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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
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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
