National Academies Press: OpenBook

Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs (2017)

Chapter: Chapter 3 - Techniques for Knowledge Capture and Learning

« Previous: Chapter 2 - Framework for Capturing and Learning Consultant-Developed Knowledge
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Suggested Citation:"Chapter 3 - Techniques for Knowledge Capture and Learning." National Academies of Sciences, Engineering, and Medicine. 2017. Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24977.
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Suggested Citation:"Chapter 3 - Techniques for Knowledge Capture and Learning." National Academies of Sciences, Engineering, and Medicine. 2017. Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24977.
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Suggested Citation:"Chapter 3 - Techniques for Knowledge Capture and Learning." National Academies of Sciences, Engineering, and Medicine. 2017. Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24977.
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Suggested Citation:"Chapter 3 - Techniques for Knowledge Capture and Learning." National Academies of Sciences, Engineering, and Medicine. 2017. Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24977.
×
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Suggested Citation:"Chapter 3 - Techniques for Knowledge Capture and Learning." National Academies of Sciences, Engineering, and Medicine. 2017. Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24977.
×
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Suggested Citation:"Chapter 3 - Techniques for Knowledge Capture and Learning." National Academies of Sciences, Engineering, and Medicine. 2017. Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24977.
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14 C H A P T E R 3 3.1 Types of Knowledge Capture and Learning Techniques There are several different techniques available to ensure that consultant knowledge is con- veyed to DOT staff. Techniques need to be tailored to the type of knowledge that is being trans- ferred. These can be categorized into two basic types: • Recorded information such as reports, meeting notes, logs, and training materials can be used to capture essential facts. Opportunities and incentives must exist to ensure that these resources are used by DOT staff when questions arise or when opportunities to leverage what has been learned present themselves. • Individual person-to-person interaction between the consultant/contractor and the DOT staff during the course of the project can be used to pass along an in-depth understanding of why work was done the way it was and why key decisions were made in a particular situation. These techniques can be formal or informal and may include one-on-one interactions (such as mentor- ing arrangements) or group interactions (such as post-project debrief meetings, facilitated communities of practice, simulated exercises, or drills). This type of knowledge capture and learning is best for transferring more complex knowledge that is difficult to write down. In addition, face-to-face interaction over an extended time period builds the trusted relation- ships required for honest discussion of lessons learned. These relationships also provide an environment in which people are open to learning new processes. Knowledge capture and learning may take place sequentially or simultaneously. Several exam- ples are described below and illustrated in Figure 3. • Essential knowledge is documented in a report, after which a group presentation or discussion session is held for staff to assimilate the information. In this example, there is a knowledge capture activity followed by a learning activity. • A post-project debrief meeting is convened to review how the project went. Based on this meet- ing, a lessons-learned document is produced. Later, this lessons-learned document is used to brief a team that is about to initiate a new project similar in nature to the original project or that involves work at the same location. In this example, there is a combination learning–capture activity, followed by a capture activity, followed by a learning activity. • Weekly mentoring sessions are held between an experienced consultant engineer and a newer DOT staff engineer to review issues and problem-solving approaches. This single activity encapsulates simultaneous knowledge capture and transfer. • A consultant team is asked to create a series of video interviews with project team members who provide their perspectives on the project. This video is included in a resource library and is reviewed as part of staff training exercises. This involves a capture activity followed by a learning activity. Techniques for Knowledge Capture and Learning

Techniques for Knowledge Capture and Learning 15 It is important to keep in mind that knowledge capture and learning need not involve cre- ating new, time-consuming requirements for projects. Many techniques can be implemented through relatively minor adjustments to already existing processes for both documentation and interaction. The remainder of this chapter reviews specific knowledge capture and learning techniques that are associated with the three strategies introduced in Chapter 2. Example applications of these techniques are drawn from the case studies included in Appendix A. 3.2 Documentation and Handoffs Key Elements This strategy focuses on meeting the “remembering what was done and why” need for knowledge transfer. It includes the following key elements: • Designing project documentation requirements to capture the “what, where, when, who, and how” of the project as well as the “why” for key decisions; • Incorporating ongoing opportunities during the course of the project to ensure that DOT staff are briefed on key activities; • Holding project (or project phase) closeout meetings that provide an opportunity to reflect on how the project went and plan for transition of relevant project records to DOT staff; and • Providing supporting technologies that enable information sharing during the project and after the project is completed. Examples • Tennessee DOT (TDOT) utilized consultants to staff Local Programs offices during a hiring freeze. During their engagement, the consultants tracked their work activities on project management spreadsheets. The spreadsheets contained data on the Local Programs office’s projects. Data fields included budget, project dates, milestones, and a field for comments. The comment fields were used to take notes on project discussions. Information in the spreadsheets was used to create a written log of major project decisions complete with reason- ing and alternatives. Five years later, the comments are still being used to understand TDOT projects and the decision making that shaped them. The comments have proved to be Group Presentation Consultant Report Post Project Debrief Documented Pre-Project Meeting Mentoring Sessions Recorded Video Staff Training Session Lessons Figure 3. Knowledge capture and learning sequences.

16 Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs invaluable when questions have come up about a particular decision. The spreadsheet notes present the decision-making process, translating project knowledge and experience of “what was done and why” into written form. Consultants also provided the DOT with their email archives following the engagement. • Alberta Transportation (AT) outsources most of its design, construction, and construction management functions. The agency holds regular meetings between the designer, contrac- tor, and DOT staff throughout the project to provide a shared understanding of key project events. This allows project teams to work effectively and efficiently and promotes communi- cation and problem solving. AT has also established detailed documentation requirements at the design and project closeout stages: – Design Reports provide a helpful record of the key decision points that impacted final design and cost. They have proved particularly useful for large, complex projects that take place over an extended time frame during which internal (as well as contractor) staff changes occur. – Project Summary Reports are produced at the close of the construction phase. These reports include a financial statement detailing project engineering and construction costs, a break- down of pay item quantities placed, a discussion of design issues faced and changes made, a chronology of construction activities, a listing of construction change orders, and a discussion of traffic and safety experience during construction. – Design Exception Documentation is maintained so that it can be retrieved in the event that a legal claim is made on the project. AT maintains a list (with links) to current design exceptions on their web site. • Colorado DOT (CDOT) used a blended team of consultants and DOT staff to complete flood damage repairs impacting 27 state highways and 120 state bridges within a 10-week period. In this situation, “remembering what was done and why” was an essential part of obtaining reimbursement from the Federal Emergency Management Agency (FEMA). The fast pace of the project also created the need for building in knowledge-sharing activities on a daily (if not hourly) basis. Several techniques were implemented: – The CDOT business office implemented new reporting for flood-related financial activity to demonstrate how much labor time was being spent by staff on flood activity and to track budgeted amounts against actual expenditures. – A document retention plan to track flood items was created by CDOT and implemented by the consultants. – National Incident Management Specification (NIMS) documentation practices were adopted, including use of General Message Notifications to keep interested parties current in their areas. – Daily stand-up meetings were held to review status and plan next steps. • Michigan DOT (MDOT) undertook a major e-Construction initiative. The engineering content management system implemented as part of this initiative provided a convenient way for DOT staff and contractors to share project documents. This yielded significant efficiency improve- ments and reduced challenges related to agency–contractor collaboration and communication. Additional information on these examples can be found in Appendix A. 3.3 Capturing and Learning Lessons Key Elements This strategy involves an explicit process to reflect on what went well, what could have been improved, and what should be done differently in the future. It also involves deliberate steps to ensure that lessons captured are disseminated, learned, and applied. Capturing and learning

Techniques for Knowledge Capture and Learning 17 lessons can be done for an entire project; a portion of a project (e.g., a task or phase); a particular aspect of a project (e.g., schedule adherence or stakeholder interaction); or as part of daily, weekly, or monthly project meetings. There may be a formal process to nominate, vet, approve, publish, and disseminate lessons learned. In some situations, this may not be appropriate—lessons may be identified and com- municated within a project team without being recorded. Key elements of this strategy include the following: • Establishing a standard process to capture lessons learned from consultants—at project close- out and at other key milestones; • Establishing a standard process to ensure that lessons are properly validated and represent a consensus opinion rather than a single viewpoint; • Using lessons learned to update policies, procedures, and guidance and to “institutionalize” what has been learned; • Establishing designated points within project development or employee training processes at which lessons learned are shared with others who could benefit; • Creating searchable electronic repositories of lessons learned; and • Leveraging outsourcing arrangements to develop and institutionalize use of new information systems and applications that lead to greater efficiencies. Examples • Virginia DOT (VDOT) uses a Design Quality Evaluation Report to provide a post-construc- tion quality assurance review on how engineering designs are actually constructed in the field. The form provides a lessons-learned opportunity on both VDOT- and consultant-designed projects. It allows both design and construction disciplines to provide input to the design and construction processes, identify issues needing modification, discuss project activities that worked well and those that did not, and interject modifications for potential improve- ments back into the design plan development and construction processes. The report empha- sizes provision for actionable feedback that can be used to improve design quality over time. The agency has used the information on these reports to develop lessons learned. Lessons learned are vetted by communities of practice and made available in an agency lessons learned repository. • AT conducts project closeout meetings involving consultants and contractors to share information to identify what went well and what could be improved. Benefits are more informed future designs and avoidance of repeating poor practices. These meetings pro- vide an opportunity to identify and institutionalize best practices and improve specifications and plans. • AT draws upon what has been learned through past experience in the development and updating of engineering specifications. A collaborative and iterative process is used, involving input from consultants, internal review within AT from both design and maintenance staff, and review/comment from the broader stakeholder community—including consultants and contractors. • Oregon DOT (ODOT) used a team of consultants to support delivery of a $1.5 billion bridge program over a 10-year period. The team implemented nine different information systems including an engineering document management system, a geographic information system (GIS) infrastructure, a construction engineering inspection (CEI) tool, a work zone traffic analysis tool, a pre-construction assessment tool, a bridge reporting system, and a mobile data collection tool. ODOT staff and its consultant partners worked closely to ensure that the tools could be sustained within the organization after the project was completed. The tools provided a strong vehicle for transfer of efficient practices established by the consultants to DOT staff.

18 Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs • Philips Innovation Services uses several structured processes for knowledge capture and learning: – Workshops at the start of a project to learn from previous mistakes and prepare a team for potential issues before starting a project. – Exit interviews with departing experts—both consultant and staff—to capture essential knowledge. The line manager responsible for the specific knowledge area is responsible for planning and conducting the interview. In addition to the line manager and the expert, participants include the expert’s successor and other members of their work group or project team. – A “knowledge drive” to create training material. These consist of multiple “sprints” in which a knowledge engineer interviews one or more experts and records essential knowl- edge using standard templates. Results are used to develop a training curriculum for new hires. Products may include documents with hyperlinks, technical formulas, or videos. Additional information on these examples can be found in Appendix A. 3.4 Mentoring and Interaction Key Elements This strategy emphasizes building staff capabilities by providing structures and opportunities for consultants and DOT staff to interact and learn from each other. Key elements include the following: • Using blended project teams or work groups of consultants and DOT staff that leverage external expertise and provide an opportunity for building DOT staff knowledge; • Establishing and supporting longstanding relationships between DOT staff and the consultant and contractor community, which provide for opportunities for communication and joint problem solving outside of the context of any individual project; and • Using consultants as trainers and mentors for DOT staff as part of a handoff process or as an ongoing staff development activity. Examples • CDOT used a blended team for its flood response effort. Consultants brought in-depth experience with emergency response documentation and accelerated project delivery methods. The intense, fast-track project necessitated continuous and meaningful interaction among team members as they worked side-by-side and provided a unique opportunity for hands-on learning. Clear definition of roles and responsibilities from the start, co-location of state and consultant forces, and a conscious emphasis on communication and collaboration contributed to the success of the effort. • ODOT’s bridge delivery program provided opportunities for ODOT staff to gain exposure to new public outreach approaches that were implemented by the consultant team. Consultants were able to show agency staff how to inform more effectively through the execution of a proactive public information, outreach, and communications program. Participants on both the consultant and ODOT staff sides pointed to the importance of establishing collaborative, working relationships in which both parties could generate ideas and build on one another’s past experiences. • VDOT participates in a Joint Structure and Bridge Committee with the Virginia Transporta- tion Construction Alliance (VTCA), an industry group composed of contractors, aggregate producers, engineers, suppliers, and service providers in the state. This joint public/private

Techniques for Knowledge Capture and Learning 19 technical committee has been in place for the past 25 years and has proven to be an effective mechanism for building professional relationships and sharing knowledge between DOTs and private consultants and for identifying and resolving complex issues in construction. Work in this committee has tapped into the collective expertise of VDOT engineers, con- sultants, and contractors to improve standard specifications and practices. Opportunities for two-way knowledge sharing between private sector and government have been beneficial for both parties. • VDOT has faced a decrease in the number of experienced construction inspectors as seasoned inspectors have retired or moved to jobs in the private sector. The agency established a men- toring program for construction inspectors that taps into some of this rich expertise to train new or less experienced inspectors. VDOT’s mentoring program has involved mentors from both public and private sectors. Many of the more experienced consultant mentors are former VDOT employees. Trainees who are mentored by consultants are treated just like trainees with VDOT mentors with respect to learning standards, formal classroom training, and practical experience training requirements. This helps assure that the mentees understand the impor- tance of knowledge transfer when private-sector individuals or firms are hired under contract to perform transportation road and bridge work for the state. • MDOT has used a consultant trainer/mentor to build the agency’s internal expertise in construction scheduling. After facing difficulties in filling a position for a critical path method (CPM) specialist, they decided to hire an employee to serve as a scheduling specialist that had excellent construction field service experience but was not previously focused on CPM network scheduling. MDOT utilized a consulting contract to provide both formal one-on- one training and on-the-job mentoring to the new scheduling specialist. During the course of the one-on-one training, the consultant was able to impart tacit knowledge about how to approach scheduling for different types of projects and how to deal with specific situations. The mentoring elements of this engagement allowed the scheduling specialist to cement his knowledge by observing and participating in the consultant’s scheduling activities. • TDOT outsourced a substantial portion of the work in its Environmental Division’s National Environmental Policy Act (NEPA) office over an extended period in which the agency faced an increase in work (related to the American Recovery and Reinvestment Act) and a hiring freeze that prevented them from adding permanent staff. After the hiring freeze was over, TDOT decided to bring all of the work back in-house. Because skilled and experienced NEPA staff were difficult to find, the new office staff required extensive training. TDOT issued a task order under one of its on-call contracts for development of NEPA training materials and conducting training and mentoring of the new staff. The consultants provided classroom training and worked with the new staff to complete portions of active environmental docu- ments. They provided constructive feedback to staff on work completed. The training was successful because it was multi-dimensional, combining classroom instruction, independent assignments, individual mentoring, group evaluation, and hands-on experience working on NEPA documents. Additional information on these examples can be found in Appendix A.

Next: Appendix A - Case Studies »
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TRB's National Cooperative Highway Research Program (NCHRP) Research Report 867: Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs presents guidance on the use of knowledge capture and active learning to ensure that essential, mission-critical knowledge is maintained within the agency when a contractor’s work is finished. Knowledge capture is the process of transforming human knowledge into codified information (for example, through documentation of interviews with key contractor personnel) and making the information available to others. Active learning occurs when DOT staff work directly with contractors or consultants. The report covers knowledge capture and active learning for system management, emergency response, and other critical components of a transportation agency's mission.

Accompanying the report is NCHRP Web-Only Document 238: Developing the Guide to Retaining Essential Consultant-Developed Knowledge Within DOTs documents the methodology used to develop NCHRP Research Report 867. The document also provides key findings of the project and case studies used to create the guidance document.

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