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Suggested Citation:"4. Case Study and Guidance Development." National Academies of Sciences, Engineering, and Medicine. 2017. Developing the Guide to Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24978.
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Suggested Citation:"4. Case Study and Guidance Development." National Academies of Sciences, Engineering, and Medicine. 2017. Developing the Guide to Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24978.
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Suggested Citation:"4. Case Study and Guidance Development." National Academies of Sciences, Engineering, and Medicine. 2017. Developing the Guide to Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24978.
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Suggested Citation:"4. Case Study and Guidance Development." National Academies of Sciences, Engineering, and Medicine. 2017. Developing the Guide to Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24978.
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Suggested Citation:"4. Case Study and Guidance Development." National Academies of Sciences, Engineering, and Medicine. 2017. Developing the Guide to Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24978.
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Suggested Citation:"4. Case Study and Guidance Development." National Academies of Sciences, Engineering, and Medicine. 2017. Developing the Guide to Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24978.
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Suggested Citation:"4. Case Study and Guidance Development." National Academies of Sciences, Engineering, and Medicine. 2017. Developing the Guide to Retaining Essential Consultant-Developed Knowledge Within DOTs. Washington, DC: The National Academies Press. doi: 10.17226/24978.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Developing the Guide to Retaining Essential Consultant‐Developed Knowledge    Within DOTs  33  4. CASE STUDY AND GUIDANCE DEVELOPMENT This chapter describes the methodology for guidance development and provides an overview of the  final products.  Section 4.1 describes the approach to developing case studies for inclusion in the  guidance.  Section 4.2 provides information on the final set of case studies.  Section 4.3 discusses how  the case study results shaped the final guidance document.  It also presents an overview of the  guidance content and organization.  The guidance document, including the full text of the case studies  is available in a stand‐alone volume.    4.1 Case Study Methodology  A series of case studies were developed to provide a set of illustrative examples of how different  organizations approach capture and learning of consultant‐developed knowledge.  The case studies  were selected to collectively provide coverage of:   the three identified motivations: remembering what was done and why, improving future practice based on experience, and developing seasoned program managers and project engineers , and  the three identified types of knowledge capture and learning strategies: Mentoring and Interaction, Identifying and Learning Lessons, and Documentation and Handoff Processes. The research team identified a set of target organizations and developed an Interview Guide.   Each  target organization was contacted, and an exploratory interview was set up to describe the objectives  of the project, and identify potential case study topics.  The Interview Guide was provided in advance  so that the contact person had some background on the project.  Those organizations agreeing to  participate provided names of individuals to be interviewed for each specific topic area.    Once topics were identified, the research team then made contact with these individuals and  conducted interviews – in groups or individually.  Interviews were conducted by telephone, with the  exception of those for Virginia DOT.  Once the case studies were drafted, they were sent to the  interviewees for review, and revisions were made based on comments received.   At the suggestion of the research panel, a final independent review process was included to ensure  that the case studies would be useful to the target audience. Twelve senior DOT representatives were  asked to participate in this review process.  Each volunteer reviewer was asked to provide feedback on  two of the case studies.  Specifically, they were asked to:   summarize their “key takeaways”;  provide a rating (from 1‐10) for (1) relevance, (2) inclusion of useful and actionable information and (3) clarity and ease of understanding;  list questions they had after reading the case study; and  offer suggestions for improvement. Each reviewer submitted a completed review form for their two case studies.  Responses were  summarized in a set of presentation slides, and then reviewers were invited to participate in a web  conference to verbally share and discuss their feedback.  This method worked very well, and yielded  valuable suggestions that were used to make improvements to the case studies.  Most importantly, the  process did provide validation that the case study material was in fact useful.  Several reviewers 

Developing the Guide to Retaining Essential Consultant‐Developed Knowledge    Within DOTs  34  indicated that they were already checking on whether their agencies were doing some of these  activities covered in the case studies or were planning to make contact with people who might be in a  position to implement them.    4.2 Case Study Organizations and Topics  Case studies were developed for seven organizations (five state DOTs and two other organizations.)  A  total of 11 case studies were produced.  These provide broad coverage of the motivations and  strategies that were identified in the framework.  Most of the case studies provide illustrations for  multiple motivations and multiple strategies.  Table 2. Case Studies  Organization   Topic  Motivations Strategies  Colorado DOT  Colorado Flood  Response   Improving future practice based on experience  Remembering what was done and why  Developing seasoned program managers and project engineers  Mentoring and Interaction  Identifying and Learning Lessons Oregon DOT  Delivering a  Major Bridge  Program    Improving future practice based on experience  Remembering what was done and why  Developing seasoned program managers and project engineers  Mentoring and Interaction  Identifying and Learning Lessons  Documentation and Handoff Processes Virginia DOT  Outsourcing  Bridge  Engineering   Improving future practice based on experience  Developing seasoned program managers and project engineers  Mentoring and Interaction  Identifying and Learning Lessons Virginia DOT  Design Quality  Assurance   Improving future practice based on experience  Identifying and Learning Lessons Virginia DOT  Construction  Inspection  Mentoring  Program   Developing seasoned program managers and project engineers  Mentoring and Interaction Michigan DOT  Paperless  Construction   Improving future practice based on experience  Remembering what was done and why  Documentation and Handoff Processes  Identifying and Learning Lessons Michigan DOT  Construction  Project  Scheduling   Developing seasoned program managers and project engineers  Mentoring and Interaction Tennessee  DOT  Local Programs  Office   Improving future practice based on experience  Remembering what was done and why  Developing seasoned program managers and project engineers  Mentoring and Interaction  Identifying and Learning Lessons  Documentation and Handoff Processes

Developing the Guide to Retaining Essential Consultant‐Developed Knowledge    Within DOTs  35  Organization   Topic  Motivations Strategies  Tennessee  DOT  Environmental  Division   Improving future practice based on experience  Remembering what was done and why  Mentoring and Interaction  Documentation and Handoff Processes Alberta  Transportation  Highway Design  Specifications   Improving future practice based on experience  Remembering what was done and why  Mentoring and Interaction  Identifying and Learning Lessons  Documentation and Handoff Processes Philips  Innovation  Services  Knowledge  Sharing to Drive  Innovation   Improving future practice based on experience  Developing seasoned program managers and project engineers  Mentoring and Interaction  Identifying and Learning Lessons  Documentation and Handoff Processes Each case study was reviewed to identify the essential elements to be highlighted in the Guide.  These  are summarized below.   Colorado DOT – Flood Response: o Use of blended consultant‐DOT staff teams for quickly marshalling available expertise and providing a hands‐on learning environment for internal staff o Creation of a lessons learned document with input from public and private sector team members to identify course corrections and guide future activities o Standardizing practices to record decisions and document processes o Using experience to update agency manuals, job descriptions and standard contract language  Oregon DOT ‐ Delivering a Major Bridge Program: o Establishing strong partnerships that provide opportunities for agency staff to work collaboratively with consultants and participate in problem solving, brainstorming and decision making o Building a culture of innovation that embraces new, more efficient and effective ways of doing things – with shared responsibility and shared feeling of accomplishment across agency and private sector participants o Involving agency staff and consultants/contractors in the same training activities o Using consultants to advance use of information technology tools in a manner that can be sustained within the organization – by (1) leveraging existing agency technology foundations, (2) spending the time necessary to understand agency needs and involve staff in the tool development process, and (3) emphasize training in tool application across the organization o Establishing a well‐resourced and disciplined approach to documentation and document management that provides transparency into all aspects of the project activities and resource utilization  Virginia DOT ‐ Bridge Engineering Outsourcing:

Developing the Guide to Retaining Essential Consultant‐Developed Knowledge    Within DOTs  36  o Maintaining a critical mass of internal expertise through a multi‐faceted internal professional development program involving mentoring and internal collaboration opportunities o Formalizing public/private collaboration to advance collective expertise and provide a forum for discussing issues and developing solutions o Open door policy for vendors that enables staff to increase their familiarity with available capabilities and products o Interactive sessions involving agency staff and outside experts  Virginia DOT ‐ Design Quality Assurance o Recognizing the value of the “revolving door” – in which DOT staff leave to join consultants and consultants take jobs at the DOT o Use of a standard process as part of quality assurance at the end of a project to identify and document opportunities for future improvement – with input from all project participants, both agency staff and consultants/contractors  Virginia DOT ‐ Construction Inspector Mentoring Program o Active mentoring program to develop in‐house expertise, drawing upon both agency and private sector mentors  Michigan DOT ‐ Paperless Construction o Providing the technology infrastructure to facilitate efficient workflow across design and construction workgroups with DOT and private sector participants o Facilitating ongoing access to design and construction documents produced by consultants and contractors after project completion o Formal post project debrief process for identifying lessons learned (under discussion) o Partnership with an engineering consulting industry association (ACEC) on improved practices  Michigan DOT ‐ Construction Project Scheduling o Use of consultants to provide training and mentoring as part of an explicit strategy to add staff expertise in a new area  Tennessee DOT ‐  Local Programs Office and Environmental Division o Use of consultants as mentors and trainers as a part of a transition strategy away from outsourcing o Example of simple logging method that can be used by consultants to document both decisions and their rationale o Example of formal project closeout process to facilitate handoff from consultant to agency staff  Alberta Transportation ‐ Highway Design Specifications o Illustration of an agency that outsources nearly all design and construction work (including construction oversight) but maintains consistency through (1) strong internal development and updates to standards and specifications and (2) coordinated and engaged project delivery staff o Emphasis on comprehensive documentation at completion of design and project closeout

Developing the Guide to Retaining Essential Consultant‐Developed Knowledge    Within DOTs  37  o Involvement of agency staff at all project phases, working collaboratively with the consultants o Example of collaborative approach to updating of standards and specifications o Identification of lessons learned through tri‐party project closeout meeting  Philips Innovation Services – Knowledge Sharing to Drive Innovation o Private sector case illustrating how knowledge capture and transfer is viewed as a valuable service in an environment focused on innovation o Illustration of how the same techniques for knowledge capture from “departing experts” are applicable regardless of whether the expert is an employee or a consultant moving on to another engagement o Specific examples that prove useful guidance on how to approach knowledge capture and how to develop an appropriate knowledge transfer strategy 4.3 Final Guidance Development  Several observations from the case studies shaped the final guidance development:   Agencies viewed consultants as a valuable resource for supplementing agency capabilities and introducing new ways of doing things.  They did not perceive substantial risks associated with loss of knowledge gained by the consultants they engaged.  Agencies appeared to be more concerned about knowledge transfer from agency staff to consultants and contractors rather than the other way around ‐ given the importance of understanding the agency’s policies, procedures and people in order to perform effectively.  Agencies were, however, concerned about knowledge loss associated with internal staff departures and were interested in knowledge capture and learning strategies for their internal staff.  Knowledge capture and learning activities documented in the case studies were generally seen as an integral part of “getting the job done”, improving agency efficiency, or handing over responsibilities.  Agencies didn’t draw large distinctions between knowledge capture activities for external staff versus consultants.  For many agencies, there was a “revolving door” of agency employees taking jobs with consulting companies; working for their former agencies in consulting roles, and in some cases, returning to the agency as employees later in their careers.  This phenomenon, combined with the fact that agency employees and consultants interact regularly through professional activities means that knowledge sharing is occurring over time among a blended community of employees and consultants.  It is important to avoid an overly simplistic view of how and when knowledge transfer from consultants to staff occurs. These observations were used to shape the development of the final guidance document.  Whereas  the initial framework focused on risk avoidance, risk is deemphasized in the final document.  The  guidance recognizes that private sector partners are playing increasingly large roles in project  development and delivery processes – and presents knowledge capture and learning techniques as a  way to better leverage their capabilities in order to achieve a broad set of objectives (improving 

Developing the Guide to Retaining Essential Consultant‐Developed Knowledge    Within DOTs  38  efficiency, learning from experience, etc.)  The guidance also acknowledges that deliberate strategies  for knowledge capture and learning from consultants are only needed for certain situations – and helps  agencies to target their activities appropriately.  It highlights the fact that knowledge management  techniques can be applied both to address concerns about knowledge loss from internal staff as well as  to capture knowledge from consultants.  Finally, it notes that effective use of consultants requires two‐ way knowledge transfer (to educate/orient the consultants to agency practices and to pass back what  the consultants have learned to agency staff).  The organization and content of the guidance document are summarized below.   Chapter 1: Introduction  This introductory chapter sets the stage for the guidance by describing the challenge of sustaining and  building agency capabilities as reliance on outsourcing increasing.  This chapter also defines key terms  (for example, the distinction between “knowledge” and “information”) and points out that the  guidance is intended for use by several different target audiences: Human Resources and Training  managers, Chief Engineers and Design Office leads, Innovative Project Delivery Office leads, Consultant  Procurement Office Leads and Engineering Project Managers.  Chapter 2: Framework for Capturing and Learning Consultant‐ Developed Knowledge  This chapter presents the framework developed in the research.  It establishes a three step process for  capturing and learning consultant‐developed knowledge involving (1) needs identification ‐ targeting  the areas on which to focus, (2) developing specific objectives for knowledge capture and learning, and  (3) identifying strategies.    The needs identification step is based on assessing risks and missed opportunities related to the three  types of needs that make up the rows of the matrix shown in Table 1.  A simple scoring tool is provided  to help agencies to identify and prioritize needs.    The section on developing specific objectives walks the reader through a series of questions about the  types of knowledge should be captured, who should be involved in the learning process, the nature of  the learning that needs to take place, and how the agency can leverage what has been learned.  This  section introduces different types of cognitive processes associated with different types of knowledge,  and applies this framework to the three types of needs.  It explains that strategies for knowledge  capture and learning should be matched to learning objectives.  For example, ensuring that employees  can recall what version of a standard was used on a project can be accomplished through a simple  training session, whereas transmitting more complex “know how” requires a mentoring process.  The section on identifying strategies introduces the three types of knowledge capture and learning  strategies that make up the columns of Table 1.  It explains the relationship between needs and  strategies, pointing out how typically multiple strategies are used in consort to address a particular  need. 

Developing the Guide to Retaining Essential Consultant‐Developed Knowledge    Within DOTs  39  Chapter 3.  Techniques for Knowledge Capture and Learning    This chapter discusses each of the three types of techniques for knowledge capture and learning that  were introduced at the end of Chapter 2.  It talks about how knowledge capture and learning may  occur simultaneously (e.g. in a project debrief session) or through a multi‐step process (e.g. through  developing a lesson‐learned, posting this lesson to a knowledge portal, then using the lesson later to  prepare for a new project.)  Key elements of each technique are highlighted, and example applications  are presented, drawing from the case studies.  Appendix A.  Case Studies  This first appendix provides the full text of the case studies.  Each case study begins with a call‐out box  summarizing the key points, and a list of needs addressed and techniques used.  This introductory  material is followed by descriptions of:   the context for the case study  how consultants were used by the agency  the types of knowledge brought or acquired by the consultants during the course of the engagement  the approaches used by the agency for knowledge capture and learning Appendix B.  Resources  This second appendix provides examples of resources drawn from the case studies that agencies can  use directly or adapt to fit their needs.  

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TRB's National Cooperative Highway Research Program (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: Keeping What You Paid For—Retaining Essential Consultant-Developed Knowledge Within DOTs. The document also provides key findings of the project and case studies used to create the guidance document.

NCHRP Research Report 867 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.

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