Developing the Guide to Retaining Essential Consultant-Developed Knowledge Within DOTs (2017) / Chapter Skim
Currently Skimming:
Pages 7-32
The Chapter Skim interface presents what we've algorithmically identified as the most significant single chunk of text within every page in the chapter.
Select key terms on the right to highlight them within pages of the chapter.
From page 7... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 7 3. FRAMEWORK DEVELOPMENT 3.1 Initial Framework Development Development of guidance for state DOTs on capture and learning essential consultant‐developed knowledge was a multi‐step process. It began with development of an initial framework for stating the problem (i.e., need for knowledge capture and learning)
|
From page 8... ...
FDe igure 1. Ca veloping pture and T the Guide ransfer of E to Retaini ssential Con ng Essent sultant‐Lea ial Consult rned Knowl ant‐Deve edge loped Kno Withi wledge n DOTs 8
|
From page 9... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 9 Build Knowledge The "Build Knowledge" element represents the process by which the consultants acquire knowledge through the work activities they perform. The work types included in the scope of this research include project scoping, survey, design, construction, construction engineering, and right‐of‐way acquisition. Within these work types, there are specific activities – e.g. cost estimation, scheduling, inspection, etc. that require specialized skills and experience to perform effectively. Some of these activities are routinely performed by well‐trained engineers and project managers across the industry. Other functions, however, are more specialized and rely on unique expertise. Construction Engineering, as an example, may entail quality assurance and quality control, inspection, and design review that, for large projects, may be undertaken by any particular staff engineer only a few times in a lengthy career. While such skills may be detailed in an entry level engineer's job description, others are not. A project manager trained in engineering may spend as much time practicing negotiation techniques when acquiring right‐of‐way from savvy commercial businesses, deliberating cost share with local agency partners or with FHWA, and engaging contractors on project elements negotiated after award. These and other talents can be hired to the agency, trained at the agency, or consulted out. They are less uniformly instilled in staff across agencies. Transfer Knowledge The "Transfer Knowledge" element represents the process by which consultant knowledge is captured and then learned by the state DOT staff. Depending on the type of knowledge, this may be accomplished via person‐to‐person interaction or through techniques that involve documenting essential information that can be applied in the future. Several Knowledge Types can be distinguished, including the following two ends of the spectrum: Historical factual knowledge of what was done and how. For example: what materials were utilized, what the sequence of installation was, what agreements were established between the project owner and other stakeholders. This type of knowledge may be important to guide future maintenance and construction work at the project location, and to ensure that the agency honors commitments over time. Knowledge of why work was done the way it was, why key decisions were made, and what was learned from a particular experience. Why was this bargaining chip conceded to the railroad while that one was preserved?
|
From page 10... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 10 expertise. Written documentation through detailed as built plans can be used to document project specifics. Manuals can help inform an entire program. These methods help ensure transfer of factual information but do not necessarily transfer judgement or understanding about how to perform a given task in different situations. This second type of knowledge is built over time through training, apprenticeships, and other active learning methods. Sharing knowledge between consultant and DOT staff during the course of project activities can build staff experience and an understanding of how to utilize that skill in similar context on future projects. Apply Knowledge Applying knowledge is an essential yet sometimes overlooked element of knowledge management. The reason to make the effort to capture and transfer knowledge is to use this knowledge to produce a benefit for the organization. Simply documenting findings and lessons learned from prior projects does not do any good unless these findings and lessons are reviewed and used to influence future activities. The Federal Aviation Administration, for example, utilizes before‐action reviews to consider lessons learned on prior projects before beginning the next project. Risk Reduction from Building, Transferring and Applying Knowledge This element is a fundamental part of the guidance to be produced – it provides the motivation for agencies to invest time and effort into capturing and learning consultant‐developed knowledge. The hypothesis – which is supported in a general way by the literature review – is that agencies that heavily rely on contractors face an erosion of their in‐house knowledge base, which can reduce their internal effectiveness over time. This creates several different types of risks. First, there is a risk that agencies will not be sufficiently prepared to take on responsibility to operate and maintain what is delivered. When the contractor completes their assignment, agency staff will need to have an understanding of what was done, how, and why. Knowledge of the types of issues that may arise in the future related to the work and how to respond to these issues is of critical importance. For example, maintenance crews taking over a newly constructed stormwater management facility need a good understanding of the inspection and maintenance requirements for the facility, and how these impact its proper function. Without sufficient attention to knowledge transfer, there is the potential for suboptimal decisions, leading to higher costs and poorer performance. These risks will be highest where the outsourced work is complex, non‐routine, and not well‐specified or documented, and where the agency's base of pertinent expertise is already thin. In addition to potential risks associated with an agency's ability to take over proper stewardship of a work product delivered by contract, lack of knowledge transfer can also mean lost opportunities for re‐ use of important lessons learned and effective practices developed. For example, an agency may change vendors or consultants for a function as a result of a contract re‐compete. If there was no knowledge transfer from the original contractor to the agency, the new contractor will need to start from scratch, without the benefit of prior experience that the agency has paid for. A third type of risk relates to agency capabilities to oversee contract work. Over time, some DOTs have shifted certain agency functions (e.g. design) to being predominantly outsourced. Effective knowledge transfer from contractors can help to sustain and build employee capabilities, providing a richer base of experience from which they can draw upon for future initiatives.
|
From page 11... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 11 Constraints and Barriers There are real constraints to effective capture and transfer of consultant‐developed knowledge. These must be recognized and addressed explicitly in the guidance. One important constraint is limitations on agency staff capacity to receive and utilize consultant‐ developed knowledge. Perhaps the most commonly cited reason for outsourcing among state agencies today is the restriction on DOT staff size or new hires. But other factors also drive agencies to hire consultants in perpetuity. A task may be repeated so infrequently that the dedication of even a single full‐time staff person cannot easily be justified. Likewise, capabilities may be so specialized that an agency deems it impractical to hire, train, and retain a small number of technical resources finding that the private sector can far better provide those capacities as needed. Even where staff are available that can receive and absorb consultant‐developed knowledge, knowledge transfer may be inhibited by staff time constraints. In particular, knowledge transfer opportunities may coincide with spikes in workflow given the seasonality of construction work. Another important constraint is willingness on the part of the consultant to share their knowledge. From the perspective of the consultant, knowledge transfer may not be desirable. Providing staff with the ability to perform that task diminishes the probability of gaining future work on similar projects. It may also encourage staff to seek competing consultants with the knowledge to transfer to the new vendor who has unseated the incumbent. This research will examine these constraints and recommend ways to overcome such obstacles. Figure 2 illustrates the preliminary framework developed for the guidance. It organizes the elements described above into four key questions for state DOTs to consider: Question 1: What could be learned from consultants that the agency should capture? Question 2: What are the risks from not transferring this knowledge?
|
From page 12... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 12 approach involves classifying each risk based on both the likelihood that it will occur and its consequences. This can help agencies to prioritize the candidate areas for knowledge transfer. Question 3: What knowledge transfer techniques should be considered? The third component of the framework covers identification of knowledge capture, transfer and application techniques that are appropriate to the targeted highest risk areas. This will include person‐ to‐person techniques for the tacit or procedural types of knowledge, and codification‐dissemination methods for the explicit or declarative types of knowledge. Question 4: What barriers will we face?
|
From page 13... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 13 Figure 2. Preliminary Framework
|
From page 14... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 14 3.2 Review of Initial Framework with Focus Groups Purpose and Methodology Specific objectives of the focus groups were to: Determine if the basic "story line" resonated with both state DOT and consultant participants Understand types of knowledge transfer currently being used Identify specific examples where lack of knowledge transfer back to agency staff had negative consequences Understand agency experience with respect to project, consultant and staffing‐related barriers to knowledge transfer Focus groups were selected to cover different types of outsourcing arrangements and to reflect diversity with respect to program size and geographic location. The groups consisted of individuals responsible for key functions where significant outsourcing occurs in central office and field/district office locations, as well as individuals responsible for workforce planning and development. DOTs also were asked to invite representatives of current contractors/consultants to join in the discussion. During the focus groups, the research team asked participants to identify specific examples of recently completed outsourced projects where successful knowledge transfer occurred. Focus groups were held at Virginia DOT, Colorado DOT, and Oregon DOT. Two separate focus groups were held at each agency in order to keep groups small and cover varying perspectives and functions. At the start of each focus group, members of the research team stated the project objectives and summarized the framework. Focus groups were structured into four parts – one for each element of the framework. The facilitator posed the central question (e.g., "What essential knowledge is important to capture from consultants?
|
From page 15... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 15 areas where the agency lacked in‐house expertise, and (3) general erosion of the available pool of seasoned, experienced engineers – and construction inspectors and managers in particular. Participants generally felt that while consultant knowledge capture could play a supporting role in building or sustaining agency expertise, the agency's overall staffing and outsourcing strategy is the primary lever for addressing these concerns and managing risks associated with outsourcing. Just because participants of the focus groups didn't perceive knowledge transfer from consultants as a major issue doesn't necessarily mean that it isn't valuable or needed. In fact, case studies conducted later in the project did identify many valuable knowledge transfer practices in use at DOTs. Focus group perceptions did, however, signal that "consultant knowledge capture and learning" is a multi‐ dimensional, nuanced topic that needed to be carefully described using concrete examples. Types of Critical Knowledge to Capture Responses to the questions about what knowledge is important to capture and learn were primarily (though not exclusively)
|
From page 16... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 16 staff time and funding outside the core business of the state DOT. Project managers are so focused on delivering the current project that the impacts to the next project or other projects in the state are not generally considered. CDOT University and the Innovative Contract Advisory Committee have been created by the department to ensure that critical skills and information be disseminated throughout the organization and outside the delivery of the individual project. Within CDOT University, professional trainers rather than construction project managers are charged with ensuring that dissemination. Oregon focus group participants highlighted the benefits of technology in helping to support transfer of important project information, with document and project management systems facilitating the exchange. Technology barriers imposed by statewide technology offices or rules (e.g. obligatory firewalls) were more easily overcome by consultants and could then be transitioned to staff, enabling the use of engineering document management and team collaboration systems to retain and transfer project‐specific information from consultants to the DOT. In Virginia, several participants highlighted the "ecosystem" of shared consultant and staff resources that help support delivery of projects. Individuals frequently transfer between VDOT and consulting firms, taking the skills they have acquired in both environments with them when they do – benefiting both the DOT and the consulting community. Both groups exchange ideas of mutual interest at an annual contractor forum. And on a recent project a senior construction inspector with VDOT experience was hired to play a mentoring role with the primary task of working with less experienced construction inspectors. Despite these examples, transferring knowledge from consultants to staff does not appear to be a formalized practice involving guidance or dedication of specific resources. Within the participating agencies, this is not perceived as a concerning problem or risk, especially when framed in the abstract. However, there are specific areas of opportunity and applied practice that should draw additional focus within this research. Virginia DOT Focus Groups In Virginia, two focus groups were conducted with VDOT staff. Supplemental telephone interviews were conducted following the focus group with consultants and contractors. Findings from the focus groups and private sector interviews are presented separately below. Focus Group Participants Group 1: Preliminary Engineering Group 2: Construction, Maintenance and Operations Topic 1: Knowledge of Value to Transfer Industry Best Practices Ability to innovate and come up with good solutions to unusual situations; Knowledge about design techniques that have been used in other states – for example, ways to eliminate bridge joints to make structures longer lasting and easier to maintain; Knowledge about different procurement approaches being used in other states;
|
From page 17... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 17 In Maintenance, VDOT central office staff is only "one level deep." Consultants are bringing expertise that VDOT staff does not currently have. While much could be learned from these consultants, the issue is capacity within VDOT to receive and make use of this knowledge. People/Judgement Skills In the Operations area, the work is very specialized and is currently 100% outsourced. Given rapid evolution of techniques and use of new technology, experience in other states brings a great deal of value. However, rapport and relationships are the key to making sure that work is properly managed and executed. Site and Project‐Specific Information: In Right‐of‐Way, of most value is specific information about properties that aren't visible – for example, the location of a septic system or the location of an underground gas tank on an agricultural or business site. In Construction standard processes are in place for capturing what happens on a project on a daily, weekly, and monthly basis – daily logs are completed to document everything. The same procedures are followed regardless of whether work is being done by internal or external staff. (Things aren't as formalized within the PE phase.)
|
From page 18... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 18 agreement and avoid a condemnation proceeding. (This risk is more related to transfer of knowledge from VDOT to consultants rather than the other way around.) Maintaining Control of Project Scope, Schedule and Budget Biggest risks are when there is insufficient communication between all parties on Scope, Schedule, and Budgets. Maintaining Objectivity In Operations, consultants are sometimes managing other consultants, which is a potential risk.
|
From page 19... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 19 Project Meetings and Reviews We conduct post project design quality reviews that include all the relevant parties (Preliminary Engineering, Right‐of‐Way, Bridge, and Construction Inspection) . The results of the review are documented in a standard format (Form LD‐433)
|
From page 20... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 20 forth between the public and private sectors. This may be a mitigating factor in reducing risk that might be associated with lack of knowledge transfer among the parties. For the most part outsourcing at VDOT is seen as an extension of internal staff – i.e., it is done to add capacity rather than add specialized expertise. Exceptions were noted however – for example, VDOT outsources the design of moveable structures because it does not maintain in‐house expertise in this area. VDOT also selectively outsources certain central office maintenance functions where in‐house staff expertise (and bandwidth) is not available. There was a brief discussion about the products of this study. Participants expressed preferences for a concise, to the point document with reusable templates (e.g., for lessons learned)
|
From page 21... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 21 Missed opportunities to reduce impact on traveling public – travel delay and safety impacts o Example: I‐495 HOT Lanes project – through open dialog, project team worked with stakeholders and got agreement to close down a bridge for a weekend in order to accelerate the construction. Saved time, money and inconvenience. Topic 3: Knowledge Transfer Techniques Agency/Consultant Relationship Building VTCA committee meetings – very helpful for relationship building. "We would be lost without it." Active committees include design‐build, bridge, and leadership. Would be helpful to send more District staff to these meetings.
|
From page 22... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 22 VDOT staffing very thin – have lost key "go to" people that could help to solve problems Less experienced agency staff who aren't as comfortable making decisions o Difficult to address this problem – industry‐wide issue attracting engineers who are willing to stay for a long time and learn ‐ "the best experience is experience" Lack of Receptivity Increased use of consultant designers – difficult to provide feedback that succeeds in improving practice (given that the design consultants will move on to other agencies)
|
From page 23... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 23 Understanding how to estimate and manage costs, handle quality and project controls, anticipate schedule snafus and avoid costly delays Personnel management and coordination of multiple contractors and stakeholders Contract negotiation (owner's representative consultants provided staff with this skill on innovative and complicated projects) The "softer" management skills are learned through experience, more difficult to transfer but are vital to effective project delivery.
|
From page 24... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 24 Loss of Advantage in Contract Negotiation Staff risks losing an advantage in contract negotiation when they don't have a full understanding of costs, budgeting, and scheduling. Maintaining Control of Project Scope, Schedule and Budget Escalation of project cost when consequences of delay are not understood.
|
From page 25... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 25 Innovative Contract Advisory Committee (ICAC) comprised of CDOT staff is intended to impart contracting knowledge as innovative projects arise.
|
From page 26... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 26 Lack of Support – through Policies, Processes and Tools Inconsistent language is a problem when resources on a project are not sharing a common understanding of the project. Lack of uniformity and formalization can be a barrier. If there is no process in place to ensure knowledge sharing, then it might not occur on its own. Automation and technology were noted as a barrier to knowledge transfer, due to the inherent loss of knowledge of process when technology takes over.
|
From page 27... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 27 Topic 1: Knowledge of Value to Transfer Program Management Program Management was the skill or capability most frequently noted by staff as of value to ODOT. This included activities involving more than a single project. o Bundling projects for efficiencies is an uncommon task for staff, often falling outside the authority of a single project manager.
|
From page 28... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 28 needed 4‐5 hours to analyze a single construction traffic scenario. With OBDP's tool, it took only minutes. Topic 2: Risks of Not Transferring Knowledge Financial risks and risks with significant potential cost implications were of greatest concern to ODOT. Loss of Efficiency and Consistency Costs would have varied in the design processes if ODOT did not have consultants overseeing consultants to ensure consistency. Maintaining Control of Project Scope, Schedule and Budget Suddenly escalating costs on steel and fuel were better managed by consultants.
|
From page 29... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 29 o An electronic document management system came out of OTIA, with a transition from boxes of paperwork to folks requesting electronic use of FileNet. o Started using tablets in the field that staff wholly rejected at first. Now used widely.
|
From page 30... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 30 Topic 4: Barriers and Constraints to Knowledge Transfer Time Limitations HR processes make it difficult to find time for folks who need to get trained to actually get trained. Lack of Receptivity Some staff resent that work is being consulted out.
|
From page 31... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 31 difficult for some participants to understand. For example in Colorado, one focus group was presented with the framework at the outset of the two‐hour discussion and struggled to provide insight or suggestions. On the other hand, the second group was presented with the framework at the conclusion of the discussion and was able to tie personal experiences and discussion highlights back to the framework. In general, focus group participants with significant job responsibilities that included professional development (e.g. trainers, human resources staff) better understood the framework and focus of this research than did participants charged primarily with delivering DOT projects. Additional findings from the focus groups to be considered for guidance development were: Connect to a broader perspective. The need for knowledge transfer from consultants was viewed as part of a larger need to address succession planning, professional development and knowledge transfer in general – including from staff‐to‐staff, consultant to staff, and consultant‐to‐consultant (transferring knowledge from one consultant to another who is taking on similar responsibilities)
|
From page 32... ...
Developing the Guide to Retaining Essential Consultant‐Developed Knowledge Within DOTs 32 Each need can be addressed through one or more of the three major types of knowledge capture and learning strategies shown in the columns: Mentoring and Interaction – one on one mentoring relationships between consultants and DOT staff, as well as group learning opportunities involving both consultants and staff Lessons Learned ‐ Capture of key project lessons as well as activities to ensure that these lessons are learned so that they can be applied to future work – e.g. "before‐action reviews" Documentation and Handoff Processes ‐ formalized documentation and handoff processes that ensure that essential information is highlighted and accessible to those who might need it. The framework recognizes that more than one strategy may be required to meet a given need. For example, mentoring and interaction would be the primary types of strategies to consider for developing seasoned engineers, though participation in efforts to identify and apply lessons learned would certainly play a supporting role in building their base of experience and knowledge. Table 1. Presentation Framework for Consultant Knowledge Capture and Learning Purpose/Need Strategies Mentoring & Interaction Lessons Learned Documentation & Handoff Processes Remembering what was done and why Retaining site‐ and project‐specific knowledge to inform future maintenance, operations, design, construction and customer liaison related to that project/location Improving future practice based on experience Avoiding repeat mistakes, identifying and replicating effective engineering, design and construction practices. Developing seasoned program managers and project engineers Building program and project management experience including negotiation, contractor oversight, stakeholder liaison, issue identification and resolution, schedule/scope/budget control.
|
Key Terms
This material may be derived from roughly machine-read images, and so is provided only to facilitate research.
More
information on Chapter Skim is available.