APPENDIX F

Roadmap Management Plan

Introduction

The KM Research Roadmap is based on a review of current and pending research as well as stakeholder needs as of 2022–2023. KM RNs will shift over time, as research projects are completed, as transportation agencies mature their practices, and as technologies advance. In particular, we are likely to see rapid advancements and adoption of AI tools and techniques for knowledge discovery and delivery in the coming years. As transportation agencies continue to put these capabilities in place, new RNs will emerge.

This Plan describes a sustainable process for keeping the KM Research Roadmap updated through periodic review and revision. It suggests a set of steps to follow for the update process, identifies the groups who will lead this process, and describes the prototype research management system developed to maintain roadmap information.

Process for Updating the Roadmap

Process Ownership

The AASHTO Committee on Knowledge Management’s Research Subcommittee (AASHTO CKM-RS) is the logical group to own and manage the roadmap update process. The TRB IKM Committee should play a support role given their scope and broad membership representation across public, private and academic sectors.

Update Cycles

Monthly Updates. The KM Research Roadmap can be updated on a continuous basis as new RNs are identified, RPSs are drafted and revised, and KM-related research projects are funded and completed. The AASHTO CKM-RS can add a standing agenda item to its monthly meetings to identify any changes to needs, RPSs, and projects and assign responsibility for making these updates.

Bi-Annual Updates. Every other year, the KM Research Roadmap should be reviewed in a comprehensive fashion, with a focus on updating the RNs and unfunded RPSs to reflect new concerns and needs that have emerged since the last update cycle. These bi-annual updates should be timed to support the research funding cycle. This bi-annual update process should be jointly managed by the AASHTO CKM-RS and the TRB IKM Committee.

Cyclical Update Process

The bi-annual update process should involve the following steps:

1. Establish a working group of 3-5 members and designate a chair of this group to drive the process.

2. Send out a call for comment to the membership and friend lists of the TRB IKM Committee and the AASHTO CKM-RS – with a link to a listing of current KM RNs and RPSs. Create a survey to gather feedback on:
   • RNs to be removed or updated
   • New RNs to be added
   • RPSs to be removed or updated
   • New RPSs to be added
3. Convene an online, facilitated listening session to discuss the survey results and hear additional feedback.
4. Seek volunteers beyond the working group (if needed) to make updates to the RNs and RPSs.
5. Finalize the RNs and RPSs, seeking additional feedback from the original reviewers as appropriate.

This process should take between 2-3 months to complete. Ideally it should be timed to be wrapped up by September so that the AASHTO CKM-RC can use the results to recommend projects for the annual NCHRP cycle (RPSs are due November 1st.)

Communication about the Updates

Following the bi-annual update cycle, AASHTO CKM and TRB IKM should carry out the recommended cyclical communications activities in the KM Research Roadmap Communication Plan to remind stakeholders of the roadmap and sustain interest and activity in funding and collaborating on KM-related research.

KM Research Management System

Overview

About the KM Research Roadmap

A research roadmap for KM RRM has been created through NCHRP Project 23-14 and is available at https://apps.trb.org/cmsfeed/TRBNetProjectDisplay.asp?ProjectID=4999. In order to facilitate ongoing updates to the roadmap to keep it fresh and maximize the reach and impact of the roadmap, the project has also produced a functional prototype of a web-based research management system (KM RMS).

The KM RMS is a Django/React web application with a Postgres (SQL) database, deployed on Heroku (Platform as a Service Provider). It provides the following capabilities:

• Browse RNs, RPSs, and past/active/pending projects
• Add new RNs and RPSs; assign needs to RPSs
• Update the research project list to reflect new projects and changes in status

Accessing the System

All users (no login needed) can browse information, submit suggestions for new or modified RNs and RPSs and submit suggestions for KM-related projects to be included in the system.

Only people with assigned Edit privileges can modify the information in the KM RMS. The KM RMS Administrator is responsible for assigning Edit privileges as needed.

Data Included in the KM RMS

The KM RMS has three major tables: RNs, RPSs, and Research Projects.

RNs describe a research concept. Research concepts are “raw” needs that can be incorporated into RPSs (see below). The KM RMS RNs have been populated with the needs identified in the KM RRM. Each record in the RNs table has the following data elements:

• ID – a brief identifier for the RN.
• Title – a text field for the name of the RN.
• Objectives – a text field for a brief description of the need.
• Proposed Tasks – a text field for a list of activities that might be included in a research project to meet this need.
• RN Status – an internally maintained field that is initially set to “Unassigned” and changed to “Assigned” when the user associates the RN with an RPS.
• KM Motivations – a tag used across the RMS to indicate what KM motivations drive the RN (see below for a list of tags).
• KM Processes – a tag used across the RMS to indicate what KM Processes are related to the RN (see below for a list of tags).
• Research Track – a tag used across the RMS to indicate which research track the Problem Statement falls into (see below for a list of tags).
• RN Category – a tag used to categorize RNs (see below for a list of tags).

RPSs are fully developed proposals for research projects to be considered for funding. Data elements are:

• ID – a brief identifier for the Problem Statement.
• Title – a text field for the name of the Problem Statement.
• Description – a text field for a brief description of the research products to be produced through the proposed project.
• CKM Priority – an optional field that the AASHTO CKM research subcommittee can use to assign a priority ranking to RPSs under consideration. Assign a “1” to the highest ranked problem statement, “2” to the next highest, and so on.
• Proposed Funding – the amount of funding being requested.
• Target Funding Program – the suggested funding program for the project, selected from the following options:
  • NCHRP
    • Full
    • Synthesis
    • AASHTO Committee Support (20-123)
    • Administration Support (20-24)
    • Implementation (20-44)
  • TCRP
  • ACRP
  • FHWA
    • Domestic Scan
    • Pooled Fund
    • Peer Exchange
    • Other
  • University
  • Other
• Target Start Year – the federal fiscal year in which the research project should be targeted for funding
• Target Duration – the suggested duration of the research project in months
• Problem Statement Status – the current status of the RPS, selected from the following options:
  • Draft-Problem statement is in draft form
  • Candidate-Problem statement is in final form and a candidate for moving forward

• Proposed-Problem statement has been submitted for funding approval
• Funded-project has been funded covering the scope of this problem statement
• Archived-Problem statement is no longer relevant and not to be considered for future funding
• Notes – a text field that can be used to track activities associated with the problem statement (for example, date submitted, comments received, etc.)
• KM Motivations – a tag used across the RMS to indicate what KM motivations drive the Problem Statement (see below for a list of tags)
• KM Processes – a tag used across the RMS to indicate what KM Processes are related to the Problem Statement (see below for a list of tags)
• Research Track – a tag used across the RMS to indicate which research track the Problem Statement falls into (see below for a list of tags)
• Problem Statement Document - Link to a document containing a completed NCHRP Problem Statement. While the NCHRP template was used, RPSs can be adapted for other funding programs as appropriate.

Research Projects are KM-related research projects that are pending (i.e., funded but not yet active), underway or completed. The list of research projects was populated based on the KM literature review conducted for NCHRP Project 23-14. This literature review focused on projects completed since 2010, though a few earlier projects were included. Data elements for research projects are:

• ID – a brief identifier for the Project
• Title – a text field for the name of the Project
• External Link – a link to an externally maintained project description (e.g., the NCHRP project page) or published report
• Funding Program – same options as for RPSs
• Funding Amount – the project’s funding amount, if known
• Start Date – the planned or actual project completion year
• Completion Date – the planned or actual project completion year
• Project Status – the current status of the project, selected from the following options:
  • Pending-Project has been approved for funding, but work is not yet underway
  • Active-A research contract has been executed and work is underway
  • Completed-Project has been completed; publication pending
  • Published-Project report is available
• Implementation Activities – a text field that can be used to record activities conducted to implement the research results within transportation agencies.
• KM Motivations – a tag used across the RMS to indicate what KM motivations drove the Project (see below for a list of tags).
• KM Processes – a tag used across the RMS to indicate what KM Processes are related to the Project (see below for a list of tags).
• Research Track – a tag used across the RMS to indicate which research track the Project falls into. Note that not all prior KM-related projects fit within the identified KM research tracks. In these situations, they were assigned to an “Other” Research Track category (see below for a list of tags).

Figure F-1 shows the relationships across the three tables.

RPSs can be associated with one or more RNs that are covered within their scope.

Tags

RNs, RPSs, and Research Projects (RPs) are tagged with KM Motivations, KM Processes, and Research Tracks. RNs are also assigned to an RN Category. Values for these tags are shown below.

RPSs can be associated with one or more RNs that are covered within their scope.
When an RPS is approved for funding, it can be associated with a RP. Sometimes RPs are funded that combine multiple RPSs. Therefore, the database allows for a many-to-one relationship between RPSs and RPs.

Note: There is no automated way to create an RP from an RPS—RPs must be added manually.

KM Motivations

These indicate the motivations for KM implementation addressed by the need, problem statement or project:

• Succession Management. Ensuring smooth transitions when employees retire or change jobs – through transfer of explicit and tacit knowledge
• Innovation. Supporting innovation/introduction of new practices through staff development and recruiting and providing an environment conducive to knowledge sharing & creation
• Continuous Improvement. Ensuring that DOT practices are continuously improved based on lessons learned from experience
• Efficiency. Ensuring that employees have access to the right knowledge at the right time to do their jobs, including access to both internal and external information or expertise.

KM Processes

These indicate the types of KM processes or techniques that are addressed by the need, problem statement or project:

• Knowledge Strategy & Planning. Getting started with KM, aligning KM with organizational goals, identifying gaps, setting priorities
• Knowledge Capture & Reuse. Methods and supporting processes, technologies and cultural factors related to creating, managing, delivering and using knowledge assets
• CO-Collaboration & Social Learning. Methods and supporting processes, technologies and cultural factors related to fostering person-to-person knowledge transfer and learning
• Knowledge Representation & Organization. Methods and supporting processes, technologies and organizational factors related to representing and organizing knowledge so that it can be found/discovered and used.

Research Tracks

The research tracks are the organizing structure for the RPSs in the roadmap. They are also used to tag RNs and research projects to allow for filtering of all items based on research track. Three tracks were defined. In addition, an “Other” category was included to tag historical research projects that do not fit into the three main tracks.

• G-KM Implementation Resources. Provide practical guidance to help DOTs expand application and impact of KM.
• K-Advancing Knowledge Discovery and Delivery. Advance tools and methods for knowledge discovery and delivery.
• C-Fostering Learning Cultures. Advance practices for overcoming cultural barriers to knowledge creation, learning and improvement.

RN Categories

RN categories are the five categories of RN that were identified through the KM RRM literature review:

• A-Understand the Context for KM. Products that provide a better understanding of the context for KM within a transportation agency.
• B-Document and Share KM Practices. Products that document KM applications at transportation agencies so that they can be easily shared and used as models.
• C-Provide Practical Guidance for KM Implementation. Products that provide guidance to transportation agencies on KM strategy, approach and implementation or operationalization.
• D-Provide Practical Tools Supporting KM. Supporting tools and templates for KM strategy development and implementation efforts.
• E-Advance Knowledge Representation and Delivery Methods. Studies that advance the state of the practice in transportation knowledge representation, discovery and delivery.
• F-Facilitate KM Research Implementation. Research activities to spread awareness of completed research, conduct pilots and support adoption.

Browsing KM Research Roadmap Information

1. Make sure the table you want to look at is selected (shaded) in the upper left corner of the screen. Only two of the three tables can be viewed at one time.

   

   In the above example (Research Needs and Problem Statements are selected), if you want to see Problem Statements and Research Projects, first click on Research Needs to de-select it. Then, click on Research Projects.

2. To narrow down the list to items of interest, click to show the filter options (see green circle in the screen shot below).

   

This expands the screen to show the available filter options. Four options will always be available on the left side of the screen: Research Tracks, KM Motivations, KM Processes and Funding Programs. If you select any of these options, they will apply to all of the active tables.

If the Research Needs table is selected, the Need Status and Need Category will be active.

If the Problem Statements table is selected, the Statement Status will be active.

If the Research Project table is selected, the Project Status will be active.

3. Alternatively (or in addition), you can use the Search box to enter a keyword. This will search in the title and all of the other text fields in all active tables.
4. To close the filter screen, click on the up-arrow to the right of the search box (shown below).

   

5. Browse the filtered list and then click on the item of interest to view the information.

   

   A window will open showing details for your selected item.

   

6. When you are done, close the screen by clicking on the X in the upper left corner.

Suggesting Updates to the KM Research Roadmap

Anyone can suggest changes to the KM Research Roadmap. Changes can include adding new Research Needs, Problem Statements, or Projects OR modifying information for an existing Research Need, Problem Statement, or Project. All suggestions are sent to the KM RMS Administrator.

Suggesting Additions to the Roadmap

1. To suggest adding a new Research Need, Problem Statement, or Project, click on the appropriate button under the name of the appropriate table:

   

2. A window will appear asking you to enter your email and information about the Research Need, Problem Statement, or Project you want to add:

   

3. Enter your email and provide the requested information.
4. Click on the Send Suggestion button. The KM RMS Administrator will contact you if they require further information or want to discuss your suggestion further.

Suggesting Updates to Existing Roadmap Information

You can also suggest a change to any existing roadmap information – for example:

• Research Need: suggest a new task or objective
• Problem Statement: suggest a different target funding program or add notes
• Project: update the status or provide a link to a newly published report

To suggest an update to a particular record for a Research Need, Problem Statement, or Project:

1. Browse and select the record using the steps provided above under 2. Browsing Research Roadmap Information.

2. Scroll down to the bottom of the window and fill out the suggestion block with your email and your suggested updates. Be sure to describe your suggested update with enough information for the KM RMS Administrator to understand the change to be made.

   

3. Click on the Send Suggestion button. The KM RMS Administrator will contact you if they require further information or want to discuss your suggestion further.
4. Close the window by clicking on the X in the upper left corner.

Updating the KM Research Roadmap Information (Edit Privileges Required)

The procedures in this section can be used by individuals who have been assigned Edit privileges to update information about Research Needs, Problem Statements, and Projects.

Updates to the RMS will be needed in the following situations:

• Periodic review of existing Research Needs
  • Are they still needed? If not, delete them.
  • Do they need modifications? If so, update their objectives and task descriptions.
• Periodic review of existing Problem Statements
  • Have they been submitted to a funding program? Change their status to Submitted
  • Have they been approved for funding? Change their status to Funded
  • Are they no longer being actively considered for moving forward? Change their status to Archived
  • Do they need modifications? If so, update the description, proposed funding and duration, and tags. Download the existing problem statement document, modify it, and then re-upload it.
• Periodic review of Projects
  • Has their status changed? If so:
    • Update the status to reflect projects that have moved from pending to active, active to complete, and complete to published.
    • For projects moving into published status, modify the external link to point to the published report.
    • For projects moving into complete status, check and modify the completion date if needed.

For the above activities, see the section below for: Updating an Existing Research Need, Problem Statement, or Project.

• Creating new Research Needs and Problem Statements
  • Add new Research Needs: This can be done throughout the year to capture ideas that are in the brainstorming process. A Research Need consists of some objectives and a list of potential research tasks. Assign tags to the new Research Needs to make it filterable. Make sure you don’t duplicate an existing need.
  • Add new Problem Statements: When it is time to prepare new proposals for research projects to be funded, review the current unassigned Research Needs (i.e., Research Needs that are not already assigned to a Problem Statement). Draft a new Problem Statement that reflects one or more of the unassigned Research Needs. You will need to add a new record, complete the items in the data entry form, and prepare and upload a document with the full version of the problem statement. (Again, make sure that you do not duplicate an existing Problem Statement). Note that there is no automated process of making Research Needs into Problem Statements. However, when you do create a new Problem Statement, make sure that you select the associated Research Needs as you are entering data for that Problem Statement.

For the above activities, see the section below for: Adding a New Research Need, Problem Statement, or Project.

Updating an Existing Research Need, Problem Statement, or Project

1. Make sure the table you want to edit is selected (shaded) in the upper left corner of the screen. Only two of the three tables can be viewed at one time.

   

2. Search for the item you want to modify by browsing the list or entering a portion of its title in the search box.

   

2. 

3. Click on the item you want to edit. This will open up a page view of the record.

   

4. To delete the item, click on the Trash Can icon in the upper right corner of the screen. (CAUTION: THIS WILL PERMANENTLY DELETE THE RECORD)

5. To update the item, click on the Pencil icon. The screen will change into Edit mode as shown below:

   

6. Update the information on the screen, and then click save changes (upper right) or Save and Close (lower right). To discard your changes, click on the X in the upper left corner of the screen or Discard Changes (lower left).

Adding a New Research Need, Problem Statement, or Project

1. Make sure the table you want to edit is selected (shaded) in the upper left corner of the screen. Only two of the three tables can be viewed at one time.

   

2. At the top of the appropriate list, select the “Add New Research Need,” “Add New Problem Statement” or “Add New Research Project” button.

   

3. Fill in all of the items on the form, and then click “Save and Close.” If you want to discard your changes, click the X in the upper left corner.

   

1. 3a. To Assign Research Needs to Problem Statements, follow the above instructions to bring up the edit screen for the Problem Statement. Click the down arrow in the Associated Research Needs block.

   

Then, you can unselect and select RNs from the list that appears. When you have completed your selections, just click anywhere outside of the active window to return to the edit form.

1. 3b. To Associate Problem Statements with Research Projects, follow the above instructions to bring up the edit screen for the Research Project. Click the down arrow in the Associated Problem Statements block.

   Then, you can unselect and select one or more RPSs from the list that appears.

   

When you have completed your selections, just click anywhere outside of the active window to return to the edit form.

Managing Problem Statement Documents

1. When editing or adding a Problem Statement, you can upload a new Problem Statement document by clicking on the Upload Problem Statement Document button at the bottom of the edit screen.

   

2. Click Choose File, navigate to the file you wish to upload on your computer, and select it. This will replace the existing file (if one exists).

   

3. To download the current Problem Statement document, simply click on the hyperlink to the name of the document.