Addressing the Challenges of Implementation of the Results of National Research Initiatives From an Implementing Agency Perspective and from a National Research Program Perspective

Background – Maryland State Highway Administrator Chair, Maryland Research Advisory Board Governor’s Highway Safety Representative – Chair, TRB Executive Committee – NCHRP Member, AASHTO Standing Committee on Research Chair or participant on several NCHRP panels Principal Investigator, NCHRP 255 – Vice Chair, AASHTO Standing Committee on Highways Chair NCHRP 20-7 Panel – SHRP 2 Chair, Capacity Technical Coordinating Committee Deputy Director, Implementation and Communication

Challenges to Implementing Agencies

Knowing What National Research Has Been Completed Multiple organizations produce national research results A large number of sources of information about national research results A huge number of research reports and products to sift through Given the number of research reports, it’s difficult to tell what is relevant Different levels of ability within agencies of knowing how to find research results

Knowing the Quality and Usefulness of National Research Results Understanding the basis for research results, the quality of data used, testing of research results, transferability issues Information from peers is often the most valued information on relevant research Research results are not necessarily directly usable by implementing agencies Agencies want usable products that have been field tested

Getting Information on National Research to the Right People Research results often don’t get to the people in a DOT who would most likely benefit from using them Busy, overstretched program area staff don’t have time to sift through information on research results Information overload is a real problem Staff want what they need to know and not a lot of “extraneous” information outside their area of responsibility Need for digestible summary information that will pique interest

Knowing What the Benefits and Value Are of Implementing National Research Results Until results are pilot tested, it is often difficult to tell what the benefits and value of research results will be State DOTs are reluctant to use research results without an idea of what they will get in return Some states are willing to be at the “cutting edge” but very few at the “bleeding edge” Agency staff want to know what the benefits will be from use of research results and not just marketing rhetoric

Getting Leadership to Want to Implement Research Results Agency leadership must demonstrate they are good stewards of scarce dollars and must be able to show what they are getting for dollars spent Risk aversion due to scrutiny on how dollars are spent Investments will only be made by leadership if the initiative supports the agency policy goals, priorities and needs Leadership must set priorities, allocate scarce resources, and be accountable for outcomes

There Is Far More National Research Completed than Can Be Implemented State DOTs and other agencies will prioritize those items of most importance and value for implementation Peer experience in implementation is key in determining what an agency will decide to implement Implementation decisions usually comes from both “top down” and “bottoms up” desire

Challenges to Organizations Responsible for National Research

Recognizing that Additional Development Work Often Is Needed Research does not always result in products that are directly usable in the field Research results may need to be converted into specifications, standards, manuals, web tools, training materials, etc. Money needs to be budgeted for development activities The private sector typically spends about $3.70 in development costs for each $1.00 spent in applied research

Getting Research Results to the Right People in Implementing Agencies Announcing research results through normal channels does not necessarily mean the information gets to the people in agencies who would implement the research Successful communication requires that the message be received and understood, not just sent Messages about research get lost in the middle of information overload Targeted outreach plans need to be developed for each product

Using the “Technology Acceptance Model” for Implementation Research has shown that if 10-15% of a target group of implementing agencies successfully adopt a product as standard practice and demonstrate the value of the product, a ”tipping point” is reached and other agencies will follow suit Implementation strategies need to focus on how to incentivize the first 10-15% to try a new product

Identifying Roles and Responsibilities for Managing Research Implementation It’s relatively easy to identify what should be done to encourage implementation It’s harder to get agreement on who will take responsibility and follow through with managing implementation Once agreement is reached, monitoring of follow up by those responsible is needed; accountability is critical

Including Implementation Support/Technology Transfer in Research Plans and Budgets The benefits of research will only be achieved to the extent that implementation ultimately occurs More planning for implementation needs to take place prior to decisions to fund research Decisions for funding of research, implementation planning, and technology transfer should be made simultaneously

Implementation Efforts Will Need to Be Prioritized Implementing agencies only have the capacity to implement a small percentage of products from national research Research products will yield varying returns on investment Users should be involved in identifying priorities for national implementation efforts based on information regarding implementing agency needs and the benefits that can be expected from implementation

Marketing and Communications Plans Need to be Developed Target audiences of implementing agency personnel need to be identified Concise, to the point messages need to be developed describing what the research products are and what the benefits will be from implementing the products Messages must be written to the target audience The messenger can be as important as the message

Evaluation of the Benefits of Implementation of Research Is Critical An evaluation component is needed to demonstrate the benefit and value of research products to those agencies that are not in the first 10-15% of implementers Goals (or a definition of success) need to be identified, along with performance measures In order not to place the burden on implementing agencies, the evaluation of benefits should be the responsibility of a third party, and not the implementing agency

The Challenges Can Be Met We need to both understand the challenges we face in implementation of the products of national research and focus on means to address the challenges It will require leadership; who will provide that leadership? It will require proactive management; who will provide that management? It will require funding; who will make the case for funding?