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NATIONAL NCHRP SYNTHESIS 365 COOPERATIVE HIGHWAY RESEARCH PROGRAM Preserving and Using Institutional Memory Through Knowledge Management Practices A Synthesis of Highway Practice
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TRANSPORTATION RESEARCH BOARD 2006 EXECUTIVE COMMITTEE* OFFICERS Chair: Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology, Atlanta Vice Chair: Linda S. Watson, Executive Director, LYNX--Central Florida Regional Transportation Authority, Orlando Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS MICHAEL W. BEHRENS, Executive Director, Texas DOT, Austin ALLEN D. BIEHLER, Secretary, Pennsylvania DOT, Harrisburg JOHN D. BOWE, Regional President, APL Americas, Oakland, CA LARRY L. BROWN, SR., Executive Director, Mississippi DOT, Jackson DEBORAH H. BUTLER, Vice President, Customer Service, Norfolk Southern Corporation and Subsidiaries, Atlanta, GA ANNE P. CANBY, President, Surface Transportation Policy Project, Washington, DC DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN NICHOLAS J. GARBER, Henry L. Kinnier Professor, Department of Civil Engineering, University of Virginia, Charlottesville ANGELA GITTENS, Vice President, Airport Business Services, HNTB Corporation, Miami, FL GENEVIEVE GIULIANO, Professor and Senior Associate Dean of Research and Technology, School of Policy, Planning, and Development, and Director, METRANS National Center for Metropolitan Transportation Research, University of Southern California, Los Angeles SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University, Worcester, MA JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL GLORIA J. JEFF, General Manager, City of Los Angeles DOT, Los Angeles, CA ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley HAROLD E. LINNENKOHL, Commissioner, Georgia DOT, Atlanta SUE McNEIL, Professor, Department of Civil and Environmental Engineering, University of Delaware, Newark DEBRA L. MILLER, Secretary, Kansas DOT, Topeka MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments, Arlington CAROL A. MURRAY, Commissioner, New Hampshire DOT, Concord JOHN R. NJORD, Executive Director, Utah DOT, Salt Lake City PETE K. RAHN, Director, Missouri DOT, Jefferson City SANDRA ROSENBLOOM, Professor of Planning, University of Arizona, Tucson HENRY GERARD SCHWARTZ, JR., Senior Professor, Washington University, St. Louis, MO MICHAEL S. TOWNES, President and CEO, Hampton Roads Transit, Hampton, VA C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin EX OFFICIO MEMBERS THAD ALLEN (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, Washington, DC THOMAS J. BARRETT (Vice Adm., U.S. Coast Guard, ret.), Pipeline and Hazardous Materials Safety Administrator, U.S.DOT MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT JOSEPH H. BOARDMAN, Federal Railroad Administrator, U.S.DOT JOHN BOBO, Deputy Administrator, Research and Innovative Technology Administration, U.S.DOT REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA GEORGE BUGLIARELLO, Chancellor, Polytechnic University of New York, Brooklyn, and Foreign Secretary, National Academy of Engineering, Washington, DC J. RICHARD CAPKA, Federal Highway Administrator, U.S.DOT SEAN T. CONNAUGHTON, Maritime Administrator, U.S.DOT EDWARD R. HAMBERGER, President and CEO, Association of American Railroads, Washington, DC JOHN H. HILL, Federal Motor Carrier Safety Administrator, U.S.DOT JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC J. EDWARD JOHNSON, Director, Applied Science Directorate, National Aeronautics and Space Administration, John C. Stennis Space Center, MS WILLIAM W. MILLAR, President, American Public Transportation Association, Washington, DC NICOLE R. NASON, National Highway Traffic Safety Administrator, U.S.DOT JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT JAMES S. SIMPSON, Federal Transit Administrator, U.S.DOT CARL A. STROCK (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC *Membership as of November 2006.
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 365 Preserving and Using Institutional Memory Through Knowledge Management Practices A Synthesis of Highway Practice CONSULTANT MARYANNE WARD Mount Vernon, Washington S UBJECT A REAS Planning and Administration Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2007 www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 365 Systematic, well-designed research provides the most effective approach to the solution of many problems facing highway Project 20-5 (Topic 37-02) administrators and engineers. Often, highway problems are of local ISSN 0547-5570 interest and can best be studied by highway departments ISBN 0-309-09780-0 individually or in cooperation with their state universities and Library of Congress Control No. 2006940145 others. However, the accelerating growth of highway transportation © 2007 Transportation Research Board develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the COPYRIGHT PERMISSION American Association of State Highway and Transportation Authors herein are responsible for the authenticity of their materials and for Officials initiated in 1962 an objective national highway research obtaining written permissions from publishers or persons who own the program employing modern scientific techniques. This program is copyright to any previously published or copyrighted material used herein. supported on a continuing basis by funds from participating Cooperative Research Programs (CRP) grants permission to reproduce member states of the Association and it receives the full cooperation material in this publication for classroom and not-for-profit purposes. and support of the Federal Highway Administration, United States Permission is given with the understanding that none of the material will be Department of Transportation. used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit The Transportation Research Board of the National Academies Development Corporation endorsement of a particular product, method, or was requested by the Association to administer the research practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment program because of the Board's recognized objectivity and of the source of any reprinted or reproduced material. For other uses of the understanding of modern research practices. The Board is uniquely material, request permission from CRP. suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communications and cooperation with federal, state, and local governmental agencies, NOTICE universities, and industry; its relationship to the National Research The project that is the subject of this report was a part of the National Council is an insurance of objectivity; it maintains a full-time Cooperative Highway Research Program conducted by the Transportation research correlation staff of specialists in highway transportation Research Board with the approval of the Governing Board of the National matters to bring the findings of research directly to those who are in Research Council. Such approval reflects the Governing Board's judgment that a position to use them. the program concerned is of national importance and appropriate with respect The program is developed on the basis of research needs to both the purposes and resources of the National Research Council. identified by chief administrators of the highway and transportation The members of the technical committee selected to monitor this project and to review this report were chosen for recognized scholarly competence and departments and by committees of AASHTO. Each year, specific with due consideration for the balance of disciplines appropriate to the project. areas of research needs to be included in the program are proposed The opinions and conclusions expressed or implied are those of the research to the National Research Council and the Board by the American agency that performed the research, and, while they have been accepted as Association of State Highway and Transportation Officials. appropriate by the technical committee, they are not necessarily those of the Research projects to fulfill these needs are defined by the Board, and Transportation Research Board, the National Research Council, the American qualified research agencies are selected from those that have Association of State Highway and Transportation Officials, or the Federal submitted proposals. Administration and surveillance of research Highway Administration, U.S. Department of Transportation. contracts are the responsibilities of the National Research Council Each report is reviewed and accepted for publication by the technical and the Transportation Research Board. committee according to procedures established and monitored by the The needs for highway research are many, and the National Transportation Research Board Executive Committee and the Governing Board of the National Research Council. Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW NOTE: The Transportation Research Board of the National Academies, the Washington, DC 20001 National Research Council, the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual and can be ordered through the Internet at: states participating in the National Cooperative Highway Research Program do http://www.national-academies.org/trb/bookstore not endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of this report. Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board's varied activities annually engage more than 5,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org
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NCHRP COMMITTEE FOR PROJECT 20-5 COOPERATIVE RESEARCH PROGRAM STAFF ROBERT J. REILLY, Director, Cooperative Research Programs CHAIR CRAWFORD F. JENCKS, Manager, NCHRP GARY D. TAYLOR, CTE Engineers EILEEN DELANEY, Director of Publications MEMBERS NCHRP SYNTHESIS STAFF THOMAS R. BOHUSLAV, Texas DOT STEPHEN R. GODWIN, Director for Studies and Special Programs DONN E. HANCHER, University of Kentucky JON WILLIAMS, Manager, Synthesis Studies DWIGHT HORNE, Federal Highway Administration GAIL STABA, Senior Program Officer YSELA LLORT, Florida DOT DONNA L. VLASAK, Senior Program Officer WESLEY S.C. LUM, California DOT DON TIPPMAN, Editor JAMES W. MARCH, Federal Highway Administration CHERYL KEITH, Senior Secretary JOHN M. MASON, JR., Pennsylvania State University CATHERINE NELSON, Oregon DOT TOPIC PANEL LARRY VELASQUEZ, New Mexico DOT PEGGY BAER, Iowa Department of Transportation PAUL T. WELLS, New York State DOT NELDA BRAVO, TurnerFairbank Highway Research Center LAUREL CLARK, California Department of Transportation FHWA LIAISON MAUREEN HAMMER, Virginia Department of Transportation WILLIAM ZACCAGNINO NINA McLAWHORN, Wisconsin Department of Transportation MARTINE A. MICOZZI, Transportation Research Board TRB LIAISON ALAN E. PISARSKI, Falls Church, Virginia STEPHEN F. MAHER BARBARA POST, Transportation Research Board HOWARD ROSEN, University of WisconsinMadison GENE SHIN, Virginia Department of Transportation MARLEEN STEELE, Pennsylvania Department of Transportation DAVID M. BURK, Federal Highway Administration (Liaison) ACKNOWLEDGMENTS The author thanks Dr. Maureen Hammer for her service on the Topic Panel and for sharing her insights and her time, Jeffrey N. Withee for contributing his time and insights, and Mike Burk for his service on the Topic Panel and for sharing so many valuable and hard-won insights. The author is also grateful to Erik Johnson of the World Bank and Jeanne M. Holm of NASA for sharing their time and experiences.
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FOREWORD Highway administrators, engineers, and researchers often face problems for which infor- By Staff mation already exists, either in documented form or as undocumented experience and prac- Transportation tice. This information may be fragmented, scattered, and unevaluated. As a consequence, Research Board full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviat- ing the problem. There is information on nearly every subject of concern to highway administrators and engineers. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a systematic means for assembling and eval- uating such useful information and to make it available to the entire highway community, the American Association of State Highway and Transportation Officials--through the mechanism of the National Cooperative Highway Research Program--authorized the Transportation Research Board to undertake a continuing study. This study, NCHRP Proj- ect 20-5, "Synthesis of Information Related to Highway Problems," searches out and syn- thesizes useful knowledge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute an NCHRP report series, Synthesis of Highway Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems. PREFACE This synthesis report documents practices regarding the preservation and use of institu- tional memory through the knowledge management (KM) practices of U.S. and Canadian transportation agencies. It identifies the practices for the effective organization, manage- ment, and transmission of materials, knowledge, and resources that are in the unique pos- session of individual offices and employees. Issues covered include: Does the agency have a KM program? Who has overall responsibility for KM practices? Is there an agency library, and sufficient staff or financial resources? Have materials to be retained been iden- tified? Are there written guidelines for the retention of historical materials? and what tools are available for capturing and storing KM resources? Exemplary practices for KM from other professions are included. Surveys were returned from 38 transportation agencies [34 U.S. state departments of transportation (DOTs), three Canadian provinces, and one Canadian city]. A literature survey was conducted to identify trends and practices within the transportation community. In addition, three case studies are provided as examples of DOTs with KM programs at various stages. Detailed survey responses can be found in the appendices, as well as those sections covering the literature survey. Maryanne Ward, Consultant, Mount Vernon, Washington, collected and synthesized the information and wrote the report. The members of the topic panel are acknowledged on the preceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand.
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CONTENTS 1 SUMMARY 9 CHAPTER ONE INTRODUCTION Background, 9 Scope, 9 Overall Findings, 9 Methodology and Organization of Report, 9 Definitions and Terminology, 10 Professional Responsibilities, 11 Knowledge Management as Business Management Process, 11 13 CHAPTER TWO SUMMARY OF FINDINGS FROM LITERATURE SURVEY Literature Survey Summary: Knowledge as an Asset, 13 Literature Survey Summary: Knowledge Management as Business Process, 14 Literature Survey Summary: Barriers to Knowledge Management, 15 Literature Survey Summary: Human Resource and Knowledge Management, 15 Literature Survey Summary: Trans-Disciplinary Nature of Knowledge Management, 16 Literature Survey Summary: Success Factors Associated with Successful Knowledge Management Programs, 16 Literature Survey Summary: Specific Knowledge Management Practices, 17 Literature Survey Summary: Measuring Knowledge Management Effectiveness, 19 20 CHAPTER THREE SUMMARY AND ANALYSIS OF STATE TRANSPORTATION AGENCY QUESTIONNAIRE RESULTS AND LITERATURE SURVEY REGARDING SPECIFIC EFFORTS TO CAPTURE KNOWLEDGE OF EXPERIENCED RETIRING OR EXITING EMPLOYEES State Transportation Agency Responses for Question 1, 20 Synthesis of Practices Taken from Literature Survey on Leave-Taking, 20 22 CHAPTER FOUR SUMMARY AND ANALYSIS OF QUESTIONNAIRE RESULTS REGARDING THE EXISTENCE OF KNOWLEDGE MANAGEMENT PROGRAMS: QUESTIONNAIRE QUESTIONS 25 Summary of Questionnaire Results Regarding Existence of Knowledge Management Programs, 22 Whom or Where Is Your State Transportation Institutional Memory Point of Contact?, 22 24 CHAPTER FIVE SUMMARY AND ANALYSIS OF QUESTIONNAIRE RESULTS FOR QUESTIONS 612 REGARDING CULTURAL RECEPTIVITY, AUTHORITY, AND RESPONSIBILITIES Cultural Receptivity, 24
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Management Expectation That Employees Consult Prior to Organizational Experience as Evidenced in Documents, Databases, Knowledgeable People, and Other Resources, 24 Who Exercises Overall Authority for Knowledge Management Practices?, 24 Who Exercises Strongest Leadership over Knowledge Management Practices?, 24 Who Has Overall Day-to-Day Enterprise-Wide Responsibility for Knowledge Management Practices?, 25 Are Authority, Leadership, and Day-to-Day Overall Responsibilities the Same for Both Physical and Electronic Resources?, 26 27 CHAPTER SIX SUMMARY AND ANALYSIS OF QUESTIONNAIRE RESULTS REGARDING KNOWLEDGE MANAGEMENT STAFFING: QUESTIONS 1319 Are Knowledge Management Responsibilities Clearly Defined?, 27 Does Your State Transportation Agency Have a Single Point of Contact by Which Individuals from Within or Without the Agency Can Obtain Published Information or Documents Such as Research Reports?, 27 Does a Library Function Exist? Does Your State Transportation Agency Have at Least One Professional Librarian on Staff?, 28 Knowledge Managment Budgets, 28 30 CHAPTER SEVEN SUMMARY AND ANALYSIS OF QUESTIONNAIRE RESULTS REGARDING SPECIFIC KNOWLEDGE MANAGEMENT PRACTICES: QUESTIONS 2032 What Methods Are Used to Capture Knowledge?, 30 What Tools Are Available for Knowledge Capturing?, 30 Are Practices for Storing Knowledge Management Resources in Place?, 30 Where Are Captured Sources Stored?, 32 How Are Resources Preserved Over Time for Differing Resource Types and Formats?, 33 How Adequate Is Storage Infrastructure?, 33 How Do Employees Identify and Find Knowledge Resources?, 33 Are Stored Knowledge Management Resources Readily Available for Use in Current Work and Decision Making?, 34 Is There an Established Practice for Destruction of Obsolete Knowledge Management Resources?, 35 36 CHAPTER EIGHT SUMMARY AND ANALYSIS OF QUESTIONNAIRE RESULTS REGARDING EFFECTIVENESS OF KNOWLEDGE MANAGEMENT PRACTICES AND TRAINING INITIATIVES: QUESTIONS 3437 Do Knowledge Management Practices Enjoy Continuity and Persistence Over Time?, 36 Does Your Agency Use Metrics (Performance Measures) to Gauge the Value Added or Effectiveness of Knowledge Management Program or to Justify Costs?, 36 Does Agency Have Knowledge Management Training and/or Mentoring Programs for Staff Transferred to New Jobs, New Hires, or those New to Leadership? What Initiatives Have Led to Successful Participation in Knowledge Management Practices?, 36 38 CHAPTER NINE TRANSPORTATION CASE STUDIES Virginia Department of Transportation, 38 Maryland State Highway Administration, 39 Federal Highway Administration, 40 Texas Department of Transportation, 40
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41 CHAPTER TEN NON-TRANSPORTATION CASE STUDIES Knowledge Sharing at World Bank, 41 Interview with World Bank Knowledge Management Officer, 41 Knowledge Sharing at National Aeronautics and Space Administration, 42 Interview with National Aeronautics and Space Administration Knowledge Management Officer, 43 45 CHAPTER ELEVEN CONCLUSIONS 49 REFERENCES 52 BIBLIOGRAPHY 53 APPENDIX A SURVEY QUESTIONNAIRE 65 APPENDIX B QUESTIONNAIRE RESPONDERS 67 APPENDIX C DETAILED RESULTS FOR QUESTION 1 69 APPENDIX D DETAILED RESULTS FOR QUESTIONS 24 72 APPENDIX E DETAILED RESULTS FOR QUESTION 5 74 APPENDIX F DETAILED RESULTS FOR QUESTIONS 617 84 APPENDIX G DETAILED RESULTS FOR QUESTIONS 2033 93 APPENDIX H DETAILED RESULTS FOR QUESTIONS 3437 96 APPENDIX I ANNOTATED LITERATURE SURVEY REGARDING CHALLENGES OWING TO HIGH RATE OF RETIREMENTS AND LEAVE-TAKING 100 APPENDIX J ANNOTATED LITERATURE SURVEY: STANDARDS AND GUIDANCE DOCUMENTS ISSUED BY INTERNATIONAL STANDARDS-DEVELOPING ORGANIZATIONS REGARDING KNOWLEDGE MANAGEMENT 102 APPENDIX K ANNOTATED LITERATURE SURVEY ON KNOWLEDGE MANAGEMENT PRACTICES 112 APPENDIX L ANNOTATED SURVEY OF OTHER KNOWLEDGE MANAGEMENT RESOURCES