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Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios (2020)

Chapter: Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example

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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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Suggested Citation:"Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example." National Academies of Sciences, Engineering, and Medicine. 2020. Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios. Washington, DC: The National Academies Press. doi: 10.17226/25795.
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4-1 Part B, Appendix 4. Emerging PMR Practice and Innovation Capability Maturity Framework Assessment Illustrative Example Hyper-performance Materials – Applications of Calcium Sulfoaluminate (CSA) Cement in Pavement PMR Activities Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 1. Awareness of Emerging PMR Practice Context Awareness: Leading edge practices; Status of R&D in progress; Problems being addressed; Alternative approaches being developed and tested Largely unaware or very limited awareness and interest Some awareness and moderate interest in following the fundamental and applied research and development High level of awareness and keen interest in closely following fundamental and applied research and development in this area Recognition of inherent limitations with Portland Cement, and their implications on PMR performance outcomes. Some awareness of the leading edge research in cement clinker chemistry, including various ongoing efforts focusing on developing alternatives. Specific Awareness: What it is; What it does; Where it should work well; Where it might not apply; Level of effort and resources required (staffing, expertise, facilities, equipment, time and budget) Largely unaware of the specific practice Have some awareness of the practice and experience among early adopters Have been closely tracking the emerging PMR practice and experiences in the testing and trials among early adopters

4-2 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 Some knowledge of CSA cement relating its key ingredients, engineering properties, applications, and suppliers. Some familiarity of national and international experience with its applications in PMR of pavements. Not aware of applications where CSA cement is not appropriate. Not aware if CSA cement would require changes to standard material testing, mix design, placement and quality assurance practices. Not aware of any national level research, while aware of some fundamental research in universities (e.g. Illinois and Texas) 2. Performance Awareness and Application Alignment with Agency Performance Goals It is unclear if the emerging PMR practice, while potentially beneficial, addresses a priority problem of the agency The emerging PMR practice addresses a recognized problem, and an inferred, though not explicitly defined performance goal of the agency The emerging PMR practice addresses a significant problem and an explicit performance goal of the agency CSA cement addresses a recognized problem of tradeoffs among material durability, early strength gain, rapid repair and environmental sustainability needs. Relates to the agency’s performance goals of reducing whole-life costs of assets, improving work zone safety and mobility, expediting delivery, and conserving non- renewable natural resources.

4-3 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 Performance Measures Aware of performance goals associated with the emerging PMR practice, but little or no history or experience with applicable performance measures and measurement practices Able to relate performance goals associated with the emerging PMR practice to specific performance measures, use data on existing practice as a baseline, and establish measurement techniques that can evaluate its performance Fully adept at accessing historic performance data and applying measurement practices to define, apply, and communicate performance measures that characterize emerging PMR practice performance in the context of agency performance goals Able to relate performance goals associated with the innovation to specific performance measures. Framework is available to enable performance measurement. Performance data is available for Portland Cement to enable comparison but no performance history is available for CSA cement. Assessment of Anticipated Benefits and Costs Agency benefits and costs are at least qualitatively identified with a reasonable level of certainty, and focus on outputs rather than outcomes Agency benefits and costs are quantified and analyzed. Outputs are measured and related to inputs required and outcomes are defined. Limited recognition of external benefits and costs Agency and external benefits and costs are quantified and analyzed on a life-cycle basis, and inputs, outputs and outcomes are well defined Agency benefits are qualitatively identified but not enough information to quantify. Concrete mixtures with CSA cement can cost twice as much as those with Portland Cement but the costs are expected to

4-4 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 decrease with increasing economies of scale. Challenges and Risks There is a general, largely intuitive and subjective understanding of the challenges and risks in applying the emerging PMR practice but they are not well organized or presented Challenges and risks in applying the emerging PMR practice are identified in a mix of intuitive and subjective assessments as well as some explicit, systematic risk management but strategies for surmounting challenges and managing risks are general and not consistently well-defined Challenges and risks have been thoroughly identified in an explicit, systematic, risk management framework and culminate in well-defined strategies for surmounting challenges and managing risks There is a general, largely intuitive and subjective understanding of constructability challenges and performance risks in using CSA cements but they are not well organized or presented. Needs additional research and field demonstration to understand risks. 3. Emerging PMR Practice and Innovation- Supportive Systems, Programs, and Budgets Agency Research and Development The agency does not engage in applied research and development of innovations The agency occasionally undertakes applied research and development of innovations that may solve a problem of concern that others have not adequately addressed The agency has an active in-house and/or contract applied research and development program of innovations focused on priority problems of concern that have not been adequately addressed The agency has an active and robust state planning and research program that routinely involves universities and

4-5 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 consultants. Further, the agency routinely participates in pool fund studies. The agency sees no hindrance in pursuing applied research to augment its implementation efforts. Agency Pilot Testing The agency rarely undertakes pilot testing of emerging practices The agency occasionally undertakes pilot testing of emerging practices that may solve a problem of concern that others have not adequately addressed The agency regularly does pilot testing of emerging practices focused on priority problems of concern that have not been adequately addressed The agency has access to accelerated road test facilities to undertake pilot demonstrations to focus on priority problems of concern that have not been adequately addressed. In addition, the agency has routinely undertaken field demonstrations on in-service roads. Institutional Knowledge Management System There is no formal system for sharing or compiling technical knowledge related to the emerging practice, which resides among the experience of individuals Key staff maintain their own individual systems for compiling, updating, and accessing emerging practice-specific information and share this technical knowledge informally or on an as-needed basis An agency-wide knowledge management system is used to compile, update, and access emerging practice-specific information There is no agency-wide knowledge management system, but the Materials and Testing Division closely coordinates with Research Division and LTAP centers. The M&T Division maintains data/content management systems of all approved products, product

4-6 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 evaluation findings, construction QA results, and inspector notes. Access to Funding Access to funding in support of the specific emerging PMR practice is ad hoc and ill- defined, in the absence of any established budgetary process or program geared toward funding =it. Although there is no established budgetary process or program geared toward funding this emerging PMR practice, there are recognized opportunities to make the case as a “special project” outside of regular processes. The opportunity for making the case for this emerging PMR practice is through established budgetary and program processes that encourage its advocates to compete for funding. Although there is no established budgetary process or program geared toward funding this type of innovation, there are recognized opportunities to evaluate concrete mixtures with CSA cement under “new product evaluation” program before undertaking more comprehensive and resource- intensive research. Assistance from Support Functions: Information Technology, human resources, and procurement units and supporting systems Gaining assistance in the form of administrative and technical support, particularly for new initiatives, can be arduous to achieve. Gaining assistance in the form of administrative and technical support requires patience and persistence, particularly for new initiatives, but is typically achievable. Gaining assistance in the form of administrative and technical support is readily achievable, even for new initiatives Undertaking pilot projects will require assistance from procurement units. Adjustments are required to routine procurement processes, which require patience and

4-7 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 persistence, but is typically achievable for new initiatives. Availability of Facilities, Equipment and Test Sites There is insufficient capacity in facilities, equipment and test sites available within the agency or accessible through outsourcing to undertake this emerging PMR practice. The capacity in facilities, equipment and test sites available within the agency or accessible through outsourcing to undertake this emerging PMR practice is barely sufficient, but can be expected to increase with the advancement of the innovation. There is sufficient capacity in facilities, equipment and test sites available within the agency or accessible through outsourcing to undertake this emerging PMR practice. There is sufficient capacity in facilities, equipment and test sites available within the agency to undertake routine tests. If CSA cement requires additional tests, which are unknown at this point, the agency can procure new equipment or access through on-call contracts with third-party testing laboratories. 4. Innovation- Friendly Culture and Organization Leadership Support; Collaboration and Teamwork; Receptivity to New Ideas; Dedication to Continuous Improvement Largely absent Present in the organization units involved in this specific emerging PMR practice Pervasive throughout the agency Present within the Materials and Testing division who primarily leads the implementation of CSA cements. Support from Internal Partners: As-needed to advance the innovation There is little or no interest from sister units within the agency whose participation in There is some level of interest and ability to provide support in advancing this innovation from There is proactive, enthusiastic interest and support from sister units anxious to partner in advancing this innovation

4-8 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 advancing the innovation is essential essential sister units, though not to the same degree as the lead unit There is some level of interest from construction and maintenance divisions. These divisions will be able to provide additional support once the mix design criteria are finalized and specifications are in place. Organizational Barriers There is one or more barrier within the organization to advancing this emerging PMR practice which is unlikely to be overcome There is one or more barrier within this organization to advancing this emerging PMR practice which very likely can be overcome There are no barriers within the organization to advancing this emerging PMR practice There are no known barriers within the organization to advancing this innovation. Risk-Reward Response Risk aversion with respect to this emerging PMR practice and a general fear of failure, will impede ability to advance it within the organization There is a willingness to advance the emerging PMR practice and accept the possibility of failure because of leadership support and accepted risk management strategies The potential of failure is seen as a learning experience including by leadership, and there is no hesitancy about advancing the emerging PMR practice because risks and risk management are well understood There are many other unanswered questions before this product can be operationalized. Like with any innovation, there is a fair chance of failure in field pilot demonstrations. Experience indicates that the leadership is generally receptive to accept the possibility of failure when demonstrated that risk management strategies were put in place.

4-9 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 5. Innovation- Supportive Staff Innovation Champion(s): Combination of technical expertise, passionate interest and ability to lead this emerging PMR practice There are staff members with some technical expertise and interest in participating or potentially leading this emerging PMR practice, but no clear choice in terms of level of interest There is at least one staff member whose technical expertise, level of interest and leadership ability are sufficient to lead this emerging PMR practice, but no backup if this person were to leave There is a clear choice of who should lead this emerging PMR practice on the basis of technical expertise, level of interest and leadership skills, and one or more others who could step in if this person were to leave There is high level of interests within the Materials and Testing Division to pursue this innovation. The Concrete Program Manager will currently lead the implementation of this innovation. There are others, including Assistant Materials Engineer, Assistant Concrete Program Manager, and Quality Assurance Program Manager, who could step in on as-needed basis. Staff Capacity There is insufficient capacity in numbers of people and levels of expertise within the agency or accessible through outsourcing to undertake the innovation The capacity in numbers of people and levels of expertise available within the agency or accessible through outsourcing to undertake the innovation is barely sufficient, but can be expected to increase with the advancement of the innovation There is sufficient capacity in numbers of people and levels of expertise available within the agency or accessible through outsourcing to undertake the innovation The current workload of Materials and Testing staff is at near capacity. Additional staffing needs are expected. The agency has to depend on new hiring, consultant support and vendors to assist with quality assurance.

4-10 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 Knowledge Acquisition and Sustainability: Learning practices; Continuous education and training Acquisition of new knowledge is typically applied to modest, incremental improvement to existing practice, and support for continuous education and training is severely limited and unlikely to be available for this innovation Key staff seek out opportunities to acquire and incorporate new knowledge or outside expertise that significantly improve existing practice, but limited resources are available for continuous education and training that could fill gaps in expertise for this innovation The agency proactively provides opportunities for access to knowledge of leading edge practice; continuous education and training is a priority within the agency and will be available to support this innovation when needed The agency encourages engineering staff to undertake training courses from the National Highway Institute and participate in other TRB/FHWA/AASHTO training opportunities, such as webinars, workshops and peer-exchanges. Agency approved lab personnel and quality assurance inspectors will be required to undertake third-party certifications (e.g. American Concrete Institute trade certifications). If unavailable, the agency will tie up with the local university to develop training courses and certification requirements. 6. Legal, Regulatory and Policy Issue Management Liability Issues Identified for this emerging PMR practice but not adequately addressed Identified for this emerging PMR practice and addressed in a minimally acceptable manner Formally addressed, included under risk assessment, and liability protection measures developed for this emerging PMR practice No liability issues are identified. Typical issues are identified and addressed in contract documents. No hindrance to proceeding this innovation.

4-11 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 Intellectual Property Issues Identified for this emerging PMR practice but not adequately addressed Identified for this emerging PMR practice and addressed in a minimally acceptable manner Formally addressed, included under risk assessment, IP partnerships available, and mechanisms in place to manage them for this emerging PMR practice The agency has standard contract clauses to manage issues arising from IP infringement by construction contractors. Legal and Regulatory Challenges Identified for this emerging PMR practice but not adequately addressed Identified for this emerging PMR practice in a minimally acceptable manner Formally addressed and any issues related to this emerging PMR practice have been resolved CSA cement is currently available with select vendors. Potential conflicts with regulations restricting the use of proprietary products on federal-aid projects May require pre- approval and waivers from the FHWA. Policy Issues There are potential policy level conflicts related to this emerging PMR practice that have been identified but not addressed There are no known policy level conflicts related to this emerging PMR practice There are policies in place which support advancing this emerging PMR practice There are no known policy level conflicts related to this innovation. 7. External Collaboration Interaction with Transportation Agency and Academic Peers There is relatively little or no interaction with peers in relation to this emerging PMR practice There is active, well organized and regular interaction with peers in relation to this emerging PMR practice Interaction with peers in relation to this emerging PMR practice has been extensive and has led to a collaborative, coordinated, and shared risk approach

4-12 Note: Shaded boxes indicate, for this illustrative example, the level of capability (Level 1, 2, or 3) that the fictitious user has determined for the particular Critical Success Factor component. Critical Success Factor Component Level 1 Level 2 Level 3 There is an active, well organized and regular interaction mechanism in place with peers such as FHWA, AASHTO and TRB subcommittees, and industry associations, such as American Concrete Pavement Association Communication Beyond the Transportation Community Little or no interactions beyond the transportation community in relation to this emerging PMR practice Ad hoc and limited interactions beyond the transportation community in relation to this emerging PMR practice Formal coordination mechanisms in place tapping into expertise and experience beyond the transportation community in relation to this emerging PMR practice There is ad hoc and limited interaction with cement industry, building industry, industry groups, standards organizations and research institutions. Private Sector Outsourcing and Partnering No consideration given to outsourcing or sharing costs or managing risk for this emerging PMR practice through partnering with the private sector Private sector outsourcing and partnering considered and utilized sparingly or not at all for this emerging PMR practice due to procurement problems or conflicting goals Private sector engaged in an optimum fashion for this emerging PMR practice, through outsourcing activities performed more cost-effectively and through partnerships in which costs and risks are shared While the current price ranges of CSA cement may be cost prohibitive, the agency is receptive in allowing field demonstration of this product, contingent upon the vendor’s willingness to offer reasonable price

Next: Part B, Appendix 5. Innovation Required Actions Framework (IRAF) Illustrative Example »
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The National Cooperative Highway Research Program's NCHRP Web-Only Document 272: Existing and Emerging Highway Infrastructure Preservation, Maintenance, and Renewal Definitions, Practices, and Scenarios provides appendices to NCHRP Report 750, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure.

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