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74 APPENDIX F Detailed Results for Questions 6 17 TABLE F1 RESPONSES BY STATE TRANSPORTATION AGENCIES REGARDING OVERALL CULTURAL RECEPTIVITY TO KNOWLEDGE MANAGEMENT PRACTICES Overall Largely Largely High STA Negativity Negative Neutral Receptive Receptivity AZ X X CA X IA X ID X KS X KY X MA X MN X MO X MT X NE X NJ X NV X OH X PA X TX X UT X VA X VT X NB X Total 0 3 8 7 3

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75 TABLE F2 COMMENTS REGARDING OVERALL CULTURAL RECEPTIVITY TO KNOWLEDGE MANAGEMENT PRACTICES STA Comments AZ [We rated] Motor Vehicle Division as a "5," and the Statewide Project Management as a "3." I feel that the Arizona DOT (ADOT) culture is moving toward a more active support KM effort. CA Receptivity of KM practices has varied over the years. In 1984, the department developed a History Program under a written policy (now Deputy Directive D-58), which created a statewide History Committee and a staffed History Center in the Library. The program is dedicated to ensuring preservation and access to the department's historical materials. During the past 5 years, efforts to maximize knowledge sharing have increased enterprise-wide through online databases and an extensive intranet. IA Management is receptive to saving historic resources. No formal program has been established in this agency. Management is supportive of the electronic document management system (EDMS) and is receptive to revisiting the policy on its use. MN EDMS is a major change management initiative. Employees involved in the work are learning new skills. Standardization of document naming conventions, "metadata" profiling, and workflow processing ("reengineering") is occurring. NE Some do not think to share their specialized knowledge until they leave. PA There are pockets of knowledge sharing, but there is no overall strategy or support for KM. A few of our executives are supportive of knowledge sharing, but the idea has cooled considerably the last three years. We still do some After Action Reports, but it is not a requirement. TX Knowledge management (KM) is pervasive throughout the department, although it may be contained in various print and electronic formats across the organization. Continuous efforts are made to keep both employees and the general public informed about ongoing and upcoming programs, activities, and other factors that affect the department. UT We are using document management for sharing of information with internal and external customers. VT Management emphasis on preserving institutional memory has been articulated for at least the past three years. The review of unit manuals has been afforded priority, with focused attention from FHWA in review processes. There remains some reticence to embrace a KM philosophy in isolated staff enclaves, where knowledge hoarding may be an issue. TABLE F3 COMMENTS REGARDING QUESTION 7 STA Comments AZ The level of these efforts needs to be increased. IA Enterprise applications are reviewed by Management and Information Technology. MT Management encourages staff to consult other employees to tap into their past organization experience when needed. PA This is a sometimes in our organization. It depends on the project and the culture of that unit. TX This could include a combination of both electronic searching and old-fashioned legwork. Most information in the department is obtainable; sometimes the trick is finding it. Internal networks abound. Someone knows someone who knows someone who knows whatever it is. Compiling the information for this survey is a good example. VA Depending on the area, employees are encouraged but not necessarily given direction on how to do this. Question 7: Before Beginning New Projects or Programs, Does Management Expect Employees to Consult Prior Organizational Experience as Evidenced in Documents, Databases, Knowledgeable People, and Other Resources?

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TABLE F4 COMMENTS BY STATE TRANSPORTATION AGENCIES REGARDING QUESTION 8 STA Who Exercises Overall Authority Plus Comments AZ N/A--Motor Vehicle Division; Program Manager--Intermodal Transportation Division (ITD). No one at Statewide Project Management CA No single individual currently has authority for KM programs. IA No one ID N/A KS Director of Design KY Executive Director MN Minnesota DOT has an EDMS Advisory Team, co-chaired by two division directors. The Enterprise Document Management System (EDMS) Director is responsible for design, development, operations, and maintenance. MO None assigned MT KM practices are accomplished by each office area. NB Executive NE Director, division heads NJ I am not certain that I would assign that authority to any individual or unit within the department. I presently believe that much of what we accomplish is the result of the concerted efforts of staff at varying levels of the organization who recognize the need to preserve this knowledge; a strong sense of loyalty developed during their collective years of service to this organization. OH The Director/senior staff. Shared responsibility supported by district deputy directors and their administrators in planning and production, highway management, and human resources. PA This is a sometimes in our organization. It depends on the project and the culture of that unit. TX N/A. Cannot say this resides with any one particular person or even just one office, although if I had to pick one, I guess I'd have to pick the General Services Division, since that division is responsible for Intellectual Property, Plans Online, and Records Management and Retention. UT Senior leaders VA Knowledge Management Officer VT Division Directors Question 8: Who Exercises Overall Authority over Knowledge Management Practices? TABLE F5 COMMENTS BY STATE TRANSPORTATION AGENCIES REGARDING QUESTION 9 STA Who Exercises Strongest Leadership Plus Comments AZ Not applicable for the Motor Vehicle Division (MVD); Section Managers lead in the ITD department. For the Statewide Project Management department, the support for KM practices is scattered throughout the Division. Support is increasing, although no strong leader has emerged with high visibility. CA Agency-wide records manager, Library and History Center, division heads IA Librarian, records managers, management professionals. Traditionally, records management and the library have been the repositories for such information and have experience managing this content. Computer technology has decentralized the storage model and access to information. ID The Bridge Engineer and the Engineer-in-Training Program Manager for the ITD Division of Highways KS Director of Design KY Executive Director MN Lieutenant Governor/Commissioner Molnau and her staff of division directors MO None assigned MT Research engineer NE Communication Division Manager, who oversees library and records management (includes archives) NJ I believe that it has to be adopted as a culture of sorts, with leadership and support from senior management. OH The Assistant Director for Planning/Production and the Assistant Director for Highway Management PA Not sure UT Project Development Director VA Commissioner, chiefs, and district administrators VT Information Technology Manager NB Executive Question 9: Who Exercises the Strongest Leadership for Knowledge Management Practices?

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77 TABLE F6 RESPONSES BY STATE TRANSPORTATION AGENCIES REGARDING QUESTION 10 STA Day-to-Day Responsibility Plus Comments AZ These responses are not on behalf of the entire agency, but just reflect the activities in the environmental work unit (Environmental and Enhancement Group). [On behalf of] the Statewide Project Management group, insofar as I am aware, no one at ADOT has been formally assigned this responsibility. [In my opinion] the Information Delivery Solution (IDS) section of the Information Technology Group (ITG) and the Program and Project Management section are the most active in KM work at ADOT. The ITG IDS section has the largest role in widely disseminating the knowledge via the Data Warehouses On- Line Analytical Processing (OLAP) functionality. The systems Program and Project Management System (PPMS) is active in developing [capabilities] to allow capture of information for KM purposes as part of their design. CA None officially assigned. However, agency-wide Records Manager responds to records-related questions. IA No one. The Electronic Records Management System (ERMS) Project Manager is responsible for the operation of the ERMS for the storage of departmental records. ID N/A KS Bill Roth, System Software Specialist KY Executive Secretary MN EDMS Director MO None assigned MT Records Management Unit NE Everyone NJ Certainly, if we speak to it as a "program" it would be administered through our Human Resources or Training Units under the Assistant Commissioner of Administration. OH Division Deputy Directors and District Deputy Directors and related administrators in Planning/Production, Highway Management, and Human Resources PA There is none now. We are conducting a research project to provide next steps and recommendations. TX Everyone in the department. It would probably be fair to say that every employee in the department is responsible for compiling, collecting, and retaining some sort of data or information. All employees answer to the general public and, at times, the media. UT The Research Division has the most responsibility, but not enterprise-wide. VA Knowledge Management Officer VT Division Directors; e.g., Program Development Division and section managers, such as IT manager. Each contributes within their respective areas. NB Training and Development Manager Question 10: Who Has Overall, Day-to-Day, Enterprise-Wide Responsibility for Knowledge Management Practices?

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78 TABLE F7 RESPONSES BY STATE TRANSPORTATION AGENCIES REGARDING QUESTION 12 STA Yes No IA X ID X KS X KY X MN X MT X NE X NJ X NV X OH X PA X TX X UT X VA X VT X NB X Total 6 10 Question 12: In General, Are the Authority, Leadership, and Day-To-Day Overall Responsibilities for KM Practices the Same for Both Physical and Electronic Resources? TABLE F8 COMMENTS FROM STATE TRANSPORTATION AGENCIES REGARDING QUESTION 12 STA Comments AZ Yes, [for the departments of] Environmental and Enhancement Group, Motor Vehicle Division, and Transportation Planning Division. No at Statewide Project Management Division. MN EDMS is new (starting in 2003). We are evolving a department-wide strategy for all information assets. NJ Our Information Technology Unit is responsible for the development and maintenance of electronic resources with wide-based applications. TX Policies and procedures for gathering, reporting, and retention of data and knowledge vary widely across the organization, depending on the type of data it is, whether it is for internal and/or external distribution, available space, and whether external standards exist. Standards and procedures for the management of both physical and electronic records, as well as for retention and destruction of physical and electronic records, are established by specific government codes that deal with each. UT Electronic has different systems to track, and physical is in each division and in the library. VA Currently there are many repositories for existing knowledge. We are working on bringing these under the authority of the KM Division. VT Well-defined procedures for management of electronic records exist. The standards ensure protection from virtually any possible destructive event. The organization of these knowledge assets has to some degree followed the age-old filing systems used for paper records. Physical records have a standard of practice defined for all state government, including archival and retrieval practices. Unrecorded knowledge is unavailable in all cases.

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79 TABLE F9 RESPONSES BY STATE TRANSPORTATION AGENCIES REGARDING QUESTION 13 STA Job Title FTE AZ Professional librarians 1 CA Professional librarians 4 CA Paraprofessional or technical specialists 5 CA Records managers 13 IA Knowledge management professionals 2 IA Professional librarians 1 IA Scanning/indexing/records management staff 5 IA Records managers 2 IA ERMS support staff 3 ID Customer relations manager 1 ID Information technology professionals 2 ID Records managers 1 KY Knowledge management professionals 1 KY Information technology professionals 0.75 KY Records managers 1 KY Clerical support 1 MA Professional librarians 1 MN Knowledge management professionals 6 MN Records managers 1 MN Clerical support 1 MT Records managers 1 MT Clerical support 2 NE Professional librarians 1 NE Information technology professionals 1 NE Records managers 1 NE Human resource managers/specialists 1 NE Paraprofessional or technical specialists 2 OH Professional librarians 1 OH Information technology professionals 1 OH Records managers 1 PA Professional librarians 1 PA Training manager 1 UT Professional librarians 1 UT Information technology professionals 1 UT Clerical support 1 UT Records managers 1 VA Knowledge management professionals 4 VA Professional librarians 2.5 VA Information technology professionals 10 VA Records managers 2 VA Clerical support 2 VT Information technology professionals 10 VT Human resource managers/specialists 2 VT Paraprofessional or technical specialists 0.5 Question 13: What Staffing Is Dedicated to Responsibility for Knowledge Management Practices, with Full-Time Equivalencies?

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80 TABLE F10 COMMENTS REGARDING KNOWLEDGE MANAGEMENT STAFFING STA Comments Regarding Staffing AZ ADOT has others (e.g., Engineering Records and Data Warehouse staff) but [responder] only entered for Transportation Planning Division. [There is] no full-time dedicated staff. The primary responsibilities are carried out by the management positions and team leaders for Environmental and Enhancement Group. Currently there are no dedicated FTEs in place for the Motor Vehicle Division. In the Statewide Project Management Division, there are some FTEs who would meet the criteria but their numbers and location are uncertain. These functions are decentralized. MT I think each individual is responsible for KM practices in their office area. There isn't one set person assigned to KM practices. NB Involves varying levels of effort from each of the above groups. Unable to estimate actual FTE total. NE Each division responsible TX Not easily determined TABLE F11 RESPONSES BY STATE TRANSPORTATION AGENCIES REGARDING QUESTION 14 Clearly Not Clearly STA Defined Defined AZ X X CA X IA X ID X KS X KY X MA X MN X MO X MT X NE X NJ X NV X OH X PA X TX X X UT X VA X VT X NB X Total 8 14 Question 14: Are Knowledge Management Responsibilities Clearly Defined?

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81 TABLE F12 COMMENTS FROM STATE TRANSPORTATION AGENCIES REGARDING ARE KNOWLEDGE MANAGEMENT RESPONSIBILITIES CLEARLY DEFINED? STA Comments AZ Yes for ITD, Transportation Planning Division (TPD), Motor Vehicle Division (MVD). No, there is overlap or confusion about who is supposed to do what in the Statewide Project Management. My responsibilities as ADOT librarian are clearly defined and responsibilities under the records retention schedule are clearly defined. Some practices are currently in place in MVD. The Policy Unit is refining policies and procedures for maintenance of KM documents. MN EDMS staff roles are clear. Each office and district approaches KM differently. As EDMS is implemented, clarification is occurring. MT I think individuals use KM practices when they are needed. Some KM practices are defined, such as the retention process for records management. Other areas may not be defined as well as they should be. OH Process is informal but works well. TX I would say that even though most KM responsibilities are clearly defined, that there is still sometimes overlap and/or confusion. VA Within the KM Division they are. Within the agency, it is understood that the KM Division is the authority, but we do not yet have policies established. TABLE F13 RESPONSES BY STATE TRANSPORTATION AGENCIES REGARDING QUESTION 15 STA Have Point of Do Not Have Point Contact of Contact AZ X CA X IA X ID X KS X KY X MA X MN X MO X MT X NE X NJ X NV X X OH X PA X TX X UT X VA X VT X NB X Total 12 9 Question 15: Does Your State DOT Have a Single Point-of-Contact by Which Individuals from Within or Outside the Agency Can Obtain Published Information or Documents, Such as Research Reports?

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TABLE F14 COMMENTS REGARDING EXISTENCE OF SINGLE POINT-OF-CONTACT FOR OBTAINING PUBLISHED INFORMATION OR DOCUMENTS STA Comments AZ We send Arizona Transportation Research Center (ATRC) reports to Engineering Records to sell, as do other ADOT units. My sense is that this is not systematic. If someone wants a report that is not available through Engineering Records, they would have to know which unit published it, which is not always clear on the reports. Many units are posting their publications on the web, but a person would need to know that said item existed and the unit that published it in order to find it. Communication and Community Partnerships would be the primary contact point for the public. The ADOT Data Warehouse is probably the best candidate to fulfill this role for most purposes, which might be project- related or for ad hoc database reporting. The ATRC would probably be best for research reports. CA Publications are obtained from several sources including the publications unit, library, research unit, and individual divisions. IA Requests for published information and records requests follow different channels. MN Principal contact is the librarian. MT Research staff can obtain any document published within the department. However, access is not limited through research staff. Individuals can contact the publishing office directly. NE Various sources, usually from division responsible NV We have a customer-service coordinator who is extremely knowledgeable as to where he can obtain resources; however, the customer's first point-of-contact will not necessarily be this individual. TX Texas DOT's Research Library is housed and managed by the Center for Transportation Research (CTR) at the University of Texas, Austin, which is open to the public. General information is also available on Texas DOT's public website (www.dot.state.tx.us), through our Public Information Office (PIO) in Austin, and from the PIOs in each district. VA Research reports can be obtained from a single point-of-contact [which is the]: Library. Virginia DOT reports (annual reports, news items, project reports, manuals, etc.) can be obtained from public affairs. TABLE F15 RESPONSES BY STATE TRANSPORTATION AGENCIES TO QUESTION 16 STA Yes No AZ X X CA X IA X ID X KS X KY X MA X MN X MO X MT X NE X NJ X NV X OH X PA X TX X UT X VA X VT X NB X Total 18 3 Question 16: Does Your DOT Have a Library Function That Deals Mostly with External Publications and Provides Formal or Informal Links and Access to Externally Published References, Literature/Reference Databases, Other Libraries, Transportation Research Centers, etc.?

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83 TABLE F16 CONTAINS COMMENTS REGARDING EXISTENCE OF LIBRARY FUNCTION (QUESTION 16) STA Comments MT The library budget is a part of the research budget ($2 million). VT The Materials and Research Section maintains a document library with an electronic file card system. Copies of TRB, NCHRP, and New England Transportation Consortium publications are retained there. A room dedicated to the storage of written materials exists in the main offices of the agency as well. Here have been several efforts to establish a stronger library function within the agency, cataloging has improved greatly as a result of those efforts. A trained librarian assisted with the cataloging efforts and supplied training for paraprofessionals. TX A list of other transportation-related links is maintained on our public website, as does the Research and Technology Implementation Office and the Research Library at CTRUT. ID Budget not broken out to library function; part of Idaho's Transportation Research Program administrative function OH Joint online catalog with state library/access to OhioLINKStatewide resource sharing, OCLC's WorldCat and TLCat. Library has an intranet site and Internet site: http://www.dot.state.oh.us/library. MA The transportation library is currently reorganizing. TABLE F17 CONTAINS RESPONSES BY STATE TRANSPORTATION AGENCIES TO QUESTION 17 STA Yes No AZ X X CA X IA X ID X KS X KY X MA X MN X MO X MT X NE X NJ X NV X OH X PA X TX X UT X VA X VT X NB X Total 16 5 Question 17: Is the Library Staffed by at Least One Individual with Professional Librarian Training? TABLE F18 COMMENTS REGARDING WHETHER LIBRARY IS STAFFED BY PROFESSIONAL LIBRARIAN STA Comments AZ Yes, for TPD; no for MVD. Do not know for ITD and unknown for Special Purpose Monitors. ID Research Program Manager and Research Program Assistant [library staff] TX Professional engineer heads the Research and Technology Implementation Office; CTR is staffed by the University of Texas [library staff].