APPENDIX D

Interview Guides

D.1 Interview Guide for FHWA Staff Engaged in the EDC Program

Introduction (~5 min)

Thank you for taking the time to meet with us today. My name is X and this is Y. We work at RTI International, which is a not-for-profit research institute based in Research Triangle, North Carolina. RTI and the Transportation Research Board at the National Academies have been commissioned by the FHWA Research and Technology (R&T) Program to conduct an external evaluation of the Every Day Counts Program. The information you provide today will help our project team to develop an understanding about

• The program’s management processes
• The success of the program in terms of outputs, outcomes and impacts to the culture of highway transportation innovation
• Any lessons learned from the program

We would like to record and transcribe this discussion to capture your responses correctly and completely. We will not make the transcripts available to anyone outside of the project team, and the transcripts will be destroyed at the end of the project. We will summarize what we learn from these interviews in a report to FHWA and TRB. We will not attribute quotes to you directly in the report. Do we have your permission to record our interview? ____Yes ___No

There are no right or wrong answers; we are interested in your perspectives, opinions, and experiences. Your participation is completely voluntary; you may end the interview at any time; and if we ask a question that you’d prefer not to answer, just tell us, and we’ll skip over it. Do you have any questions for us before we begin?

Background (~15 min)

1. What positions have you held in the highway transportation area (FHWA, state level)?
2. When were you first aware of the EDC Program?
3. Have you worked directly¹ on a state-led initiative during one of the EDC rounds?
4. [If yes] Over what time period (or for which rounds)?
5. Which initiative or initiatives were you involved in?
6. Could you tell us more broadly about your involvement in EDC Program activities? [Examples follow]
   • – Provided suggestions for EDC initiatives
   • – Consulted by EDC Program about selection of initiatives

___________________

¹ “Worked directly” means that you helped with selection, planning, reporting, or implementation of a specific state-led EDC initiative featured in an EDC Round.

1. • – Developed content for EDC initiatives, including implementation plans
   • – Participated in EDC Summit
   • – AND/OR Assisted or facilitated state DOT efforts to implement EDC initiatives.

Strategy and Processes (~20 min)

7. First help us understand what your state does. We’d like to hear more about at least one of the state-level EDC initiatives you were directly involved in.

   7a. Could you give us more details about the initiative—what criteria and process is used to select EDC Initiatives to pursue, who was involved in the selection, and what were the expected benefits of implementation?

   7b. What did the state do to implement the initiative?

   7c. Who were the key participants in the implementation, and what did they do?

   7d. What challenges or barriers complicated or prevented implementation of the initiative? [Address the following]

   • – Issues with the implementing organization (internal resistance, management)
   • – Issues with the nature of the innovation (complexity, cost)]
   • – Systemic or cultural issues (lack of cooperation or communication among partners)
   • – Lack of resources and skills

   7e. If one example is given, ask how similar was this initiative to the other implemented in your state? Briefly explain any differences.

8. In your experience, does the EDC Program overall generate value or provide benefits to state participants in EDC initiatives and related activities? If yes, what EDC activities seem most valuable? [Examples follow]
   • – STIC Council support
   • – Raising awareness of innovations to implement
   • – Providing guidance, data, and knowledge to adopt innovations
   • – Facilitating communications and collaborations across sectors of the transportation community
9. Did EDC Program efforts reduce challenges or barriers (risks) to your state’s implementation of EDC and related initiatives? If so, please explain.

Outcomes and Impacts (~5–10 min)

10. What were the end results of the EDC Initiatives your state implemented?
11. What specific benefits were generated by implementation of the EDC initiative(s) you have experience with (such as increased safety, lower construction costs). Were any such benefits documented and if so, where might we find that documentation?
12. Has your state continued to advocate for and implement any of these EDC Initiatives, and/or established policy at the state level to incentivize or require the utilization of these Initiatives? If so, please provide detail or a source we can find.
13. In your experience and interactions with state DOT staff involved with activities around emerging highway technologies, is there less, about the same, or more of the following characteristics now than there was 10 years ago? Could you elaborate? [Examples]
    • – Individuals are motivated through incentives and rewards for innovative practices?
    • – Staff are being empowered, or given proper authority, to propose and/or lead the adoption of innovations?
    • – The state DOT staff and others involved have the knowledge, skills, and experience to plan and implement EDC and other innovative activities?
    • – Innovation is celebrated and recognized as valuable by state DOT staff and others involved with state efforts to innovate within the highway system?
    • – The amount of specific and flexible financial resources available for EDC and similar innovative efforts?

Lessons Learned (5 min)

14. Overall, how would you describe what seems to be working well about the EDC Program? What needs improvement?

Wrap-up (~10 min)

15. Can you recommend anyone you know familiar with state efforts related to EDC who might be able to address these questions?
16. Are there any other thoughts you have about the EDC Program that you would like to share?

D.2 Interview Guide for State DOT Staff Engaged in the EDC Program

Section 1. Introduction/Purpose of Interview [5 min]

Thank you for taking the time to meet with us today. My name is X and this is Y. We work at RTI International, which is a not-for-profit research institute based in Research Triangle, North Carolina. RTI and the Transportation Research Board at the National Academies have been commissioned by the FHWA Research and Technology (R&T) Program to conduct an external evaluation of the Every Day Counts Program. The information you provide today will help our project team to develop an understanding about:

• The program’s management processes
• The success of the program in terms of outputs, outcomes and impacts to the culture of highway transportation innovation
• Any lessons learned from the program

We would like to record and transcribe this discussion to capture your responses correctly and completely. We will not make the transcripts available to anyone outside of the project team, and the transcripts will be destroyed at the end of the project. We will summarize what we learn from these interviews in a report to FHWA and TRB. We will not attribute quotes to you directly in the report. Do we have your permission to record our interview? ____Yes ___No

There are no right or wrong answers; we are interested in your perspectives, opinions, and experiences. Your participation is completely voluntary; you may end the interview at any time; and if we ask a question that you’d prefer not to answer, just tell us, and we’ll skip over it. Do you have any questions for us before we begin?

Section 2. Interview Questions [45 mins]

**Pause in between questions and ask for clarity**

Background Questions [5 mins]

We’d like to know more about your connection to the EDC Program and any involvement you’ve had with its state-led implementation of EDC initiatives and activities. “Initiatives” refers to the innovations and other technologies promoted by the EDC Program for implementation.

IF INTERVIEWEE HAS BEEN WORKING WITH State-led EDC PROGRAM INITIATIVES FOR 3 OR MORE ROUNDS AND HAD DIRECT INVOLVEMENT IN MORE THAN ONE EDC INITIATIVE, GO TO Section 3b. Questions for Person with More State DOT/other State level EDC-related effort (e.g., STIC Co-Chair). OTHERWISE, PROCEED WITH THIS GUIDE.

Section 3a. Questions for Person with Less Experience

(involved with EDC program for less than 3 rounds OR involved in only 1 initiative – Field Level)

First, we’d like to hear details about your experiences interacting with the EDC Program and your experiences with the State DOT’s strategy and processes for selection and implementation of EDC Initiatives.

4. Could you tell us more broadly about your involvement in EDC Program activities? [Examples follow]
   • – Provided suggestions for EDC initiatives
   • – Consulted by EDC Program about selection of initiatives
   • – Developed content for EDC initiatives, including implementation plans
   • – Participated in EDC Summit
   • – AND/OR Assisted or facilitated state DOT efforts to implement EDC initiatives

Assess Strategy and Processes [20 mins]

We have a few questions regarding your perspective on the strategies and processes of the FHWA EDC program. We hope to assess the role of the EDC Program in facilitating or enabling the state-led deployment of proven but underutilized technologies.

5. First help us understand what your state does. we’d like to hear more about at least one of the state-level EDC initiatives you were directly involved in.

   5a. Could you give us more details about the initiative—what criteria and process is used to select EDC Initiatives to pursue, who was involved in the selection, and what were the expected benefits of implementation?

   5b. What did the state do to implement the initiative?

   5c. Who were the key participants in the implementation, and what did they do?

   5d. What challenges or barriers complicated or prevented implementation of the initiative? [Address the following]

   • – Issues with the implementing organization (internal resistance, management)
   • – Issues with the nature of the innovation (complexity, cost)]
   • – Systemic or cultural issues (lack of cooperation or communication among partners)
   • – Lack of resources and skills

5. If one example is given, ask how similar was this initiative to the other implemented in your state? Briefly explain any differences.
6. We want to know how the EDC Program affects your state’s implementation of EDC and related innovative initiatives

   6.1. In your experience, does the EDC Program overall generate value or provide benefits to state participants in EDC initiatives and related activities? If yes, what EDC activities seem most valuable? [Examples follow]

   • – STIC Council support
   • – Raising awareness of innovations to implement
   • – Providing guidance, data, and knowledge to adopt innovations
   • – Facilitating communications and collaborations across sectors of the transportation community

   6.2. Did EDC Program efforts reduce challenges or barriers (risks) to your state’s implementation of EDC and related initiatives? If so, please explain.

Outcomes and Impact [5 mins]

Now we will shift gears about and talk about outcomes and impact. We have a couple of questions looking at such broader impacts of the program.

7. What were the end results of the EDC Initiatives your state implemented?

   7.1. What specific benefits were generated by implementation of the EDC initiative(s) you have experience with (such as increased safety, lower construction costs)? Were any such benefits documented and if so, where might we find that documentation?

   7.2. Has your state continued to advocate for and implement any of these EDC initiatives, and/or established policy at the state level to incentivize or require the utilization of these initiatives? If so, please provide detail or a source we can find.

8. In your experience and interactions with state DOT staff involved with activities around emerging highway technologies, is there less, about the same, or more of the following characteristics now than there was 10 years ago? Could you elaborate? [Examples]

   8.1. Individuals are motivated through incentives and rewards for innovative practices?

   8.2. Staff are being empowered, or given proper authority, to propose and/or lead the adoption of innovations?

   8.3. The state DOT staff and others involved have the knowledge, skills, and experience to plan and implement EDC and other innovative activities?

   8.4. Innovation is celebrated and recognized as valuable by state DOT staff and others involved with state efforts to innovate within the highway system?

   8.5. The amount of specific and flexible financial resources available for EDC and similar innovative efforts?

Lessons Learned [5 mins]

9. Overall, how would you describe what seems to be working well about the EDC Program? What needs improvement?

Wrap Up

10. Can you recommend anyone you know familiar with state efforts related to EDC who might be able to address these questions?
11. Are there any other thoughts you have about the EDC Program that you would like to share?

Section 3b. Questions for Person with More State DOT/other State-level EDC-related effort (e.g., STIC Co-Chair)

(involved with EDC program for 3 or more rounds OR involved in 3 or more initiatives)

First, we’d like to hear details about your experiences interacting with the EDC Program and overall impressions of the program- and State-level strategy and implementation.

4. Could you tell us more broadly about your involvement in EDC Program activities? [Examples follow]
   • – Provided suggestions for EDC initiatives
   • – Consulted by EDC Program about selection of initiatives
   • – Developed content for EDC initiatives, including implementation plans
   • – Participated in EDC Summit
   • – AND/OR Assisted or facilitated state DOT efforts to implement EDC initiatives
5. What are your impressions of your state’s strategies, selecting, planning, implementation, and assessment of EDC Initiatives? What aspects are done well, and where could there be improvements at the state level?

6. In your experience, does the EDC Program strategy correctly target the challenges and barriers at the state and local levels to broader implementation of emerging innovations in the highway system? If yes, what activities seem most valuable? Please mention specific instances or examples of benefits you have observed, if any. [Examples follow]
   • – STIC Council support
   • – Raising awareness of innovations to implement
   • – Providing guidance, data, and knowledge to adopt innovations
   • – Facilitating communications and collaborations across sectors of the transportation community
   • – Reducing risks

Outcomes and Impact [5 mins]

Now we will shift gears and talk about outcomes and impact. One area we have been asked to research is how the EDC Program helps states to be positioned better to adopt innovations that will facilitate or accelerate the use of existing but underutilized innovations, such as processes for road construction, or to bring about increased highway safety. We have a couple of questions looking at such broader impacts of the program.

7. We would like to know the end result of the EDC Initiatives your state implemented.

   7.1. What specific benefits were generated by implementation of the EDC initiative(s) you have experience with (such as increased safety, lower construction costs)? Were any such benefits documented and, if so, where might we find that documentation?

   7.2. Has your state continued to advocate for and implement any of these EDC initiatives, and/or established policy at the state level to incentivize or require the utilization of these initiatives? If so, please provide detail or a source we can find.

8. In your interactions with state DOT organizations and other organizations involved with activities around emerging highway technologies, is there less, about the same, or more of the following than there was 10 years ago? Could you elaborate? [Examples]

   8.1. The requirements and incentives that push or pull states to pursue more innovative business models and emerging technologies related to the highway systems?

   8.2. The tolerance overall for risk taking in state-led efforts?

   8.3. The extent to which information, data and knowledge are shared within and across organizations to improve innovation efforts?

   8.4. The extent to which the impact and value of innovations such as EDC supports are understood and measured in the highway system?

   8.5. The amount of specific and flexible financial resources available for EDC and similar innovative efforts?

Lessons Learned [5 mins]

9. Overall, how would you describe what seems to be working well about the EDC Program? What needs improvement or change because of new developments?

Wrap Up

10. Can you recommend anyone else you know outside of FHWA who might be able to address these questions?
11. Are there any other thoughts you have about the EDC Program that you would like to share?