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2018 T R A N S I T C O O P E R A T I V E R E S E A R C H P R O G R A M TCRP RESEARCH REPORT 194 Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation Subject Areas Public Transportation â¢ Education and Training Knowledge Management Resource to Support Strategic Workforce Development for Transit Agencies Candace Blair Cronin Allison Alexander Elora Majumdar Chelsey Thompson Brock Wolf ICF Fairfax, VA i n a s s o c i at i o n w i t h Ream Lazaro Valerie Lazaro Boyd Caton Group Charlottesville, VA
TCRP RESEARCH REPORT 194 Project F-23 ISSN 2572-3782 (Online) ISBN 978-0-309-44678-5 Â© 2018 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Transit Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report. TRANSIT COOPERATIVE RESEARCH PROGRAM The nationâs growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Cur- rent systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands. Research is necessary to solve operating prob- lems, adapt appropriate new technologies from other industries, and introduce innovations into the transit industry. The Transit Coopera- tive Research Program (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to meet demands placed on it. The need for TCRP was originally identified in TRB Special Report 213âResearch for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administrationânow the Federal Transit Administration (FTA). A report by the American Public Transportation Association (APTA), Transportation 2000, also recognized the need for local, problem- solving research. TCRP, modeled after the successful National Coop- erative Highway Research Program (NCHRP), undertakes research and other technical activities in response to the needs of transit ser- vice providers. The scope of TCRP includes various transit research fields including planning, service configuration, equipment, facilities, operations, human resources, maintenance, policy, and administrative practices. TCRP was established under FTA sponsorship in July 1992. Proposed by the U.S. Department of Transportation, TCRP was authorized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement outlining TCRP operating procedures was executed by the three cooperating organi- zations: FTA; the National Academies of Sciences, Engineering, and Medicine, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research organization established by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) Committee. Research problem statements for TCRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the TOPS Committee to formulate the research program by identi- fying the highest priority projects. As part of the evaluation, the TOPS Committee defines funding levels and expected products. Once selected, each project is assigned to an expert panel appointed by TRB. The panels prepare project statements (requests for propos- als), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooperative research programs since 1962. As in other TRB activities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired effect if products fail to reach the intended audience, special emphasis is placed on disseminat- ing TCRP results to the intended users of the research: transit agen- cies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. APTA will arrange for workshops, train- ing aids, field visits, and other activities to ensure that results are imple- mented by urban and rural transit industry practitioners. TCRP provides a forum where transit agencies can cooperatively address common operational problems. TCRP results support and complement other ongoing transit research and training programs. Published research reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Boardâs varied committees, task forces, and panels annually engage about 7,000 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. Learn more about the Transportation Research Board at www.TRB.org.
C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR TCRP RESEARCH REPORT 194 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Gwen Chisholm Smith, Manager, Transit Cooperative Research Program Dianne S. Schwager, Senior Program Officer Daniel J. Magnolia, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Ellen M. Chafee, Senior Editor TCRP PROJECT F-23 PANEL Field of Human Resources Cheryl M. âCherieâ Sprague, RTD (Ret.), Denver, CO (Chair) Andrea K. Brush, Michigan DOT, Lansing, MI Patricia Rini âTrishâ Collins, Pinellas Suncoast Transit Authority (PSTA), St. Petersburg, FL Tranell N. Griffin, Boyd Caton Group, Charlottesville, VA Loriann Hoffman, Metropolitan Transportation Authority, New York City Transit, New York, NY Sally Librera, Metropolitan Transportation Authority, New York City Transit, New York, NY Jill C. Stober, KFH Group, Inc., Bethesda, MD Michael S. Tanner, Bay Area Rapid Transit District, Oakland, CA Turo Dexter, FTA Liaison Stephen J. Andrle, TRB Liaison
TCRP Research Report 194: Knowledge Management Resource to Support Strategic Workforce Development for Transit Agencies is a comprehensive and practical guidebook for transit agencies that seek to collect, manage, store, and share organizational knowledge and information. It guides transit agencies through knowledge management (KM) and its implementation, providing resources and examples relevant to the transit industry to help transit agencies understand and utilize KM strategies. KM is the process an organization uses to collect and manage organizational knowledge and information. Transit agencies can use KM to build, sustain, and leverage the know-how and experience of employees to deliver transportation services and manage systems. This guidebook identifies the key benefits of KM and presents a business case for pursu- ing KM by presenting its goals and the benefits accrued by transit agencies that invest in KM. It presents the common transit functional areas that require KM: financial manage- ment, human resources management, vehicle maintenance plans and procedures, facility maintenance plans and procedures, and operations service design. The guidebook defines five core elements of KM: KM culture, KM planning, knowledge capture, knowledge retention, and knowledge transfer. Each element is featured in a chap- ter with a description of the element and associated challenges that transit agencies may encounter. Importantly, the guidebook provides detailed action plans to assist in strategy implementation of each element of KM. The final two chapters of the guidebook provide examples of KM used by transit agencies and address how KM can be implemented as a dedicated function. Finally, the guidebook includes an appendix that lists a variety of technology tools and resources, such as publica- tions, journals, and training programs, that can be used to support KM development and implementation in transit agencies. KM offers important benefits to transit agencies that use it. Learning about these ben- efits and how KM can positively impact transit agency business and operations will help transit agencies understand the value of implementing strategies to support the gathering, storing, and sharing of employee knowledge. Further, sharing the potential benefits with leaders and decision makers can be a key element of gaining support and building a busi- ness case for KM. F O R E W O R D By Dianne S. Schwager Staff Officer Transportation Research Board
S-1 Summary 1-1 Chapter 1 Introduction to the Knowledge Management Guidebook 1-1 Defining Knowledge and KM 1-2 Types of Knowledge 1-3 Elements of KM 1-4 Why KM? 1-6 Leveraging Existing Activities for KM Purposes 1-8 How to Use This Guidebook 1-8 Chapters 2 â 6: From Knowledge Management Culture to Knowledge Transfer 1-10 Chapter 7: Outcomes of Effective Knowledge Management in Transit Agencies 1-11 Chapter 8: Closing the Loop â Implementing Knowledge Management from Strategies to a Full Function 2-1 Chapter 2 Knowledge Management Culture 2-1 Chapter Overview 2-1 Transit Culture That Supports KM Strategies 2-1 Challenges for Transit Agencies Associated with Creating a KM Culture 2-2 Challenge: Formal Organizational Structures 2-2 Challenge: Lack of Organizational Support/Commitment 2-2 Action Plans to Address Creating a KM Culture 2-3 Action Plan A: Build Top-Level Support for KM by Aligning to Strategic Priorities 2-9 Action Plan B: Build Frontline Support to Sustain KM Practices 2-15 Action Plan C: Identify Cultural Inhibitors of KM 3-1 Chapter 3 Knowledge Management Planning 3-1 Chapter Overview 3-1 Description of KM Planning 3-2 Obstacles to KM Planning 3-3 Getting Started with KM 3-3 KM Planning Action Plans 3-4 Action Plan D: Inventory Existing Transit Agency Practices That Support KM 3-8 Action Plan E: Prepare Knowledge Networks to Identify Knowledge Gaps 3-14 Action Plan F: Utilize Process Mapping to Facilitate KM Planning 3-20 Action Plan G: Identify Critical Succession Planning Needs C O N T E N T S
4-1 Chapter 4 Knowledge Capture 4-1 Chapter Overview 4-1 Description of Knowledge Capture 4-2 Challenges for Transit Agencies Associated with Knowledge Capture 4-2 Lack of Existing Information Sharing 4-2 Turnover and Younger Workforce 4-2 Considerations for Knowledge Capture Strategies 4-3 Knowledge Transfer Action Plans 4-4 Action Plan H: Conduct Knowledge Interviews to Gather Critical Knowledge 4-11 Action Plan I: Codify Knowledge as It Is Gathered to Make It Searchable by Employees 5-1 Chapter 5 Knowledge Retention 5-1 Chapter Overview 5-1 Description of Knowledge Retention 5-2 Challenges for Transit Agencies Associated with Knowledge Retention 5-2 Upcoming Retirements 5-2 Safety and Security Requirements 5-2 Technological Issues Related to Knowledge Retention 5-3 Knowledge Retention Action Plans 5-4 Action Plan J: Utilize Knowledge Repositories That Store and Promote Access to Knowledge 5-10 Action Plan K: Maintain Updated SOPs to Store Critical Technical Knowledge 6-1 Chapter 6 Knowledge Transfer 6-1 Chapter Overview 6-1 Description of Knowledge Transfer 6-2 Transit Agency Challenges Associated with Knowledge Transfer 6-2 Interagency, Oversight, and Contractor Relationships 6-3 Knowledge Hoarding and Lack of Commitment to Communication 6-3 Intergenerational Differences 6-3 Different Mental Models and Language 6-3 Considerations for Knowledge Transfer Strategies 6-4 Knowledge Transfer Action Plans 6-5 Action Plan L: Implement Cross-Functional Team Building to Promote Knowledge Sharing 6-11 Action Plan M: Implement Knowledge-Sharing Forums and Communities of Practice 6-18 Action Plan N: Coordinate Mentoring Opportunities to Support KM 7-1 Chapter 7 Outcomes of Effective Knowledge Management in Transit Agencies 7-3 KM Prepares the Organization for Employee Departures: Small Transit Agency A 7-6 KM Promotes Knowledge Sharing Across a Community: Small Transit Agency B 7-9 KM Promotes Employee Awareness of Transit Agency Work: Small Transit Agency C 7-12 KM Provides Developmental Opportunities and Employee Growth: Midsize Transit Agency A 7-16 KM Helps Improve Quality of Services Provided: Midsize Transit Agency B
7-19 KM Improves Organizational Culture and Employee Development: Midsize Transit Agency C 7-24 KM Mitigates Risk and Improves Service Delivery: Midsize Transit Agency D 7-27 KM Maintains Consistency and Continuity: Large Transit Agency A 7-30 KM Ensures Process Documentation and Establishes Accountability: Large Transit Agency B 7-33 KM Provides Broad Transit Perspective and Career Growth: Large Transit Agency C 7-37 KM Helps Prepare for Upcoming Retirements: Large Transit Agency D 7-40 KM Helps Improve Efficiency: Large Transit Agency E 8-1 Chapter 8 Closing the Loop â Implementing Knowledge Management from Strategies to a Full Function 8-1 Chapter Overview 8-1 Steps to Create a KM Roadmap 8-2 Establishing a Full KM Function 8-4 Identify Business Problem(s) 8-5 Take the Pulse of Senior Management 8-5 Establish a Governance Structure 8-8 Articulate the Vision, Mission, and Goals for KM 8-9 Dictate the Guiding Principles and Strategy for KM 8-10 Define KM Job Requirements and Competencies 8-10 Map Out the KM Launch Plan 8-11 Outline KM SOPs and Strategic Communication Plan 8-12 Identify Cultural and Infrastructure Challenges to KM Implementation 8-13 Identify Potential KM Champions 8-14 Perform a Knowledge Audit 8-15 Create a Knowledge Repository 8-16 Identify Existing Practices to Leverage 8-16 Prioritize New Initiatives 8-17 Design New or Use Existing Integrated Tools and Technologies 8-17 Design Incentives Program 8-18 Measure the Impact of a New KM Function 8-19 Closing Concepts A-1 Appendix Knowledge Management Technology Tools and Resources Catalog