Institutionalization of Knowledge Management in the Federal Government: an Exploration of the Mechanisms
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Institutionalization of Knowledge Management in the Federal Government: An Exploration of the Mechanisms by Lourdes Naomi Alers-Tealdi A Dissertation submitted to the Graduate School-Newark Rutgers, The State University of New Jersey in partial fulfillment of the requirements for the degree of Doctor of Philosophy written under the direction of Norma M. Riccucci, PhD and approved by Dr. Norma M. Riccucci (Chair) Dr. Frank J. Thompson Dr. Gregg G. Van Ryzin Dr. Marco Aurѐlio Marques Ferreira Newark, New Jersey May, 2015 2015 Lourdes Naomi Alers-Tealdi ©ALL RIGHTS RESERVED ABSTRACT OF THE DISSERTATION Institutionalization of Knowledge Management in the Federal Government: An Exploration of the Mechanisms By Lourdes Naomi Alers-Tealdi Dissertation Director: Dr. Norma M. Riccucci Despite knowledge management studies being widely attributed to the business field, it was Public Administration that actually pioneered scholarly work on the subject. In 1975, the Public Administration Review published a knowledge management symposium that not only coined the term “knowledge management,” but also broadly examined “knowledge administration.” Relevant to the study of knowledge management is the idea of promoting knowledge sharing within the organization. Since the 1990s, when U.S. federal agencies initiated their efforts on knowledge management, knowledge sharing has become a key management proposition to the executive leadership within the federal government. There are two main driving forces for promoting knowledge sharing in U.S. federal agencies. First, an aging workforce requires the U.S. federal government to prepare for the transfer of knowledge from one generation of employees to the next. Second, knowledge sharing could be crucial for the U.S. federal workforce to accomplish the diverse and challenging missions of the U.S. federal government. For an agency to accomplish its mission, we need a better understanding of the mechanisms that lead to knowledge sharing. Using an institutional theory perspective, this study hypothesizes that culture, incentives and technology influences knowledge sharing behavior in U.S. federal agencies. The study uses a mixed methods design in which both qualitative and quantitative research methods are applied to obtain a better understanding of the ii institutionalization of knowledge sharing in U.S. federal agencies and to empirically verify the theoretical framework proposed in the study. Using the survey responses of U.S. federal employees within the executive branch agencies, the study finds that while culture and incentives influence knowledge sharing behaviors within an agency, technology has a neutral effect on knowledge sharing behavior within an agency. Given the scarcity of research in Public Administration on knowledge management, this research will contribute empirical work to the literature that hopes to not only deliver theoretical fruitfulness but also provide managerial direction to public sector leaders. iii Table of Content List of Tables vi List of Figures vii List of Exhibits viii Chapter 1: Introduction - Knowledge Management in Public Administration 1 Overview 1 Foundations of Knowledge Management 2 Knowledge Management in Federal Government 4 The Value of Knowledge Management in Government 7 Significance of Knowledge Management in Public Administration 10 Structure of the Dissertation 11 Chapter 2: Literature Review and Research Question 13 Overview 13 Knowledge Management Definition 14 Historical Foundations of Knowledge Management 16 Knowledge Management in Organizations 17 The Search for Knowledge-Based Assets 21 The Phenomena of Knowledge Sharing 26 The Study Research Question 41 Appendix 2.1: Empirical Studies in Knowledge Sharing 43 Chapter 3: Theoretical Model, Hypotheses and Research Design 46 Overview 46 Institutional Framework 46 Theoretical Model 51 Research Methodology: Sample, Data, Measurement and Analysis 57 Research Design: Sample and Data 58 Measurement 60 Analysis 62 Conclusion 64 Appendix 3.1: Cabinet Level Departments by the Year Established by Act 65 Chapter 4: Quantitative Analysis and Findings 66 Overview 66 Data Structure: Informant Perceptions and Operational Data 67 Survey Sample: General and Demographic Statistics 68 Measurement of Latent Predictors: Culture and Incentives 70 Measurement of Observed Predictor: Information Technology 73 Control Variables: Supervisor, Gender, Minority, Age and Tenure 74 Predictive Model for Knowledge Sharing in the Federal Government 75 Effects Model 83 Aggregate Model 87 iv Theoretical Implications 91 Research Limitations 92 Appendix 4.1: Standardized Culture Scale 96 Appendix 4.2: Standardized Incentives Scale 97 Appendix 4.3: Descriptive Statistics for Regression Variables 98 Chapter 5: Qualitative Analysis and Findings 99 Overview 99 U.S. Administrative Law and Knowledge Management 101 Knowledge Management Dimensions in the U.S. Federal Agencies 104 Knowledge Management Discourse within the U.S. Federal Government 106 Case 1: Improving Business Processes through Knowledge Management at the 123 Federal Transit Administration Case 2: Becoming a Learning Organization through Contextual Learning at 129 NASA The Renaissance of Knowledge Management 136 Theoretical Implications 138 Research Limitations 140 Appendix 5.1: Invitation Letter for Meeting on 7/30/2014 142 Appendix 5.2: SMEs Unstructured Interview Protocol 144 Appendix 5.3: FTA Knowledge Management Strategy Overview 146 Appendix 5.4: NASA Knowledge Management Map 147 Appendix 5.5: LLIS Approval Process for Goddard Space Flight Center 148 Chapter 6: Conclusion - Summary of Findings, Practical Implications, and 149 Limitations to Address in Future Research Overview 149 Summary of Findings 150 Practical Implications 154 Limitations to Address in Future Research 157 The Path for Knowledge Management 159 Citations 161 v List of Tables Table 3.1 Predictor Variables: Knowledge Sharing Relationship Direction from 56 Prior Studies Table 4.1 Executive Branch Departments Survey Participation Summary 68 Table 4.2 Dependent Variable with Demographics Information 69 Table 4.3 Dependent Variable Employee’s Responses by Agency 70 Table 4.4 2012 Information Technology (IT) Investments for Executive Branch 74 Table 4.5 Results of the Brant Test of Significance 77 Table 4.6 Regression Variables Correlation Matrix 82 Table 4.7 Variance Inflation Factor for Regression Model 83 Table 4.8 Percentage Change in Odds between Base and Fixed Effects (FE) Model 87 Table 5.1 Knowledge Management Language Coding Matrix 110 Table 5.2 NASA’s Knowledge Management Programs 130 Table 5.3 Most Commonly Used Knowledge Management Practices 136 vi List of Figures Figure 3.1 Institutionalization of Knowledge Sharing 51 Figure 5.1 U.S. Code of Law Process Simplified 102 Figure 5.2 The Chain of Learning 105 Figure 5.3 Knowledge Management Discourse in U.S. Federal Agencies 109 vii List of Exhibits Exhibit 4.1 Odds Ratio Estimated from PPOM Predicting Knowledge Sharing 80 Exhibit 4.2 Odds Ratio Estimated from PPOM with Agency Effects Predicting 86 Knowledge Sharing Exhibit 4.3 Odds Ratio Estimated from PPOM with Aggregate Model Predicting 90 Knowledge Sharing viii 1 Chapter 1: Introduction - Knowledge Management in Public Administration Overview Beyond early conceptions of knowledge, the mere art of individual and organizational survival have underscored the need to view knowledge as a practice. Under this view, the production and consumption of information allows individuals, markets and bureaucracies to organize themselves through the aptly act of knowing. It is this pragmatic perspective that has provided for the advent of knowledge management within organizational life. In the academic field, the subject of knowledge management has been of primary interest to scientists working on organizational theory. The field was propelled by the increasing need of practitioners to understand how to better optimize and leverage intellectual assets within the organization. Given the competitive pressures of the market combined with the foreseen explosion of information in the 1980s, it should not be surprising that these efforts started in the private sector. The leading journal in management, Harvard Business Review, published a series of articles that became cornerstones to the business field (Argyris, 1991; Brown, 1991; Drucker, 1988; Garvin, 1993; Kleiner and Roth, 1997; Leonard and Straus, 1997; Nonaka, 1991; Quinn, Anderson and Finkelstein, 1996). According to Frappaolo (2002), knowledge management as a term was common parlance among the business community by 1997. Despite knowledge management studies being widely attributed to the business field, it was Public Administration that actually pioneered scholarly work on the subject. Public Administration Review, the leading journal of the field, published a knowledge management symposium that not only coined the term “knowledge management,” but 2 also broadly examined “knowledge administration” (Caldwell, 1975; Carroll, 1975; Goerl, 1975; Gates, 1975; Henry, 1975; Keating, 1975; McCaffery, 1975). Although predicted to dissipate as a management priority, its interest continues to emanate because of the increasing amount of knowledge assets generated in organizations. Knowledge management is a relevant area of study in the public management field. This dissertation channels the direction of the research towards focusing on the ultimate goal of a knowledge manager: promoting knowledge sharing within the organization. Therefore, the purpose of this research is