Whaddaya Know? A Workshop on Managing Research Program Knowledge

1. Whaddaya Know? A Workshop on Managing Research Program Knowledge Leni Oman Director Office of Research & Library Services AASHTO RAC/TRB State Representatives Annual Meeting Salt Lake City, Utah July 28, 2011

2. Structure of Session • Snap shot of knowledge management and why it’s important • Common practices in knowledge management • Uses in transportation today • Applications to the research management community

3. What is Knowledge Management? • Several definitions – all revolve around People, Process, Technology • Knowledge Management (KM) is NOT a single practice or software program. • Like Performance Management it: • Is a culture that supports an intended outcome; in this case, management of knowledge resources. • Employs a variety of strategies including policy and procedure that is supported by technology and software applications. People Process Knowledge Management: The systematic means of capturing, organizing, retrieving, sharing, and generating organizational knowledge. Technology

4. Federal Knowledge Management Working Group • Mission: Inform and support federal government departments, agencies, organizations, and their constituencies in the research, development, identification, and implementation of knowledge management (KM) activities, practices, lessons learned, and technologies. • KM Mind Map • A high-level look into a Knowledge Management System and its relationships to ideas, principles, and interconnected elements. Link to KM Mind Map

5. Knowledge Challenges • 80% of an organization’s information content is unmanaged • 15-35% of employees’ time spent searching for information • Searchers only find what they want ~50% of the time • 16-19% of Internet content is searchable • Agencies losing brain trust • Retirements and Reduction in Force • Work trends • More specialization and less cross-training/mentoring • Frequent job movement • “Just in time” information consumption • Demographic changes/changing information expectations • Explosion of information available – especially digital • Impossible to keep up – even for niche areas • Relevance is critical – and needs improvement

6. How Does Knowledge Management Help? • Improving productivity and efficiency • Getting the right knowledge to the right people at the right time • Identifying, capturing, organizing and disseminating critical institutional knowledge • Establishing networks between people to share knowledge • Sharing lessons learned and best practices to avoid reinventing the wheel • Knowing the why behind decisions and actions • Knowing what we know • Supporting change management • Intangible assets of the organization

7. Important Distinctions • Explicit Knowledge • Knowledge that has been codified: Information • Tacit Knowledge • Unarticulated, not codified, experience based, more easily shared person to person • Nonaka and Takeuchi • Socialization: tacit to tacit • Externalization: tacit to explicit • Combination: explicit to explicit • Internalization: explicit to tacit • Polanyi • All knowledge is either tacit or rooted in tacit, no matter what we are doing we are relying on background skills and beliefs so tacit and explicit are dimensions of the same knowledge KM Library

8. How is KM being used in Transportation? • Workforce Risk Assessment • Succession Planning • Knowledge Profiles/Legacy Capture • Lessons Learned • Communities of Practice • Cross Training, Rotational Assignments • Functional Org Charts • Information Management Plans • Knowledge Portals • Organizational Network Analysis FHWA Your Agency Here

9. Using KM in Research Management Program Management • Process focused • People: Expertise; Contact Lists; Roles; Risk • Governance Roles: Who are the decision-makers? • Research Procedures Manual • Decision Documents • Contract Files • Agency Procedures/Desk Manuals • How does information move? • Who’s responsible for what information? Where’s in stored, in what format? How are you going to share it, find it? • Performance Metrics

10. Using KM in Research Management Research Management • Subject Focused • People: Expertise; Contact Lists; Roles; Risk • Research Needs & Agency Priorities • Research Results/What’s been done/Return on Investment • How does information move? • Who’s responsible for what information? Where is it stored? In what format? How are you going to share it, find it? • Crosswalks between topics • Governance Roles: Who are the decision-makers?

11. Facilitating Collaboration Organizations • Who we are • What we do • How we are funded • Staff • Expertise • Facilities • Contact info  • Projects • Needs • Funded projects • Outcomes • Reports • Return on investment • Contact information

12. Where to Start Identify areas of highest risk for knowledge loss • Is the person the Subject Matter Expert? • Is this a positions with no redundancy (no one else performs the duties) • Individuals that work with high independency and haven’t shared much information • The position is a unique specialty • Incumbent personality/style limits sharing • A high percentage of individuals may leave a functional area (through retirement and/or transition)

13. Tools to Mitigate Knowledge Loss • Identify the successor of the functional duties and begin cross training • Formal training as available • Dedicated time to walk through procedures • Shadowing • Involving the successor in activities/decision-making • Mentoring

14. Mitigate Knowledge Loss continued • Document what you can • Document the “knowledge profile” for the position • Video tape skilled employees implementing activities where documentation is difficult or visuals add value • Make sure information is stored on shared sites • Assign time to document and organize information – and monitor progress. This cannot be left to the last minute. • Identify and make sure copies remain of documents/resources that provide information essential to this position • Conduct knowledge profile interviews • Transcribe and post information

15. Foster Knowledge Sharing • Set aside time for debriefing/after action reviews that involve employees in similar functional roles • Dig into challenging projects to discuss why decisions were made. Very important to have strong meeting leadership/facilitation to support a comfortable environment for information sharing. • Establish communities of practice • Use the lessons learned database • Consider semi-social events • FHWA has “Road Gang” meetings that bring retirees and current employees together to discuss historical projects or turning points in the agency

16. Explanations & Examples

17. Documenting Your Organization: Maryland State Highway’s Functional Org Chart

18. A Closer View: Maryland State Highway’s Functional Org Chart

19. The Knowledge Profile • WSDOT’s variation on Virginia DOT’s Knowledge Management Program Knowledge Profile Process • Knowledge Profiles are created through interviews with employees. • Typically up to three 2 hour recorded interviews • The audio file is confidential and destroyed after the summary is approved • The summary is reviewed by employee for accuracy and comfort • The point is to capture information in an environment in which employees may speak without concern that misspoken or unflattering information is transcribed and shared. • Begin with review of a person’s career • The following information elements guide the interview but there isn’t a rigid format

20. Knowledge Profile Examples

21. Property Acquisitions Specialist Profile Special Acquisition/Project Coordination Section

22. Leni’s Lessons on Knowledge Profiles • Beneficial for the interviewer to be familiar with the department but not well known to the interviewee. • The interviewer should be able to draw out a variety of personalities. • Summarizing the interview takes a LOT of time – know how you will staff this. • The summary or transcription needs some clean up – spellings, program names • The outcome is useful. Know how you’ll store and share them. • It’s rewarding for most employees and fun for the interviewer.

23. What’s a Community of Practice? • Communities of Practice (CoP) bring together individuals with shared interest on a topic (a domain). • members are connected by interdependent knowledge and a commitment to exploring the domain and developing and sharing relevant knowledge about the domain. • Community coordinators don’t lead in the traditional sense but do enable the community to find its direction and practice. • Communities may understand specific tasks or sponsor a tem but the community isn’t defined by its task. • A Team brings together individuals with expertise on interdependent tasks that contribute to predefined, shared objective. • Their work is focused on producing the deliverable.

24. Knowledge Communities Prepared by Amanda Wilson, National Transportation Library from Richard Claassens, Information Architect, SNS Bank, the Netherlands

25. Examples of CoPs Virginia DOT’s uses of CoPs

26. CoPs/CoIs in Research • Research Program & Project Management (RPPM) • Research Clusters (link) • FHWA Communities of Practice (link)

27. Managing a Community of Practice • Planning:Define the need for a community, engage management, identify initial members. • Start Up: Learning what you can do together. Need for patience: the community needs time to develop and deliver value. • Growth: Grow with the need/benefit to do so. Be aware of the potential for disruption and consciously manage transition. • Sustainment: Without continual growth or value, the community can stagnate. Consider how to maintain interest or consciously close the community. • Closure: Celebrate successes and bring it to an end

28. Knowledge Profiles Basic Operational Knowledge - Primary Job Functions Operating Data - Current information that is routinely used, Key Operational Knowledge – decisions, assignments, questions, tasks, controversies, opportunities, threats, or anything else that may require quick action with potentially serious consequences.Hibernating issues: Key customers - an incumbent’s most important customers inside the organization (internal) and outside the organization (external) Completed & Pending Projects Knowledge Network - Who you turn to for knowledge and information—think especially about those with unique knowledge you need to tap into. Unexploited Ideas - Ideas, suggestions or recommendations that you have thought about but did not have time to implement Strengths and Weaknesses of the Unit/Feedback for the organization

29. Knowledge Mapping VDOT uses Knowledge Mapping to help identify areas of need for succession planning and to build networks

30. WSDOT Knowledge Mapping Pilot • Organizational network analysis of two internal networks: • Climate Change: this was a newly formed and evolving network. The intent was to use knowledge mapping to help the network develop in a constructive manner. • Tribal Network: this was an existing network experiences some challenges. Knowledge mapping was undertaken to assess network function and identify options for improvement. • Both networks are broadly disseminated throughout the programs and offices of the agency and represent multiple levels of management and technical expertise • Some network members work on the network subject on a daily basis, others are only engaged intermittently. • Both networks have strong connections to external partners but these external connections were not included in the survey.

31. Pilot Project Findings • There were individuals in both networks who felt they were peripheral who turned out to play a central role in network communications. • Network functions/expectations should be reviewed for individuals who thought they would be peripheral but were found to be central. • Is the communication necessary or are they receiving similar information from multiple sources? Are they perceived as a decision-maker and is that role appropriate or can the decision be made elsewhere? • Both networks would benefit from identifying network functions and members more explicitly. • Information on functions and members should be stored in a stable environment. • Intermittent members should be notified when an agency action is initiated that will require their attention. WA-RD 754.1 Organizational Network Analysis for Two Networks in the Washington State Department of Transportation

32. Tribal Network Findings • Tribal Liaisons were expected to be fairly well connected but the degree of connectedness varied substantially. • Duties varied substantially though titles were the same. Recommendations • Clarification of roles within the department and expectations within the network • Formalize their community of practice to promote knowledge and workload sharing and problem solving • An information repository should be developed for network members so they can access the most current resources.

33. What Do You Need to Document? Know what you need to know and who manages it: • Why do you do the work you do? Laws, policies, executive orders… • Howdo you do the work? Procedures manuals, standards, desk references… • Who is involved? Distribution lists, suppliers and customers, who is responsible for each type of information? Who do you get information from? Who do you give it to? • Where? What’s the geographic scope of the material? Where is the information stored? • What material gets stored? Are you storing data, text documents, images? What is your enterprise strategy for complying with records management, meeting your information needs, complying with open government expectations, what to do with draft documents? • When? What’s your records retention schedule for information? When do materials go into an enterprise filing system?

34. Managing Documented Data and Information • Produce text readable files: PDFs are frequently stored as images and search engines can’t read them. • Clarify expectations: We save information because we aren’t sure what to do or who is doing it. Clarify expectations about who is managing the information. • File naming: Provide guidance for commonly shared or high priority documents. What will have recognition over the lifetime of the information use for most users? • Capture metadata. How do you search for information? Capture that in the file title, text or property fields so you or others can find it later. • Is your information unique? If not, are you the information steward? Are you modifying the original material? Can you point to another resource for the document rather than store it? • Other management needs: version control; electronic and/or paper; iterative products; images…. Have a plan to manage your information

35. Research Reports • Where to send them • Transportation Research Information Database (TRID) • National Technical Information Service (NTIS) • Why catalog them • Paper and/or electronic • What’s a PURL? • Your own reports, the reports of other • How do you share them? • What about the data behind the report?

36. Transportation Research Information Database • A resource of international transportation research • A bibliographic database indexed using the Transportation Research Thesaurus • Free access to the database. Many free documents but some not. • Can link to National Transportation Library for archiving • Sensitive to the interests of the transportation community. • We’re REQUIRED to submit reports from SPR funded research – but TRB has to track down some state reports. http://trid.trb.org/submit.aspx

37. National Technical Information Service • A permanent clearinghouse of government-funded scientific, technical, engineering, and business related information available today • A bibliographic database, uses their own indexing system • A subscription based services so you pay for the information you retrieve • A good resource, NOT transportation specific • Part of the “Dark Web” • (not readily findable) • We’re REQUIRED to submit • reports from federally funded • research http://www.ntis.gov/

38. Libraries • With bibliographic databases, why are libraries still important? • Promotes access to information by people outside the transportation community • Broader use of a common language help find information across literature sources • You don’t need to access a specific resource • World-wide access to collections through WorldCat • Track record of sustaining access to and preserving information resources over extended time period • The system works!

39. Research Report Management • Need for expectations, guidance, and best practices for research report management • Distribution amongst state DOTs, USDOT Administrations, universities, and other interested parties • Managing collections and repositories • Report formats

40. Other Research Information Needs • What do we expect to find from our web sites • Research unit description • Research Procedures Manual • SPR Research Workplans? • Research Projects and Reports… or is that TRB? • High Value Research – can we automate the collection?

41. Information Management Challenges • Findability & Access: Issues related to search and retrieval of all types of information by agency employees and business partners. • Information creation, collection and maintenance: Designing to avoid redundancy and improve reusability of authoritative information. • Database Design: Technical database design issues that facilitate use of information resources throughout the organization (platform, naming conventions, data architecture). • User Interfaces: Design of applications that support enterprise data information delivery and information presentation, including tools like dashboards, graphics and maps. • Legal Considerations: Protection of data from theft, loss and abuse, WSDOT’s obligation to adhere to regulations and industry standards required for conducting business, and licensing and use agreements.

42. Within Each Challenge are Common Issues • Cultural Issues • My data is unique • Designing for everyone’s needs will slow me down • Ownership v. Stewardship – “it’s my data” • Funding silos – “I can’t address your need with this source of money” • Governance • A clear and consistent vision that enterprise design is the goal. • Clear priorities • Clarification about decision-making authority • Data-sharing agreements • Anyone can create a database on their PC without regard for redundancy, standards, security or sustainability • Technical Issues • Lack of clear standards and equipment • Collecting in similar information in different formats • Variation in collection tools (e.g., GPS equipment standards, collection vans) • Changing software formats/marketplace changes • Training Needs • Clear competencies • Generic training needs to be modified to fit the local/topical context

43. DRAFT Governance Concept