IMPLEMENTING KNOWLEDGE MANAGEMENT TO SUPPORT EXECUTIVE DECISION-MAKING IN A JOINT MILITARY ENVIRONMENT: KEY ENABLERS AND OBSTACLES by

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A Dissertation Presented in Partial Fulfillment Of the Requirements for the Degree Doctor of Philosophy

Capella University December 2005

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Thomas E. Ward, II

UMI Number: 3196742

Copyright 2005 by Ward, Thomas E., II All rights reserved.

Copyright 2006 by ProQuest Information and Learning Company. All rights reserved. This microform edition is protected against unauthorized copying under Title 17, United States Code.

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UMI Microform 3196742

ProQuest Information and Learning Company 300 North Zeeb Road P.O. Box 1346 Ann Arbor, MI 48106-1346

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Thomas E. Ward, II, 2005

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Abstract

The project examined the use of knowledge management from the perspective of supporting executive decision making in the extremely dynamic environment of joint military operations. It used a sequential qualitative quantitative methodology to analyze and synthesize data obtained primarily from senior U.S. Flag Officers, with a cross section that included the United States Army, Navy, Marine Corps, and Air Force. This project extends existing theoretical frameworks used to frame and describe knowledge

that knowledge management initiatives did not directly manage knowledge. Instead,

environment to enable and encourage information sharing that results in new knowledge generation, coupled with effective capture and presentation of that knowledge to decision makers. Dissemination of new knowledge and of executive decisions to the organization completes and renews the circular knowledge management cycle. Conclusions include five principles for executives wishing to implement a knowledge management initiative and a hierarchical knowledge management domain framework that distinguishes between, while integrating, technology infrastructure, information management, and knowledge management. A three-level stair step model for incremental implementation of a knowledge management project accompanies the knowledge domain framework.

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knowledge management initiatives manage the organization's internal and external

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management and domains of organizational knowledge. An overarching conclusion was

Dedication

I owe so much to so many, as anyone who has been through this process knows all too well. Still, a few stand out, and to these I want to dedicate my humble effort. I want to thank my mother for cultivating a hunger for knowledge, epitomized by making our Saturday morning trips to the public library an adventure my sister and I looked forward to all week. This pleasant introduction into the world available to us

also thank my wife, who when she finished her own Ph.D., turned to me and said, "OK, now it's your turn." Such unflagging encouragement allowed me to accomplish a goal that had remained on a back burner for most of my life. My daughter also spurred me to action, when she enrolled in an online MBA program, prompting me to look at educational venues and delivery means that simply didn't exist a few short years ago. I want to thank my earthly father for passing along a healthy work ethic and faith. He taught me the dignity of perseverance in the face of adversity, and even more important, he modeled a deep abiding faith in our Lord that I have claimed as my own. Finally, I must acknowledge and give thanks to our Creator and Heavenly Father. I have been blessed with some modest personal abilities, but even more by a loving, supportive family. I have done nothing to deserve such blessings - quite the contrary - so I can only attribute them to an abundance of grace and mercy from a generous and ever faithful Providence, who loves us so much He also gave us His only Son.

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through books and their study made the library a comfortable second home for us. I must

Acknowledgments

I cannot begin to adequately express my gratitude to the truly outstanding men who gave so generously of their time as participants in this project. One may recognize in this roster of research participants a "Who's Who" of men who literally shaped our world, up close and personally, often "at the pointy end of the spear." Their experiences range from service aboard a submarine in World War II, through wars in Korea and Viet Nam, the Cold War, Desert Shield and Desert Storm, humanitarian operations across the globe, imposing and enforcing peace in the Balkans, post-9/11 conflicts in Afghanistan and Iraq, and current operations as this was written. All of them have dedicated their lives to

personal cost. Further, they each continue to serve our nation by sharing a lifetime of personal experience, passing personal lessons learned along to the next generation of America's defenders of freedom. Truly, these gentlemen constitute a national treasure. I must also thank all my committee members, especially my mentor, Dr. Martha Hollis, for their time, guidance, and support. I owe a special thanks to General Gary Luck for serving on my dissertation committee. Reviewing a proposal and finished dissertation, and making himself available for the conferences for both, was a truly generous contribution. As the "Senior Mentor of Senior Mentors" to the Joint Warfighting Center at the U.S. Joint Forces Command, he has precious little time for such activities, as his time is truly in great demand. Thanks for working me in.

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unflagging service of our nation, often at great personal risk and frequently at enormous

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Table of Contents

Acknowledgments.............................................................................................................. iv Table of Contents................................................................................................................ v List of Tables ................................................................................................................... viii List of Figures ..................................................................................................................... x CHAPTER 1. INTRODUCTION ....................................................................................... 1 Introduction to the Problem .................................................................................... 1 Background of the Study ........................................................................................ 1 Statement of the Problem........................................................................................ 3

Scope....................................................................................................................... 5 Research Questions................................................................................................. 7 Significance of the Study........................................................................................ 8 Nature of the Study and Theoretical Frameworks .................................................. 9 Research Conceptual Framework ......................................................................... 13 Assumptions and Limitations ............................................................................... 15 Definitions and Terms........................................................................................... 19 Organization of the Remainder of the Study ........................................................ 22 CHAPTER 2. LITERATURE REVIEW .......................................................................... 24 Knowledge Management ...................................................................................... 25 Information Technology ....................................................................................... 59 v

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Purpose of the Study ............................................................................................... 4

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Executive Decision Making.................................................................................. 78 Leader Development............................................................................................. 96 U.S. Military: Current and Emerging Doctrine .................................................. 115 Summary: Inferences and Implications from the Literature Review.................. 121 CHAPTER 3. METHODOLOGY .................................................................................. 143 Research Approach ............................................................................................. 143 Research Questions............................................................................................. 145 The Sampling Plan.............................................................................................. 146

The Data Collection Instrument.......................................................................... 150

Ethical Considerations ........................................................................................ 166 Credibility the Equivalent of Validity in Qualitative Methodologies....... 167 CHAPTER 4. DATA PRESENTATION AND ANALYSIS ......................................... 170 Introduction......................................................................................................... 170 Chapter Organization .......................................................................................... 172 Research Participant Demographics ................................................................... 173 Phase One Analysis: A Summary of Summaries................................................ 178 Phase Two Analysis: Quantitative Content Analysis ......................................... 184 Phase Three Analysis: Integrating Quantitative and Qualitative Data Analysis 214 CHAPTER 5. CONCLUSIONS ..................................................................................... 247 Introduction......................................................................................................... 247 vi

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Data Collection, Analysis, and Display .............................................................. 154

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The Measurement Strategy ................................................................................. 148

Foundations: Defining Knowledge Management............................................ 249 Answering the Research Question ...................................................................... 250 Practical Recommendations: Bridging Theory to Practice................................. 269 Opportunities for Future Research...................................................................... 274 Summary............................................................................................................. 277 REFERENCES ............................................................................................................... 281 APPENDIX A: INTERVIEW ADVANCE PACKET ................................................... 290 APPENDIX B: INFORMED CONSENT FORM .......................................................... 295

APPENDIX D: BIOGRAPHICAL SKETCHES............................................................ 300

Part 2: Biographical Sketches of Pilot Study Participants. ................................. 307 APPENDIX E: PILOT STUDY RESULTS ................................................................... 309 Methodology....................................................................................................... 309 Data Presentation and Analysis .......................................................................... 310 Conclusions......................................................................................................... 316 APPENDIX F: EXECUTIVE SUMMARIES OF INTERVIEWS................................. 319 Interpreting Participant Comments: Interview Executive Summaries................ 319 APPENDIX G: CODING NODE TREE AND BRANCHES ........................................ 354 APPENDIX H: CODING DEFINITIONS AND TREE / BRANCH STRUCTURE..... 359 APPENDIX I: INSTITUTIONAL REVIEW BOARD PACKET.................................. 367

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Part 1. Biographical Sketches of Research Study Participants. .......................... 300

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APPENDIX C: COMPLETE SEMI-STRUCTURED INTERVIEW ............................ 298

List of Tables

Table 1. Research Participant Demographics ................................................................. 175 Table 2. Interview Text Units and Coding...................................................................... 189 Table 3. Tree Node Coding Percentages......................................................................... 192 Table 4. Text Units Coded by Level Two Content Coding Nodes................................. 194 Table 5. Text Units Coded by Level Two Culture Coding Nodes.................................. 196 Table 6. Text Units Coded by Level Two Process Coding Nodes ................................. 197 Table 7. Text Units Coded by Level Two Infrastructure Coding Nodes........................ 197 Table 8. Level Three Content/Quality Coding Nodes .................................................... 199 Table 9. Level Three Culture/Military Coding Nodes.................................................... 199 Table 10. Level Three Culture/Leadership Coding Nodes ............................................. 200 Table 11. Level Three Process/Staff Process Coding Nodes.......................................... 201 Table 12. Level Three Process/Decision Making Coding Nodes ................................... 202 Table 13. Level Three Infrastructure/Information Management Coding Nodes ............ 203 Table 14. Level Three Infrastructure/Role of Infrastructure Coding Nodes .................. 204 Table 15. Level Four Culture/Leadership/Leader Role Coding Nodes .......................... 205 Table 16. Level 4 Process/Decision Making/Decision Maker Comment Analysis........ 206 Table 17. Level 4 Process/Decision Making/Decision Making Support Coding ........... 207 Table 18. Level 4 Infrastructure/Role of Infrastructure/Communication Coding .......... 207 Table 19. Level One Tree Node Intersections ................................................................ 208 Table 20. Free Node Coding Results .............................................................................. 213 Table 21. Participant self-assessment as a computer person....................................... 214 viii

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Table E-1. Pilot Study Executive Summary Coding Node Percentages......................... 313 Table E-2. Pilot Study Full Text Tree Node Coding Percentages .................................. 315 Table E-3. Pilot Study Full Text Node Intersections...................................................... 316

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List of Figures

Figure 1. Conceptual Research Framework: From Topic and Purpose to Synthesis........ 14 Figure 2. Cognitive Hierarchy . ...................................................................................... 117 Figure 3. Research Participant Experience in Joint, Military Department, and Service Component Organization .............................................................................. 177 Figure 4. Root, Level One, and Level Two Coding Nodes. ........................................... 187 Figure 5. Knowledge Management Implementation Principles. .................................... 252 Figure 6. Using Working Groups to Bridge Organizational Boundaries for Information Integration and New Knowledge Generation ............................ 257

Figure 8. A Knowledge Generation Cycle for Decision Making Support...................... 259 Figure 9. A Knowledge Management Component Hierarchy. ....................................... 270 Figure 10. Knowledge Management Implementation: A Three-Level Stair-Step Model ............................................................................................................ 272 Figure G-1. Root, Level One, and Level Two Coding Nodes. ....................................... 354 Figure G-2. Content Node and Subordinate Branches.................................................... 355 Figure G-3. Culture Node and Subordinate Branches. ................................................... 356 Figure G-4. Process Node and Subordinate Branches. ................................................... 357 Figure G-5. Infrastructure Node and Subordinate Branches. ......................................... 358

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Figure 7. Defining Working Group Task and Purpose, Inputs and Outputs................... 258

CHAPTER 1. INTRODUCTION

Introduction to the Problem

"Knowledge integration is the engine of economic prosperity" (Tiwana, 2002, p. 6). Although Tiwanas assertion may be true, the fact remains that despite spending billions of dollars on development and installation of advanced automated information

information to executive decision-makers has not necessarily improved knowledge

been clear. The purpose of this research was to identify and analyze relationships between enablers and obstacles that promote or inhibit delivery of a high percentage of actionable information to executive decision-makers. The environment in which this original research was conducted focused on a joint U. S. military environment.

Although there is an abundance of literature on the subject of knowledge management, there are few examples of measurable success, in terms of tangible results. The British Petroleum example (Stewart, 1999) and the Xerox example (Mitchell, 2001) stood out as notable exceptions, where returns could be expressed in tangible, measurable terms. "What to measure" is a major problem in the field of study (Tiwana, 2002). Most serious quantitative research to date has concentrated on attitudes of individuals or

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Background of the Study

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generation for decision making. The reasons for this inconsistent performance have not

systems in order to improve information management, the delivery and presentation of

Knowledge Management in a Joint Military Environment organizations toward knowledge management, rather than the environmental factors that lead to success or failure. Purposes for implementing knowledge management practices

within an organization varied, but tended to fall within three general themes. These three themes, while not specifically identified as such, also tended to emerge from a review of literature. The first theme was one of knowledge management as a means of making information more readily available to members within an organization, and in some cases to the organizations partners or customers. The second theme built on the first, using the enhanced ability to access relevant information, and combining that ability with processes

specific, deliberate support to decision making. While the process of decision making

how to use enhanced information storage and retrievable capabilities and new information generation capabilities to support decision making at the executive level. This theme encompassed a much broader perspective than the technology focused perspective implied by terms such as Decision Support Systems (DSS) or Executive Information Systems (EIS). Certainly, automated DSS and EIS may have been components of knowledge management within an organization, but knowledge management for decision making support encompassed a far broader perspective that included organizational, cultural, and environmental factors as well as a tangible, technology based information systems infrastructure.

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was generally implied or assumed in the first two themes, this third themes focus was on

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or organizations that promote generation of new information. The third theme was one of

Knowledge Management in a Joint Military Environment

Statement of the Problem

In the military environment, as well as the civilian business environment, huge investment in information technology has not necessarily brought about higher quality decisions, or the kind of decision making support that enabled higher quality decision making. The delivery and presentation of information to executive decision-makers has

inconsistent performance have not been clear. Terms such as information overload and information glut were almost common topics in professional and academic literature. Although it has long been recognized that more information is not synonymous with better information, defining what really is better information has been elusive, and the generation of knowledge to support executive decision making has become something of a holy grail terribly desirable but very elusive. While there appeared to be a management opportunity to use information management systems technology to manage knowledge, improving both the quality and the timeliness of management decisions, pervasive negative symptoms included high cost coupled with little or no improvement in decision making support. High cost is a relative term, of course, but the expense of information technology systems creates a dilemma, in that the results of knowledge management initiatives are very likely to be measured in subjective terms, rather than objective terms. The use of subjective terms to describe success or failure in knowledge management initiatives creates a management dilemma: determining what to measure

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not necessarily improved knowledge generation for decision making. The reasons for this

Knowledge Management in a Joint Military Environment

and signs of success, particularly in environments where Return on Investment (ROI) is difficult or impossible to measure.

Purpose of the Study

A primary purpose of this research was to develop a practical description of "better" information for decision makers information that increases knowledge, also

decisions. Besides identifying and defining the characteristics of "good" information for decision making, this project endeavored to identify and analyze relationships between a number of factors that are suspected of having a major influence on successful or unsuccessful implementation of a knowledge management initiative the enablers and obstacles. Factors identified by existing literature included the technology base, organizational culture, organizational processes, and compensation and reward systems. The research data generally confirmed the presence and perceived importance of these factors, while further illuminating the role of leadership, decision maker information needs and processing style, incremental implementation, and identification of the goals for any knowledge management initiative implementation.

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referred to as situational understanding (FM 6-0, 2003), in order to enable better

Knowledge Management in a Joint Military Environment

Scope

Rationale

JTF Information Management (ALSA, 2003) provided a baseline for organizations attempting to implement effective information management in a Joint Task Force, or any other analogous organization. It explained overarching concepts of information management, described in detail the recommended components of an

naming conventions. It also emphasized the need to provide more than a retrospective presentation of situations in regular briefings to decision makers, and stressed the need to integrate information that tends to remain in silos or stovepipes in functional channels that tend not to share information outside functional lanes. Mission Command (FM 6-0, 2003) also addressed the need to generate situational awareness in the mind of the critical decision maker, the commander. None of these current doctrinal publications, however, provided more than a hint at the challenges inherent in accomplishing the goal of providing actionable information to key decision makers and effective situational understanding that enables timely, effective, and confident decision making. In both the joint and individual Service Component communities, training exercises are conducted regularly to develop commanders and their supporting staffs to effectively command and control large, complex organizations in dynamic environments. These organizations struggle daily with the challenges of operating and maintaining an

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Information Management Plan, and even provided detailed recommendations on file

Knowledge Management in a Joint Military Environment incredibly complex, globally dispersed information technology (IT) infrastructure, and adapting institutional processes to effectively use that IT infrastructure. While the concept of an information hierarchy is well developed and presented (ALSA, 2003), the processes, organization, and culture required to transform data to information to knowledge to understanding appear to be assumed. The desired end state is clear: situational understanding in the mind of the commander. The path for the organization, however, is essentially one of self-discovery. This study endeavored to chart and illuminate a path for organizations attempting to implement knowledge management, by

observations of experienced high level decision makers.

A key part of data collection for this study was accomplished by conducting semistructured interviews with a relatively small number of executive level decision makers in the military and supporting professions that have had to deal with decision support from large staffs in extremely dynamic environments. The data that activity generated was predominantly qualitative. This research sought to identify enablers and obstacles in the environment studied, to analyze their relationships, and to synthesize an approach to knowledge management implementation in this specific environment that could ultimately lead to better decision making support. This research focused specifically on application of knowledge management to support executive decision making, gathering perceptions from executive-level decision makers about what works and what does not.

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Study Scope Boundaries

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integrating recent or emerging academic theory with real world lessons learned and

Knowledge Management in a Joint Military Environment This research project adopted a critical realist framework, with a constructivistpragmatist perspective (Robson, 2002), recognizing that dynamic environments are not repeatable, and there is no single correct answer to the challenges of knowledge management implementation that is applicable to all environments. The realist

framework described by Robson, consisting of action, mechanism, context, and outcome, appeared ideal for analyzing the relationships and interactions of elements in the very complex environment studied.

Research Questions

The primary, overarching question guiding this study was: How can knowledge management principles and practices be used to improve situational understanding and executive decision-making of senior leaders in extremely dynamic environments? There are several subordinate questions that support the primary question: 1. What are the characteristics of an organization that uses information management systems technology to manage knowledge, and effectively support decision making? 2. What factors enable or inhibit effective knowledge management to support decision making? 3. Who has been successful, and how did they do it? 4. Who has been unsuccessful and why? 5. How can another organization use the lessons learned from successes and failures in order to make its own knowledge management efforts support decision making better?

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Knowledge Management in a Joint Military Environment Significance of the Study

In a modern society, the sheer volume of information available to individuals and organizations can be overwhelming. Information technology makes it possible to access and retrieve more information than can be intellectually processed and understood by any individual. In complex organizations and environments, organized systems are required to effectively mange and use information to generate knowledge. Simply knowing what we know is a daunting challenge; knowledge can easily get lost in the enormous volume of what is available. Tiwana (2002) provided an illuminating vignette, describing a case in which a British chemical company developed a pilot process that looked promising but

additional research to solve the problem, one project team member conducted a worldwide patent search for a possible solution. He discovered that a patent had been issued to address the specific problem they were facing, and that their company already owned the patent.

The value of knowledge management goes far beyond avoiding the cost of reinventing the wheel. This study highlights a distinction made by Nonaka (1998), between information processing to reduce uncertainty and information creation that generates uncertainty but simultaneously increases opportunity, particularly in new product creation. Effective knowledge management incorporates both perspectives. In the context of support to executive decision making, it is easy to see that an organization would want to identify, create, develop, and implement new opportunities based on

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experienced a sludge deposit problem when scaled up for production. After investing in

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Knowledge Management in a Joint Military Environment greater understanding of both static and dynamic environments. At the same time, however, determining where and how to concentrate resources and deciding which

options to select requires something more than a laundry list of options. Decisions require analyzed information, packaged and presented in forms that generate not only an awareness of the situation, but understanding of the situation and appreciation of the likely consequences of decision options. This is a ubiquitous challenge, common to all decision making environments at management and executive levels. While this study focused on challenges of implementing knowledge management

Because the challenges of successfully implementing knowledge managementare

deal with them could prove to be broadly applicable as well.

One of the challenges facing proponents of knowledge management is defining what it really is, and how the components of a knowledge management system interact. The desire for "better information" to enable "better decisions" is nearly universal. Exactly what that means is not universally understood. One aspect of knowledge management identified previously was an attempt to combine organizational information in a way that generates value by creating new intellectual property (Nonaka & Takeuchi, 1986; Nonaka, 1988). While that is a legitimate line of research, it is not the focus of this effort except as the generation of new knowledge applies directly to decision making.

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universal, greater understanding of those challenges and recommendations for how to

Nature of the Study and Theoretical Frameworks

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in a joint military environment, conclusions may be applicable in a broader context.

Knowledge Management in a Joint Military Environment This research was focused on using information management systems specifically to enable better support of decision making at the executive level. Automated information systems have generated the capability to provide "more" information for making decisions at every level. Experience has indicated that "more" information is not necessarily "better" information, especially in light of the challenge imposed by the presence of bounded rationality (Simon, 1990 & 1991). Understanding the term "information management systems" is critical in this context, because it does not refer merely to the variety of computer and communications systems that capture, store,

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"information management systems" refers to the entire system used to handle and present

and psychological components of support for decision making. The primary framework for examining knowledge management was the Organizational Knowledge Domain Model (OKDM) (Dana, Korot and Tovstiga, 2001). They considered organizational knowledge in four domains: content, culture, processes, and infrastructure. These four domains are evident in the data collection instrument developed for this research, and in the structure of the data coding tree at Appendix G. The conceptual framework is illustrated at Figure 1 in the Literature Review. A second framework guided the development of Chapter 2, the Literature Review. This framework consists of four elements: knowledge management, information technology management, decision making, and leader development. While the Dana, Korot and Tovstiga (2001) framework has been applied to previous research, this second

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information, including the technological, organizational, analytical, cultural, educational,

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transport, sort, and retrieve information in digital form. On the contrary, the term

Knowledge Management in a Joint Military Environment framework is unique to this research, and was intended to supplement the OKDM. The

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presence of this second framework is also visible, as a root level topic and as second level topics in the branched a coding tree at Appendix G. An additional framework considered during this research was presented by Bartczak (2002). This framework described a knowledge management component hierarchy, consisting of an information technology (IT) foundation, supporting an information management / knowledge management (IM / KM) layer that in turn supports a knowledge capture (KC) layer. In this framework, IT provides the hardware, software,

/KM layer in the component hierarchy consists of the processes and procedures that

largely on controlling information to ensure it is usable and reliable. At the KC level of this hierarchical framework, the focus is on knowledge capture that transforms knowledge into information. This framework is hierarchical, and emerges from Bartczak's conclusion that knowledge capture (KC) is a higher order phenomenon than knowledge management (KM), and that knowledge transfer (KT) is the ultimate goal of KM. Bartczak's hierarchy of KT components was consistently used as a lens through which KM was considered, and resulted in an adaptation presented in Chapter 5, and a three-level stair step model for KM implementation, in which knowledge capture and conversion is embedded at lower levels, and knowledge transfer is considered in terms that distinguish between tacit knowledge transfer and explicit knowledge transfer.

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enable the IT layer to be managed and effectively used. The IM / KM level focus is

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and communications that make automated information management possible. The IM