APPENDIX D

Problem Statements

PS1. Knowledge Management Manual

1. Problem Title

A KM manual for transportation agencies

2. Keywords/Terms

Knowledge Management, Organizational Effectiveness

3. Research Objective

This project will create a practical KM implementation manual that will help DOTs to address workforce challenges, gain efficiencies, and improve resilience to meet changing needs.

An initial phase of the project will investigate current practices for knowledge creation, sharing, and application as part of different DOT business areas and situations and, based on this investigation, will develop a KM implementation framework, architecture and maturity model. This work will examine and adapt existing public- and private-sector KM frameworks and models for application within DOTs.

A second phase of the project will build on this foundation and develop a manual that can be used by DOT leaders and functional areas for planning, resourcing, coordinating and carrying out KM strategies and techniques. The manual will address KM implementation activities in multiple DOT functional areas including but not limited to agency management, HR, information technology, planning, performance management, maintenance, operations, construction, safety, asset management, and environment. It will illustrate KM applications in response to multiple situations including new legislative mandates, introduction of new technologies or methods, and changes in remote work policies.

4. Urgency and Potential Benefits

DOTs are facing loss of institutional knowledge and challenges recruiting and retaining talent. This manual will help all DOTs to implement KM practices that reduce the negative impacts of staff turnover by identifying, capturing and sharing critical knowledge. It will fill a gap in currently available KM guidance by providing an adaptable framework for integrating KM across multiple functional areas of a DOT.

5. Background Information and Need for Research

In 2015, NCHRP Report 813: A Guide to Agency-Wide Knowledge Management for State Departments of Transportation was published. Since that time, KM has gained traction within the transportation community. AASHTO created the CKM in 2018, and TRB created the Committee on IKM in 2019. A growing number of transportation agencies have begun to implement various

aspects of KM, and there is heightened awareness of workforce-related challenges and risks. However, there is not yet a critical mass of DOTs with active and sustained KM programs.

Stakeholder outreach activities conducted as part of NCHRP Project 23-14, “Research Roadmap for Knowledge Management,” found that while NCHRP Report 813 is viewed as a valuable resource, there is a need for more detailed and practical guidance on organizing and coordinating knowledge management in a DOT and integrating KM practices into various DOT functional areas. Agencies are also seeking a DOT-specific maturity model for KM implementation and a way to benchmark and track their KM implementation progress. A KM Manual for DOTs would meet these needs, building on and supplementing the more general, top-down KM implementation guidance provided by NCHRP Report 813. An emphasis on integrating KM practices within different DOT functions would help agencies to make KM more sustainable by expanding the breadth, coordination, and reach of KM implementation within their organizations.

6. Literature Search Summary

There is a rich body of completed research related to KM in transportation. A literature review conducted for NCHRP Project 23-14 identified over 40 references for completed projects, 22 of which were CRP projects. The primary emphasis of CRP KM research has been on providing guidance on implementation of KM within transportation agencies. Those CRP projects most relevant to this RPS are:

• Three (3) general KM implementation guides for state DOTs (NCHRP Report 813), transit agencies (TCRP Report 194: Knowledge Management Resource to Support Strategic Workforce Development for Transit Agencies), and airports (ACRP Research Report 258: The Evolution of Knowledge Management at Airports), respectively;
• Three (3) synthesis projects on KM or KM-adjacent topics: NCHRP Synthesis 365: Preservation and Using Institutional Memory through Knowledge Management Practices; NCHRP Synthesis 543: Transportation Workforce Planning and Development Strategies; and NCHRP Synthesis 633: Innovation Programs and Practices at State Departments of Transportation;
• A 2014 domestic scan—NCHRP 20-68A, Scan 12-04, Advances in Transportation Agency Knowledge Management; and
• NCHRP Report 867: Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs.

As of September 2023, there were four active and pending NCHRP projects that are expected to provide useful resource materials for this project:

• NCHRP 23-17, “Assessing and Measuring the Business Value of Knowledge Management” (2023–2025)
• NCHRP 23-31, “Strategies to Foster the Implementation of Knowledge Management” (2023–2025)
• NCHRP 20-44(45), “Supporting State DOT Adoption of Knowledge Management Practices” (2023–2025)
• NCHRP 23-26, “Development of a Knowledge Capture Toolkit for State DOTs” (2024–2026)

In addition to CRP research, State DOTs and university partners in California, Georgia, Michigan, Minnesota, North Carolina, Texas, Vermont, Washington State, and Wisconsin have produced agency-specific KM investigations, guidance, and pilots.

In addition to KM research targeting transportation agencies, there is a large body of KM frameworks, maturity models and guidance documents available to inform the current project. Of particular note are the APQC resources including their KM Program Framework and Knowledge Management Capability Assessment Tool, and KM Essentials collection (including

guidance and templates for developing an implementation roadmap). There are also a variety of (primarily proprietary) KM frameworks and assessment tools.

7. Link to 2021-2026 AASHTO Strategic Plan

This research supports the AASHTO Strategic Plan Objective: Build transportation workforce capabilities by providing a mechanism to provide DOT workforces with the information they need to be effective.

8. Implementation Considerations and Supporters

The anticipated products of this research will be of value to state DOT leadership, multiple support areas, including HR, research, and information technology, and core business functions. Engagement with key stakeholders in transportation agencies should be planned as part of this project. On project completion, the AASHTO CKM is the appropriate group to lead outreach to ensure that agencies are aware of the products and encouraged to use them. In addition, several other groups can help to build awareness of the products including the AASHTO’s Agency Administration Managing Committee and their Subcommittee on Transportation Workforce Management, and the TRB Standing Committee on IKM. In addition, an NCHRP 20-44 implementation project should be considered to demonstrate implementation of selected portions of the manual within a set of DOTs.

9. Recommended Research Funding and Research Period

Research Funding: $500,000: $200,000 for an initial study and design phase and $300,000 for manual development.

Research Period: 36 months: 12 months for study and design and 24 months for manual development.

10. Problem Statement Author(s)

This problem statement was based on a draft statement developed as part of NCHRP Project 23-14. It was modified and finalized for submittal by Craig Crick, Nevada DOT.

11. Potential Panel Members

To be determined.

12. Person Submitting the Problem Statement

Craig Crick, Employee Development Manager, Nevada DOT, on behalf of the AASHTO CKM

PS2. Knowledge Management Toolkit

1. Problem Title

A KM toolkit for transportation agencies

2. Keywords/Terms

Knowledge Management, Information Management, Organizational Effectiveness

3. Research Objective

This project will create a “KM Toolkit” with a variety of resources that DOTs can draw upon to implement KM practices. This toolkit will incorporate the practice examples and tools that have been produced in prior KM studies and create new resources to fill gaps. This project will be carried out in two phases. The first phase will include a scoping study for a sustainable platform to share toolkit resources with the target audience, and a compilation and organization of existing case

studies and other resources that can be incorporated into the toolkit. The second phase will involve the development of additional tools for DOTs – including a model employee KM manual; KM communication resources; and guidance for knowledge mapping, sharing knowledge assets, creating employee expertise directories, and conducting social network analysis. The completed toolkit will organize and enable access to the existing and new resources using a simple, graphical format.

4. Urgency and Potential Benefits

DOT interest in KM is growing as agencies look for ways to maintain or increase efficiency through workforce transitions while building new knowledge to meet changing requirements. Agencies are seeking practical guidance and examples to follow for implementing specific KM techniques. Prior KM projects have produced helpful case studies and guidance; current and pending KM projects are slated to produce additional resources of value. However, gaps remain and there is a need to make existing and new resources easily accessible and discoverable. A KM Toolkit will establish a platform for sharing succinct guidance on KM techniques (in the form of a “playbook”), practice examples from DOTs and other organizations, and time-saving tools for streamlining implementation efforts. This will facilitate greater adoption of KM practices and ensure that DOTs can benefit from each other’s experience.

5. Background Information and Need for Research

Stakeholder outreach activities conducted as part of NCHRP Project 23-14 found interest in succinct and practical guidance on KM techniques. At the same time, there was limited awareness of existing NCHRP research products, and busy practitioners were seeking easily digestible resources and models to follow. This input led to the idea of a KM toolkit including a “playbook” and supporting resources. The playbook would consist of a collection of short guidance documents on the who/what/why/when/how for implementing specific techniques. The other supporting resources slated for development in this toolkit are based on gaps identified from stakeholder input or feedback. There was particular interest in guidance on how best to share different types of knowledge assets – both what platforms to use and how to establish a sustainable process for keeping them fresh and encouraging their use. There was also interest in finding good tools for communicating the scope, purpose and benefits of KM within the organization (communications resources); and helping employees to understand what specific things they should be doing to document and share their knowledge (model DOT employee KM manual). While several DOTs have implemented CoPs and mentoring programs, there was relatively little experience with other tools to understand sources and flows of critical knowledge and facilitate person-to-person tacit knowledge transfer – such as knowledge mapping, employee expertise directories, and social network analysis. Inclusion of guidance and templates for these techniques would help DOTs to understand their purpose, how to put them into practice and how to maximize their value.

6. Literature Search Summary

There is a rich body of completed research related to KM in transportation. A literature review conducted for NCHRP 23-14 identified over 40 references for completed projects, 22 of which were CRP projects. The primary emphasis of CRP KM research has been on providing guidance on implementation of KM within transportation agencies. Those CRP projects most relevant to this RPS are:

• Three (3) general KM implementation guides for state DOTs (NCHRP Report 813), transit agencies (TCRP Report 194), and airports (ACRP Research Report 258), respectively;
• Three (3) synthesis projects on KM or KM-adjacent topics: NCHRP Synthesis 365, NCHRP Synthesis 543, and NCHRP Synthesis 633;

• A 2014 domestic scan—NCHRP 20-68A, Scan 12-04; and
• NCHRP Report 867.

As of September 2023, there were four active and pending NCHRP projects that are expected to provide useful resource materials for this project:

• NCHRP 23-17 (2023–2025)
• NCHRP 23-31 (2023–2025)
• NCHRP 20-44(45) (2023–2025)
• NCHRP 23-26 (2024–2026)

In addition to CRP research, State DOTs and university partners in California, Georgia, Michigan, Minnesota, North Carolina, Texas, Vermont, Washington State, and Wisconsin have produced agency-specific KM investigations, guidance, and pilots.

In addition to KM research targeting transportation agencies, there is a large body of other KM guidance documents available to inform the current project. Of particular note is the Swiss Agency for Development and Cooperation (SDC) KM Toolkit, which provides a potentially useful model for this project. In addition, the APQC offers a tools and templates collection that covers knowledge mapping, expertise locators, and communication planning. (APQC membership is required for access to many of these resources).

7. Link to 2021-2026 AASHTO Strategic Plan

This research supports the AASHTO Strategic Plan Objective: Build transportation workforce capabilities by providing a mechanism to provide DOT workforces with the information they need to be effective.

8. Implementation Considerations and Supporters

The anticipated products of this research will be of value to state DOT leadership, multiple support areas, including HR, research, and information technology, and core business functions. Engagement with key stakeholders in transportation agencies should be planned as part of this project. On project completion, the AASHTO CKM is the appropriate group to lead outreach to ensure that agencies are aware of the products and encouraged to use them. In addition, several other groups can help to build awareness of the products including the AASHTO’s Agency Administration Managing Committee and their Subcommittee on Transportation Workforce Management, and the TRB Standing Committee on IKM.

9. Recommended Research Funding and Research Period

Research Funding: $100,000 for Phase 1 (scoping study and resource compilation) and $400,000 for toolkit development.

Research Period: 36 months: 12 months for study and design and 24 months for toolkit development.

10. Problem Statement Author(s)

This problem statement was based on a draft statement developed as part of NCHRP Project 23-14. It was modified and finalized for submittal by <AASHTO CKM>.

11. Potential Panel Members

To be determined

12. Person Submitting the Problem Statement

Research subcommittee chair, AASHTO CKM.

PS3. Leadership Forum and Peer Exchanges Supporting Implementation of the KM Manual and Toolkit

NCHRP PROJECT 20-44

(NOTE: THIS COULD ALSO BE PROPOSED AS AN NCHRP 20-24 PROJECT)

REQUEST FOR NCHRP IMPLEMENTATION FUNDING ASSISTANCE

Date:
NCHRP project number(s) and title(s):
TBD-Knowledge Management Manual TBD-Knowledge Management Toolkit
Submitted by (name, organization, email, and telephone numbers):
This NCHRP 20-44 funding assistance request was developed by the AASHTO Committee on Knowledge Management, Subcommittee on Research. It was originally developed as part of NCHRP Project 23-14, Research Roadmap for Knowledge Management. The funding assistance request is being submitted on behalf of the entire AASHTO Committee on Knowledge Management by: Craig Crick Chair, CKM Subcommittee on Research Nevada DOT
Mark one: You are a
	State DOT Employee AASHTO Committee/Council Member Member of a current NCHRP Project Panel
NCHRP Staff Officer:
David Jared
Amount requested:
$200,000
Lead state and other participating organizations or agencies:
TBD

PS4. Holistic Approach to Information and Knowledge Management

1. Problem Title

A holistic approach to IKM

2. Keywords/Terms

Information Management, Knowledge Management, Organizational Effectiveness

3. Research Objective

Document inefficiencies and costs associated with current information discovery practices at DOTs and identify ways that DOTs can connect their existing separate information management functions to improve efficiency and effectiveness. Develop guidance on a holistic approach to IKM. This guidance should provide a model for a coordinated approach to managing and governing different types and sources of data and information at a DOT. It should identify and describe points of connection and potential synergy with respect to management of data, records, and content; identify key challenges and how to tackle them; and describe benefits to information findability and efficiency. Draw upon current practices at DOTs and other organizations.

4. Urgency and Potential Benefits

DOT organizational functions for data, email, web content, engineering content and records management are typically provided by separate offices of the agency. At most DOTs, information management is further fragmented at the individual business unit level – with deployment of specialized applications to support specific business processes. Lack of coordination across different information management functions leads to a situation in which there are multiple repositories with different search interfaces and capabilities. This contributes to data duplication and data quality problems and makes information discovery difficult and time consuming when an employee does not know in advance what item they are seeking and where it is being stored. As one example, open records requests to DOTs often require searches across email,

databases, and documents stored on file servers. The result is unproductive time on the part of employees, and underutilization of potentially valuable information resources that are not easily discoverable. A more connected, holistic approach to information management would provide principles and techniques to better understand connections across different information sources and enable efficient retrieval of different information types related to a particular topic, question, event, project or location.

5. Background Information and Need for Research

There is a lack of compelling evidence about inefficiencies associated with information management fragmentation and associated poor information findability at DOTs. Improved evidence would help to make the case for improving information management – and would also help to focus efforts where they are most needed. Studies by IDC and McKinsey have reported that (certain classes of) employees spend between 15 and 30 percent of their time searching for information. There is insufficient methodological documentation to determine the applicability of these statistics to DOTs. In addition, they lack adequate context about the types of searchers and the nature of information being sought to be useful. The first part of this study would develop and execute a sound methodology for documenting current search behaviors at DOTs in order to fill this gap in our understanding and enabling us to better target improvements.

Stakeholder outreach activities conducted as part of NCHRP Project 23-14 acknowledged the fragmentation of data and information at their agencies and felt that guidance on a holistic approach to managing these resources would be of value. There are several trends that are contributing to the need and urgency level for this research: Continued digitization of DOT information resources and migration of data to the cloud are creating opportunities for a more coordinated approach. Expansion of data governance policies and practices at both state and agency levels are building understanding that information is an asset to be inventoried and managed to maximize value. Advancement of Building Information Modeling for Infrastructure is increasing interest in integrating project and asset information across the lifecycle. Finally, with growing interest in data science, analytics and applications of AI techniques, the distinctions across tabular data, documents, and images are breaking down and agencies are recognizing the value of providing a high quality, interconnected base of information.

6. Literature Search Summary

Between 2013 and 2023, there have been six NCHRP projects related to improving management of transportation information. NCHRP Report 754: Improving Management of Transportation Information (2013) reviewed the methods employed by state DOTs to collect, store, and use data and information and provided guidance on strategies and actions that a DOT may use to improve their capture and application of information and data. NCHRP Report 829: Leadership Guide for Strategic Information Management for State Departments of Transportation (2016) is a guide intended to assist DOT executives and managers in developing an information management strategy. This guide touched on the need for coordination across different information management functions. NCHRP Research Report 846: Improving Findability and Relevance of Transportation Information: Volume I—A Guide for State Transportation Agencies, and Volume II—Background Research (2017) and NCHRP Research Report 947: Implementing Information Findability Improvements in State Transportation Agencies (2020) provided guidance for improving findability of transportation information – covering content management, enterprise search, and standardized metadata and terminology. NCHRP Synthesis 508: Data Management and Governance Practices (2017) reported on data management and governance practices at DOTs, detailing the multiple data formats and repositories at DOTs and the limited (but growing) establishment of data governance structures and processes. NCHRP Report 865: Guidance for

Development and Management of Sustainable Enterprise Information Portals (2018) reviewed use of enterprise information portals at DOTs supporting a variety of information types and functions and provides guidance on characteristics and practice for developing and managing sustainable information portals. This body of research provides a solid conceptual foundation for the current project, but the techniques covered need to be (1) updated to reflect advances in information technology and AI, and (2) feasible to adopt using current tools and technologies and (3) documented in a manner conducive to adoption.

7. Link to 2021-2026 AASHTO Strategic Plan

This research directly supports the AASHTO Strategic Plan Objective: Build transportation workforce capabilities by providing a mechanism to provide DOT workforces with the information they need to be effective and providing resources to meet evolving business needs. It also indirectly supports multiple objectives within the Safety, Mobility and Access for Everyone goal – by improving access to information for decision making.

8. Implementation Considerations and Supporters

The anticipated products of this research will be of value to state DOT leadership, multiple support areas including records management, information technology, GIS, data governance, engineering content management, and core business functions. Engagement with key stakeholders in transportation agencies should be planned as part of this project. On project completion, the AASHTO Committees on Knowledge Management and Data Management and Analytics are the appropriate groups to co-lead outreach to ensure that agencies are aware of the products and encouraged to use them. In addition, several other groups can help to build awareness of the products including the TRB Standing Committee on IKM and the TRB Data and Data Science section committees.

9. Recommended Research Funding and Research Period

Research Funding: $350,000

Research Period: 24 months

10. Problem Statement Author(s)

This problem statement was based on a draft statement developed as part of NCHRP Project 23-14. It was modified and finalized for submittal by <AASHTO CKM>.

11. Potential Panel Members

To be determined

12. Person Submitting the Problem Statement

Research subcommittee chair, AASHTO CKM.

PS5. Anticipatory Knowledge Delivery for DOTs

1. Problem Title

Anticipatory Knowledge Delivery for State DOTs

2. Keywords

Knowledge Management, Information Dissemination, Organizational Effectiveness

3. Research Objective

This project will develop guidance for state DOTs on implementing an “anticipatory knowledge delivery system” that pushes relevant information to employees when they need it. The guidance will include:

1. Identification and documentation of priority roles, business processes, milestones and events where the AKS would add the most value in a DOT setting
2. Compilation of illustrative information “packets” that the system would distribute in different situations
3. Identification of roles and responsibilities for creating, managing and supporting a DOT AKS
4. Development of a conceptual data model for an AKS, along with identification of potential linkages to existing information sources in a DOT that could be used to drive information delivery (e.g., HR information, project management information, project delivery information)
5. Development of functional requirements for an anticipatory knowledge delivery system that could be used individually or collectively by DOTs to develop and integrate anticipatory knowledge delivery system software

4. Urgency and Potential Benefits

DOTs have developed large collections of technical manuals and guidance documents as well as a variety of data products, but it can be challenging for employees to get the right information at the right time. DOT workforces have thinned out, and employees are overloaded with work. They have limited time to search for information across a large array of available sources – within their agency as well as externally. In addition, given the siloed nature of most DOTs, it can be difficult to coordinate information delivery and ensure consistent application of processes and consistent understanding of new or modified requirements. This research will benefit all DOTs by providing a proven approach for ensuring that employees have the best available information when they need it to perform their job responsibilities in an efficient and effective manner.

5. Background Information and Need for Research

In 2018, the director of KM at the MITRE Corporation shared MITRE’s approach to creating an “anticipatory knowledge” delivery system that provides targeted guidance to employees based on their roles, triggered by key milestone events such as onboarding, assignment of first project management responsibility, and passage of new legislation. MITRE’s presentation at the 2018 annual TRB meeting was well-received, and the anticipatory knowledge concept continues to be of great interest to transportation agencies. However, anticipatory knowledge delivery has not yet been operationalized by DOTs. There is a need for guidance tailored to DOTs on how to anticipate what employees need to know at different points in time – and deliver that information in an automated, convenient, coordinated and efficient fashion. This guidance would identify types and sources of information required for a selected set of DOT roles, processes and milestones (for example: project delivery, environmental assessments, employee onboarding, new legislative or regulatory requirements). It would also create model requirements that could be used by DOTs or their partners to implement an AKS.

6. Literature Search Summary

MITRE has documented their AKS in presentations for various groups. One of these can be found at https://kde.mitre.org/wp-content/uploads/2017/09/Cuomo-Anticipatory-Knowledge-Delivery-2017v2.pdf.

There is a body of general research on role or context-based knowledge delivery, which explores methods to provide targeted information at key points in a process – for example,

supplying product specifications or delivery schedules to support manufacturing or delivering relevant information to a physician when they order a medical test for a particular patient. Deploying this type of information delivery promotes decision making that is consistent across the enterprise, based on the best available information. Selected relevant studies are listed below:

• Davenport, T.H., Glaser J. Just-in-time delivery comes to knowledge management. Harvard Business Review. 2002 Jul;80(7):107-11, 126. PMID: 12140850
• Shellum, J.L., et al. “Knowledge as a service at the point of care.” AMIA Annual Symposium Proceedings. Vol. 2016. American Medical Informatics Association, 2016.
• Bouzeghoub, A., Do, K.N., Lecocq, C. (2007). A Situation-Based Delivery of Learning Resources in Pervasive Learning. In: Duval, E., et al. (eds) Creating New Learning Experiences on a Global Scale. EC-TEL 2007. Lecture Notes in Computer Science, vol 4753. Springer, Berlin, Heidelberg. https://doi.org/10.1007/978-3-540-75195-3_36

Prior and current knowledge management research for transportation agencies has focused on KM techniques and implementation strategies. Prior studies have not covered the topic of role- or context-based knowledge delivery at DOTs. However, two current projects may provide useful input to the proposed research: NCHRP Project 23-17 is scoped to example the integration of KM into transportation agency business practices. NCHRP Project 20-24(141), “Advancing the Art and Science of Decision-Making,” (2023-2025) is producing guidance for executive-level decision makers addressing improving the flow and quality of information.

7. Link to 2021-2026 AASHTO Strategic Plan

This research supports the AASHTO Strategic Plan Objective: Build transportation workforce capabilities by providing a mechanism to provide DOT workforces with the information they need to be effective.

8. Implementation Considerations and Supporters

The anticipated products of this research will be of interest to state DOT leaders and functional leads responsible for effective dissemination of knowledge and information. The project will demonstrate the application of anticipatory knowledge delivery within multiple DOT functions and include direct engagement of leads within these functional units. At a minimum, engagement from representatives of HR, Information Technology, Data Management, Project Management and Project Delivery functions will increase the value of this research since they will all need to play an important role in implementation.

On project completion, a follow-on implementation project should be considered to demonstrate applicability of the guidance, engaging at least four state DOTs.

The AASHTO CKM is the appropriate group to lead outreach to ensure that agencies are aware of the products and encouraged to use them. In addition, several other groups can help to build awareness of the products including the AASHTO’s Agency Administration Managing Committee and their Subcommittee on Transportation Workforce Management, and the TRB Standing Committee on IKM. Because the products will benefit multiple DOT functional areas, the AASHTO CKM should facilitate this outreach to other relevant AASHTO Committees who can promote the products within their respective communities.

9. Recommended Research Funding and Research Period

Research Funding: Phase 1: $350,000 plus an additional $250,000 for a separate follow-on implementation project

Research Period: 18 months (Phase 1 only)

10. Problem Statement Author(s)

This problem statement was based on a draft statement developed as part of NCHRP Project 23-14. It was modified and finalized for submittal by Craig Crick, Nevada DOT.

11. Potential Panel Members

To be determined.

12. Person Submitting the Problem Statement

Craig Crick, Employee Development Manager, Nevada DOT, on behalf of the AASHTO CKM

PS6. AI Applications for Knowledge Discovery & Delivery

1. Problem Title

AI Applications for Knowledge Discovery & Delivery

2. Keywords/Terms

Knowledge Management, Information Management, AI, Knowledge Acquisition (Expert Systems), Intelligent Agents

3. Research Objective

Conduct a study to understand applications, benefits and limitations of available and emerging AI applications to enhance knowledge discovery and delivery at DOTs. This study should identify and describe promising applications for internal use (e.g., employees searching for a solution to a problem) as well as external use (e.g., responding to public inquiries). It should cover techniques including (but not limited to) auto-classification, semantic search, intelligent agents/automated assistants, chatbots and interactive tools for knowledge exploration - as well as knowledge representation techniques (e.g., ontologies and knowledge graphs) that support these applications. It should characterize each application with respect to potential value, current level of maturity or readiness, methodologies, data requirements, level of expertise required for development and key challenges or cautions to be aware of. It should document current implementations of these applications in transportation agencies and other organizations and describe their benefits. Finally, it should suggest specific pilot projects that can be undertaken to further develop the most promising applications and demonstrate their value.

4. Urgency and Potential Benefits

We are seeing rapid advances in the field of AI in general and the use of large language models (LLMs) in particular. Current AI research in transportation has focused on applications (and related semantic models) for connected vehicles, image processing, traffic operations, and process optimization. Relatively little research has been done on applications for general knowledge discovery and delivery within a DOT – for example, providing the ability for an employee to quickly find information about a business process, technical standard, or best practice. Development of AI applications supporting knowledge discovery and delivery for DOTs may hold promise for overcoming many of the barriers to information findability that have been identified in prior research – including the need for time-consuming processes to tag available information and exercise discipline in standardizing information organization. There is a need for background research that can identify the most promising applications and productively channel future efforts to create models or tools that can support and advance these applications at multiple DOTs.

5. Background Information and Need for Research

Advances in chatbots powered by LLMs trained on large volumes of text sources are having game-changing impacts across multiple industries due to their ability to provide contextually relevant and well written responses to user questions. However, these models have recognized limitations and need to be used with caution. KM experts have noted that LLMs can be greatly improved through integration with semantic models (such as ontologies) that define entities and relationships across entities for specific domains of interest (such as transportation). This integration would enable the models to better understand user queries, properly resolve language ambiguity, and provide more accurate and precise responses. There are also multiple ongoing efforts (for example, in the field of medicine) to implement enterprise-level LLMs that are fine-tuned to a specific domain area and pointed at a specific body of content. Development of an LLM integrated with transportation semantic models and tuned for application within a DOT setting has great potential for dramatically improving information discovery and delivery for DOT employees and customers. However, there is a need to better understand the feasibility of this endeavor, its information and modeling requirements, steps and skills needed, and specific applications.

6. Literature Search Summary

Between 2013 and 2023, there have been several NCHRP projects related to improving knowledge discovery and delivery. NCHRP Report 754 (2013) reviews the methods employed by state DOTs to collect, store, and use data and information and provided guidance on strategies and actions that a DOT may use to improve their capture and application of information and data. NCHRP Report 829 (2016) is a guide intended to assist DOT executives and managers in developing an information management strategy. NCHRP Reports 846 (2017) and 947 (2020) provide guidance for improving findability of transportation information – covering content management, enterprise search, and standardized metadata and terminology. NCHRP Research Report 874: The Transportation Research Thesaurus: Capabilities and Enhancements described approaches to improving the capabilities of the Transportation Research Thesaurus. In addition, a number of studies have developed ontologies and other semantic structures for representing transportation information in a manner that facilitates retrieval. Of most relevance to this project is a study conducted for the North Carolina DOT in 2021: “Neural Language Model Based Intelligent Semantic Information Retrieval on NCDOT Projects for Knowledge Management.” This study developed an AI inference model drawing from various DOT documents, which can be used to connect lessons learned in the agency’s CLEAR repository to project-specific domain knowledge.

As of December 2023, there were three active NCHRP projects that may provide useful resource materials for this project:

• NCHRP 23-27, “Strategies for Developing and Using Data Ontologies for Data-Driven Decision-Making” (2023–2025)
• NCHRP 23-12, “Artificial Intelligence Opportunities for State and Local DOTs – A Research Roadmap” (2021–2023)
• NCHRP 23-16, “Implementing and Leveraging Machine Learning at State DOTs” (2022–2024)

There are many other research projects underway related to applications of AI for transportation, but these projects are not focusing on knowledge discovery and delivery aspects of AI.

7. Link to 2021-2026 AASHTO Strategic Plan

This research directly supports the AASHTO Strategic Plan Objective: Build transportation workforce capabilities by providing a mechanism to provide DOT workforces with the information they need to be effective and providing resources to meet evolving business needs. It also indirectly supports multiple objectives within the Safety, Mobility and Access for Everyone goal – by improving access to information and knowledge for decision making.

8. Implementation Considerations and Supporters

The anticipated products of this research will be of value to state DOT leadership, multiple support areas, including HR, research, and information technology, and core business functions. Engagement with key stakeholders in transportation agencies should be planned as part of this project. On project completion, the AASHTO CKM is the appropriate group to lead outreach to ensure that agencies are aware of the products and encouraged to use them. In addition, several other groups can help to build awareness of the products including the AASHTO’s Data Management and Analytics Committee and the TRB Standing Committees on IKM, Artificial Intelligence and Advanced Computing; Information Systems and Technology; and Statewide Data and Information Systems.

9. Recommended Research Funding and Research Period

Research Funding: $400,000

Research Period: 24 months

10. Problem Statement Author(s)

This problem statement was based on a draft statement developed as part of NCHRP Project 23-14. It was modified and finalized for submittal by <AASHTO CKM>.

11. Potential Panel Members

To be determined.

12. Person Submitting the Problem Statement

Research subcommittee chair, AASHTO CKM.

PS7. Supporting Implementation of Holistic Approaches to Information and Knowledge Management

NCHRP PROJECT 20-44

REQUEST FOR NCHRP IMPLEMENTATION FUNDING ASSISTANCE

PS8. Supporting Implementation of Anticipatory Knowledge Systems for Transportation Agencies

NCHRP PROJECT 20-44

REQUEST FOR NCHRP IMPLEMENTATION FUNDING ASSISTANCE

Date:
NCHRP project number(s) and title(s):
TBD-Anticipatory Knowledge Delivery for DOTs
Submitted by (name, organization, email, and telephone numbers):
This NCHRP 20-44 funding assistance request was developed by the AASHTO Committee on Knowledge Management, Subcommittee on Research. It was originally developed as part of NCHRP Project 23-14, Research Roadmap for Knowledge Management. The funding assistance request is being submitted on behalf of the entire AASHTO Committee on Knowledge Management by: Craig Crick Chair, CKM Subcommittee on Research Nevada DOT
Mark one: You are a
	State DOT Employee AASHTO Committee/Council Member Member of a current NCHRP Project Panel

PS9. Supporting Implementation of AI Applications for Knowledge Discovery and Delivery

NCHRP PROJECT 20-44

REQUEST FOR NCHRP IMPLEMENTATION FUNDING ASSISTANCE

Date:
NCHRP project number(s) and title(s):
TBD-AI Applications for Knowledge Discovery and Delivery
Submitted by (name, organization, email, and telephone numbers):
This NCHRP 20-44 funding assistance request was developed by the AASHTO Committee on Knowledge Management, Subcommittee on Research. It was originally developed as part of NCHRP Project 23-14, Research Roadmap for Knowledge Management. The funding assistance request is being submitted on behalf of the entire AASHTO Committee on Knowledge Management by: Craig Crick Chair, CKM Subcommittee on Research Nevada DOT
Mark one: You are a
	State DOT Employee AASHTO Committee/Council Member Member of a current NCHRP Project Panel

PS10. Guide for Fostering Organizational Learning and Collaboration

1. Problem Title

Guide for Fostering Organizational Learning and Collaboration

2. Keywords/Terms

Knowledge Management, Organizational Factors, Organizational Effectiveness

3. Research Objective

This research will develop guidance to help DOTs to strengthen cultures supporting learning and adaptation. This is envisioned as a two-phase project. The first phase will create a framework for characterizing different facets of culture at a DOT and will apply this framework to develop a series of case studies illustrating the role of culture in learning, collaboration and changing long established modes of operation. The second phase will build on what was learned in the case studies to provide guidance and tools for assessing cultural health at agency-wide and business unit levels and implementing practices to enhance learning cultures and improve adaptability. It will also provide an illustrative example of how to apply the cultural framework for advancing DOT practices to strengthen consideration of resilience throughout planning, design, construction, maintenance and operations.

4. Urgency and Potential Benefits

DOTs face a wide array of challenges in the coming years: funding the maintenance and renewal of renewing aging infrastructure, building resiliency to respond to a changing climate, adapting to technological advances impacting multiple functional areas from design and construction to operations, integrating equity into decision making, and maintaining a strong and effective workforce as senior experts retire and a new generation comes on board. Agencies’ ability to successfully address these challenges will depend, in large part, on their internal capacity for change. Cultural factors are generally recognized as important to organizational adaptability, yet DOTs have few resources and tools for understanding and how they are limiting progress

and taking concrete steps to foster learning cultures. DOTs would benefit from case studies that illustrate the positive and negative impacts of cultural factors, tools for cultural assessment and guidance for making impactful culture change.

5. Background Information and Need for Research

This project would build on prior research on KM and innovation in transportation agencies, and foundational studies of learning cultures. It would explore the intersection of KM, learning cultures, and organizational change at DOTs. Through in-depth retrospective case studies of practices such as asset management, system operations and context-sensitive design, it would provide an understanding of the role of culture and KM processes in introducing changes to established ways of doing things. It would then develop a framework for identifying and describing specific facets of culture that impact collaboration, learning and innovation at DOTs. This framework would incorporate the work by Snowden recognizing the need for different approaches to decision making based on the nature of the problem being tackled. It would create practical tools and guidance for DOTs on how to apply and act on the results of a cultural assessment. Finally, it would demonstrate the application of this guidance on introduction of new practices for improving resilience. Specific products would include:

• Case studies and synthesis that help DOTs understand positive and negative influences of culture on organizational learning, collaboration and adaptation;
• Case studies and synthesis documenting the role of KM processes (knowledge discovery, creation, sharing, transfer and application) in supporting introduction of new practices;
• Tools that DOTs can apply for assessing organizational culture;
• Guidance on change management strategies that DOTs can use to overcome cultural barriers to knowledge sharing;
• Guidance to help DOTs expand use and effectiveness of collaboration; and
• Guidance to increase DOT manager awareness of ways to support their employees in tackling complex problems not amenable to conventional solutions.

6. Literature Search Summary

A literature review conducted for NCHRP Project 23-14 identified six completed NCHRP studies published between 2011 and 2023 that referenced the importance of learning cultures to support effective KM in transportation agencies. In addition, two relatively recent NCHRP projects provided more focused coverage of cultural factors related to innovation and capacity building in transportation agencies: the 2018 NCHRP Research Report 885: Guide to Creating and Sustaining a Culture of Innovation for Departments of Transportation and the 2019 NCHRP Project 20-24(95)A, “Ensuring Essential Capability for the Future Transportation Agency.” NCHRP Research Report 885 identified a rich body of prior research on innovation in transportation and other organizations, including work at Caltrans, Wisconsin DOT and MnDOT and work related to the AASHTO Innovation Initiative and the FHWA State Transportation Innovation Council (STIC) network. In 2018, the Washington State DOT included a study of learning culture as part of its FHWA AID project on Improving Knowledge and Information Management for Practical Solutions. Finally, there has also been some recent FHWA sponsored work exploring the role of agency culture in mainstreaming transportation systems management and operations.

As of December 2023, there were three active and pending NCHRP projects that are expected to touch on aspects of learning culture: NCHRP 23-17 (2023-2025); NCHRP 23-31 (2023-2025); and NCHRP 20-44(45) (2023-2025). There is also an active Tennessee DOT-sponsored study: “Identifying Critical Knowledge Gaps and Assessing Organizational Readiness for Improved Knowledge Management.”

In addition to KM research targeting transportation agencies, there is a large body of general literature on learning cultures and collaboration in organizations available to inform the current project. Of particular note are classic works by Edgar Schein, Peter Senge, Chris Argyris and Donald Schön; David Snowden and Ikujiro Nonaka and Hirotaka Takeuchi.

7. Link to 2021-2026 AASHTO Strategic Plan

This research supports the AASHTO Strategic Plan Objective: Build transportation workforce capabilities by improving our understanding of cultural factors underpinning a workforce environment conducive to learning and improvement and identifying strategies that DOTs can implement to foster learning cultures.

8. Implementation Considerations and Supporters

The anticipated products of this research will be of value to state DOT leadership, multiple support areas, including HR, research, and information technology, and core business functions. Engagement with key stakeholders in transportation agencies should be planned as part of this project. On project completion, the AASHTO CKM is the appropriate group to lead outreach to ensure that agencies are aware of the products and encouraged to use them. In addition, several other groups can help to build awareness of the products including the AASHTO’s Agency Administration Managing Committee and their Subcommittee on Transportation Workforce Management, and the TRB Standing Committees on IKM and Workforce Development and Organizational Excellence.

9. Recommended Research Funding and Research Period

Research Funding: $125,000 for Phase 1 (study) and $275,000 for Phase II (guidance development.)

Research Period: 24 months: 8 months for study and 16 months for guidance development.

10. Problem Statement Author(s)

This problem statement was based on a draft statement developed as part of NCHRP Project 23-14, “Research Roadmap for Knowledge Management.” It was modified and finalized for submittal by <AASHTO CKM>.

11. Potential Panel Members

To be determined.

12. Person Submitting the Problem Statement

Research subcommittee chair, AASHTO CKM.

PS11. Supporting Implementation of Learning Culture Assessment and Improvement

NCHRP PROJECT 20-44

REQUEST FOR NCHRP IMPLEMENTATION FUNDING ASSISTANCE

Date:
NCHRP project number(s) and title(s):
TBD- Guide for Fostering Organizational Learning and Collaboration
Submitted by (name, organization, email, and telephone numbers):
This NCHRP 20-44 funding assistance request was developed by the AASHTO Committee on Knowledge Management, Subcommittee on Research. It was originally developed as part of NCHRP Project 23-14, “Research Roadmap for Knowledge Management.” The funding assistance request is being submitted on behalf of the entire AASHTO Committee on Knowledge Management by: Craig Crick Chair, CKM Subcommittee on Research Nevada DOT
Mark one: You are a
	State DOT Employee AASHTO Committee/Council Member Member of a current NCHRP Project Panel
NCHRP Staff Officer:
David Jared
Amount requested:
$175,000
Lead state and other participating organizations or agencies:
TBD
Do you have a commitment from all parties that will be involved in this effort?
TBD
In-kind or other contributions from participating agencies: