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

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84 APPENDIX G Detailed Results for Questions 20–33 STA A B C D E F G H I J K L M N O P Q R S AZ x x x x x x x x x x x x CA x x x x x x x x x x x x x x x x IA x ID x x x x x x x x KS x x x x KY x x x x x x x MA x x x MN x x x x x x x MO x x x x x x x x x x MT x x x x x x x x x NE x x x x x x x x x x NJ x x x x x NV x x x x OH x x x x x x x x x PA x x x x x x TX x x x x x x x x x x x x x x x UT x x x x x x x x x VA x x x x x x x x x x x x x VT x x NB x x Total 7 14 6 18 14 12 4 5 5 8 8 3 4 2 0 16 14 9 3 Question 20: What Methods Are Used to Capture Knowledge? Key to letter designations in Table G1: A—We have explicit strategies for knowledge development and capture. B—Management expects staff to document experiences and lessons learned and make these accessible to the rest of the organization. C—Employees spend time and effort to contribute to the organization’s store of knowledge in an ongoing and structured manner. D—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. E—More experienced staff members are given knowledge-capturing assignments, such as documenting important procedures or writing standards and specifications. F—Post-project reviews (also known as after-action reviews or post-mortems). G—Lessons learned database. H—Best practices database. I—Staff expertise database. J—Communities of practice/expertise groups. K—Oral interviews. L—Oral histories (more formal than “interview,” perhaps facilitated by trained historian). M—Knowledge development teams (specifically formed to develop new knowledge assets for the organization). N—Knowledge fairs. O—Formal story telling. P—Close-out reports or final project reports. Q—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, ad hoc discussions or verbal sharing of expertise among employees is encouraged, etc.). R—Staff specially trained as meeting facilitators. S—Other. TABLE G1 RESPONSES FROM STATE TRANSPORTATION AGENCIES FOR QUESTION 20

85 STA Comments AZ The Environmental and Enhancement Group added training and orientation programs. MN Electronic Document Management System TX An internal quarterly publication “Transportation News” is distributed to all employees. Also, internal conferences on topics such as Construction, Design, Information Resources, Human Resources, and others are held several times every year at various locations around the state. The largest and longest-running “knowledge fair” is the annual Transportation Short Course held every October at Texas A&M University, which draws thousands of Texas DOT (TxDOT) employees, engineering students, contractors, consultants, and other interested parties. The department makes extensive use of e-mail to distribute timely information to a broad audience on subjects ranging from local retirements to state and national transportation issues in the news. TxDOT has an extensive training catalog made up of both internally developed and externally acquired classroom and online training. In-house course development is accomplished with the help of one or more internal subject matter experts. Their input and “war stories” are often incorporated into instruction. TABLE G2 CONTAINS COMMENTS REGARDING QUESTION 20 STA A B C D E F G H I J K L M AZ x x x x x x x x x CA x x x x x x x x x IA x x x x x x x x x ID x x x x x x x x KS x x x x x x x KY x x x x x x x x x MA x x x x x x MN x x x x x x x x x x x MO x x x x x x x x x MT x x x x x x x x x x NE x x x x x x x x x x NJ x x x x x x x x NV x x x x x x NY OH x x x x x x x x x PA x x x x x x TX x x x x x x x x x x UT x x x x x x x x x x VA x x x x x x x x x x VT x x x x NB x x x Totals 20 19 15 19 13 7 17 12 13 5 0 17 6 Question 21: What Tools Are Available for Knowledge Capturing? Key to Letter Designations in Table G3: A—Reasonably up-to-date personal computer systems and business/office software. B—Meeting rooms well-equipped for group interactions (low-tech—whiteboards, markers, tablets, etc., or high-tech—web access, computer projection, video communication center, etc.). C—Project management software with capability to capture important project documents. D—Specialized software tools such as geo-mapping, computer-aided design (CAD), statistical analysis, flowcharting, resource utilization, process control and analysis, business process analysis, voice-to-text software, etc. E—Databases that are reasonably easy to maintain and search. F—Content-management or text-base-type software specifically targeted to document/text management applications. G—Intranet portals that provide an interface to the organization’s knowledge resources. H—Templates, outlines, or other specific content/format guidelines to provide guidance on what to include and how to go about writing. I—Web-building tools for shared or team websites (such as may be used by communities of practice, cross-functional teams, internal–external teams, etc.). J—Meeting management software. K—Wiki or blog software. L—Phone systems equipped for conference calling. M—Other. TABLE G3 RESPONSES FROM STATE TRANSPORTATION AGENCIES FOR QUESTION 21

86 TABLE G4 COMMENTS REGARDING QUESTION 21 STA Comments AZ The library catalog is on the web and the intranet. In addition to electronic databases and geographic information systems, as well as intranet and Internet applications internal to the environmental work unit, the Environmental and Enhancement Group also is interfacing with other areas in the agency to contribute information to existing Project Management databases and the Arizona DOT (ADOT) data warehouse. Video conferencing is available between a limited number of sites. Databases that are easy to maintain and search are not yet common at ADOT, but there is an increasing emphasis on these attributes. Likewise, intranet (and Internet) portals are increasing in number and functionality. IA Electronic Records Management System ID Video conferencing facilities available statewide at headquarters and regional offices. MN Electronic Document Management System (EDMS) TX Robust video teleconferencing system. DynaText and DynaWeb are used for manual development on the web. Templates for developing manuals in MS Word are provided by the General Services Division. UT Video conferencing, WebX STA Clear Strategy for Storing Knowledge Assets in Place Employees Generally Understand. Process Well-Defined for Most Resource Types Well-Defined for Most Resource Types; e.g., Financial and Legal, but Not for Most Sources Well-Defined for Physical but Not Electronic Resources AZ X X X CA X X ID X X KS X X KY X MA X MN X MO X MT X X X NE X X NV X X OH X X TX X X X UT X X X VA X X X VT X NB X Total 5 8 13 7 Question 23: Are Practices for Storing Knowledge Management Resources in Place? TABLE G5 RESPONSES FROM STATE TRANSPORTATION AGENCIES REGARDING QUESTION 23

87 STA Comments AZ EEG is currently developing written procedures for electronic document storage. Database manuals and other procedures are already in existence for specific areas and functions. MN [Well-defined storage practices for resources] where EDMS has been implemented. [There is] considerable variation among offices and among districts as to storage practices. MT We have a records management system that is defined, but needs enhancement. Our electronic storage and retention requirements still need to be defined. TX We obviously collect and store a lot; however, we could probably do better, especially when it comes to intangible knowledge. That is part of what the Pavement Forensics KMS Project is attempting to address. VT Most agency electronic records are maintained well; however, there is a substantial number of electronic records at the individual level in staff that are not defined or categorized. TABLE G6 COMMENTS REGARDING QUESTION 23 STA Physical Resources Stored in Agency-Owned Enterprise-Level Archives Electronic Resources Stored in Enterprise- Level Repository Capture a Lot Short-Term but Limited Organized Method or Central Repository to Store Electronic Resources Long- Term Store Resources at Another Organization Other (see Table G8) AZ X X X X X CA X X IA X X X ID X X KS X X KY X X X MA X X MN X X X X MO X X X MT X X X NE X X X NJ X X X NV X X OH X X X PA X TX X X X X X UT X X X VA X X X X VT X X NB X Total 15 15 10 12 4 Question 24: Where Are Captured Sources Stored? TABLE G7 RESPONSES REGARDING QUESTION 24

88 TABLE G8 COMMENTS EXPLAINING CHOICE OF “OTHER” FOR QUESTION 24 STA Comments AZ The Data Warehouse is an enterprise-level repository that is under development. It has both a data and a document storage aspect. [Resources are] stored on servers that are maintained by the ADOT Information Technology (IT) Group. CA Hard copies of many department documents and records are stored at the California State Records Center; the California State Archives stores selected documents and records that the department no longer wishes to keep. IA There are multiple enterprise systems that function independently of an Environmental Concurrence Meeting system. ID Physical research project outputs are stored in Research Program Library. MN Physical resources are stored in vendor-contracted off-site storage. [We are] transitioning from physical files and personal computer files to centralized electronic repository. MT Records that are retained permanently are sent to the state archives. NE Off-site storage—state records management and state historical society PA Some of our resources are stored in the state archives. Our research reports are stored in our PennDOT Library. Some of our materials are stored in our state library. TX TxDOT’s Research Library is housed and managed by the Center for Transportation Research (CTR) at the University of Texas at Austin. Section 441.101 et. Seq. of the Texas Government Code requires state agencies to deposit copies of their publications with the Publications Clearinghouse at the Texas State Library (hereafter called “The Clearinghouse”). This requirement applies to publications produced both “in-house” and by contract services. The Clearinghouse serves to disseminate information produced by state agencies to the public, through public and university depository libraries. UT State archives keep our hardcopy files. TABLE G9 RESPONSES BY STATE TRANSPORTATION AGENCIES REGARDING QUESTION 26 STA Defined Retention Periods for Most Resource Types. Work with Stakeholders. Consult Laws/Regs., Records, and KM Best Practices, etc. Have Mix of Preservation Practices, Depending on Whether in Physical or Electronic Format. Same Practices Do Not Necessarily Apply Across Formats for Similar Resources Physical Resources Are Retained Based on Document Type or Content. Electronic Resources Retained on Other Criteria AZ X X X CA X IA X X ID X X KS X KY X X MA X MN X MO X X MT X NE X X X NJ X X NV X X OH X X X TX X X X UT X X VA X VT X NB X Total 16 12 6 Question 26: How Are Resources Preserved over Time, for Differing Resource Types and Formats?

89 TABLE G10 RESPONSES REGARDING QUESTION 27 STA Physical Storage Infrastructure Adequate Physical Storage Uses Established Records Management Practices Repository for Electronic Resources Has Adequate Capacity, Is Secure Repository for Electronic Resources Backed Up Routinely AZ X X X X CA X X X X IA X X X X ID X X KS X X X KY X X X X MA X X MN X X X X MO X X X X MT X X NE X X X X NJ X X NV X X X X OH X X X X TX X X X UT X X X X VA X X X X VT X NB X Total 14 17 13 16 Question 27: How Adequate Is the Storage Infrastructure?

90 TABLE G11 RESPONSES BY STATE TRANSPORTATION AGENCIES TO QUESTION 28 STA Enterprise- Wide Database with Metadata Intranet Portals Databases, Clearinghouse Websites, Work Group Web Pages, etc. No Central Access Point Various Finding Tools Depending on Which Unit Manages the Resource Have Mixture of Databases and Hardcopy Mostly Rely on Knowledge- able Individuals AZ X X X X X CA X X X X IA X X X X ID X X X X KS X X X KY X X MA X MN X X X MO X X X X X MT X X X X NE X X NJ X X X NV X X X X NY OH X X X PA X TX X X X X UT X X X X VA X X X X X VT X X X NB X Total 2 8 12 17 17 9 Question 28: How Do Employees Identify and Find Knowledge Resources?

91 TABLE G12 RESPONSES BY STATE TRANSPORTATION AGENCIES REGARDING QUESTION 30 STA Location Reasonably Convenient High Priority to Get KM Resources to Desktop via PCs Have “Push” Proactive System Resources Are Delivered to User Within Time Frame That Fits Current Work Stream System to Track Location of Physical Resources Decisions to Move Physical Materials Off- Site Based on Reasonable Need for Efficient Access by Staff AZ X X X X CA X X X X IA X ID X X X KY X X X X MA X X X X X X MN X X X MO X X X X MT X X X X NE X X X X NJ X NV X X X OH X X X X X X TX X X X UT X X X X X VA X X X VT X NB X Total 14 7 2 10 13 14 Question 30: Are Stored Knowledge Management Resources Readily Available for Use in Current Work and Decision Making? TABLE G13 LISTS COMMENTS REGARDING QUESTION 30 STA Comments AZ The Data Warehouse is available over the intranet, so the information there is reasonably accessible. ADOT has become aware of deficiencies in this area and is working to make improvements. MN Desktop access to information assets is a top priority. PA We use our commonwealth guidelines and a few PennDOT guidelines. TX There is a current “push” on to deliver information more readily to external customers, by means of the department’s public website. Decisions to destroy materials are based not only on practical reasons but also on government administrative code (in other words, the law says certain things must be kept for a certain time regardless of space).

92 STA Yes, Practice Exists for Most Physical and Electronic Resources Yes, Practice Exists for Physical, but Not for Electronic Resources No Practice Exists AZ X 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 Totals 9 9 4 Question 32: Is There an Established Practice for Destruction of Obsolete Knowledge Management Resources? TABLE G14 CONTAINS RESPONSES BY STATE TRANSPORTATION AGENCIES TO QUESTION 32