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

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P A R T B Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices

B-3 Practitioner’s Guide Contents B­4 Guide Orientation B­6 Guide Overview B­6 Preparing for Emerging and Innovative PMR Practices B­7 Emerging and Innovative PMR Practice Database B­7 Practice Capability Assessment and Advancement B­7 Fostering Innovation Within the Agency B­11 Preparing for Emerging and Innovative PMR Practices B­11 Background B­12 A Long­Range Vision—Context for PMR in 2070 B­13 The Future Context B­14 Making the Case for Emerging and Innovative Practices B­16 The Importance of Leadership B­19 The Importance of Practitioner Pressure B­22 Peer Agency Pressure and the Opportunities Presented B­22 Overview of Emerging and Innovative PMR Practices and Benefits B­33 Critical Success Factors (CSFs) B­36 Emerging and Innovative PMR Practice Database B­37 PMR Practice Capability Assessment and Advancement B­37 Practice CMF B­43 Practice RAF B­58 Fostering Emerging/Innovative Practices Within the Organization B­58 Organization CMF B­64 Organization Improvement Framework B­70 Appendices 1 through 5

B-4 Strategic Issues Facing Transportation Guide Orientation This guide assists transportation professionals on the application of practices involving emerging and innovative materials, tools, approaches, and technologies to address long­range (30 to 50 years) highway infrastructure preservation, maintenance, and renewal (PMR) needs. The audience focus for this guide are the practitioners—technical or discipline managers or specialists with a direct role in highway PMR activity and performance. A companion guide focuses on agency leadership [Chief Executive Officer (CEO) and senior management] as the primary audience. In applying this guide, the user should recognize that the future, as construed herein, extends outward 50 years and predicting it is not an easy task. Nonetheless, the guide asserts that: • A robust and increasingly resilient and adaptive network of streets and highways, including pavements, bridges, tunnels, drainage systems, and other ancillary components of highway infrastructure, will continue to be needed over the next half­century under any plausible set of circumstances. • The ways in which we preserve, maintain, and renew highway infrastructure will change over the next 30 to 50 years in response to inevitable changes in the level and patterns of usage of the system; innovations in materials, methods, and technologies; the availability of resources to invest in innovation; and other external non­transportation­related factors. While this guide features an in­depth examination of 16 exemplary, emerging, and innova­ tive PMR practices worthy of familiarization and consideration for their beneficial impacts on highway PMR over this timeframe, the focus of this guide is on preparation rather than predic- tion. Practitioners and their agencies need to be prepared for a range of future scenarios in which highway PMR evolves and adapts, and for opportunities to capitalize on those practices that can improve agency efficiency and effectiveness and the experience of the agency’s customers. Therefore, this guide is relevant to emerging PMR innovation in all forms: those highlighted in this guide, those recognizable today (those being tested and implemented or those that are still mostly theoretical), and those yet to be perceived. The guidance and the tools provided for assess ment and advancement of these practices are relevant to the users today and will be to the users years from now as these practices become clearer in agencies’ minds and evolve. Finally, this guide serves as a charge to transportation agencies and professionals to advance desirable emerging PMR practices even when those practices are beyond their capability to ini­ tiate on their own. Many of these emerging PMR practices will be inherently challenging for transportation agencies to take on by themselves, particularly when they are being driven by technologies and market forces beyond their domains. This is particularly true where advanced technologies and PMR practices may emanate from sectors outside transportation, yet these outside forces can provide dramatic benefits to transportation agencies. Advancing the state of the practice in highway PMR under such circumstances will require collaborative efforts and partnerships among peers at the national level and with industry drivers of change that will influence the directions and decisions of agencies.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-5 Definitions of PMR • Preservation: Includes work activities that are planned and performed to improve or sustain the asset condition in a state of good repair. Asset preservation primarily includes preventive maintenance, minor rehabilitation and retrofitting of infra­ structure elements [pavements, bridges, intelligent transportation system (ITS) or ITS components], network or area wide enhancements and upgrades, and some aspects of routine maintenance. — Preventive maintenance includes a series of cost­effective treatments applied to preserve or extend the service life, retard future deterioration, upgrade to c urrent or improved safety standards, and maintain or improve the functional conditions of existing assets. Both condition­based and regularly scheduled cyclical activities that contribute to extending the useful life of assets are consid­ ered preventive maintenance activities. — Minor rehabilitation involves non­structural enhancements to reduce aging, restore serviceability, or eliminate surface­initiated, environmentally induced deterioration. Network or area­wide enhancements, such as for pavement strip­ ing, lighting components, signs, and guardrails, are also considered as minor rehabilitation. — Preservation includes all planned and recurring activities of routine maintenance performed to reduce the deterioration of existing assets. • Maintenance: Describes work activities performed to maintain the general condition of existing assets or in response to specific conditions or events to restore their func­ tional state. Maintenance includes some aspects of routine maintenance, as well as corrective and emergency maintenance. — Routine maintenance is performed to restore the functional condition of exist­ ing assets, such as crack filling of non­working cracks, dust control, spot painting, snow removal, debris removal, mowing and tree removal, fender systems repair, weed and vegetation control, and drainage cleaning. — Corrective and emergency maintenance include “reactive” types of work activi­ ties performed in response to potential or existing deficiencies that adversely impact the smooth and safe operations and future integrity of the existing asset. Examples include pothole repairs, bridge deck joint repairs, patching and grout­ ing, full or partial depth repair, and bridge bearings replacement. • Renewal: Includes work activities performed to fully or partially restore the structural integrity, correct safety defects, and improve the functional capability of the asset. — Major rehabilitation involves major work required to enhance or restore the structural integrity of an asset as well as work necessary to correct major func­ tional deficiencies and safety defects. — Reconstruction involves a complete removal and replacement of a structurally deficient or functionally obsolete asset with an equivalent or enhanced service capacity.

B-6 Strategic Issues Facing Transportation Guide Overview This guide is organized around a roadmap for emerging and innovative PMR practices that incorporates a successive, yet iterative, series of actions: awareness, advocacy, assessment, adop­ tion, and action plan, each of which is discussed in the sections that follow. The flow diagrams in Part B, Figures 1 through 3 illustrate how the practitioner may navigate each of these actions and access the guide’s specific sections and tools. Preparing for Emerging and Innovative PMR Practices This section addresses awareness and advocacy of such emerging and innovative practices— knowing what the state of the practice is with respect to a given emerging PMR practice (drivers, needs, and benefits) and how to initiate efforts to seriously consider whether they should be pursued. Awareness of emerging PMR practices begins with a recognition that the world is chang­ ing rapidly and that no institution (e.g., state departments of transportation) or institutional responsibility (highway preservation, maintenance, and renewal in this case) will be left untouched. This section begins by presenting a short “Study Background” and genesis to the research that produced this guide, which among many outcomes, posited “A Long­Range Vision” 50 years from now that articulates the future context for highway infrastructure and its charac­ teristics and needs with respect to PMR. The discussion then highlights important trends in “The Future Context” that have the potential to lead to the vision presented. The section also includes an “Overview of Emerging and Innovative PMR Practices and Benefits” summarizing 16 leading­edge practices prioritized by the research and worthy of consideration. These emerging practices are detailed in the Emerg­ ing and Inno vative PMR Practice Database. Finally, an understanding of potential benefits and costs, both external to customers and internal to the agency, is required to enhance awareness of specific highway PMR activities and make the case for adoption on a case­by­case basis. The PMR practice advocacy typically follows a critical threshold of awareness. It 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 PMR practice awareness. Therefore, preparing for emerging and innovative PMR practices also includes perspectives on “The Importance of Leadership” and “The Importance of Practitioner Pressure.” The benefits from a certain degree of competition among peers, together with high levels of collaboration, are also discussed. The section concludes with an introduction to seven critical success factors (CSFs) that are essential to fostering and advancing specific emerging and innovative practices and form the basis for two assessment tools. One tool helps agencies cultivate and evaluate their capabilities to advance innovative practices and to identify the actions required to assess and ultimately imple­ ment those that prove worthy into agency practice. The other tool helps agencies assess their capability and identify actions to better foster innovative practices across the agency through improvements in culture, organization, and business practices.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-7 Emerging and Innovative PMR Practice Database An Emerging and Innovative PMR Practice Database (provided in Part B, Appendix 2 as part of NCHRP Web-Only Document 272) describes 16 emerging PMR practices identified through a process of evaluation and prioritization during the research for this guide. The database helps identify (1) the anticipated impacts of specific emerging practices on seven key disciplines asso­ ciated with highway PMR [pavement, structures, drainage and roadside assets, transportation systems management and operations, connected and automated vehicles (CAVs), maintenance and construction equipment, and information technology/data] and (2) the individual disci­ plines that will be impacted by specific practices as well as those impacts. The database allows users to build awareness for and begin assessing these PMR practices, recognizing that they are just examples of virtually limitless PMR emerging/innovative possibilities looking toward a 50­year horizon; a long list of such practices is included in Part B, Appendix 1 (available as part of NCHRP Web-Only Document 272). Practice Capability Assessment and Advancement Moving beyond awareness and advocacy, agency capabilities and required actions can be assessed for those PMR practices worthy of investigation. The goal of such an assessment is to determine if the agency, unit, or discipline possesses sufficient capability across the seven CSFs to evaluate and potentially adopt the practice, and what key action steps would be necessary. This section of the guide provides a set of frameworks to accomplish this task. The Practice Capability Maturity Framework (CMF) provides a straightforward, criteria­ based structure to evaluate the competency to advance a specific emerging PMR practice. Should the application of the CMF indicate a threshold of capability sufficient to consider advancing a specific innovation, a Required Actions Framework (RAF) would then lay out steps for advanc­ ing the practice. These steps are intended to fill essential gaps in capability identified through the CMF assessment, initially considering benefits and costs, and laying out a high­level plan for moving ahead. The combination of the CMF and the RAF should provide the essential informa­ tion for making a go/no­go decision on whether to commit to advancing the practice—moving from adoption to action. Both the CMF and RAF are supplemented by illustrative examples drawing upon PMR practices identified in the database. Fostering Innovation Within the Agency This section presents frameworks focused on fostering innovative practices: the Organization CMF and the organization improvement framework (OIF). Their intent is to examine general capabilities at any level of the organization, ranging from the enterprise as a whole to individual units within the agency, to foster innovative practices by drawing upon the same seven CSFs used in assessing specific innovative capabilities.

B-8 Strategic Issues Facing Transportation Part B, Figure 1. How to use the practitioner’s guide (1 of 3). Inspect the Long-Range Vision – Context for PMR in 2070 Agency PMR Practices Examine capability for emerging practice or of org. unit Identify future drivers, scenarios and implications for PMR Develop the business case for emerging PMR practice Understand the role of leadership Consider the 16 exemplary emerging PMR practices and their benefits Learn about 7 Critical Success Factors Access the Practitioner’s Guide Emerging PMR Practice & Innovation Database by discipline Select emerging PMR practices from database to assess for capability to advance Advance to the Emerging PMR Practice & Innovation Capability Maturity Framework Consider examining org. unit’s capability to foster emerging PMR practices Understand the role of practitioners; Make note of Tips for Champions Select emerging PMR practices from other sources to assess EMERGING PRACTICEORG UNIT Access the Organization Capability Maturity Framework 1 Awareness Advocacy Assessment Adoption Tool 2

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-9 Part B, Figure 2. How to use the practitioner’s guide (2 of 3) (B/C = benefit–cost). ( Appendix D is available as part of NCHRP Web-Only Document 272.) Assess each CSF component for appropriate level of capability (see Appendix D) Sufficiency and preference for advancing emerging PMR practice? Continue to Emerging PMR Practice and Required Actions Framework (RAF) Part A: Address CSF gaps from the CMF. Use RAF Suggested Actions Part B: Identify additional key actions outside filling gaps Part C: Perform prelim. agency-wide, long-term B/C assessment Part D: Prepare summary for go/no-go decision YES NO 1 Awareness Advocacy Assessment Adoption Tool Gaps in capability relative to target levels No-Go: No advancement at this time Make go/no-go decision on advancing innov. to testing and evaluation YESNO Not-now: Monitor and revisit when warranted Slow-go: Advance at evolutionary pace Go-now: Expeditiously advance as a leader Access the Emerging PMR Practice & Innovation Capability Maturity Framework (CMF)

B-10 Strategic Issues Facing Transportation Part B, Figure 3. How to use the practitioner’s guide (3 of 3). Assess each CSF for appropriate level of capability Continue to Organization Improvement Framework (OIF) Address CSF gaps from the CMF. Use OIF Suggested Actions 2 Gaps in capability relative to target levels Access the Organization Capability Maturity Framework (CMF) Awareness Advocacy Assessment Adoption Tool

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-11 Preparing for Emerging and Innovative PMR Practices Background This guide is prepared under the NCHRP Project 20­83(03)A, “Long­Range Strategic Issues Affecting Preservation, Maintenance, and Renewal of Highway Infrastructure” that addresses long­range strategic issues (30 to 50 years into the future) that will likely affect transportation organizations. This project is one of seven separate studies; the other six topics in the series (published as NCHRP Report 750: Strategic Issues Facing Transportation, Volumes 1 through 6) are as follows: • Volume 1: Scenario Planning for Freight Transportation Infrastructure Investment (Caplice and Phadnis, 2013) • Volume 2: Climate Change, Extreme Weather Events, and the Highway System: Practitioner’s Guide and Research Report (Meyer et al., 2014) • Volume 3: Expediting Future Technologies for Enhancing Transportation System Perfor­ mance (Popper et al., 2013) • Volume 4: Sustainability as an Organizing Principle for Transportation Agencies ̀ (Booz Allen Hamilton, 2014) • Volume 5: Preparing State Transportation Agencies for an Uncertain Energy Future (Sorenson et al., 2014) • Volume 6: The Effects of Socio­Demographics on Future Travel Demand (Zmud et al., 2014) The following steps were taken in the preparation of this guide: • Identification of factors and trends that could significantly influence highway infrastructure PMR needs over a 30­ to 50­year horizon. • Identification of an initial list of more than 60 potential emerging PMR practices that could significantly improve the ability of transportation agencies to address those needs. • Shortlisting and characterization of 24 emerging PMR practices according to explicit criteria that included the following: – Responsiveness to future context, – Departure from current practice, – Degree of impact, and – Plausibility. • Condensing the practices into 16 emerging practices (in consultation with a group of trans­ portation agency and industry professionals). • Assessment of the benefits of embracing these emerging PMR practices when considered in the context of a vision for the nation’s future highway network (in 2070). This guide begins with a long­range vision for PMR (50 years into the future) to set the con­ text for how PMR activities will play a vital role and how transportation agencies should think strategically and tactically to embrace and advance emerging and leading­edge PMR practices.

B-12 Strategic Issues Facing Transportation A Long-Range Vision—Context for PMR in 2070 In the year 2070, the nation’s multimodal transportation system remains anchored by a ubiquitous highway net­ work that has been transformed over the past half­century 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 vehicle­highway network, or VHN. The term VHN reflects a paradigm shift toward an ever­increasing integration in the relationship between infrastructure and its users through auto­ mated, self­driving 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 (VMT). Over the same period, we have significantly expanded the carrying capacity of existing roads and dramatically improved overall reliability (as measured by point­to­point travel time consistency within peak and off­peak time periods). Even more important to customers than these VHN­centric measures of performance is the daily libera­ tion of many minutes, and occasionally hours, from the time­consuming and stressful task of “non­pleasure” driv­ ing to the more useful and satisfying time that can now be spent as vehicles self­navigate 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 tech­ nologies. This is manifested by increased infrastructure instrumentation that has facilitated vehicle­to­infrastruc­ ture (V2I) communication, as well as by breakthroughs in the efficiency and cost­effectiveness of PMR practices resulting from such innovations as the following: • Predictive­proactive PMR regimes for roadway assets, • Remote sensing and structural strength monitoring, • Self­diagnosing, reporting, and work ordering, • Hyper­performance materials that provide virtually perpetual highway infrastructure, • Artificial intelligence to manage daily operations and respond to disruptive events, • 3D printing and quick turn­around replacement of prefabricated repair elements for riding surfaces, and • Use of robotics in repair and construction activities. A three­fold increase in the expected life of bridges and a doubling on 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 aver­ age downtime during which travel lanes are taken out of service for PMR activities are reasons why national sur­ veys have shown significant improvements in customer experience and satisfaction. Having reaped the benefits of 50 years of research and development (R&D) in innovative 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 (inflation­adjusted) PMR costs. The seeds that were sown over this period have produced a bountiful harvest.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-13 The Future Context The vision presented in the previous section suggests that a robust and increasingly resilient and adaptive network of streets and highways will continue to be needed into the future. This network will continue to include pavements, bridges, tunnels, drainage systems, and other com­ ponents of highway infrastructure that are familiar in today’s world and will remain familiar in the evolving context. However, the trajectories of various trends and driving forces make it clear that the specific ways in which we maintain, preserve, and renew 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; innovations in materials, methods, and technologies; and availability of resources—financial and human—necessary to investigate and implement beneficial emerging practices. 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 to define these scenarios precisely over a 50­year timeframe beyond describing general trajectories in trends (e.g., growing popula­ tion, increasing traffic), nor is it necessary. Rather, the implications of these drivers and scenarios help inform what emerging practices may be most beneficial to address the implied challenges and risks agencies will face as they navigate an evolving and uncertain future. Part B, Table 1 provides a summary of key future drivers and their implications for PMR needs. If not already engaged, agencies should track these drivers and monitor the implications on PMR needs in a concerted effort to stay ahead of the curve and proactively seek opportunities to apply responsive emerging practices. Part B, Table 1. Future drivers and implications for PMR needs. Future Drivers Implications for Future PMR Needs Demographics, Economics, and Transportation Demand Ability to accommodate growing traffic, reduce traffic congestion and disruption, improve highway safety, and ensure system reliability Resilience and Security: Natural and Man-made Threats Ability to adapt to climate change impacts, manage assets and risks, and provide rapid response Stewardship: Natural Resources and Communities Need for sustainable and environmentally responsible strategies, materials and processes to reduce energy consumption, emissions, depletion of natural resources, community impacts, and environmental footprint Financial Resources: Sources, Priorities, and Effectiveness Need to explore newer funding strategies more rigorously and objectively define priorities and to maximize cost-effectiveness through improved operational efficiencies and performance of infrastructure assets Technology: Materials and Methods Need for improved materials and methods to extend the life expectancy and minimize life-cycle costs of assets Technology: Information and Analysis Need for improved technologies, tools, and algorithms to collect, manage, visualize, and interpret data Vehicles Characteristics and Operations Ability to accommodate emerging trends in vehicle technologies, characteristics and operations Institutional Changes and Choices Need to foster positive changes as well as adapt to evolving institutional arrangements, human resources, and customer expectations

B-14 Strategic Issues Facing Transportation This guide highlights a select group of 16 emerging PMR­related practices that best addresses the implications of identified future drivers and scenarios (briefly summarized later in this guide). The next section introduces the Emerging and Innovative PMR Practice Database (provided as Part B, Appen dix 2 in NCHRP Web-Only Document 272) that presents detailed information on each of the 16 practices from the perspectives of seven technical disciplines. These practices, how­ ever, do not form a definitive list on which transportation agencies should solely focus as other emerging/ innovative practices may be encountered over the decades to come. The guide contem­ plates a broad range of future drivers and scenarios and focuses on their implications to PMR­spe­ cific activities, which will inevitably evolve over a 30­to 50­year timeframe. The guide further posits that a deliberate focus on specific emerging PMR practice will reap dividends for transportation agencies when considering the ramifications of future change in the VHN and drivers of change. Making the Case for Emerging and Innovative Practices While there is a certain qualitative “feel­good” benefit that may accompany doing some­ thing that is new and different, there must be reasons that are sound and practical to justify the invest ment and commitment of time and energy required to advance from the state­of­current practice to the leading edge. This is true in general, but there are unique reasons for advancing emerging PMR practices that agency leaders and practitioners need to consider: • PMR activities are a priority. • PMR activities consume a large share of highway agency budgets. • PMR activities are never­ending. • PMR innovative practices can attract talent. • PMR innovative practices are pathways to opportunities that: – Provide good customer service, – Enhance agency credibility, and – Attract 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 any 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? It is com­ mon 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. Advancements toward leading­edge practice in reducing life­cycle PMR costs for achieving a targeted performance outcome should therefore 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. Nevertheless, if there is to be any expectation of PMR activities becoming less costly over time without compromising on perfor­ mance outcomes, it 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.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-15 PMR Activities Are Never-Ending Highway infrastructure wears out over time, and 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. Whether they are recurring annual operating expenditures to retain and restore existing service, or periodic capital investments that add years to the useful life of an asset, they never cease. The impact of PMR outlays and the opportunities represented by emerging PMR practices should therefore be viewed not just in terms of annual budgets, but rather over the life cycle 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 in assessing the benefits of these practices, particularly those requiring upfront outlays in expectation of downstream benefits. PMR Innovative Practices Can Attract Talent It is common for highway agencies to have difficulty in attracting young professionals to preserva tion and maintenance functions. It is easier to find interest, particularly among graduate engineers, in areas such as highway design, structures, traffic engineering, hydraulics, geo technical engineering, and construction engineering. All of these areas are connected and essential to PMR practices. At the same time, actively encouraging the exploration of innovative PMR practices that leverage the leading edges of technology becomes a self­reinforcing way of attracting talent to leadership roles in PMR activities. Leaders who see more broadly the need for and benefits of innovative practices will improve the likelihood that PMR efforts will continue to attract the necessary talent and potential champions. PMR Innovative Practices Are Pathways to Opportunities There are myriad indirect benefits from a safe and efficient highway system relating to eco­ nomic well­being, vitality of communities, societal equity, and environmental quality that are largely derivative of more directly measurable performance goals such as safety, mobility, access, reliability, and resilience. Because PMR activities affect all of these areas, any opportunity to improve highway agency PMR practices represents 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 fuel­ ing 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 stake­ holders and by those who control the purse strings. They are also more likely to be supported in their continued efforts to advance their PMR practices toward the leading edge. 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 innovation. Those organizations that have kept up with the leading edges of innovation to provide improved service to customers will become increasingly evident among political leaders and are more likely to receive the resources needed to sustain their upward spiral of continuous improvement.

B-16 Strategic Issues Facing Transportation The Importance of Leadership Seeking out and implementing emerging PMR practices is not just the job of researchers and practitioners. It requires leadership and an organizational culture that fosters self­ awareness, continuous learning, and adaptation to beneficial changes. While this guide is focused on practitioners, it is important for them to appreciate what might be expected of their agency’s leadership in the advancement of emerging and innovative practices. This becomes especially important in considering what actions practitioners might take to stimulate interest among agency leaders in emerging and innovative practices that deserve their attention and support. For the purposes of this guide, those considered to be in leadership positions include not only the CEO, but also senior managers who have a seat at the table as decisions are made and have responsibility for implementing those decisions, and thereby have an impact on the long­term direction and the day­to­day activities of the organization. Because supportive leadership characteristics for PMR innovative practices cannot be sepa­ rated from other areas, they are addressed in broader terms recognizing that sometimes PMR functions receive less leadership attention than other higher profile areas. Gaining Leadership Attention for PMR Not unique to transportation is the all­too­often, yet understandable, consumption of the atten­ tion of organizational leadership by the most visible and consequential areas of responsibility— revenues, budgets, operations, system enhancement decisions, stakeholder engage ment, politics— to the detriment of areas such as PMR of the physical plant. These are all too frequently viewed as routine and mundane in the absence of pressing issues, and therefore less prominent on the leadership radar screen—except when erstwhile low­key PMR issues lead to major problems, such as an unplanned system closure resulting from inadequate attention over time. Innovative and emerging PMR practices may require a special effort to ensure that they as­ sume a position of priority for the attention of leadership. The following section discusses the responsibility among PMR practitioners to find ways of gaining the attention of organizational 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 “under­engaging” in PMR issues. Leaders would do well to ensure that PMR and the opportunities for practices that raise the bar do not become a leadership blind spot. How Important Is Front-Office Engagement? It is possible for emerging/innovative practices to occur in organizations in the absence of active leadership support, though not as likely. In their 1982 widely read book, In Search of Excellence, Tom Peters and Robert Waterman, Jr., refer to “skunkworks,” a term coined by Lockheed during 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 self­ starting champions who work apart from the mainstream organiza tion to come up with game­ changing 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.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-17 For such practices to flourish in an organization, leadership must be onboard, whether through highly visible and encouraging actions or through less visible but no less important support. Innovative practices must not only be encouraged and supported, but also must not be impeded by the enterprise as a whole and all of its component parts, such as: • Planning and resource allocation processes, • Procurement and administrative procedures, • Management systems and information technologies, • Recruitment and promotion practices, • Education and training, and • Willingness to accept prudent risks where the probabilities of success and anticipated returns on investment are based upon systematic testing and evaluation. External Communication In addition to instilling and sustaining an environment for innovative practices within the agency, leaders must communicate beyond the agency to generate understanding and support for investment and change, and, in particular, to obtain endorsement and resources from out­ side influencers (e.g., legislators, private industry, customers, etc.). Leaders should continuously and consistently educate these external audiences on the benefits and progress (or failures) of these practices. Successful communication requires framing the proposed innovative practices in terms of the following: • How it solves an existing, 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 innovative practices that cut across and extend beyond organizational boundaries. While interest in a specific practice is often viewed more in the domain of the practitioner, leaders are in the best position to facilitate a multidiscipline, interoffice systems approach to identifying the value and impacts of innovations that cut across 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 innovative practices also calls for leadership that listens and expects others in leadership and management positions to listen to customers, practitioners, peers, and purveyors of innovation in the private sector and academia. It requires leaders who 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 signifi­ cant improvement. If the perception among front­line workers is that they are expected to follow the status quo, the organization is losing one of its most potent sources of input about where innovative practices are needed and which practices are most likely to succeed.

B-18 Strategic Issues Facing Transportation Leaders must balance numerous priorities and often cannot afford to devote extensive time to exploring all issues in depth. As they may not possess a background steeped in the technical spe­ cifics of PMR, they must receive and act upon the counsel of PMR practitioners who can provide the necessary understanding and recommendations of the importance of PMR improvement. Leading Edge Versus Bleeding Edge A conscious strategy 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 avoid­ ing the “bleeding edge” where costs and risks associated with potential practices are likely to be greater. The implicit assumption is that few, if any, agencies become leaders of innovative practices across all functions. Rather, those that strive to be in the forefront of innovative prac­ tices 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 innovation strategy is to learn and adapt from the experiences among pioneer­ ing peers, or as in some cases from developments led by industry (such as 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. Not starting 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 (not usually a comfort­ able position for leaders to explain) or rushing into or reacting to a practice for which the agency may be ill­prepared. The hesitancy or inability to get started may be due to the short­term thinking of agency top­ level leadership, which tends to turn over relatively frequently. It is asking a leader to rise above understandable instincts to focus primarily on short­term problems and to invest energy and resources toward innovations whose benefits in years to come they may be unlikely to experi­ ence. Another constraint that may dampen interest in innovations over the long run stems from the process—and the politics—of annual budgeting and the “not­essential­on­my­watch” dis­ counting 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 PMR emerging and innovative practices may ultimately result in cost savings and service im­ provements to the benefit of public­sector agencies and the customers they serve. 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 use every tool at their disposal to steer a highway agency away from implementing beneficial practices that would damage their in­ terests. Similarly, those who may gain from certain changes may press for those changes, whether or not net benefits are in the offing. What both potential winners and potential losers have in common is the tendency to exaggerate their claims and apply pressure to agency and political

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-19 leadership in a manner that might tilt the playing field in their direction. None of this helps the case for objective, merit­driven practices, but it reflects a reality that often needs to be addressed. Change Management It is also important for agencies to consider the need to change management strategies to help implement innovative practices. The potential for resistance to change from legacy systems and practices, particularly among practitioners whose skillsets may no longer be needed and from managers whose area of responsibility may be diminished, should not be ignored. An essential aspect of this change 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 the investment of funding as well as the investment of time and energy, which can be scarce when dealing with barriers to change. The Importance of Practitioner Pressure Seasoned practitioners who specialize in technical disciplines know that advancing the state­ of­the­practice toward the leading edge requires not only technical expertise but also a proactive approach that results in upward pressure on leadership to invest in innovative practices. This is particularly true for PMR­related activities where opportunities for innovation are often 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 new ways of doing business, there will be a bottom­up pressure that complements top­down agency leadership to encourage innovative practices. The most daunting challenge for practitioners lies in advocating for emerging and innovative practices in an organization whose leadership and culture fall short of these ideals. Seasoned practitioners understand that they cannot rely on “leadership pull” alone to advance innovative practices. The case can be made that “practitioners’ push” is perhaps even more im­ portant. With the support of practitioner champions, innovation can occur even in an organi­ zational culture somewhat indifferent to fostering innovation. Without practitioner champions, no amount of top­down initiative can force innovation. Innovation Champions While the major waypoints on the road to PMR innovation 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, successes and set­ backs. That is why innovation champions are an essential part of embracing new approaches and advancing to the leading edge. Innovation champions are typically practitioners who are excited about a prospective innovation in their area of expertise that could represent a significant step forward in enhancing the agency’s efficiency and effectiveness. The best innovation champions are wellsprings of passion, pressure, and persistence about the innovation that has 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 communicate their ideas and address the concerns of others to succeed in advancing a new and innovative practice.

B-20 Strategic Issues Facing Transportation Just as leaders must build trust with external stakeholders by communicating the benefits and progress (or failures) of innovative 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, 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, innovative practices need to be framed in terms of the following: • How it solves an existing, well­defined problem, • How the outcomes tie to agency’s strategic initiatives or goals, • How it will improve internal efficiency and effectiveness, and • How the customer experience will be enhanced. Practitioner pressure from an innovation 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 innovation champion 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 the first 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 innovation champions staying with the effort from inception to adoption, there may be times when the champion role is given to another, just as inventors may not become entrepreneurs and entrepreneurs may not always sustain an enterprise beyond the start­up phase. 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. Part B, Table 2 presents a list of “Tips for Emerging and Innovative PMR Practice Champions” in the form of questions practitioners must ask themselves as they deploy strategies to inform and convince leadership of the value and benefit of such practices 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 appropriate parties, and anticipating and preparing for questions from leadership are all critical considerations.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-21 Part B, Table 2. Tips for emerging and innovative PMR practice champions. • 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?

B-22 Strategic Issues Facing Transportation Peer Agency Pressure and the Opportunities Presented 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 PMR practices and for collaboration in advancing these innovations. 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. This phenomenon has 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 relationships include the following: • Identifying PMR practices being advanced among peer transportation agencies and deter­ mining potential relevance and value added on the home turf. • Soliciting peer agency experience with specific 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 innovative PMR practices. Overview of Emerging and Innovative PMR Practices and Benefits Part B, Tables 3 through 18 below provide brief summaries of the 16 emerging PMR practices identified through a process of evaluation and prioritization during the research for this guide. The summaries focus on what each is and does, the strategic value or benefit it can provide, and its plausibility in terms of being an incremental or radical departure from current practice. These tables are followed by a general summary of their anticipated benefits. The following section introduces the Emerging and Innovative PMR Practice Database that explores these practices in much greater detail and organizes them by PMR technical discipline.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-23 Part B, Table 3. Hyper-performance materials. Emerging PMR Practice Hyper-Performance Materials Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, Ancillary Assets Description • Materials designed to have better strength, durability and/or workability properties than corresponding traditional materials • Examples: ultra-high performance concrete, self-healing asphalt, and ferrite- bainite steels • Newer variations with advancements in nanotechnology Strategic Value • Reduction in the need for frequent maintenance, major structural rehabilitation, and reconstruction activities • Greater resiliency and adaptability to climate change and extreme weather, as well as growing traffic and heavier vehicles • Significant reductions in life-cycle costs • Reductions in the use of depleting natural resources, reduced energy consumption and lower emissions, and lower asset life-cycle’s environmental footprint Plausibility • Incremental advancement for an agency • Breakthroughs currently in exploratory research and development stages Part B, Table 4. Connected V2I technology providing communications between passing vehicles and roadside units. Emerging PMR Practice Connected V2I (Vehicle to Infrastructure) Technology Providing Communications Between Passing Vehicles and Roadside Units Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, ITS Equipment, Ancillary Assets Description • Collection of information by infrastructure from vehicles, analysis, and communication to all vehicles and to systems managers through the infrastructure—provides upstream conditions, traffic control, flow control and roadway physical conditions Strategic Value • Numerous applications supplement onboard automation to eliminate human error, increasing safety, and providing greater throughput • Significant impacts on traffic flow, VMT, and trip length—all of which may impact asset deterioration cycles or suggest design modifications (e.g., restriping for narrower lanes) Plausibility • Technical challenges (e.g., standards, security, liability, privacy) • Requires public-sector owner/operators to be directly in the service provision loop • Technical capacities required of agencies (e.g., systems engineering) • Limited pilots underway along with development of FHWA guidance

B-24 Strategic Issues Facing Transportation Part B, Table 5. Perpetual/long-life highway infrastructure. Emerging PMR Practice Perpetual/Long-Life Highway Infrastructure Infrastructure Disciplines Covered Pavements, Bridges, Tunnels Description • Highway assets whose underlying physical elements last for extremely long periods of time with proper, periodic PMR treatments • Example: bridges whose foundation and superstructure are well protected and preserved with only deck treatments required from time to time Strategic Value • No major structural rehabilitation or reconstruction activities required • Only periodic maintenance and preservation activities to address routine wear and tear • Higher initial investments during construction but lower life-cycle costs • Sustainability benefits Plausibility • Necessary to overcome perennial pressure to minimize initial investment costs • Need to explore opportunities for innovative procurement and financing alternatives to overcome year-one budgetary constraints • Will benefit from evolution of improved structural design methodologies and advanced roadway materials Part B, Table 6. Integrated building information modeling (iBIM) for highways. Emerging PMR Practice Integrated Building Information Modeling (iBIM) for Highways Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, ITS Equipment, Ancillary Assets Description • Integrated electronic system with vendor-independent, interoperable data governed by common data standards, supported by a secured cyber infrastructure of fully automated connectivity and web- or cloud-based applications • Used to collect, organize, and access all facility asset-related data and information during its life cycle, including PMR activities Strategic Value • Current practice for managing electronic information is with commercial standalone systems, typically siloed along the lines of asset life-cycle function • iBIM will break down these silos becoming a one-stop way of storing, retrieving and archiving all asset-related information • More efficient and cost effective asset management processes and outcomes Plausibility • Will represent a huge leap in facilitating PMR activities and take many years • Trends point to this direction (e.g., advancements in geospatial and surveying technologies, e-construction, digital engineering designs, etc.) • Efforts underway to develop data standards

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-25 Part B, Table 7. Connected vehicle applications to supply real-time conditions information. Emerging PMR Practice Connected Vehicle Applications to Supply Real-Time Conditions Information Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, ITS Equipment, Ancillary Assets Description • Use of vehicles as probes for sensing key infrastructure condition characteristics (e.g., pavement condition) • Application of onboard sensors (accelerometers, inertial sensors, suspension motion detectors) to capture and communicate individual vehicle response to operating conditions Strategic Value • Augments conventional passive infrastructure measurements • Data can be analyzed for their inferential relationships with actual physical conditions • Increased data available for asset management decision making Plausibility • Will require major data management/modeling effort • Likely to depend on the market penetration of onboard dedicated short range communications (DSRC) and transportation agencies’ uptake on accommodating V2I data collection • External technological and institutional changes necessary (e.g., additional onboard sensor technology, industry standards to support uniformity, “crowd sourcing” data, etc.) Part B, Table 8. Remote sensing systems—PMR applications. Emerging PMR Practice Remote Sensing Systems—PMR Applications Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, ITS Equipment, Ancillary Assets Description • Use of smaller unmanned aircraft systems (drones) to monitor the composition, condition, and performance of highway assets • Devices may include infrared, thermal, multispectral, hyper spectral, and heat capacity mapping for optical imaging, and ultra-wide beam synthetic aperture radar for non-optical imaging Strategic Value • High resolution imagery that is less expensive, faster, and larger in area coverage • Improved predictive, detection, and sensing capabilities to update asset inventories and monitor conditions in real time Plausibility • Incremental advancement to highway agencies • Introduces new regulatory issues relating to air space use • Technical issues: obstruction and radio disturbances in urban areas, need for more sophisticated data processing

B-26 Strategic Issues Facing Transportation Part B, Table 9. Machine learning—artificial intelligence for asset management. Emerging PMR Practice Machine Learning—Artificial Intelligence for Asset Management Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, ITS Equipment, Ancillary Assets Description • Machine learning to recognize patterns and trends, and gain insights from asset performance data that may otherwise have been lost in statistical variability • No explicit need to program where and how to look for such patterns and trends Strategic Value • Current predictive models are mostly designed to analyze trends based on formalized, pre-established, “deductive” knowledge of variables • Machine learning applications can analyze complex data sets, investigate recent and long-term trends in asset behavior, and use this information to build more reliable, robust, data-driven decision support systems • Can improve asset management practices, lower assets’ life-cycle costs, and optimize resource allocation of funds Plausibility • Significant improvement to a highway agency • Much is known from application to online retailing, genetics, finance, health informatics Part B, Table 10. Predictive-proactive maintenance regime for roadway assets. Emerging PMR Practice Predictive-Proactive Maintenance Regime for Roadway Assets Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, ITS Equipment, Ancillary Assets Description • Proactive, dual source assessment and intervention process that optimizes maintenance regimes for assets, taking into account their criticality and potential consequences of asset failure • Optimizes timing of preventative maintenance by tracking actual versus predicted condition and performance • Results in customized, “just-in-time” preventive maintenance work programs that minimize life-cycle costs Strategic Value • Improves upon current reactive and (scheduled) preventative maintenance • Avoids spending money before the optimum point of intervention and failing to exploit useful life remaining in an asset • Ability to adjust the timing of maintenance activities at a reliability level commensurate with the criticality of assets and agency performance goals Plausibility • Next generation advancement in maintenance practices • Linked to advancements in IT, geomatics, and geophysical systems and sensor technologies for highway condition assessment

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-27 Part B, Table 11. Automated enforcement for work zones. Emerging PMR Practice Automated Enforcement for Work Zones Infrastructure Disciplines Covered ITS Equipment, Transportation Systems Management and Operations (TSMO) Description • Application of speed enforcement, queue detection, speed management, reduction in workforce exposure, traffic data analysis, incident detection, and traveler information on a network basis—to manage work zones • Use of V2I technology to facilitate these tools • Potential application of automated systems to install raised pavement markers, automated cone deployment system, mobile barriers, remotely operated lane barriers, and work space intrusion warning Strategic Value • Improved safety for travelers and highway workers • Reduced cost of enforcement • Increased speed of construction from greater spatial margins of worker safety that enable less constrained work zone activity, work zone systems relocation flexibility, and enhanced capabilities for nighttime construction • Reduced construction disruption to traffic flow and speeds Plausibility • Need to address public concerns about privacy due to photo enforcement or video surveillance, and reliability of technology • Opportunity to leverage advances in TSMO applications such as Integrated Corridor Management Part B, Table 12. Structural health monitoring. Emerging PMR Practice Structural Health Monitoring Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, Asset Management Description • Condition and damage detection and characterization strategy for structures • Uses real-time continuous collection and monitoring of mechanistic responses, structural damage, asset usage, and condition • Involves wireless enabled, self-calibrating compact-sized sensor packs with high-fidelity hardware and low power requirements Strategic Value • Could enable a centralized asset monitoring center connected with a dispersed network of sensor systems • Self-diagnosing, self-reporting, and work ordering infrastructure system possible when integrated with the “Internet of Things” (IoT) and artificial intelligence applications Plausibility • A radical advancement for highway agencies • More research and pilot studies are required • At least one deployment currently under experiment (United Kingdom)

B-28 Strategic Issues Facing Transportation Part B, Table 13. Construction robotics. Emerging PMR Practice Construction Robotics Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, Ancillary Assets Description • Advanced form of automation that focuses on mechanizing construction processes with no or little human intervention Strategic Value • Potential to evolve to automatically detect functional and structural conditions of assets, analyze collected information, make appropriate PMR related decisions and execute them in the field • Possible integration with geophysical technologies, remote sensing systems, and micro-electromechanical–based condition/health monitoring systems • Increased productivity, automatic detection and fixing, reduced materials and workmanship defects, reduced waste of natural resources, energy, and labor costs Plausibility • Incremental (e.g., intelligent construction machines) or radical (e.g., humanoid robots) advancement for the transportation industry • Dependent on advancements in material technology, microelectronics and mechatronics, and robot learning • Potential societal and political resistance from moving away from traditional labor—and economic consequences Part B, Table 14. Artificial intelligence—PMR traffic management applications. Emerging PMR Practice Artificial Intelligence—PMR Traffic Management Applications Infrastructure Disciplines Covered ITS Equipment, TSMO Description • Application of artificial intelligence to real-time traffic flow through advanced algorithms that quickly assess and address problems with an ability to analyze, reason, and learn from different situations, to acquire and retain knowledge, and to respond rapidly to new and changing conditions • Applied to the operation of ITS devices to assist in PMR application scenarios Strategic Value • Ability to handle large volumes of data to provide traffic control solutions, congestion management, traveler information, and incident/emergency management • Facilitates faster, adaptive, and dynamic responses to traffic conditions during PMR activities as well as during normal operations Plausibility • Incremental advancement for a highway agency but radical from the perspective of myriad possibilities of solutions that artificial intelligence can provide • Heavily dependent on the advancements in computer and cognitive sciences • Investment needed to enhance the capacity of agency workforces and to integrate artificial intelligence into business processes

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-29 Part B, Table 15. Enterprise information systems—PMR applications. Emerging PMR Practice Enterprise Information Systems—PMR Applications Infrastructure Disciplines Covered Pavement, Structures, Ancillary Assets, TSMO Description • Unified system of computer applications that provides a platform to integrate and streamline business processes • Organizes business requirements and processes in an integrated, seamless structure Strategic Value • Provides a platform to integrate all standalone systems into a single unified system streamlining business processes and information handling • Would include, for example, systems that support planning and programming, financial management and budgeting, real estate, environmental services, procurement, construction, maintenance, asset management, etc. • Seamless integration and avoidance of fragmentation and workflow bottlenecks Plausibility • Few barriers in the future as agencies are already moving away from disjointed legacy systems • Requires buy-in and commitment from top management to support change management process • Must engage technical management resources to define system requirements and oversee specifications, procurement, development, deployment, testing, transition, and full-scale operational phases Part B, Table 16. Self-diagnosing/reporting and work ordering. Emerging PMR Practice Self-Diagnosing/Reporting and Work Ordering Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, ITS Equipment, Ancillary Assets Description • System that automates the asset management process: data collection, asset usage tracking, condition monitoring, performance assessment, intervention diagnosis, treatment selection and timing, work order placement, potential self-performance Strategic Value • Overcomes fragmented PMR decision making and execution steps (as listed above) reducing elapsed time between problem diagnosis and work completion • Overall reduction in time and effort to identify and address problems • Lower life-cycle costs, increased production efficiencies, and customer satisfaction Plausibility • Radical emerging PMR practice for a highway agency • Many barriers and intermediate steps • Culmination of other emerging PMR practices (many mentioned elsewhere)

B-30 Strategic Issues Facing Transportation Part B, Table 17. Advanced TSMO device and communications systems maintenance. Emerging PMR Practice Advanced TSMO Device and Communications Systems Maintenance Infrastructure Disciplines Covered ITS Equipment, TSMO Description • ITS systems’ maintenance enabled by wireless sensors and pre-engineered real-time continuous monitoring solutions that automatically alert the maintenance system at the onset of a developing condition • Reliance upon device-specific databases to apply asset management algorithms Strategic Value • Maintenance burden of TSMO and communication devices will increase with their expanding deployment • Intelligent maintenance will make the increased ITS maintenance burden manageable with fewer human resources Plausibility • Intelligent maintenance tools and techniques are available from other sectors (defense, health, manufacturing) • Growth in inventory deployment will spur their application in transportation sector Part B, Table 18. The internet of things (IoT)—PMR applications. Emerging PMR Practice The Internet of Things (IoT)—PMR Applications Infrastructure Disciplines Covered Pavements, Bridges, Tunnels, ITS Equipment, Ancillary Assets, Maintenance and Construction Equipment Description • Network of seamlessly connected physical elements that allows information to be created, communicated, aggregated, and analyzed • Would permit real-time monitoring and management of asset condition and performance as well as real-time management of traffic in PMR work zones Strategic Value • Would eliminate redundant data collection, use of multiple formats, organizational siloing, and compartmentalization • Permits ability to collect massive volumes of data, share them instantaneously and seamlessly across groups, and put them into immediate effective use • Example: real-time monitoring of structural condition through the sensors and smart materials embedded in infrastructural elements Plausibility • Currently emerging organically, but a radical advancement • Technical and business perspective challenges related to legacy processes, inadequate data acquisition infrastructure, standards and protocols, security

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-31 External Benefits from Adopting Emerging PMR Practices The benefits of emerging and innovative PMR practices are ultimately for the people and enterprises served by the transportation agency. It is generally accepted, but still not universal practice, to explicitly account for benefits beyond the agency’s “internal” bottom line in making investment decisions. Therefore, this guide explicitly accounts for these external benefits in mak­ ing a fair and complete determination of whether and to what extent a specific practice should be advanced. External benefits (i.e., benefits to customers) are categorized into five interrelated areas: improved safety, improved customer satisfaction, improved resiliency, reduced congestion, improved system reliability, and greater environmental sustainability. Improved Safety Emerging PMR practice impacts on safety stem from reduced exposure to substandard asset conditions and reduced frequency and duration of work zones, improved work zone enforce­ ment, and the results of improved traffic flow stemming from advanced TSMO capabilities. As highway assets and vehicles become more connected, there is significant potential to share information in real time, which can be used to inform cars and drivers of work zones, upcom­ ing traffic, or other vehicles. Indirect impacts on safety will be derived from the emerging PMR practices that improve the collection, analysis, and application of data, and improve program design and asset management, all of which contribute to safer operations. Improved Customer Satisfaction Improved customer satisfaction is a compelling benefit of several of the emerging PMR prac­ tices. Transportation agencies exist to serve the transportation needs of customers, whether they are using, or less directly benefitting from, the service provided. Advancements in PMR that reduce disruptions and improve reliability and comfort enhance customer experience. They improve the perception in the eyes of the customer (taxpayer) of the value the transportation agency provides for the resources they use. Improved Resiliency The urgent need for transportation resiliency is only recently becoming fully understood and is not likely to subside in the decades to come. Whether from changes in climate, extreme weather, geologic forces, or manmade, the threats to the physical integrity and operational capability of highway infrastructure are real and consequential. Emerging PMR practices that strengthen and respond to the PMR needs of the physical elements of the system are a major factor in improving the resiliency of highway infrastructure. Improved Traffic Flow PMR innovative practices contribute to improved flow insofar as they reduce the need for dis­ ruptive PMR activities and provide improved communication on real­time conditions to vehicles and drivers. Communication between vehicles and automation can reduce slowdowns caused by merges, weaving, and rubbernecking. Communication from the highway asset to vehicles can dictate a safe and more uniform operating speed. By limiting reliance on human judgment, more analytically based and objectively informed decisions can be made to ensure that traffic continues to flow at a speed dependent on the traffic situation and on the condition of the asset.

B-32 Strategic Issues Facing Transportation Improved System Reliability Reliability is increasingly important in travel decisions as unanticipated delays cannot be planned for without allowing for significantly greater travel times than may have been necessary. Many of the same improved life­cycle and TSMO­related PMR innovations that contribute to safety and mobility also contribute to improved reliability. Both improved asset condition and state of good repair improve asset reliability since assets will fail less frequently. Advancements in remote sensing or connected vehicles can report maintenance or repair needs of a highway asset sooner than a routinely timed inspection. Environmental Sustainability Some PMR practices will emerge to address environmental sustainability goals. These prac­ tices will often relate to the materials used to create and recycle assets or to new ways to maintain assets and will have direct sustainability benefits. Indirect benefits can also be achieved through emerging practices that improve the lifespan of an asset and innovations that minimize main­ tenance needs. Delaying the replacement of assets and decreasing the amount of maintenance required can conserve resources and avoid additional pollution spent by work crews access­ ing repair sites. Other indirect benefits can be achieved through improved traffic operations. With increased mobility and reliability, vehicles can travel at higher speeds and can spend less time sitting in traffic, thereby preventing additional vehicle emissions. In addition, efforts to decrease asset replacement and maintenance needs mean that less capital and operations and maintenance costs are needed over the life­cycle of the asset. For a highway agency, this supports program sustainability as agencies can do more to maintain the asset with less money, while for users, it means that their tax dollars are being used more effectively. Internal Benefits of Emerging PMR Practices Categorizing some PMR practice benefits as “internal” is a bit artificial in the sense that the public (whether as taxpayers or customers or voters) are the real beneficiaries. As noted earlier, a complete assessment of innovation benefits must extend beyond the narrowest purview of agency responsibilities. However, the reality is that limited budgets may constrain the ability of agencies to implement emerging practices that may be cost beneficial on the basis of customer benefits that do not show up in agency coffers. These agencies may be constrained to consider PMR practices on the basis of benefits to their internal bottom lines. The following internal benefits are clearly interrelated and to some extent, overlap. Improved Asset Performance Emerging PMR practices offer benefits that improve highway infrastructure performance. Such benefits support the efforts of highway agencies to achieve performance targets. Infra­ structure that is performing within a relatively narrow range of acceptable performance levels through improved sensing of real­time conditions and rapid responses will generally require fewer resources over the long run than assets that fluctuate significantly in condition and where less frequent but more intrusive PMR activity may be required to restore a more deteriorated element to acceptable condition. The reduction in PMR activity to bring the asset into a state of good repair will decrease the cost and effort associated with improving the state of the asset. This is the most significant internal benefit of emerging PMR practices.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-33 Improved Performance Measurement and Asset Data Utilization Emerging practices that improve the life cycle of PMR assets through adoption of a long­ life approach—supported by asset and operational performance monitoring systems as well as complementary data utilization and analytics—have the most consequential impacts on the core agency objectives of improved efficiency and effectiveness. These practices are supported by a set of processes, techniques, and methodologies that are heavily dependent on developments in sensor technologies, embedded systems, network connectivity, data management, data analytics, and automation that individually, and to an even greater extent in combination, contribute to improving agency performance. The improved data acquisition and utilization can assist agen­ cies in making better PMR resource allocation decisions resulting in longer useful life, fewer and shorter road closures for PMR actions, and improved agency efficiency and effectiveness. Lower Capital and Life-Cycle Costs Emerging PMR practices should generally allow highway agencies to save money on the annual costs associated with the operations and maintenance of their assets as well as on periodic capital investments to extend the useful life of an asset. The challenge, as indicated in other sections of this guide, is to muster the will and defend the decision to make a significant initial investment from a constrained annual budget in expectation of downstream savings. Improved Organizational Processes and Efficiencies Capitalizing on many of the innovative advancements may require significant changes in agency business and technical processes. For example, deciding to pursue certain innovations may reveal weaknesses or gaps in agency business processes, information technologies, decision­ support and knowledge management systems, procurement practices and limitations, and work­ force recruitment and training (just to mention a few areas). Improved PMR Delivery It is not surprising that improved PMR activity delivery in terms of cost, schedule, and quality (and incentive to innovate) is closely related to private­sector interest and competition in areas supportive of improved PMR. Many emerging PMR practices are driven by private­sector inter­ ests and innovations in non­transportation sectors, including materials (e.g., green chemistry), production (e.g., 3D printing), methods (e.g., robotics), information (e.g., artificial intelligence), and communications (e.g., V2I). An agency that demonstrates its interest in and a track record for advancing innovative practices will attract greater private­sector interest and benefit from improved competition. Critical Success Factors (CSFs) Inertial responses to change among individuals and within organizations are common and must be anticipated for innovative practices to occur. It is therefore only realistic to expect that instilling a pervasive and persistent desire to foster and welcome such innovative practices within a highway agency can be expected to require a significant degree of cultural change within the organization. The adoption of these practices would require either agency­wide or discipline­ specific commitments to continuous improvement, openness to new ideas, receptivity to change, and well thought­out change management strategies. As individuals and agencies adopt these practices and adapt their internal operations accordingly, they can begin to understand the

B-34 Strategic Issues Facing Transportation logical steps involved in implementation. Agencies can fashion their own unique approach while learning from the experiences of others as they create an internal framework that encourages awareness, advocacy, assessment, adoption, and action plans in the advancement of emerging PMR practices. What It Takes to Succeed Success can be defined as overcoming challenges and risks to fostering innovation and adopt­ ing specific emerging PMR practices that provide defined benefits. The challenges and risks asso­ ciated with innovative practices can be grouped under internal and external factors. Internal Factors: The highway industry is a diversified aggregation of national, state, regional, and local agencies; industry and professional associations; private contractors and consultants; vendors and material suppliers; and the academic world of basic research and education. The decentralized and somewhat fragmented nature of the industry makes the widespread accep­ tance and implementation of innovative practices among (and within) organizations a challenge requiring customized strategies and processes to educate, encourage, convince, demonstrate, and deploy these practices. External Factors: Myriad external factors, such as market uncertainties and government regu­ lations, influence the acceptance and implementation of innovative practices among highway organizations. Many of these practices are direct or indirect outcomes of the research and devel­ opment that emanate from other sectors (e.g., information technology, telecommunications, and materials science), some of which are not well known or wholly unknown to the highway community. Adding to perceptions of risk is the sense that highway agencies may have little or no influence over the external technological or regulatory aspects of these practices that might heavily influence implementation efforts and ultimate outcomes. Finally, there are inherent risks associated with whether the practices will prove successful and worthwhile. These internal and external factors of challenges and risks can be organized around the following: • Agency Business and Technical Processes: Relates to how innovative practices are approached from both business and technical points of view, including performance awareness and application, supportive systems and programs, funding, and policies related to program development • Agency Institutional Context: Relates to internal agency culture, organization, and staff will­ ing and capable of capitalizing on such practices • External Collaboration: Involves interaction and collaboration with key communities out­ side the agency and partnerships with the public­ and private­sector to support innovative practices This guide defines seven CSFs across these categories where challenges and risk must be con­ sidered in advancing emerging/innovative practices. These factors form the basis for evaluating and improving agency capability to advance specific PMR innovative practices and to foster inno vation (discussed in the next sections). Awareness of Emerging PMR Practices Awareness of emerging PMR practices refers to how in­tune an agency, unit, or individual is with the state­of­the­art, trends in innovation areas, and where the agency, unit, or individual is

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-35 within their practice. Awareness can refer to the context in which these practices apply, including the leading­edge practices, the status of research and development in progress, problems being addressed, and alternative approaches being developed and tested. It can also refer to awareness of a specific emerging practice—understanding what it is, what it does, where it should work well, where it might not apply, and the level of effort and resources required to advance to imple­ mentation (staffing, expertise, facilities, equipment, time, and budget). Performance Awareness and Application Agencies must fully understand the implications of a given emerging practice—its ability to achieve specific performance objectives, its costs, benefits, risks, and challenges—in order to be able to continuously improve project or program outcomes and services through consideration of new technologies and enhanced practices. This is also a requirement for making informed decisions on evaluating and adopting specific emerging practices. Outcomes from embracing emerging innovation should be aligned with established agency performance goals. Evaluating and communicating outcomes require the right performance measures, comparative data, and analytics. Tools and methodologies to benchmark, analyze benefits and costs, and ascertain and address risks and challenges are all indispensable aspects of performance understanding and use. Supportive Systems, Programs, and Budgets Essential support functions and resources are the backbone for virtually any agency activity. This is particularly true for agencies interested in continuous improvement. Technical disciplines must be supported in their work with information technology, human resources, procurement and contracting, and legal functions as willing partners within their agency. From the early stages of emerging practice exploration through deployment, supportive systems for managing infor­ mation and data are essential, with significant challenges deriving from data capture, manage­ ment, analysis, and utilization. Knowledge management systems should also be in place to bring together inputs from multiple disciplines and sources, and to be able to extract outputs with business value that will facilitate decision making. Finally, the advancement of a given emerging practice, especially in the often less­visible arena of PMR, requires sufficient resources, which means the opportunity to compete for funding within the confines of established budgetary and program processes. Innovation Friendly Culture and Organization An agency’s culture sets the tone for an environment in which innovative practices can either wither away or thrive. A culture supportive of innovative practices begins at the top with the agency’s CEO and senior management. It includes a visible commitment to continuous improve­ ment, receptivity to change, and innate tendencies toward collaboration and teamwork taking place within the organization. Support from internal partners across units is typically necessary to initiate and ultimately to maximize the value derived from these practices. Organizational barriers that discourage synergies should be eliminated, or at least kept to a bare minimum, with recognized, legitimate ways to surmount them. Incentives should be in place to encourage pru­ dent, well thought­out, and managed risk justified by the probabilities and rewards of successes, with inevitable failures accepted as learning experiences rather than outcomes to be feared and avoided regardless of potential benefits.

B-36 Strategic Issues Facing Transportation Supportive Staff A function of culture and organization, and often referred to as an organization’s most valu­ able asset, staff who embrace the tenets of innovative practices are mandatory to success. Staff must possess the right combination of knowledge, skills, and abilities; they must have access to new knowledge and sustain their capacities to keep up with the leading edge. Continuous education and training are essential. Staff capacity is also a consideration, however, because harnessing interest in and knowledge of these practices is only possible if sufficient numbers of staff are available in­house or through outsourcing. For the leader, recruitment and retention practices are geared toward proactively seeking and cultivating these staff. At the level of specific practices, champions to drive them forward must possess a strong combination of technical expertise, passionate interest, and the ability to lead. Legal, Regulatory, and Policy Issue Management New products, methods, and processes require newer standards, specifications, and special provisions, approval processes, and contracting mechanisms. With the accelerated emergence of digital technologies, agencies are also faced with a new set of issues relating to the use of third­party private data, digitally engineered models, electronic documentation, and commer­ cial off­the­shelf information systems. An agency must be adept at dealing with a host of legal and regulatory issues, such as copyrights, ownership, interoperability, and liability. Agency­wide or externally imposed policies must also be examined to eliminate impediments to advance inno vative practices. External Collaboration The introduction of innovative practices at transportation agencies will not occur without collaboration with external partners. Leaders and practitioners often turn to their peers, aca­ demic institutions, and the transportation industry at large to gain an appreciation for leading and best practices, and to see how worthy ideas, methods, or processes can be transferable or adapted. This openness to external collaboration is essential to gain a more complete perspective on potential innovations. At the same time, many practices will emerge from work done in sec­ tors outside the transportation arena and from within the private sector in general. Interaction with these communities should occur to explore applicable opportunities for technology trans­ fer and innovation. Partnerships with the private sector are often necessary to enable appropriate sharing of knowledge, risk, and resources to cultivate and deploy innovation. Emerging and Innovative PMR Practice Database Part B, Appendix 2 (available as part of NCHRP Web-Only Document 272) contains the Emerging and Innovative PMR Practice Database. This tabular database describes 16 significant emerging PMR practices, organized by seven key discipline areas associated with highway PMR. The seven disciplines are pavement, structures, drainage and roadside assets, transportation sys­ tems management and operations, CAVs, maintenance and construction equipment, and infor­ mation technology/data. The database permits the user to focus either by discipline or by innova­ tion across disciplines to access information on what each practice is and does; what anticipated future needs it best responds to; what the anticipated applications are for preservation, mainte­ nance, and renewal activities; what benefits are expected; and what challenges to implementation are likely to be encountered. A detailed review of the material in the database permits the user to initiate a discipline­specific awareness of this select group of exemplary emerging PMR practices.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-37 PMR Practice Capability Assessment and Advancement This guide offers the practitioner two assessment tools based on applications of the capability maturity framework (CMF). The first relates to the evaluation of a particular emerging PMR practice in question (Practice CMF) and the second relates to the agency’s ability to foster such practices in general (Organization CMF). This section addresses the former, and the following section addresses the latter. Since the principal focus of practitioners is likely to be on considering PMR­related practices within a specific discipline or disciplines, their primary interest would lie in assessing capability with respect to a particular practice, such as those included in the database. Therefore, the Practice CMF is the assessment tool the practitioner is expected to use more regularly. Nonetheless, this guide recognizes that, just as leadership must do at a broader enterprise level, fostering innova­ tive practices within a particular unit or discipline is equally important to being able to assess and advance PMR practices. Indeed, the practitioner is likely to be called upon to identify, and be required to support, organizational­level improvements necessary to advance PMR practices. Within this section and the next, each capability assessment tool is paired with a follow­on framework—the RAF—to assist in making decisions on next steps. This RAF coupled with the Practice CMF provides a template for creating a high­level action plan for determining whether and how to advance the practice. The organization improvement framework (OIF) presented in the next section follows the Organization CMF, providing suggested strategic actions to cultivate, advance, and apply inno­ vative practices within the agency, unit, or discipline. Practice 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 PMR prac­ tice in question by assessing key capabilities and identifying potential gaps. Use of the Practice CMF is an internal assessment exercise based on the general process described in the next three sections. Part B, Appendix 3 (available as part of NCHRP Web-Only Document 272) contains additional background on the concept of capability maturity. Who Leads the Assessment? The Practice CMF assessment can be conducted individually by an interested staff person, ideally one who is inclined to be an “innovation champion” (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. A collaborative exercise may also include participation from support func­ tions such as human resources, legal, and information technology. How Is the Assessment Conducted? The Practice CMF assessment is a straightforward process of systematically evaluating the emerging PMR practice­specific capabilities in terms of each CSF one at a time. 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 matrix’s three levels and selects the level that most accurately describes the agency, unit, or discipline’s capability relative to the innovation in ques­ tion. The value of the level (1, 2, or 3) is not the focus of the assessment as much as gaining an

B-38 Strategic Issues Facing Transportation understanding of agency capability and potential gaps in capability relative to the CSF criteria provided. For example, a user may consider all three criteria for a particular CSF and decide that certain elements of Level 1 and Level 2 apply at the same time, and choose to characterize the agency’s capability as somewhere between levels. A general characterization of the three levels is as follows: • Level 1: The agency is in a relatively weak position to advance the innovative practice, with significant gaps in capability. • Level 2: The agency is in a potentially tenable position to advance the innovative practice, but should address some gaps in capability that could pose risks to a successful implementation. • Level 3: The agency is well positioned to advance the innovative practice. The assessment is complete when all components of the seven CSFs have been evaluated. Depend ing on the user’s preference and the context in which the evaluation was conducted (e.g., one individual versus facilitated workshop), the assessment output should consist of a set of CSF level selections at a minimum, potentially accompanied by notes on agency strengths/advantages and weaknesses/disadvantages that substantiate the selections. What Is the Assessment Outcome? A key outcome of the Practice CMF assessment is to identify gaps in capability between cur­ rent agency practice and a threshold target level deemed necessary to advance the PMR practice under consideration. This target level is left to the user to define precisely and should be unique to the agency, the specific practice, and address the gap in capability that has surfaced. Applica­ tion of the Practice 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 the reasonable target level for a specific practice. Following this assessment, a determination should be made as to whether there is (1) a critical mass of capability existing or achievable in a reasonable timeframe to consider advancing the specific PMR practice and (2) a desire to advance the practice. If there is receptivity in advancing a particular practice, it will be important to systemati­ cally define the key steps necessary to address significant gaps in capability that may have been revealed by the assessment. These steps would also need to be integrated with all other significant actions that will be required to incorporate the emerging PMR practice into the agency, unit, or discipline’s work program and advance it through applied research and development, evaluation, testing, and demonstration (as applicable). The Practice CMF The Practice CMF is presented in Part B, Table 19; an example to illustrate application of the process and the potential outcome of the assessment is provided in Part B, Appendix 4 (avail­ able as part of NCHRP Web-Only Document 272). The example uses the application of cal­ cium s ulfoaluminate (CSA) cement, a variety of hyper­performance material, to pavement PMR activities. For each component of the CSFs, a hypothetical evaluation provides the kind of deter­ mination a user is encouraged to make for each factor component. The example depicts a mix of levels (1, 2, or 3, indicated by shading) to further represent a realistic assessment outcome. The actual CMF assessment result will naturally depend on the user agency, unit, or discipline’s context and the practice under review.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-39 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 of th e Em er gi ng PM R P ra ct ic e 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 Aw ar en es s an d Ap pl ic at io n 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 ca pa ci ty 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 ic es to d efi ne , ap pl y, an d 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 th e pe rfo rm an ce o f t he P M R p ra ct ic e 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 P ar t B , T ab le 1 9. P M R P ra ct ic e C M F. (c o n ti n u ed o n n ex t p ag e)

B-40 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. 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 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 es 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 es e pr ac tic es 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 P ar t B , T ab le 1 9. P M R 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)

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-41 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. F rie nd ly C ul tu re a nd O rg an iz at io n To w ar d Em er gi ng / In no va tiv e Pr ac tic es 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 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 li ttl e or n o in te re st fr om si st er 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 ci ng th is p ra ct ic e is e ss en tia 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. S ta ff Su pp or tiv e of E m er gi ng / In no va tiv e Pr ac tic es In no va tio n 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 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 is iti on o f n ew k no w le dg e is ty pi ca lly a pp lie d to 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, a nd s up po rt fo r co nt in uo us e du ca tio n an d tra in in g is s ev er el y lim ite d an d un lik el y to be a va ila bl e fo r t hi s PM R p ra ct ic 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 P ar t B , T ab le 1 9. P M R 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)

B-42 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 P ar t B , T ab le 1 9. P M R P ra ct ic e C M F ( co n ti n u ed ).

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-43 Practice RAF The Practice RAF lays out a high­level action plan for advancing the emerging and innovative practices. The term “advancing” (as opposed to “implementation”) is used since these practices may require testing and evaluation to confirm whether expectations support implementation. The RAF can be thought of as a proposal to provide the justification for moving forward with an agency commitment to the given practice. Use of the RAF (and the CMF) presumes that the potential value of the PMR practice to the agency is apparent to a certain degree although not completely understood. For this reason, the practice must be advanced through an iterative pro­ cess that involves testing, evaluation, refinement and further testing, and evaluation. Practice RAF Components The Practice RAF contains four parts, A through D. Part A—Addressing Practice CMF Gaps: This part involves actions to address key gaps identi­ fied from the CMF assessment. The specific actions should be formulated to progress the agency toward the targets established during the assessment. They should 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. • Estimates of identifiable costs. Part B—Agency-Specific Required Actions: This part describes other significant actions that will be required to formally incorporate the PMR practice into the agency, unit, or discipline’s work program and advance it through applied R&D, evaluation, testing, and demonstration phases (as applicable). These actions may not necessarily “fill gaps” but suggest essential steps of planning, coordination, and execution associated with agency work­program initiatives. These actions will be dictated by the agency’s processes and the practice being advanced. For example, an agency may require that any new practice or initiative be vetted through a prescribed 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. An agency may require that any R&D activity related to the adoption of certain practices in PMR­related areas be subjected to a peer review that includes expertise from within and beyond the agency. The Practice RAF needs to include steps such as those indicated by these examples to indicate responsibilities, needed coordination and collaboration, and a schedule for initiating and completing each action. Part C—Preliminary Long-Term Benefit–Cost Assessment: This part provides key informa­ tion to make a go/no­go decision on whether to advance the practice by providing a preliminary, long­term benefit–cost assessment. This assessment is preliminary without having the benefit of a testing and evaluation stage that could help provide good estimates of costs and benefits. This benefit–cost assessment must draw upon the research and knowledge compiled on the PMR practice, including experience elsewhere, and the best and most objective estimates, even where good data are not available. As is likely in many cases, where these practices would supplant exist­ ing practices, it is important that the benefits and costs be incremental, in that they consider the change in costs and the change in benefits from existing practice. This stipulates a knowledge of

B-44 Strategic Issues Facing Transportation the costs and benefits attributable to existing practices to a level of accuracy comparable to the estimates for the emerging practice. This preliminary benefit–cost assessment is part of the RAF, the purpose of which is to assist in determining whether to advance a given PMR practice to the testing and evaluation phase. A more precise benefit–cost assessment should be made following testing and evaluation of the proposed practice to assist in determining whether, when, where, and how to implement this practice. Part D—Summary and Recommendation: This part summarizes the results of the Practice CMF and Parts A through C of the RAF, weighs the various options, and makes a recommenda­ tion on whether to advance the innovation to the testing and evaluation phase. Part B, Table 20 provides a template for completing the Practice RAF after the Practice CMF assessment.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-45 P ar t B , T ab le 2 0. P ra ct ic e R A F t em p la te . 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

B-46 Strategic Issues Facing Transportation The Go/No-Go Decision The Practice CMF assessment of capability, in combination with the Practice RAF action steps, should provide agency decision makers with the information they need to make a “go/no­go” decision on whether to advance the PMR practice to the testing and evaluation stage. It also provides an ability to move forward quickly as soon as a “go” decision is made. The two­step process (assessing capability using the CMF) and determining required action steps using the Practice RAF will lead to one of four recommended paths that the agency might take to advance a specific practice: 1. “No­go”: Decide not to advance the PMR practice at this time because of: a. Insufficient interest in the practice, 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 practice. 2. “Not­now”: Continue to monitor progress with the PMR practice’s development and appli­ cation elsewhere as well as all of the above factors that led to a “not­now” decision at this time, and revisit the decision when circumstances warrant. Include a discussion of the con­ sequences and ramifications of not advancing the practice at this time and an indication of when revisiting 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 routine as it becomes relatively mainstreamed. Include a discussion of the consequences and ramifications of a “slow­go” decision. 4. “Go­now”: Decide to expeditiously advance the practice into the agency’s mainstream PMR practices, including an expedited testing and evaluation phase, potentially in collaboration with others interested in advancing the practice within the transportation sector. A final go/no­go decision may rest with agency senior management; therefore, the CMF and the Practice RAF should contain sufficient information to support such a recommendation and be packaged and summarized according to the preferences of those making the decision. Since each Practice RAF is unique to the practice being considered and the agency’s individual context, an illustrative example, prepared assuming typical factors that may exist in an agency to illustrate CMF assessment outcomes, is provided in Part B, Appendix 4 (available as part of NCHRP Web-Only Document 272). Suggested Practice RAF Actions Part B, Table 21 provides a set of recommended, generalized actions to help the user identify and develop the actions necessary to populate a Practice RAF. These actions follow the organiza­ tion 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.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-47 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 of Em er gi ng P M R Pr ac tic e 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 an d le ve ra ge a w ar en es s of th e PM R pr ac tic e’ s co nt ex t    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 th e ap pl ic ab ilit y of th e pr ac tic e to e xi st in g PM R p ra ct ic es to w hi ch th ey m ig ht re la te , t he ir cu rre nt p er fo rm an ce a nd e ffi ca cy , a nd ef fo 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 an d bu dg et ) H av e be en c lo se ly tr ac ki ng th e PM R p ra ct ic 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 o th er 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 ap pl ic at io n of th e pr ac tic e 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 c on si de ra tio ns o n 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, a nd 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 bu dg et ) P ar t B , T ab le 2 1. P ra ct ic e 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)

B-48 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 Aw ar en es s an d Ap pl ic at io n Al ig nm en t w ith A ge nc y Pe rfo rm an ce G oa ls Th e PM R p ra ct ic 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 fr om ap pl yi ng th e PM 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 M R 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 pr ac tic 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 yi ng 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 th e pe rfo rm an ce o f t he P M R pr ac tic e in th e co nt ex t o f ag en cy p er fo rm an ce g oa ls 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 PM R pr ac tic e w ou ld m ee t ag en cy p er fo 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 an d ap pr oa ch es to c ap tu re th e 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 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 fo r t he P M R p ra ct ic e, 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 Pr ac tic 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 ed Pr ac tic e R AF fo rm s th e ba si s of a b us in es s ca se P ar t B , T ab le 2 1. P ra ct ic e 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)

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-49 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 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 th at cu lm in at es 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 PM R 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 ch al le ng es a nd ri sk s po se d by a g ive n PM R p ra ct ic e 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 ca pa bi lit 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 co lla 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 Pr ac tic e R AF to d ev el op s tra te gi es to ov er co m 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 Pr ac tic e R AF , w hi ch s ug ge st s 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 a ss oc ia te d w ith e ac h ac tio n ta ke n to a dv an ce th e se le ct P M R p ra ct ic e 3. E m er gi ng an d 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 Ag en cy R &D 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 re se ar ch a nd d ev el op m en t pr og ra m o f i nn ov at io ns 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 . 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 a g iv en P M 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, 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 d ev el op m 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 ., co nt ra 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 ., IT /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 gi ve n PM R pr ac tic e’ s ap pl ie d R &D p ro gr am P ar t B , T ab le 2 1. P ra ct ic e 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)

B-50 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 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 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 . 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 PM R p ra ct ic 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 t es tin 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 de ve lo pm en t o r p ilo tin g th e em er gi ng p ra ct ic e, o r ( 3) a cc ep t t he re su lts o f o th er s’ pi lo t te st s as s uf fic ie nt fo r t he a ge nc y’s p ur po se s    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 PM R p ra ct ic 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 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 u se d to c om pi le , u pd at e, a nd ac ce ss P M R 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 th e 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 p ar tn er s re la te d to P M R p ra ct ic e 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 it is a n in di vi du al , u ni t, or e xt er na l e nt ity    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 sc al ed to th e sc op e of th e pr ac tic 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 an a ge nc y- 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 P ar t B , T ab le 2 1. P ra ct ic e 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)

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-51 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 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 t hi s PM R p ra ct ic e 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 ad vo ca te s to co m pe te fo r f un di ng 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 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 PM R p ra ct ic e in re la tio n to p la nn ed ac tio ns in th is P ra ct ic e 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 fu nc tio ns , e tc .) an d th ei r t im ef ra m es fo r e xe cu tio n    C on si de r P M R p ra ct ic e- sp ec ifi c ve rs us g en er al a pp lic at io ns    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 is P M R p ra ct ic e, e ith er in th e ne ar te rm o r l on g te rm 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, p ro cu re m en t u ni ts , an d 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 PM R 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 p ar tic ul ar 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 wa y 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 to u nd er ta ke th e PM R p ra ct ic e. 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 P ar t B , T ab le 2 1. P ra ct ic e 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)

B-52 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 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 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 PM R p ra ct ic 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 M R 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 PM R 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 PM R p ra ct ic e’ s ap pl ic at io n to an e xi st in 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 it 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 o f th e PM R p ra ct ic e 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 it 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 M R 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 PM R pr ac tic 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 PM R p ra ct ic 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 P ar t B , T ab le 2 1. P ra ct ic e 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)

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-53 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 e PM R 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 pr ac tic 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 a ss oc ia te d w ith e ac h ac tio n ta ke n to a dv an ce th e PM R p ra ct ic e 5. In no va tio n- Su pp or tiv e St af f In no va tio n 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 c ha m pi on fo r t he P M R pr ac tic e in no va tio n an d 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 n “in no va tio n 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 ac tiv iti es re la te d to th e PM R p ra ct ic 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 PM R pr ac tic e    I n co m bi na tio n w ith th e ab ov e ac tio n fo r I nn ov at io n C ha m pi on (s ), id en tif y ke y st af f r ol es an d 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 PM R p ra ct ic e    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 P ar t B , T ab le 2 1. P ra ct ic e 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)

B-54 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 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 p ra ct ic e- 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 ab ov e un de r 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 pi lo ts re la te d to th is p ra ct ic e    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 m ay b e ab le to pr ov id e tra in in g (e .g ., FH W A, a ss oc ia tio ns , a nd u ni ve rs iti es )    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, 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 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 PM R pr ac tic e an d ad dr es s as ap pr op ria te    S ys te m at ic al ly re vi ew p ra ct ic e fo r p ot en tia l s ou rc es o f l ia bi lit y to th e ag en cy , s ta rti ng fr om kn ow n is su es a m on g pe er s an d in c on su lta tio n w ith a pp ro pr ia 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 th e pr ac tic 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 t hi s PM 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 pr ac tic e 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 pr ac tic e, p ar tic ul ar ly 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 on di sc lo su re a gr ee m en ts , u se fe es ) t o pr ot ec t re sp ec tiv e pa rti es    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 p ra ct ic e’ s ris k m an ag em en t f ra m ew or k P ar t B , T ab le 2 1. P ra ct ic e 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)

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-55 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 M R pr ac tic 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 PM R pr ac tic e an d ad dr es s as ap pr op ria 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 PM R p ra ct ic 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 t o) th e PM R p ra ct ic e    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 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 PM R p ra ct ic e Id en tif y ag en cy p ol ic y is su es re la te d to th e PM R 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 PM R p ra ct ic 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 PM R p ra ct ic 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 P ar t B , T ab le 2 1. P ra ct ic e 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)

B-56 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 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 M 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, co or di na te d, a nd s ha re d ris k ap pr oa ch 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 PM R 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 o th er o rg an iz at io ns (e .g ., U. S. D O T/ FH W A, AA SH 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 as so ci at io ns , a nd in du st ry a ss oc ia tio 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 PM R p ra ct ic e- re la te d di al og ue w ith pr iva te s ec to r 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 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 PM R p ra ct ic 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 ce m en t o f t hi s PM R 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 is p ra ct ic 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 P ar t B , T ab le 2 1. P ra ct ic e 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)

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-57 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 i s en ga ge d in a n op tim um fa sh io n fo r t hi s PM R 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 as so ci at ed w ith th e PM R pr ac tic e    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 PM R p ra ct ic 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 M R 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 P M R p ra ct ic e be ne fit –c os t a ss es sm en t ( se e Pe rfo rm an ce A w ar en es s an d Ap pl ic at io n) P ar t B , T ab le 2 1. P ra ct ic e R A F s u g g es te d a ct io n s (c o n ti n u ed ).

B-58 Strategic Issues Facing Transportation Fostering Emerging/Innovative Practices Within the Organization The previous section focused on the assessment of the capabilities and actions required to decide on whether and how to advance a particular emerging/innovative practice using the PMR Practice CMF and the Practice RAF. Another, somewhat less specific but no less significant capability assessment can be done at either the agency­wide level or by a single organizational unit that assesses the capability to foster such practices. At the enterprise level, this may be a first order of business before delving into a specific practice 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 practices. 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 Practice CMF assessment. This broader­based capability assessment can be done with a second type of CMF tool called the Organization CMF. This tool is applicable to individual units where discipline management and technical expertise reside (even without a specific emerging/innovative PMR practice in mind). It can also be used for the entire enterprise or specific parts of the organization where the CEO and senior managers may be interested in knowing how well they are cultivating and encouraging innovative practices across the entire agency. Organization CMF The Organization CMF can assist the practitioner in identifying 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 Organization CMF encourages a top­level, self­assessment of the degree to which inno­ vative practices are fostered throughout the enterprise. Leaders may or may not decide to address gaps as a matter of priority. However, 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 responsibility and to make a conscious choice on whether and to what degree they will accept the responsibility to foster innovative thinking within their technical domains. The assessment should be considered early in the term of new leaders and may be revisited in conjunction with updates to organization­wide strategic plans. 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? The assessment is led by discipline managers or technical practitioners interested in determin­ ing the capability of one or more specific units or disciplines to foster innovative practices. If performed collaboratively, participation from support functions such as human resources, legal and IT can be considered. Alternatively, agency senior management may initiate the assessment.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-59 How Is the Assessment Conducted? The assessment process is the same as for the Practice CMF, except that the evaluation is con­ ducted by assessing capability in terms of the seven CSFs at high levels rather than examining their respective components. The criteria for each level within these factors pertain to fostering continuous improvement in general without a focus on any one practice in particular as is the case with the Practice CMF. 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 threshold target level. Suggested actions to address those gaps are made in the OIF. The Organization CMF Part B, Table 22 presents the Organization CMF.

B-60 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 1. A w ar en es s w ith In no va tiv e Pr ac tic es • 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 s uc h 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 / i nn ov at ive p ra ct ic 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 Aw ar en es s an d Ap pl ic at io n • 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 su ch p ra ct ic es • 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 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 P ar t B , T ab le 2 2. 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)

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-61 Cr iti ca l S uc ce ss Fa ct or Le ve l 1 Le ve l 2 Le ve l 3 3. E m er gi ng / In no va tiv e Pr ac tic 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. In no va tio n- Fr ie nd ly C ul tu re an d O rg an iz at io n • 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 in no va tio n • 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 a nd re ad ily a cc ep ts it a s a le ar ni ng ex pe rie nc e; in no va to rs v is ib ly re co gn iz ed a nd re w ar de d P ar t B , T ab le 2 2. 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)

B-62 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 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 tio n • 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 P ar t B , T ab le 2 2. 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)

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-63 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 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 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 P ar t B , T ab le 2 2. T h e O rg an iz at io n C M F ( co n ti n u ed ).

B-64 Strategic Issues Facing Transportation Organization Improvement Framework 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 Orga­ nization CMF assessment, criteria and performance metrics characterizing the identified target level, and actions to address the gaps and achieve the targets. Part B, Table 23 provides suggested actions by CSF as the key component of the OIF; details for implementing these actions are left to the agency or user’s discretion.

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-65 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 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)    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 P ar t B , T ab le 2 3. O IF 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)

B-66 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 Aw ar en es s an d Ap pl ic at io n  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 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    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 tio n on P M R a nd a ge nc y pe rfo 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 P ar t B , T ab le 2 3. O IF 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)

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-67 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. Im pr ov em en t/ C ha ng e- Fr ie nd ly C ul tu re a nd O rg an iz at io n  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 cr os s ag en cy b us in es s pr ac tic 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 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 im pr ov em en t    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 im pr ov em en t s uc ce ss 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 P ar t B , T ab le 2 3. O IF 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)

B-68 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. Im pr ov em en t/ C ha ng e- Su pp or tiv e St af f  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 e du ca tio 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 im pr ov em en t    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 in no va tio n 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 ap pl ic at io ns 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 tiv e pr ac tic es a re 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 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 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 P ar t B , T ab le 2 3. O IF 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)

Practitioner's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices B-69 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 P ar t B , T ab le 2 3. O IF s u g g es te d a ct io n s (c o n ti n u ed ).

B-70 Part B, Appendices 1 through 5 are part of NCHRP Web-Only Document 272 and can be down­ loaded from trb.org by searching for “NCHRP Report 750, Volume 7.” These appendices are as follows: Part B, Appendix 1 Long List of Emerging Highway PMR Practices Part B, Appendix 2 Emerging and Innovative PMR Practice Database Part B, Appendix 3 The Capability Maturity Model Part B, Appendix 4 Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example Part B, Appendix 5 Innovation Required Actions Framework (IRAF) Illustrative Example A P P E N D I C E S 1 T H R O U G H 5