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43 Guide to Agency-Wide Knowledge Management for State DOTs Learning from Experience âThere is only one thing more painful than learning from experience, and that is not learning from experience." â Laurence J. Peter Transportation Agencies with KM Initiatives Table 6 provides brief descriptions of KM initiatives at federal and state transportation agencies. References and contacts (where available) are included for agencies wishing to ï¬nd out further information about implementation approaches and results. Table 6. KM Initiatives at Transportation Agencies Organization Description Contact/Reference Alaska DOT & Public Facilities Strategic workforce planning Information management in support of KM Amanda Holland, Division Operations Manager, Administrative Services - amanda.holland@alaska.gov Alberta Transportation Provincial KM framework and Leadership Development Program; âBusiness Knowledge and Coordination Unitâ within Traï¬ic and Safety Services Division Colleen Delany, Policy and Information Analyst - colleen.delany@gov.ab.ca http://www.pao.gov.ab.ca/learning/knowledge/fr amework.pdf Caltrans Knowledge transfer activities under the agencyâs risk management function, in support of workforce and succession planning Michelle Tucker, Chief Risk and Ethics Ofï¬cer â michelle.tucker@dot.ca.gov
44 Guide to Agency-Wide Knowledge Management for State DOTs Organization Description Contact/Reference Georgia DOT Communities of Practice; Succession Management Jeï¬ Conrad, HR Program Manager - jconrad@dot.ga.gov Kansas DOT Field Inspector Mentor Program Susan Barker, PE, Technology Transfer Engineer - SusanB@ksdot.org Missouri DOT Practical Design, Innovations Challenge, consolidated wiki-based policy and procedures manual, accelerated Leadership Development Program Kathy Harvey, Assistant Chief Engineer - Kathy.Harvey@modot.mo.gov Virginia DOT KM Ofï¬ce, Communities of Practice, Lessons Learned, Business Process Analysis Maureen Hammer, Knowledge Management Director - Maureen.Hammer@vdot.virginia.gov Washington State DOT Knowledge mapping, knowledge interviews, knowledge capture guidance, information management Leni Oman, Knowledge Strategist â loman@wsdot.wa.gov http://www.wsdot.wa.gov/NR/rdonlyres/77C67CC C-05B7-471D-B254-26AA362295CF/0/KMFolio.pdf Wisconsin DOT Guidance on low-cost KM techniques, AARs, process documentation Randy Sarver, Human Resources Director - randy.sarver@dot.wi.gov U.S.DOT Federal Aviation Admin. Communities of Practice, Learning Throughout the Project Life Cycle (FAA calls their activities âorganizational learningâ rather than âKMâ) Rick Wallace, Organizational Eï¬ectiveness Group Manager - rick.wallace@faa.dot.gov U.S.DOT Federal Highway Admin. Discipline Support System â focal point for workforce planning, collaboration, and learning & development Anne Audet, Director, Oï¬ce of Human Resources - Anne.Audet@dot.gov U.S.DOT Federal Transit Admin. Chief Knowledge Oï¬cer, Communities of Practice, After-Action Reviews, Knowledge Capture, Business Process Review/ Improvement, Knowledge Portal Susan Camarena, Chief Knowledge and Learning Oï¬cer â Susan.Camarena@dot.gov Arthur Dexter, Knowledge Resources Manager - Arthur.Dexter@dot.gov
45 Guide to Agency-Wide Knowledge Management for State DOTs Selected References Table 7 includes a selection of references on KM that are either related to speciï¬c transportation agency implementations, or that provide useful syntheses of practices likely to be of interest to transportation agencies. Table 7. Knowledge Management References ID Resource Type Year Link 1 NCHRP 20-68A â US Domestic Scan Program â Scan 12-04, âAdvances in Transportation Agency Knowledge Managementâ â Final Report Report 2014 http://www.domesticscan.org/wp- content/uploads/NCHRP20-68A_12- 04.pdf 2 Dexter, Arthur, âKnowledge Management and its Practice at the FTAâ Presentation 2014 http://www.nccaiim.org/Downloads /AIIM_dexter_20140109.pptx 3 FTA, âKM Strategy Overview â 1-pager 2013 http://1105govinfoevents.com/KM/ Conference/Camarena_FTA_KM_Str ategy_One_Sheet.pdf 4 Grant, Robert M., âThe Development of Knowledge Management in the Oil and Gas Industry,â Universia Business Review, 2013 (useful synthesis of KM strategies, metrics and lessons learned) Article 2013 http://ubr.universia.net/article/dow nload/895/1021 5 Alaska University Transportation Center research report: âKnowledge Transfer Needs and Methodsâ Report 2012 http://ine.uaf.edu/autc/ï¬les/2013/0 7/510009.Perkins.-FINAL.pdf 6 Caltrans Knowledge Transfer Guidebook Guide 2012 http://www.dot.ca.gov/docs/ct_kno wledge_transfer_guidebook.pdf 7 Cronin, Brian, et al., âKnowledge Management as Part of Strategic Workforce Development in Transportation Agenciesâ Research Paper 2012 http://docs.trb.org/prp/13-2705.pdf 8 Gibson, J. W., and C. Wallace, âOutsourcing and Its Impact on Knowledge Management: A Case Study of the Kentucky Transportation Cabinetâ Research Paper 2012 http://docs.trb.org/prp/13-1376.pdf 9 Wheeler, Anthony, âSuccession Planning in State Departments of Transportationâ Research Paper 2012 http://131.128.106.203/uritc- org/media/finalreportspdf/0003082 .pdf 10 Adams, Teresa, and E. Wittwer, âBest Practices in Guidance for Workforce Transition and Succession Planning,â WisDOT 0092-10-15, CFIRE 04-03 â includes WisDOT Guide to Knowledge Management Guide 2011 http://wisdotresearch.wi.gov/wp- content/uploads/WisDOT-Policy- Research-0092-10-15-final- report.pdf
46 Guide to Agency-Wide Knowledge Management for State DOTs ID Resource Type Year Link 11 Garder, Peter, and T. Sandford, âInstitutional Memories of Road Design,â New England University Transportation Center Report 2011 http://utc.mit.edu/uploads/UMEE 21-15%20FP.pdf 12 ICF International, âNCHRP Report 685: Strategies to Attract and Retain a Capable Transportation Workforce,â TRB Report 2011 http://onlinepubs.trb.org/onlinep ubs/nchrp/nchrp_rpt_685.pdf 13 Kingsley, Gordon, J. Knox-Hayes, and J. Rogers, âDeveloping Strategic Systems Supporting Communities of Practice in the Georgia Department of Transportation,â Georgia Institute of Technology, prepared for Oï¬ce of Materials and Research, Georgia DOT Report 2011 https://www.dot.ga.gov/doingbu siness/research/Documents/1005 .pdf 14 Perkins, R. A., âServing Future Transportation Needs: Succession Planning for a State Department of Transportation Organization, Its People & Mission,â University of Alaska Report 2011 http://ine.uaf.edu/autc/ï¬les/201 2/05/309038.Perkins.-Final- Report.pdf 15 Wittwer, Ernie, and T. Adams, âLow-Cost Knowledge Management Techniques for Use in a Changing Workforce,â TRB 90th Annual Meeting Compendium of Papers DVD Research Paper 2011 http://trid.trb.org/view/2011/C/1 092338 16 Brown, Shane, âOrganizational Network Analysis for Two Networks in the Washington State Department of Transportation,â Report No. WA-RD 754.1, Washington State Transportation Center (TRAC) Report 2010 http://www.wsdot.wa.gov/resear ch/reports/fullreports/754.1.pdf 17 CTC & Associates, LLC, âKnowledge Management in the Transportation,â prepared for the WisDOT Research and Library Unit Literature Review 2010 http://wisdotresearch.wi.gov/wp- content/uploads/tsrknowledgem anagement1.pdf 18 Camarena, Susan, âKnowledge Management in FTA,â presentation at 2009 Ohio Transportation Engineering Conference Presentation 2009 http://www.dot.state.oh.us/engi neering/OTEC/2008%20Presentat ions/35B.pdf 19 Novack, Michael J., and Maureen Hammer, âTacit Knowledge Transfer in a State Transportation Agency, Ohio Transportation Engineering Conference Research Paper 2009 https://www.dot.state.oh.us/engi neering/OTEC/2008%20Presentat ions/35A.pdf 20 Oman, Leni, âTransportation Knowledge Networks,â presentation at 2009 AASHTO Information Systems Conference Presentation 2009 http://www.wsdot.wa.gov/partne rs/aashtois2009/images/Presenta tions/TransportationKnowledgeN etworks.pdf
47 Guide to Agency-Wide Knowledge Management for State DOTs ID Resource Type Year Link 21 Spy Pond Partners, LLC, âNCHRP Report 636: Tools to Aid State DOTs in Responding to Workforce Challenges,â TRB Report 2009 http://onlinepubs.trb.org/onlinepubs/ nchrp/nchrp_rpt_636.pdf 22 Ward, Maryanne, âNCHRP Synthesis 365: Preserving and Using Institutional Memory Through Knowledge Management Practices,â TRB Report 2007 http://onlinepubs.trb.org/onlinepubs/ nchrp/nchrp_syn_365.pdf 23 Lamont, Judith, âTransportation: Communities of Practice Leverage Knowledge,â KM World, July 7, 2006 Article 2006 http://www.kmworld.com/Articles/Ed itorial/Features/Transportation- Communities-of-practice-leverage- knowledge-16905.aspx 24 Chang-Albitres, Carlos and Paul E. Krugler, âA Summary of Knowledge Management Information Gathered from Literature, Web Sites and State Departments of Transportation,â Project 0-4505, Texas Transportation Institute Literature Review 2005 http://d2dtl5nnlpfr0r.cloudfront.net/t ti.tamu.edu/documents/0-4505- P1.pdf 25 Liebowitz, Jay. âA knowledge management implementation plan at a leading US technical government organization: a case study.â Knowledge and Process Management 10.4, John Wiley & Sons (2003): 254-259 Article 2003 http://onlinelibrary.wiley.com/doi/10.1 002/kpm.184/abstract 26 Sutcliffe, K.M. & Vogus, T.J., (2003). Organizing for Resilience. In Cameron, K., Dutton, J.E., & Quinn, R.E. (Eds.), Positive Organizational Scholarship. San Francisco: Berrett-Koehler. Chapter 7 pp: 94-110 Article 2003 http://cpor.org/ro/sutcliï¬e- vogus%282003%29.pdf 27 Department of the Navy Chief Information Oï¬cer, âMetrics Guide for Knowledge Management Initiativesâ Guide 2001 http://cloud.snappages.com/b8898dc 2c08e137d03449de65b9e82e108c156 58/metricsguide.pdf 28 Derr, K.T., âManaging Knowledge the Chevron Way.â Speech given at Knowledge Management World Summit. San Francisco, California. Article 1999 http://www.chevron.com/chevron/spee ches/article/01111999_managingknow ledgethechevronway.news 29 Fahey, L. & Prusak, L. (1998). The Eleven Deadliest Sins of Knowledge Management. California Management Review, 40(3), 265- 276 Article 1998 http://www.comp.dit.ie/dgordon/cours es/researchmethods/Countdown/11Dea dliestSi ns.pdf 30 Federal KM Working Group Web Site NA https://sites.google.com/site/fmwgro upnasa/home
48 Guide to Agency-Wide Knowledge Management for State DOTs ID Resource Type Year Link 31 Knowledge Sharing Toolkit (ICT-KM Program, World Bank/CGIAR) Web Site NA http://www.kstoolkit.org/ 32 âKnowledge Management in Government Organizationsâ online course via the United Nations Pan American Network Online Training Center (Introduction to KM) Web Site NA http://www.unpan.org/DPADM/E Learning/OnlineTrainingCentre/ta bid/1458/language/en- US/Default.aspx 33 KMWorld monthly newsletter/magazine Newsletter NA http://www.kmworld.com
49 Guide to Agency-Wide Knowledge Management for State DOTs Glossary This glossary includes terms related to KM. Where possible, deï¬nitions from existing sources were utilized. In some instances, minor wording changes have been made to enhance clarity and precision. The following sources are cited as appropriate: ⢠AIIM - Association for Information and Image Management Glossary: http://www.aiim.org/community/wiki/view/glossary ⢠IRMT - International Records Management Trust (IRMT) Glossary of Terms: http://www.irmt.org/documents/educ_training/term%20modu les/IRMT%20TERM%20Glossary%20of%20Terms.pdf ⢠ANSI/NISO Z39.19 - Guidelines for the Construction, Format, and Management of Monolingual Controlled Vocabularies (2005) ISBN: 1-880124-65-3 is p. 157-167: http://www.niso.org/apps/group_public/download.php/12591 /z39-19-2005r2010.pdf ⢠SAA - Society of American Archivists Glossary: http://www2.archivists.org/glossary ⢠OMB Circular A-130: http://www.whitehouse.gov/omb/circulars_a130_a130trans4/ ⢠W3C â W3C Data Catalog Vocabulary - http://www.w3.org/TR/vocab-dcat/#class--dataset Where no reference is noted, deï¬nitions were developed by the authors, based on review of multiple existing sources. A number of other professionals have been invited to suggest terms that should be included and to review the deï¬nitions, including members of the NCHRP project panels and standing committees of the Transportation Research Board. However, responsibility for these deï¬nitions and any errors they may contain remains with the authors. We invite your comments. Catalog. An organized, searchable, annotated list of content objects in a collection. Example: the National Transportation Library Catalog. Content. Information that has been packaged in a format suitable for retrieval, re-use and publication. Content includes documents, data sets, web pages, image ï¬les, email, social media posts, video ï¬les, audio ï¬les and other rich media assets. (Source: adapted from AIIM) Content Management. The process of establishing policies, systems and procedures in an organization in order to oversee the systematic
50 Guide to Agency-Wide Knowledge Management for State DOTs creation, organization, access and use of content. Content Management is a subset of Information Management. (Source: adapted from IRMT) Content Object. An individual unit of content that may be described for inclusion in an information retrieval system, website, or other information source. A content object can itself be made up of content objects. Examples: Both a website and an individual web page; a journal and an article in the journal. A content object may also include metadata. (Source: adapted from ANSI/NISO Z39.19) Data. Representation of observations, concepts or instructions in a formalized manner suitable for communication, interpretation or processing by humans or computers. Examples: a crash record, pavement roughness measurements. (Source: adapted from AIIM) Data Set. A collection of data made available for access or download in one or more formats. Examples: a stateâs crash records for a single year, a database with roughness measures for pavement segments on the state highway system. (Source: adapted from W3C) Document. Recorded data or information ï¬xed in any media, which can be treated as a self-contained unit. May consist of one or more content objects. Examples: A strategic highway safety plan; a DOT transportation asset management plan. (Source: adapted from AIIM and SAA) Explicit Knowledge. In contrast with Tacit Knowledge, this is Knowledge that has been codiï¬ed and represented in a usable form. Examples: manuals, checklists, training videos. Index. List of the contents of a ï¬le, document or collection of content objects together with keys or references for locating the contents. (Source: adapted from AIIM) Information. Presentation of data to facilitate interpretation or understanding; may include textual, numerical, graphic, cartographic, narrative, or audiovisual forms. Examples: Map of high crash locations, trend line showing changes in pavement roughness over time, (Source: adapted from AIIM and OMB Circular A-130) Note: the term âinformationâ is frequently used to refer generally to both raw data and processed or packaged data. Information Life Cycle. The stages through which information passes, typically characterized as creation or collection, processing, dissemination, use, storage, and disposition. (Source: OMB Circular A- 130)
51 Guide to Agency-Wide Knowledge Management for State DOTs Information Management. The means by which an organization (e.g., a department of transportation) eï¬ciently plans, collects, creates, organizes, uses, controls, stores, disseminates, disposes of information and ensures that the value of that information is understood and fully exploited. Keyword. One of a small set of words used to characterize the contents of a document for use in retrieval systems. May also be referred to as a âTag.â (Source: adapted from SAA) Knowledge. The basis for a personâs ability to take eï¬ective action or make an eï¬ective decision, built over time through education, work experience and interactions. Examples: a safety professionalâs understanding of what countermeasures would be appropriate in diï¬erent situations, a pavement engineerâs understanding of the underlying causes for pavement deterioration in a given location. Knowledge Attrition Profile. A workforce analysis output used to understand potential future knowledge gaps in an organization. The proï¬le (1) identiï¬es key employees in each business area â i.e., those with specialized or unique expertise, and (2) estimates the likelihood of these individuals retiring within the next 2, 5 and 10 years. Knowledge Capture. The process of converting tacit knowledge from individuals into an explicit form that is available to others. Examples: documents or videos. Knowledge Management. An umbrella term for a variety of techniques for building, leveraging and sustaining the know-how and experience of an organizationâs employees. Knowledge Transfer. Techniques for disseminating tacit knowledge and explicit knowledge across individuals and/or work units. Metadata. Data describing context, content and structure of documents and records and the management of such documents and records through time. Literally, data about data. (Source: adapted from AIIM/ISO 15489) Portal. An entry point, especially a web page, that provides access to information from a variety of sources and that oï¬ers a variety of services. (Source: SAA) Search Engine. A coordinated set of programs for âspidering,â indexing and querying content available on the World Wide Web. The spidering program âcrawlsâ the web and creates a list of available pages, using the hypertext links available on each page. The indexing program creates indices based on the words and phrases included in
52 Guide to Agency-Wide Knowledge Management for State DOTs each content object. The query program accepts a search request and returns a set of matching results from an index, sorted using an algorithm that seeks to present the results that will be most relevant to the user based on factors including match with search term, currency, geographic location, source authority, etc. Tacit Knowledge. Know-how, insight, judgment and intuition that an individual has gained through education and experience and brings to bear in problem solving and decision making; tacit knowledge has not been captured and represented in explicit form.
53 Guide to Agency-Wide Knowledge Management for State DOTs Additional Resources This ï¬nal section of the guide includes a set of templates, examples, and additional references for KM implementation. It is organized according to the four major categories of KM Elements presented in Table 1. 1. KM Leadership & Direction Resource 1-1: Sample KM Assessment Tool Resource 1-2: Virginia DOT KM Strategy Document Links 2. Social Learning & Communities Resource 2-1: Sample Communities of Practice Charter Template Resource 2-2: Life Cycle Model for Communities of Practice Resource 2-3: Community of Practice Roles and Responsibilities Links 3. Knowledge Codification & Dissemination Resource 3-1: Sample After-Action Review Template Resource 3-2: Creating Lessons LearnedâGuidance from VDOT Resource 3-3: Sample Lesson Learned from the Virginia DOT Links 4. Succession & Talent Management Resource 4-1: Guidance for Cross-Generational Mentoring Programs Resource 4-2: Sample Desk-Side Review Interview Questions Links
54 Guide to Agency-Wide Knowledge Management for State DOTs 1. KM Leadership & Direction Resource 1-1. Sample KM Assessment Tool Introduction A key part of developing a KM strategy is to ï¬nd out how people gain access to and share knowledge throughout the organization. This survey seeks to gather fairly detailed information about the ways in which you access, share and use knowledge resources in your work. In answering the questions below, please keep in mind the following: answer for yourself, not how you think someone else in your job might answer; answer for how you actually work now, not how you wish you worked or think you should work. We expect that some questions will require you to think carefully about the nature of the tasks you perform and how you interact with people both inside and outside the organization day-to-day. Carefully completing this survey will probably take about 20 minutes. We appreciate your eï¬ort in helping us meet a strategic goal designed to make the organization more eï¬ective and to make it easier for all of us to do our jobs on a daily basis. Please forward your completed survey to ______ via email _________ by ______. Thank you! Please provide the following information: Name: _____________________________________________________ Which division are you a part of: __________________________ How long have you been a full-time employee in the organization? Less than 6 months 6 months â less than 1 year 1 year â less than 3 years 3 years â less than 5 years More than 5 years
55 Guide to Agency-Wide Knowledge Management for State DOTs In the course of doing your job, which resource do you most often turn to ï¬rst when looking for information? (please check only one) Email or talk to a colleague in the organization Email or talk to a colleague who works outside the organization Do a global web search (for example, Google, Yahoo) Go to a known web site Search on-line organization resources (for example, Intranet) Search through documents/publications in your oï¬ce Post a message on a listserv/on-line community to which you belong Ask your manager for guidance based on his/her experience Other (please specify) __________________________ What would be your second course of action from the above list? Think about the times when youâve been really frustrated by not having a critical piece of knowledge or information you needed to get something done at the organization. Give an example, including the nature of the challenge and how the need eventually was met.
56 Guide to Agency-Wide Knowledge Management for State DOTs Knowledge Resources How often on average do you use each of the following in your job? List up to 5 resources (hard copy or web-based) that you use to perform your job and indicate how often you use them. These resources can be journals, magazines, newsletters, books, web sites, and so forth. Daily Weekly Monthly Quarterly Never Organization-wide database Organization-operated web site (e.g., intranet) Department- or division-operated database (e.g., shared calendar) My own database or contact list ï¬le Organization policy/ procedures manual or guidelines Department- or division-speciï¬c procedures manual or guidelines Vendor-provided procedures manual or guidelines My own notes or procedures Daily Weekly Monthly Quarterly 1. 2. 3. 4. 5.
57 Guide to Agency-Wide Knowledge Management for State DOTs How often on average do you ask each of the following staï¬ for help with understanding or clarifying how you are to perform your job, solving a problem, getting an answer to a question from a customer or learning how to accomplish a new task? Daily Weekly Monthly Quarterly Never Your immediate supervisor Your department head Your division head Subject matter expert (in an area of policy, practice or research) Technical or functional expert (e.g., accounting, legal, contracts administration, technology) A peer or colleague in your department or division (informal) A peer or colleague outside your department or division (informal)
58 Guide to Agency-Wide Knowledge Management for State DOTs Name the top three people, in order, to whom you go when you have questions or seek advice in the following areas: List up to ï¬ve experts outside the organization whom you access to do your job. For each one, please indicate how often on average you contact them. Daily Weekly Monthly Quarterly 1 2 3 4 5 One Two Three General advice Management and leadership knowledge/advice Subject matter expertise/content knowledge Institutional/historical knowledge about the foundation Technical/procedural knowledge
59 Guide to Agency-Wide Knowledge Management for State DOTs Knowledge Use Which of the following do you usually use and/or perform (that is, on a daily or weekly basis) in doing your job? (check all that apply) Data or information from a known source (e.g., database, ï¬les) you have to retrieve to answer a speciï¬c question Data or information you have to gather yourself from multiple sources and analyze and/or synthesize to answer a speciï¬c question Instruction (step-by-step) you provide (that is, not a document) to a customer, vendor, or staï¬ person Direction you provide to a customer, vendor, or staï¬ person (such as advice, counsel or guidance, not step-by-step) Judgments or recommendations you are asked to make based on data or information that is given to you Judgments or recommendations you are asked to make based on data or information that you must ï¬nd yourself Routine procedure or process for handling information, paperwork, requests, payments, invoices, and so forth (always done the same way) Variable procedure or process for handling information, paperwork, requests, payments, invoices, and so forth (requires some analysis and judgment to select the proper procedure or process to follow) Reports, memoranda, letters, or informational materials for customers, vendors, or staï¬ that you must compile and/or write. Educational or promotional materials that you must compile and/or write Proposals you develop to recommend new programs, projects, procedures, or processes After you have received, gathered, or produced information, instructions, documents, proposals, etc., and completed the task, what do you do with them? (check all that apply) Save them in an electronic ï¬le in my personal directory Save them in an electronic ï¬le in a shared directory (e.g., intranet) Save them in a personal paper ï¬le Save them in a secure departmental paper ï¬le Save them in an open departmental paper ï¬le Share them or distribute them to others Delete or toss them Other (please specify) _________________________________________________
60 Guide to Agency-Wide Knowledge Management for State DOTs Knowledge Sharing When you come across a news item, article, magazine, book, Web site, announcement for a meeting or course, or some other information that may be useful to other organization staï¬, what are you most likely to do? (check only one) Tell them about it or distribute a copy to them personally Post an announcement on the intranet Send a broadcast email Send a memo or a copy through the interoï¬ce mail Intend to share it but usually too busy to follow through Include it in the weekly update Ignore it Other (please specify) _________________________________________________ What are the constraints you face in being able to access or share knowledge? What critical knowledge is at risk of being lost in your department or division because of turnover and lack of back-up expertise?
61Guide to Agency-Wide Knowledge Management for State DOTs Training/Tools When you want to learn or improve a skill or task, what do you prefer to do? (check all that apply) Get formal face-to-face training or course work outside the work place Get formal self-directed training (e.g., workbook, CD-ROM, online course) Have a specialist train me on-site Train myself (informally, using a manual or tutorial program) Have my supervisor show me how to do it Have a friend or colleague show me how to do it Other (please specify) ______________________________________________ What kind of tools or resources do you prefer to help you do your job? (check all that apply) Person I can talk to in real time Help line or help desk via phone, fax, or email Advice via online communities of practice (on the intranet, list serves, or other sources) Printed documents (for example, resource books, manuals) Electronic documents Audiovisual/multimedia material Special software Web-based utility, directory, or service Other (please specify) _______________________________________________
62 Guide to Agency-Wide Knowledge Management for State DOTs Knowledge Needs What information or knowledge that you donât currently have would you like to have to do your job better? Consider all aspects of your job, including administrative tasks, policies and procedures, interpersonal relationships, and so forth. What information or knowledge that the organization currently does not have do you think it should or will need to have to execute its mission, improve organizational effectiveness, and serve its customers with excellence? (You may answer for speciï¬c departments as well as for the organization as a whole.) To what extent do you agree with the following statements: Strongly disagree Disagree No opinion Agree Strongly agree I would beneï¬t from having access to documents that contain introductory knowledge that I currently have to acquire from experts directly. I would beneï¬t from templates to help me more easily capture knowledge (e.g., standard format for documenting what I learned at a conference or meeting). I would beneï¬t from processes to help me contribute knowledge that I donât currently document or share.
63 Guide to Agency-Wide Knowledge Management for State DOTs Strongly disagree Disagree No opinion Agree Strongly agree I would beneï¬t from support to determine the most relevant knowledge to share for various audiences and how best to share it. I have knowledge in areas that I know the organization could beneï¬t from but no way to make it available. Knowledge Flow Imagine that youâve just won the ï¬rst organization Knowledge Sharing Award. This award is given to a person who shares his or her mission- or operation-critical knowledge so that the organization can be more eï¬ective. List the top ï¬ve categories of knowledge that earned you this award and the category of staï¬ with whom you shared it. Knowledge Category Staï¬ Category 1. 2. 3. 4. 5.
64 Guide to Agency-Wide Knowledge Management for State DOTs How can the knowledge ï¬ow in your area of responsibility be improved? Additional Comments Thank you for taking the time to complete this survey! Source: Liebowitz, J. (2008), Making Cents Out of Knowledge Management, Scarecrow Press/Rowman & Littleï¬eld, Lanham, MD.
65 Guide to Agency-Wide Knowledge Management for State DOTs Resource 1-2. Virginia DOT KM Strategy Document KM, Defined KM provides applied Business Research and Analysis for VDOT. An institution is a formal organization of people who know how to provide a speciï¬c service or function. For example, VDOTâs primary functions are to build, maintain, and operate the roadway system, and it has a rich tradition where people develop deep expertise to do so over decades. To support this primary mission, VDOT has also developed ways to ⢠Train people both formally and informally, ⢠Provide logistical support, ⢠Manage ï¬nances, ⢠Negotiate with the public, ⢠Work with outside contractors, ⢠Partner with other agencies, ⢠Comply with local, state, and federal regulations, ⢠Conduct research, and more. Each of these activities also requires a specialized knowledge discipline, and, in an organization that is divided into both divisions and regional areas of responsibility, the manner in which those diverse knowledge disciplines interact grows exceedingly complex, even conï¬icted. Handling this complexity and minimizing conï¬ict requires the institution to manage two things simultaneously, information and knowledge. These are often treated as the same thing because of the way they interact, but it is important to understand that they are diï¬erent things, with speciï¬c properties, and therefore present diï¬erent challenges and require diï¬erent support structures and management strategies. Information is captured in documentation and stored in all manner of media, from sticky notes to libraries and databases. Information Management (IM) emphasizes ï¬ndability, accessibility and accuracy. Knowing resides only within the person. KM is supported by technology, but focuses on people and emphasizes understanding, collaboration, and choice. If we only needed information to get things done, then institutions would just need manuals and procedures, but it takes more than information to perform a function, particularly one as complex as
66 Guide to Agency-Wide Knowledge Management for State DOTs VDOTâs; it takes people who not only know what to do and how to do it, but why to do it a particular way. Understanding, negotiating, and fostering these ways of knowing to improve institutional eï¬ectiveness and eï¬ciency may be described as KM. Ultimately, KM may be deï¬ned as an eï¬ort to develop self-awareness in a corporate context, and on an institutional scale. The beneï¬t of developing a KM program along these lines is that once self-awareness is institutionalized it becomes part of the way people know their work. Together, IM and KM may be seen as an interactive spectrum of activities. IM deals primarily with questions like who, what, when, where, and how? KM deals primarily with why?
67 Guide to Agency-Wide Knowledge Management for State DOTs Of course, we need all the informational details to do our jobs, but people work best when they know that what they are doing and how they are doing it matters, and that means they need to know why. Why are we doing this? Why are we doing it this way? VDOT KM Techniques Communities of Practice (CoPs) CoPs support the transfer of tacit knowledge from one employee to another through project teams for increased eï¬ciency and eï¬ectiveness. They work to create intra-agency networks and share best practices that have resulted in new tools and changes in processes â for engineers, they can create an atmosphere that fosters the solving of similar problems. VDOT has been employing the use of CoPs since December of 2003. Since that time there have been approximately 70, with some having a ï¬nite beginning and end and some extending over a long amount of time. There are CoPs managed directly by the KM while others can self-manage, keeping KM informed. CoPs span geographic regions, use dialogue and learning to ensure agency consistency, and foster innovation through the discovery of new ways to perform functions and obtain results. The intention of an exercise such as a CoP is to better the agency as a whole through employee communication. Knowledge Mapping Knowledge mapping is used to help identify areas of need for succession planning and to build networks. This tool is used on a case- by-case basis and can take diï¬erent forms, such as a network analysis map or a matrix. KM employs this method at the request of executives and it is used in reference to speciï¬c knowledge areas Lessons Learned Initiatives The Lessons Learned Initiative was formalized with VDOTâs Construction Quality Managers in 2007. A CoP was established speciï¬cally to encourage a culture of sharing knowledge by construction ï¬eld staï¬. Its purpose was to capture lessons from previous experiences that are shared across VDOT; moving tacit knowledge to documented explicit knowledge for future use. The CoP reviewed the lessons for best practices that resulted in changes in processes, procedures, and contract language. At this time, 176 physical Lessons Learned documents have been produced from these learning sessions, spanning a wide array of topics. Of these documents, 100 were written and distributed by a single unit of engineers. These are now archived and were created prior to the formalization of the Lessons Learned Initiative and therefore were not
68 Guide to Agency-Wide Knowledge Management for State DOTs peer reviewed. The remaining 76 documents were peer-reviewed by multiple functions throughout the agency to ensure accuracy prior to publishing. Fifty-eight are current and 18 archived. Process Mapping KM uses a standard process that brings together experts to help map out processes and provides supporting documentation for the map that clearly outlines steps and accountability. The maps attach processes across separate functions, providing a clearer picture of how VDOT operates and documents methods for sharing knowledge. Electronic Access The VDOT Research Library provides access to resources with a focus on electronic access. VDOT has a state-of-the-art library catalog and access to several transportation- and business-related databases (such as the National Technical Reports Library with more than 500,000 articles and Books24x7 with more than 18,000 books). Related links KM Strategy (full version): http://polaris.umuc.edu/de/csi/2010_JayLiebowitz/ppt_syn/K MStrategy/KMStrategy_full_version.html
69 Guide to Agency-Wide Knowledge Management for State DOTs 2. Social Learning & Communities Resource 2-1. Sample Community of Practice Charter Template Community Name: (Identify the name of the community, e.g., Logistics CoP) Community Membership/Audience: (Identify the functional types that the community is targeting or is trying to attract) Community Purpose/Intent: (Identify the purpose/intent of the community) Community Scope: (Identify the speciï¬c areas/issues that the community is interested in addressing) Community Roles: (Identify by name the individuals who are ï¬lling roles) Sponsor:_________________________ Leader/Facilitator: __________________________ Content Editor: ____________________ Critical Business Issues: (Identify the critical business issues faced by the community) Resources: (Identify the resources required to support the community â e.g., meeting space, videoconferencing, facilitation services, online portal or wiki, etc.) Measures of Success: (Identify how the community deï¬nes success and how this will be evaluated and reported)
70 Guide to Agency-Wide Knowledge Management for State DOTs Resource 2-2. Life Cycle Model for Communities of Practice Source: Adapted from E. Wenger, R. McDermott, and W. Snyder, A Guide to Managing Knowledge: Cultivating Communities of Practice, Harvard Business School Press, Boston, 2002. â¢Loose network of people with similar issues and needs 1. Discovery â¢Members come together and launch a community 2. Coalescing â¢Forms an identity, takes charge of its practice and grows 3. Maturing â¢Sustains energy, renews interest, educates novices, gains inï¬uence 4. Stewarding â¢Community has outlived its usefulness and people move on 5. Legacy
71 Guide to Agency-Wide Knowledge Management for State DOTs Resource 2-3. Community of Practice Roles and Responsibilities Community Sponsor or Champion Bolsters community membership by spreading the word Provides resources for expansion and usually âsponsorsâ the community leader and facilitator roles in the community Community Leader Organizes and coordinates start-up activities Assists community development by establishing and articulating community purpose and strategic intent Provides continuous nourishment for the community Acts as a sounding board for ideas Subject Matter Expert (SME) Enriches information by summarizing, combining, contrasting, and integrating it into the existing knowledge base Content Editor Responsible for content within his or her respective area(s) Works with SMEs to identify and map critical knowledge objects and to develop logical organization of content, making it readily available and easily accessible to members Facilitator Fosters and facilitates member interactions Ensures that community forums are productive for all members by acting as an independent community process expert Seeks out potential content contributions Serves as a knowledge broker Community Member Members participate because they get value from their participation Shares knowledge, experiences, and lessons learned Suggests contributions Participates in discussions, answers questions Source: Based on: Defense Acquisition University, Community of Practice Implementation Guide: https://acc.dau.mil/adl/en- US/170879/ï¬le/31851/CoP_Guide_v4_May2012.pdf
72 Guide to Agency-Wide Knowledge Management for State DOTs Related links: FHWA Discipline Support System â presentation: http://ashr.transportation.org/Documents/FHWA%20Knowledg e%20Management%20Discipline%20Support%20System.pptx Defense Acquisition University, Community of Practice Implementation Guide: https://acc.dau.mil/adl/en- US/170879/ï¬le/31851/CoP_Guide_v4_May2012.pdf Educause Community of Practice Design Guide: http://net.educause.edu/ir/library/pdf/nli0531.pdf Wenger, Etienne, B. Trayner, M. de Laat, âPromoting and Assessing Value Creation in Communities and Networksâ: http://wenger-trayner.com/wp-content/uploads/2011/12/11- 04-Wenger_Trayner_DeLaat_Value_creation.pdf Centers for Disease Control Community of Practice Resources: http://www.cdc.gov/phcommunities/resourcekit/resources.html Video: Social Network Analysis: http://polaris.umuc.edu/de/csi/2010_JayLiebowitz/ppt_syn/KM SocialNetwork/KMSOcialNetwork_full_version.html
73 Guide to Agency-Wide Knowledge Management for State DOTs 3. Knowledge Codification & Dissemination Resource 3-1. Sample After-Action Review Template Project/Milestone: ______________________________________________________ Date of Review: ______________________________________________________ Recorded By: ______________________________________________________ What went right? ________________________________________________________ ________________________________________________________ ________________________________________________________ ________________________________________________________ What went wrong? ________________________________________________________ ________________________________________________________ ________________________________________________________ ________________________________________________________ How do we ï¬x things to be sure that they donât go wrong again? ________________________________________________________ ________________________________________________________ ________________________________________________________ ________________________________________________________
74 Guide to Agency-Wide Knowledge Management for State DOTs Resource 3-2. Creating Lessons Learned â Guidance from VDOT How to Produce a Lesson Learned: Pointers and Tips to Make the Process Work Creating a Lesson First of all remember, you are the expert! You do the work. Your knowledge and experience are valuable assets to VDOT, particularly if you are good at your job and can share ways to do what you do better. In choosing a lesson, pick a topic that is worthwhile to be shared with people who work in your area of expertise. The lesson can be a description of a more eï¬cient way to accomplish a job, can be shared information about a new process, standard, or speciï¬cation that is required, or even can be in the form of a warning of how best to avoid a common mistake. Whatever the topic, stay focused on the lesson and how it can beneï¬t those to whom it is directed. You want to convey the information in the quickest, simplest, and most direct manner. Using the Process Form a peer group to discuss lessons. Get feedback from the people with whom you work to bring forth and validate lesson ideas. Get their input. Your peers can help you keep focus and can and will contribute ideas and resources to improve your lesson, but only if you ask for their assistance. Include colleagues from other divisions or work units with whom you interact in the work on the lesson topic. A big part of the lesson is the process used to create it. By involving others with whom you work to get their input and feedback and have them validate that the lesson is accurate and worthwhile, the lesson is reinforced within that peer group of experts and vetted for sharing with others. If you are not sure about something, ask the colleague(s) whom you recognize as the expert(s) on the topic of your question. Avoid policy, human resources, or legal issues unless you set policy, work in HR, or provide legal advice to VDOT. Lessons are not forums for discussion of issues beyond your control. Stick with what you know in the ï¬eld in which you work.
75 Guide to Agency-Wide Knowledge Management for State DOTs The Lesson Document Write clearly and get to the point quickly. Explain as best you can as if you were telling someone the lesson. Have others read and review it to make sure what you write is accurate and understandable. Limit how much you write. More than two pages may be too many. If a diagram or photo can improve the lesson, use it. Use of photos or illustrations as examples can save a lot of writing. Use hyperlinks in the lesson so readers can go to sources that are cited and get more information from the source material immediately with a click. Create a template. If developing a group of lessons, create a template similar to the one used here (see Resource 3-3). The template helps provide focus and space for each element necessary to write a complete lesson; provides a framework for familiarity by readers; helps to limit lesson size; and includes repetitive elements like the title header at the top of page 2 and the disclaimer in the footer. List the lesson contributors so they may be contacted for questions regarding the lesson topic.
76 Guide to Agency-Wide Knowledge Management for State DOTs Resource 3-3. Sample Lesson Learned from the Virginia DOT
77 Guide to Agency-Wide Knowledge Management for State DOTs
78 Guide to Agency-Wide Knowledge Management for State DOTs For additional information related to Knowledge Codification and Dissemination, see: Video: Knowledge Retention: http://polaris.umuc.edu/de/csi/2010_JayLiebowitz/ppt_syn/ret ention_full_version.html NASA APPEL Knowledge Sharing Initiative: http://appel.nasa.gov/knowledge-sharing/ USAID After-Action Review Guide (Introduction/Technical Guide): http://pdf.usaid.gov/pdf_docs/pnadf360.pdf
79 Guide to Agency-Wide Knowledge Management for State DOTs 4. Succession & Talent Management Resource 4-1. Guidance for Cross- Generational Mentoring Programs In todayâs organizations there is a mixture of employees across multiple generations (e.g., Baby Boomers, Gen Xâers, Gen Yâers/Millennials, etc.). To maximize collaboration and communication, cross-generational mentoring is a critical component of developing a sound human capital strategy for the agency. This will allow knowledge, lessons learned, and best practices to be transferred across individuals with diï¬erent experiential backgrounds. Reverse mentoring (junior to senior), in addition to traditional mentoring (senior to junior) can be included as part of the cross-generational mentoring program. Based on the review of the literature, best practices, and industry reports regarding cross-generational mentoring, there are ï¬ve strategies that agencies can use to implement a successful cross-generational mentoring program: 1. Develop a formal mentor-mentee agreement with roles and responsibilities. 2. Apply a hybrid approach to mentoring with âformalâ classroom training and âinformalâ learning mechanisms. 3. Alternate meetings each month between formal classroom setting and meet-at-lunch get-together. 4. Build mentoring into the Recognize and Reward structure and annual performance review. This can be included as one of several learning and knowledge sharing proï¬ciencies considered as part of the annual review. 5. Encourage âreverse mentoringâ in technology-related areas with those Baby Boomers who are willing to be mentored by the Millennials. 1. Develop a Mentoring Agreement A standard mentoring agreement to use during the mentoring program typically contains the following [1]: The roles, responsibilities, and expectations during the program duration for a mentor and mentee; An action plan completion date; The number of times (frequency) the mentor and mentee will meet; A conï¬dentiality clause between the mentor and mentee;
80 Guide to Agency-Wide Knowledge Management for State DOTs Termination of agreement rules; and Signatures of both the mentor and mentee. This agreement can be included in oneâs Individual Development Plan [1]. It is also important to have evaluation points during the mentoring process. In 2010, the US Oï¬ce of Personnel Management mandated that Kirkpatrickâs model (Kirkpatrick Partners, http://www.kirkpatrickpartners.com) must be used by all federal agencies. In Kirkpatrickâs model, there are 4 levels of learning: Level 1: Reaction (engagement, relevance, customer satisfaction); Level 2: Learning (what was learned?); Level 3: Behavior (applied learning to on-the-job performance?); Level 4: Results (leading indicators, desired outcomes). Agencies should apply this model, or a similar one, to evaluate the eï¬ectiveness of their mentoring program at 6- to 12- month intervals during the mentoring process. Also, an orientation program should be created for both the mentor and mentee. Orientation is usually a half to a full day. It can include a workshop or session on tools and techniques to begin and enhance a mentoring relationship. Exercises during the orientation should allow mentors and mentees to practice the tools and techniques presented to them [1]. 2. Use Both Formal and Informal Learning Techniques The âformalâ classroom training could include âdoâs and donâtsâ through war stories/organizational narratives, hot topic tutorials, before/during/after-action reviews with case studies, group projects to encourage active learning and collaboration, and interactive computer-based simulations (to take advantage of the âvideo gameâ generation). âInformalâ learning mechanisms include online communities of practice (CoPs), Mentoring blogs, project team wikis; Knowledge Map on the intranet (FAQ Answers Documents Web sites People/Depts), use of e-learning and social networking sites, online video tutorials, Wikipedia for the agency, âagencyâ book (e.g., NASA has âSpacebookââFacebook for internal NASA employees), and online mentoring if in diï¬erent geographic locations. 3. Alternate Meetings Between Formal Classroom Setting and Meet-at-Lunch Get-Togethers The research shows that Millennials like both formal classroom training and informal learning approaches. Both approaches, per Recommendation Two, should be used. By alternating the formal- informal learning settings, this will capture the interests of the Millennials so the mentoring doesnât fall into a rut. The informal
81 Guide to Agency-Wide Knowledge Management for State DOTs learning mechanisms, as previously highlighted under Recommendation Two, should be utilized throughout the mentoring program to enhance the enthusiasm of the Millennials, per their collaborative and network-centric learning styles. This will also provide a continual mentoring and knowledge sharing process between not just the designated mentor and mentee, but through knowledge exchanges with other mentees, peers, and mentors at the agency. 4. Build Mentoring into the Recognition and Reward Structure and Annual Performance Review As an example, Merkle Inc. (one of the leading customer relationship marketing/data mining companiesâwww.merkleinc.com) started Merkle University as an internal mechanism to promote learning and knowledge sharing. Each employee, even the executives, must teach a certain number of hours within the internal Merkle University, as well as take a certain number of hours of courses from others within Merkle University. This requirement is part of the annual performance review process and is also built into the companyâs recognition and reward structure. According to the literature, extrinsic motivators (rewards) are temporary and intrinsic motivators (recognition) are more lasting and permanent. For the Millennials and others, recognition is often more important to them than actual rewards (although, rewards like getting time oï¬ from a day of work for good performance resonates well with the Millennials, too). Mentors and managers should send an email to their mentees and employees, respectively, within 24 hours of the mentee/employee doing something âgoodâ for the organization. In terms of recognition, Fluor, for example, celebrates its knowledge communities during its annual âKnowvemberâ campaign [2]. The World Bank has used learning and knowledge sharing proï¬ciencies as part of its annual performance review to promote a continuous learning organization. 5. Use Reverse Mentoring, Too When most organizations think of mentoring, they usually think of the senior (by age) employee mentoring the junior employee. However, there are various technology areas, for example, where the younger employee (Millennial) could mentor the older employee (Baby Boomer). Agencies should use both regular and reverse mentoring with the caveat that all parties must be willing to be engaged in either the regular or reverse mentoring. In all cases, there must be interpersonal trust and respect for mentoring to take place.
82 Guide to Agency-Wide Knowledge Management for State DOTs Companies like GE, Siemens, and Procter & Gamble use reverse mentoring widely, particularly in technology areas. If these ï¬ve strategies are followed, agencies should have an enhanced mentoring program that will take into account cross- generational mentoring issues and techniques. This will ultimately lead to creating and nurturing a knowledge sharing culture for building the next generation of agency engineers and managers and instilling continuous learning within the agency for organizational success. References 1. US Oï¬ce of Personnel Management (2008), Best Practices: Mentoring, Washington, DC, September. 2. Ball, K. and G. Gotsill (2011), Surviving the Baby Boomer Exodus: Capturing Knowledge for Gen X and Y Employees, Course Technology/Cengage Learning.
83 Guide to Agency-Wide Knowledge Management for State DOTs Resource 4-2. Sample Desk-Side Review Interview Questions 1. What are the top 10 questions people ask in your area? What documents are available to help answer these questions? What people could provide answers to these questions? 2. Please describe the main business processes used in your area. Then, provide some helpful hints/tips/lessons learned based on your experience in terms of navigating through each of these processes. 3. What is the most diï¬cult decision you have had to make in your current position? How did you reason through this process? 4. What are the top 5 lessons you have learned that you would want to pass on to your successor? 5. Knowing what you know now, if you could travel back in time to when you started in your current position, what advice would you have given yourself? 6. Talk aloud as you step through a typical scenario that involves an everyday type of decision that you need to make. This may be a reasoning process that takes 15 minutes or so to describe. 7. If you were developing a succession plan for your department, what are the critical components that you feel should be covered?
84 Guide to Agency-Wide Knowledge Management for State DOTs For additional information related to Succession & Talent Management, see: United States Oï¬ce of Personnel Management â Best Practices: Mentoring: https://www.opm.gov/policy-data-oversight/training- and-development/career-development/bestpractices- mentoring.pdf United States Oï¬ce of Personnel Management Practitionerâs Guide â Talent Management - http://www.opm.gov/policy-data- oversight/human-capital-management/reference- materials/practitioner%E2%80%99s- guide/talentmanagement.pdf Alberta Government Human Services, Succession Planning â Retaining Skills and Knowledge in Your Workforce: https://alis.alberta.ca/pdf/cshop/successionplanning.pdf
85 Guide to Agency-Wide Knowledge Management for State DOTs
86 Guide to Agency-Wide Knowledge Management for State DOTs
Abbreviations and acronyms used without definitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACIâNA Airports Council InternationalâNorth America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S.DOT United States Department of Transportation
TRA N SPO RTATIO N RESEA RCH BO A RD 500 Fifth Street, N W W ashington, D C 20001 A D D RESS SERV ICE REQ U ESTED ISBN 978-0-309-30887-8 9 7 8 0 3 0 9 3 0 8 8 7 8 9 0 0 0 0 N O N -PR O FIT O R G . U .S. PO STA G E PA ID C O LU M B IA , M D PER M IT N O . 88 A G uide to A gency-W ide K now ledge M anagem ent for State D epartm ents of Transportation N CH RP Report 813 TRB