at o th er s ha ve n ot ad eq ua te ly a dd re ss ed Th e ag en cy h as a n ac tiv e in -h ou se a nd / or c on tra ct a pp lie d R &D p ro gr am o f pr ac tic es fo cu se d on p rio rit y pr ob le m s of co nc er n th at h av e no t b ee n ad eq ua te ly ad dr es se d Ag en cy P ilo t T es tin g Th e ag en cy ra re ly u nd er ta ke s pi lo t t es tin g of in no va tiv e pr ac tic es Th e ag en cy o cc as io na lly u nd er ta ke s pi lo t te st in g of p ra ct ic es th at m ay s ol ve a p ro bl em of c on ce rn th at o th er s ha ve n ot a de qu at el y ad dr es se d Th e ag en cy re gu la rly d oe s pi lo t te st in g of p ra ct ic es fo cu se d on p rio rit y pr ob le m s of c on ce rn th at h av e no t b ee n ad eq ua te ly a dd re ss ed In st itu tio na l K no w le dg e M an ag em en t S ys te m Th er e is n o fo rm al s ys te m fo r sh ar in g or c om pi lin g te ch ni ca l kn ow le dg e re la te d to th es e pr ac tic es , w hi ch re si de s am on g th e ex pe rie nc e of in di vi du al s Ke y st af f m ai nt ai n th ei r o w n in di vi du al sy st em s fo r c om pi lin g, u pd at in g, a nd ac ce ss in g in fo rm at io n sp ec ifi c to th es e pr ac tic es a nd s ha re th is te ch ni ca l k no w le dg e in fo rm al ly o r o n an a s- ne ed ed b as is An a ge nc y- w id e kn ow le dg e m an ag em en t s ys te m is u se d to c om pi le , up da te , a nd a cc es s sp ec ifi c in fo rm at io n on th es e pr ac tic es Ac ce ss to F un di ng Ac ce ss to fu nd in g in s up po rt of su ch p ra ct ic es is a d ho c an d ill- de fin ed in th e ab se nc e of a ny es ta bl is he d bu dg et ar y pr oc es s or pr og ra m g ea re d to w ar d fu nd in g th is ty pe o f i nn ov at io n Al th ou gh th er e is n o es ta bl is he d bu dg et ar y pr oc es s or p ro gr am g ea re d to w ar d fu nd in g th is ty pe o f p ra ct ic e, th er e ar e re co gn iz ed op po rtu ni tie s to m ak e th e ca se a s a “s pe ci al pr oj ec t” ou ts id e of re gu la r p ro ce ss es Th e op po rtu ni ty fo r m ak in g th e ca se fo r su ch p ra ct ic es is th ro ug h es ta bl is he d bu dg et ar y an d pr og ra m p ro ce ss es th at en co ur ag e in no va tio n ad vo ca te s to co m pe te fo r f un di ng As si st an ce fr om S up po rt Fu nc tio ns : In fo rm at io n te ch no lo gy , h um an re so ur ce s, a nd p ro cu re m en t un its a nd s up po rti ng s ys te m s G ai ni ng a ss is ta nc e in th e fo rm of a dm in is tra tiv e an d te ch ni ca l su pp or t, pa rti cu la rly fo r n ew in iti at ive s, c an b e ar du ou s to ac hi ev e G ai ni ng a ss is ta nc e in th e fo rm o f ad m in is tra tiv e an d te ch ni ca l s up po rt re qu ire s pa tie nc e an d pe rs is te nc e, p ar tic ul ar ly fo r n ew in iti at ive s, b ut is ty pi ca lly a ch ie va bl e G ai ni ng a ss is ta nc e in th e fo rm o f ad m in is tra tiv e an d te ch ni ca l s up po rt is re ad ily a ch ie va bl e, e ve n fo r n ew in iti at ive s Av ai la bi lit y of F ac ilit ie s, Eq ui pm en t, an d Te st S ite s Th er e is in su ffi ci en t c ap ac ity in fa ci lit ie s, e qu ip m en t, an d te st si te s av ai la bl e w ith in th e ag en cy or a cc es si bl e th ro ug h ou ts ou rc in g to u nd er ta ke s uc h pr ac tic e Th e ca pa ci ty in fa ci lit ie s, e qu ip m en t, an d te st s ite s av ai la bl e w ith in th e ag en cy o r ac ce ss ib le th ro ug h ou ts ou rc in g to u nd er ta ke su ch p ra ct ic e is b ar el y su ffi ci en t, bu t c an b e ex pe ct ed to in cr ea se w ith th e ad va nc em en t of th e in no va tio n Th er e is s uf fic ie nt c ap ac ity in fa ci lit ie s, eq ui pm en t, an d te st s ite s av ai la bl e w ith in th e ag en cy o r a cc es si bl e th ro ug h ou ts ou rc in g to u nd er ta ke s uc h pr ac tic e Ta b le 1 7. T h e P ra ct ic e C M F ( co n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 77 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Le ve l 1 Le ve l 2 Le ve l 3 4. In no va tio n- Fr ie nd ly C ul tu re a nd O rg an iz at io n Le ad er sh ip S up po rt; C ol la bo ra tio n an d Te am wo rk ; R ec ep tiv ity to N ew Id ea s; De di ca tio n to Co nt in uo us Im pr ov em en t La rg el y ab se nt Pr es en t i n th e or ga ni za tio n un its in vo lve d in th is ty pe o f P M R p ra ct ic e Pe rv as ive th ro ug ho ut th e ag en cy Su pp or t f ro m In te rn al P ar tn er s: As n ee de d to a dv an ce s uc h em er gi ng P M R p ra ct ic e Th er e is litt le o r n o in te re st fr om sis te r u ni ts w ith in th e ag en cy w ho se p ar tic ip at io n in a dv an cin g th is pr ac tic e is es se nt ia l Th er e is s om e le ve l o f i nt er es t a nd a bi lit y to p ro vi de s up po rt in a dv an ci ng th is P M R pr ac tic e fro m e ss en tia l s is te r u ni ts , t ho ug h no t t o th e sa m e de gr ee a s th e le ad u ni t Th er e is p ro ac tiv e, e nt hu si as tic in te re st an d su pp or t f ro m s is te r u ni ts a nx io us to pa rtn er in a dv an ci ng th is P M R p ra ct ic e O rg an iz at io na l B ar rie rs Th er e is o ne o r m or e ba rri er w ith in th e or ga ni za tio n to ad va nc in g th is P M R p ra ct ic e, w hi ch is u nl ike ly to b e ov er co m e Th er e is o ne o r m or e ba rri er w ith in th is or ga ni za tio n to a dv an ci ng th is P M R p ra ct ic e, w hi ch v er y lik el y ca n be o ve rc om e Th er e ar e no b ar rie rs w ith in th e or ga ni za tio n to a dv an ci ng th is P M R pr ac tic e R is k– R ew ar d R es po ns e R is k av er si on w ith re sp ec t t o th is PM R p ra ct ic e an d a ge ne ra l f ea r of fa ilu re w ill im pe de a bi lit y to ad va nc e it w ith in th e or ga ni za tio n Th er e is a w illi ng ne ss to a dv an ce th is P M R pr ac tic e an d ac ce pt th e po ss ib ilit y of fa ilu re be ca us e of le ad er sh ip s up po rt an d ac ce pt ed ris k m an ag em en t s tra te gi es Th e po te nt ia l o f f ai lu re is s ee n as a le ar ni ng e xp er ie nc e in cl ud in g by le ad er sh ip a nd th er e is n o he si ta nc y ab ou t a dv an ci ng th is P M R p ra ct ic e be ca us e ris ks a nd ri sk m an ag em en t a re w el l u nd er st oo d 5. P ra ct ic es - Su pp or tiv e St af f C ha m pi on (s ): C om bi na tio n of te ch ni ca l ex pe rti se , p as si on at e in te re st , an d ab ilit y to le ad th is p ra ct ic e Th er e ar e st af f m em be rs w ith so m e te ch ni ca l e xp er tis e an d in te re st in p ar tic ip at in g or po te nt ia lly le ad in g th is P M R pr ac tic e, b ut n o cl ea r c ho ic e in te rm s of le ve l o f i nt er es t Th er e is a t l ea st o ne s ta ff m em be r w ho se te ch ni ca l e xp er tis e, le ve l o f i nt er es t, an d le ad er sh ip a bi lit y ar e su ffi ci en t t o le ad th is PM R p ra ct ic e, b ut n o ba ck up if th is p er so n w er e to le av e Th er e is a c le ar c ho ic e of w ho s ho ul d le ad th is P M R p ra ct ic e on th e ba si s of te ch ni ca l e xp er tis e, le ve l o f i nt er es t, an d le ad er sh ip s ki lls , a nd o ne o r m or e ot he rs w ho c ou ld s te p in if th is p er so n w er e to le av e St af f C ap ac ity Th er e is in su ffi ci en t c ap ac ity in nu m be rs o f p eo pl e an d le ve ls o f ex pe rti se w ith in th e ag en cy o r ac ce ss ib le th ro ug h ou ts ou rc in g to un de rta ke th is P M R p ra ct ic e Th e ca pa ci ty in n um be rs o f p eo pl e an d le ve ls of e xp er tis e av ai la bl e w ith in th e ag en cy o r ac ce ss ib le th ro ug h ou ts ou rc in g to u nd er ta ke th is P M R p ra ct ic e is b ar el y su ffi ci en t, bu t c an b e ex pe ct ed to in cr ea se w ith th e ad va nc em en t o f t he p ra ct ic e Th er e is s uf fic ie nt c ap ac ity in n um be rs of p eo pl e an d le ve ls o f e xp er tis e av ai la bl e w ith in th e ag en cy o r a cc es si bl e th ro ug h ou ts ou rc in g to u nd er ta ke th e PM R p ra ct ic e Kn ow le dg e Ac qu is iti on a nd Su st ai na bi lit y: Le ar ni ng p ra ct ic es ; c on tin uo us ed uc at io n an d tra in in g Ac qu isi tio n of n ew k no wl ed ge is ty pi ca lly a pp lie d to m od es t, in cr em en ta l im pr ov em en t t o ex ist in g pr ac tic e, a nd s up po rt fo r c on tin uo us ed uc at io n an d tra in in g is se ve re ly lim ite d an d un lik el y to b e av ai la bl e fo r t hi s PM R pr ac tic e Ke y st af f s ee k ou t o pp or tu ni tie s to a cq ui re an d in co rp or at e ne w k no w le dg e or o ut si de ex pe rti se th at s ig ni fic an tly im pr ov e ex is tin g pr ac tic e, b ut li m ite d re so ur ce s ar e av ai la bl e fo r c on tin uo us e du ca tio n an d tra in in g th at co ul d fil l g ap s in e xp er tis e fo r t hi s PM R pr ac tic e Th e ag en cy p ro ac tiv el y pr ov id es op po rtu ni tie s fo r a cc es s to k no w le dg e of le ad in g ed ge p ra ct ic e; c on tin uo us ed uc at io n an d tra in in g is a p rio rit y w ith in th e ag en cy a nd w ill be a va ila bl e to su pp or t t hi s PM R p ra ct ic e w he n ne ed ed Ta b le 1 7. T h e P ra ct ic e C M F ( co n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

78 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Le ve l 1 Le ve l 2 Le ve l 3 6. L eg al , R eg ul at or y, an d Po lic y Is su e M an ag em en t Li ab ilit y Is su es Id en tifi ed fo r t hi s PM R p ra ct ic e bu t n ot a de qu at el y ad dr es se d Id en tifi ed fo r t hi s PM R p ra ct ic e an d ad dr es se d in a m in im al ly a cc ep ta bl e m an ne r Fo rm al ly a dd re ss ed , i nc lu de d un de r ris k as se ss m en t, an d lia bi lit y pr ot ec tio n m ea su re s de ve lo pe d fo r t hi s PM R pr ac tic e In te lle ct ua l P ro pe rty Is su es Id en tifi ed fo r t hi s PM R p ra ct ic e bu t n ot a de qu at el y ad dr es se d Id en tifi ed fo r t hi s PM R p ra ct ic e an d ad dr es se d in a m in im al ly a cc ep ta bl e m an ne r Fo rm al ly a dd re ss ed , i nc lu de d un de r ris k as se ss m en t, in te lle ct ua l p ro pe rty pa rtn er sh ip s av ai la bl e, a nd m ec ha ni sm s in p la ce to m an ag e th em fo r t hi s PM R pr ac tic e Le ga l a nd R eg ul at or y C ha lle ng es Id en tifi ed fo r t hi s PM R p ra ct ic e bu t n ot a de qu at el y ad dr es se d Id en tifi ed fo r t hi s PM R p ra ct ic e in a m in im al ly ac ce pt ab le m an ne r Fo rm al ly a dd re ss ed a nd a ny is su es re la te d to th is P M R p ra ct ic e ha ve b ee n re so lve d Po lic y Is su es Th er e ar e po te nt ia l p ol ic y- le ve l co nfl ic ts re la te d to th is P M R pr ac tic e th at h av e be en id en tifi ed bu t n ot a dd re ss ed Th er e ar e no k no w n po lic y- le ve l c on fli ct s re la te d to th is P M R p ra ct ic e Th er e ar e po lic ie s in p la ce w hi ch su pp or t a dv an ci ng th is P M R p ra ct ic e 7. E xt er na l C ol la bo ra tio n In te ra ct io n w ith T ra ns po rta tio n Ag en cy a nd A ca de m ic P ee rs Th er e is re la tiv el y lit tle o r n o in te ra ct io n w ith p ee rs in re la tio n to th is P M R p ra ct ic e Th er e is a ct ive , w el l-o rg an iz ed , a nd re gu la r in te ra ct io n w ith p ee rs in re la tio n to th is P M R pr ac tic e In te ra ct io n w ith p ee rs in re la tio n to th is PM R p ra ct ic e ha s be en e xt en si ve a nd ha s le d to a c ol la bo ra tiv e, c oo rd in at ed , an d sh ar ed -ri sk a pp ro ac h C om m un ic at io n Be yo nd th e Tr an sp or ta tio n C om m un ity Li ttl e or n o in te ra ct io ns b ey on d th e tra ns po rta tio n co m m un ity in re la tio n to th is P M R p ra ct ic e Ad h oc a nd li m ite d in te ra ct io ns b ey on d th e tra ns po rta tio n co m m un ity in re la tio n to th is PM R p ra ct ic e Fo rm al c oo rd in at io n m ec ha ni sm s in -p la ce ta pp in g in to e xp er tis e an d ex pe rie nc e be yo nd th e tra ns po rta tio n co m m un ity in re la tio n to th is P M R pr ac tic e Pr iva te -S ec to r O ut so ur ci ng a nd Pa rtn er in g N o co ns id er at io n gi ve n to ou ts ou rc in g or s ha rin g co st s or m an ag in g ris k fo r t hi s PM R pr ac tic e th ro ug h pa rtn er in g w ith th e pr iva te s ec to r Pr iva te -s ec to r o ut so ur ci ng a nd p ar tn er in g co ns id er ed a nd u til iz ed s pa rin gl y or n ot a t al l f or th is P M R p ra ct ic e du e to p ro cu re m en t pr ob le m s or c on fli ct in g go al s Pr iva te s ec to r e ng ag ed in a n op tim um fa sh io n fo r t hi s PM R p ra ct ic e, th ro ug h ou ts ou rc in g ac tiv iti es p er fo rm ed m or e co st -e ffe ct ive ly a nd th ro ug h pa rtn er sh ip s in w hi ch c os ts a nd ri sk s ar e sh ar ed Ta b le 1 7. T h e P ra ct ic e C M F ( co n ti n u ed ).

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 79 Required Actions Framework (RAF) The RAF lays out a high­level action plan for advancing the emerging and innovative practices (the term “advancing” is used purposely as opposed to “implementation,” since these efforts will include a testing and evaluation phase to confirm whether expectations are met and implemen­ tation should follow). The RAF provides the justification for moving forward with an agency commitment for advancing such practices. Use of the RAF presumes that the potential value of such practices to the agency is apparent to a certain degree, although likely not completely understood, as is often the case with something that is leading edge. This is why these practices must be advanced through an iterative process that involves testing, evaluation, refinement, and retesting and reevaluation. RAF Components The RAF contains four parts: Part A, Addressing CMF Gaps. This step consists of specific actions formulated to address key gaps identified from the CMF assessment and progress the agency toward the targets established during the assessment. They include the following: • Designations of responsibilities for these actions, • Other agency units or outside parties involved or affected and how effective collaboration will be established, • Risks and potential barriers and how they might be addressed, • A schedule for initiating and completing each action, and • Estimates of identifiable costs. Part B, Agency-Specific Required Actions. These are actions required to formally incorporate a specific practice into the agency’s, unit’s, or discipline’s work program and advance the prac­ tice through applied R&D, evaluation, testing, and demonstration phases (as applicable). These actions may not necessarily fill gaps as in Part A but suggest other essential steps of planning, coordination, and execution associated with agency work program initiatives. Such additional actions will be dictated by the agency’s processes and to the particular practice being considered. For example, an agency may require that any new practice or initiative be vetted through a pre­ scribed process of formulation and evaluation, done with sufficient consistency in format and in a timeframe to facilitate periodic decisions on competing proposals for inclusion in agency programs and budgets. Alternatively, an agency may require that any R&D activity required for adopting certain PMR practices be subjected to a peer review that includes expertise from within and beyond the agency. Clearly, the RAF needs to include those steps indicated by these examples, indicate responsibilities, coordination and collaboration needed, and a schedule for initiating and completing each action. Part C, Preliminary Long-Term Benefit–Cost Assessment. At this initial stage of consideration of a new practice, the CMF has been completed; action steps have been addressed that will be required to fill key gaps in capability; and agency­specific and practice­specific “other” key steps have been added. The remaining key information needed is a preliminary, long­term benefit– cost assessment to make a go/no­go decision on whether to advance the practice. This assessment is necessarily preliminary without having advanced to the testing and evalu­ ation stage where costs and benefits could be better estimated. At this stage, the benefit–cost assess ment must draw upon the research and knowledge compiled on the specific PMR practice, including experience elsewhere, and the best and most objective estimates, even where good data

80 Strategic Issues Facing Transportation are not available. As is likely in many cases, where the new practice would supplant an existing practice, it is important to consider the incremental benefits and costs (i.e., the change in costs and the change in benefits from existing practice). Therefore, the costs and benefits attribut­ able to the emerging practice must be estimated to a level of accuracy comparable to that for the estimates for the existing practice. The preliminary benefit–cost assessment will assist in determining whether to advance a specific practice to the testing and evaluation phase. A more precise benefit–cost assessment following testing and evaluation of a proposed practice would be required to assist in determining whether, when, where, and how to implement it. Part D, Summary and Recommendation. This part summarizes the results of the CMF, and Parts A through C of the RAF, weighs the various options, and makes a recommendation on whether to advance a given PMR practice to the testing and evaluation phase. Table 18 provides a template for completion following the CMF assessment. The Go/No-Go Decision The CMF assessment of capability, in combination with the RAF action steps, should pro­ vide the information needed for the agency decision makers to make a “go/no­go” decision on whether to advance a specific PMR practice to the testing and evaluation stage. It also provides an ability to move forward quickly following a “go” decision.

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 81 Ta b le 1 8. T em p la te fo r R A F. Ac tio n Re sp on si bi lit y (P er so n an d Un it) Su pp or tin g Un its a nd Pa rt ne rs Po te nt ia l Ba rr ie rs a nd Ri sk s Ba rr ie r a nd Ri sk M iti ga tio n St ra te gy St ar t a nd Co m pl et io n Da te s Es tim at ed C os t (In iti al a nd O ng oi ng ) Pa rt A . Ad dr es s Cr iti ca l S uc ce ss Fa ct or G ap s fro m th e CM F Pa rt B . Id en tif y Ad di tio na l K ey A ct io n Ite m s fo r t he P M R Pr ac tic e Pa rt C . Pe rfo rm P re lim in ar y Ag en cy - W id e, L on g- Te rm B en efi t– Co st As se ss m en t f or th e Pr ac tic e Pa rt D . Su m m ar iz e fo r G o/ No -G o De ci si on

82 Strategic Issues Facing Transportation From the two­step process (assessing capability using the CMF) and determining required action steps using the RAF, a go/no­go recommendation for advancing a specific practice would entail one of several possible actions: 1. “No­go”—Decide not to advance the specific emerging PMR practice now because of: a. Insufficient interest, b. Insufficient capability, c. Insufficient resources, d. Inability to overcome barriers, e. Inability to mitigate risks to an acceptable level, and f. Some or all of the above. Include a discussion of the consequences and ramifications of not advancing the PMR practice. 2. “Not­now”—Continue to monitor progress with the practice development and application elsewhere, as well as all of the above factors that led to this decision, and revisit the decision when circumstances warrant. Include a discussion of the consequences and ramifications of not advancing the practice at this time and an indication of when revisiting the practice would be prudent. 3. “Slow­go”—Decide to advance the practice but for some combination of reasons, do so at an “evolutionary” pace by naturally incorporating the practice into the agency’s other PMR practices as it becomes relatively mainstreamed. Include a discussion of the consequences and ramifications of a “slow­go” decision. 4. “Go­now”—Decide to expeditiously advance the emerging practice into the agency’s PMR practices, including an expedited testing and evaluation phase, potentially in collaboration with others interested in advancing it within the transportation sector. Because the final go/no­go decision may rest with agency senior management, the CMF and the RAF should contain sufficient information to support the recommendation and be packaged and summarized according to the preferences of those making the decision. Each RAF is unique to the practice being considered and the agency’s individual context. Suggested RAF Actions Table 19 provides a set of recommended, generalized actions to help the user identify and develop the actions necessary to populate an RAF. These actions follow the organization of the CMF, with sets of several actions suggested for each CSF component. • Actions marked with a check box denote those recommended for the practitioner to take. • Actions marked with a bullet point require coordination with actions in the OIF or should be initiated at the leadership level because they pertain to organization­wide factors. • Clarifying notes are marked with an arrow.

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 83 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns 1. A w ar en es s C on te xt A w ar en es s: Le ad in g ed ge p ra ct ic es ; S ta tu s of R &D in p ro gr es s; P ro bl em s be in g ad dr es se d; A lte rn at ive ap pr oa ch es b ei ng d ev el op ed an d te st ed H ig h le ve l o f a w ar en es s an d ke en in te re st in c lo se ly fo llo w in g fu nd am en ta l a nd ap pl ie d R &D in th is a re a De ve lo p, m ai nt ai n, a nd le ve ra ge a w ar en es s of th e co nt ex t o f t he P M R pr ac tic e    T ra ck s ta te o f p ra ct ic e vi a el ec tro ni c an d pr in t m ed ia , c on fe re nc e at te nd an ce , c om m itt ee pa rti ci pa tio n, a nd p ee r d ia lo gu e    D ev el op a nd m ai nt ai n an a pp ro ac h to a ss es si ng a pp lic ab ilit y of th e pr ac tic e to e xi st in g PM R p ra ct ic es , t he ir cu rre nt p er fo rm an ce a nd e ffi ca cy , a nd e ffo rts to im pr ov e up on th em Sp ec ifi c Aw ar en es s of th e PM R P ra ct ic e: W ha t i t i s; W ha t i t d oe s; W he re it sh ou ld w or k w el l; W he re it m ig ht n ot a pp ly ; L ev el o f ef fo rt an d re so ur ce s re qu ire d (s ta ffi ng , e xp er tis e, fa ci lit ie s, eq ui pm en t, tim e, a nd b ud ge t) H av e be en c lo se ly tr ac ki ng th e ev ol ut io n of th is P M R pr ac tic e an d ex pe rie nc es in th e te st in g an d tri al s am on g ea rly a do pt er s De ve lo p an d su st ai n a te ch ni ca l u nd er st an di ng o f t he im po rt an ce o f t he P M R pr ac tic e    S ta y ab re as t o f t he p ra ct ic e’ s ap pl ic at io n to le ad in g- ed ge p ra ct ic es re le va nt to th e ag en cy ’s co nt ex t, in cl ud in g es se nt ia l fi nd in gs fr om fu nd am en ta l a nd a pp lie d R &D , w ha t pr ob le m s ar e be in g ad dr es se d, a nd w ha t a lte rn at ive a pp ro ac he s ar e be in g co nt em pl at ed an d te st ed    C om pi le in fo rm at io n on th e pr ac tic e’ s ap pl ic at io ns to h ig hw ay P M R , a s w el l a s ot he r ag en cy s er vi ce s, a ct iv iti es , a nd p ra ct ic es , a s de em ed a pp ro pr ia te    I nc lu de th e fo llo w in g co ns id er at io ns : w he re it s ho ul d w or k w el l, w he re it m ig ht n ot a pp ly, an d th e le ve l o f e ffo rt an d re so ur ce s re qu ire d (s ta ffi ng , e xp er tis e, fa ci lit ie s, e qu ip m en t, tim e, a nd b ud ge t) Ta b le 1 9. R A F s u g g es te d a ct io n s. (c o n ti n u ed o n n ex t p ag e)

84 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns 2. P er fo rm an ce Al ig nm en t w ith A ge nc y Pe rfo rm an ce G oa ls Th e pr ac tic e ad dr es se s a si gn ifi ca nt p ro bl em a nd a n ex pl ic it pe rfo rm an ce g oa l o f th e ag en cy As se ss a lig nm en t o f a ge nc y pe rfo rm an ce g oa ls w ith c an di da te o ut co m es o f t he P M R pr ac tic e    C on du ct a s ys te m at ic re vi ew o f d is ci pl in e an d ag en cy g oa ls w ith re sp ec t t o st at e- of -th e- pr ac tic e pe rfo rm an ce a nd o ut co m es o f t he p ra ct ic e    A rti cu la te w ha t p ro bl em is a dd re ss ed b y th e PM R p ra ct ic e an d w ha t e xp lic it ag en cy pe rfo rm an ce g oa l(s ) c an b e su pp or te d    D ev el op a n in iti al c om pa ris on o f h ow th e pr ac tic e he lp s m ee t t he p er fo rm an ce g oa l t o an ex te nt th at is s up er io r t o ex is tin g pr ac tic e or th at is o th er w is e un m et Pe rfo rm an ce M ea su re s Fu ll ca pa ci ty to a cc es s hi st or ic p er fo rm an ce d at a an d ap pl y m ea su re m en t pr ac tic es to d efi ne , a pp ly, a nd co m m un ic at e pe rfo rm an ce m ea su re s th at c ha ra ct er iz e pr ac tic e’ s pe rfo rm an ce in th e co nt ex t o f a ge nc y pe rfo rm an ce go al s Es ta bl is h pe rfo rm an ce m ea su re s th at in di ca te h ow th e pr ac tic e w ou ld m ee t a ge nc y pe rfo rm an ce g oa ls    I de nt ify a pp ro pr ia te m et ric s, d at a so ur ce s, a na ly tic s, a nd a pp ro ac he s to c ap tu re pe rfo rm an ce o f t he P M R p ra ct ic e w ith re sp ec t t o a di sc ip lin e, p ro gr am , o r a ct iv ity g oa ls — in cl ud in g bo th o ut pu t a nd o ut co m es    D efi ne a nd d ep lo y pr ac tic al p er fo rm an ce m ea su re s th at c an b e us ed to m ak e de ci si on s on th e ex te nt to w hi ch th e pr ac tic e is p ro gr es si ng in it s ap pl ic at io n, to m ak e co m pa ris on s w ith e xi st in g pr ac tic e, a nd u lti m at el y, to a dd re ss a ge nc y pe rfo rm an ce g oa ls    D et er m in e ho w p er fo rm an ce -re la te d in pu t d at a w ill be c ap tu re d an d an al yz ed a nd h ow ou tp ut d at a an d ou tc om es w ill be a ct ed u po n an d co m m un ic at ed , i nc lu di ng ro le s an d re sp on si bi lit ie s Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 85 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns As se ss m en t o f A nt ic ip at ed Be ne fit s an d C os ts Ag en cy a nd e xt er na l b en efi ts an d co st s ar e qu an tifi ed a nd an al yz ed o n a life -c yc le b as is , an d in pu ts , o ut pu ts , a nd ou tc om es a re w el l d efi ne d Q ua nt ify th e be ne fit s an d co st s of th e PM R pr ac tic e    U til iz e pe rfo rm an ce d at a to q ua nt ify b en efi ts a nd c os ts in te rn al to th e ag en cy (e .g ., im pr ov ed a ss et p er fo rm an ce o r l ow er c ap ita l a nd li fe -c yc le c os ts )    Q ua nt ify b en efi ts a nd c os ts e xt er na l t o th e ag en cy to th e ex te nt fe as ib le (e .g ., im pr ov ed cu st om er s at is fa ct io n or im pr ov ed re si lie nc y)    O ut lin e or e st im at e ex te rn al b en efi ts a nd c os ts w he re d at a or o ut co m es a re in su ffi ci en tly kn ow n    I nc or po ra te b en efi t– co st re su lts in to a b us in es s ca se , a s ne ce ss ar y → N ot e: T hi s ac tio n is a ls o pr op os ed a s a se pa ra te s te p in th e pr ep ar at io n of th e co m pl et e R AF to fa ci lit at e th e go /n o- go d ec is io n on a dv an ci ng th e pr ac tic e; th e co m pl et e R AF fo rm s th e ba si s of a b us in es s ca se o f t he p ra ct ic e C ha lle ng es a nd R is ks C ha lle ng es a nd ri sk s ha ve be en th or ou gh ly id en tifi ed in an e xp lic it, s ys te m at ic , r is k m an ag em en t f ra m ew or k an d cu lm in at e in w el l-d efi ne d st ra te gi es fo r s ur m ou nt in g ch al le ng es a nd m an ag in g ris ks De fin e an d an al yz e ch al le ng es a nd ri sk s as so ci at ed w ith th e pr ac tic e in a ri sk m an ag em en t f ra m ew or k    I de nt ify th e sc op e an d sc al e of th e pr ac tic e’ s ch al le ng es a nd ri sk s ba se d on a n in te rn al re vi ew o f p ee r/e xt er na l e nt ity e xp er ie nc e re la tiv e to e xi st in g ag en cy c ap ab ilit ie s (b us in es s an d te ch ni ca l p ro ce ss es , i ns tit ut io na l c on te xt , a nd e xt er na l c ol la bo ra tio n)    C on si de r c ha lle ng es a nd ri sk s id en tifi ed th ro ug h th e C M F as se ss m en t a m on g al l s ev en C SF s an d th e su gg es te d ac tio ns th ro ug ho ut th e R AF to d ev el op s tra te gi es to o ve rc om e th e ch al le ng es a nd m iti ga te th e ris ks    A rti cu la te th e fin di ng s in a fo rm al ri sk m an ag em en t f ra m ew or k an d ut iliz e fo r i ni tia l as se ss m en t a nd o ng oi ng e va lu at io n an d tra ck in g → N ot e: T hi s ac tio n is in co rp or at ed in to th e co m pl et e R AF , w hi ch s ug ge st s id en tifi ca tio n of po te nt ia l b ar rie rs a nd ri sk s an d m iti ga tio n st ra te gi es a ss oc ia te d w ith e ac h ac tio n ta ke n to ad va nc e th e PM R p ra ct ic e Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

86 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns 3. P ra ct ic e- Su pp or tiv e Sy st em s, Pr og ra m s, a nd Bu dg et s Ag en cy R es ea rc h an d D ev el op m en t Th e ag en cy h as a n ac tiv e in - ho us e an d/ or c on tra ct a pp lie d R &D p ro gr am fo cu se d on pr io rit y pr ob le m s th at h av e no t be en a de qu at el y ad dr es se d Id en tif y an d im pl em en t t he a pp ro pr ia te a pp lie d R& D ap pr oa ch to th e PM R pr ac tic e    A na ly ze th e ra ng e of p ot en tia l R &D a pp ro ac he s to fo st er th e em er gi ng P M R p ra ct ic es , in cl ud in g: in -h ou se , c ol la bo ra tiv e/ po ol ed -fu nd , c on tra ct ed , o r “ w ai t a nd s ee ” r eg ar di ng de ve lo pm en ts in o th er s ec to rs    C on si de r a ge nc y ca pa ci ty, c os ts , b en efi ts , a nd ri sk s to c om pa re p la yi ng a le ad in g ro le in ap pl ie d R &D v er su s fo llo w in g an d ap pl yi ng th e re su lts o f p ee r a ge nc ie s, th e pr iva te s ec to r (e .g . c on tra ct or s, a ut om ot ive m an uf ac tu re rs o r s up pl ie rs , e tc .), o r l ea de rs fr om o th er se ct or s (e .g . I T/ te le co m , t ec hn ol og y, m an uf ac tu rin g, e tc .)    I de nt ify a pp ro pr ia te p ar tn er s an d th ei r r ol es d ep en di ng o n th e se le ct ed R &D a pp ro ac h— pe er a ge nc ie s/ po ol ed fu nd p ro gr am p ar tic ip an ts , c on su lta nt s, u ni ve rs iti es , e tc .    D ev el op th e bu si ne ss c as e fo r p ur su in g ap pl ie d R &D , i f n ec es sa ry    D ev el op a m ul tiy ea r i m pl em en ta tio n pl an (a ge nd a, p ro bl em s ad dr es se d, o bj ec tiv es , re qu ire d re so ur ce s, e xp ec te d di sc ip lin e in te rfa ce s an d ap pl ic at io ns ) f or th e PM R p ra ct ic e’ s ap pl ie d R &D p ro gr am Ag en cy P ilo t T es tin g Th e ag en cy re gu la rly d oe s pi lo t t es tin g of in no va tiv e pr ac tic es fo cu se d on p rio rit y pr ob le m s th at h av e no t b ee n ad eq ua te ly a dd re ss ed De te rm in e th e ne ed fo r a nd s co pe o f p ilo t t es tin g as so ci at ed w ith th e PM R pr ac tic e    C on si de r w he th er th e pr ac tic e is o ne fo r w hi ch th e ag en cy w ou ld (1 ) p ro ac tiv el y le ad p ilo t te st in g, (2 ) r es po nd to o ut si de e nt iti es ’ ( su ch a s co nt ra ct or s) p ro po sa ls fo r d ev el op m en t or p ilo tin g, o r ( 3) a cc ep t t he re su lts o f o th er s’ pi lo t t es ts a s su ffi ci en t f or th e ag en cy ’s pu rp os es    I f n ec es sa ry , d ev el op a s ta ge d pl an fo r p ilo t t es tin g of th e pr ac tic e    I nc or po ra te o bj ec tiv es , r es ou rc es , l oc at io ns , p ar tn er s an d ro le s, e xp ec te d ou tc om es , an d a fo rm al iz ed e va lu at io n pr oc es s of b ot h su cc es s an d ex pl ic it id en tifi ca tio n of fa ilu re s, in cl ud in g co ns id er at io n of w he th er a dd iti on al te st in g is w ar ra nt ed o r l es so ns c an b e ap pl ie d Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 87 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns In st itu tio na l K no w le dg e M an ag em en t S ys te m An a ge nc y- w id e kn ow le dg e m an ag em en t s ys te m is us ed to c om pi le , u pd at e, an d ac ce ss p ra ct ic e- sp ec ifi c in fo rm at io n As se ss th e st at us o f a ge nc y kn ow le dg e m an ag em en t s ys te m (s ) w ith re sp ec t t o a gi ve n PM R pr ac tic e an d im pl em en t i m pr ov em en ts    I de nt ify a ll ex is tin g so ur ce s of in fo rm at io n w ith in th e ag en cy a nd a m on g re le va nt pa rtn er s re la te d to in no va tio n id en tifi ca tio n, tr ac ki ng , e va lu at io n, a nd o ut co m es , w he th er in di vi du al s, u ni ts , o r e xt er na l e nt iti es    B en ch m ar k se ve ra l m ec ha ni sm s fo r s ha rin g in fo rm at io n re la te d to e xi st in g pr ac tic es w ith in th e ag en cy •   Ev al ua te p ot en tia l, fo rm al , d is ci pl in e- sp ec ifi c kn ow le dg e m an ag em en t s ys te m s ap pr op ria te ly s ca le d to th e sc op e of th e em er gi ng P M R p ra ct ic e an d su ffi ci en t t o sh ar e an d co m m un ic at e in fo rm at io n or if a n ag en cy -w id e en ha nc em en t i s ne ce ss ar y •    O ut lin e th e es se nt ia l p ar am et er s an d pr ot oc ol s fo r t he s el ec te d kn ow le dg e m an ag em en t sy st em (d at a/ in fo rm at io n en try , o rg an iz at io n, s ha rin g, a cc es s, e tc .) re le va nt to th e PM R pr ac tic e an d co ns id er d ev el op in g a pr op os al to e xp an d ag en cy -w id e as n ec es sa ry → N ot e: R ef er en ce th e O IF Ac ce ss to F un di ng Th e op po rtu ni ty fo r m ak in g th e ca se fo r a g ive n PM R pr ac tic e is th ro ug h es ta bl is he d bu dg et ar y an d pr og ra m pr oc es se s th at e nc ou ra ge ad vo ca te s to c om pe te fo r fu nd in g Ra tio na liz e th e lik el ih oo d th at a de qu at e fu nd in g m ec ha ni sm s ca n su pp or t i nv es tm en t in th e em er gi ng /in no va tiv e PM R pr ac tic e    E st im at e th e re qu ire d in ve st m en ts a ss oc ia te d w ith th e pr ac tic e in re la tio n to p la nn ed ac tio ns in th is R AF (e .g ., R &D , t es tin g, d em on st ra tio n, d ep lo ym en t, su pp or t f un ct io ns , et c. ) a nd th ei r t im ef ra m es fo r e xe cu tio n    C on si de r p ra ct ic e- sp ec ifi c ve rs us g en er al in no va tio n ap pr oa ch es    I de nt ify th e sc al e of th e in ve st m en t a nd th e ex te nt to w hi ch th es e in ve st m en ts re qu ire su bs ta nt ia l o r d ed ic at ed fu nd in g    D et er m in e w he th er fu nd in g ca n ad eq ua te ly d er ive fr om “s pe ci al p ro je ct ” a llo ca tio ns o r “o ne -o ff” o pp or tu ni tie s, o r w he th er fo rm al , s us ta in ab le b ud ge t a nd p ro gr am p ro ce ss es a re ne ed ed to a cc om m od at e th e em er gi ng /in no va tiv e PM R p ra ct ic e, e ith er in th e ne ar te rm o r lo ng te rm Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

88 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns As si st an ce fr om S up po rt Fu nc tio ns : In fo rm at io n Te ch no lo gy , hu m an re so ur ce s, a nd pr oc ur em en t u ni ts a nd su pp or tin g sy st em s G ai ni ng a ss is ta nc e in th e fo rm of a dm in is tra tiv e an d te ch ni ca l su pp or t i s re ad ily a ch ie va bl e, ev en fo r n ew in iti at ive s En su re c oo pe ra tio n fro m s up po rt fu nc tio ns re qu ire d to a dv an ce th e pr ac tic e    I de nt ify in te rfa ce s w ith s up po rt fu nc tio na l u ni ts a nd a pp ro pr ia te s ys te m s re la te d to ad va nc in g th e PM R p ra ct ic e    I de nt ify o rg an iz at io na l b ar rie rs re la te d to c oo pe ra tio n fro m th es e su pp or t f un ct io ns a nd sy st em s, c on si de rin g pr ac tit io ne r s ta ff en ga ge m en t, an d so lic it id ea s fo r i m pr ov em en t    C re at e an a ct io n pl an fo r a dd re ss in g id en tifi ed b ar rie rs , r ec og ni zi ng th at s om e ba rri er s m ay b e a pr od uc t o f l on gs ta nd in g in st itu tio na l i ss ue s th at re qu ire s ig ni fic an t l ea de rs hi p in ve st m en t t o re so lve (s ee O rg an iz at io na l B ar rie rs b el ow )    C om m un ic at e th e pl an ’s in te nt w ith a pp ro pr ia te s up po rt fu nc tio n m an ag er s an d ob ta in th ei r b uy -in    P ay a tte nt io n to w he re to p m an ag em en t n ee ds to le ad th e w ay in in iti at in g, co m m un ic at in g th e ne ed fo r, an d au th or iz in g an y ch an ge s → N ot e: R ef er en ce th e O IF Av ai la bi lit y of F ac ilit ie s, Eq ui pm en t a nd T es t S ite s Th er e is s uf fic ie nt c ap ac ity in fa ci lit ie s, e qu ip m en t, an d te st s ite s av ai la bl e w ith in th e ag en cy o r a cc es si bl e th ro ug h ou ts ou rc in g Co nfi rm th e ne ed fo r a nd a va ila bi lit y of fa ci lit ie s, e qu ip m en t a nd te st s ite s    D et er m in e th e ne ed fo r f ac ilit ie s, e qu ip m en t, an d te st s ite s to e xa m in e th e ap pl ic at io ns an d ou tc om es o f t he P M R p ra ct ic e an d id en tif y op tio ns fo r p ro vi di ng s uc h, in -h ou se o r ou ts ou rc ed 4. In no va tio n- Fr ie nd ly C ul tu re an d O rg an iz at io n Le ad er sh ip S up po rt; C ol la bo ra tio n an d Te am w or k; R ec ep tiv ity to N ew Id ea s; D ed ic at io n to C on tin uo us Im pr ov em en t Pe rv as ive th ro ug ho ut th e ag en cy No re co m m en de d ac tio n. T hi s CS F co m po ne nt s ho ul d be a dd re ss ed w ith in th e O IF → N ot e: R ef er en ce th e O IF Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 89 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns Su pp or t f ro m In te rn al Pa rtn er s: As n ee de d to a dv an ce th e em er gi ng /in no va tiv e pr ac tic e Th er e is p ro ac tiv e, en th us ia st ic in te re st a nd su pp or t f ro m s is te r u ni ts an xi ou s to p ar tn er in ad va nc in g th is p ra ct ic e Co lla bo ra te w ith in te rn al p ar tn er s in o th er u ni ts to m ut ua lly b en efi t f ro m th e em er gi ng / in no va tiv e pr ac tic e    C on du ct e du ca tio n/ ou tre ac h ex er ci se s (e .g ., pr es en ta tio n at re gu la r m ee tin g; in vi ta tio n to re le va nt e xt er na l w eb in ar ; s pe ci fic m ee tin g ar ou nd th e in no va tio n’ s ap pl ic at io n to a n ex is tin g co lla bo ra tiv e pr oj ec t, ac tiv ity , o r a ge nc y/ un it ob je ct ive ) t o br in g to ge th er a nd in fo rm in te rn al p ar tn er s of th e pr ac tic e’ s si gn ifi ca nc e    E ns ur e th at th e ex er ci se a lig ns w ith in te rn al p ar tn er s’ ow n go al s an d re sp on si bi lit ie s    C on tin ue to b ui ld o n th e co lla bo ra tio n be gu n w ith th is a pp ro ac h an d/ or b ui ld o n ex is tin g pa rtn er in te re st b y ob ta in in g pa rti ci pa tio n fro m o th er u ni ts in th e te st in g an d de pl oy m en t of th e in no va tio n at th e ap pr op ria te ju nc tu re , a nd id ea lly w he n ot he r u ni ts w ou ld s ee n et be ne fit s fro m th e pr ac tic e’ s ap pl ic at io n to th ei r o w n go al s an d re sp on si bi lit ie s O rg an iz at io na l B ar rie rs Th er e ar e no b ar rie rs w ith in th e or ga ni za tio n to a dv an ci ng th is p ra ct ic e Id en tif y an d el im in at e or ga ni za tio na l b ar rie rs th at h in de r o r p re ve nt a dv an ci ng th e in no va tiv e/ em er gi ng p ra ct ic e    I de nt ify o rg an iz at io na l b ar rie rs to a dv an ci ng th e in no va tiv e pr ac tic e th at a re n ot o th er w is e no te d un de r S up po rt fro m In te rn al P ar tn er s an d As si st an ce fr om S up po rt Fu nc tio ns ab ov e, c on si de rin g pr ac tit io ne r s ta ff en ga ge m en t, an d so lic it id ea s fo r i m pr ov em en t •    C om pi le a nd c om m un ic at e up w ar d th e pr ac tic es a nd b en efi ts e vi de nc ed b y pe er a ge nc ie s (tr an sp or ta tio n or o th er s) th at a re b et te r o rg an iz ed fo r l ea di ng , f ac ilit at in g, e nc ou ra gi ng , o r ap pl yi ng in no va tio n •    C re at e an a ct io n pl an fo r a dd re ss in g id en tifi ed b ar rie rs , r ec og ni zi ng th at s om e ba rri er s m ay b e a pr od uc t o f l on gs ta nd in g in st itu tio na l i ss ue s th at re qu ire s ig ni fic an t l ea de rs hi p in ve st m en t t o re so lve •    C om m un ic at e th e pl an ’s in te nt w ith u ni t m an ag er s an d ob ta in th ei r b uy -in a nd s up po rt fo r ad vo ca tin g ch an ge s •   Pa y pa rti cu la r a tte nt io n to id en tif yi ng th e to p m an ag em en t r ol e in le ad in g th e wa y in in iti at in g, a ut ho riz in g, a nd c om m un ic at in g th e ra tio na le fo r n ee de d ch an ge s → N ot e: R ef er en ce th e O IF Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

90 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns R is k- R ew ar d R es po ns e Th e po te nt ia l o f f ai lu re is s ee n as a le ar ni ng e xp er ie nc e (in cl ud in g by le ad er sh ip ), an d th er e is n o he si ta nc y ab ou t a dv an ci ng th is pr ac tic e be ca us e ris ks a nd ris k m an ag em en t a re w el l un de rs to od Le ve ra ge a ge nc y ris k m an ag em en t p ro ce ss es to e ns ur e id en tifi ca tio n of th e po te nt ia l fo r f ai lu re a nd h ow to le ar n fro m th is e xp er ie nc e    B ui ld in to o th er a ct io ns re la te d to in no va tio n R &D , t es tin g, d em on st ra tio n, d ep lo ym en t, an d su pp or t f ro m o th er fu nc tio ns a p la n to a nt ic ip at e po te nt ia l a ve nu es o f f ai lu re , m iti ga tio n if po ss ib le , a nd a m et ho do lo gy to c ap tu re le ss on s le ar ne d an d ex tra ct p os iti ve ou tc om es fr om fa ilu re if it o cc ur s    I nc lu de a re co ve ry a pp ro ac h an d an tic ip at or y op tio ns to c on tin ue in no va tio n ex pl or at io n in lie u of c om pl et e ab an do nm en t    D oc um en t t he se c on si de ra tio ns in a “f ai lu re re sp on se s tra te gy ” → N ot e: C oo rd in at e w ith o th er ri sk m an ag em en t p la nn in g, in cl ud in g as a p ar t o f t he co m pl et e R AF th e id en tifi ca tio n of p ot en tia l b ar rie rs a nd ri sk s an d m iti ga tio n st ra te gi es as so ci at ed w ith e ac h ac tio n ta ke n to a dv an ce th e se le ct ed p ra ct ic e 5. In no va tio n- Su pp or tiv e St af f C ha m pi on (s ): C om bi na tio n of te ch ni ca l ex pe rti se , p as si on at e in te re st , an d ab ilit y to le ad th is in no va tio n Th er e is a c le ar c ho ic e of w ho sh ou ld le ad th is P M R p ra ct ic e on th e ba si s of te ch ni ca l ex pe rti se , l ev el o f i nt er es t a nd le ad er sh ip s ki lls , a nd o ne o r m or e ot he rs w ho c ou ld s te p in if th is p er so n w er e to le av e Se cu re a nd e m po w er a n in no va tio n ch am pi on a nd im m ed ia te te am    I de nt ify a n ex is tin g st af f i nd iv id ua l a s ch am pi on to le ad th e pr ac tic e an d pr ov id e th at pe rs on w ith th e ca pa ci ty a nd re so ur ce s (e .g ., op po rtu ni tie s to e ng ag e in a nd le ar n fro m na tio na l s ta te -o f-t he -p ra ct ic e ac tiv iti es )    I f e ffi ci en t o r n ec es sa ry , d ev el op a re cr ui tm en t a pp ro ac h to h ire s uc h a pe rs on w ith ap pr op ria te k no w le dg e, s ki lls , a nd a bi lit ie s    I de nt ify o th er k ey in di vi du al s to p ro vi de im m ed ia te s up po rt an d po si tio n fo r s uc ce ss io n → N ot e: R ef er en ce th e O IF a nd c oo rd in at e w ith a ny a ct io ns ta ke n re la te d to a d es ig na te d of fic er St af f C ap ac ity Th er e is s uf fic ie nt c ap ac ity in nu m be rs o f p eo pl e an d le ve ls of e xp er tis e av ai la bl e w ith in th e ag en cy o r a cc es si bl e th ro ug h ou ts ou rc in g to un de rta ke th e pr ac tic e M ai nt ai n ap pr op ria te s ta ff ca pa ci ty to a dv an ce th e in no va tio n    I n co m bi na tio n w ith th e ab ov e ac tio n fo r c ha m pi on (s ), id en tif y ke y st af f r ol es a nd ca pa bi lit ie s ne ce ss ar y fo r e xp lo ra tio n, d ev el op m en t, an d te st in g of th e in no va tio n    D ev el op a pp ro pr ia te k no w le dg e/ sk ills /a bi lit ie s an d po si tio n de sc rip tio ns fo r t he se in di vi du al s    I de nt ify a nd p ar tic ip at e in in du st ry p ro fe ss io na l c ap ac ity b ui ld in g ac tiv iti es g er m an e to th e PM R p ra ct ic e (e .g ., w eb in ar s, w or ks ho ps , p ee r e xc ha ng es ) → N ot e: R ef er en ce th e O IF Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 91 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns Kn ow le dg e Ac qu is iti on a nd Su st ai na bi lit y: Le ar ni ng p ra ct ic es ; C on tin uo us e du ca tio n an d tra in in g Th e ag en cy p ro ac tiv el y pr ov id es o pp or tu ni tie s fo r a cc es s to k no w le dg e of le ad in g ed ge p ra ct ic e; co nt in uo us e du ca tio n an d tra in in g is a p rio rit y w ith in th e ag en cy a nd w ill be a va ila bl e to s up po rt th is P M R p ra ct ic e w he n ne ed ed Id en tif y an d en su re a cc es s to th e ne ce ss ar y ed uc at io n an d tra in in g to a dv an ce th e PM R pr ac tic e    I de nt ify s ou rc es o f i nn ov at io n- re le va nt p ro fe ss io na l c ap ac ity b ui ld in g ac tiv iti es (t ra in in g) — as a bo ve u nd er S ta ff C ap ac ity — in cl ud in g pe er e xc ha ng es a nd d is se m in at io n of n at io na lly le d PM R p ra ct ic e or in no va tio n pi lo ts    W he re fo rm al tr ai ni ng is n ot a va ila bl e, id en tif y w he re th ird -p ar ty a ss is ta nc e, in cl ud in g FH W A, a ss oc ia tio ns , a nd u ni ve rs iti es , m ay b e ab le to p ro vi de tr ai ni ng    C om m un ic at e up w ar d th e ne ed a nd p rio rit y of th e id en tifi ed tr ai ni ng n ee ds → N ot e: R ef er en ce th e O IF 6. L eg al , R eg ul at or y, an d Po lic y Is su e M an ag em en t Li ab ilit y Is su es Fo rm al ly a dd re ss ed , i nc lu de d un de r r is k as se ss m en t a nd lia bi lit y pr ot ec tio n m ea su re s de ve lo pe d fo r t hi s PM R pr ac tic e Id en tif y po te nt ia l s ou rc es o f l ia bi lit y re la te d to th e em er gi ng /in no va tiv e pr ac tic e an d ad dr es s as a pp ro pr ia te    S ys te m at ic al ly re vi ew th e em er gi ng /in no va tiv e PM R p ra ct ic e fo r p ot en tia l s ou rc es o f lia bi lit y to th e ag en cy , s ta rti ng fr om k no w n is su es a m on g pe er s an d in c on su lta tio n w ith ap pr op ria te le ga l a dv is or s    A cq ui re a pp ro pr ia te le ga l p ro te ct io n m ea su re s    W he re n ec es sa ry , d ev el op p ra ct ic e- sp ec ifi c lia bi lit y pr ot ec tio n in st ru m en t    I nc or po ra te o ut co m es in to p ra ct ic e’ s ris k m an ag em en t f ra m ew or k In te lle ct ua l P ro pe rty Is su es Fo rm al ly a dd re ss ed , i nc lu de d un de r r is k as se ss m en t, in te lle ct ua l p ro pe rty pa rtn er sh ip s av ai la bl e, a nd m ec ha ni sm s in p la ce to m an ag e th em fo r a P M R pr ac tic e Id en tif y in te lle ct ua l p ro pe rt y is su es re la te d to th e PM R in no va tio n an d ad dr es s as ap pr op ria te    I de nt ify in te lle ct ua l p ro pe rty is su es a ss oc ia te d w ith th e em er gi ng /in no va tiv e pr ac tic e, pa rti cu la rly d ur in g th e R &D p ha se a nd w he n se ek in g pa rtn er sh ip w ith e xt er na l e nt iti es    E xp lo re p ot en tia l a rra ng em en ts w ith in te lle ct ua l p ro pe rty o w ne rs    C on su lt w ith a pp ro pr ia te le ga l a dv is or s    I de nt ify /e xe cu te a pp ro pr ia te a gr ee m en ts (N DA s, u se fe es ) t o pr ot ec t r es pe ct ive p ar tie s    I de nt ify n ee de d le ga l i ns tru m en ts    I nc or po ra te o ut co m es in to th e ris k m an ag em en t f ra m ew or k Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

92 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns Le ga l a nd R eg ul at or y C ha lle ng es Fo rm al ly a dd re ss ed a nd a ny is su es re la te d to th is p ra ct ic e ha ve b ee n re so lve d Id en tif y ot he r l eg al a nd re gu la to ry is su es re la te d to th e em er gi ng P M R pr ac tic e an d ad dr es s as a pp ro pr ia te    I de nt ify o th er le ga l a nd re gu la to ry c ha lle ng es (o th er th an li ab ilit y an d in te lle ct ua l p ro pe rty ) re la te d to th e pr ac tic e, in cl ud in g w as te , f ra ud , a bu se , c om pe tit ive p ro cu re m en t v io la tio ns , pr ic in g, O cc up at io na l S af et y an d H ea lth A dm in is tra tio n re qu ire m en ts , s ta te la bo r a nd un io n re st ric tio ns , a nd c on fid en tia lit y    R ev ie w p ee r e xp er ie nc e w ith th es e ch al le ng es re la tiv e to th e pr ac tic e’ s co nt ex t    I de nt ify a re as w he re c om pl ia nc e is a n is su e (b ar rie r)    W he re n ec es sa ry , a cc es s ap pr op ria te in te rn al a nd e xt er na l l eg al e xp er tis e to re vi ew is su es a nd id en tif y re so lu tio n    D ev el op s ta nd ar d op er at in g pr oc ed ur es o n an is su e- by -is su e ba si s    I nc or po ra te o ut co m es in to th is p ra ct ic e’ s ris k m an ag em en t f ra m ew or k Po lic y Is su es Th er e ar e po lic ie s in p la ce w hi ch s up po rt ad va nc in g th is pr ac tic e Id en tif y ag en cy p ol ic y is su es re la te d to th e em er gi ng /in no va tiv e pr ac tic e an d ad dr es s as a pp ro pr ia te    I de nt ify a ge nc y po lic ie s th at h in de r o r c on fli ct w ith a dv an ci ng th e pr ac tic e, d oc um en t op tio ns to o ve rc om e th em , a nd c om m un ic at e up w ar d to s en io r m an ag em en t    I de nt ify p ot en tia l a ge nc y po lic ie s th at w ou ld s up po rt th e pr ac tic e, m ak in g co nn ec tio ns to s er vi ce a nd a ge nc y ef fe ct ive ne ss a nd e ffi ci en cy , a nd c om m un ic at e up w ar d to s en io r m an ag em en t    I nc or po ra te o ut co m es in to p ra ct ic e’ s ris k m an ag em en t f ra m ew or k Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 93 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns 7. E xt er na l C ol la bo ra tio n In te ra ct io n w ith T ra ns po rta tio n Ag en cy a nd A ca de m ic P ee rs In te ra ct io n w ith p ee rs in re la tio n to th is p ra ct ic e ha s be en e xt en si ve a nd h as le d to a co lla bo ra tiv e, c oo rd in at ed , an d sh ar ed ri sk a pp ro ac h Co lla bo ra te a nd s ha re k no w le dg e w ith p ee rs a nd id en tif y op po rt un iti es to s ha re ri sk s as so ci at ed w ith a dv an ci ng th e pr ac tic e    I de nt ify lo gi ca l a nd e ffi ci en t a re as fo r c ol la bo ra tio n    I de nt ify a pp ro pr ia te p ee rs a nd fo ru m s th ro ug h w hi ch tr an sp or ta tio n ag en cy a nd a ca de m ic pe er s in te ra ct a nd s ha re k no w le dg e    C on si de r t he re le va nt ro le s an d ac tiv iti es o f U .S . D O T/ FH W A, A AS H TO , T R B, a ca de m ic in st itu tio ns , r eg io na l a nd lo ca l g ov er nm en t o rg an iz at io ns o r a ss oc ia tio ns , a nd in du st ry as so ci at io ns    P ar tic ip at e in e xc ha ng es a nd o pp or tu ni tie s to c ap tu re a nd s ha re p ro gr es s w ith le ad in g ed ge re se ar ch a nd d ev el op m en t, le ss on s le ar ne d, a nd p ilo t t es t r es ul ts    F oc us p ar tic ul ar ly o n op po rtu ni tie s to d ev el op a nd p ar tic ip at e in le ad -a ge nc y ris k- sh ar in g m ec ha ni sm s    I de nt ify a pp ro pr ia te (l eg al ) m ec ha ni sm s to im pr ov e pr ac tic e- re la te d di al og ue w ith p riv at e- se ct or e nt iti es C om m un ic at io n Be yo nd th e Tr an sp or ta tio n C om m un ity Fo rm al c oo rd in at io n m ec ha ni sm s in p la ce , t ap pi ng in to e xp er tis e an d ex pe rie nc e be yo nd th e tra ns po rta tio n co m m un ity in re la tio n to th is pr ac tic e Es ta bl is h ex ch an ge s be yo nd th e tra ns po rt at io n co m m un ity to c ap ita liz e on o ut si de ex pe rt is e an d m ut ua lly b en efi t f ro m a dv an ci ng th e pr ac tic e    U si ng a w ar en es s an d kn ow le dg e m an ag em en t t oo ls (a s de ve lo pe d un de r o th er C SF s) , id en tif y th e ke y no n- tra ns po rta tio n se ct or s th at a re in vo lve d w ith th e pr ac tic e (R &D , ev al ua tio n, a pp lic at io n, m ar ke tin g)    C ha ra ct er iz e th ei r r ol es a nd p ot en tia l r el at io ns hi ps w ith o r i nfl ue nc e on th e ag en cy (e .g ., le ad d ev el op er /u se r, m an uf ac tu re r/p ro vi de r) or th e tra ns po rta tio n se ct or /h ig hw ay P M R fie ld m or e ge ne ra lly a nd a pp ro pr ia te m ec ha ni sm s fo r b ui ld in g re la tio ns hi ps    I de nt ify s pe ci fic c ol la bo ra tiv e an d kn ow le dg e ex ch an ge o pp or tu ni tie s/ ve nu es w ith k ey pl ay er s in o th er s ec to rs in w hi ch g oa ls in a pp ly in g th e PM R p ra ct ic e m ay o ve rla p, a nd av en ue s th ro ug h w hi ch c oo rd in at io n co ul d ov er co m e ba rri er s to im pl em en ta tio n Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

94 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns Pr iva te -S ec to r O ut so ur ci ng an d Pa rtn er in g Pr iva te s ec to r e ng ag ed in an o pt im um fa sh io n fo r t hi s pr ac tic e, th ro ug h ou ts ou rc in g ac tiv iti es p er fo rm ed m or e co st -e ffe ct ive ly a nd th ro ug h pa rtn er sh ip s in w hi ch c os ts an d ris ks a re s ha re d En ga ge th e pr iv at e se ct or th ro ug h ou ts ou rc in g or p ar tn er in g in a m an ne r t ha t r ed uc es co st s an d/ or s ha re s ris k    R ev ie w e xi st in g ag en cy p ol ic ie s, le ga l c on st ra in ts , a nd c on tra ct ua l m ec ha ni sm s fo r pr iva te -s ec to r o ut so ur ci ng a nd p ar tn er in g w ith re sp ec t t o th e pr ac tic e    I de nt ify th e ba rri er s to e ffe ct ive p ar tn er sh ip s (e .g ., le ga l, fin an ci al , c on tra ct ua l, co m pe tit ive ), w he re a nd h ow th ey h av e be en o ve rc om e by p ee rs , a nd a pp ro pr ia te m ec ha ni sm fo r t he s pe ci fic p ra ct ic e    I nc or po ra te a na ly si s in to th e bu si ne ss c as e de ve lo pe d as a p ar t o f t he b en efi t– co st as se ss m en t o f t he p ra ct ic e (s ee P er fo rm an ce ) Ta b le 1 9. R A F s u g g es te d a ct io n s (c o n ti n u ed ).

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 95 Fostering Emerging/Innovative Practices within the Organization The previous section focused on a practitioner­oriented assessment of the capabilities and actions required to decide on whether and how to advance a particular emerging PMR practice using the CMF and the RAF. There is another somewhat less specific capability assessment that can be done at either the agency­wide level or for a single organizational unit that assesses the capability to foster such practice in general. At the enterprise level this may be a first order of business before delving into specific discipline­focused emerging/innovative practices to gauge how well the organization does in fostering continuous improvement, a learning environment, openness to new ways of doing business, a desire to move toward the leading edge, and an interest in advancing such PMR practice. At the practitioner level working within an individual organizational unit, this may also be a first order of business for similar reasons, or it may arise in response to a disappointing CMF assessment. This broader­based capability assessment can be done with a second type of CMF tool called the Organization CMF. This tool is as applicable to individual units where discipline manage­ ment and technical expertise reside as it is to the entire enterprise or specific parts of the orga­ nization where the CEO and other senior managers may be interested in knowing how well they are cultivating and encouraging innovative practices across the entire agency. Organization Capability Maturity Framework—for Practitioners The Organization CMF can assist the practitioner in identifying the capabilities of parts of the agency with which they are most familiar and that are critical to fostering innovative practices within the practitioner’s areas of expertise and interest. The purpose of the Organization CMF is to encourage a top­level, self­assessment of the degree to which emerging/innovative practices are fostered throughout the enterprise. Where gaps are revealed, leaders may or may not decide to address them as a matter of priority. While the domains of practitioners are obviously more narrowly focused than among leaders, there is no less of a professional obligation for practitioners to ask themselves the same questions about whether and to what extent innovative practices are fostered in their discipline areas. Discipline and technical managers are encouraged to apply the Organization CMF to their areas of respon­ sibility and to make a conscious choice, just as leaders must, on whether and to what degree they will accept the responsibility. The same basic principles to conducting an assessment and interpreting its outcome described for the Practice CMF apply to the Organization CMF. Who Leads the Assessment? For leadership, the assessment can be conducted individually or collaboratively among a group of senior managers. The assessment should be considered early in the term of new leaders and may be revisited in conjunction with updates to organization­wide strategic plans. For practitioners, the assessment is led by discipline managers or technical practitioners inter­ ested in determining the capability of one or more specific units or disciplines to foster innova­ tive practices in general.

96 Strategic Issues Facing Transportation How Is the Assessment Conducted? The assessment process is the same as for the emerging/innovative PMR Practice CMF, except that the evaluation is simplified by assessing capability in terms of the seven CSFs at high levels rather than examining their respective components. The criteria for each level within a CSF pertain to fostering continuous improvement in advancing emerging/innovative practices gen­ erally, without a focus on any one specific PMR practice. The three levels of capability reflect the following characterizations: • Level 1: The agency, unit, or discipline generally has not considered the CSF with respect to fostering innovative practices. • Level 2: The agency, unit, or discipline has been considering the CSF with respect to foster­ ing innovative practices, may have plans in place to develop an approach to provide the CSF capability, and may have begun to implement the approach. • Level 3: The agency, unit, or discipline has developed an approach to provide the CSF capabil­ ity and it has been largely implemented. What Is the Assessment Outcome? As with the Practice CMF assessment, the outcome represents gaps in capability between current agency (or unit) practice and a perceived target level. Suggested actions to address those gaps are made in the OIF. The Organization CMF Table 20 presents the Organization CMF. Organization Improvement Framework (OIF) The OIF should contain at a minimum a description of the agency’s (or unit’s) existing prac­ tices and capabilities with respect to the CSFs, a description of gaps identified from the Organiza­ tion CMF assessment, criteria and performance metrics characterizing the identified target level, and actions to address the gaps and achieve the targets. This guide provides suggested actions by CSF in Table 21 as the key components of the OIF. The implementation details for carrying out the selected actions are left to the agency or user’s discretion.

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 97 Cr iti ca l S uc ce ss Fa ct or Le ve l 1 Le ve l 2 Le ve l 3 1. A w ar en es s • Li ttl e or n o ef fo rt at a n or ga ni za tio na l l ev el to fo st er in te re st a nd a w ar en es s in le ad in g ed ge / in no va tiv e pr ac tic es • To th e ex te nt th at in te re st a nd a w ar en es s in le ad in g ed ge /in no va tiv e pr ac tic es e xi st , b ot h ar e hi gh ly d ep en de nt o n in di vi du al in iti at ive a m on g m ot iva te d st af f • Ac tiv iti es to fo st er in te re st in le ad in g ed ge / in no va tiv e pr ac tic es a t a n or ga ni za tio na l l ev el a re sp or ad ic a nd in co ns is te nt • Ke y st af f i n so m e ag en cy u ni ts a re e nc ou ra ge d to k ee p up w ith le ad in g ed ge /in no va tiv e pr ac tic es (c om m itt ee s, c on fe re nc es , e xt er na l c on ta ct s) bu t s uc h en co ur ag em en t i s sp or ad ic a nd in co ns is te nt , a nd h ig hl y de pe nd en t o n in di vi du al un it m an ag er s • Sy st em at ic , o rg an iz at io n- w id e em ph as is o n su st ai ni ng a h ig h le ve l o f a w ar en es s an d ke en in te re st in le ad in g ed ge /in no va tiv e pr ac tic es • U ni t m an ag er s ar e ev al ua te d on w he th er an d ho w th ey e nc ou ra ge te ch ni ca l s ta ff to st ay a br ea st o f d ev el op m en ts in th e st at e of th e pr ac tic e an d in no va tiv e pr ac tic es in th ei r di sc ip lin e ar ea s 2. P er fo rm an ce • Li ttl e or n o or ga ni za tio n- w id e em ph as is o n th e us e of p er fo rm an ce m ea su re s al ig ne d w ith m ea su ra bl e ag en cy g oa ls (b ey on d m ee tin g le gi sl at ed o r r eg ul at or y re qu ire m en ts ) t ha t su gg es t h ow th e go al s m ig ht b e m et th ro ug h in no va tio n • N o ac ce pt ed a ge nc y- w id e pr oc es s fo r be nc hm ar ki ng b es t p ra ct ic es o r e va lu at in g be ne fit s an d co st s as so ci at ed w ith p er fo rm an ce - en ha nc in g an d in no va tiv e pr ac tic es . W he n a be ne fit –c os t a ss es sm en t i s do ne , m uc h of it is qu al ita tiv e an d im pl ic it • G en er al , l ar ge ly in tu iti ve a nd s ub je ct ive un de rs ta nd in g of th e ch al le ng es a nd ri sk s as so ci at ed w ith p er fo rm an ce -e nh an ci ng a nd in no va tiv e pr ac tic es • Pe rfo rm an ce m ea su re m en t ( ov er a nd a bo ve m ee tin g m in im um re qu ire m en ts ) t o as se ss pr og re ss to w ar d ac hi ev in g ag en cy g oa ls is en co ur ag ed , b ut p er fo rm an ce d at a ar e no t em pl oy ed re gu la rly to im pr ov e pr oc es se s on a co nt in ui ng b as is , b en ch m ar k be st p ra ct ic es , or s ys te m at ic al ly re la te to in no va tiv e pr ac tic e po te nt ia l. W he re it is a pp lie d, p er fo rm an ce m ea su re m en t m ay m ot iva te in te re st in in no va tiv e pr ac tic es w he n sh or tc om in gs a re a pp ar en t • Ag en cy c os ts a nd b en efi ts a ss oc ia te d w ith in no va tio n ar e ty pi ca lly q ua nt ifi ed a nd a na ly ze d, bu t t he re is n o ge ne ra lly a cc ep te d m et ho do lo gy an d on ly li m ite d re co gn iti on o f e xt er na l b en efi ts an d co st s • C ha lle ng es a nd ri sk s as so ci at ed w ith in no va tiv e pr ac tic es a re ty pi ca lly a na ly ze d as a m ix o f in tu iti ve a nd s ub je ct ive a ss es sm en ts , a s w el l a s us in g so m e ex pl ic it, s ys te m at ic ri sk m an ag em en t. H ow ev er , p ra ct ic es fo r s ur m ou nt in g ch al le ng es an d m an ag in g ris ks a re n ot c on si st en tly w el l- de fin ed • Sy st em at ic p er fo rm an ce m ea su re m en t u si ng co ns is te nt m ea su re s, d efi ni tio ns a nd d at a, a nd fo cu se d on a ge nc y- w id e pe rfo rm an ce g oa ls is a n es ta bl is he d pr ac tic e th ro ug ho ut th e or ga ni za tio n. Th er e is a s tru ct ur ed , p er io di c, a ge nc y- w id e pe rfo rm an ce e va lu at io n pr oc es s us ed to de te rm in e th e ne ed fo r e nh an ce d pr ac tic es a nd in no va tio n • A sy st em at ic , a ge nc y- w id e ap pr oa ch is ta ke n to e va lu at e be ne fit s an d co st s as so ci at ed w ith in no va tiv e pr ac tic es , c on si de rin g fa ct or s bo th in te rn al a nd e xt er na l t o th e ag en cy , a nd th at a re qu an tifi ed a nd a na ly ze d on a li fe -c yc le b as is • C ha lle ng es a nd ri sk s as so ci at ed w ith in no va tiv e pr ac tic es a re a na ly ze d by u si ng a n ex pl ic it, sy st em at ic ri sk m an ag em en t f ra m ew or k th at c ul m in at es in w el l-d efi ne d pr ac tic es fo r su rm ou nt in g ch al le ng es a nd m an ag in g ris ks Ta b le 2 0. T h e O rg an iz at io n C M F. (c o n ti n u ed o n n ex t p ag e)

98 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Le ve l 1 Le ve l 2 Le ve l 3 3. P ra ct ic e- Su pp or tiv e Sy st em s, Pr og ra m s, a nd Bu dg et s • Ag en cy la ck s ro bu st , s up po rti ve s ys te m s an d pr og ra m s to fo st er in no va tiv e pr ac tic es , in cl ud in g pa rti ci pa tio n in a pp lie d re se ar ch an d de ve lo pm en t, pi lo t t es tin g, k no w le dg e m an ag em en t, an d ab ilit y to re ad ily a cc es s fa ci lit ie s, e qu ip m en t, or te st s ite s as so ci at ed w ith th e pr ac tic e • Ac ce ss to fu nd in g fo r p ra ct ic e is a d ho c an d ill- de fin ed a nd la ck s an e st ab lis he d bu dg et ar y pr oc es s or p ro gr am • Ad m in is tra tiv e an d te ch ni ca l s up po rt fo r n ew in iti at ive s an d in no va tiv e pr ac tic es is n ot re ad ily av ai la bl e • Ag en cy h as id en tifi ed th e ne ed fo r a nd is at te m pt in g to d ev el op s up po rti ve s ys te m s an d pr og ra m s to fo st er in no va tiv e pr ac tic es (e .g ., ap pl ie d re se ar ch a nd d ev el op m en t, pi lo t t es tin g, kn ow le dg e m an ag em en t, et c. ) • G en er al ly, n o es ta bl is he d bu dg et ar y pr oc es s or p ro gr am fo r f un di ng in no va tiv e pr ac tic es , b ut “s pe ci al p ro je ct s” o ut si de o f r eg ul ar p ro ce ss es ar e fe as ib le • Ad m in is tra tiv e an d te ch ni ca l s up po rt fo r n ew in iti at ive s is a ch ie va bl e, th ou gh a t t im es re qu ire s se ni or m an ag em en t i nt er ve nt io n • Ag en cy h as fo rm al p ro gr am in p la ce s up po rte d by n ec es sa ry s ys te m s an d fu nc tio ns , i nc lu di ng su st ai na bl e ap pl ie d re se ar ch a nd d ev el op m en t ac tiv ity , p ro ce ss es fo r p ilo t t es tin g in cl ud in g ac ce ss to fa ci lit ie s, e qu ip m en t, or te st s ite s, a nd an in st itu tio na l k no w le dg e m an ag em en t s ys te m • Es ta bl is he d bu dg et ar y an d pr og ra m p ro ce ss es en co ur ag e ad vo ca te s of in no va tiv e pr ac tic es to co m pe te fo r f un di ng • Ad m in is tra tiv e an d te ch ni ca l s up po rt fo r n ew in iti at ive s is re ad ily a va ila bl e an d pr ov id ed pr oa ct ive ly 4. F rie nd ly C ul tu re a nd O rg an iz at io n To w ar d In no va tiv e Pr ac tic es • Li ttl e ev id en ce o f s ig ni fic an t s en io r m an ag em en t un de rs ta nd in g of th e va lu e of o r s up po rt fo r in no va tiv e pr ac tic es . S en io r m an ag em en t is s tro ng ly c om m itt ed to s up po rti ng e xi st in g pr og ra m s us in g cu rre nt p ra ct ic es a nd is re si st an t to c ha ng e le ga cy a pp ro ac he s, s ys te m s, c rit er ia , an d re la tio ns hi ps a m on g un its • Ab se nc e of a s tro ng c ul tu re w he re s ta ff ar e re ce pt ive to n ew id ea s an d co lla bo ra tio n an d te am w or k ro ut in el y fa ci lit at e im pr ov em en ts to ex is tin g pr ac tic es • O rg an iz at io na l b ar rie rs , s uc h as s to ve p ip ed or b lu rre d lin es o f u ni t a nd in di vi du al a ut ho rit y, st ric t c ha in -o f-c om m an d or u nc le ar li ne s of co m m un ic at io n, a nd n on -p ro du ct ive c om pe tit ive re la tio ns hi ps a m on g un its , i nh ib it in no va tiv e pr ac tic es • Se ni or m an ag em en t p ro je ct s a ris k- av er se po st ur e to w ar d in no va tio n w ith th e ge ne ra lly ac ce pt ed n ot io n th at fa ilu re is n ot to le ra te d • Se ni or m an ag em en t i s ca ut io us ly s up po rti ve o f in no va tiv e pr ac tic es • Si gn ifi ca nt n um be rs o f s ta ff ar e re ce pt ive to ne w id ea s, a lth ou gh th is a tti tu de v ar ie s by u ni t an d te nu re . C ol la bo ra tio n an d te am w or k to w ar d im pr ov ed p ra ct ic es o cc ur in s pe ci fic a re as b ut ar e no t y et th e ag en cy -w id e no rm • O rg an iz at io na l b ar rie rs to in no va tiv e pr ac tic es ar e id en tifi ed a nd a dd re ss ed c as e- by -c as e, w ith m ixe d re su lts • Ag en cy is s om ew ha t r is k- to le ra nt a nd w illi ng to ac ce pt th e po ss ib ilit y of fa ilu re w he n pu rs ui ng in no va tiv e pr ac tic es , a lth ou gh th e ne ga tiv e as pe ct s as so ci at ed w ith fa ilu re te nd to b e pe rc ei ve d m or e st ro ng ly th an th e re de em in g va lu e of g ai ni ng le ar ni ng e xp er ie nc e • Se ni or m an ag em en t c on si st en tly c ha m pi on s co nt in uo us im pr ov em en t a nd in no va tiv e pr ac tic es ac ro ss a ge nc y bu si ne ss p ra ct ic es • Pe rv as ive le ar ni ng c ul tu re w he re s ta ff ar e ex pe ct ed to b e, a nd ty pi ca lly a re , r ec ep tiv e to n ew id ea s, s ee k te ch ni ca l t ra in in g, a nd ro ut in el y co lla bo ra te o n hi gh ly c on se qu en tia l im pr ov em en ts to e xi st in g pr ac tic e • Sy st em ic o rg an iz at io na l b ar rie rs to in no va tiv e pr ac tic es a re m in im al , t w o- w ay li ne s of co m m un ic at io n ar e op en , a nd th e oc ca si on al ch al le ng e th at a ris es is d ea lt w ith q ui ck ly a nd ju di ci ou sl y • Ag en cy ’s ro bu st ri sk m an ag em en t f ra m ew or k re co gn iz es th e po te nt ia l o f i nn ov at ive p ra ct ic es ’ fa ilu re , r ea di ly a cc ep ts it a s a le ar ni ng ex pe rie nc e, a nd v is ib ly re co gn iz es a nd re w ar ds su pp or te rs o f i nn ov at ive p ra ct ic es Ta b le 2 0. T h e O rg an iz at io n C M F ( co n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 99 Cr iti ca l S uc ce ss Fa ct or Le ve l 1 Le ve l 2 Le ve l 3 5. In no va tio n- Su pp or tiv e St af f • Ac qu is iti on o f n ew k no w le dg e is ty pi ca lly th e re su lt of m od es t, in cr em en ta l i m pr ov em en t t o ex is tin g pr ac tic e • Su pp or t f or c on tin uo us e du ca tio n an d tra in in g th at m ig ht s tim ul at e in te re st in in no va tiv e pr ac tic es is s ev er el y lim ite d or u na va ila bl e • St af f c ap ac ity a nd te ch ni ca l e xp er tis e is st re tc he d th in , a nd c om m itt ed to s up po rti ng ex is tin g pr og ra m s us in g cu rre nt p ra ct ic es , w ith li ttl e or n o tim e to in ve st in le ad in g ed ge / in no va tiv e pr ac tic es • R ec ru itm en t a nd re te nt io n de ci si on s ar e ba se d on c an di da te s’ pr of es si on al k no w le dg e re la te d to e xi st in g pr ac tic es ra th er th an a re as th at m ay su pp or t i nn ov at ive p ra ct ic es • So m e, b ut n ot a ll ke y st af f, pr oa ct ive ly s ee k op po rtu ni tie s to a cq ui re a nd in co rp or at e ne w kn ow le dg e th at c an s ig ni fic an tly im pr ov e ex is tin g pr ac tic e • C on tin uo us e du ca tio n an d tra in in g op po rtu ni tie s to fo st er in no va tiv e pr ac tic es h av e be en id en tifi ed , b ut li m ite d re so ur ce s ca n m ak e it di ffi cu lt to a cc es s th em • St af f c ap ac ity a nd te ch ni ca l e xp er tis e ne ed ed to s up po rt in no va tiv e pr ac tic es , e ith er in -h ou se or a cc es si bl e th ro ug h ou ts ou rc in g, a re id en tifi ed an d ad dr es se d in a n ad h oc m an ne r • N ew h ire s po ss es si ng s ki lls a nd in te re st in le ad in g ed ge p ra ct ic es a nd a pp ly in g in no va tio n ar e of te n pr io rit iz ed b ut m ay b e di ffi cu lt to re cr ui t • St af f a re e xp ec te d to , a nd th e m aj or ity d o, pr oa ct ive ly s ee k op po rtu ni tie s to a cc es s ne w kn ow le dg e th at c an a dv an ce e xi st in g pr ac tic e to w ar d th e le ad in g ed ge • C on tin uo us e du ca tio n an d tra in in g op po rtu ni tie s to fo st er in no va tio n ar e tre at ed a s hi gh p rio rit ie s an d re ad ily a cc es si bl e to s ta ff • Su ffi ci en t s ta ff ca pa ci ty a nd te ch ni ca l e xp er tis e to s up po rt in no va tiv e pr ac tic es c an g en er al ly be a ss em bl ed , e ith er in -h ou se o r t hr ou gh ou ts ou rc in g or p ar tn er in g • Ag en cy p ro ac tiv el y se ek s an d cu lti va te s st af f th at p os se ss th e de si re a nd k no w le dg e to a pp ly le ad in g ed ge /in no va tiv e pr ac tic es to th ei r r ol es an d re sp on si bi lit ie s; a ge nc y’s re pu ta tio n as an in no va tiv e in st itu tio n he lp s to a ttr ac t t he se in di vi du al s 6. L eg al , R eg ul at or y an d Po lic y Is su e M an ag em en t • Le ga l a nd re gu la to ry is su es th at m ay im pe de in no va tiv e pr ac tic es (l ia bi lit y, in te lle ct ua l p ro pe rty is su es , l ow -b id p ro cu re m en ts ) a re a s ig ni fic an t co nc er n of a ge nc y le ga l s ta ff. R es ou rc es to en ga ge o ut si de c ou ns el o r s ee k su cc es sf ul p ee r ex pe rie nc e ne ed ed to a dd re ss th es e pr ob le m s ar e no t a va ila bl e • Ag en cy -w id e or e xt er na lly im po se d go ve rn m en t- w id e po lic y le ve l i m pe di m en ts (i n ar ea s su ch as in fo rm at io n te ch no lo gy , h um an re so ur ce s, ou ts ou rc in g, a nd o ut -o f-s ta te tr av el ) a re in te rp re te d as in su rm ou nt ab le b ar rie rs to ad va nc in g in no va tiv e pr ac tic es • Le ga l a nd re gu la to ry is su es a ss oc ia te d w ith in no va tio n (li ab ilit y, in te lle ct ua l p ro pe rty is su es , lo w -b id p ro cu re m en ts ) a re a dd re ss ed b y re co ur se b y pe er a ge nc y le ga l s ta ff or o ut si de co un se l a nd s up po rte d by a ge nc y se ni or m an ag em en t • Ag en cy -w id e or e xt er na lly im po se d go ve rn m en t- w id e po lic y le ve l i m pe di m en ts o fte n ad d tim e an d fru st ra tio n to th e pr oc es s of a dv an ci ng in no va tiv e pr ac tic es , b ut e ve nt ua lly g et re so lve d, po te nt ia lly w ith th e in te rv en tio n of a ge nc y se ni or m an ag em en t • Le ga l a nd re gu la to ry is su es a ss oc ia te d w ith in no va tiv e pr ac tic es a re fo rm al ly a ss es se d as ris ks a nd a dd re ss ed b y be st a va ila bl e le ga l ad vi ce , w ith s up po rti ve in te rv en tio n fro m a ge nc y se ni or m an ag em en t w he n ne ce ss ar y • Po lic ie s an d pr oc es se s in p la ce to a dv an ce in no va tiv e pr ac tic es p ro vi de th e ba si s to ch al le ng e, o r s ee k sp ec ia l e xc ep tio ns to , o th er po te nt ia l a ge nc y or e xt er na l p ol ic ie s th at b ec om e im pe di m en ts , w ith s up po rti ve in te rv en tio n fro m ag en cy s en io r m an ag em en t w he n ne ce ss ar y Ta b le 2 0. T h e O rg an iz at io n C M F ( co n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

100 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Le ve l 1 Le ve l 2 Le ve l 3 7. E xt er na l C ol la bo ra tio n • In te ra ct io n w ith tr an sp or ta tio n ag en cy a nd ac ad em ic p ee rs re la te d to le ad in g- ed ge / in no va tiv e pr ac tic es is li m ite d an d ba se d on in di vi du al in te re st s an d in iti at ive • Ex po su re to le ad in g- ed ge p ra ct ic es a nd in no va tio n th ro ug h in te ra ct io n w ith in du st ry as so ci at io ns a nd te ch ni ca l g ro up s is n ei th er en co ur ag ed n or s ys te m at ic • In te ra ct io n w ith n on -tr an sp or ta tio n pu bl ic ag en ci es , p riv at e en tit ie s, o r o rg an iz at io ns / in st itu tio ns w he re in no va tio n is d ev el op in g an d th er e is o pp or tu ni ty to a pp ly o ut co m es to th e ag en cy ’s pr ac tic es , i s ve ry li m ite d or n on ex is te nt • Li ttl e to n o co ns id er at io n is g ive n to o ut so ur ci ng , sh ar in g co st s or m an ag in g ris k as so ci at ed w ith in no va tio n by p ar tn er in g w ith p ee r p ub lic ag en ci es o r t he p riv at e se ct or • In te ra ct io n w ith tr an sp or ta tio n ag en cy a nd ac ad em ic p ee rs to e xc ha ng e in fo rm at io n an d ex pe rie nc e on le ad in g- ed ge p ra ct ic es am on g te ch ni ca l s ta ff oc cu rs fr eq ue nt ly b ut is in co ns is te nt a cr os s ag en cy u ni ts a nd d is ci pl in es • In te ra ct io n w ith p ee rs a nd e xp os ur e to le ad in g- ed ge /in no va tiv e pr ac tic es th ro ug h in du st ry as so ci at io ns a nd te ch ni ca l g ro up s oc cu rs sp or ad ic al ly, o fte n im pe de d by re st ric tio ns o n tra ve l a nd ti m e al lo ca tio n • In te ra ct io n w ith n on -tr an sp or ta tio n pu bl ic ag en ci es , p riv at e en tit ie s, o r o rg an iz at io ns / in st itu tio ns w he re in no va tiv e pr ac tic es a re de ve lo pi ng a nd th er e is o pp or tu ni ty to a pp ly ou tc om es to th e ag en cy ’s pr ac tic es , o cc ur s oc ca si on al ly b ut is a d ho c • Ba rri er s to p ar tn er sh ip s w ith th e pr iva te -s ec to r, su pp or tiv e of in no va tiv e pr ac tic es (p ro cu re m en t, co nfl ic t o f i nt er es t, in te lle ct ua l p ro pe rty , m ai nt en an ce o f c om pe tit io n) a re li m iti ng b ut a re st ar tin g to b e ov er co m e in p ar t f ro m a pp lic ab le pe er e xp er ie nc e; s im ila r a rra ng em en ts w ith pe er p ub lic a ge nc ie s ar e co ns id er ed to s ha re re so ur ce s, ri sk s, a nd e xp er ie nc e • In te ra ct io n w ith tr an sp or ta tio n ag en cy a nd ac ad em ic p ee rs to e xc ha ng e in fo rm at io n an d ex pe rie nc e on le ad in g- ed ge p ra ct ic es am on g te ch ni ca l s ta ff is e xt en si ve a nd fo rm al ly su pp or te d ac ro ss th e ag en cy • Ke y st af f w ho h av e a de m on st ra te d in te re st an d le ve l o f c om pe te nc y an d ex pe rie nc e ar e en co ur ag ed a nd s up po rte d to p ar tic ip at e in in du st ry a ss oc ia tio ns a nd te ch ni ca l g ro up s w ith an e m ph as is o n ta pp in g in to le ad in g- ed ge / in no va tiv e pr ac tic es th at m ay a pp ly to th e ag en cy • In te ra ct io n w ith n on -tr an sp or ta tio n pu bl ic ag en ci es , p riv at e en tit ie s, o r o rg an iz at io ns / in st itu tio ns w he re in no va tiv e pr ac tic es a re de ve lo pi ng a nd th er e is o pp or tu ni ty to a pp ly ou tc om es to th e ag en cy ’s pr ac tic es ta ke s pl ac e re gu la rly a nd is fo rm al ly e nc ou ra ge d th ro ug h sp ec ia lly a rra ng ed e xc ha ng es o f i de as a nd ex pe rie nc e • Pr oc ur em en t, co nt ra ct in g, a nd p ar tn er sh ip m ec ha ni sm s ar e in p la ce to fa ci lit at e en ga ge m en t w ith p riv at e- se ct or o r p ee r pu bl ic a ge nc ie s in re so ur ce a nd ri sk -s ha rin g ap pr oa ch es th at a dv an ce in no va tiv e pr ac tic es Ta b le 2 0. T h e O rg an iz at io n C M F ( co n ti n u ed ).

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 101 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns 1. A w ar en es s  C on te xt A w ar en es s: Le ad in g- ed ge pr ac tic es St at us o f R &D in pr og re ss Pr ob le m s be in g ad dr es se d Al te rn at ive ap pr oa ch es b ei ng de ve lo pe d an d te st ed • Sy st em at ic , o rg an iz at io n- w id e em ph as is o n su st ai ni ng a h ig h le ve l o f a w ar en es s an d ke en in te re st in le ad in g- ed ge /in no va tiv e pr ac tic es • U ni t m an ag er s ar e ev al ua te d on w he th er a nd h ow th ey e nc ou ra ge te ch ni ca l s ta ff to s ta y ab re as t of d ev el op m en ts in th e st at e of th e pr ac tic e an d in no va tiv e pr ac tic es in th ei r d is ci pl in e ar ea s    D ev el op a fo rm al iz ed p ro gr am to fo st er s ta ff aw ar en es s an d un de rs ta nd in g of th e dr ive rs o f c ha ng e an d le ad in g- ed ge /in no va tiv e pr ac tic es , p ot en tia lly in co rp or at in g th e fo llo w in g ac tiv iti es : o Tr ac ki ng a nd g au gi ng th e ef fe ct s or in flu en ce s of lo ng -te rm d riv er s of ch an ge a nd re su lti ng fu tu re s ce na rio s, s uc h as th os e id en tifi ed in th is gu id e (s ee : T he F ut ur e C on te xt ) o U nd er st an di ng th e PM R im pl ic at io ns o f t he d riv er s an d po te nt ia l f ut ur e sc en ar io s o G ai ni ng fa m ilia rit y w ith e ss en tia l fi nd in gs fr om fu nd am en ta l a nd a pp lie d R &D , w ha t p ro bl em s ar e be in g ad dr es se d, a nd w ha t a lte rn at ive ap pr oa ch es a re b ei ng c on te m pl at ed a nd te st ed o In ce nt iv iz in g un it m an ag er s to e nc ou ra ge te ch ni ca l s ta ff to s ta y ab re as t of d ev el op m en ts in th e st at e of th e pr ac tic e an d in no va tiv e pr ac tic es in th ei r d is ci pl in e ar ea s o Pa rti ci pa tin g in p ee r g ro up s an d re gi on al a nd n at io na l f or um s re la te d to in no va tiv e pr ac tic es o f g re at es t i nt er es t    I ni tia te a n in te rn al “a w ar en es s ve hi cl e” (e .g ., w eb si te , n ew sl et te r) fo r in no va tiv e pr ac tic es    E st ab lis h an a ge nc y po si tio n ch ar ge d w ith m an ag in g in no va tiv e pr ac tic es an d te ch no lo gi ca l c ha ng e, in iti at in g ef fo rts to e xp lo re n ew a pp ro ac he s, te ch no lo gi es , t oo ls , m at er ia ls , e tc . a nd s ol ic iti ng th e sa m e fro m o th er s → N ot e: T he in di vi du al in th is p os iti on is re co m m en de d to le ad o r f ac ilit at e a nu m be r o f t he a ct io ns s ug ge st ed in th e ot he r C SF s Ta b le 2 1. O rg an iz at io n im p ro ve m en t fr am ew o rk s u g g es te d a ct io n s. (c o n ti n u ed o n n ex t p ag e)

102 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns 2. P er fo rm an ce  A lig nm en t w ith A ge nc y Pe rfo rm an ce G oa ls  P er fo rm an ce M ea su re s  A ss es sm en t o f An tic ip at ed B en efi ts an d C os ts  C ha lle ng es a nd R is ks • Sy st em at ic p er fo rm an ce m ea su re m en t u si ng co ns is te nt m ea su re s, d efi ni tio ns a nd d at a, a nd fo cu se d on a ge nc y- w id e pe rfo rm an ce g oa ls is a n es ta bl is he d pr ac tic e th ro ug ho ut th e or ga ni za tio n. Th er e is a s tru ct ur ed , p er io di c, a ge nc y- w id e pe rfo rm an ce e va lu at io n pr oc es s us ed to d et er m in e th e ne ed fo r e nh an ce d an d in no va tiv e pr ac tic es • A sy st em at ic , a ge nc y- w id e ap pr oa ch is ta ke n to e va lu at e be ne fit s an d co st s as so ci at ed w ith in no va tiv e pr ac tic es , c on si de rin g fa ct or s bo th in te rn al a nd e xt er na l t o th e ag en cy , a nd th at a re qu an tifi ed a nd a na ly ze d on a li fe -c yc le b as is • C ha lle ng es a nd ri sk s as so ci at ed w ith in no va tiv e pr ac tic es a re a na ly ze d by u si ng a n ex pl ic it, sy st em at ic ri sk m an ag em en t f ra m ew or k th at c ul m in at es in w el l-d efi ne d pr ac tic es fo r su rm ou nt in g ch al le ng es a nd m an ag in g ris ks    I ni tia te a s ys te m at ic b en ch m ar ki ng e xe rc is e of a ge nc y PM R a ct iv iti es co m pa re d to th e st at e- of -th e- pr ac tic e an d ar tic ul at e a pe rfo rm an ce - ba se d vi si on fo r i m pr ov em en t    I ni tia te a s ys te m at ic re vi ew o f a ge nc y go al s w ith re sp ec t t o st at e- of -th e- pr ac tic e pe rfo rm an ce a nd o ut co m es fr om P M R in no va tiv e pr ac tic es a nd be gi n id en tif yi ng w he re th os e ou tc om es c an re as on ab ly e xc ee d ex is tin g pr ac tic e    I nt en si fy a nd d ee pe n ov er al l a ge nc y co m m itm en t t o th e us e of pe rfo rm an ce m ea su re s an d be ne fit –c os t a na ly si s in b ot h pr og ra m d es ig n an d op er at io ns    F am ilia riz e st af f w ith c as e st ud ie s th at d em on st ra te th e po si tiv e im pa ct o f in no va tiv e PM R p ra ct ic es o n ag en cy p er fo rm an ce    E st ab lis h a pr oc es s w he re u ni ts ’ a nd in di vi du al s’ re co gn iti on o r r ew ar ds ar e re la te d to u til iz at io n of p er fo rm an ce m ea su re s (n ot n ec es sa ril y th e pe rfo rm an ce c ha ng es th em se lve s)    E st ab lis h a fo rm al in no va tio n- re la te d ris k as se ss m en t p ro ce ss a s ap pr op ria te to P M R a ct iv iti es 3. E m er gi ng / In no va tiv e PM R P ra ct ic e Su pp or tiv e Sy st em s, Pr og ra m s, a nd Bu dg et s  A ge nc y R &D  A ge nc y Pi lo t T es tin g  I ns tit ut io na l Kn ow le dg e M an ag em en t Sy st em  A cc es s to F un di ng  A ss is ta nc e fro m S up po rt Fu nc tio ns (I T, H R , Pr oc ur em en t)  A va ila bi lit y of F ac ilit ie s, Eq ui pm en t, an d Te st Si te s • Ag en cy h as fo rm al p ro gr am in p la ce s up po rte d by n ec es sa ry s ys te m s an d fu nc tio ns , i nc lu di ng su st ai na bl e ap pl ie d R &D a ct iv ity , p ro ce ss es fo r p ilo t t es tin g in cl ud in g ac ce ss to fa ci lit ie s, eq ui pm en t, or te st s ite s, a nd a n in st itu tio na l kn ow le dg e m an ag em en t s ys te m • Es ta bl is he d bu dg et ar y an d pr og ra m p ro ce ss es th at e nc ou ra ge a dv oc at es o f i nn ov at ive p ra ct ic es to c om pe te fo r f un di ng • Ad m in is tra tiv e an d te ch ni ca l s up po rt fo r n ew in iti at ive s is re ad ily a va ila bl e an d pr ov id ed pr oa ct ive ly    E st ab lis h an a ge nc y po si tio n ch ar ge d w ith m an ag in g in no va tiv e pr ac tic es an d te ch no lo gi ca l c ha ng e, in iti at in g ef fo rts to e xp lo re n ew a pp ro ac he s, te ch no lo gi es , t oo ls , m at er ia ls , e tc . a nd s ol ic iti ng th e sa m e fro m o th er s. Ad di tio na l p or tfo lio re sp on si bi lit ie s ca n in cl ud e le ad er sh ip o f s ug ge st ed ac tio ns u nd er th is C SF    D ev el op a nd in st itu te a fo rm al p ro ce ss /p ro gr am to in iti at e an d su pp or t ap pl ic at io n of in no va tiv e pr ac tic es , b ui ld in g on th e pr og ra m e st ab lis he d un de r A w ar en es s    E st ab lis h a de ve lo pm en t f ra m ew or k fo r t he p ro gr am th at in cl ud es k ey ac tiv iti es w ith in th is C SF (e .g ., R &D , k no w le dg e m an ag em en t), o ve rs ig ht , an d pr og ra m p er fo rm an ce re vi ew    S et a b ud ge t t o su pp or t t he p ro gr am ’s op er at io n. L ea d ef fo rts to co m m un ic at e th e ne ed fo r a nd to a ut ho riz e or ga ni za tio na l, ad m in is tra tiv e, or p ol ic y ch an ge s to e lim in at e ba rri er s to in no va tiv e pr ac tic es re la te d to co op er at io n fro m a ge nc y su pp or t f un ct io ns a nd s ys te m s, in cl ud in g IT , H R , a nd p ro cu re m en t Ta b le 2 1. O rg an iz at io n im p ro ve m en t fr am ew o rk s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 103 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns 4. F rie nd ly C ul tu re a nd O rg an iz at io n To w ar d In no va tiv e Pr ac tic es  L ea de rs hi p Su pp or t  C ol la bo ra tio n an d Te am w or k  R ec ep tiv ity to N ew Id ea s  D ed ic at io n to C on tin uo us Im pr ov em en t  O rg an iz at io na l Ba rri er s  R is k– R ew ar d R es po ns e • Se ni or m an ag em en t c on si st en tly c ha m pi on s co nt in uo us im pr ov em en t a nd in no va tiv e pr ac tic es ac ro ss th e ag en cy • Pe rv as ive le ar ni ng c ul tu re w he re s ta ff ar e ex pe ct ed to b e, a nd ty pi ca lly a re , r ec ep tiv e to n ew id ea s, s ee ki ng te ch ni ca l t ra in in g, a nd ro ut in el y co lla bo ra tin g on h ig hl y co ns eq ue nt ia l im pr ov em en ts to e xi st in g pr ac tic e • Sy st em ic o rg an iz at io na l b ar rie rs to in no va tiv e pr ac tic es a re m in im al , t w o- w ay li ne s of co m m un ic at io n ar e op en , a nd th e oc ca si on al ch al le ng e th at a ris es is d ea lt w ith q ui ck ly a nd ju di ci ou sl y • Ag en cy ’s ro bu st ri sk m an ag em en t f ra m ew or k re co gn iz es th e po te nt ia l o f i nn ov at ive p ra ct ic es ’ fa ilu re a nd re ad ily a cc ep ts it a s a le ar ni ng ex pe rie nc e; s up po rte rs o f i nn ov at ive p ra ct ic es a re vi si bl y re co gn iz ed a nd re w ar de d    U se th e le ad er sh ip “p ul pi t” to ta lk a bo ut , c el eb ra te , a nd re w ar d in te re st in an d ac tio ns ta ke n to w ar d in no va tiv e pr ac tic es    E nc ou ra ge a nd s up po rt ed uc at io n/ ou tre ac h ex er ci se s am on g st af f t ha t sh ar e ex pe rie nc e w ith in no va tiv e pr ac tic es (e .g ., di sc ip lin e or P M R pr ac tic e- fo cu se d m ee tin gs , w eb in ar s, e tc .)    C on du ct p ee r-t o- pe er w or ks ho ps w ith to p an d m id dl e m an ag em en t fo cu se d on s uc ce ss es o f i nn ov at ive p ra ct ic es    I de nt ify o rg an iz at io na l b ar rie rs to fo st er in g in no va tiv e pr ac tic es p ot en tia lly th ro ug h pr ac tit io ne r s ta ff en ga ge m en t, an d so lic it id ea s fo r i m pr ov em en t; pr io rit iz e ac tio ns to re m ov e id en tifi ed b ar rie rs to in no va tiv e pr ac tic es a t th e en te rp ris e le ve l    C on du ct a re vi ew o f t he e xt en t t o w hi ch c ul tu ra l a tti tu de s fo st er o r in hi bi t i nn ov at ive p ra ct ic es th ro ug ho ut th e ag en cy , e xa m in in g in te r-u ni t co lla bo ra tio n an d te am w or k, re ce pt iv ity to n ew w ay s of d oi ng b us in es s, an d de di ca tio n to c on tin uo us im pr ov em en t a nd n ew w ay s to b et te r ac hi ev e th e ag en cy ’s m is si on a nd g oa ls a nd s er ve th e cu st om er    F or m ul at e an d pr oj ec t ( th ro ug h m ed ia , p re se nt at io ns , d ire ct co m m un ic at io n) a n en te rp ris e at tit ud e th at e nc ou ra ge s an d ex pe ct s co nt in uo us im pr ov em en t a pp lie d to a ge nc y bu si ne ss p ra ct ic es , a c ul tu re of le ar ni ng th at e m br ac es n ew id ea s, a nd re co gn iti on th at fa ilu re is so m et im es in ev ita bl e bu t a n op po rtu ni ty to g ai n va lu ab le e xp er ie nc e → N ot e: T he in no va tio n of fic er c an le ad o r f ac ilit at e th e ac tiv iti es s ug ge st ed by th es e ac tio ns Ta b le 2 1. O rg an iz at io n im p ro ve m en t fr am ew o rk s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

104 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns 5. S ta ff Su pp or tiv e of In no va tiv e Pr ac tic es  K no w le dg e Ac qu is iti on a nd Su st ai na bi lit y: Le ar ni ng p ra ct ic es C on tin uo us ed uc at io n an d tra in in g  S ta ff C ap ac ity  R ec ru itm en t a nd R et en tio n • St af f a re e xp ec te d to , a nd th e m aj or ity d o, pr oa ct ive ly s ee k op po rtu ni tie s to a cc es s ne w kn ow le dg e th at c an a dv an ce e xi st in g pr ac tic e to w ar d th e le ad in g ed ge • C on tin uo us e du ca tio n an d tra in in g op po rtu ni tie s to fo st er in no va tiv e pr ac tic es a re tr ea te d as h ig h pr io rit ie s an d re ad ily a cc es si bl e to s ta ff • Su ffi ci en t s ta ff ca pa ci ty a nd te ch ni ca l e xp er tis e to s up po rt in no va tiv e pr ac tic es c an g en er al ly b e as se m bl ed , e ith er in -h ou se o r t hr ou gh o ut so ur ci ng or p ar tn er in g • Ag en cy p ro ac tiv el y se ek s an d cu lti va te s st af f th at p os se ss th e de si re a nd k no w le dg e to a pp ly le ad in g ed ge a nd in no va tiv e pr ac tic es to th ei r ro le s an d re sp on si bi lit ie s; a ge nc y’s re pu ta tio n as a n in no va tiv e in st itu tio n he lp s to a ttr ac t t he se in di vi du al s    E m po w er a d es ig na te d of fic er to s ee k ch am pi on s fo r i nn ov at ive pr ac tic es , i nt er na lly o r e xt er na lly , t o le ad s pe ci fic in iti at ive s, b ot h te ch ni ca l ar ea -s pe ci fic a nd P M R -p ra ct ic e sp ec ifi c; th is m ay re qu ire re al lo ca tio n of in di vi du al s’ du tie s/ av ai la bi lit y or a cq ui rin g ne w s ta ff    I de nt ify k ey ro le s ne ce ss ar y to s up po rt ot he r a ct io ns ta ke n w ith in th e O IF a nd d ev el op p os iti on d es cr ip tio ns a nd ta rg et k no w le dg e, s ki lls a nd ab ilit ie s    R ev ie w re cr ui tm en t p ra ct ic es , j ob d es cr ip tio ns , p ro m ot io n an d ot he r ca re er d ev el op m en t f ac to rs fo r o pp or tu ni tie s to in ce nt iv iz e su pp or te rs o f in no va tiv e pr ac tic es    P ro vi de s up po rt, b ot h fu nd in g an d a pe rm itt ed a llo ca tio n of s ta ff tim e, to p ar tic ip at e in p ro fe ss io na l c ap ac ity b ui ld in g ac tiv iti es th at a dv an ce kn ow le dg e    I de nt ify o pp or tu ni tie s to c on ne ct k ey a ge nc y ac tiv iti es w ith a pp ro pr ia te un ive rs ity /in du st ry /re se ar ch e nt ity u ni ts to c re at e te am s th at a dv an ce sp ec ifi c in no va tiv e pr ac tic es 6. L eg al , R eg ul at or y, an d Po lic y Is su e M an ag em en t  L ia bi lit y Is su es  I nt el le ct ua l P ro pe rty Is su es  L eg al a nd R eg ul at or y C ha lle ng es  P ol ic y Is su es • Le ga l a nd re gu la to ry is su es a ss oc ia te d w ith in no va tio n ar e fo rm al ly a ss es se d as ri sk s an d ad dr es se d by b es t a va ila bl e le ga l a dv ic e, w ith su pp or tiv e in te rv en tio n fro m a ge nc y se ni or m an ag em en t w he n ne ce ss ar y • Po lic ie s an d pr ac tic es in p la ce to a dv an ce in no va tio n pr ov id e th e ba si s to c ha lle ng e, o r se ek s pe ci al e xc ep tio ns to o th er p ot en tia l a ge nc y or e xt er na l p ol ic ie s th at b ec om e im pe di m en ts , w ith s up po rti ve in te rv en tio n fro m a ge nc y se ni or m an ag em en t w he n ne ce ss ar y    S ee k su pp or t f ro m a tto rn ey s w ho fo cu s as m uc h on “c an -d o” s ol ut io ns a s on “c an ’t do ” b ar rie rs    L oo k at h ow p ee rs h av e ta ck le d si m ila r i ss ue s    S ee k au th or ity to p er fo rm tr ia l o r p ilo t a ct io ns th at te st w he th er a nd h ow le ga l, re gu la to ry , o r p ol ic y co ns tra in ts c an b e ad dr es se d    I ni tia te p ro ce ss es to m od ify p ol ic ie s, re gu la tio ns , a nd /o r s ta tu te s th at un re as on ab ly d is co ur ag e or c on st ra in o pp or tu ni tie s fo r i nn ov at ive pr ac tic es Ta b le 2 1. O rg an iz at io n im p ro ve m en t fr am ew o rk s u g g es te d a ct io n s (c o n ti n u ed ). (c o n ti n u ed o n n ex t p ag e)

Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 105 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns 7. E xt er na l C ol la bo ra tio n  I nt er ac tio n w ith Tr an sp or ta tio n Ag en cy a nd Ac ad em ic P ee rs  C om m un ic at io n Be yo nd th e Tr an sp or ta tio n C om m un ity  P riv at e- Se ct or O ut so ur ci ng a nd Pa rtn er in g • In te ra ct io n w ith tr an sp or ta tio n ag en cy a nd ac ad em ic p ee rs to e xc ha ng e in fo rm at io n an d ex pe rie nc e on le ad in g- ed ge p ra ct ic es a m on g te ch ni ca l s ta ff is e xt en si ve a nd fo rm al ly s up po rte d ac ro ss th e ag en cy • Ke y st af f w ho h av e a de m on st ra te d in te re st an d le ve l o f c om pe te nc y an d ex pe rie nc e ar e en co ur ag ed a nd s up po rte d to p ar tic ip at e in in du st ry a ss oc ia tio ns a nd te ch ni ca l g ro up s w ith a n em ph as is o n ta pp in g in to le ad in g ed ge /in no va tiv e pr ac tic es th at m ay a pp ly to th e ag en cy • In te ra ct io n w ith n on -tr an sp or ta tio n pu bl ic a ge nc ie s, pr iva te e nt iti es , o r o rg an iz at io ns /in st itu tio ns w he re in no va tiv e pr ac tic es a re d ev el op in g an d th er e is op po rtu ni ty to a pp ly o ut co m es to th e ag en cy ’s pr ac tic es ta ke s pl ac e re gu la rly a nd is fo rm al ly en co ur ag ed th ro ug h sp ec ia lly a rra ng ed e xc ha ng es of id ea s an d ex pe rie nc e • Pr oc ur em en t, co nt ra ct in g, a nd p ar tn er sh ip m ec ha ni sm s ar e in p la ce to fa ci lit at e en ga ge m en t w ith p riv at e- se ct or o r p ee r p ub lic a ge nc ie s in re so ur ce a nd ri sk -s ha rin g ap pr oa ch es th at ad va nc e in no va tiv e pr ac tic es    B ui ld in g on th e su pp or tiv e st af f, C SF s, re vi ew s ta ff ca pa bi lit ie s ne ed s an d de ve lo p a st ra te gy fo r d el in ea tin g th os e th at a re m or e su ite d (in -h ou se o r ou ts ou rc ed )    I de nt ify a nd s up po rt m ec ha ni sm s fo r k ey p ro fe ss io na l s ta ff in vo lve m en t i n ex te rn al n et w or ks in vo lve d in in no va tiv e pr ac tic es    E st ab lis h a bu dg et to s up po rt te ch ni ca l a ct iv iti es re le va nt to in no va tiv e pr ac tic es , i nc lu di ng tr av el a nd tr ai ni ng    E st ab lis h a fo ru m o n in no va tiv e pr ac tic es w ith o ut si de te ch ni ca l e xp er ts on a c on tin ui ng b as is    U til iz e th e re qu es t f or in fo rm at io n (R FI ) p ro ce ss to id en tif y ex te rn al in no va tiv e co nc ep ts    I nv es tig at e m et ho ds o f e st ab lis hi ng in cr ea se d in te ra ct io n w ith p riv at e in du st ry , w hi le re co gn iz in g le ga l a nd re gu la to ry c on st ra in ts , a nd c ap ita liz e on a va ila bl e op po rtu ni tie s (c on fe re nc es , w or ks ho ps , e tc .)    I nv es tig at e op tio ns fo r p ub lic –p riv at e pa rtn er sh ip s, in cl ud in g sp ec ia l pu bl ic –p riv at e en tit ie s to m an ag e in no va tiv e- in te ns ive p ro gr am s or pr oj ec ts    W or k w ith in in du st ry g ro up s to d ev el op m et ho ds to m ea su re a nd m ai nt ai n lo ng -ra ng e re se ar ch n ee ds re le va nt to P M R in no va tiv e pr ac tic es , p er io di ca lly s ca n fo r n ew p ra ct ic es , a nd le ad in iti at ive s th at en co ur ag e an d or ga ni ze c ol la bo ra tio n an d pa rtn er sh ip to o ve rc om e ba rri er s on a m ul ti- pe er b as is Ta b le 2 1. O rg an iz at io n im p ro ve m en t fr am ew o rk s u g g es te d a ct io n s (c o n ti n u ed ).

Next: Chapter 7 Guides to Emerging Highway PMR Practices »
Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure Get This Book
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The transportation industry faces a wide range of plausible future drivers and scenarios that could affect standard practices over the next 30 to 50 years. Because the range of plausible futures over such a long-term period is very broad, making a focused prediction of the implications for highway infrastructure preservation, maintenance, and renewal (PMR) is quite challenging.

The TRB National Cooperative Highway Research Program's NCHRP Report 750: Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure focuses on the issues affecting the PMR of highway infrastructure. The study places emphasis on preparing for plausible future scenarios and develops a pathway to guide transportation agencies in advancing the implementation of emerging PMR practices through a process involving awareness, advocacy, assessment, adoption, and action planning.

The appendices to Parts A and B of this report are available as part of NCHRP Web-Only Document 272: Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios.

In addition, there are two guides included within the report that help with the understanding, identification, application, and implementation of emerging PMR practices. They are also available as standalone guides:

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices

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