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

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

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-3 Leadership’s Guide Contents C­4 Leadership’s Guide Orientation C­7 Guide Overview C­7 Preparing for Emerging and Innovative PMR Practices C­7 Fostering Innovative Practices Within the Agency C­7 Remarks on the Practitioner’s Guide to Emerging Highway Preservation, Maintenance and Renewal Practices C­9 Preparing for Emerging and Innovative PMR Practices C­9 Study Background C­10 A Long­Range Vision – Context for PMR in 2070 C­11 The Future Context C­12 Making the Case for PMR Innovative Practices C­13 The Importance of Leadership C­18 The Importance of Practitioner Pressure C­19 Peer Agency Pressure and the Opportunities Presented C­20 Overview of Emerging PMR Practices C­28 Critical Success Factors (CSFs) C­31 Fostering Innovative Practices within the Organization C­31 Organization CMF C­39 Organization Improvement Framework (OIF) C­45 Remarks on the Practitioner’s Guide to Emerging Practices C­45 Organization CMF at the Unit Level C­45 Practice CMF to Assess Specific Innovative Practice

C-4 Strategic Issues Facing Transportation Leadership’s Guide Orientation This guide seeks to stimulate interest among leaders of transportation agencies in foster­ ing emerging and innovative practices as they relate to the preservation, maintenance, and renewal (PMR) of highways and in providing assistance in this effort. The advancements in high­ performance materials, tools, and technologies emerging from research, industry, and leading­edge public­sector practitioners offer exciting opportunities for significant improve­ ments in the typically slow­to­change area of highway PMR. This guide is prepared under NCHRP Project 20­83(03)A, “Long­Range Strategic Issues Af­ fecting Preservation, Maintenance, and Renewal of Highway Infrastructure.” This project ad­ dresses long­range strategic issues (30 to 50 years into the future) that will likely affect trans­ portation organizations. This project is one of seven 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 audience focus for this guide is agency leadership, which includes the Chief Executive Officer (CEO) and those who directly report to the CEO and affect the direction, decisions, and collective day­to­day activities of the organization—often collectively referred to as “senior management.” A companion guide, prepared under this project, focuses on the practitioner as the primary audience. Leaders recognize that a key component of leadership is anticipating and helping to shape the future while guiding their organization through strategic deliberations and decision making. They also recognize that predicting the long­term future, extending outward 30 to 50 years, is a daunting task replete with uncertainty. With that in mind, this guide does not offer a long­term blueprint to guide future PMR practices in the decades ahead. The guide addresses the advan­ tages of embracing emerging PMR practices to maximize value­for­money over the long run, offer examples of highly promising innovative practices, and suggest specific ways for the leaders to self­assess their agencies’ capability in fostering innovative practices in general (not only those related to PMR). The two key assumptions underlying this guide’s approach to fostering PMR innovative practices are as follows: • 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.

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-5 • 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; and other external non­transportation­related factors. While this guide highlights 16 exemplary emerging PMR practices worthy of familiarization and consideration for their beneficial impacts upon highway PMR over this timeframe, a key tenet of this guide is preparation rather than prediction. This guide recognizes that predicting which practices will be “the next big thing” is impractical; therefore, the guide must accommo­ date a full range of practices, from those highlighted to those no one has yet perceived. Preparation is key. Leaders and their agencies should be prepared for a range of future sce­ narios in which highway PMR evolves and adapts, as well as for opportunities to capitalize on specific practices that can improve efficiency and effectiveness, both for the agency and for the agency’s customers. To do so, however, it is necessary to foster an organizational and cultural environment to encourage innovative practices and cultivate innovative thinking. This guide also serves as a charge to transportation leaders for cultivating an environment that advances desirable innovative practices even when those practices lie beyond their capability to initiate on their own. Many practices will be inherently challenging for transportation agencies, particularly when they are driven by technologies and market forces beyond their domains. This is particularly true when advanced technologies and practices emanate from sectors outside transportation, yet they 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 regarding such innovative practices.

C-6 Strategic Issues Facing Transportation 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” type 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.

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-7 Guide Overview This guide is organized into two main sections. The first section provides information that sets the stage for innovative practices. The second section describes an evaluation and improve­ ment tool offered to help better foster such practices within the agencies. A brief description of a practitioners’ guide, also prepared in this project, is also provided. Part C, Figure 1 illustrates how leadership may access the guide’s sections and tool. In this figure and elsewhere in the guide, the terms emerging and/or innovative practices are used interchangeably. Preparing for Emerging and Innovative PMR Practices The guide presents a brief study background and then highlights important trends in “The Future Context,” with a perspective that culminates in the vision presented. This section also includes an overview of emerging PMR practices and summarizes 16 emerging/innovative practices that exemplifies a limitless range of possibilities to stimulate interest among leaders in enhancing their agency’s ability to cultivate and deploy such practices. Many of these practices are innovative partic­ ularly when viewed from today’s context and given the long­range (30 to 50 year) planning context of this guide. Recognizing that advancing such innovative practices requires an in­depth under­ standing of potential benefits and costs, both external to customers and internal to the agency, this section also includes a discussion on “Making the Case for PMR Innovative Practices.” Advocacy for embracing emerging practices including innovation can occur in both a top­ down and bottom­up manner by agency leadership and by practitioners. It involves communi­ cating and cultivating knowledge gained from awareness of emerging and innovative practices. Therefore, this section also includes perspectives on “The Importance of Leadership” as well as a discussion of “The Importance of Practitioner Pressure.” The benefits from a certain degree of competition among peers, in concert with high levels of collaboration, are also discussed under “Peer Agency Pressure and the Opportunities Presented.” The section also introduces seven Critical Success Factors (CSFs) deemed essential to fostering innovative practices generally within the agency and to advancing specific practices. These CSFs form the basis for an assessment tool (presented in the guide) to help agencies assess their capabil­ ity for innovative practices and identify actions to better foster such practices across the enterprise. Fostering Innovative Practices Within the Agency The assessment tool in this guide is a set of evaluation and improvement frameworks: the Orga­ nization Capability Maturity Framework (CMF) and the complementary Organization Improve­ ment Framework (OIF). Their intent is to examine general capabilities at any level of the orga­ nization to foster innovative practices, ranging from the enterprise as a whole to individual units within the agency. The Organization CMF provides a straightforward, criteria­based structure to determine where the agency stands against the seven CSFs. This assessment can identify gaps in capability; the OIF provides a framework for enterprise­wide actions to address those gaps. Remarks on the Practitioner’s Guide to Emerging Highway Preservation, Maintenance and Renewal Practices This guide concludes with a short section suggesting reasons why discipline leaders and technical managers may want to use the Organization CMF. The Practitioner’s Guide also includes a different “emerging PMR practice­specific” CMF that may interest agency leaders in deciding whether and how to advance a specific emerging PMR practice with broad­based implications across the enterprise.

C-8 Strategic Issues Facing Transportation Part C, Figure 1. How to use the leadership’s guide. Inspect the Long-Range Vision – Context for PMR in 2070 Agency PMR Practices Examine agency capability to foster innovation in general Identify future drivers, scenarios and implications for PMR Develop the business case for emerging PMR practice Understand the role of leadership; Consider Questions for Leaders Consider the 16 exemplary emerging PMR practices and their benefits Learn about 7 Critical Success Factors Understand the role of practitioners Access the Organization Capability Maturity Framework Assess each CSF for appropriate level of capability Continue to Organization Improvement Framework (OIF) Address CSF gaps from the CMF. Use OIF Suggested Actions Gaps in capability relative to target levels Figure F-1. How to Use the Leadership’s Guide

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-9 Preparing for Emerging and Innovative PMR Practices Study Background 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 “long list” of more than 60 potential emerging and innovative 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 the following criteria: – Responsiveness to future context, – Departure from current practice, – Degree of impact, and – Plausibility. • Consultation with an outside group of transportation agency and industry professionals regarding the outline for the 16 emerging/innovative PMR practices. • Assessment of the benefits of embracing the emerging PMR practices for organizations when considered in the context of a vision for the nation’s future highway network in the year 2070. This guide begins with the following long­range vision for PMR, which looks 50 years into the future to set the context for how emerging and innovative PMR practices will play a vital role and how transportation agencies should think strategically and tactically to embrace and advance such practices.

C-10 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.

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-11 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. The building blocks of this network will continue to include pavements, bridges, tunnels, drainage systems, and other components of highway infrastructure that are available in today’s world and will remain available in the future. However, the trajectories of various trends and driving forces make it clear that the specific ways in which we maintain, preserve, and renew highway infra­ structure 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—to investigate and implement emerging and innovative 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 pre­ cisely over a 50­year timeframe beyond describing general trajectories in trends (e.g., growing population, increasing traffic), but nor is it necessary. Rather, the implications of these drivers and scenarios help inform what emerging PMR practices may be most beneficial to address the implied challenges and risks agencies will face as they navigate an evolving and uncertain future. Part C, Table 1 provides a high­level summary of key future drivers and their implications for PMR needs. If not already engaged, agencies should track these drivers and monitor the implica­ tions on their PMR needs in a concerted effort to stay ahead of the curve and proactively seek opportunities to apply emerging PMR practices that are responsive. Part C, 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

C-12 Strategic Issues Facing Transportation Making the Case for PMR Innovative Practices While there is a certain qualitative “feel­good” benefit that may accompany doing something that is new and different, being innovative just for its own sake is not sound justification. There must be reasons that are sound and practical to justify the investment and commitment of time and energy required to advance from the state­of­current practice to the leading edge. This is true of innovation in general, but there are unique reasons as to why advancements in PMR practices are important for agency leaders and practitioners 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: – 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? Nonetheless, it is common for highway agencies to be pressured to divert resources that should be allocated to PMR activities toward system expansion projects. This creates even stronger pressure to become more efficient and cost­effective in fulfilling basic PMR functions. PMR Activities Consume a Large Share of Highway Agency Budgets Even where PMR activities are underfunded, they typically consume the largest share of an agency’s budget. 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 keep­ ing 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 performance 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 be in the form of advancements that provide the most cost­effective and efficient means toward that end. 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 ex­ penditures 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 becom­

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-13 ing motivated by advancements, particularly those requiring upfront outlays in expectation of downstream benefits. PMR Advancements Can Attract Talent It is common for highway agencies to have difficulty in attracting young professionals to preservation and maintenance functions. It is easier to find interest, particularly among graduate engineers, in areas such as highway design, structures, traffic engineering, hydraulics, geo­ technical engineering, and construction engineering. All of these areas are connected and essen­ tial to PMR advancement. At the same time, actively encouraging the exploration of emerging 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, and in turn, improve the likelihood that PMR efforts will continue to attract the necessary talent and potential champions. PMR Innovations Are Pathways to Opportunities—The “Upward Spiral” of Customer Service, Credibility, and Resources While there are myriad indirect benefits from a safe and efficient highway system relating to economic well­being, vitality of communities, societal equity, and environmental quality, these are largely derivative of more directly measurable performance goals such as safety, mobility, access, reliability, and resilience. PMR activities affect all of these areas. Therefore, any opportu­ nity to improve highway agency PMR practices represents an opportunity to enhance the experi­ ence of those who use or are affected by the streets and highways under the agency’s purview. All such stakeholders may be viewed as customers whose increased satisfaction can be thought of as fueling an upward spiral of improved credibility in the realms of public perception and politics. It is in these worlds that an agency’s reputation is formed. Is it well run or poorly managed? Does it provide good service? Is it responsive to evolving needs and shifting conditions? Is it a leader among its peers? Does it deliver value for money? Agencies that fare well in these intertwined per­ ceptions are more likely to be viewed as worthy of the confidence vested in them by stakeholders and by those who control their purse strings. They are also more likely to be supported in their continued efforts to advance their PMR practices 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 innova­ tive practices. Those organizations that have kept up with the leading edge practices to provide improved service to customers will become increasingly evident among political leaders and are more likely to receive the resources needed to sustain their upward spiral of continuous improvement. The Importance of Leadership Seeking out and implementing innovative PMR practices is not just the job of researchers and practitioners. It requires leadership and an organizational culture that fosters self­awareness, continuous learning, and adaptation to beneficial changes. Those considered in leadership posi­ tions include not only the CEO, but also those senior managers who have a seat at the table as decisions are made, who have responsibility for implementing those decisions, and thereby have an impact on the long­term direction and the day­to­day activities of the organization. It is impossible to isolate innovation­supportive leadership characteristics for PMR alone, and therefore they are addressed in this guide in broader terms. However, since it is quite possible

C-14 Strategic Issues Facing Transportation for PMR functions in general to receive less leadership attention than other, higher profile areas, it is worth focusing on the potential for this occurring and the implications for emerging and innovative PMR practices. Gaining Leadership Attention for PMR Not unique to transportation is the all­too­often, yet understandable, consumption of the attention 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 preservation, maintenance, and renewal of the physical plant. These are all frequently viewed as routine and mundane in the absence of pressing issues, and therefore less prominent on the leadership’s radar—except when erstwhile low­key PMR issues lead to major problems, such as an unplanned system closure resulting from inadequate attention over time. When it comes to innovative PMR practices, it may require special effort to ensure that this vital but often less visible area assumes 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 unfortunate consequences that can result from “under­engaging” in PMR issues. How Important Is Front-Office Engagement to Front-Line Innovation? It is possible, although not as likely, for innovative PMR practices to occur in organizations in the absence of active leadership support. In their 1982 widely read book, In Search of Excellence, Tom Peters and Robert Waterman, Jr., refer to “skunkworks,” a term coined by Lockheed dur­ ing World War II, which Wikipedia defines as “…a group within an organization given a high degree of autonomy and unhampered by bureaucracy, with the task of working on advanced … projects.” Skunkworks are considered incubators of innovation populated by self­starting cham­ pions who work apart from the mainstream organization to come up with game­changing ideas that offer dramatic improvements to products and processes. For skunkworks to have an impact, however, the fruits of their efforts must affect the enterprise, which means that organizational leadership must buy in. Some leaders have been known to encourage skunkworks not only in the hope of achieving transformational breakthroughs, but also to keep mainstream units who are engaged in process and product improvements on their toes. For innovative practices to flourish in an organization, leadership must be on board, whether through highly visible and encouraging actions or through less visible but no less important sup­ port for champions who will challenge the status quo in a quest for continuous improvement. Innovative practices must not only be encouraged and supported, but 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.

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-15 Some degree of organizational inertia and hesitancy (if not outright hostility) to change are virtually inevitable barriers to change, even in top­notch organizations. External Communication In addition to instilling and sustaining an environment for innovation within the agency, leaders must communicate beyond the agency to generate understanding and support for invest­ ment and change, and in particular, to obtain endorsement and resources from outside influ­ encers (e.g., legislators, private industry, customers, etc.). Leaders will ideally continuously and consistently educate these external audiences on the benefits and progress (or failures) with innovative practices. Successful communication consists of framing the proposed innovation 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 specific innovations is often viewed more in the domain of the practitioner, leaders are in the best position to facilitate a multidiscipline, interoffice system 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 that encourage feedback and ideas from staff at all levels, including those at the front lines who carry out the work and often see firsthand the greatest need and potential for significant improvement. If the perception among front­line workers is that they are expected to do as they are told without making waves that upset the status quo, then 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. Leaders must balance numerous priorities and often cannot afford to devote extensive time to exploring all issues in depth. They may not possess a background steeped in the technical specifics of PMR. As a result, they must receive and act upon the counsel of PMR practitioners who can pro­ vide the necessary understanding and recommendations of the importance of PMR improvement. Walking the Talk While virtually none in leadership positions would claim to be anything but supportive of advancements and innovative practices, as with any other aspect of leadership, it is whether

C-16 Strategic Issues Facing Transportation leaders “walk the talk” that counts in the end. Leaders talking up the value of advancements is an important step, but “taking the walk” requires a lot more than just talk. Walking the advancement talk means leaders who do well in responding to probing questions on advancements; Part C, Table 2 provides a list of such questions. Part C, Table 2. Questions leaders should ask themselves to better position themselves for taking advantage of emerging and innovative PMR practices. • Are you in touch, at least in general terms, with where key parts of the organization stand in their current PMR practices compared with peers, compared with state-of-the-art and leading-edge practices, and compared with those that are just beginning to find their way into practice? • Do you understand the relationship between how the organization does business today and the external drivers that will influence how it must do business tomorrow to fulfill customers and stakeholder expectations? • Are you fostering a culture that encourages objective and collaborative self-scrutiny at all levels, a passion for learning and continuous improvement, and the unwavering obligation of leadership and management to seek out ideas from front-line staff? • Does interest in improvements arise from bottom-up champions? • Are there regular processes in place that result in an agency-wide perspective on the relative need for, value from, and priority of advancing innovative practices? • Are you recruiting, screening, and advancing staff at all levels, from the front lines to the front office, who grasp the importance and are fully supportive of a forward-looking culture of improvement? • Are analytical processes in place to evaluate potential benefits and costs (both internal to the agency and external to customers) in reaching investment decisions into innovative practices? • Are performance metrics in use that identify current, targeted, and actual outcomes? • Are you confident that systems and programs are in place that support rather than impede the never- ending search for better ways of doing business? • Do you provide the necessary resources to support a learning organization and the testing of innovative approaches? • Do you recognize and accept that inherent in innovative practices is the risk of falling short of expectations, while learning from experiences that reduce the risk over time? • Do you celebrate successes internally in ways that demonstrate the importance of seeking out beneficial practices, and externally in ways that build respect for and confidence in the agency?

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-17 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 innovative practices are likely to be greater. This may not be a bad strategy. A highway agency leader recalled communi­ cating with his leadership team that being in second place among peers in leading­edge practices across all agency functions would virtually ensure being in first place overall as an agency. The implicit assumption is that few, if any, agencies become innovation leaders across all functions. Rather, those that strive to be in the forefront of innovation more typically focus on a select number of areas that are important to them and in which they have made significant investments to establish and sustain a critical mass of expertise and capability. Get the Ball Rolling Even where the strategy is to learn and adapt from the experiences among pioneering peers, or from developments led by industry (as in the case of connected and automated vehicles and construction robotics), it is important to “get started” in terms of awareness, keeping up with advance ments, and gearing up for a technology transfer. This can be done by making early invest ments in staff and other required resources given the lead times typically required between a decision to move forward and ultimately achieving the sought­after outcome. Failure to start the ball rolling, even when the innovative practice may be some time away or seemingly outside the domain or control of the public agency, could result in drifting toward the back of the pack or rushing into or reacting to a practice for which the agency may be not well prepared. This hesitancy or inability to get started may be due to the short­term thinking of agency top­ level leadership to focus primarily on short­term problems, and to invest energy and resources toward innovative practices whose benefits in years to come they may be unlikely to experience. Another constraint that may dampen interest in such practices over the long run stems from the process—and the politics—of annual budgeting and the discounting of long­term benefit characteristic of agency as well as elected leaders. This has led to enormous pressures to focus on “first” or initial costs and quick successes in making investment decisions. The “first cost” approach takes the emphasis away from analyzing benefits and costs on a life­cycle basis and discourages upfront investments in anticipation of long­term outcomes. Winners, Losers, and Vested Interests PMR innovative practices may ultimately result in cost savings and service improvements that accrue to the benefit of public­sector agencies and the customers they serve. However, they may have short­run or long­term negative impacts on some individuals or groups who have a vested interest in the status quo and who may use every tool at their disposal to steer a highway agency away from such beneficial practices that would damage their interests. Similarly, those who may gain from certain changes may press for those changes, whether or not net benefits are in the offing. What both potential winners and potential losers have in common is the tendency to exaggerate their claims and apply pressure to agency and political leadership in a manner that might tilt the playing field in their direction. None of this helps the case for objective, merit­ driven innovative practice, but it reflects a reality that often must be addressed.

C-18 Strategic Issues Facing Transportation Change Management Finally, it is important for agencies to consider the need for change management strategies when implementing innovative practices. The potential for resistance to change from legacy systems and practices should not be ignored, particularly among practitioners whose skillsets may no longer be needed and from managers whose area of responsibility may be diminished. An essential aspect of change management is finding and designating internal champions to navigate the complex maze of formal approvals and informal buy­in through collaborative and motivational approaches that can build support and overcome resistance without leaving a destructive and potentially counterproductive wake. Top management support and staying power is critical to sustain not only the investment of funding, but also the investment of time and energy, which can be just as scarce, when dealing with barriers to change. The Importance of Practitioner Pressure While this guide is focused on leadership, it is important to consider the role of bottom­up practitioner pressure to gain the attention of leaders with respect to opportunities for practices worthy of consideration. It is assumed that the vast majority of leaders will appreciate the value of energized, thoughtful, proactive practitioners who will share their perspectives on possibili­ ties for advancements. Indeed, leaders in organizations historically characterized by a top­down culture may wish to consider strategies that encourage bottom­up initiatives and feedback, reflective of a culture particularly attractive to more recent generations of young professionals. Seasoned practitioners who specialize in technical disciplines know that to advance the state­ of­the­practice toward the leading edge requires not only a threshold of technical expertise, but also an enterprising, proactive approach that results in upward pressure on leadership to invest in innovative practices. This is particularly true for PMR­related activities, where many of the opportunities for these practices are highly specialized and may not appear on the radar of even the most progressive and enlightened leaders. If agency leadership has done its job well in recruiting and advancing top­tier technical talent and in fostering a learning culture that seeks out and welcomes the opportunity to test new ways of doing business, there will inevitably be a bottom­up, practitioner pressure that complements and amplifies top­down agency leadership to encourage advancements. The most daunting chal­ lenge for practitioners lies in advocating for innovation in an organization whose leadership and culture may fall somewhat 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 impor­ tant. With the support of practitioner champions, advancements can occur even in an organiza­ tional culture somewhat indifferent to fostering innovation. Alternatively, without practitioner champions at least receptive, and acting as strong advocates, no amount of top­down initiative can force these advancements. Champions of Advancements While the major waypoints on the road to innovative practices have a certain commonality— awareness, advocacy, assessment of benefits and costs, assessment of capability, adoption, and action plan—there is no standard process to reach and progress through those waypoints. The specific route can and usually will involve twists and turns, starts and stops, 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 may come from any quarter. Typically,

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-19 they are 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 effec­ tiveness. 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 way of doing business. Just as leaders must build trust with external stakeholders by communicating the benefits and progress (or failures) with 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, and to the point, and tailored to their particular interests and concerns, which must be researched and anticipated. Involving leadership at key points of any PMR peer exchange activities is beneficial to both groups. As with leaders’ communication, 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 sup­ portive technical discipline managers (e.g., section or branch chiefs) who have technical knowl­ edge, a broader perspective, and access to resources and the decision­making process. In fact, the innovation champion may be the discipline manager. Having two or more co­champions is also a possibility. There is strength in numbers, but ultimately it becomes important for one person to be the initiator 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. Peer Agency Pressure and the Opportunities Presented State transportation agencies enjoy close interrelationships at the technical discipline level and the leadership level through AASHTO and four regional counterpart organizations. These connections among peer agencies and peer professionals provide invaluable insights, as well as opportunities for practitioners to advocate for PMR innovative practices and for collaboration in advancing them. Neither practitioners nor agency leaders relish being seen by their peers or by their stakeholders as lagging behind others who operate under similar circumstances. This phe­ nomenon has been a key driver of the longstanding desire among most transportation agencies and 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:

C-20 Strategic Issues Facing Transportation • Identifying PMR innovative practices being advanced among peer transportation agencies and determining potential relevance and value added on the home turf. • Soliciting peer agency experience with specific practices to obtain objective feedback and to temper less­than­objective claims from innovation advocates or critics. • Providing “ammunition” in advocating advancement of a PMR practice in the home agency. • Exploring possible partnership arrangements with peer transportation agencies to mitigate risks and spread the costs of advancing leading­edge practices. Overview of Emerging PMR Practices Part C, Tables 3 through 18 provide brief summaries of the 16 PMR­related emerging and innovative practices identified through a process of evaluation and prioritization during the research for this project. They represent a curated selection of the most consequential emerging PMR practices deemed plausible over the next 50 years, as determined through extensive re­ search and advice of a panel of PMR professionals. These are only examples of virtually limitless emerging PMR practice possibilities. However, familiarity with this subset will go a long way to advance an understanding of emerging PMR state­of­the­practice and lend weight to the need to foster an agency environment in which these practices, or others, can thrive and deliver benefits to the agency and its customers. The summaries focus on what each emerging PMR practice 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. Part C, 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

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-21 Part C, 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 Part C, 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

C-22 Strategic Issues Facing Transportation Part C, 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 Part C, 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.)

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-23 Part C, 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 Part C, 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

C-24 Strategic Issues Facing Transportation Part C, 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 Part C, 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

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-25 Part C, 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) Part C, 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

C-26 Strategic Issues Facing Transportation Part C, 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 Part C, 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

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-27 Part C, 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) Part C, 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

C-28 Strategic Issues Facing Transportation Part C, 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 Critical Success Factors (CSFs) Inertial responses to change among individuals and within organizations are common and must be anticipated if advancements are to occur. It is therefore only realistic to expect that in­ stilling a pervasive and persistent desire to foster 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 discipline­specific commit­ ments to continuous improvement, openness to new ideas, receptivity to change, and well thought­out change management strategies. As individuals and agencies adopt emerging and innovative practices and adapt their internal operations accordingly, they can begin to under­ stand the logical steps involved in implementation. Agencies can fashion their own unique ap­ proach 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 and innovative PMR practices. What It Takes to Succeed Success can be defined as overcoming challenges and risks to fostering and adopting specific innovative practices that provide defined benefits. The challenges and risks associated with such 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 acceptance and implementation of such practices among organizations a challenge requiring customized strategies and processes to educate, encourage, convince, demonstrate, and deploy. External Factors: Myriad external factors, such as market uncertainties and government regula­ tions, influence the acceptance and implementation of innovations among highway organizations.

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-29 Many innovative practices are direct or indirect outcomes of the research and development 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. Add­ ing 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 these 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 appli­ cation, supportive systems and programs, funding, and policies related to innovation pro­ gram development. • Agency Institutional Context: Relates to internal agency culture, organization, and staff will­ ing and capable of capitalizing on these practices. • External Collaboration: Involves interaction and collaboration with key communities outside the agency and partnerships with the public and private sector to support these practices. This guide defines seven CSFs across these categories where challenges and risk must be con­ sidered in advancing innovative practices. They form the basis for evaluating and improving agency capability to advance specific PMR innovative practices and to foster innovation. Awareness Awareness refers to how in­tune an agency, unit, or individual is with the state­of­the­art and trends in specific areas, and where the agency, unit, or individual is within their practice. Aware­ ness can refer to the context in which the practice applies, 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 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 implementation (staffing, expertise, facili­ ties, equipment, time, and budget). Performance Awareness and Application Agencies must fully understand the implications of innovative practices—their 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 practices. Outcomes should be aligned with estab­ lished agency performance goals. Evaluating and communicating outcomes require the right performance measures, comparative data, and analytics. Tools and methodologies to bench­ mark, analyze benefits and costs, and ascertain and address risks and challenges all encompass indispensable aspects of understanding a practice’s performance and use.

C-30 Strategic Issues Facing Transportation 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 innovative practices. 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 practice exploration through deployment, supportive systems for managing information and data are essential, with significant challenges deriving from data capture, management, 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 decision­making. Finally, advancement, especially in the PMR arena, requires suf­ ficient resources, which means the opportunity to compete for funding within the confines of established budgetary and program processes. Agency Culture and Organization An agency’s culture sets the tone for an environment in which innovative practices can either wither away or thrive. A supportive culture begins at the top with the agency’s CEO and senior management. It includes a visible commitment to continuous improvement, receptivity to change, and innate tendencies toward collaboration and teamwork taking place within the organiza tion. Support from internal partners across units is typically necessary to initiate and ultimately maximize the value derived from innovative practices. Organizational barriers that discourage synergies should be eliminated, or at least kept to a bare minimum, with recog­ nized, legitimate ways to surmount them. Incentives should be in place to encourage prudent, well thought out, 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. Innovation-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 advancements 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 innovative practices is only possible if sufficient numbers of staff are available in­house or through outsourcing. For the leader, recruitment and retention prac­ tices are geared toward proactively seeking and cultivating these staff. At the level of specific innovations, 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 provi­ sions, 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 commercial off­the­shelf infor­ mation 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 innovative practices.

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-31 External Collaboration Advancements at transportation agencies will not occur without collaboration with exter­ nal partners. Leaders and practitioners often turn to their peers, academic 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 transferred or adapted. This openness to external collaboration is essential to gain a more complete perspective on potential practices. At the same time, many innovative practices will emerge from work done in sectors outside the transportation arena and from within the private sector in general. Interaction with these com­ munities should occur to explore applicable opportunities for technology transfer and advance­ ment. Partnerships with the private sector are often necessary to enable appropriate sharing of knowledge, risk, and resources to cultivate and deploy such practices. Fostering Innovative Practices Within the Organization This guide offers transportation leaders a tool to assess their agencies’ capabilities to foster innovative practices across the enterprise and identify actions to make improvements that affect culture, organization, and business practices. This tool begins with the Organization Capability Maturity Framework (CMF) to evaluate the agency’s existing ability to foster these improve­ ments and with the Organization Improvement Framework (OIF) that provides suggested stra­ tegic actions to cultivate, advance, and apply these practices across the agency. Organization CMF The Organization CMF assists the leader in determining the extent to which the agency is positioned to cultivate, advance, and apply innovative practices by assessing key capabilities and identifying potential gaps. Use of the Organization CMF is an internal assessment exercise based on the general process described in the next three sections. Who Leads the Assessment? The Organization CMF assessment can be conducted individually or collaboratively among a group of senior managers. The assessment should be considered early in the term of new leaders, and may be revisited in conjunction with updates to organization­wide strategic plans. How Is the Assessment Conducted? The Organization CMF assessment is a straightforward process of systematically evaluating agency­wide capabilities in terms of each of the CSFs described previously one at a time. The CSFs are numbered in a recommended order but can be assessed in any order. The user consid­ ers the criteria under each of the matrix’s three levels and selects the level that most accurately describes the agency’s capability. The value of the level (1, 2, or 3) is not the focus of the assess­ ment as much as gaining an understanding of agency capability and potential gaps in capability relative to the factor’s provided criteria. For example, a user may consider all three criteria for a particular factor and decide that cer­ tain elements of Level 1 apply at the same time that certain elements of Level 2 also apply. The user may choose to characterize the agency’s capability as somewhere between levels. A general characterization of the three levels is as follows:

C-32 Strategic Issues Facing Transportation • Level 1: The agency generally has not considered the CSF with respect to fostering innovative practices. • Level 2: The agency has been considering the CSF with respect to fostering innovative prac­ tices, 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 has developed an approach to provide the CSF capability and it has been largely implemented. The assessment is complete when all seven CSFs have been evaluated. Depending on the user’s preference and the context in which the evaluation was conducted (e.g., one individual vs. 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 Organization CMF assessment is to identify gaps in capability between current agency practice and a threshold target level deemed necessary to better foster innovative practices within the agency. This target level is left to the user to define precisely and should be unique to the agency and the gap in capability that has surfaced. Application of the Organization 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 what a reasonable target level should be. Following the application of the Organization CMF, a determination should be made on whether and how to address the identified gaps in capability among the CSFs. Capability maturity theory dictates a focus on the weakest of CSFs and that all are synergistically related and necessary to address (if they exhibit gaps). Senior management can determine prioritiza­ tion; identification of actions to close the gaps must follow. The OIF provides a detailed set of generalized, recommended actions to pick from that should be tailored to the user’s agency and augmented with implementation details. The Organization CMF The Organization CMF is presented in Part C, Table 19.

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-33 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s Le ve l 1 Le ve l 2 Le ve l 3 1. A w ar en es s • C on te xt A w ar en es s: Le ad in g ed ge p ra ct ic es 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 a pp ro ac he s be in g de ve lo pe d an d te st ed • Li ttl e or n o ef fo rt at a n or ga ni za tio na l le ve l t o fo st er in te re st a nd a w ar en es s in le ad in g ed ge /in no va tiv e pr ac tic es • To th e ex te nt th at in te re st a nd aw 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 de pe nd en t o n in di vi du al in iti at ive am 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 le ve l a re s po ra di c an d in co ns is te nt • Ke y st af f i n so m e ag en cy u ni ts a re en co ur ag ed 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, co nf er en ce s, e xt er na l c on ta ct s) b ut su ch e nc ou ra ge m 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 u ni t 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 of 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 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 o f de ve lo pm 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 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 • Pe rfo rm an ce M ea su re s • As se ss m 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 • Li ttl e or n o or ga ni za tio n- w id e em ph as is on 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 go al s (b ey on d m ee tin g le gi sl at ed o r re gu la to ry re qu ire m en ts ) t ha t s ug ge st ho w th e go al s m ig ht b e m et th ro ug h in no va tio n • N o ac ce pt ed a ge nc y- w id e pr oc es s fo r b en ch m ar ki ng b es t p ra ct ic es or 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 q ua lit at ive a nd 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 ris ks a ss oc ia te d w ith p er fo rm an ce - en ha nc in g an d 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 ab ov e m ee tin g m in im um re qu ire m en ts ) t o as se ss p ro gr es s to wa rd a ch ie vin g ag en cy go al s is en co ur ag ed , b ut p er fo rm an ce da ta a re n ot e m pl oy ed re gu la rly to im pr ov e pr oc es se s on a c on tin ui ng b as is, b en ch m ar k be st p ra ct ice s, o r s ys te m at ica lly re la te to in no va tiv e pr ac tic e po te nt ia l. W he re it is ap pl ie 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 an d an al yz ed , b ut th er e is n o ge ne ra lly ac ce pt ed m et ho do lo gy a nd o nl y lim ite d re co gn iti on o f e xt er na l b en efi ts a nd c os ts • 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 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 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 a nd m an ag in g ris ks a re n ot co ns is te nt ly w el l-d efi ne d • Sy st em at ic p er fo rm an ce m ea su re m en t u si ng c on si st en t 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 go al s 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. T he re is a st ru 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 , co ns id er in g fa ct or s bo th in te rn al a nd ex te rn al to 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 ba si 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 a na ly ze d by u si ng a n ex pl ic it, s ys te m at ic ris 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 pr ac tic es fo r s ur m ou nt in g ch al le ng es a nd m an ag in g ris ks P ar t C , T ab le 1 9. 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)

C-34 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s Le ve l 1 Le ve l 2 Le ve l 3 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 es ea rc h an d D ev el op m en t • Ag en cy P ilo t T es tin g • In st itu tio na l K no w le dg e M an ag em en t S ys te m • Ac ce ss to F un di ng • As si st an ce fr om Su pp or t F un ct io ns (I T, H R , P ro cu re m en t) • Av ai la bi lit y of F ac ilit ie s, Eq ui pm en t a nd T es t Si te s • Ag en cy la ck s ro bu st , s up po rti ve sy st em s an d pr og ra m s to fo st er in no va tiv e pr ac tic es , i nc lu di ng pa rti ci pa tio n in a pp lie d re se ar ch a nd 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 ac ce ss fa ci lit ie s, e qu ip m en t, or te st si te 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 ne w in iti at ive s an d in no va tiv e pr ac tic es is n ot re ad ily a va ila 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, k no w 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 re gu la r p ro ce ss es a re 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 at ti m es re qu ire s se ni or m an ag em en t in te rv en tio n • Ag en cy h as fo rm al p ro gr am in p la ce su pp or te d by n ec es sa ry s ys te m s an d fu nc tio ns , i nc lu di ng s us ta in ab le 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, eq ui pm en t, or te st s ite s, a nd a n in st itu tio na l k no w le dg e m an ag em en t sy st em • Es ta bl is he d bu dg et ar y an d pr og ra m pr oc es se s en co ur ag e ad vo ca te s of in no va tiv e pr ac tic es to c om pe te fo r fu nd in g • 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 p ro ac tiv el y P ar t C , T ab le 1 9. 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)

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-35 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s Le ve l 1 Le ve l 2 Le ve l 3 4. In no va tio n- Fr ie nd ly C ul tu re 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 • O rg an iz at io na l B ar rie rs • R is k– R ew ar d R es po ns e • 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 u nd er st an di ng o f t he va lu e of o r s up po rt fo r i nn ov at ive pr ac tic es . S en io r m an ag em en t i s st ro ng ly 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 pr ac tic es a nd is re si st an t t o ch an ge 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 st af f a re 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 e xi st in g pr ac tic es • O rg an iz at io na l b ar rie rs , s uc h as st ov e pi pe d or b lu rre d lin es o f u ni t an d in di vi du al a ut ho rit y, st ric t c ha in - of -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 co m pe tit ive re la tio ns hi ps a m on g un its , in hi bi t i nn ov at ive p ra ct ic es • Se ni or m an ag em en t p ro je ct s a ris k- av er se p os tu re to w ar d in no va tio n w ith th e ge ne ra lly a cc ep te d no tio 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 su pp or tiv e of 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 n ew id ea s, a lth ou gh th is a tti tu de v ar ie s by u ni t a nd 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 a re n ot 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 a re id en tifi ed a nd a dd re ss ed ca se -b y- ca se , 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 a cc ep t t he p os si bi lit y of fa ilu re w he n pu rs ui ng in no va tiv e pr ac tic es , al th 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 ga in in g 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 ch am pi on s co nt in uo us im pr ov em en t an d in no va tiv e pr ac tic es 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 , re ce pt ive to n ew id ea s, s ee k te ch ni ca l tra 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 i m pr ov em en ts to ex is tin 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 , tw o- w ay li ne s of c om m un ic at io n ar e op en , a nd th e oc ca si on al c ha lle 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 fra m ew or k re co gn iz es th e po te nt ia l of in no va tiv e pr ac tic es ’ fa ilu re , r ea di ly ac ce pt s it as a le ar ni ng e xp er ie nc e, an d vi si bl y re co gn iz es a nd re w ar ds su pp or te rs o f i nn ov at ive p ra ct ic es P ar t C , T ab le 1 9. 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)

C-36 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s Le ve l 1 Le ve l 2 Le ve l 3 5. S up po rti ve St af f • Kn ow le dg e Ac qu is iti on an d 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 • St af f C ap ac ity • R ec ru itm en t a nd R et en tio n • 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 s tre tc he d th in , a nd c om m itt ed to su pp or tin g 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 kn ow 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 s up po rt in no va tiv e pr ac tic 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 k no w 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 ha ve b ee n 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 , ei th er in -h ou se o r a cc es si bl e th ro ug h ou ts ou rc in g, a re id en tifi ed a nd a dd re ss ed 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 do , p ro ac tiv el y se ek o pp or tu ni tie s to a cc es s ne w k no w le dg e th at c an ad va nc e ex is tin 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 ac ce ss ib le to s ta ff • Su ffi ci en t s ta ff ca pa ci ty a nd te ch ni ca l ex pe rti se 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 , ei th 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 t ha t p os se ss th e de si re an d kn ow 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 a nd 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 at tra ct th es e in di vi du al s P ar t C , T ab le 1 9. 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)

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-37 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s 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 • In te lle ct ua l P ro pe rty Is su es • Le ga l a nd R eg ul at or y C ha lle ng es • Po lic y Is su es • 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 - bi d pr oc ur em 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 e ng ag e ou ts id e co un se l or s ee k su cc es sf ul p ee r e xp er ie 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 im pe di m en ts (i n ar ea s su ch a s in fo rm at io n te ch no lo gy , h um an re so ur ce s, o ut so ur ci ng , a nd o ut - of -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 a dv an ci ng in no va tiv e pr ac tic es • Le ga l a nd re gu la to ry is su es a ss oc ia te d w ith in no va tio n (li ab ilit y, in te lle ct ua l pr op er ty is su es , l ow -b id p ro cu re m en ts ) ar e ad dr es se d by re co ur se b y pe er ag en cy le ga l s ta ff or o ut si de c ou ns el a nd su pp or te 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 of te 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 , bu t e ve nt ua lly g et re so lve d, p ot en tia 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 as so ci at ed w ith in no va tiv e pr ac tic es ar e fo rm al ly a ss es se d as ri sk s an d ad dr es se d by b es t a va ila bl e le ga l 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 ad va nc e in no va tiv e pr ac tic es p ro vi de th e ba si s to c ha lle ng e, o r s ee k sp ec ia l e xc ep tio ns to , o th er p ot en tia l ag en cy o r e xt er na l p ol ic ie s th at be co m 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 P ar t C , T ab le 1 9. 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)

C-38 Strategic Issues Facing Transportation Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s 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 an d 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 • Pr iva te -S ec to r 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 an d 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 an d in no va tio n th ro ug h in te ra ct io n w ith in du st ry a ss oc ia tio ns a nd te ch ni ca l gr ou ps is n ei th er e nc ou ra ge d no r sy st em at ic • 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, p riv at e en tit ie s, or 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 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 , i s ve ry li m ite d or no ne xi st en t • Li ttl e to n o co ns id er at io n is g ive n to ou ts ou rc in g, s ha rin 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 pa rtn er in g w ith p ee r p ub lic a ge nc ie s or th e pr iva te s ec to r • 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 di sc ip lin 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 a ss oc ia tio ns a nd te ch ni ca l g ro up s oc cu rs s po ra di ca lly , 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 ar e de ve lo pi ng a nd th er e is o pp or tu ni ty to ap pl y ou tc om es to th e ag en cy ’s pr ac tic es , oc cu rs o cc as io na lly 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 - se ct or , s up po rti ve o f i nn ov at ive p ra ct ic 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 co m pe tit io n) a re li m iti ng b ut a re s ta rti ng to be o ve rc om e in p ar t f ro m a pp lic ab le p ee r ex pe rie nc e; s im ila r a rra ng em en ts w ith p ee r pu bl ic 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 an d 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 a nd 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 su pp or te d to p ar tic ip at e in in du st ry as so ci at io ns a nd te ch ni ca l g ro up s w ith an e m ph as is o n ta pp in g in to le ad in g ed ge /in no va tiv e pr ac tic es th at m ay ap pl y 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, p riv at e en tit ie s, or 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 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 en co ur ag ed th ro ug h sp ec ia lly ar ra 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 pa rtn 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 a dv an ce in no va tiv e pr ac tic es P ar t C , T ab le 1 9. T h e O rg an iz at io n C M F ( co n ti n u ed ).

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-39 Organization Improvement Framework (OIF) The OIF provides an action­oriented framework that begins with the results of the Organiza­ tion CMF assessment and indicates actions required to advance the organization to the highest target level (Level 3). In identifying Level 3 as the potential target, the OIF tool recognizes im­ proving above Level 1 but below Level 3 may be a prudent goal, depending upon circumstances, in which case the suggested actions would be scaled back to the more modest target level. In addition, while three CMF target levels have been identified for the sake of simplicity, real­world applications will indicate endless varieties of gray areas in which the digital 3­level framework may not apply so neatly. The key to successful application of the OIF is a desire to improve along a continuum, with just how much and how far left to the circumstances and judgments inherent in each application. At a minimum, the OIF should contain for each a description of the agency’s existing practices and capabilities with respect to the CSFs and their components, a description of gaps identified from the Organization CMF assessment, criteria, and performance metrics characterizing the identified target level, and actions to address the gaps and achieve the potential target (Level 3). Part C, Table 20 presents a partial OIF illustrating the suggested actions and potential target associated with each CSF and component. These suggested actions are illustrative and are not in­ tended to be prescriptive. In fact, coming up with customized suggested actions in a collaborative, interactive manner constitutes an invaluable step along the path to higher levels of capability.

C-40 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 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 C , T ab le 2 0. 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)

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-41 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 • Al ig nm en t w ith Ag en cy P er fo rm an ce G oa ls • Pe rfo rm an ce M ea su re s • As se ss m 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 • Ag en cy R &D • Ag en cy P ilo t T es tin g • In st itu tio na l Kn ow le dg e M an ag em en t S ys te m • Ac ce ss to F un di ng • As si st an ce fr om Su pp or t F un ct io ns (IT , H R , P ro cu re m en t) • Av ai la bi lit y of Fa ci lit ie s, E qu ip m en t, an d Te st S ite 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 C , T ab le 2 0. 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)

C-42 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 4. C ul tu re a nd O rg an iz at io n • Le ad er sh ip S up po rt • C ol la bo ra tio n an d Te am 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 C , T ab le 2 0. 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)

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-43 Cr iti ca l S uc ce ss Fa ct or Co m po ne nt s Po te nt ia l T ar ge t ( Le ve l 3 ) Su gg es te d Ac tio ns 5. S ta ff • 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 • St af f 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 • Li ab ilit y Is su es • In te lle ct ua l P ro pe rty Is su es • Le ga l a nd R eg ul at or y C ha lle ng es • Po lic 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 C , T ab le 2 0. 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)

C-44 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 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 • 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 • Pr iva te -S ec to r 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 C , T ab le 2 0. O IF s u g g es te d a ct io n s (c o n ti n u ed ).

Leadership's Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-45 Remarks on the Practitioner’s Guide to Emerging Practices Organization CMF at the Unit Level The OIF is geared toward assessing agency­wide capability to foster innovative practices, and can also be used by discipline leaders and technical managers to assess the same capability of fostering innovative practices at the individual unit level. Enlightened leadership at the senior management level can be dampened—indeed, undermined—by less than enlightened leader­ ship at the middle management or first­line supervisory level. For this reason, the Organization CMF has also been included in the Practitioner’s Guide as recognition that 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 innovation is fostered in their discipline areas. Discipline and technical manag­ ers 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 innovation within their technical domains. Practice CMF to Assess Specific Innovative Practice While the principal focus of the Organization CMF is to assist leaders (and discipline and technical managers) in assessing their capability to foster innovative practices, the Practice CMF, presented in the Practitioner’s Guide, may under certain circumstances be of direct use to leaders. The purpose of this CMF is to assist in determining whether a sufficient threshold of capability exists, or is within reach, to advance a specific innovative practice. With many such practices, particularly those that are more highly specialized and narrowly focused, this determination is best done at the practitioner level. However, some practices will be more crosscutting in their effects on multiple units across an agency or beyond the agency, and some may have policy and political ramifications. Others may entail strategic partnerships with sister agencies or with the private sector. In these cases, agency leadership with the purview and accountability for innova­ tive practices with such broad­based implications may wish to take the lead in deciding whether and how to advance a specific practice. In such cases, the CMF described in the Practitioner’s Guide may be of direct interest to senior managers.

Abbreviations and acronyms used without definitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FAST Fixing America’s Surface Transportation Act (2015) FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TDC Transit Development Corporation TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S. DOT United States Department of Transportation

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