3.3.2: Process for Establishing a Challenge or Competition for Engaging the Public
Other Information:
Challenges and competitions have been used by the DOT in partnership with citizen groups, businesses, other government entities,
and individuals to generate ideas on how to enhance collaboration and innovation. Unlike other agencies that administer innovation
programs, such as NASA, the Department of Energy (DOE), and the DOD, the DOT does not have direct statutory authority (i.e.,
Congressional approval and funding) to administer challenges and competitions with monetary incentives.2 However, the DOT,
like most Federal agencies that do not have specific funding for challenges or competitions, may be able to use appropriated
funds for challenges and competitions as long as they directly relate to the mission of the agency and are considered a “necessary
expense” under appropriation law (i.e., they are considered expenses that help reach the specific purpose for which the funds
are appropriated). Even if the challenge or competition does not call for a cash award, planning a competition requires funding
and resources to stand up and manage the effort. Therefore, when considering a challenge or competition effort, DOT programs
should consult their budget and legal offices first to determine if the intended funding source can be used. In addition to
funding and authority limitations, Government-wide ethics and acquisition requirements need to be considered when planning
a challenge or competition. These requirements prohibit the DOT from endorsing commercial products or services or unfairly
selecting a particular provider of a product or service. The Government is expected to conduct business in an impartial manner.
For this reason, the DOT must clearly establish the rules and selection criteria, and make them publically available prior
to starting a competition. Agency legal counsel should be consulted to ensure that the framework for the competition is consistent
with these considerations. Figure 9 shows the decision flowchart that DOT offices may use to guide how to start a challenge
or competition. It portrays what needs to be considered when standing up a challenge or competition and the various steps
to go through, from determining whether the challenge or award will be monetary to promoting the competition and selecting
a winner. This process will be further refined and communicated across the DOT so employees are empowered to recommend challenges
and competitions to enhance specific public collaboration and innovation goals, as appropriate.
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