Chapter 2 Research Approach

2.1 Community of Practice

2.1.1 Scope

There is a long-standing history of communities of practice. In early 2000, a Harvard Business Review article described communities of practice as “groups of people informally bound together by shared expertise and a passion for a joint enterprise.”¹ COPs share their expertise and knowledge in ways that help foster problem-solving. The ACB COP was designed to assist in optimizing the framework and guidance, as well as testing capability-building approaches to address challenges.

The primary output of COPs is knowledge. This group initially created awareness of the portal, engaged in project activities, including participation in virtual peer exchanges, documented noteworthy practices, and shared learnings in the workshop. All of these activities ultimately led to important enhancements to the resource base.

The ACB COP comprised a range of transportation professionals with an interest in organizational capabilities based on their active affiliation with AASHTO committees and representing each of the AASHTO regions. The organizations that the initial set of 2023 participants belong to are listed in Appendix A. ACB Community of Practice Members.

2.1.2 Methodology

The ACB COP kicked off on November 14, 2023, with an overview of the ACB framework, encompassing change forces (internal and external factors and trends), organizational needs (resource gaps), and strategies (ways to strengthen and build capabilities). This was followed by an introduction to the definition, scope, and activities planned for the COP. The group provided input on the ACB guidance, schedule, activities, and planned stakeholder engagement activities. The feedback received in the COP kickoff meeting was incorporated into the development of the ACB COP home page on the ACB Portal and served as a topic for the initial ACB COP Blog: (https://www.agencycapability.com/community-of-practice/).

The second meeting took place on February 29, 2024. This meeting developed an ACB COP Charter, which is included as Appendix B: ACB COP Charter. The group provided advice on the planning for the virtual peer exchanges and feedback on the portfolio of materials developed

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¹ https://hbr.org/2000/01/communities-of-practice-the-organizational-frontier

by the research team to support the dissemination of the research and promote the resource base along with ways to continue enhancing the ACB resources.

The third meeting, held on May 1, 2024, provided input on the findings of the interviews conducted with stakeholders and continued planning for the virtual peer exchanges.

The fourth meeting, held on July 11, 2024, provided feedback on the first virtual peer exchange on information and data management.

The fifth meeting was held on November 5, 2024, provided feedback on the findings from the three virtual peer exchanges, the discussions with AASHTO on workshop planning, and planning for the case studies.

2.2 Portfolio of Informational and Promotional Materials

2.2.1 Scope

This project developed a portfolio of informational and promotional materials across multiple media platforms, targeting a broad transportation sector audience. Specific topics covered in the initial outreach development included background information about the research, an overview of the framework and portal, benefits of the resources for agencies, and how to get involved, provide input, and contribute to the ACB resources.

Informational and promotional materials produced as part of Task 3 included:

• Video tutorial introducing the ACB framework, ACB guidance, providing an overview of the guidance, and a tour of the Human Resource (HR) and Knowledge Management (KM) toolkits (accessible from the front page of the ACB Portal https://www.agencycapability.com/)
• ACB portal updates, including publications, new tools, and resources.
• Flyers with a background on the ACB framework and portal, marketing the ACB COP, and the Virtual Peer Exchanges.
• ACB COP home page: https://www.agencycapability.com/community-of-practice/featuring a background, instructions on how to participate, a listing of upcoming meetings, membership information, and a communications blog.
• Micro-learning carousel describing, “What’s in it for My Agency?” (accessible from the ACB COP home page: https://www.agencycapability.com/community-of-practice/)
• ACB COP meeting presentation decks.
• Base presentation deck customized for each stakeholder audience and outreach event.

2.2.2 Methodology

The research team utilized the ACB framework, Project Panel, and the ACB COP feedback mechanism to create outreach materials tailored to the AASHTO and TRB audiences for the initial portfolio of informational and promotional materials. the presentation to the AASHTO Committee on Knowledge Management on December 19, 2023, is illustrative of the stakeholder outreach conducted from September 2023 through January 2024. For example, ACB COP meeting presentation provides the background and other details about the project and resource base, and offers an example of the type of polling used with various groups to validate the ACB framework, and encourage participation in using and enhancing the curated resources.

Materials were designed as stand-alone resources for download, appropriate for use by agency leaders and practitioners, incorporating adult learning principles.

2.3 Disseminate Information, Build on Guidance

2.3.1 Scope

This project involved an initial outreach blitz using multiple communication channels to disseminate information about the ACB guidance and enhance the online content, along with a state-by-state outreach effort to provide information about the benefits and possible applications of the ACB guidance. This task also included an initial canvassing effort with 19 individual agencies to introduce the resources and discuss specific agency use cases.

A comprehensive list of outreach engagements include:

• AASHTO Committee on Performance-Based Management (CPBM) Subcommittee on Organizational Management (OM) Meeting at AASHTO CPBM Annual Meeting (September 12, 2023)
• AASHTO Subcommittee on Transportation Workforce Management Meeting (Skill Builder) (October 24, 2023)
• AASHTO and FHWA TPM Webinar 19: Highlights from the AASHTO CPBM Peer Exchange and Business as UN-Usual Annual Meeting (October 25, 2023)
• AASHTO 2023 Annual Meeting - Promotional Materials (November 13 -16, 2023)
  • – AASHTO Annual Meeting Knowledge Session 1: What’s Not to Love: Recruiting a Passionate DOT Workforce and Strategic Management Committee Meeting
• AASHTO Knowledge Café (December 19, 2023)
• TRB Standing Committee Meetings at 2024 TRB Annual Meeting (January 7 – 11, 2024)
  • – TRB Standing Committee on Performance Management
• AASHTO Agency Administration Committee and Committee on Performance-Based Management Staff Liaisons Meetings (May 22, 2024)
• AASHTO Human Resources and Knowledge Management Quarterly Webinar Series

• AASHTO Planning, Data, and Performance Meeting in St. Louis, Missouri (September 17, 2024)
• AASHTO AAMC 2024 Annual Meeting in Salt Lake City, Utah (October 10, 2024)

2.3.2 Methodology

A comprehensive rollout plan was developed for the outreach effort, providing a list of communication options along with the timing and potential venues for communicating the information.

To identify the appropriate individuals to contact for the initial state-by-state canvassing, the research team reviewed the list of current AASHTO committee leadership, recent attendees of AASHTO spring and annual meetings, TRB Annual Meeting presenters, and members of relevant TRB standing committees.

A generic interview guide was adapted for each agency interview to organize discussion topics and ensure consistent information collection.

A summary of insights from the AASHTO and TRB committee and subcommittee outreach and agency interviews is detailed in Chapter 3 Findings and Results.

2.4 Virtual Peer Exchanges

2.4.1 Scope

Three virtual peer exchanges were conducted in the summer of 2024. The purpose of the peer exchanges was to:

• Validate and adjust (if necessary) the ACB framework and guidance
• Learn about specific opportunities for capability building, and
• Share and collect successful examples of agency capability building using the strategies documented in the ACB Portal.

The topics, dates, and highlighted practices included:

Data and Information Management Virtual Peer Exchange (Friday, June 28, 2024)

• Melissa Thompson, California DOT. Change Management for IT and Data Project.
• Susan Thomas, Ohio DOT. Data Literacy Initiative.
• Tara Cullum, Oklahoma DOT. Digital Delivery Gap Analysis.
• Justin Bruner, Pennsylvania DOT. Using Technology to Make Better Decisions.

Knowledge Management Virtual Peer Exchange (Tuesday, July 30, 2024)

• Monica Aleman-Smoot, Texas DOT. Risk Management Community of Practice.
• Jay Styles, Virginia DOT. Job Books.
• Jarrod Stanley, Kentucky DOT. Knowledge Management Program.
• Michele Grant and Tammie Rosenow, Wisconsin DOT. Knowledge Owl.

Workforce and Organizational Management Virtual Peer Exchange (Friday, August 16, 2024)

• Renae Lang, Montana DOT. Strategic Workforce Plan/Organizational Structure Review.
• Karin Van Dyck, Minnesota DOT. STEM Education and Outreach.
• Gary Vansuch, Colorado DOT. Agency Change Agents and Innovation Challenge.
• Chris Young, Texas DOT. Texas DOT Training Program (Unmanned Aerial Systems).
• Tracy Osimboni, Massachusetts DOT. Workforce Tool.

Each peer exchange began with an introduction and an overview of the ACB framework background and validation, followed by highlights of noteworthy agency practices. Attendees participated in breakout sessions for small group discussions related to the event’s featured topic. Each session wrapped up with brainstorming and large group discussions.

A set of 11 practitioner videos, highlighting agency practices in using specific knowledge management, organizational and workforce management, and information and data management strategies to build agency capabilities, was published to the resource base and used in conjunction with three virtual peer exchanges. The videos from the peer exchanges are posted on the NAS Vimeo page: https://vimeo.com/showcase/11689341?share=copy.

Three of the noteworthy practices were subsequently further articulated into deep dive case studies, providing additional details, links, and job aids related to:

• Digital Delivery Gap Analysis (Oklahoma DOT).
• Job Books (Virginia DOT).
• Texas DOT Training Program for Unmanned Aerial Systems (Texas DOT).

A summary of themes from each of the virtual peer exchanges is detailed in Chapter 3 Findings and Results. The case studies are presented in Appendix C. Deep Dive Case Studies.

2.4.2 Methodology

A spreadsheet was developed as an output of the initial outreach and state-by-state canvassing to summarize potential noteworthy practices in using specific strategies to develop capabilities. Based on the Project Panel and ACB COP input into their most urgent and important needs, virtual peer exchanges were developed around these prioritized strategies:

• Data and Information Management: including artificial intelligence, data-driven decision-making, dashboards, emerging technologies, data literacy, and data tools.

• Knowledge Management: including knowledge transfer, knowledge collection, and knowledge storage strategies.
• Workforce and Organizational Management: including talent management, process improvement, change management, and topics related to the future of work.

The peer exchanges were organized around the following activities and timelines:

• Peer Exchange Introduction and Validate ACB Framework Background (15 min)
• Group Debrief from Pre-Taped Agency Presentations (20 min)
• Small Group Breakout Session (30 min)
• Breakout Session Report Outs and Pilot Prioritization (25 min)
• Agency Capability Building Brainstorming (25 min)
• Next Steps (5 min)

State DOT practitioners with noteworthy practices in one of these strategies were invited to share their practice in a five- to ten-minute video. Each video provided an overview of the practice, along with the challenge or issue it addressed, a summary of their innovation, associated actions, and results, including lessons learned. Presenters documented their practices using one of several video recording platforms, including Zoom, Teams, and Google Meet. Some recorded their own videos, others used dedicated DOT production staff, and Spy Pond Partners recorded the rest. Videos were uploaded to the ACB Portal and saved to a YouTube playlist for each session. This location includes individual practice videos, a combined highlights reel for all of the videos across all three events, and a highlight reel for each peer exchange.

Fifteen participants representing the Project Panel, canvassing interviewees, and ACB COP members were targeted to attend each virtual peer exchange based on their topic expertise.

Practitioner videos were shared approximately one week in advance of each peer exchange, and participants were asked to review them before the event. A highlight reel of the videos was played during the event to remind attendees of each practice, and representatives from each agency were invited to provide an overview of the practice during the event.

The peer exchanges used the ACB Portal and validated the currency and comprehensiveness of the ACB framework developed in phase 1 (as part of NCHRP Project 20-24(95)), including:

Each of the sessions was organized around the ACB framework elements to provide opportunities for participants to provide input on 1) trends/change forces impacting their agencies, 2) the impacts of those trends/change forces, and 3) strategies they are using to build the capabilities to adapt. The team used large group discussions and facilitated small group breakout sessions to elicit, build upon, and document the ideas and insights generated during the event.

The team used large group discussions and small group breakout sessions to draw out and build upon the ideas and insights generated during the event. The breakout session discussions were captured on Google Sheets.

2.5 ACB Workshop

2.5.1 Scope

The team conducted the ACB virtual workshop on March 28, 2025. The purpose of the event was to continue raising awareness of ACB research products and resources and to assist state DOTs in using the resources and research products to build their own capabilities. The workshop provided an overview of the ACB Guidebook and discussed specific roles and situations that require new and enhanced capabilities. Workshop participants engaged in discussions and exercises designed to demonstrate how state DOTs can use the resource base to build and enhance capabilities.

2.5.2 Methodology

The Project Panel provided feedback and advice to guide the content, format, and workshop medium. The panel agreed that a virtual format would provide the broadest audience for the

event. The event targeted state DOT leadership with an interest in building capabilities, Project Panel and ACB COP members, and virtual peer exchange participants.

The event focused on providing background and context on the ACB framework and guidance, and disseminating information about the virtual peer exchanges, practitioner videos, and case studies.

Attendees participated in three facilitated, 20-minute, small-group breakouts to explore ways to use the ACB framework to respond to change forces and enhance or develop agency capabilities. Using a World Café approach, the research team stayed with one topic, and the groups rotated among the topics, with each discussion building upon the previous discussions.

Groups discussed:

• Specific challenges
• Strategies and capability building
• Successful practices
• Vision for advancing future capabilities

A summary of practical implementation strategies drawn from the workshop discussions is included in Chapter 4 Implementation.