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Preserving and Using Institutional Memory Through Knowledge Management Practices (2007)

Chapter: Chapter Seven - Summary and Analysis of Questionnaire Results Regarding Specific Knowledge Management Practices: Questions 20-32

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Suggested Citation:"Chapter Seven - Summary and Analysis of Questionnaire Results Regarding Specific Knowledge Management Practices: Questions 20-32." National Academies of Sciences, Engineering, and Medicine. 2007. Preserving and Using Institutional Memory Through Knowledge Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/14035.
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Suggested Citation:"Chapter Seven - Summary and Analysis of Questionnaire Results Regarding Specific Knowledge Management Practices: Questions 20-32." National Academies of Sciences, Engineering, and Medicine. 2007. Preserving and Using Institutional Memory Through Knowledge Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/14035.
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Suggested Citation:"Chapter Seven - Summary and Analysis of Questionnaire Results Regarding Specific Knowledge Management Practices: Questions 20-32." National Academies of Sciences, Engineering, and Medicine. 2007. Preserving and Using Institutional Memory Through Knowledge Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/14035.
×
Page 31
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Suggested Citation:"Chapter Seven - Summary and Analysis of Questionnaire Results Regarding Specific Knowledge Management Practices: Questions 20-32." National Academies of Sciences, Engineering, and Medicine. 2007. Preserving and Using Institutional Memory Through Knowledge Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/14035.
×
Page 32
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Suggested Citation:"Chapter Seven - Summary and Analysis of Questionnaire Results Regarding Specific Knowledge Management Practices: Questions 20-32." National Academies of Sciences, Engineering, and Medicine. 2007. Preserving and Using Institutional Memory Through Knowledge Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/14035.
×
Page 33
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Suggested Citation:"Chapter Seven - Summary and Analysis of Questionnaire Results Regarding Specific Knowledge Management Practices: Questions 20-32." National Academies of Sciences, Engineering, and Medicine. 2007. Preserving and Using Institutional Memory Through Knowledge Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/14035.
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Page 34

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WHAT METHODS ARE USED TO CAPTURE KNOWLEDGE? Question 20 asked what methods are used to capture knowl- edge. It probed into the techniques used to make individ- ual knowledge available to the organization, whether in explicit or tacit form. Table G1 in Appendix G gives spe- cific detail for each of the 20 STAs that responded, and Table G2 documents the comments. Results are summa- rized by frequency of type of practice in Table 2. The most frequently used practices tend to cluster around documen- tation practices. Practices more closely aligned with HR approaches or ways to share tacit knowledge are not as common, with the exception of “enhanced communication practices,” which really are an assortment of long-used approaches. Approaches involving HR or sophisticated database or Internet information technologies, many of which are documented in our literature survey, are less commonly used. STAs added a few methods of their own in their comments: • Training and orientation programs • Electronic document management system • Internal quarterly publication distributed to all employees • Internal conferences on specific topics held yearly around the state • Extensive training catalog • Incorporating “war stories” into instruction materials. WHAT TOOLS ARE AVAILABLE FOR KNOWLEDGE CAPTURING? Question 21 asked what tools were available for knowledge capturing. This question was a somewhat redundant follow- up to Question 20. Using the two closely related questions, the attempt was made to harvest as many details about spe- cific tools, techniques, and methods as possible. Table G3 in Appendix G lists the responses for each STA and Table G4 gives a few comments. Table 3 summarizes the responses sorted by frequency of selection. Results show that office technologies and specialized work process types of software are relatively common. Note that although Table 2 shows documentation practices as the most frequently used method, a few STAs selected 30 tools from the questionnaire that are specifically designed to facilitate the documentation process. For example, a limited number of STAs selected web-building tools; templates, outlines, or content guidelines; or content management applications. This suggests a somewhat weak intentional- ity or purposefulness in the capturing process concerning documentation. Note that in the comments given by responders, in response to the choice of “Other” on the questionnaire, there were a few more tools cited, including: • Video conferencing • Intranet portals • Electronic records management system • Electronic document management system • Web-based software for writing/developing manuals • Microsoft Word software templates for manual writing • Internet conferencing/meeting software. ARE PRACTICES FOR STORING KNOWLEDGE MANAGEMENT RESOURCES IN PLACE? When knowledge goes through the cycle from the “in peo- ple’s heads” stage to explicit forms that can be reused and applied to new work, the explicit resources must be stored. Question 23 attempted to discover whether there are clear strategies for that part of the KM process and whether rank- and-file employees understand them. There was special inter- est in whether processes prevail across a range of media types and formats. Table G5 in Appendix G documents spe- cific responses by individual STAs and Table G6 contains a few comments. As summarized in Figure 9, it would appear that processes are well-defined for critical resources such as legal and finan- cial documents. That corresponds with the overall finding that STAs have active records management programs. Most of these types of documents have well-defined legal require- ments to retention and are retained in hardcopy, often off- site. For explicit resources in the general sense, the data do not show a clear strategy except in a few cases. Also, as one can see from the data in Table G5 (see Appendix G), most STAs selected more than one option. That would indicate that for some types of documents, or for some departments, or perhaps for conscientious work units, there is a process CHAPTER SEVEN SUMMARY AND ANALYSIS OF QUESTIONNAIRE RESULTS REGARDING SPECIFIC KNOWLEDGE MANAGEMENT PRACTICES: QUESTIONS 20–32

Specific Practices No. of STAs Utilizing Capturing is essentially achieved as a work by-product, part of the normal routine of project and program work such as project plans, program proposals, write-ups of roundtable sessions, project reports, etc. 18 Close-out reports or final project reports 16 Management expects staff to document experiences and lessons learned and make these accessible to the rest of the organization 14 More experienced staff members are given knowledge-capturing assignments, such as documenting important procedures or writing standards and specifications 14 Enhanced communication practices (e.g., up-to-date e-mail system, internal listservs or electronic bulletin boards, effective meeting management, ad hoc discussions, team rooms, or verbal sharing of expertise among employees is encouraged, etc.) 14 Post-project reviews (also known as after-action reviews or post-mortems) 12 Staff specially trained as meeting facilitators 9 Communities of practice and expertise groups 8 Oral interviews 8 We have explicit strategies for knowledge development and capture 7 Employees spend time and effort to contribute to the organizationís store of knowledge in an ongoing and structured manner 6 Best practices database 5 Staff expertise database 5 Lessons learned database 4 Knowledge development teams (specifically formed to develop new knowledge assets for the organization) 4 Oral histories (more formal than “interview,” perhaps facilitated by trained historian) 3 Other 3 Knowledge fairs 2 Formal storytelling 0 TABLE 2 WHAT METHODS ARE USED TO CAPTURE KNOWLEDGE? Knowledge Management Tools No. of DOTs Utilizing Reasonably up-to-date personal computer systems and business/office software 20 Meeting rooms well equipped for group interactions (low-tech whiteboards, markers, tablets, etc., or high-tech web access, computer projection, video communication center, etc.) 19 Specialized software tools such as geo-mapping, computer-aided design, statistical analysis, flowcharting, resource utilization, process control and analysis, business process analysis, voice-to-text software, etc. 19 Intranet portals that provide an interface to the organization’s knowledge resources 17 Phone systems equipped for conference calling 17 Project management software with capability to capture important project documents 15 Databases that are reasonably easy to maintain and search 13 Web building tools for shared or team websites (such as may be used by communities of practice, cross-functional teams, internal–external teams, etc.) 13 Templates, outlines, or other specific content/format guidelines to provide guidance on what to include and how to go about writing 12 Content-management or text-base-type software specifically targeted to document/text management applications 8 Other 6 Meeting management software 5 Wiki or blog software 0 TABLE 3 WHAT TOOLS ARE AVAILABLE FOR CAPTURING INSTITUTIONAL MEMORY RESOURCES?

32 0 2 4 6 8 10 12 14 N o. o f S TA s Se le ct in g Have clear strategy for storing explicit knowledge assets Employees generally understand what needs to be stored and how to get resources from their possession into storage Storage processes well-defined for some critical resources, such as legal and financial, but not for all Storage process well-defined for physical but not for electronic resources FIGURE 9 Practices for storing knowledge management resources. 0 2 4 6 8 10 12 14 16 N o. o f S TA s Se le ct in g Physical resources stored in agency- owned archives Electronic resources stored in enterprise- level repository Stored short-term on PCs or group-level servers. No organized approach or central repository Store outside agency Other FIGURE 10 Where are explicit knowledge management resources stored? in place; however, not found was a pattern of intentional- ity regarding storing knowledge resources specifically with the idea of reuse and application to new work. In addi- tion, 15 STAs reported written procedures; however, in most cases, they pertained only to retention of hardcopy document storage. WHERE ARE CAPTURED SOURCES STORED? Question 24 was a follow-up to Question 23. See Table G7 in Appendix G for specific results by STA and Table G8 for comments. Figure 10 summarizes the results. Most STAs chose multiple selections, indicating that a combination of

33 practices are used, and which one depends on the resource and probably on which division or work unit “owns” it. Also, the comments revealed that state law influences or deter- mines storage practices for some resource types. These prac- tices fall under the records management process rather than overall KM strategy. HOW ARE RESOURCES PRESERVED OVER TIME FOR DIFFERING RESOURCE TYPES AND FORMATS? Question 26 sought to determine what processes are used for preserving for future use knowledge that has been made explicit in different media types and format. It asked how resources are preserved over time for differing resource types and formats. This question attempted to discover how essentially the same resource type, in terms of content, is handled in electronic versus physical formats. For example, is a project plan that is stored in a digital repository pre- served similarly to one archived in hardcopy, such as in a typical records management facility? Table G9 in Appendix G shows specific results for each STA. Figure 11 summarized the results given by the 19 DOTs that responded to this question. The chart shows that resources seem highly likely to be handled based on format rather than resource or document type or the nature of content. Also in response to Question 26, the Iowa DOT com- mented that it is difficult to track documents or records that are outside of the Records Management program. The Mon- tana DOT commented that their retention schedule defines the retention process for all agency records (hardcopy and electronic). 0 2 4 6 8 10 12 14 16 18 N o. o f S TA s Se le ct in g Have defined retention periods for most resource types. Work with stakeholders, including professionals, managers, historians, legal counsel; use best practices Have a mix of practices depending on whether electronic or physical format. Same practices don't apply across differing format types Physical resources are retained based on document type or content. Electronic resources are retained based on other criteria FIGURE 11 How are explicit resources stored over time? HOW ADEQUATE IS STORAGE INFRASTRUCTURE? Question 27 probed the adequacy of the storage infrastructure. Figure 12 gives the results for the 19 STAs that responded to the question. Here, as expected, the long-established records management practices in most STAs are obvious, as is IT implementation of standard procedures for backup and digital storage. Adequacy of digital storage was not reported as a problem, probably owing to decreasing digi- tal storage costs. HOW DO EMPLOYEES IDENTIFY AND FIND KNOWLEDGE RESOURCES? As modern KM practices centering on a people-to-people approach grow in importance and effectiveness, there is a cyclical process by which knowledge in people’s heads (tacit) is embedded into explicit resources—in documents, operations manuals, training manuals, videos, databases, storyboards, wall charts, web-based team repositories, HR orientation packages, e-learning resources, etc. For KM to be effective these explicit resources must be made available to employees for reuse and for application to new work; the cycle never ends. Question 28 probes how STAs go about making explicit resources “findable.” It has been seen in the previous questions how explicit resources are captured, stored, and preserved over time. Question 28 attempted to discover the irretrievability of these resources. Table G11 in Appendix G gives results by individual STA. Table 4 summarizes the results, sorted by frequency of selec-

34 0 2 4 6 8 10 12 14 16 18 N o. o f S TA s Se le ct in g Physical storage infrastructure is adequate Physical storage uses established records management practices Repository for electronic resources has adequate capacity for long-term storage Repository for electronic resources is backed up routinely FIGURE 12 Adequacy of storage infrastructure. Methods of Identifying and Finding Resources No. of DOTs Selecting We have various finding tools, depending on who is managing the resource (e.g., library, records management, KM, archives, IT, division staff, etc.) 17 We have a mix of databases and manual (hardcopy) indexes 17 We have a plethora of databases, clearinghouse-type websites, and portal-type web pages, depending on the division/work group, resource type, or some other criteria. There is no central access point; one has to access each individually 12 We mostly rely on knowledgeable individuals to help us find resources 9 Our intranet portal ties resources together and provides links or keyword-type index data to help find most resources, electronic or physical 8 We search an enterprise-wide database(s), populated with meta-data, to find most resources that have been captured, stored, and preserved 2 TABLE 4 HOW DO EMPLOYEES IDENTIFY AND FIND KNOWLEDGE RESOURCES? tion. Note that multiple selections were allowed. Two DOTs (Iowa and Montana) reported having an enterprise-wide database system. Eight (Arizona, California, Idaho, Kansas, Missouri, Ohio, Utah, and Virginia) reported having an intranet portal. Note that the two most commonly selected responses show lack of an overall unified approach. Focus is on the departments or work units, or the type of resource. The point of view is from that of “who owns the resource,” rather than on handling knowledge overall as a single asset, with the focus on facilitating the searcher’s need to obtain prior knowledge to apply to current work. The Virginia DOT commented that an enterprise-wide taxonomy, based on the Transportation Research The- saurus, is under development to allow people to search multiple repositories simultaneously. Four DOTs, Kansas, Kentucky, Missouri, and Nevada, reported having active written procedures in place to guide identifying and find- ing resources. ARE STORED KNOWLEDGE MANAGEMENT RESOURCES READILY AVAILABLE FOR USE IN CURRENT WORK AND DECISION MAKING? Question 30 queried whether KM resources are readily avail- able for current work and decision making. Again, with regard to Question 28, it probed the availability of KM resources as they move from tacit into explicit forms. Multiple selections were allowed. See Table G12 in Appendix G for detailed results for each STA and Table G13 for comments. Table 5 summarizes availability, sorted by frequency of selection. Note that two STAs—Massachusetts and Ohio— have a “push” or proactive system in place. Seven STAs

35 focused on comparing practices for electronic and physical resources. Table G14 gives results for each STA. Figure 13 sum- marizes the results, which show that processes are not as well in place for making out-of-date or erroneous electronic resources obsolete as for physical resources. This is impor- tant because, as has been seen in previous questions, the whole process for managing explicit electronic resources is not as well defined as for physical resources. As agencies move more and more from physical to e-resources, those processes will affect the quality of the knowledge embedded in explicit resources. Availability of Knowledge Management Resources No. of DOTs Selecting The location of stored resources, physical and electronic, is reasonably convenient and accessible 14 Decisions to move physical materials off-site or destroy them are based on reasonable needs for efficient access by staff for use in current work, as well as on physical space needs 14 There is a system in place that tracks the location of physical resources (check in/checkout) 13 Resources can be delivered to the user within a time frame that fits reasonably well into the current work stream 10 We have a high priority to get as many KM resources as possible available through the personal computer at the desktop 7 We have a “push” or proactive system that delivers new resources as they become available to the user, based on individually defined criteria 2 TABLE 5 ARE STORED KNOWLEDGE MANAGEMENT RESOURCES READILY AVAILABLE FOR USE IN CURRENT WORK AND DECISION MAKING? 0 1 2 3 4 5 6 7 8 9 10 N o. o f S TA s Se le ct in g Yes, for most physical and electronic resources Yes, for physical but NOT for electronic resources No practice exists FIGURE 13 Established practices for making obsolete . . . reported a high priority to get KM resources available at the desktop. Here the responses show that for those STAs responding physical convenience to the staff is important and implemented. That again points to the strength of existing records management programs, especially for resources in physical format. IS THERE AN ESTABLISHED PRACTICE FOR DESTRUCTION OF OBSOLETE KNOWLEDGE MANAGEMENT RESOURCES? Question 32 probed how resources are disposed of when they are no longer needed or are in error. It was especially

Next: Chapter Eight - Summary and Analysis of Questionnaire Results Regarding Effectiveness of Knowledge Management Practices and Training Initiatives: Questions 34-37 »
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TRB's National Cooperative Highway Research Program (NCHRP) Synthesis 365: Preserving and Using Institutional Memory through Knowledge Management Practices explores practices regarding the preservation and use of institutional memory through the knowledge management practices of United States and Canadian transportation agencies. The report examines practices for the effective organization, management, and transmission of materials, knowledge, and resources that are in the unique possession of individual offices and employees.

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