Implementation Guide

DRAFT – May 2006

By ALP Class of 2006 Duane Bernard Kate Mazzara Olu Okunola Jawad Paracha Melinda Peters Don Sparklin Jeff Withee

Table of Contents
Knowledge Management Overview Strategies and Tools for Successful Implementation People Component Process Component KM Process Implementation Guidelines Knowledge Assessment Communities of Practice (CoP) Knowledge Mapping Knowledge Capture Process Documentation 3 3 4 4 5 5 9 12 15 18

Knowledge Management (KM) Abstract
This implementation guide provides procedures on how to start a local KM Program that will support the overall mission of the State Highway Administration (SHA). SHA is quickly losing many of its most experienced and knowledgeable employees as a result of staff turnover due to retirement, retention issues, staff shortages due to hiring freezes, PIN losses, and budgetary constraints. As a result, many SHA offices are losing their most valuable asset, knowledge. KM at SHA means the systematic approach of identifying, capturing, managing and sharing explicit and tacit information to support its mission. In order to address this knowledge loss and simultaneously achieve its mission, SHA have committed to instituting KM organization wide. The goal is to develop a cohesive and coherent KM framework that retains knowledge at SHA, supports the various Performance Excellence initiatives, improves its business processes, empowers, supports and encourages SHA people to deliver excellent customer service. It is important to recognize that some of the key elements needed to create an environment which stimulates creation, sharing, and uses of KM at SHA are: 1. 2. 3. 4. Getting leadership support and identifying champions Making KM part of the SHA’s vision and business plan Allocating resources (KM staff, IT support, and budget) Providing incentives (employee recognition; personal, technical and leadership development plans; and performance appraisals) 5. Creating a clear, tangible picture of the benefits of KM 6. Identifying motivating factors to influence others to support KM initiatives

Strategies and Tools for Successful Implementation
KM consists of three fundamental components: people, processes, and technology; it focuses on: 1. People and organizational culture to stimulate and nurture the sharing and use of knowledge 2. Processes or methods to find, create, capture, and share knowledge 3. Technology to store and make knowledge accessible. It is important to note that this Implementation Guide does not address the Information Technology (IT) support that each local KM Program may need. The leader/initiator of such local KM program will consult with SHA’s IT office to develop a set of solutions that will meet their program’s needs, until the formal IT system through out SHA is implemented as part of the full KM implementation at SHA.

People Component
Leadership Demonstration: Managers and leaders need to understand the benefits of KM. They need to provide continuous support for this philosophy through their policies and actions. Specific KM activities must be integrated into the SHA and local business plans at the Strategy and Action Plan level. KM activities should be used as a method to achieve Goals or Objectives. Managers will be called upon to assign their staff to spend time away from production tasks to participate in KM activities. As employees are first involved in KM activities, a small amount of time should be spent reviewing the goals and the anticipated outcome of KM activities (in general) and their specific involvement. A dedicated budget should be established for the KM team to perform their duties. This funding would be budgeted from administrative sources similar to the current Performance Excellence funds. Through praise, recognition, work plans or annual appraisals, all staff needs to be shown a clear link between their involvement and support for KM and their overall performance.

Business Plan Integration:

Staff Allocation:

Education and Training:

Funding Source:

Employee Incentives:

KM Process Implementation Guidelines
This guide should serve as a roadmap on how to execute a specific KM activity. These steps are not necessarily in chronological order, but it is advisable the KM team initiating this process devise action plans in the order that best suit their needs. KM Activity: Background: Knowledge Assessment/Audit This is a means of assessing how effectively an organization captures, manages, and transfers knowledge to support key business processes and objectives. Results of this assessment should assist in developing appropriate polices and investments to align knowledge management goals with business objectives. There are seven (7) areas that are critical in the assessment of an organization’s KM program effectiveness: Leadership, Education and Training, Information Infrastructure,

Collaborative Process, Social Network, Performance Measures and Customer Service. Resources Needed: Suggested Procedure: Leadership Support, Facilitator, Knowledge Assessor Approaches taken to collating this information include questionnaire-based surveys, interviews and facilitated group discussions, or a combination of these. In this instance, surveys are quick tools that can jump-start your knowledge management assessment. It is suggested that the response to survey questions be rate from 1-5. A score of 5 represents the ideal and 1 the lowest. Below are some questions that will aid in developing the survey: 1... Is there a culture that encourages of knowledge 1 1 sharing? 2... Are incentives in place that encourage knowledge 2 2 sharing? 3... How would you rate organizational response to an 3 3 evolving business environment? 4... Is there fluid communication within the organizational 4 4 structure? 5... Is there a climate within the organization that fosters 5 5 and encourages an informal flow and sharing of best practices? Education and Training Assessment

Leadership Assessment

In order to assess the education and training levels of the organization, one needs to know the learning needs and competencies of the knowledge participants. 6... Does coaching help meet individual goals and 6 6 objectives? 7... Are individual professional development plans tailored 7 7 to meet the organization’s business objectives? 8... Does peer-to-peer advisory in your office assist in 8 8 quicker decision making? 9... Is training in line in with the challenges you face in your 9 9 day-to-day work?

10... Does your office have the knowledge needed to solve 10 10 problems quickly? Information Infrastructure Assessment

11... How convenient is it for you to find the information and 11 11 knowledge needed to make decisions? 12... Are useful sources of information and knowledge 12 12 frequently stumbled across by accident? 13... How well can you to connect with people to share 13 13 knowledge? 14... Is information obtained often found to be up to date? 14 14 15... Do you have information you use frequently readily 15 15 available?

Collaborative Process Assessment

16... Is there an effective vehicle for developing, sharing 16 16 and managing specialist knowledge within your office and other departments? 17... How often are offices and/or individuals producing 17 17 excellent results readily identified within the organization? 18... To what extent is value placed in connecting people 18 18 with each other to engage in ‘live’ discussions of business objectives and delivery of products and services? 19... How often findings from research, development and 19 19 sharing of new knowledge making their way into practice quickly enough?

Social Network Assessment

This assesses relationships between people in order to identify knowledge flows: who do people seek information and knowledge from, and who do they share their information and knowledge with. 20... How well do you know your colleagues knowledge and 20 20 skills? 21... How often do you seek information from other offices to 21 21 solve problems? 22... How often do you solve problems with knowledge 22 22 generated within your office?

23... Does an individual (not necessarily a supervisor or 23 23 manager) within your office provide knowledge that helps in problem solving? 24... Is knowledge readily shared within your office or 24 24 organization? Performance Measures Assessment

This assesses and measures organizational knowledge management performance with the aim to help it to achieve its business plan objectives. The approach is to link this measurement with the organization’s overall performance measurement systems. 25... Does your office and organization have knowledge 25 25 management goals that are concrete and sufficiently clear? 26... To what extent does information sharing affect your 26 26 ability to meet individual goals and objectives? 27... To what extent does information sharing affect the 27 27 ability to meet your organization’s goals and objectives? 28... What is your confidence level in delivering on your 28 28 business objectives in a timely manner?

Customer Service Assessment

There is only one way to measure customer perceived value--ask the customer! Assessment should focus on how the organization interacts and deliver products and services to its customers, internal and external. 29... Are the products and services requested delivered in a 29 29 timely manner? 30... Are resolutions to inquiries readily available? 30 30 31... Is the organization knowledgeable about the inquiries 31 31 often requested?

Results and Reporting: The above is a self-assessment of the key components that a KM program should have. The answers should be rated on a graduated scale. Each component assessment score can be averaged and used to indicate aspects of the overall knowledge assessment.

Knowledge Assessment Criteria
Leadership Education & Training Information Infrastructure Collaborative Process

Average Knowledge Assessment Rating
< 4.00 < 3.75 <3.50 <4.00 <3.75 <3.75 <4.00

Suggested Knowledge Management Solutions
Education SHA University, Coaching, Process Documentation, Knowledge Capture Liaise with Information Technology Department Community of Practice; Process Documentation Knowledge Mapping Business Plan objectives and goals Business Plan objectives and goals

Social Network Performance Measures

Customer Service

The intent of these scores is to indicate the extent these knowledge management solutions should be implemented.

KM Activity: Background:

Community of Practice (CoP) CoPs are groups that meet periodically to discuss a particular work area’s or activity and the best practices and lessons learned. These are organized sessions with prepared agendas, presentations and discussions that are facilitated with the intent of sharing knowledge to build expertise and solve problems. Leadership Support, IT Support, Executive Sponsor, Facilitator, Content Managers/Coordinators, Recorder/Reporters

Resources Needed:

Suggested Procedure: Process Development 1. Clearly define the goal(s), scope and core activities of this community. 2. Identify the Leadership of the community. 3. Establish and develop policies and guidelines for the governance and membership of this community. 4. Select CoP’s leadership and core members. The core members could be selected with the aid of knowledge mapping. People Component 5. Define the roles and responsibility of each member. Suggested roles and responsibilities are: a. Executive Sponsor: Nurtures and provides toplevel recognition for the CoP while ensuring its exposure, support and strategic importance to the organization. b. Facilitator: Provides the overall guidance and management needed to build and maintain the CoP, its relevance, strategic importance to the organization and its level of visibility among stakeholders. c. Content Manager: Searches, retrieves and responds to direct requests for the CoP’s knowledge and content. d. Events Coordinator: Coordinates, organizes and plans community events and activities. e. Reporter/Recorder: Identifies captures and edits, at a minimum:

• • • • •

Relevant knowledge Best practices New approaches Lessons learned into documents Problem discussions

6. Community Leaders should develop a set of operating plans: Events plan, Marketing and Communication plan, Education and Skills plan, and an Advisory Services plan Content Development 7. Identify potential content and format of CoP documents. 8. Develop standard of how CoP activities will be documented. For example, the agenda and meeting minutes for the community should have a basic format – see suggested form on page 9. Develop Taxonomy and method of organizing materials. Technology Component 10. Liaise with IT to develop and deploy a system that will both support the storage of CoP’s data and the easy information retrieval of the community’s documents and members: a. Intranet site for the CoP can include a directory of its members, meeting agendas and minutes, calendar of upcoming events and a discussion area. b. Develop sites for individual members that highlight areas of expertise, project history and other information pertinent to the goals of the CoP. Results and Reporting: Performance Measures 1. Number of hits/hits per member to web site 2. Duration of each session 3. Messages posted to and read using CoP. This can also be used to obtain user feedback. 4. Number of documents uploaded/downloaded

Impact Measures:

5. Soft measures (anecdotal success stories, user surveys) 6. Hard measures (monetarized benefits) Stages of CoP Implementation

Process

1 Developed strategy

2 Developed performance metrics and operating processes Engaged key stakeholders and recruited CoP staff

3 Constructed processes and developed supporting materials Identified and engaged potential membership

4 Implemented CoP and measuring performance

People and Culture

Identified leadership, exec sponsor and core group Identified potential content

Regular outreach and interaction with membership Actively maintaining and update content

Content

Develop taxonomy and method of organizing materials Conducted requirements analysis/ selecting technology

Collected and catalogued content

Technology and Systems

No technology – considering product

Designing and implementing technology

Operating technology -full functionality implemented

KM Activity: Background:

Knowledge Mapping The purpose of knowledge mapping is to identify what knowledge is needed and where it can be found. It helps to discover the location, ownership, value and use of “knowledge artifacts”, learn the roles and expertise of people, identify constraints to the flow of knowledge, and highlight opportunities to leverage existing knowledge. The “knowledge map” is to identify the knowledge and how it should be managed.

Resources Needed:

Leadership Support, IT Support, Executive Sponsor, Facilitator, Content Managers/Coordinators, Recorder/Reporters

Suggested Procedure: Process Development 1. Identify the facilitator of this activity. 2. Identify subject office or technical area to conduct this activity on. Information Collection 3. Conduct interviews and ask targeted questions: a. What type of knowledge is needed to do your work? b. Who provides it, where do you get it, how does it arrive? c. What do you do, how do you add value, and what are the critical issues? d. What happens when you are finished? e. How can the knowledge flow be improved, what is preventing you from doing more, better, faster? f. What would make your work easier?

g. Who do you go to when there is a problem? 4. Observe the day-to-day activities in progress. The aim is to understand:

a. Location, ownership, validity, timeliness, domain, sensitivity, storage medium, use statistics, medium and channels used in accessing knowledge. b. Documents, files, systems, policies, directories, competencies, relationships and authorities influence knowledge dissemination. c. Boundary objects, knowledge artifacts, stories, heuristics, patterns, events, practices, activities and flows d. Explicit and tacit knowledge which is closely linked to strategic drivers, core competencies and market intelligence e. Documented and the informal practice, policies, culture, bottlenecks, and knowledge repositories. 5. Track the boundary objects: a. Cross functional group of people that crosses organizational boundaries. 6. Gather policy documents, organizational charts, and process documentation. 7. Focus on formal and informal gatherings, communication and activities. Results and Reporting: Compile Expertise Directory 1. Register of boundary objects, templates, promising heuristics and best practices. 2. Construct proto-ontology, explore re-use opportunities, look for learning points, and identify natural knowledge stewards, gatekeepers, isolated islands, narrow communication channels and informal communities. 3. Map flows, sequences, dependencies, and personal relationships. 4. Check for network patterns, critical nodes, high traffic, and highly valuable information. Performance Measures 5. Measures and metrics need to be developed to track the validity and effectiveness of the knowledge map by:

Knowledge Map

a. Number of hits/hits per knowledge node site. b. Number of requests or queries to a knowledge node. Other Information Knowledge Mapping within a CoP A CoP needs to understand not only who and where experts are, but also how knowledge typically flows through human channels in the organization. A CoP should consider performing knowledge mapping or social networking analysis to understand the flow, bottlenecks, and critical roles that enable the communication and knowledge exchange processes (e.g., boundary spanner, broker). A CoP should then organize business processes and KM solutions around this natural knowledge flow.

KM Activity: Background:

Knowledge Capture This is a process of capturing tacit knowledge at its source, usually one’s head, and disseminated to those who will be interested and affected by this knowledge. In order to have a meaningful sharing of knowledge captured, there has to be a interview or discussion that will extract the provider’s tacit knowledge and converts it in one that becomes explicit. Effective knowledge acquisition or capturing project may also require taking experts off the job for short time periods, allowing non-experts to understand the knowledge, and allow knowledge to be collated from different experts.

Resources Needed:

Leadership Support, IT Support, Knowledge Provider, Facilitator, Content Managers/Coordinators, Recorder/Reporters 1. Identify Knowledge Provider with the aid of knowledge mapping 2. Define roles and responsibilities of the Facilitator, Knowledge Provider and other participants. 3. Conduct an initial interview with the provider in order to: a. Scope what knowledge needs to be acquired. b. Determine what purpose the knowledge is to be put. c. Gain some understanding of key terminology. d. Build a rapport with the provider. e. This interview (as with all sessions with provider) should be recorded on video-type format. 4. Transcribe the initial interview and analyze the resulting protocol. 5. Develop a framework of how the knowledge acquisition should proceed prior to formally engaging the provider. a. Create a concept ladder of the resulting knowledge to provide a broad representation of the knowledge that might be available.

Suggested Procedure:

Capturing the Content

b. Use the ladder to produce a set of questions which cover the essential issues across the domain and which serve the goals of the knowledge acquisition project. c. Consider engaging peers of the provider to vet these sets of questions to be posed to the provider. d. Conduct a semi-structured interview with the provider using the pre-prepared questions to provide structure and focus. 6. Transcribe the semi-structured interview and analyze the resulting protocol for the knowledge types present these would be concepts, attributes, values, relationships, tasks and rules. 7. Represent these knowledge elements using the most appropriate knowledge models, e.g. ladders, grids, network diagrams, hypertext, etc. 8. Document anecdotes, illustrations and explanations in a structured manner. 9. Allow the provider to modify and expand on the knowledge already captured by utilizing the most appropriate knowledge models. 10. Repeat the analysis, model building and acquisition sessions until the provider and the facilitator and other stakeholders are content that the goals of the knowledge capture have been realized. 11. Validate the knowledge acquired with other experts, and make modifications where necessary. Results and Reporting: 12. Determine what content and elements of knowledge captured should be catalogued. a. Catalogue contents and elements with summaries, titles, background etc. 13. Consult with IT Support and develop method of disseminating captured content via Intranet sites or other medium for ease of retrieval.

Creating the Content

Performance Measures 14. Measures and metrics need to be developed to track the validity and effectiveness of the knowledge map by: a. Number of hits/hits per knowledge node site. b. Number of requests or queries to a knowledge node. c. Time saved in product development/regulatory process by utilizing captured knowledge. Other Information: This re-use of knowledge is the essence of making the knowledge acquisition process as efficient and effective as possible. This is an evolving process. Hence, as more knowledge is gathered and abstracted to produce generic knowledge, the whole process becomes more efficient. It is important to be aware of potential issues that might be encountered during interviewing: 1. Response bias. 2. Inconsistency. 3. Problem with communication. 4. Hostile attitude. 5. Standardizing the questions. 6. Setting the length of the interview. 7. Process of ending the interview. 8. The end of the session should be carefully planned. The facilitator can halt the questioning a few minutes before the scheduled ending time, and to summarize the key points of the session. This allows the expert to comment a schedule a future session. Many verbal/nonverbal cues can be used for ending the interview.

KM Activity: Background:

Process Documentation This is a tool that helps understand prescribed actions and identify the set of expedited efforts needed to establish organization standards such as policies, processes, standard operating procedures, templates, checklists and guidelines. Documenting and understanding of a process, related controls, and key roles and responsibilities can be achieved through process narratives and flow charts.

Resources Needed: Suggested Procedure:

Leadership Support, IT Support, Facilitator, Coordinators, Recorder/Reporters 1. Reviewing policy and procedure manuals. 2... Discussing the process with key employees through 2 2 inquiry. 3... Performing a process walk through of sub-processes 3 3 using samples, etc. 4... Consider key inputs and outputs to a process. 4 4 5... Lines of responsibility for individual employee and how it 5 5 fits into departmental roles. 6... Develop a mechanism to check that required 6 6 documentation is done such as a checklist.

Results and Reporting: Documentation 7... Organize, describe, and graphically depict the results 7 7 obtained. a. Develop process narratives and flow diagrams to accurately represent how work is actually performed. b. Process flowcharts should be designed to assist the analysis of processing risks and related controls. i. ii. iii. Is there a defined start symbol (either start or connector from another map)? Does the map have a legend that describes the various shapes in the map? Does each shape (process) describe:

• • • • iv. v. vi.

Who is performing the action? What action are they performing? When are they performing the action? Where is the action being performed?

Does the map indicate inputs, outputs for each activity? Is the input/output specifically identified? Does the process end at the end of the map? • • Is there a defined end symbol? Is the next process connector on the map instead of an end symbol?

c. Are there any estimates or assumptions in the process? d. Is the methodology explained/documented in the narrative? e. Have controls been documented where they occur? 8... Develop measures of process documentation quality 8 8 and usefulness: a. Obtain feedback from organizational unit of perception of usefulness of documents used. b. Develop tracking of documentation errors and problem reports to solutions. Other Information: These documentation techniques do not test the effectiveness of controls and content of the flowchart, it should promote an agreed framework of how a process is performed, who performs specific duties (roles and responsibilities), and assertions about control activities. Process Improvement measures can be undertaken with the aid of other tools such as Malcolm Baldridge self assessment etc.

Performance Measures