Brian R. Gaines
Knowledge Science Institute
University of Calgary
Calgary, AB, Canada T2N 1N4
This article develops a model of organizational knowledge acquisition in terms of modern psychological, sociological, economic and management theories by deconstructing the terms involved: an organization as a collective agent having goals and capabilities to achieve them; knowledge as the hidden state variables imputed to an agent as the basis of its capabilities; and acquisition as the reproduction of dispositions. This form of model enables one to relate the knowledge processes involved to existing models of organizational processes, and to understand such phenomena as knowledge economics and knowledge management. The breadth of the notion of organization encompasses markets, firms and societies; the operational definition of knowledge clarifies its role and the utility of the notion; and the focus on reproduction of dispositions in knowledge acquisition enables the management of knowledge acquisition to be analyzed.
The phrase, organizational knowledge acquisition, is deceptively simple if interpreted colloquially. We probably all believe that organizations acquire knowledge, and would be quite happy to explain or speculate about how they do so. However, if we attempt to do this in a professional context and to sustain our position through well-structured arguments we encounter many problems.
The notion of organization is a loose one that encompasses firms, markets, hierarchies, networks, territories and their infrastructure, governments, societies, and many other forms of collectivity and infrastructure. The notion of an organization in general needs careful delineation (Scott 1992; Thompson 1967) and it is not clear that there is meaning to the phrase knowledge acquisition in organizations in general.
The notion of knowledge is at least as problematic, another compendium term denoting a natural kind defined by our usage and not subject to precise definition (Gadamer 1972; Goodman and Fisher 1995). The recognition of knowledge as critical in distinguishing rational arguments from emotional ones was a major innovation of the Athenian enlightenment (Solmsen 1975). Havelock (1963) has argued that knowledge as an abstraction became possible through the transition from an oral to a literary culture, and Sullivan (1997; 1999; 2000) has traced the developing use of terms relating to human thought processes such as phren, nous and psyche, in the early Greek literature of Aeschylus, Sophocles and Euripides. Plato has Socrates ask What is knowledge? in Theaetetus (Plato and Cornford 1935) and note that Herein lies the difficulty which I can never solve to my satisfaction. Developing an answer to this question was a major topic for philosophers in the seventeenth century enlightenment. In particular, Bacon's (1960) answer that knowledge must be based on empirical observation was major feature of the ideology inspiring the scientific revolution.
The notion of acquisition is normally easier to define in terms of the transfer of property rights (Alchian 1977; Barzel 1997) but not so easy when the property being acquired is as ill-defined as knowledge and the acquirer as ill-defined as an organization. As research in knowledge acquisition has developed it has been recognized that knowledge is not readily transferable both because it exhibits stickiness (Hippel 1994) at its source and and also because there is a need for absorptive capacity (Cohen and Levinthal 1990) in its intended recipient.
Thus, modeling knowledge acquisition by an organization presents some conceptual and terminological problems, and it is important to have operational definitions of the notions involved. However, it is also important not to define away the rich complexity of knowledge acquisition phenomena in the real world, and hence the next section will present the results of an empirical study of how managers approach knowledge acquisition in practice.
Managers involved in an ongoing project on knowledge modeling of manufacturing processes in small companies were asked to take a day away from the primary project and focus instead on the routine acquisition of knowledge that took place in their normal businesses. How did their organizations acquire knowledge? Seven of us brainstormed to develop a scenario in which key people might be leaving, new requirements were arising, new processes and materials had become available, and so on, and asked how the new knowledge necessary to cope with these changes would normally be acquired. Most of the possibilities had immediate referents in the experience of members of the group, including recollections of the most valuable sources of relevant knowledge.
The tool used to collect and organize the data, KMap, is a scriptable, multi-user concept mapping system (Gaines and Shaw 1995b) that we had previously used to model various manufacturing processes (Gaines and Shaw 1994b). For this application it was scripted to provide the supportive environment recommended by the Arizona University team (Nunamaker, Dennis, Valacich, Vogel and George 1991) in which possible topics can be proposed anonymously by several people simultaneously, freely discussed by the group, and accepted on a consensual basis or edited/put-on-hold if such acceptance proves difficult (Gallupe and Cooper 1993). Each user, or group, interacted with a large, central, shared screen through a local workstation that allows the user or group to develop and assess their ideas before posting them to the entire community. Figure 1 shows the central, shared screen listing the knowledge acquisition activities that had been elicited towards the end of the session. We discussed and refined them, editing the text where it was awkward or ambiguous, eventually reaching a consensus represented by Figure 1.
Figure 1 KMap showing consensus reached on routine knowledge acquisition activities
As usual there was a debate about the comprehensiveness of the listÑdid all our new knowledge come routinely through one of the routes shown? However, it was eventually agreed that the list covered most practical possibilities that we could exemplify, and that it would not be problematic to add to it later if appropriate. Experience in using the knowledge acquisition tools for knowledge modeling had left everyone comfortable with the notion that all knowledge is provisional--what had been elicited could be changed and edited. It was interesting to note how many of the knowledge acquisition activities involved human resourcesÑknowledge management is as much a matter of people as of technology.
We now had a reasonably comprehensive list of knowledge acquisition activities that the organization used routinely in its operation, and wanted to model these in terms of their properties, similarities and differences. The tool we had used to model manufacturing processes in these terms was WebGrid (Gaines and Shaw 1997), an implementation of Kelly's (1955) repertory grid technique for eliciting the critical dimensions along which a related set of elements may be characterized. Kelly called these dimensions the constructs that enabled us to characterize the similarities and differences between the elements. He emphasized that these dimensions were not necessarily 'objective' features, but would often be idiosyncratic to individuals or communities, representing the cultural frameworks in which they operated.
From the early years of personal construct psychology, techniques have been developed to support the elicitation of the construct systems being used by individuals or groups and, since the 1970's, many of these have been embodied in interactive computer programs that elicit the elements and constructs, and represent logically and graphically the relations between them (Shaw 1980). WebGrid is the latest in a series of such programs (Mancuso and Shaw 1988). It operates through the World Wide Web to support distributed communities in collaborative knowledge acquisition activities. It had the advantage that our managers were already familiar with it in application to modeling their business processes, and had no difficulty transferring their experience to a different domain. Seven constructs were elicited from the group: internal--external; same size--expand; process improvement--process development; coded--tacit; active--passive; transmitted--experiential; and technology--people.
Figure 2 shows the Map facility in WebGrid used to perform a principal components analysis of the grid developed and plot it in two dimensions to show the relationships between the elements, in this case the knowledge acquisition activities of Figure 1, and the constructs or dimensions distinguishing them.
Figure 2 Map of repertory grid of constructs distinguishing knowledge acquisition activities
Two major constellations of dimensions are apparent in Figure 2: a horizontal one characterized by process improvement, passive knowledge acquisition, internal processes and keeping the organization the same size at one end and by process development, active knowledge acquisition, expanding the organization and external processes at the other; and a vertical one characterized by people, experiential knowledge acquisition and tacit knowledge at one end and by technology, transmitted knowledge acquisition and overt knowledge at the other.
As noted in Section 1, the notion of knowledge has been subject to analysis since the fifth century B.C., and that analysis has had substantial impact on progress in science and technology. Beninger (1986) has documented the growth in industry since the industrial revolution that necessitated what he terms the control revolution leading to an information society, and Chandler (1977) has noted how it also lead to a managerial revolution imposing a visible hand on industry. Drucker (1993) has characterized the managerial revolution as one in which knowledge is being applied to itself, and this has stimulated developments in scientific management and knowledge-based or expert systems, and a focus on knowledge management.
Recognition of the role of knowledge in the managerial revolution has drawn attention to the need to understand the nature of knowledge and knowledge processes in society with an emphasis on a pragmatic stance reminiscent of Peirce, James, Dewey, et al, that characterizes knowledge in terms of its utility. For example, in the artificial intelligence literature, Newell (1982) has analyzed what he terms the knowledge level and has situated knowledge in the epistemological processes of an observer attempting to model the behavior of another agent:
The observer treats the agent as a system at the knowledge level, i.e. ascribes knowledge and goals to it.
emphasizing that:
The knowledge level permits predicting and understanding behavior without having an operational model of the processing that is actually being done by the agent.
He defines knowledge as:
Whatever can be ascribed to an agent such that its behavior can be computed according to the principle of rationality.
noting that:
Knowledge is that which makes the principle of rationality work as a law of behavior.
and defining rationality in terms of the principle that:
If an agent has knowledge that one of its actions will lead to one of its goals, then the agent will select that action.
That is, for Newell, knowledge is ascribed to an agent to explain its capabilities, and there is no knowledge without capabilities. However, note that knowledge as defined above need not be communicable. It can be tacit (Polanyi 1958) and not encoded as information that can be transmitted to another agent. Also note that Newell's definition applies equally whether the agent is an individual or an organizationÑindeed, it suggests a collective stance (Gaines 1994a) in which organizations are modeled as compound individuals.
Newell's definition has been formalized, in the educational literature by Doignon and Falmagne (1999) who provide a set-theoretic model of knowledge space for a given topic and procedures to determine a student's position in the space, and in the artificial intelligence literature by Gaines (1997) who shows that the natural axioms of knowledge space define a system of logic. He also shows that knowledge/capabilities acquisition may be expedited by a process that increases the difficulty of a task as the performance of the learner improves and requires no other knowledge of the learner's processes or the knowledge necessary to perform the task.
Newell's analysis of the knowledge level is important in providing a close link between knowledge and capabilities and demonstrating that knowledge management is a matter of capabilities management. Ultimately, the objective of knowledge acquisition is capabilities acquisition (Sanchez and Heene 1997). Bacon emphasized this aspect of knowledge also in his famous aphorism:
Human knowledge and human power meet in one; for where the cause is not known the effect cannot be produced. Nature to be commanded must be obeyed; and that which in contemplation is as the cause is in operation as the rule. (Bacon 1960)
Similarly, Penrose (1959) in her analysis of the growth of the firm modeled it as a bundle of resources but emphasized that:-
Strictly speaking, it is never resources themselves that are the 'inputs' in the production process, but only the services that the resources can render.
There is a natural dependency structure among capabilities, that possessing one capability, or a combination of capabilities, normally entails possessing another. There are also differences in the value of various capabilities to an organization. Pralahad and Hamel (1990) have analyzed capabilities in terms of their roles in securing competitive advantage, and distinguished core capabilities as those which both give competitive advantage and are also difficult to acquire. Leonard-Barton (1995) has extended the classification:-
Supplemental capabilities are those that add value to core capabilities but could be imitated...Enabling capabilities are necessary but not sufficient in themselves to competitively distinguish a company
It is tempting to extend this classification to the knowledge underlying the capabilities but this would be misleading since there is not a one-to-one relationship between knowledge and capabilities--usually, many different sets of knowledge can lead to the same capability.
There are a number of critical constructs that apply to knowledge and capabilities. The two which underlie the Pralahad/Hamel and Leonard-Barton analysis are: easy to acquire--difficult to acquire; provides competitive advantage--does not provide competitive advantage. Note that these are properties relative to an organization--what is easy to acquire for one organization may be difficult for another, and what provides competitive advantage for one may not for another, even in the same market sector.
Other critical constructs are: abstract--concrete capturing generality; direct--meta capturing level of operation; individual--organizational capturing location; widely diffused--narrowly diffused capturing accessibility; tacit--coded capturing communicability; passive--active capturing utility. Boisot (1995) has analyzed such constructs in depth, characterizing information space and modeling knowledge assets (1998) in terms of them.
Figure 3 uses a cross-plot of the tacit--coded and passive--active dimensions corresponding to the principal axes in Figure 2 in order to highlight important aspects of knowledge acquisition. Passive knowledge that is acquired but not used is data that just represents experience if it is tacit but becomes information if it is coded. Active knowledge that is used as a problem-solving capability supports a skill if it is tacit but becomes know-how (Kogut and Zander 1992) if it is coded.
Figure 3 Constructs of knowledge
Bacon's prescription for science based on observation
corresponds to reflective learning from experience to information. His 'knowledge
is power' aphorism corresponds to the transition from information to know-how.
This transition and that from skill to know-how underlie the development of technology
and of human technical culture (Hall 1959).
The latter transition is that emphasized by Nonaka and Takeuchi (1995) as underlying the knowledge-creating
company, by Hall (1959)
as underlying success in training civilian
clerks in technical skills in World War II and by Gibbons et al (1994) as being a Mode 2
method of knowledge acquisition underlying
the new production of knowledge.
Advances in knowledge representation tools supporting the
transition from information to know-how and acquisition tools and techniques
supporting the transition from tacit knowledge to coded knowledge triggered off
a boom in industrial interest in expert systems in the 1980s:-
Hayes-Roth also characterized situations that instigate
knowledge engineering initiatives:-
The industrial application of expert systems has not has
as much impact as first hoped, but many successes have been reported--for
example, the April and July 2000 issues of InTech Magazine published by the Instrumentation, Systems and
Automation Society, has a paper from Eli Lilly on the deployment in its
fermentation plant of an expert system programmed in Gensym's G2:-
The importance of such projects is that the knowledge of a
human expert has been successfully encoded as information in a declarative
structure of production rules that
automatically reproduced the human expertise when interpreted by the G2 expert
system shell.
The commercial potential of expert systems technology was
over-stated in the 1980s (Feigenbaum, McCorduck and Nii 1988)
and they are not fashionable currently and do not have a significant role in
the knowledge management literature. Figure 4 characterizes the growth of the
literature in artificial intelligence (AI), expert systems (ES), knowledge
acquisition (KA) and knowledge management (KM) through 2001 by plotting the
number of books in the library catalog of a world-class university with strong
AI and KM research areas.
Figure 4 Growth in number of AI, ES, KA and KM books held in a library
The number of books with expert system(s) in the title shows a standard sigmoidal learning
curve Crane 1972) with the peak growth during the 1986 to 1992 period and publication waning
thereafter. The number of books with artificial intelligence in the title is still growing and it is difficult to
characterize accurately the peak growth period but the data so far is
consistent with that being from 1986 through to 1998. The number of books with knowledge
acquisition in the title follows the same
pattern as for 'expert systems' and that for knowledge management appears to be at an early stage of take off, much as
was artificial intelligence in the early 1980s.
Expert system concepts and technology are appearing in
organizations in other guises. Neuron Data,
one of the most innovative and successful of the original expert system
companies, was taken over and now trades as Blaze Software (http://www.blazesoft.com/). It supports the business
rules layer in the IBM/Microsoft
multi-layer client server enterprise model through use of the powerful
knowledge modeling tools that were developed for Neuron Data's expert system
shell, NEXPERT. Seiler (1999),
the founder of Rule Machines Corporation,
shows the role of business rules within an enterprise architecture (Figure 5)
and emphasizes that they are not expert systems or database triggers but rather a way in which end-user management can
specify activities in terms of what he terms business speak. Kremer (1991)
has shown how the procedures manual of a major oil company translates naturally
into a system of rules and exceptions.
Figure 5 Business rules within n-tier application architecture
It is the automation of human intelligence that has proved slower to develop than predicted,
and that part of the objectives of artificial intelligence research concerned
with making knowledge overt as coded information remains of fundamental
importance in knowledge management. It has always been the prime objective of
science and technology, and if, in the short and medium term, computers cannot
make the knowledge active and use it to solve problems then there is still the
possibility that human learners, people and organizations, can use the more
overt expression of knowledge do so.
Hayes-Roth's list of applications in the previous section
overlaps with those of knowledge management initiatives, and much of what has
been learned and developed in knowledge acquisition studies for both education
and expert systems is relevant to knowledge management. For example, he
emphasizes the role of expert systems when an organization requires more
skilled people than it can recruit or retain,
and a standard corporate approach to such labor shortages is through training. E-learning, on-line computer-based education and training, has developed
extensively during the same period as expert systems and there is now a major
industry supporting corporate universities (Meister 1998)
and providing on-the-job training and just-in-time
learning (Wills 1998).
For example, the Learn4life division of SAIC, a $10B/year company, provides
modules targeted on the full range of emergency services, law enforcement, fire
service and search and rescue (http://www.Train4life.com/), and Motorola
University offers courses in a wide range of core skills areas where
recruitment is problematic such as software engineering (http://mu.motorola.com/).
There is much to be learned from the education and
training literature that is relevant to organizational knowledge acquisition
and knowledge management. For example, the analysis of educational
objectives (Hauenstein 1998) that is used to structure e-learning provides
taxonomies that may also be used to characterize organizational knowledge.
Metfessel, Michael, and Kirsner (1969) provide
tables that allow well-formed objectives to be generated in different domains
through a 'buzz-word' process that is simple to implement with a computer and
use to generate required organizational capabilities in statements of knowledge
management objectives.
One outcome of the research effort directed at knowledge
acquisition for expert systems has been to develop cognitive models of people
and organizations based on empirical data and the application of psycho-social
theory. In the early days of artificial intelligence, Dreyfus (1972)
argued that human intelligent behavior could not be reproduced by information
in a computer, and Dreyfus & Dreyfus (1986) have argued that
Their arguments against the possibility of artificial
intelligence are based on Wittgenstein's (1953)
analysis that suggests that the notion of human behavior following a rule is paradoxical:-
However, Kelly's (1955) personal construct psychology provides a
constructivist model of anticipation,
prediction and action, in human experience in which rules are supervenient on the process of construing experience, and there
is no explicit representation or use of rules in human expertise.
Wittgenstein's statement above is correct in personal construct psychology
because the agent is not obeying a rule but rather making a choice based on past experience, usually
attempting to maximize the probability of correct anticipation but, possibly,
doing something entirely different (such as win an argument or confound an
observer). Continuing construction of experience will change the apparent rules
and procedures being followed without those
rules and procedures having actuality or being subject to reflection; much as
modeled by the evolutionary theory
of economic systems of Nelson and Winter (1982) and the behavioral theory of the firm of
Cyert and March (1963).
Personal construct psychology has been cited in the
knowledge management literature by Loasby (1999) and Lant & Mezias (1996)
and in the sociological literature by Luhman (1995) who notes:-
It has also been used to model knowledge acquisition and
inference processes, and to develop tools to elicit knowledge and model it in
operational form through ontologies
represented in semantic networks (Gaines
and Shaw 1993a).
It is salutary to examine the quality of judgement of
experts and wonder whether it is as good as the attempts to emulate it through expert
systems suggests. In a survey of studies of
the accuracy of human subjective probability judgements, Tversky and Koehler
conclude:
In the domain of expertise in scientific research,
Feyerabend (1975) has argued that there is no evidence of a rational methodology, and Fortun and
Bernstein (1998) have provided a compelling account of scientific progress as muddling
through. In Voltaire's Bastards, Saul argues:
Gadamer has cast doubt upon the role of knowledge in expertise:
and, in the artificial intelligence literature, Clancey has
criticized approaches to expert system development based the assumption that
expertise can be captured in overt knowledge, and comes to similar conclusions:
Bourdieu, the French philosopher and sociologist, has
generated a major literature on human psychology, culture and sociology, that
stemmed from consideration of Wittgenstein's discussion of the status of rules
of human behavior:
Bourdieu's answer to this question is a constructivist one,
that all human behavior is generated
within a rich background (to use
Searle's (1992) terminology) that is implicit and not consciously represented, and is
constituted through acculturation processes that internalize the historic
development of a particular society or institution.
Bourdieu builds on the previous analyses of Aristotle,
Hegel, Nietzsche, Husserl, Schutz, Wiggenstein, Heidegger and Merleau-Ponty, to
provide a very detailed analysis of socially-embedded human behavior in terms
of three major constructs: habitus which
is a system of dispositions
extending Aristotle's (2000) analysis of hexis; field which is a network of influences and power relations
extending Lewin's (1936)
analysis of behavior within a social field; and symbolic capital abstracting and generalizing Marx's (1973)
analysis of capital formation and Weber's (1968)
extension of it to cultural domains. Bourdieu's output in books and papers is
prolific, ranging from detailed ethnographic and statistical studies through
sociological models of a wide range of institutions to deep theoretical
analyses; a good starting point is the interviews and essay in Bourdieu (1990).
Bourdieu's model of habitus is particularly important to the modeling of human expertise:
How is it that imperfect human capabilities are construed
as expertise and that muddling through is effective? One answer is that human
expertise arises in the context of human action as a pragmatic process of
dealing with present contingencies knowing that there will be further
opportunities to deal with the consequences of our actions at a later stage.
The decision to treat a customer in a certain way is an experiment that entails monitoring the consequences with a view
to planning future interaction. Human action takes place in a control loop with
imperfect information at each decision point, and with the unfolding process
continually changing the state of play.
In many situations it is more important to act in a way
that is not wildly wrong rather than to compute the optimum action,
particularly when available information is inadequate, inaccurate, expensive to
obtain, and so on. It is generally important to know who has the authority to
act and who is accountable for monitoring the consequences, taking follow-up
action, and so on. The giving, or taking, of the authority to be in control in
a particular domain demarcates the abstract role of an expert in that domain relative to the social norms of the
institution that accepts ownership of the domain.
A simple analysis of the phenomenon of such assignment of
authority in a society of learning agents shows that actual expertise, in the
sense of greater capabilities, arises naturally through the positive feedback
processes involved in proto-experts having greater access to learning
experiences (Gaines 1988).
Figure 6 is a diagram of the processes of expertise
formation through a variety of feedback processes (Gaines
1989). The central loop showing the client-expert dialog derives from studies by
Hawkins (1983) of industrial experts in mineral exploration, and emphasizes that the
generation of advice is a feedback process of discourse and modeling. The upper
and lower ovals showing the expert's interaction with his or her professional
and client communities is what I would now want to describe in terms of the
development of the expert's habitus,
using Bourdieu's term deliberately to avoid any implication of the development
within the expert of explicit knowledge.
Figure 6 Expertise formation through expert-community interaction (Gaines 1989)
The dynamics of the professional community are ones of
effective expertise development and transmission, of access through
apprenticeship, case reports, evaluation of procedures, rationalization through
links to existing models, related literatures and so on. Discourse is at the
level of managing the formation of expertise and this may involve reflective
processes raising why questions and
addressing foundations, but note that the objective of these is to develop
expertise, a coaching function, rather than to discover truth or uncover reality. Rationalizations are valid to the extent that they
help the development of expertise, and that development does not necessarily
leave any residue of the rationalization in the expert's mind. It is possible
to have an effective knowledge-level approach to expertise development without
basing it on a knowledge-level approach to expert performance (Vickers
1990).
Bourdieu's other dimensions of field and social capital may also be exemplified in terms of Figure 6. The
expert acts in a specific situation within a social network of power relations
with clients, colleagues, regulatory agencies, and so on, and competes within
that field for symbolic capital that will affect his or her ongoing and future
status within such fields. That is, the decisions and recommendations made are
not just an outcome of the problem situation and the expert's dispositions
through his or her habitus, but also reflect the interaction of habitus and field,
in particular, the impact upon the expert's symbolic capital of the possible
outcomes. The solution of any particular problem is situated within the
processes of developing the overall competence of the community as a social
network. Shapin (1994) has documented the importance of the power relations and symbolic capital in
the development of science.
The preceding discussion emphasizes how important it is to
be able to model social processes in expertise formation and organizational
knowledge acquisition. The individual never acts alone but always in the
context of what Wertsch (1991), following Bakhtin's (1981) discussion of the
dialogic imagination, terms voices of the mind, the memories of past social discourse. We
are agents in a distributed cognizant system, whether organization,
group, person, role, module or neural complex. Simmel made this inter-relation
of wholes and parts the central theme of his sociology:
Simmel's insight that the group member is always a
fragment of a person, a role created precisely to enable the person to enter
the group has been developed by Wolff with his notions of surrender and catch:
He makes the key point that not only does the real world, the object,
disappear to be replaced by the world of mathematics,
but also that in entering into this world the
person doing mathematics, the subject,
also disappears to be replaced by a new entity, the mathematician.
In terms of Wolff's object Popper's concept of a third world of statements in themselves
(Popper 1968) is a useful representation of that which we catch, emphasizing the distinct ontological status of knowledge:
Popper terms the physical world, World 1, and the mental world, World 2, separating the objective knowledge of World 3 from
the world represented and the agents doing the representation. Shaw (1985)
has developed these notions to show how personal construct psychology accounts
for the psychological processes not only of individuals but also for those of
functional groups such as a product executive.
Figure 7 brings all these notions together to provide a
conceptual framework for human psychology, sociology, action and knowledge. The
central region presents a three-layer model of human agents and their
supporting infrastructures, whether roles, people, groups, organizations or
societies. At the bottom are the processes of interaction with the environment,
of percepts, acts, reflexes, sensation, transducers, and so on. This is the
level that is being emulated through neural networks (Elman,
Bates, Johnson, Karmiloff-Smith, Parisi and Plunkett 1999).
At the top are the processes of reason, of rationality, reflection, planning
and so on. This is the level that is being emulated through digital
computation. In the middle are the processes of practice, of culture, habitus
and field characterizing the mental and the social, action, mimicry, reward and
punishment. This is the level where neither neural networks nor digital computation
have so far provided adequate emulation, and lack of such emulation of habitus
is the greatest impediment to the development of expert systems.
Figure 7 An integrated model of
levels and worlds of being in organizational knowledge acquisition
The four surrounding boxes set human agents within the
context of Popper's (1968) three worlds, but adding a fourth world
at the top to balance the presupposed World 1 of physical reality with an
equally presupposed World 4 of transcendental a priori presuppositions and ideology. Popper would probably
have placed this World 4 in his World 3, as a human artifact, but it is
separated here to emphasize its psychological and cultural status as something
presupposed not constructed. Friedman (1999) has presented a reconstruction of the work of the logical positivists,
particularly Carnap, suggesting that their contribution is best understood as
offering a new conception of a priori
knowledge and its role in empirical knowledge, the link between our Worlds 4
and 1. Searle (1998) has argued that realism is based on a presupposition of a real world underlying
all our further discourse and hence is not itself subject to empirical study,
and there are other such presuppositions.
The box on the left of the central core attempts to
situate in relation to the three layers of the core a hierarchy of World 2
levels of construction similar to those we previously derived from Klir's (1976) epistemological hierarchy generated
through a system of distinctions (Gaines and Shaw 1984),
and have used to model various forms of knowledge transfer in individuals and
organizations (Gaines 1994a).
The box on the right of the central core attempts to situate in relation to the
three layers of the core some major World 3 products, with logic and economic
models at the top, Giddens' (1986) locales of practice in the center, and
Gibson's (1979) affordances at the bottom. One feature
of this representation of World 3 in relation to World 2 is that it stresses
how human activity is not just culturally situated in its habitus and socially
situated in its field, but also artifactually situated in a humanly built world
that exists in major part to trigger off the dispositions within a habitus. Our
being is essentially embedded not only in the being of others with whom we
interact but also in that of others who have left artifacts from their
activities within which ours take place.
The interfaces to the four worlds that are shown are
particularly important in a knowledge management context. The interface from
the agent to World 4 is one of transcendental reason not necessarily grounded
in rationality but reflecting human principles and vision. The
interface from the agent to World 1 is one of interaction with the real world
of resources and markets. That from the agent to World 2 is one of human
resources, of people and organizations and
their psycho-social processes. The interface from the agent to World 3 is one
of objective knowledge, of human
artifacts embodied in books, tools and technologies. There are also internal
interfaces in the three-layer agent model: a reflective interface mediating between practice and reason; and
an embodiment interface mediating
between practice and interaction with the world.
From a collective stance perspective the architecture of
Figure 7 models any coherent cross-section of a society, a nation, an ethnic
culture, an organization, a firm, a market, a team, an individual, or a role.
Each level involves the processes represented in Figure 7, with some of the
processes linking up in level, e.g. from individual to firm, and others linking
down in level, e.g. from firm to individual. The routines and procedures studied by Nelson and Winter (1982)
and by Cyert and March (1963) arise out of the habitus of the firm and
structure those of its employees. Equally, through the process that Giddens (1986) terms structuration, the reciprocal
process occurs in which the habitus of the firm is structured by those of its
employees. The firm and the employees acquires knowledge through all processes that make that structuring
effective including the internalization of principles, reinforcement learning
and mimicry.
Managing organizational knowledge acquisition involves
managing the entire infrastructure shown in Figure 7 with particular emphasis
on the processes shown in Figure 3. There is not as yet an integrative theory
of all the processes shown in Figure 7. It is probable that one will eventually
be developed based on personal construct psychology used to model the way in
which individuals, organizations and their artifacts interact with one another
and the external world(s). In the central three-layer model, the top-level
domain of reason is best understood, and the management of reflection and
planning processes has a powerful literature ranging from the formality of
Porter's (1980; 1985; 1986; 1990) analyses of the processes leading to competitive advantage to Schön's (1983;
1987; 1991) humanistic studies of the reflective practitioner. Argyris has also collaborated with Schšn to develop an action
science (Argyris, Putnam and Smith 1985) framework for organizational learning (Argyris
and Schšn 1978; Argyris and Schšn 1996).
The bottom-level domain of interaction is also comparatively well understood,
and the management of manufacturing, market research and sales processes also
has an extensive literature.
However, the management of the central region of practice, based on an organizational habitus of dispositions
acquired through experience, is not well-understood except as a system that is
extraordinarily difficult to manage but critical to sustainable competitive
advantage. Human resource management has always had concerns with this level (Fombrun,
Tichy and Devanna 1984; Mabey, Salaman and Storey 1998; Sofo 1999; Ulrich 1997).
Competence-based (Nordhaug 1993) and economic (Becker
1993) models of human capital have modeled the importance of skilled people to
organizations. There are also models of organizations (Foss
and Knudsen 1996; Foss, Loasby and Richardson 1998; Foss and Mahnke 2000;
Loasby 1999; Nooteboom 2000) being developed in terms of transaction cost economics (Williamson
and Masten 1995) that could eventually provide a framework encompassing the management of an
organization's habitus. There has also been increasing attention to modeling organizational
culture (Harris 1994; Jones 1983; Leydesdorff 2000) and managing it for competitive advantage (Fiol
1991).
Polanyi's (1958) original book and literature deriving from it (Gill
2000) provide one important source of material on the tacit knowledge embedded in
habitus. Bourdieu's (1977; 1989; 1990; 1993; 1998; 1992) massive collection of books and derivative literature (Calhoun,
LiPuma and Postone 1993; Swartz 1997) provides a foundational resource. Baumard's (1999)
Tacit Knowledge in Organizations and Wenger's (1998) Communities of Practice are currently
the definitive source of management models and case histories relating to tacit
knowledge in organizations. Nonaka, who first argued for the role of converting
tacit to coded knowledge in the success of Japanese companies (Nonaka and Takeuchi 1995),
has since published collections of related material (Nonaka and Nishiguchi 2001; Nonaka and Teece 2001).
One very promising development has been that of actor-network theory (ANT) originally stemming from Latour and Woolgar's (1987;
1986) ethnographic studies of Laboratory Life
and Science in Action but being
extended by Law, Callon, et al (Law
and Hassard 1999) to the phenomena of habitus in many other domains. An important feature of ANT
is that it treats non-human entities, including technological artifacts, as
first class members of social networks and examines, for example, their
perspectives on events.
The primary dynamics of habitus within an organization
depend on the constructs of those constituting the organization and its value
chain, the extent to which these are generally shared, and the extent to which
they correspond to the critical constructs of management at all levels. Management
of the injection and diffusion of constructs within an organization is the main
mechanism available with which to manage its habitus. Mimicry of role models,
experiential learning, and learning through examples are the primary mechanisms
for the injection of tacit constructs, together with descriptions of case
histories for coded constructs. The management of personnel relationships and
situations is the primary resource for influencing these processes. Managers
play a key role in in this: through leadership they provides constructs that
structure the meanings of experience for all employees and hence also for
customers and suppliers Smircich and Morgan 1982; Witt 1998)
through personnel practices they influences the composition of the agents that
constitute the organization and produce and reproduce its habitus; and through
the situations they create they provide opportunities for experiential
learning.
The knowledge acquisition research community has developed a
range of techniques and supporting tools to use for knowledge elicitation from
experts and end users (Boose and Gaines 1988)
that are also well-suited to organizational knowledge acquisition. Most of the
tools have been derived from other domains such as education and psychology.
Section 2 illustrated two such tools: concept maps deriving from education (Novak
1998; Novak and Gowin 1984) and repertory grids (Kelly
1955; Shaw 1980; Shaw 1981) deriving from clinical psychology. Concept maps represent mental models in
terms of concepts and the relations between them. Repertory grids represent
mental models in terms of construct systems, the distinctions made between
entities in the domain being modeled.
Semantic networks (Lehmann 1992; Sowa 1991) are concept maps with strictly defined operational semantics that are used for
the formal representation of knowledge as facts and theories. Tools have been
developed for ease of development of both concept maps (Gaines,
Norrie and Lapsley 1995; Gaines and Shaw
1994a; Gaines and Shaw 1995b) and semantic networks, some operating in groupware mode to support multiple
users at different sites (Gaines and Shaw 1995a; Kremer and Gaines 1994)
particularly on the World Wide Web (Gaines and Shaw 1995c; Kremer and Gaines 1996).
Tools have also been developed for ease of development of semantic networks
including inference from them (Gaines 1993a; Gaines
1993b; Gaines 1994b; Gaines and Shaw 1999).
Similarly tools have been developed for the elicitation of personal construct
systems (Gaines and Shaw 1993a; Gaines and Shaw 1993b)
some of which operate on the World Wide Web to collect and compare mental
models from multiple, distributed users (Gaines and Shaw 1996; Shaw and Gaines 1999).
One important feature of repertory grids is that
techniques and tools have been developed to compare mental models in the same
domain by comparing the distinctions made by constructs from different
individuals. This allows pairs of constructs, one from each individual, to be
allocated to the four quadrants shown in Figure 8, indicating consensus, conflict,
correspondence and contrast (Gaines and Shaw 1989; Shaw and Gaines 1989)
Figure 8 Consensus, conflict, correspondence and contrast in
construct systems
It is also possible to compare complete grids in the same
domain to determine the best matches for constructs in one grid in another, and
vice versa. This results in asymmetric
links between grids corresponding to one person being able to understand the
constructs of another, and a socionet may be plotted based on such understanding (Shaw
1980). In
a study of quality control at a garment factory where grids were elicited from
plant operators and all levels of management, it was found that the socionet
exactly reproduced the management hierarchy (Shaw
and Gaines 1983)--each
level of management could understand the constructs of the level below even if
the knowledge involved was tacit.
As a socio-economic system approaches its optimum
performance its system dynamics become increasingly unstable and subject to
wild fluctuations (Anderson, Arrow and Pines 1988; Arthur,
Durlauf and Lane 1997).
As evidence has mounted that the global economic system is entering this state (D'Aveni
and Gunther 1994; Doeringer 1991; Drucker
1978; Frank 1998; Ilinitch, Lewin and D'Aveni 1998),
it has become increasingly important to those responsible for major
organizations that they understand and manage organizational processes more
effectively. This has led to interest in knowledge management, the nature of
expertise, and the management of knowledge acquisition so as to enhance the
capabilities of the organization.
This article has presented a unified model of
organizational knowledge acquisition, linking it to a wide range of relevant
literature and to management practices. The discussion draws on research in
knowledge acquisition for expert systems, and the article recounts the
background to such systems and the issues which limited their development. The
model draws on personal construct psychology to provide a constructivist
account of human agents and organizations, on Bourdieu's analysis of
dispositions internalizing the history of experience to account for the
construct systems underlying practice, on Giddens' structuration theory to
account for the way in which organizational habitus is both structured by those
of the individual in the organization and is in turn structured by them, and on
Popper's theory of worlds to separate the physical, mental, objective knowledge
and transcendental worlds.
The model is used to suggests ways in which the knowledge
acquisition process can be managed, particularly that for the tacit knowledge
which constitutes Bourdieu's habitus. It is suggested that concept mapping and
repertory grid tools that were developed for knowledge acquisition for expert
systems development will also prove useful in organizational knowledge
acquisition.
Financial assistance for this work has been made available
by the Natural Sciences and Engineering Research Council of Canada. I am
grateful to Mildred Shaw and to colleagues in the GNOSIS international
Intelligent Manufacturing Systems consortium for many stimulating discussions
and for access to their data.
Further reports may be accessed at http://repgrid.com/reports/,
WebGrid at http://repgrid.com/WebGrid/, and the author at
gaines@ucalgary.ca
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3.3 Expert systems technology--automating declarative-procedural
transformation
For the past 15 years, applied work in artificial
intelligence has focused increasingly on the use of knowledge to build 'expert
systems.' These systems achieve levels of performance in complex tasks that
equal or even exceed that of human experts. Because they incorporate much human
knowledge, these systems are called knowledge-based expert systems or, simply,
knowledge systems...The industrialization of knowledge engineering began in 1981
with the formation of two commercial spin-offs from the Stanford university
Heuristic Programming Project...Teknowledge focuses on industrial and commercial
uses of knowledge engineering. Sales this year will be $3 million to $6
million. (Hayes-Roth 1984)
Within a few
weeks, Phil was satisfied that the expert system reliably came to the same
conclusions he would have by looking at the same data (i.e., the system did
what it was purported to do, which was an application and validation
objective). The expert system then took over this part of Phil's job, freeing
up 40 hours per month of his time for other work. Of course, whenever G2
detected a problem fermentor, or one it was unsure of, Phil, or an assistant,
would be immediately paged. This application became affectionately known as
"Phil in a box." Phil retired from Lilly in 1993 when the company offered an
early retirement program. In fact, many of the experienced fermentation
personnel at this plant, as well as several at other Lilly plants, also
retired. (Alford, Cairney, Higgs, Honsowetz, Huynh,
Jines, Keates and Skelton 2000)
3.4 E-learning
4. The Nature of Human Expertise
logic machines
will always be inferior to people--whether teachers, managers, physicians, or
professionals of any kind--as sources of insight, reflection, and real-world
expertise.
This was our paradox: no course of action could be
determined by a rule, because every course of action could be made to accord
with the rule...'obeying a rule' is a practice...If I have exhausted the
justifications I have reached bedrock, and my spade is turned. Then I am
inclined to say: "This is simply what I do." (Wittgenstein
1953)
Everything that can be imagined is possible in reference to
something else, and only thus can information be acquired and processed. A
psychological theory adequate to this has been worked out by George A. Kelly. (1995)
The evidence reported here and elsewhere indicates that
both qualitative and quantitative assessments of uncertainty are not carried
out in a logically coherent fashion, and one might be tempted to conclude that
they should not be carried out at all. However, this is not a viable option
because, in general, there are no alternative procedures for assessing
uncertainty. (Tversky and Koehler 1994)
Among the illusions which have invested our civilization is
an absolute belief that the solution to our problems must be a more determined
application of rationally structured expertise. The reality is that our
problems are largely the product of that application. (Saul
1993)
The nature of experience is conceived in terms of that
which goes beyond it; for experience can never be science. It is in absolute
antithesis to knowledge and to that kind of instruction that follows from
general or theoretical knowledge. The truth of experience always contains an
orientation towards new experience. That is why a person who is called 'expert'
has become such not only through experiences, but is also open to new
experiences. The perfection of his experience, the perfect form of what we call
'expert', does not consist in the fact that someone already knows everything
and knows better than anyone else. Rather, the expert person proves to be, on
the contrary, someone who is radically undogmatic; who, because of the many
experiences he has had and the knowledge he draws from them is particularly
equipped to have new experiences and learn from them. (Gadamer
1972)
The new perspective, often called situated cognition, claims that all processes of behaving,
including speech, problem-solving, and physical skills, are generated on the
spot, not by mechanical application of scripts or rules previously stored in the
brain. Knowledge can be represented, but it cannot be exhaustively inventoried
by statements of belief or scripts for behaving. Knowledge is a capacity to
behave adaptively within an environment; it cannot be reduced to
representations of behavior or the environment. (Clancey
1989)
I can say that all my thinking started from this point: how
can behaviour be regulated without being the product of obedience to rules? (Bourdieu
1990)
I am talking about dispositions acquired through
experience, thus variable from place to place and time to time. This 'feel for
the game', as we call it, is what enables an infinite number of 'moves' to be
made, adapted to the infinite number of possible situations which no rule,
however complex, can foresee. Action guided by a 'feel for the game' has all
the appearances of the rational action that an impartial observer, endowed with
all the necessary information and capable of mastering it rationally, would
deduce. And yet it is not based on reason. (Bourdieu
1990)
5. The Dynamics of Expertise Formation
6. A Unified Model of Organizational Knowledge Acquisition
Society strives to be a whole, an organic unit of which the
individuals must be mere members. Society asks of the individual that he employ
all his strength in the service of the special functions which he has to
exercise as a member of it; that he so modify himself as to become the most
suitable vehicle for this function....man has the capacity to decompose himself
into parts and to feel any one of these as his proper self. (Simmel
1950)
From the standpoint of the world of everyday life, the
mathematician, as we often put it, lives in the 'world of mathematics', dealing
with 'nonreal' elements, notably numbers, whose relation to 'real' things, to
'reality', is not part of his concern. Analogously for the logician. What makes
our subject-object approach to this attitude misleading is the fact that the
subject, the student of mathematics or logic--his or her individuality,
including motives and attitudes--is irrelevant for our understanding; the only
thing that counts is the pursuit, with its results and questions. (Wolff 1976)
I regard the third world as being essentially the product
of the human mind. It is we who create third-world objects. That these objects
have their own inherent or autonomous laws which create unintended and
unforeseeable consequences is only one instance (although a very interesting
one) of a more general rule, the rule that all our actions have such
consequences. (Popper 1974)
7. Managing Habitus
8. Tools to Support Organizational Knowledge Acquisition
9. Conclusions
Acknowledgment
URLs
References