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3-1 Chapter 3: Knowledge Management Planning Knowledge management planning refers to the activities required for understanding a transit agencyâs KM needs and determining how KM can ï¬t into existing processes to bring beneï¬ts to a transit agency. Chapter Overview This chapter addresses planning for the integration of various KM strategies into a transit agency. The information in the beginning of this chapter provides an overview of the features of KM planning strategies and some of the challenges that drive the need for eï¬ective strategies. Then, four KM planning strategy action plans are presented to help transit agencies incorporate planning for KM into their workplace processes. The action plans included in this chapter are Inventory Existing Agency Practices That Support KM Prepare Knowledge Networks to Identify Knowledge Gaps Utilize Process Mapping to Facilitate KM Planning Identify Critical Succession Planning Needs Description of KM Planning KM planning involves evaluating the transit agencyâs KM goals to ensure all KM actions taken align with the transit agencyâs mission and needs. This alignment can help KM strategies gain traction in the agency and increase focus on the importance of knowledge. Creating KM goals and objectives that address transit agency challenges is a key way to make sure that the planning process points KM in the right direction. KM is not a stand-alone program within a transit agency â planning needs to occur so it is incorporated into existing processes and the organizational culture. This planning is key to KM success and experiencing beneï¬ts from KM activities. A lack of planning is one of the main reasons KM systems fail or are not as successful as they could be. Examples of some reasons KM eï¬orts fail include rushed and incomplete KM planning because of a desire to quickly gather knowledge, not evaluating knowledge requirements, failure to consider the organizationâs culture, and designating too little time to KM activities. Carefully planning for KM is a key success factor in its implementation Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-2 When planning for KM, it is also important to consider obstacles the transit agency may encounter. By understanding and evaluating these challenges, transit agencies can be prepared to overcome or lessen the impact of the obstacles to KM within their organization. Some obstacles that transit agencies may experience related to KM are the following: Shortage of KM experts within the transit agency. Some transit agencies may not have employees who are familiar with KM or know what it means to focus on preserving institutional knowledge. Resources such as this Guidebook are valuable assets that can help transit agencies understand what KM is and how to best implement KM strategies. Extra work required from employees because of KM. One of the challenges related to KM that transit agencies report is that their staï¬ members do not have time to complete existing tasks, let alone add new KM strategies to the workload. By carefully planning and incorporating KM into existing processes, employees will be able to complete activities to support KM in a timely fashion. Technology limitations. While there are many IT platforms that can support KM, transit agency employees may not be familiar with them or how to use the technology to incorporate KM into transit agency processes. Finding new technology that easily integrates with existing transit agency technology and is user friendly is a way to overcome this obstacle. Training may also be required to teach employees the skills needed to input or access critical knowledge. Diï¬culty of coding tacit knowledge. The impetus to focus on KM within a transit agency is often the need to gather knowledge from key employees before they leave the transit agency. At times, gathering and storing this knowledge is diï¬cult because it is tacit knowledge and reï¬ects the employeeâs experiences and internal thought processes. Finding ways to code this knowledge is important so that other employees can beneï¬t from the experience and lessons learned both while an employee is still employed and after they are gone. Culture that does not support KM. It can be diï¬cult to begin any new initiative within an organization, but when the organizational culture does not support the initiative, eï¬ective implementation can be almost impossible. Failing to consider the existing transit agency culture and how KM may ï¬t into this culture can lead to KM strategies being less than successful. Making sure that transit agency leaders and employees alike understand the importance of KM, why it is needed, and how it will be implemented is key to ensuring that KM initiatives are a high priority and well supported. Lack of incentives or perceived beneï¬t from participation in KM activities. When employees do not see how KM will beneï¬t them or understand how it functions, they are less likely to support the strategies and participate in knowledge capture, retention, and transfer. Building incentives for supporting KM strategies, tying KM activities into employee performance plans, or explicitly describing the beneï¬ts that both the transit agency and its employees will experience through their participation in KM activities will encourage active involvement in KM strategy implementation. This increased employee participation will beneï¬t KM by ensuring that valuable, accurate knowledge is the focus of KM eï¬orts at a transit agency. Obstacles to KM Planning Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-3 Getting Started with KM It is important to begin KM planning by determining what type of knowledge transit agency employees have pertaining to each functional area of the transit agency. Next, the transit agency will need to identify who holds all the component pieces of that knowledge. It is also important to assess the business processes already in place that could support KM. Incorporating KM into existing processes makes it easier to begin implementing KM because employees are already familiar with the processes they carry out. In addition to the determination of a transit agencyâs knowledge needs and employee knowledge base, technology readiness is another aspect of KM planning. There are many IT platforms that can support KM strategies and aid in the capture, storage, and sharing of knowledge at a transit agency. Finally, the organizational culture needs to be taken into account since it is the transit agencyâs culture that will be a key factor in the success of KM strategy implementation. Chapter 2 of this Guidebook focuses on organizational culture and strategies to enhance a transit agencyâs culture to support KM. KM Planning Action Plans The balance of this chapter includes four action plans transit agencies can use for KM planning and improving KM processes within their agencies. Information describing the strategies, implementation steps, and relevant tips are included in each action plan. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-4 Action Plan D: Inventory Existing Transit Agency Practices That Support KM Summary: Taking an inventory of KM-related practices that already exist in a transit agency feeds into the initial planning and set up of a KM function. This activity should span the entire transit agency to identify the practices, resources, and IT platforms already in place that can support KM. The existing practices identiï¬ed may not have been explicitly designated as KM-related or they may not have a clearly articulated KM purpose. There are likely a number of processes or actions already occurring within a transit agency that can support diï¬erent elements of KM. For example: Work scheduling and work activity tracking could be used to provide insight into who holds relevant knowledge on speciï¬c business processes. Safety and training documentation could support knowledge networks. By carefully examining current practices with an eye toward knowledge capture, retention, and transfer, transit agencies can begin to understand how their current work processes may contribute to KM. Another beneï¬t to a knowledge inventory is that existing processes might allow for ease of KM implementation and not increase workload or require additional buy-in from employees for related KM activities. When inventorying current practices, the transit agency should seek to identify KM practices in a variety of areas. This includes Practices related to personnel such as job descriptions, reporting relationships, and other such documents that help to illuminate who holds speciï¬c knowledge. Transit agency technology, like software platforms, network drives, and databases, for KM. SOPs, policy manuals, and business processes that provide baseline KM that is already available across the agency. Once the inventory is completed, the transit agency can identify the gap between current KM-related practices and what is still needed to achieve the transit agencyâs KM objectives. Rationale for Implementing Strategy: An inventory of existing transit agency KM-related practices can clarify existing practices and document what is already being done within the organization relevant to KM. Tying KM strategies into existing processes and practices is a key way to help ensure success and more rapid implementation of KM strategies. Action Plan Highlights Identiï¬es the practices that a transit agency already has in place related to knowledge capture, storage, and sharing that employees may not view as KM practices because they were not speciï¬cally identiï¬ed as such. Reveals what the transit agency is already doing related to KM so it does not have to spend time and resources implementing new strategies or reinventing the wheel. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-5 Action Plan D: Inventory Existing Transit Agency Practices That Support KM Implementation Factors and Timeframe Type of Knowledge Addressed Explicit Tacit Embedded Estimated Time to Fully Implement 0â3 months 3â6 months 6 monthsâ1 year More than 1 year Time Required to Realize Results 0â2 years 2â5 years More than 5 years Relevant Positions or Types of Work: All positions and types of work. Documentation of current resources from across the transit agency should be considered and reviewed. This strategy spans the transit agency as a whole to better understand existing practices and procedures. Implementation Plan Action Lead(s) Transit agency leadership Staï¬ member with KM lead responsibilities Targeted Audience(s) Employees with knowledge of documented processes and practices Steps to Implement a KM Inventory 1. Set Goals: Establish KM goals that support the transit agencyâs overall mission and objectives. This is necessary to ensure the inventory will capture all available information about existing transit agency practices that will help provide the basis to build strategies designed to achieve transit agency KM goals. 2. Conduct Interviews and Reviews: Conduct employee interviews and review pertinent documents and processes to collect detailed information about current transit agency practices, resources, and IT platforms. Employees should be asked to share information on the core processes and technologies they use along with the activities and decisions they make in the course of their day-to-day work. Employees should also be asked to identify documents that contain policies, procedures, and processes that they follow in carrying out their job responsibilities. These documents should be reviewed to ensure that there is a clear understanding of the processes and how they might support KM within the transit agency. 3. Build Inventory: Based on the ï¬ndings from the employee interviews and document reviews, develop an inventory that includes current transit agency practices, the type of knowledge each Inventory Steps 1. Set Goals 2. Conduct Interviews and Reviews 3. Build Inventory 4. Assess Gaps Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-6 Action Plan D: Inventory Existing Transit Agency Practices That Support KM practice captures, and how to access the knowledge. For example, the inventory could include categories such as: Tool/process that supports KM (e.g., team meetings, intranet, databases) Division using KM process Element of KM addressed with process (e.g., knowledge capture, retention, transfer) Type of knowledge and description (e.g., tacit knowledge about safety processes) To ensure that the inventory is complete, the transit agency should answer questions such as âWhat databases are actively used and what is their purpose?â or âWhat teams exist and what is their purpose?â about the diï¬erent aspects of the transit agency that could support KM. This will enable documentation and use of KM-related features across the transit agency. 4. Assess Gaps: Using the inventory, compare current practices with the KM goals set in Step 1. This comparison will outline the gaps in the transit agencyâs KM processes and practices. The gaps can be prioritized in order of criticality to determine where the implementation of KM practices is most important. The inventory and gap assessment can then be used as a guide to help the transit agency understand how to move forward with a focus on KM. Useful Internal and External Resources Resources for Strategy Implementation Understanding of transit agency KM goals. Dedicated staï¬ member(s) responsible for implementing, sustaining, and evaluating the inventory initiative. Protocol for conducting employee interviews. Protocol for reviewing pertinent documents that contain policies, procedures, and processes. Resources for Sustaining Strategy Integration of knowledge inventory initiatives into existing transit infrastructure and culture. Examples of Eï¬ective Programs 1. Case studies and publications 2. Face-to-face knowledge sharing 3. Online tools 4. Knowledge networks and social media 5. Lessons learned 6. Online searches Keys to Success Periodically conduct inventories to ensure information is up-to-date and accurate. Organize the practices discovered during the inventory to see where the organization is strong in terms of KM, how to build on those practices to support KM, and where KM strategies need to be added. When NASA was in the planning phases of its now robust KM practice, the Chief Knowledge Oï¬cer spent several months looking across programs to identify existing practices. Once collected, these practices were separated into six categories: Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-7 + Action Plan D: Inventory Existing Transit Agency Practices That Support KM Impact and Cautionary Considerations Positive Outcomes of the Strategy Gap Identiï¬cation: A transit agency can identify gaps between KM-related practices that it is currently using and those needed to manage knowledge more eï¬ectively. Additionally, inventories may help identify opportunities to improve coordination of and access to commonly needed information. The transit agency can determine where it needs to focus and prioritize its KM eï¬orts. Identify Where to Find Information Within Transit Agency: If speciï¬c information or knowledge is needed, the transit agency will have determined where it can go to ï¬nd the answers it needs. This eliminates time-consuming searches for existing sources of knowledge and duplication of eï¬ort. Cautionary Considerations or Potential Negative Outcomes of the Strategy Does Not Identify Usefulness or Practicality of Current Practices: Although an inventory can provide a transit agency with information on the KM practices it currently uses, the inventory does not reveal the usefulness of these practices. For example, a transit agency may have a document repository, but transit employees may not be utilizing or maintaining the repository because it is too diï¬cult to use. â Understanding processes and resources in each of these categories provides an opportunity to build on existing strategies and gain eï¬ciencies within the agency around KM. Communication Plan Process for Obtaining Buy-In Gain support of senior leaders by explaining the objectives and scope of the inventory. Provide details on expected ROI and the beneï¬ts that the inventory strategy will have for both individual employees and the transit agency as a whole. Valuable Communication Resources Communication plan for sharing information on knowledge inventory activities with employees. Existing transit agency communication platforms that can be used to educate employees on KM knowledge inventory initiatives and beneï¬ts. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-8 Action Plan E: Prepare Knowledge Networks to Identify Knowledge Gaps Summary: Creating knowledge networks is used to assess the knowledge available in the organization and determine where the knowledge resides. As a part of this process, a transit agency can learn how knowledge ï¬ows through the organization, thus providing a better understanding of how to maximize knowledge capture, retention, and transfer. Knowledge networks are built on a focus question and present a visual picture that helps a transit agency and its employees understand the agencyâs knowledge assets, including what information is available, who has it, and why that information is important. This enables the organization to maximize the use of existing expertise. Creating knowledge networks through knowledge mapping is diï¬erent from business process mapping because it starts with a single concept or idea and builds out connections to that topic. For example, a knowledge network could start out with a topic such as âHow do we provide paratransit services to our customers?â Starting with this idea, circles could be added to the network to identify where or with whom this knowledge could be found and connections could be made that identify the materials or data sources required to answer the initial question. Once the connections are identiï¬ed, there is a clearer understanding of the topic, who knows about it, and what relevant knowledge the transit agency already has. Creating knowledge networks is an important exercise that should be performed early in a transit agencyâs KM eï¬orts and then repeated periodically as KM capabilities and approaches mature. Periodic review of the networks promotes the overall success and sustainability of a KM program. Transit agencies that detail their knowledge networks are able to identify and address barriers to knowledge sharing and expand accountability for KM beyond the KM core team. Breakdowns in knowledge ï¬ow or bottlenecks that slow the sharing of knowledge can be identiï¬ed and dealt with. Additionally, this process simultaneously allows a transit agency to identify gaps in knowledge that may impact its ability to achieve its mission and priorities. Rationale for Implementing Strategy: Knowledge networks can identify how upcoming retirements and other employee turnover will impact knowledge resources and ï¬ow in a transit agency in terms of knowledge loss. It also will help identify who the critical employees for diï¬erent pieces of knowledge are within a transit agency so knowledge from these employees can be captured. Knowledge networks can serve as roadmaps, identifying where various types of knowledge are located and the most eï¬ective way to gather that knowledge. When there is a knowledge network identifying how individuals ï¬t into knowledge ï¬ow and where their areas of expertise lie, knowledge capture steps can be taken to mitigate the risk of knowledge loss. For example, this process may identify the importance of the need to retain information on the Chief Executive Oï¬cerâs (CEOâs) relationships with the transit agencyâs Board of Directors and key external governmental and community stakeholders. Thus, risk involved in the pending departure of a transit agencyâs CEO can be mitigated with the captured and retained information about critical elements of these relationships. This KM process will help ensure a smooth transition at the top of a transit agency and the continuation of eï¬ective board and external relationships because the information will be available to a new CEO. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-9 Action Plan E: Prepare Knowledge Networks to Identify Knowledge Gaps Action Plan Highlights Knowledge networks identify what knowledge a transit agency has available and where it can be found. This allows the organization to recognize knowledge gaps that could have an impact on how eï¬ciently and eï¬ectively the organization is run. Creating knowledge networks is something that should be done on a regular basis, not just one time. As a transit agencyâs KM capabilities advance, the knowledge network will transform. These updates should be captured and stored to support KM eï¬orts. Implementation Factors and Timeframe Type of Knowledge Addressed Explicit Tacit Embedded Estimated Time to Fully Implement 0â3 months 3â6 months 6 monthsâ1 year More than 1 year Time Required to Realize Results 0â2 years 2â5 years More than 5 years Relevant Positions or Types of Work: All positions and types of work. Employees with diï¬erent areas of expertise will likely contribute to diï¬erent knowledge networks. Implementation Plan Action Lead(s) Transit agency leadership Staï¬ member with KM lead responsibilities Targeted Audience(s) All employees Steps to Prepare a Knowledge Network 1. Conduct Knowledge Conversations and Interviews: Depending on what is more applicable to the transit agency, it can conduct formal interviews or informal conversations to collect knowledge. For formal interviews, employees should be asked speciï¬c questions related to the topics areas on which they feel they have expertise. This will ensure that the best information about a particular topic is captured. Informal conversations can Why Create a Knowledge Network? Knowledge network maps help to make the transit agencyâs existing knowledge visible to individuals across the transit agency. They provide a visual picture of knowledge, which can be hard to understand when only presented as a concept. Gathering detailed information about who knows what or where knowledge is held is a key component for ensuring the accuracy of knowledge networks. As such, the ï¬rst step in this process is critical to its value. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-10 Action Plan E: Prepare Knowledge Networks to Identify Knowledge Gaps happen more frequently over a period of time and can be conducted by an employeeâs manager. In either case, information gathered from knowledge holders should include the processes and procedures they follow, where these processes and procedures are documented, with whom in the transit agency they need to share information and from whom they need to gather information, and anything else that is pertinent to the expertise and skills of the knowledge holder. 2. Create Knowledge Network: The knowledge network should show A listing of knowledge assets (i.e., what is known about the topic being examined) How individual employees or positions are connected to the topic The relationships among elements of the network. The knowledge network will illustrate what knowledge is available within the organization, who holds particular knowledge, and how the knowledge is being shared given the processes currently in place. If applicable, the network can be color coded to indicate where retirement/turnover risks and critical knowledge are located. 3. Identify Gaps and Prioritize: After examining the information and knowledge collected, gaps in how knowledge ï¬ows throughout the organization should be identiï¬ed and possible methods for ï¬lling these gaps explored. Positions where there is high retirement/turnover risk or that are critical to transit agency success should be made a top priority for KM eï¬orts so gaps can be addressed before a position becomes vacant or the job expands into multiple positions to meet new industry demands. Similarly, identify areas where knowledge has an immediate need to be shared so that initial KM eï¬orts can focus in these areas. Conversations with managers about the positions they see as most critical can help prioritize gaps that must be ï¬lled. 4. Take Action: Take concrete action to ï¬ll some or all of the knowledge gaps identiï¬ed within the transit agency. As a transit agencyâs KM capabilities advance, the knowledge network will transform, so the knowledge network creation process should be conducted periodically to update the knowledge network. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-11 Action Plan E: Prepare Knowledge Networks to Identify Knowledge Gaps Example Knowledge Network Elements and How to Create a Knowledge Network Example of Partially Populated Knowledge Network Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-12 + Action Plan E: Prepare Knowledge Networks to Identify Knowledge Gaps implementing, sustaining, and evaluating knowledge mapping initiatives. Interview protocols to gather information about knowledge across the transit agency. Plan outlining knowledge networks reviews and updates that includes a timeline indicating review frequency. Examples of Eï¬ective Programs A small non-proï¬t transit agency uses staï¬ activity logs to see what employees do on a daily basis to start building a framework for the knowledge network around an actual day-to-day task list. Impact and Cautionary Considerations Positive Outcomes of the Strategy Reuses Information: Knowledge network creation encourages employees to reuse information, rather than develop it on their own. With a knowledge network, employees can identify where in the transit agency they can ï¬nd speciï¬c knowledge or who to talk to about certain topics that they may need to understand. This saves time and resources, as employees know how to ï¬nd a source of knowledge and are not recreating things that have already been done. Increases Knowledge Sharing: Knowledge networks identify where expertise is located within a transit agency and help determine where bridges can be built so information can be more easily found, moved, and shared, thus increasing opportunities for knowledge sharing and reducing the burden on subject matter experts. Key to Success Keep the knowledge network updated and relevant. If employees use it only to ï¬nd out it is no longer current, they will be less open to using it again in the future. Prioritize high risk or critical positions. Useful Internal and External Resources Resources for Strategy Implementation Dedicated staï¬ member responsible for Resources for Sustaining Strategy Integration of knowledge networking process into existing transit agency infrastructure and culture. Scoping interviews were used with employees at a large public company to ask what they know and in which areas they feel that they have expertise. The information was used to create an outline of the individualâs knowledge. Then, knowledge recipients or managers added additional information to the outline that they believed should be gathered from the target employee to ensure complete information was documented. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM At one midsize transit agency, an analysis was conducted to identify retirement eligibility. With this information, the agency created color-coded heat maps/organization charts to indicate where the retirement risk areas were to help with the prioritization of knowledge to be captured in critical areas.
3-13 Action Plan E: Prepare Knowledge Networks to Identify Knowledge Gaps Identifies Opportunities for Learning: Opportunities for learning and leveraging knowledge are illuminated through knowledge networks. With areas in which there is a lack of shared knowledge or there are few employees who hold a certain type of knowledge identiï¬ed, transit agencies can determine how to take action to transfer and share knowledge to ensure that it is not lost. Cautionary Considerations or Potential Negative Outcomes of the Strategy Need to Identify Gaps and Barriers: To derive the greatest contribution from knowledge networks, they must be used to identify gaps and barriers in knowledge ï¬ow. While a knowledge network will show how knowledge travels through the transit agency, identifying the gaps and taking action to address them is also an important step in the knowledge mapping process. With this step, the transit agency can identify where KM strategies need to be implemented to better facilitate knowledge sharing. Communication Plan Process for Obtaining Buy-In Leadership Buy-In Provide senior leaders details on expected ROI and the beneï¬t that the knowledge networks will have to both individual employees and the transit agency as a whole. Employee Buy-In Show employees how using a knowledge network will create eï¬ciency on the job, as they can access it to ï¬nd the exact employee or function to communicate with to obtain the information they need. Share with employees that knowledge networks will keep them from spending time searching for information or duplicating eï¬orts, as they can use the knowledge network to identify if the knowledge already exists and where. Demonstrate to employees how creating this knowledge network will help eliminate the loss of knowledge when an employee departs the transit agency, supporting organizational and individual productivity and success. Valuable Communication Resources Resource guide given to employees that presents the knowledge network, which explains where they can ï¬nd particular knowledge and who the key employees/knowledge holders are. â Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM Can Become Outdated: Knowledge networks can quickly become outdated if network review is not conducted on a regular basis. Transit agencies are constantly implementing new processes and procedures and staï¬ turnover is a transit agency reality. These factors inevitably result in changes to the way knowledge is transferred and shared. It is necessary that agencies review knowledge networks periodically to make sure the maps are not obsolete and are still useful to employees.
3-14 Action Plan F: Utilize Process Mapping to Facilitate KM Planning To be eï¬ective, process maps need to be directed by best practices in business process improvement and lay out the steps and knowledge necessary to carry out transit agency activities and meet responsibilities. Visualizing and documenting a process through process mapping helps to ensure that the knowledge associated with the process stays with a transit agency when employees retire or otherwise leave the organization. Process mapping also supports transit agency training and development activities by providing the basis for curriculum to train employees on their job duties. To illustrate the beneï¬ts and scope of process mapping, consider a transit agencyâs overall bus accident/incident response and investigation procedures. Process mapping in this case would need to map very speciï¬c individual employee processes and procedures covering diverse transit agency responsibilities, but also link them as a series. Accident/incident response and investigation process mapping would address tasks to be carried out by bus operators, dispatchers, supervisors and investigators, senior management, risk management and claims staï¬, and system safety staï¬. By carrying out this process mapping activity, the transit agency can use knowledge repositories to inform employee activity related to accident/incident response and investigation and ensure the knowledge associated with the processes is permanent regardless of who may leave the transit agency. Rationale for Implementing Strategy: Process mapping facilitates KM planning to ensure that knowledge on how to carry out tasks is shared and is not lost when employees leave the transit agency. When new employees are brought on board, they will be able to learn how to successfully carry out their job responsibilities more rapidly than would be the case without process maps as reference tools. Process maps can also be useful to transit agencies in ensuring consistency of information and application of knowledge throughout the transit agency. It is important for a transit agency to reliably address topics, conduct processes, and respond to challenges. Action Plan Highlights Process maps may help create consistency and eï¬ciency throughout the transit agency. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM Process maps show what processes the transit agency has in place so employees do not have to spend time and resources searching for information on processes or procedures or creating them when they already exist. Summary: Process mapping involves outlining the steps in a work process or series of business processes. Process maps are step-by-step guides or ï¬ow charts that provide a visual depiction of how to complete a speciï¬c task. They identify key decision points and show how processes cross diï¬erent functions and therefore may need coordination among diï¬erent groups of employees. This is important for KM because it helps to show which employeesâ knowledge needs to be leveraged to keep a business process going. Process mapping helps ensure consistency and eï¬ciency throughout a transit agency because employees will have a set procedure to follow to complete a task, allowing the task to be carried out in the same manner by all employees. Transit agencies can also combine process mapping with other KM strategies such as knowledge repositories to store the process maps in a central location for access by all employees.
3-15 Implementation Plan Action Lead(s) Staï¬ member with KM lead responsibilities Agencyâs training staï¬ Targeted Audience(s) All employees Steps to Implement Process Mapping Identify Processes: First, identify processes that need to be documented. A transit agency may already have some documented processes and procedures, but to ensure processes across the entire organization are identiï¬ed, all employees should be asked to provide the processes and procedures they follow and use on the job. This information should then be compiled into a list to ascertain who will be the lead for creating each process map. This list can also be used to pinpoint duplicate processes that employees should work on together to create one process map. 2. Determine Process Bou 1. ndaries: For each process that will be mapped, it is necessary to ï¬rst understand where the process begins and ends. Some processes may overlap. Identifying the process boundaries will help the transit agency to better understand which processes feed into one another and to determine whether the full process is covered in the process map. 3. Gather Information: Employees should gather the information that is related to the process, such as who is involved, what the steps are, when each step occurs, and where related resources and tools are located. If multiple employees work on the same process, they should collaborate to complete the process mapping. If employeesâ perceptions on how the process works diï¬er, they should come to a consensus on what process information is most correct, relevant, and eï¬cient. Action Plan F: Utilize Process Mapping to Facilitate KM Planning Implementation Factors and Timeframe Type of Knowledge Addressed Explicit Tacit Embedded Estimated Time to Fully Implement 0â3 months 3â6 months 6 monthsâ1 year More than 1 year Time Required to Realize Results 0â2 years 2â5 years More than 5 years Relevant Positions or Types of Work: All positions and types of work. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-16 Action Plan F: Utilize Process Mapping to Facilitate KM Planning 5. Sequence Steps in the Process: Once all steps in the process have been listed, they should be sequenced to indicate the order in which the steps must occur, identify decision points, and identify the relationship between steps. 6. Map the Process: A map of the processes should be created based on the ï¬ndings of the information gathering and sequencing of steps. Process maps typically resemble a ï¬ow chart in that they document the starting and ending points of the process, each step involved, and decision points. Additionally, process maps can show how processes intersect with one another or other processes that are also necessary to meet desired outcomes. Process maps can also indicate contextual factors that impact the process. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM 7. Analyze the Process Map: Once the process map is created, the map developers should work through the map, challenging it by asking âWhy?â at every step. If there are any steps that are unnecessary, they should be eliminated. Additionally, steps can be combined, rearranged, and added where necessary during the analysis stage. 8. Store and Manage Process Maps: Process maps should be stored in a repository so that all employees, including new employees, have access to the correct process. This will help create consistency throughout the transit agency. Additionally, a maintenance plan should be developed for the process maps. The plan should include when and how the processes will be reviewed and updated. It is important to keep in mind that the maps should be updated on a periodic basis to reï¬ect any changes in processes. 4. List Steps in the Process: The process map developer should detail each decision point and action involved in the process that is being mapped. In lists of steps, each step should start with a verb to indicate action and what needs to occur during that step.
3-17 Useful Internal and External Resources Resources for Strategy Implementation Dedicated staï¬ member responsible for implementing and sustaining the program. List of processes and leads for creating each map. Resources for Sustaining Strategy Plan outlining process mapping reviews and updates that includes a timeline indicating review frequency. Action Plan F: Utilize Process Mapping to Facilitate KM Planning Example Process Map Elements Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-18 + Examples of Eï¬ective Programs The Human Resources (HR) Department of a large transit agency has binders that include how-to guides about completing processes and work tasks within the transit agency, such as how to post and edit jobs on the website. The departmentâs initial reasoning for using the process maps was to better understand where the agency was compliant with applicable regulations and how to address non-compliant areas going forward. Additionally, the maps helped them determine where critical knowledge was located and when, where, and how it needed to be shared when employees who held that knowledge left the agency. Another large transit agency found that it is important to have a formalized process to ensure that all employees are alerted when a new process map is created or an existing process map is updated. This helps ensure that employees are working from the most updated version of a process map and are not referencing something that is no longer relevant. The agency also gained strong employee buy-in by having leadership sign a formal charter document that supported using process mapping to facilitate KM. Although process mapping can create additional work for employees, this formal charter document exhibiting executive support helped encourage employee buy-in to the process. Impact and Cautionary Considerations Positive Outcomes of the Strategy Detailed Depiction of Transit Agency Processes: Process mapping provides employees with step-by-step instructions on how to complete a task, which saves time and resources because employees can see who and what is involved in each process without having to ï¬gure it out on their own. Consistency in Processes: Process maps can help create consistency within a transit agency. Keys to Success Review process maps periodically to determine whether they need to be updated and then update as necessary. Action Plan F: Utilize Process Mapping to Facilitate KM Planning Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM However, employee performance still needs to be monitored because there is no absolute assurance that employees will carry out their job responsibilities in a way consistent with the process maps. Easily Incorporated with Other KM Strategies: Process maps can also be easily combined with other KM strategies, such as knowledge repositories, to facilitate KM within a transit agency. Making sure that processes are documented in a repository can serve as the basis for sharing and retaining organizational knowledge within an agency.
3-19 Action Plan F: Utilize Process Mapping to Facilitate KM Planning Cautionary Considerations or Potential Negative Outcomes of the Strategy maps can quickly become outdated if mapping is not conducted on a regular basis. New processes and procedures are constantly implemented and there is staï¬ turnover, which can result in changes in the way knowledge is transferred and shared. Transit agencies must review process maps periodically to make sure they are current and useful to the organization. Process Maps Need Detailed Information: If process maps are not suï¬ciently analyzed to ensure that they answer âWhy?â for each step, the maps will not be as useful as they could be. Knowing the âwhyâ for each of the steps helps employees better understand the process and the value of each of the steps. This in turn encourages employees to properly execute the steps. Process Maps Should Not Be Developed in a Hurry: If transit agencies rush through process mapping and do not take the time to ensure that the map is as accurate as it can be, employees who are required to follow the processes may be less than successful in performing their job responsibilities. Communication Plan Process for Obtaining Buy-In Leadership Buy-In Engage senior leaders by explaining the objectives and scope of process mapping. Provide details on expected ROI and the beneï¬t that process mapping will provide to individual employees and the agency as a whole. Employee Buy-In Communicate to employees that having process maps will help ensure that work is completed consistently across the transit agency, creating eï¬ciency and increasing individual productivity. Valuable Communication Resources Resource guide for all employees that explains what process maps are and where they can ï¬nd particular process maps related to their job. Existing transit agency communication platforms that can be used to educate employees on process mapping initiatives and beneï¬ts. â Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM Share that new employees will be able to step into the job and perform more quickly and eï¬ectively if they have process maps to reference and follow for their speciï¬c position. Process Maps Need to Be Reviewed and Updated on a Regular Basis: Process
3-20 Action Plan G: Identify Critical Succession Planning Needs Summary: Succession planning identifies and develops new leaders for advancement or promotion and addresses the need to develop employees to replace experienced individuals in critical technical skillârelated positions. For continued transit agency success, it is important to develop internal employees who have the potential to ï¬ll key transit agency leadership and other critical positions when they are vacated. Identify succession needs. The ï¬rst step in succession planning is to identify succession needs and then create a plan that addresses those needs. This includes identifying critical areas and roles within the organization where employees could be retiring or advancing, and engaging employees in developmental opportunities that will help them acquire the skills they need to ï¬ll each of these key areas or roles in the future. Conduct succession planning. Succession planning increases the availability of experienced and capable employees who are prepared to assume important transit agency roles as they become available. It is a process whereby the agency also ensures that employees are recruited and developed to ï¬ll key agency roles. In succession planning, high-potential employees (HiPos) are identiï¬ed as successors and â based on an assessment of their knowledge, skills, and abilities â are classiï¬ed as âReady immediately,â âReady with minimal training,â or âReady in 3â5 years.â Each critical job within the transit agency should have HiPos two or three levels deep under development. This means that knowledge should not just be shared with only one potential successor, but that multiple employees should be developed to ï¬ll potential critical job openings. Develop employees. Once the succession needs are identiï¬ed, techniques to develop employees to ï¬ll these needs may include mentoring, job shadowing, and training. As a transit agency expands, loses key employees, and provides promotional opportunities, succession planning eï¬orts increase the probability that employees will be on hand and ready and waiting to ï¬ll new roles. In smaller transit agencies, cross-functional development is useful so that individual employees can be prepared to take on a number of diï¬erent jobs. Transit agencies have traditionally thought of succession planning as a tool to ï¬ll leadership positions that will become vacant in the future. This is, of course, an important reason for transit agency succession planning. However, as delivering transit services becomes more complex, succession planning needs to encompass preparing individuals to ï¬ll critical technical positions. Often, there are larger pools of candidates with the skills to move into leadership roles than there are individuals with the technical skill set required to be successful in other critical transit agency jobs. Some examples of critical positions that a transit agency may need to address through succession planning include service planners, lead schedulers and dispatchers, maintenance foremen, IT professionals, HR recruitment and selection staï¬, procurement and risk management specialists, and lead safety and training personnel. The inability to ï¬ll transit leadership positions with qualiï¬ed Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-21 Implementation Plan Action Lead(s) HR professionals Staï¬ member with KM lead responsibilities Targeted Audience(s) Employees in critical positions Employees with the potential to ï¬ll critical positions Action Plan G: Identify Critical Succession Planning Needs individuals can be detrimental to overall transit agency performance. The same is true for ï¬lling other positions that require a high level of technical skill. When identifying its succession planning needs, a transit agency should consider all agency positions whether at the leadership, supervisory, or staï¬ level. Rationale for Implementing Strategy: Transit agency staï¬ becoming eligible for retirement is a signiï¬cant concern at many transit agencies. To mitigate the risks associated with excessive losses in institutional and technical knowledge and delays in productivity due to staï¬ departures, transit agencies can actively engage in succession planning activities that eï¬ectively promote knowledge capture, retention, and transfer. Succession planning can help a transit agency ensure it is retaining critical knowledge needed by existing and future employees. Additionally, succession planning provides internal growth opportunities for existing staï¬. Action Plan Highlights Provides internal employees the opportunity to grow within the transit agency and to learn from an experienced staï¬ member. Supports person-to-person knowledge transfer and is especially well suited for the sharing of tacit knowledge gained over the course of a career. Implementation Factors and Timeframe Type of Knowledge Addressed Explicit Tacit Embedded Estimated Time to Fully Implement 0â3 months 3â6 months 6 monthsâ1 year More than 1 year Time Required to Realize Results 0â2 years 2â5 years More than 5 years Relevant Positions or Types of Work: All positions and types of work. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM
3-22 Action Plan G: Identify Critical Succession Planning Needs Steps to Implement a Succession Planning Program 1. Identify Critical Positions: Transit agencies must identify critical positions that, if vacated, would be a signiï¬cant deï¬cit for the transit agency. These positions could be leadership positions or positions requiring high levels of expertise. Agencies must consider a mix of internal and external factors when identifying critical positions. HR and KM management staï¬ should work with transit agency leaders to prioritize positions for succession planning. Some examples of internal and external factors to consider when identifying a critical position within a transit agency include, but are not limited to, the following: Internal factors What is the anticipated risk of an incumbent leaving a position? What is the level of risk to the transit agency if the position is left vacant for an extended period of time? What is the importance of the position within the transit agency? What level of leadership skill do incumbents require to be successful in the position? Does the position have broad decision-making authority? What level of technical skills do incumbents require to be successful in the position? What leadership or technical skills required for the position already exist within the ranks of the transit agency? External factors What is the current market value of the position? How much marketplace competition is there for qualiï¬ed candidates? What is the assessment of the ability of the agency to recruit a replacement for a departing incumbent in the position under consideration? What is the availability of candidates in the marketplace that have the leadership or technical skills required to be successful in the position? 2. Identify Successors: Once critical positions are determined, the potential candidates or successors for the position should be identiï¬ed. Employees can be identiï¬ed formally or informally using a number of diï¬erent methods, depending on the transit agencyâs preference. Steps to Implement a Succession Plan 1. Identify Critical Positions 2. Identify Successor(s) 3. Identify and Measure Results 4. Assess Program Eï¬ectiveness Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM These methods can include the following: Performance reviews 360 degree assessments Informal conversations Manager recommendation Employees applying for positions
3-23 Action Plan G: Identify Critical Succession Planning Needs Additionally, this can be a chance to give less experienced transit employees an opportunity to advance within the transit agency. Many young people enthusiastically enter the industry and then, ï¬nding few opportunities for advancement, leave. Less experienced or younger workers can remain engaged if their interests are matched to opportunities provided through eï¬ective succession planning. Creating development plans or a strategic selection of assignments is a way to prepare successors. 3. Identify and Measure Results: To measure the impact of succession planning on a transit agencyâs performance, it is necessary to ï¬rst know the intended results of succession planning and how those results were meant to impact the transit agency mission and priorities. This requires understanding the role that the identiï¬ed position plays in achieving the agencyâs mission and priorities. Once that role is understood, it should become easier to track the progress of the successor against speciï¬c benchmarks to determine whether that employee is on the right path to eï¬ectively ï¬lling the position. 4. Assess Program Eï¬ectiveness: To ensure that succession planning performs as designed, a transit agency must undertake regular formal reviews of the process and reï¬ne it as necessary. It is suggested that an agency evaluate the programâs eï¬ectiveness at least once a quarter. Useful Internal and External Resources Resources for Strategy Implementation Dedicated employee responsible for implementing, sustaining, and evaluating the program. Resources for Sustaining Strategy Integration of succession planning into existing transit agency infrastructure and culture. Job aids for critical positions. Performance management system. Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM Examples of Eï¬ective Programs The U.S. State Department conducts knowledge continuity team meetings that bring together existing experts and successors to transfer the knowledge needed to complete job tasks and duties, as well as follow required processes and procedures. These meetings are the ï¬rst step in developing the successors. After these meetings, employees take part in rotational training programs where they get ï¬rst-hand experience with the job duties required for the critical positions identiï¬ed in the organizationâs succession plan. Keys to Success Hire or promote the successor prior to the experienced employeeâs departure. Allow the two employees to work side-by-side to transfer information and knowledge related to the job.
3-24 Action Plan G: Identify Critical Succession Planning Needs The Director of Transit Operations in one transit agency shared that his transit agency will typically hire an upcoming retireeâs replacement three to four months in advance of the retirement. The two employees can then work side-by-side, giving the experienced employee the opportunity to transfer knowledge to the new employee. By the time the experienced employee departs, the successor is trained and has the necessary knowledge to perform the job duties. A midsize transit agency has a formal one-year long succession planning program that employees can apply to take part in to prepare themselves for a leadership position within the transit agency. Applicants are assessed based on their potential leadership capabilities, rather than education and technical qualiï¬cations. The program consists of six months of classroom work, one-on-one coaching, small group work, and then six months rotating through diï¬erent leadership positions. A large transit agency identiï¬ed critical senior leadership roles in the organization and implemented a rotation program in which employees work in diï¬erent departments to gain knowledge and experience in several diï¬erent roles. If a critical leadership role becomes vacant, one of these individuals is prepared to step into the role. Impact and Cautionary Considerations Positive Outcomes of the Strategy Reduces Time Spent on Successors Training for New Role: Succession planning allows a successor to step in and perform eï¬ectively with less transition time. Because the successor was promoted, trained, and developed prior to the departure of the experienced employee, this individual already has had the opportunity to become comfortable in the new role. The successor received experience in carrying out the job duties for that position while a mentor was available to provide guidance and answer questions. The successor did not have to waste time and resources determining the job role and requirements to + Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM get up to speed. Prepares and Develops Employees: A succession plan helps create a continual supply of qualiï¬ed, motivated people who are prepared to take over when senior staï¬ and other key employees leave the transit agency. When an agency has a succession plan, it sends a message that the organization values its employees and is committed to developing career paths for them. In addition to helping to retain top-performing employees, it can also help the agency recruit new employees based on the organizationâs positive reputation.
3-25 Action Plan G: Identify Critical Succession Planning Needs Reduces Need for External Hiring: Having a succession plan and promoting internal transit employees helps counter the increasing diï¬culty and costs of recruiting employees externally. Signiï¬cant time and resources can be spent on marketing for these critical positions and ï¬nding an appropriate candidate who is able to step into the role. Onboarding a new employee is costly and time consuming. Preparing internal transit employees to take over critical roles eliminates these extra costs. Increases Eï¬ectiveness and Sustainability: A succession plan can increase a transit agencyâs eï¬ectiveness and sustainability. With a succession planning process, the agency has a means of ensuring that the activities and services that are crucial to its operation are sustained beyond the tenure of the individuals currently responsible for carrying them out. Cautionary Considerations or Potential Negative Outcomes of the Strategy Lack of Opportunities for Advancement: The size of a transit agency can have an impact on succession planning eï¬orts. Some agencies have so few positions that they may not have the ability to oï¬er opportunities for advancement. In this case, employees with the potential and the desire to advance their careers may move to other organizations. Additionally, there may not be a deï¬ned timeframe for when a successor will be promoted within the agency, which can lead to a potential successor leaving the organization to seek new opportunities. Employee Not Adequately Prepared for Position: If a successor does not receive the required training and guidance to be successful in a new position, this lack of support can result in an employee who is not prepared for the position and may well fail. Eï¬ective guidance and training and development plans are essential for ensuring that an employee is prepared and trained for the position when the transition occurs. Communication Plan Process for Obtaining Buy-In Leadership Buy-In Gain support of senior leaders by explaining the objectives of succession planning. Valuable Communication Resources Performance management system that captures employee skills, interests, and goals. Information â Knowledge Capture Knowledge Retention KM Planning Knowledge Transfer KM Culture Intro to KM Provide details on expected ROI and the beneï¬ts that succession planning will have to both individual employees and the transit agency as a whole. Employee Buy-In Present succession planning to employees as a way for them to advance in the transit agency and their career. garnered from this system will help management identify possible successors for critical positions.