A Framework for Improving Travel Time Reliability (2013)

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22 C h a p t e r 3 This chapter of the report discusses the findings associated with Track B of SHRP 2 Project L17, which identified the require- ments of a KTS effective enough to support the development of a more reliable transportation system. reliability and the Broader Systems Operations and Management Context An overarching conclusion reached early in this research was that a KTS with significant audience appeal and utility cannot be confined to reliability alone. Reliability is not a stand-alone consideration in practice and policy as well as in DOT program, strategy, or organization. Instead, reliability must be considered within the broader view of TSM&O. The data, methods, and performance measurement considerations related to achieving improved reliability are usually combined with those related to improving capacity, safety, delay, and other performance con- siderations. The conventional strategies addressing the causes of congestion—both recurring and nonrecurring—are usu- ally intended to affect combinations of these performance indicators. Existing knowledge resources related to reliability [such as the FHWA and Research and Innovative Technology (RITA) websites] are found combined within a range of other related topics. An effective KTS must respond to the reality that the audiences will look for and find reliability material within knowledge resources key to a range of broader, related topics. This “embeddedness” of reliability is a central reality in how reliability is addressed by practitioners and policy makers. The research team believes that a KTS targeting reliability alone would not be visible or useful to the intended KTS users, given the relative immaturity of TSM&O policies and programs. This broader context is reflected in the current dis- cussion about the value of a “center for excellence” for TSM&O that would provide an active vehicle for promoting and sup- porting the development of TSM&O-related concepts such as reliability. Therefore, this project assumed that reliability can be best promoted in a KTS that is focused broadly on TSM&O. Within such a KTS, reliability considerations can be highlighted. In the remainder of this chapter, the focus is on supporting TSM&O as a whole—and reliability within it. The focus of this track’s work was on developing approaches through a KTS for TSM&O-related knowledge transfer and creating a web-based portal to provide access to this knowl- edge. However, it is recognized that an effective KTS—in addi- tion to a website—will involve ongoing, managed, face-to-face activities. Issues and options for non–web-based activities are identified, but no specific recommendations were offered for these components of a comprehensive KTS. Overarching KtS Framework The identification of the requirements, options, and evalua- tion criteria for an effective KTS followed a general systems engineering approach. The mission of the KTS in terms of its presumed program and institutional operating environment is identified as shown in Figure 3.1. User needs are identified in terms of the range of audiences. The framework shown in Figure 3.1 considers the following: • The kind of knowledge that needs to be transferred to support key audiences (in support of Track A). • A review of the existing KTS activities and media (in support of Track C). • The functional requirements for knowledge transfer. • Specific categories of knowledge and the user-related criteria that must be met for an effective KTS. • Existing KTS activities that can be reviewed for strengths and weakness. • A series of options for overcoming the identified gaps. An incremental approach to the rollout and implementation of the KTS was proposed, one that could be initiated imme- diately to accommodate the need to make SHRP 2 Reliability Knowledge Transfer System

23 products available as soon as practical and that can be adjusted as experience and needs dictate. The mission of the KTS in terms of its presumed program and institutional operating environment was identified. User needs were identified in terms of the range of audiences. The functional requirements for knowledge transfer were identi- fied in terms of specific categories of knowledge and the user- related criteria that must be met for effective KTS. Finally, existing alternatives were reviewed for strengths and weakness and, in light of this gap analysis, a series of gap-filling projects was proposed. Figure 3.1 indicates the relationship between the SHRP 2 Project L17 Reliability research and other SHRP 2 Reliability projects. After interim or final products of other SHRP 2 proj- ects are reviewed and finalized, they can be incorporated into the web-based KTS and structured within the appropriate knowledge category for ease of access. Knowledge Domain of Interest and Context Improving knowledge transfer regarding reliability must take place within the institutional setting where the relevant infor- mation can be put to use. In the policy, practice, and institu- tional arrangements of transportation agencies, pursuit of reliability is in a set of strategic conventions focused on real- time operational management of the roadway network— together known as TSM&O. Reliability is seldom a stand-alone focus of transportation policy or practice. Reliability-related data, methods, guidance, training, strategies, and other results from SHRP 2 research Figure 3.1. KTS framework.

24 can be appropriately positioned in the context of the knowl- edge framework of TSM&O—as perceived by key user audi- ences. An effective KTS must relate to the institutional context of practice that focuses on TSM&O and place reliability in the appropriate real-world context. While congestion expressed in terms of travel time delay is widely recognized as a problem, the disruptions caused by unpredictable incidents (nonrecurring congestion) is less well understood. Most agencies have some activities addressing the principal problems—typically embodied in a TSM&O program. The state of the practice regarding roadway TSM&O (and reliability within it) is developing and uneven, hampered by lack of an organized KTS. The substantive technical coverage of a KTS that includes reliability must incorporate the scope of current practice related to TSM&O. That technical cover- age also must recognize that many process and institutional features required to support effective TSM&O, related both to recurring and nonrecurring congestion, are not congruent with current practice and yet must be included. Audiences The knowledge of interest is directly related to the interests of the users and the creators of the knowledge. Thus, a KTS must be developed with their needs and interests in mind, and in light of the key relations among them. There are four principal audiences: practitioners, policy makers, researchers and educators, and the public at large. Practitioners who are involved in development and delivery of strategies related to TSM&O constitute the major user and the key target of a KTS in terms of the short-run objective of improving the state of the practice that affects the level of transportation system reliability. Practitioners include public agency transportation professionals and managers at all levels of government whose involvement may range from planning to design to field operations. They also include individuals in closely related fields within agencies such as maintenance and traffic engineering. Practitioners also include those in non- transportation entities with jurisdiction over key elements of roadway level of service related to reliability, law enforcement, and emergency response activities (with transportation agency support). Finally, practitioners also include private providers of both technology and services. Policy makers provide an authorizing environment that supports both organized practice and research. Transporta- tion agencies exhibit a wide variation in understanding and interest regarding TSM&O at the policy level, reflecting agency transportation context, culture, and the technical exposure of the leadership. Researchers and educators as an audience are typically based in an academic, research entity, or consultant setting. They are responsive to, and even dependent on, the level of policy and programmatic interest within the transportation community overall. Given their academic position, the researcher audi- ence overlaps substantially with educators focused on under- graduate or graduate education. The traveling public (including private transportation enter- prise) has a largely unarticulated interest in TSM&O, even though it may be suppressed by an assumption that delay and unreliability are inevitable and their causes unmanageable. The commercial transportation community has a more compelling and economic interest, and it conventionally employs several reliability-related strategies to cope with the current trans- portation levels of service. In both cases, the growing avail- ability and quality of real-time travel condition information increase their awareness of reliability and their significance as an audience. Audiences exist more or less as “communities of practice,” united by members’ common interest in a particular domain or area and by the members’ involvement in the development and sharing of information and experiences. Communities of prac- tice can be important mechanisms for knowledge transfer. They include members of associations (such as AASHTO, ITS Amer- ica, or I-95 Corridor Coalition), graduates of the Operations Academy senior management program, the incident manage- ment community [National Traffic Incident Management Coalition (NTIMC) and National Transportation Operations Coalition (NTOC)], and members of a particular agency, government, or private entity. Knowledge transfer Systems As discussed in the previous chapter, the project team began by listing 12 basic categories of knowledge for any given topic: • Definitions and FAQs: terminology describing TSM&O- related phenomena, practices, programs, and strategies. • Access to ongoing and completed research: searchable access to research activities and products. • Technical understanding and analytic tools: descriptions and measurements of traveler behavior and traffic dynam- ics in response to both supply and demand characteristics and changes, as well as related methods for analysis, fore- casting, and evaluation. • State of the practice as documented in case studies, lessons learned, and success stories: organization of relevant pol- icy and program practice experience in transferable and useful form. • Facts and statistics: material recording and organizing phe- nomena and institutional characteristics and practices, including deployment databases. • Standards and regulations: commonly accepted industry approaches regarding systems, technology and practices, and relevant federal or state regulations.

25 • Cost and benefits database: measures of implementation resource requirements and outputs and outcomes in trans- ferable form. • Guidance: oriented to program, technical, and business processes and institutional factors. • Outreach and marketing: executive persuasive support (ratio- nale and justification); materials organizing information in a form that provides policy, program, and resource support for TSM&O. • Current professional activities: calendared notification/ description of activities of interest, including speakers bureaus and expert interviews. • Technical and peer interaction and support: peer-to-peer interchange and support opportunities. • Education and training: information resources regarding current educational and training activities. While these categories might be combined or further strati- fied in one manner or another, each is very important to one or more audiences, and each must be accommodated in a com- prehensive KTS. Each of these categories may have reliability- related information or have such information developed. The material appropriate to many of these categories is currently modest or nonexistent. Definition of an appropriate TSM&O KTS must relate sub- stantive topics of interest to the various categories of knowl- edge appropriate to each topic for the relevant audience. The knowledge categories that need to be accessed and made transferable fall into two classes: explicit (documented) or implicit/tacit (experience, anecdotes). Given the rapid and uneven development of the state of the practice, methods to capture and disseminate implicit knowl- edge must be incorporated as preconditions to effective dis- semination. A KTS is more than a passive repository of useful information. The full range of TSM&O KTS activities, which include both “pre-transfer” (such as extracting and organiz- ing) and “post-transfer” (such as management and updating), should be considered as shown in Figure 3.2. A set of criteria has been developed that characterize an effective, functioning KTS. The criteria are relevance, compre- hensiveness, user tailored, accommodating, up-to-date, easy to find, easy to use, promoting community, providing learning opportunities, and stimulating involvement. With regard to the particular medium used to transmit this information, a range of options exist for the effective transfer of both explicit and implicit knowledge. Table 3.1 lists these options and indicates the relative strengths of both electronic and live KTS. As an example, social media are becoming an increasingly prevalent mode of knowledge sharing and should be part of a comprehensive KTS. Figure 3.2. KTS activities. Identifying Capturing Targeting OrganizingTransferring Discussing Maintaining Table 3.1. Relative Strengths and Weakness of KTS Media Captures Explicit Captures Tacit Easy to Update Ease of Use— Tailoring Ease of Access Builds Community Ongoing Management Publications 3 3 Subscriptions 3 3 Conferences/Workshops 3 3 3 3 Training 3 3 3 Surveys 3 3 3 3 Expert/peer advice 3 3 3 3 Websites, including those with dialogue 3 3 3 3 3 (partial) 3 Wikis 3 3 3 Social networks 3 3 3 3 3 3

26 Best Practices Current State of Play in TSM&O-Related KTS Existing knowledge related to TSM&O (and reliability) that is technical and explicit is available through extensive media (e.g., websites, publications) or existing organizations— especially those of the FHWA Office of Operations as well as the RITA ITS Joint Program Office (JPO). This includes tech- nical understanding and analytic tools, state of the practice (case studies and lessons learned), facts and statistics, stan- dards and regulations, and a cost and benefits database as set forth previously. Nine existing websites were identified that include material related to reliability. However, these sites focus on the provision of TSM&O knowledge resources and seldom address reliability as a stand-alone topic: 1. FHWA Office of Operations Main Site: http://www.ops .fhwa.dot.gov/index.asp. FHWA Office of Operations web-page subject pages: http:// www.ops.fhwa.dot.gov/prgmdirectory.htm. 2. RITA ITS: http://www.its.dot.gov/. RITA ITS Resources Pages: http://www.itslessons.its.dot .gov/its/itsbcllwebpage.nsf/krhomepage. ITS/Operations Resource Guide 2009: http://www.its.dot .gov/press/announcement/resource_guide.htm. 3. I-95 Corridor Coalition: http://www.i95coalition.org/i95/ Default.aspx. 4. AASHTO Subcommittee on Systems Operations and Management: http://ssom.transportation.org/Pages/default .aspx. 5. ITS America: http://www.itsa.org/. 6. Institute of Transportation Engineers (ITE): http://www .ite.org/M&O/default.asp. 7. NTOC: http://www.ntoctalks.com/index.php?PHPSESSI D=a1607e7ce8b6b7e81e56d0fa1dd5739e. 8. NTIMC: http://ntimc.transportation.org/Pages/default.aspx TIM Network: http://sites.google.com/site/timnetworksite/. 9. AASHTO Transportation Systems Management and Oper- ations Guidance: http://www.aashtotsmoguidance.org/. Several of the 12 categories of knowledge important to more effective TSM&O—especially nontechnical—are not well supported by the existing TSM&O-related websites or other KTS activities. These include definitions, FAQs, out- reach and marketing, and guidance. Tacit knowledge (cur- rently undocumented or anecdotal) is also not systematically captured or transferred beyond various ad hoc methods that are web based and include some training, and those domain- wide activities that are not coordinated. Live interchange takes place via conferences and workshops, professional capacity building, peer interchange, and limited online dialogue. The topics and scheduling are ad hoc and uncoordinated. The awareness of these activities is supported by the sponsors’ websites with limited centralized compilation. There is no current systematic activity to identify and fill the gaps represented by the missing knowledge categories high- lighted in this report relating to TSM&O overall, especially related to policy audiences (FAQs, definitions, outreach and marketing), the capture of undocumented tacit knowledge, systematic dialoguing, and community building. With regard to reliability within a TSM&O framework, an initial contribu- tion to the explicit categories of knowledge is being made by the SHRP 2 Reliability program. Substantively, there is only modest criteria-based screening on existing websites. Those documents that are synthesized may not be useful or up to date for key audiences. Dated material is not removed. Much of this material is also avail- able through publications. Existing TSM&O website activities are supported by the U.S. DOT or via association dues from public or private inter- ests or a combination thereof. Some of these KTS websites and their sponsors, including those in the private sector, have a range of focus beyond knowledge transfer and technical community dialogue such as regulation, lobbying, standards development, investment, and competitive products and services. The sponsors of existing KTS activities have distinct interests and business models. In the public sector, these relate to program support and in the private sector, they relate to member support and loyalty. These orientations influence their knowledge transfer interests. Implications of the Current State of Play for Future KTS Development These findings raise several questions that affect the appropriate approach to a KTS: • No existing website is structured for access to knowledge about reliability specifically. However, it is possible to capital- ize on the existing sites and also to supplement them though a web-based tool with the appropriate search mechanism. • A KTS system focused on reliability alone would be unlikely to have major utility to the intended audiences. Promoting reliability depends on improving access to knowledge (of all types) related to TSM&O in general. A KTS built around this broader scope has the best chance of attracting users. • There is no single concept or vision regarding the knowledge that key audiences need related to TSM&O. Therefore, a clear, structured approach is essential to ensure key KTS cri- teria are being met. One possible vision is a web-based tool that provides convenient, one-stop access to the complete range of existing and new TSM&O-related knowledge cate gories regarding the substantive topics of interest to key

27 audiences, as well as opportunities for communicating, contributing, and interacting. Such a site would contain all newly created reliability-focused research, tools, guid- ance, models, and so on, and a search mechanism to find reliability-related material embedded on other existing TSM&O documents. • Existing KTS activities of FHWA and RITA provide a large amount of explicit knowledge (documentary material). There is no need to duplicate the extensive document libraries that exist on these websites; however, prioritization (by audience) as well as additional synthesis and cataloging or indexing is needed. • FHWA and RITA have made some important attempts to prioritize and synthesize available material for the prac- titioner. There are both general categories of knowledge and specific topics that are not provided in either live or electronic form. A strategy needs to be developed regard- ing the development and provision of the appropriate mix of tacit and explicit knowledge and their coverage by topic area. • Some audience needs are entirely absent in existing KTS sites. These important gaps need to be filled as part of the TSM&O KTS strategy and appear to be manageable devel- opment challenges with only modest resources. Specifically, the existing material emphasizes the needs of practitioners but does not address the needs of planners and senior man- agers. Existing material also emphasizes the engineering and tactical aspects of the strategies while ignoring management and outreach. • Existing TSM&O websites offer a substantial core of knowl- edge and KTS features on which to build a comprehensive KTS, although no single site provides functions that cover all the KTS knowledge categories. A cooperative strategy should be developed among website sponsors to share knowledge resources and to consider features and functions to be added. The success of the Operations Academy listserv demonstrates the importance and value of cooperative features. • Some sites outside the TSM&O arena have interesting and applicable features. These include access to state-specific materials, various inputting and updating tools, structured menus for search, broadcasts of updates, “find it fast” func- tions for areas of special current interest, links to blogs, inter- active dialogue features, collaborative features for creating and linking to relevant information, home page functional- ities such as buttons and cursor-over detailing, audience- specific points of entry to the website, and links to other websites and blogs. Development of a KTS website should consider best practice features. • Social media may represent an important source of technol- ogy transfer and community-of-practice building. Social media are becoming more important among the emerging audience members. A KTS website should make use of social media, including commercial products, to reach and support audience development. • Few websites have outreach activities associated with their presence through which their availability and potentially interested audiences are announced. • An effective KTS requires active management. A business model, including staffing and ongoing resource support, is essential to realize any level of KTS improvement in TSM&O. Options for transferring Knowledge Having identified the topics, categories, media, and qualitative criteria for KTS, a key question remains: Who performs the needed management functions to both establish and maintain the KTS? Before establishing any KTS serving a community of interests, certain management actions must be taken: • Secure consensus agreement among key knowledge spon- sors and providers about role and functionalities of the new KTS. • Establish an oversight entity. • Identify and agree on relationships among existing KTS and sponsors. • Develop a strategic plan for KTS (may be part of the Oper- ations Center of Excellence study). • Secure sustainable resource commitments. • Secure appropriate management and staff. • Prepare the detailed plans that define and specify the overall approach to be used, including functions and technologies. After establishment of a KTS, there are a set of continuing challenges, as depicted in Table 3.2. The scope of these require- ments will, of course, vary depending on the scope of the sub- stantive topics and knowledge categories for topics to be included. It should be apparent that these functions cannot be “automatic” but will require continuous management atten- tion by one or more staff. The key KTS options that are discussed next will vary regard- ing their management requirements. Inspection of Table 3.2 suggests the key role that management plays in the several KTS functions and, by implication, what KTS features and qualities would be absent without a high level of day-to-day management. Recommendations for Implementation In light of the current state of play and key issues raised, five options were developed as possible ways, either singly or in combination, to fill the KTS gaps for TSM&O (and reliability within it). Each option offered a different combination of

28 scope and functionality, as well as differing relationships to the existing KTS activities and sponsors: 1. Support of and modifications to selected existing TSM&O- focused websites. This approach is designed to supplement existing knowledge transfer activities without the establish- ment of a separate website. Arrangements would be made to support working with existing KTS sponsors to fill specific gaps in their existing KTS activities. This implies minimal additional management support, depending on the existing management of these sites. 2. One or more single function websites. These new websites would provide specific knowledge category resources on separate websites, such as a managed guidance website, a current research website, and a managed practitioner dia- logue website (set of topical blogs or groups). This option may require minimal management by virtue of the narrow scope of each site. Options 3 to 5 introduce significant management respon- sibilities. Even when the activities are restricted to a website alone, the scope and sustaining requirements suggest a dedi- cated staff. Option 5 adds activities beyond the web function that is the focus of this project. However, the center concept with its external and live activities, and with the implied sponsor and sustainability, may have the stronger likelihood of supplying the full range of needed KTS functions. 3. A comprehensive web-based portal incorporating links to other existing websites. Such a website provides the best audience-related knowledge in all of the key knowledge categories by combining two approaches: (1) searchable links to related content pages of other existing websites and (2) selective creation of new material. 4. A new stand-alone comprehensive website. This website would host the complete range of relevant knowledge cate gories for all relevant topics. In this fashion, the web- site would be similar to the FHWA Office of Operations website, but with additional knowledge categories and website functionalities not currently available. 5. An Operations Center of Excellence, including a web portal and other functions. This type of KTS would be part of a more broadly managed activity. It would include a managed portal with features similar to that described in Option 3, additional activities to fill gaps, and either links to related Table 3.2. Key Management Challenges of a KTS KTS Function Management Challenge Identifying domain-relevant knowledge • Staff capability to identify needed knowledge [could be supported by survey and audience participation and use validation (hits)] • Identification of relevant topics and knowledge categories • Policy advisory group and sponsor consideration of target audience, topics, and knowledge categories Capturing and storing the relevant knowledge • Hosted site • Staff capability and appropriate software • Procedure and priorities to interact with possessors of relevant tacit knowledge • Soliciting contributions Targeting the audiences and relevant transfer mechanisms • Knowledge captured related to widest appropriate range of discrete audiences • Content stratified by relevance to audience types • Audience media preferences and habits recognized Organizing knowledge in a way it can be used • Policy decisions regarding hosted information versus linkage • Staff capability to map topics and categories, create syntheses, summarization, formatting, and searches • Allocation of knowledge categories to limited Tier 1 and Tier 2 web pages • Programming capability research mechanisms, visualization, look and feel • Quality control Sharing/transferring/disseminating the knowledge via appropriate techniques • Hosted and managed websites on sustainable basis • Real-time management of dynamic information (calendar function, training opportunities) • Developing and operating links to social networks Discussing the transferred knowledge • Real-time management of interactive features (live concierge function) • Real-time management of push and pull features • Knowledge transfer testing by observing its recall, use, and satisfaction Maintaining, updating, and expanding the knowledge base • Maintaining site links and updating material and/or links in all knowledge categories by topic Sustaining KTS operations • Budgeting and programming staff, contractor, hosting, and related resources • KTS staff interaction with policy entity

29 content pages of other websites amplified with a strong “push” orientation or aggressive selection, development, or summation of the types of knowledge seen as relevant to its audiences. Strengths and Weaknesses of Implementation Options Table 3.3 offers a preliminary evaluation of relative strengths and weaknesses of the five options, determined by which options provide the desired criteria. It is not surprising that those options that involve the greatest management level of effort can, in theory, provide the most effective KTS. A key challenge will be assessing the trade-offs among these options. Key Recommendations The SHRP 2 Project L17 contribution to a complete and functional KTS should be a web-based product. Phase 3, therefore, began by developing an initial version of the site map, site structure, content structure, and functionalities for a TSM&O website. The following recommendations are made on the basis of the analysis presented in this chapter and an evaluation of the five options described previously. • The portal approach (Option 3) is recommended as the most efficient approach because it combines needed new content with connections to existing resources. This option appears to be the most promising approach both in its struc- ture and scope. It provides a multi-audience single point of entry and navigation capability to existing website materials as well as material that might be created in gap filling. The portal function is also important for audiences other than the experienced practitioners. Finally, the portal option leaves several options open, including integration into a future Operations Center of Excellence. If established, this center of excellence could provide an ongoing management function as it becomes available. • The KTS will be developed and brought online incrementally so as to retain flexibility regarding hosting and relationships to existing sites. Recognizing the need to gain experience, the lead times to develop new materials, and questions of spon- sorship resource availability, an incremental approach to KTS development is appropriate. A start-up website can be designed with an increasing set of web-based functions scaled to management resources as they become available. At the appropriate point in time, web-based functions can be supplemented with live activities (e.g., managed dialogues, Table 3.3. Strengths and Weaknesses of KTS Options KTS Criteria KTS Website Options Support of and Modifications to Selected Existing Websites One or More Single Function Websites Comprehensive Web-based Portal Incorporating Links to Other Existing Web-sites New Stand-alone Comprehensive Website Operations Center of Excellence, Including a Web Portal and Other Functions Minimum Duplication of Existing Material 3 3 3 Comprehensiveness Regarding Major Knowledge Categories and Topics 3 3 Provision of Current Priority and/or Lead-in Information 3 3 3 Filling of Both Knowledge Category and Topic Gaps 3 3 3 3 3 Provision for Range of Audiences 3 3 3 Accommodation of Implicit Knowledge Transfer 3 Provision of Community Building Features 3 Provision of Peer-to-Peer Activities 3 3 3 Level of Active Management Required 3 3 3 3 3 Low Cost 3 3 Obvious Sponsorship 3 Ability to Capitalize on Social Media 3 3 3

30 workshops, and peer-to-peer managed interactions). A deci- sion regarding “calibration” can then be taken in stages with periodic review by SHRP 2 Project L17 oversight entities. However, given the lead time, the start-up work needs to begin as soon as possible. • The useful results (including reports, analysis methods, and tools) of recently completed SHRP 2 Reliability program projects will be among the first knowledge elements to be included on the new website. Products from SHRP 2 Reliabil- ity projects such as those from Projects L01, L06, L07, L13, and the AASHTO TSM&O Guidance tool derived from SHRP 2 Project L05 can be posted as part of a first increment in a KTS website to make the research immediately available. • Gap-filling work activities identified earlier will also become new knowledge elements to be included on the new website. Several of the gaps relate to key knowledge categories other than research and, in the opinion of the L17 project team, need to be filled for an effective KTS. For several of these work activities, a modest level of effort is involved. This work began immediately with the initiation of Phase 3. • At the start of Phase 3, a conversation was initiated among SHRP 2 staff, TETG members, and Technical Coordinating Committee (TCC) members to resolve the question of both mid-term and long-term sustainability of the KTS. It is not too soon to consider the sustainability of a TSM&O website. NCHRP Project 20-07 (298) that is under way is considering an Operations Center of Excellence. This project is focusing on alternative business models associated with a range of scopes for a center that aims to improve practice. These capa- bilities relate directly to a key need identified in this project, namely, the concierge or management requirements that users frequently encounter and the related resource require- ments and sources needed to meet these needs. The relation- ship between the SHRP 2 Project L17 KTS and the options developed in NCHRP 20-07 (298) need to be closely coordi- nated regarding their intersecting objectives in the long term. In summary, initial website design, beta hosting, and improvements in response to community reviews took place within the current scope of this project. In addition, it was determined that close coordination must be maintained with the issues raised in NCHRP 20-07 (298), including manage- ment burdens. Special attention must also be given to sup- porting the site hosting and maintenance activities beyond the time period of the project. Development of the KtS Concept As described in the original scope: “The KTS will incorporate content, communications and branding and outreach in the appropriate relationships with the intent of developing them as a mutually reinforcing ‘system’—branding and communi- cations both persuading and motivating use of technical and guidance content materials and outreach (non-web) activities designed to work with and reinforce (and perhaps update) the content.” The tasks for this phase are the following: • Task 1: Review gap-filling materials from other tracks. • Task 2: Determine content structure of web-based component. • Task 3: Determine website considerations and specifications. The tasks in Phase 4 focused on development of the KTS prototype: • Task 1: Incorporate synthesis and gap-filling content that was previously developed into the final KTS structure. • Task 2: Develop website component of the KTS. • Task 3: Beta test the KTS. • Task 4: Develop KTS documentation. All of the tasks for both phases were completed. However, they were not conducted in the same order as in the scope of work. In addition, the scope was expanded based on the expe- rience gained as the work proceeded. Two major influences affected the scope as well as the substance and order of the tasks undertaken: • First, the initial technical analysis-based recommendation was that the KTS scope had to address the knowledge needs of TSM&O overall and not be confined to the SHRP 2 Reli- ability program products. This was intended to attract a larger audience and to serve the needs of the TSM&O prac- titioner community. This recommendation was accepted by the TETG and the TCC. • Second, since the time the original scope was developed, a large number of reliability and TSM&O activities were initi- ated that impact the context for and role of a TSM&O KTS. These two findings led to an expansion of the substantive scope of the KTS (including its functions) to support the broader needs of the TSM&O community and to support evo- lution into a broader, expanded functional KTS through sub- sequent efforts. Consistent with this broadened perspective, the following section presents the findings in the order in which the work was undertaken. It summarizes both the technical reports and the KTS website, which are separate contract products. Content as per Original Scope The original L17 scope, developed in 2009, called for the development of a website to serve as a repository for all

31 SHRP 2 reliability products, thus functioning as the “cap- stone” to the research effort. As originally scoped, the initial KTS website included • A database containing all SHRP 2 Reliability final products; • Syntheses and links for all the products and placement in a searchable data base; • Selected research “gap” reports; • Business case marketing and outreach resources; • FAQs; and a • TSM&O glossary. As noted in the next section, this scope was significantly expanded. Audience Characteristics and Knowledge Needs Research The modified approach was based on a review of the audiences and their knowledge needs, which together led to the expanded scope. The audience for the KTS includes the complete array of potential users who were self-identified as being focused on TSM&O: practitioners, policy makers, and researchers. Reli- ability is a key, but not the only, objective. Practitioners vary in their level of involvement and knowledge, including those who are fully engaged in TSM&O and occasional users. TSM&O is a relatively small area of investment within the overall trans- portation agency program area, averaging about $1.4 billion per year. This is generally 1% to 2% of state DOT investment over a multiyear period. There is a small (but committed) number of full-time practitioners. A preliminary estimate, based on contacts with FHWA, state DOTs, local govern- ments, associations, and TRB, suggests a current audience of 1,200 to 1,600. This audience represents both the public and private sectors and at several levels of government, and it may be expected to grow as TSM&O becomes an increasingly com- peting focus of DOT efforts. Building on the experiences of the SHRP 2 L06 research and workshops and the Operations Academy curriculum and dis- cussions, the SHRP 2 L17 state-of-the-practice review identi- fied substantive topics and types of knowledge needed by practitioners. Figure 3.3 identifies the combinations of techni- cal topics and types of knowledge that constitute the matrix of knowledge needs. It also reveals areas where knowledge is minimal or nonexistent. Impact of Other Context Activities on KTS Content and Function In addition to the consideration of audiences and their knowledge needs, other context factors have evolved that affect both the orientation and focus of a KTS. Over the last 3 years, while the KTS research and development has been under way, there has been a wide range of ongoing related activities that have improved the understanding of audience characteristics, knowledge needs, and structure of the commu- nity. These activities indicate a substantially elevated level of interest since the KTS concept was conceived several years ago. In combination, these activities have provided a better sense of the context for the KTS and how that relates to the larger needs of the audiences for a KTS. Of special importance are the following: • The role of the KTS in the SHRP 2 overall implementation. There are a range of reliability research products that might be modified for more robust access and use in a web-based format. The KTS can be used to support the dissemination of other SHRP 2 products, including modifying such sites to do this in a more effective manner. • The role of the KTS regarding the Regional Operations Forums. The forums will function not only as knowledge transfer, but as a principal contact with the current state of the prac- tice nationwide and related knowledge needs. The KTS can be enhanced to include information relevant to the forums. • The relationship to the development and implementation of a possible Operations Center of Excellence (OCOE). An OCOE is under study via a separate NCHRP project. This study is identifying the potential functions of a staffed OCOE that would involve both web and nonweb activities promoting knowledge transfer, new knowledge development, commu- nity of practice support, and visibility. In this study, special attention is being given to nonweb activities and to issues related to cost, business models, and governance. The KTS can be developed to support the functions of an OCOE. Figure 3.4 illustrates the range of ongoing activities that could potentially synergize with a KTS. Content and Website Design Direction Given the previous consideration of scope, three key factors affected the website design: • Existing knowledge transfer resources. The team reviewed the state of the practice in KTS-like activities outside the domain as the basis for the KTS prototype development. The FHWA Office of Operations website and the RITA JPO website have very large, and substantially undifferentiated, databases of federally sponsored materials that are often difficult to navigate. Existing associations (AASHTO, ITE, ITS America, NTOC) provide limited state-of-the-practice resources, although they provide functions supporting the develop- ment of a community of practice, such as information on

32 Figure 3.3. TSM&O audience knowledge needs and availability. Black areas are not applicable. current events, conferences, and committee activities. No current site offers an easily searchable database covering the range of information needed. • Reliability as a Component of TSM&O. One finding from the L17 research is clear: Reliability is not a stand-alone consid- eration in practice and policy nor is it separately addressed in DOT programs, strategies, or organizational structure. It is considered integrally within the broader focus on TSM&O. Existing knowledge resources related to reliability (such as the FHWA and RITA websites) are found embedded within a range of other related topics. Therefore, a KTS confined to SHRP 2 products would be of limited interest, attract a small audience, and have a minimal impact on the state of the practice. • State of Community of Practice. The audiences relevant to reliability and, more broadly, TSM&O are fragmented both

33 Figure 3.4. The context for the L17 KTS. by type of institution and individual organizations into a set of subcommunities (such as individual practitioners in a state DOT, practitioners in a consultancy, or members of a committee), which are only weakly established within their own context. KTS Scope Implications: TETG and TCC Direction These perspectives were presented to the L17 TETG and to the overall Reliability TCC and resulted in a consensus to incorpo- rate the broader perspective. From this point in the project, the functional scope was considered to be the full range of topics and knowledge needs for TSM&O. Beginning with the L17 Interim Report, the scope for the KTS therefore broadened in two dimensions: • TSM&O-Focused Scope. The enhanced scope covers the complete range of TSM&O-related knowledge topics and categories, defined substantially by current and emerging practices. The scope addresses impacts not only to reli- ability but also to other performance measures such as delay, safety, throughput, and environmental impacts. • Broader Range of KTS Functions. A full function KTS was defined as a comprehensive website that supports knowl- edge transfer and community building. The KTS concept was expanded beyond the transfer of existing knowledge with search and syntheses to a broader range of functions designed to both support and build practice, research, and policy: 44 Develop new useful knowledge as defined by varied communities of interest. 44 Support the development of communities of interest, encourage level of interest, and support peer interaction and experience transfer. 44 Increase the visibility of the TSM&O domain. The functional requirements for knowledge transfer were identified as those that would provide a robust first entry point or portal to TSM&O practice, standards, case studies, analysis, data, and guidance, including the following: • Providing a key subject and key word searchable data base covering selected, key information of interest to audiences, covering the range of TSM&O topic and knowledge types depicted previously in this chapter. • Offering syntheses of key materials to support efficient user identification of relevant materials. • Highlighting new materials as they become available. • Providing outreach and marketing materials to promote TSM&O on a cut-and-paste basis for users to tailor to their context. • Containing education and background materials by way of FAQs and glossary to help “brand” TSM&O. • Presenting news and events of interest to users as well as a calendar of events. The Need for Phasing The original SHRP 2 L17 project budget does not support the development of a website with the full range of added functions described here. Therefore, the start-up KTS has been designed for both development and maintenance. It includes all of the primary functions called for in the original project scope as well as several enhancements to improve its utility. In addition,

34 however, the start-up site was designed specifically to evolve with minimal redesign or reprogramming costs into the “ulti- mate” TSM&O KTS website prototype (called “Enhanced”). The start-up KTS website has six basic resources: • A searchable database with all SHRP 2 Reliability and related final products, including a standardized synthesis of each and key wording for search; • Links to (and syntheses of) a limited number of other key TSM&O documents in areas not covered by SHRP 2 research; • Reports on major research gaps in standards format; • FAQs; • A glossary, developed by the TRB Regional Transportation Systems Management and Operations (RTSMO) Committee; and • Business case and outreach materials for custom tailoring. The Search Function The most important functionality of the website is the search mechanisms for finding SHRP 2 products as well as selected non-SHRP 2 TSM&O documents. These documents are being added to by contract over the next 2 years. Users can search by a combination of topic and knowledge type and by date or author agency. Figure 3.5 shows the structure of the database and search function. Evolutionary Approach Table 3.4 illustrates the potential functional evolution from the start-up KTS to the future enhanced KTS with a broader TSM&O focus. The center column, Start-up KTS—Reliability Capstone per Scope, shows the functionality and content as Figure 3.5. KTS search filtering. Table 3.4. KTS Phasing SHRP 2 Website Start-up KTS: Reliability Capstone per Scope Full/Enhanced TSM&O Portal Driving Concept • Showcase/access SHRP 2 Reliability products • Enhanced to attract and retain TSM&O community of practice use IT Functions • Basic website prototype • Basic search and related utilities • Capability to expand functionality • Complete portal functionality • Links to key external resources • Customized searches and syntheses • Peer networks/dialogue and tech support • Push/outreach/marketing functions Content Development • Incorporate L17 content • Incorporate other SHRP 2 products • Selected syntheses/gap reports • FAQs/glossary • Business cases • Assessment of knowledge gaps • Elements of success subpages • Key external website/document links • Updated calendar/news/events • Subscription-based e-mail newsletter • Enhanced marketing and outreach material • Peer network input

35 Figure 3.6. KTS site map illustrating start-up and enhanced functionalities. per the original L17 scope. This start-up KTS design includes a few modest functioning additions to the L17 KTS scope to pro- vide a website with enhanced stand-alone potential. The right column, Full/Enhanced TSM&O Portal, indicates the future expanded functionalities that have been accommo- dated through the staged approach to design and program- ming. The design (home page, subpages, drop-down menus) and much of the basic programming for the enhanced KTS have been developed but are hidden from view in the current prototype in order to avoid future redesign and reprogramming costs. However, these enhancements require significant content development and ongoing site management that are not accom- modated in the current L17 scope and budget. Enhanced Functionality As shown in Figure 3.6, the KTS research, combined with the parallel efforts of the NCHRP OCOE study, suggests that the community of practice needs more than documentary resources—especially with regard to defining the practice both inside and outside agencies—and also needs to promote peer-to-peer interaction. These community-building activi- ties include posting a calendar of events and training oppor- tunities, push features and use of social media, some dialoguing functions, peer-to-peer support, and presentation of material designed to achieve greater visibility. These fea- tures are fully functional with content produced by SHRP 2 as the start-up KTS. Objectives and Functions of a Fully Functional KTS In addition, the initial KTS has been designed with functional- ities that support the “capability to expand” shown in italics. The enhanced functionalities website, as described in Figure 3.6, was designed to the prototype level to ensure a smooth

36 Figure 3.7. KTS home page—start-up KTS. transition if the necessary additional programming and con- tent development were added as part of a subsequent phase. Figure 3.6 presents the site map for the KTS previously described. The following is a brief explanation of the site map’s contents: • The first row represents the global navigation links acces- sible on every web page. • The large box in the second row represents the home page contents. • Find It Fast in the second row contains customizable short cuts accessible on the home page. • Interior Page Sidebars are links accessible on every inte- rior page. • The third row is the main navigation that will function as drop-down menus. • The fourth row represents the items on each of the afore- mentioned drop-down menus, each item leading to a web page. Each main bullet point (e.g., About the Center, Techni- cal Assistance Program, and Products & Programs) is a drop- down selection under a main menu item (such as Center Services). Each of these web pages has additional detail/ content, represented by the second tier of bullets in the case of Center Services and Business Development and by the bullets inside the Page Detail box for TSM&O Elements of Success. The functionalities in black will be operational at the end of the current project scope. The basic programming for the functions in blue has been provided; however, as most of these features are designed around content that is not yet developed or accessible (or which requires active manage- ment), they are not included in the start-up KTS, except for basic programming and design to support later enhance- ments. These features may be displayed with an “under development” notation or suppressed, such that the non- operational functionalities are not visible. KTS Look and Feel The website has been designed to be attractive and user friendly as well as functional. Figures 3.7 and 3.8

37 Figure 3.8. KTS home page—enhanced KTS. illustrate the initial and enhanced evolutionary version of the KTS. Start-Up Website—Functions, Design, and Costs The scope of the start-up KTS site was adjusted to accom- modate the existing available budget under the current contract. • Start-Up Site Maintenance and Hosting. SHRP 2 has provided for basic site hosting, updating, and mainte- nance of the start-up site through December 31, 2014. This includes the addition of new SHRP 2 Reliability products as they become available, the addition of a limited number of non-SHRP 2 key documents of interest to practitioners, and calendar updates. • Cost to Develop and Operate an Enhanced KTS. To sup- port informed forward planning, a detailed analysis has been undertaken of the functionality issues. Table 3.5 provides further detail associated with the potential enhancements. Its scope estimates have been Table 3.5. Activities for an Enhanced KTS Activities IT Functions • Program for full functionality • Program custom search • Program newsletter push • Establish peer-to-peer functionality and networks • Manage content and site Content Development • Synthesize SHRP 2 materials as available • Identify and develop “elements of success” pages • Work with community and identify gaps • Refine marketing and outreach materials • Prepare newsletter • Develop other knowledge as proposed Content Management • Identify key TSM&O materials, synthesize, and/or link • Scan all activities, summarize, and post • Develop and manage initial P2P activities • Manage links with other sites Institutional • Outsource contract management (content experts) • Work with advisory group • Project management • Coordinate with other organizations • Make presentations Note: Detailed breakdown based on level of effort for similar AASHTO projects. P2P = peer-to-peer.

38 informed by best practice in other domains of transportation. Summary of Current Status For more information on the KTS, see the SHRP 2 website: http://www.trb.org/main/blurbs/169243.aspx. The site and its functions have been reviewed by the SHRP 2 L17 TETG and circulated to many organizations, including the TRB RTSMO Committee, ITE, ITS America, and the AASHTO Subcommittee on Systems Operations and Management (SSOM). Only a few (but very helpful) comments have been received. Under the current SHRP 2 L17 scope and budget with the maintenance modification, the KTS website (as described previously) will be maintained through December 31, 2014. SHRP 2 Reliability products will be added to the website as they become available. A limited number of non-SHRP 2 documents will also be added and the calen- dar will be updated on a quarterly basis.