knowledge management capability assessmenttm · - set an objective for the improvement of business...
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1 KM CAT v2
KNOWLEDGE MANAGEMENT CAPABILITY ASSESSMENTTM
Data Collection Template - Version 2.0.0
For more information about the Knowledge Management Capability Assessment Tool click here.
2 KM CAT v2
Purpose
APQC's Knowledge Management Capability Assessment Tool™ (KM-CATTM) helps an organization assess its capabilities and maturity in knowledge management (KM) and focus its KM investments to produce the highest return on value. This assessment maps the current “as-is” state of KM and the knowledge flow processes within an organization in order to: - measure the current maturity of the enablers and infrastructures employed, - evaluate the current status of knowledge flow processes and supporting approaches, - set an objective for the improvement of business processes through the flow of knowledge, - guide the evolution of organizational change, and - compare or benchmark with similar efforts of other internal units or external organizations. The results of this assessment provide a clear sense of strengths, gaps, and opportunities for improvement, as well as appropriate steps to enhance the knowledge-sharing and reuse capabilities of the organization. The following KM capability and maturity assessment is divided into four major sections with subcategories. Each category has its own section in the document. 1. Strategy (objectives, business case, and budgets) 2. People (resources, governance structure and roles, change management, and communication) 3. Process (knowledge flow process, KM approaches, and measurement) 4. Content and Information Technology (content management and IT processes and tools) Instructions Use the questions on the following pages to indicate your organization’s level of achievement in KM. "They represent what you would expect to see at each level of maturity." Your responses indicate that there is tangible evidence or a demonstrated capability of that response at your organization. For each statement, select the button to the left of the statement of the response that represents the level your organization has achieved for that capability. Please use the "N" button to open a comment box to provide evidence or examples of what that capability looks like in your organization. If you have questions, we’re happy to help. Call us at +1-713-681-4020 or email us at [email protected].
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APQC SURVEY TERMS & CONDITIONS
Thank you for participating in this research survey. Your responses help APQC fulfill its non-profit mission to share best practices with our members and the public by providing valuable data for APQC's Open Standards Benchmarking database, Resource Library, and other research and training resources. To ensure the confidentiality of the data you provide, your responses will be blinded and aggregated with data provided by other participants whenever they are reported. By responding to this survey, you agree that we may email you occasionally about our programs and services. For more information about our privacy policy or to opt out of future marketing emails, please visit www.apqc.org/privacy.
Terms of Service
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PLEASE USE THE BUTTONS BELOW TO SUBMIT OR PRINT THE ASSESSMENT
You may save your assessment file at any time using the native features of your pdf viewer application. Submit Assessment This button allows you to submit your completed assessment to APQC for scoring and reporting. You must first save your assessment locally and then the button will open an APQC cloud location where you can securely upload that file. APQC will contact you to confirm receipt and coordinate finalization steps. Print Assessment Form This button opens your print dialog and allows you to print the Assessment. Any data you have entered will be included in that print version.
Submit Assessment Print Assessment Form
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DEMOGRAPHIC INFORMATION
Name Title Phone Email Company Name Address Line 1 Address Line 2 City State Zip/Postal Code Country How did you hear about this survey? Please indicate the currency (e.g. U.S. Dollar, Euro, Japanese Yen, etc.) used for monetary responses in the survey. Provide the end date of the twelve-moth period for which your business entity will be providing data. Year Month What is the total annual revenue of your entire organization? What is the total annual revenue for your business entity? For what entity in your organization is this assessment being conducted. (Check one. Unless otherwise noted, please respond to all assessment statements with respect to the scope of the organization selected in this question) Please explain all answers other than enterprise. Number of employees for the entity in your organization this assessment is evaluating Industry
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1 | OBJECTIVESThe purpose of the Objectives Domain is to understand why the organization wants to improve the flow of knowledge, how it aligns with business needs, and what it hopes to achieve.
Level 1 1. Has a business need for KM been identified?
No Identified Identified and documented Identified, documented, and communicated across stakeholders
2. Have employees communicated an interest in managing knowledge in the organization?
No Ad hoc Groups of employees and management have explored how to apply KM to their units Discussions are occurring among key stakeholders
Level 2
1. Is valuable domain knowledge identified and documented? No Ad hoc, in discussions and/or meetings Within teams or departments Within one or more specific functions or business units Formally, this is performed on a regular basis
2. Are KM approaches tested to ensure they enable knowledge flow?
No Ad hoc Frequently Consistently Consistently using a standard approach
3. Is value creation recognized as a major objective of KM?
No By potential sponsors and early adopters By specific functions or business units Consistently across the organization
Level 3
1. Are core knowledge assets identified, captured and standardized for reuse? No Locally, within teams or departments Within one or more disciplines or business units Standard process used consistently across the organization Standard process used consistently with measurable outcomes
N
N
N
N
N
N
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2. Is valuable discipline or business unit knowledge reused? No Locally, within teams or departments Within one or more specific disciplines or business units Routinely done across the organization
3. Are the KM strategy and road map documented? No Defined with limited documentation Completely documented Completely documented & approved by KM executive sponsor
4. Are the KM vision and mission aligned to creation of business value?
No KM vision and mission exist but not aligned Implicitly aligned Explicitly aligned to business value
Level 4 1. Are knowledge assets leveraged for competitive advantage?
No Ad hoc Consistently Consistently with a replicable approach Consistently with a replicable approach and measurable impact
2. Is the KM infrastructure (i.e., people, process, and technology) responsive to increased demand and evolving business needs?
No Ad hoc Around major change events or significant changes to strategy On a defined schedule On a defined schedule and around major change events or significant changes to strategy
3. Are KM competencies (skills and expertise of KM practitioners) enhanced to meet increased demand and evolving business needs?
No Reactively in response to business needs Proactively and aligned to KM strategic plans Proactively, aligned to KM strategic plans and performance expectations
4. Is KM aligned with the enterprise business framework (e.g., vision, mission, and strategies)?
No Implicitly aligned Explicitly aligned Explicitly aligned with measurable outcomes
1 | OBJECTIVES
N
N
N
N
N
N
N
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Level 5 1. Is KM aligned with enterprise innovation efforts?
No Implicitly aligned Explicitly aligned to organization's innovation initiatives Explicitly aligned and helps identify and select enterprise innovation efforts
2. Is KM integrated with an enterprise excellence framework (i.e., quality, continuous improvement programs)?
No Ad hoc Work collaboratively with other group Standard approach Standard integrated approach across the improvement lifecycle
1 | OBJECTIVES
N
N
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The purpose of the Business Case Domain is to determine whether the organization has created a formal business case for knowledge management based on input from the business and some benefits analysis. A new business case may be required to support proposed improvements and/or expansion of KM.
Level 1 1. Has a rationale for action been established based on the value of knowledge?
No Identified Identified and documented Identified, documented, and communicated across stakeholders
Level 2
1. Have focus areas for KM been identified? No Informally identified Formally documented Formally documented and agreed upon by KM executive sponsor
2. Are KM focus areas aligned with business strategies and critical success factors?
No Implicitly aligned Explicitly aligned Explicitly aligned and linked to measurable business outcomes
3. Are business needs captured and used as an input into the KM strategy?
No Ad hoc Standard approach Standard approach integrated into strategic planning cycles
Level 3
1. Is there a formal business case that includes expected benefits and impact of applying KM to business opportunities?
No Business case documented Documented business case includes qualitative and quantitative benefits Documented business case includes qualitative and quantitative benefits with measurable impact
2. Is financial analysis conducted to model the value of KM investments?
No Yes, financial analysis included in business case Financial analysis conducted and re-assessed on an ongoing basis Financial analysis conducted, re-assessed on an ongoing basis, and communicated to stakeholders
2 | BUSINESS CASE
N
N
N
N
N
N
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Level 4 1. Is a formal business case for evolving KM (e.g., add new approaches, add resources, move to a new domain) based on predicted gains and impact to the organization?
No Informally Documented Documented, including predicted gains and impact Documented, including predicted gains and impact, and approved by KM executive sponsor
Level 5
1. Is KM used for collaborative value creation with suppliers and customers? No Ad hoc Consistently Routinely using a consistent approach Opportunities for collaborative value creation are actively promoted to customers and suppliers
2. Is the organization's knowledge used as a marketable asset (e.g., marketing campaigns, sales, industry credential)?
No Individual employees use the organization's knowledge as a marketable asset Organizational knowledge is formally incorporated into marketing collateral Organizational knowledge is acknowledged as a valuable asset by the market
2 | BUSINESS CASE
N
N
N
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The purpose of the Budget Domain is to understand how the budget for KM is determined, where funding comes from, and whether the KM budgeting process and cycle aligns with the enterprise budgeting process and cycle.
Level 1 1. Is there a funding source for KM?
No Funding is re-allocated from other budgets Explicit budget has been established
Level 2
1. Are budget allocations for KM efforts approved by KM executive sponsors and key stakeholders? No Approved and funded by single source Approved and funded by key stakeholders Approved and funded in alignment with business needs and priorities
2. Are budgets established for each approved KM effort? No Budget needs are defined for KM efforts Budget allocations are based on defined needs KM efforts are managed to budget
Level 3
1. Is there a standard KM budgeting cycle and process? No Based on anecdotal evidence and learnings from KM efforts Based on financial analysis and learnings from KM efforts Standardized and repeatable process based on financial analysis and learnings from KM efforts
Level 4
1. Is KM integrated into standard business budgeting cycles and processes? No Integrated with a few business units/functions Integrated into majority of business unit/function budgeting cycles Fully integrated organization-wide with defined standard approach, including compliance and tracking of non-
compliance
Level 5 1. Are budgets adjusted to respond to changing demand for knowledge assets and competencies?
No Budget growth based on estimated needs Budget growth based on data models to forecast need Leverage analytics (e.g., usage and trends) and emerging KM opportunities and Infrastructure capabilities to
develop and forecast budget needs
3 | BUDGET
N
N
N
N
N
N
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The purpose of the Resources Domain is to ascertain what resources are in place to support KM efforts within the organization. KM resources include people, technology, training, marketing and change management, and other infrastructure demands. These elements operationalize KM by setting the necessary foundation to mature.
Level 1 1. Do KM advocates promote the value of KM to business leaders and relevant stakeholders?
No Limited, informal discussions have been held with a few stakeholders Formal discussions have been held with impacted stakeholders Extensive discussions have been held with all essential stakeholders
Level 2
1. Are representatives from business units or disciplines involved in the design of KM approaches to enable knowledge flow?
No Representatives are included in testing prior to launch Representatives are consulted in KM design efforts Designated representatives actively participate in KM design efforts
2. Is there a group tasked with design and implementation of KM strategies and approaches?
No There is an informal group Formal group(s) are in place for design Formal group(s) are in place for design and implementation Formal group(s) for design and implementation with stakeholder oversight
Level 3
1. Are there active champions and sponsors of KM in the business? No Informal roles Formal roles Formal roles with allocated time and participation goals Formal roles with accountability for results
2. Are individuals in the business assigned to coordinate and manage knowledge flow processes and approaches?
No Informal roles Formal roles Formal roles with allocated time and participation goals Formal roles with accountability for results
4 | RESOURCES
N
N
N
N
N
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3. Are KM capabilities (e.g., people, processes, and technologies) improved based on assessment and feedback? No Informal process Systematic process to identify improvement opportunities Systematic process to identify, prioritize, and implement improvement opportunities Systematic process to identify, prioritize, and implement improvement opportunities with measurable outcomes
4. Is there a formal group and process to coordinate and facilitate KM approaches?
No Chartered KM group governed by defined roles Chartered KM group governed by defined roles and standard processes Chartered KM group governed by defined roles and standard processes with associated performance
expectations
5. Does the KM group identify and support new opportunities to apply KM capabilities? No Reactively in response to requests Proactively seeks out new opportunities Systematically identifies new opportunities aligned with business objectives
Level 4
1. Does the KM group provide direction and resources to develop knowledge assets that support organizational core competencies?
No Responds to requests from the business Proactively seeks out relevant stakeholders to identify and prioritize opportunities Standard approach for systematic improvement of organizational core competency Standard and measured approach for systematic improvement of organizational core competency
2. Are KM skills and capabilities incorporated into employee development strategies, processes, and practices?
No Ad hoc Formal development plans in place for KM-specific roles Formal development plans in place for all knowledge-intensive roles Formal development plans in place for all knowledge-intensive roles with measures and accountability
3. Does the business allocate resources for developing knowledge assets?
No Ad hoc Resources allocated to develop specific knowledge assets Resource allocation plan is in place to develop and update knowledge assets
4 | RESOURCES
N
N
N
N
N
N
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4. Are change agents and knowledge experts embedded in the business to support knowledge flow? No Informal roles Formal roles, communicated to the business Formal roles, communicated, and assigned accountability for knowledge flow
5. Does the KM group and business collaborate to determine resource requirements?
No Ad hoc For strategic KM efforts aligned with key business practices and initiatives Formally, as part of standard KM strategy and budgeting process
Level 5
1. Are KM competencies embedded across the enterprise? No KM training and guidance available on a self-serve basis KM training and guidance integrated in employee development plans KM training and guidance embedded directly into critical processes, applications, and workflows
4 | RESOURCES
N
N
N
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The purpose of the Governance and Leadership Domain is to determine what people and organizational structures exist to facilitate the processes, approaches, and tools for knowledge management within the organization.
Level 1 1. Does senior leadership support testing ways to improve knowledge flow?
No Approves plan Approves plan and provides resources Approves plan, provides resources, sets expectations
Level 2
1. Is cross-functional input used to set the direction for KM? No Input collected on ad hoc basis A consistent process used to gather and analyze input
Level 3 1. Does leadership include KM initiatives in the organizational strategy?
No Informally Documented within organizational strategic plans Documented within organizational strategic plans, and communicated across stakeholders Documented within organizational strategic plans, communicated with monitored action plans
2. Is there a formal, operational, and cross-functional steering or advisory committee for KM?
No Informal group Chartered and meets regularly Chartered, meets regularly, and accountable for decisions Chartered, meets regularly, accountable for decisions, and drives direction of KM
Level 4
1. Are resource and accountability models in place for KM? No Defined roles to support KM Defined roles integrated into job descriptions Standardized roles integrated into job descriptions and in performance plans Standardized organization-wide model that defines how roles collaborate to support KM
5 | GOVERNANCE & LEADERSHIP
N
N
N
N
N
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2. Do senior sponsors set priorities for KM with input from the business? No Informally Standard process to collect input Standard process to gather input and defined criteria to set priorities Standard process and defined criteria integrated with business planning and strategy
Level 5
1. Does executive leadership own and actively guide KM across the enterprise? No Ad hoc Structure and process for leadership to guide KM Structure and process with defined leadership accountability for KM Structure and process with defined leadership accountability tied to performance goals
5 | GOVERNANCE & LEADERSHIP
N
N
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The purpose of the Change Management Domain is to establish the extent of change management activity in support of the implementation and sustainment of the KM program: is there a change management strategy that includes an assessment of knowledge-sharing barriers, education, training, and recognition activities for targeted groups of stakeholders? Does the strategy include alignment with other disciplines in the organization, such as talent management or leadership development?
Level 1 1. Have successes and problems in knowledge flow been identified and communicated?
No Ad hoc Structured collection of successes and problems Structured collection and documentation of successes and problems from relevant stakeholders Standard approach to document and communicate input collected from relevant stakeholders on a routine basis
2. Have industry KM initiatives and best practices been investigated for potential adoption by the organization?
No Ad hoc Structured investigation of KM initiatives and best practices Documented analysis based on evaluation of KM initiatives and best practices Standard approach for analysis conducted on a routine basis and around major change events
Level 2
1. Is a plan in place to recognize successful KM efforts? No Ad hoc Documented plan Documented plan aligned to KM objectives Standard approach to recognize success linked to KM objectives and communicated to stakeholders
2. Are education and training plans in place to support KM efforts?
No Ad hoc Documented plan for education and training Documented plan for education and training aligned to KM objectives Documented and resourced plan to educate and train stakeholders
3. Is a change management strategy in place to support the KM strategy and efforts?
No Partially documented Completely documented and aligned to KM strategy and efforts Completely documented, aligned to KM strategy and efforts, and implemented Completely documented, aligned to KM strategy and efforts, implemented, and has buy-in from impacted
stakeholders 4. Have senior managers approved KM measures of business impact? No KM measures of business impact are in place Senior managers are aware of KM measures of business impact Senior managers formally approve KM measures of business impact
6 | CHANGE MANAGEMENT
N
N
N
N
N
N
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Level 3 1. Are KM efforts and trends assessed, benchmarked, and analyzed regularly?
No Ad hoc Around major change events or significant changes to strategy On a defined schedule On a defined schedule and around major change events or significant changes to strategy
2. Are KM advocates promoting KM efforts?
No Primarily reactive Primarily proactive (>50% of advocates) Primarily proactive with measures of engagement
3. Is training on KM approaches and methods available to all employees?
No Available to employees in targeted roles Available to employees in impacted departments, functions, business units Available enterprise-wide
4. Has accountability for applying knowledge flow processes and approaches expanded beyond KM group?
No Resides primarily with the KM team Shared between the KM team and the business function or unit Resides primarily with the business function or unit
5. Have barriers to knowledge sharing and use been identified and addressed?
No Identified but not addressed Identified and some have been addressed Most (>75%) identified barriers have been addressed Barriers are continually identified and addressed with regular evaluation
Level 4
1. Do KM advocates have accountability for KM results? No Informally Accountable for process and activity measures Accountable for process, activity, and outcome measures as defined by performance plans
6 | CHANGE MANAGEMENT
N
N
N
N
N
N
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2. Is KM training embedded in onboarding strategies and practices? No For specific teams or departments Standardized and integrated into enterprise-wide onboarding Standardized, integrated, with expectations for participation in relevant KM efforts
3. Is formal recognition (e.g., awards, acknowledgements in corporate communications, incentives, etc.) given for participation in KM efforts and successes?
No Ad hoc Formal program for acknowledgement Formal program tied to performance expectations and/or career advancement
4. Is training provided to support new and/or updated KM efforts?
No Training requirements identified after implementation of new/updated KM efforts Training requirements are identified during design Training delivered in line with requirements identified during design Training outcomes and feedback drive continuous improvement
Level 5
1. Is KM aligned with formal process improvement? No Ad hoc KM and process improvement align on project-by-project basis KM and process improvement consult regularly to coordinate and align efforts KM and process improvement proactively work together to prioritize opportunities, engage the business, and
demonstrate value
2. Is KM aligned with organizational learning? No Ad hoc KM and organizational learning align on project-by-project basis KM and organizational learning consult regularly to coordinate and align efforts
3. Is KM aligned with talent management?
No Ad hoc Expectations for KM skills and competencies are embedded in talent management programs KM is integrated and measured as part of career progression requirements KM is integrated and measured as part of career progression requirements for technical and leadership paths
6 | CHANGE MANAGEMENT
N
N
N
N
N
N
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The purpose of the Communication Domain is to determine the extent and formality of the communication activities in support of the KM program: is there a formal communication plan, does the KM program have its own brand, is KM used as a market differentiator for the organization?
Level 1 1. Have advocates communicated the basic concepts and benefits of KM?
No Ad hoc For targeted audiences involved in KM activities Communicated broadly across the organization
Level 2
1. Have advocates promoted the business value of KM approaches to senior leaders and key stakeholders? No Ad hoc To targeted leaders and stakeholders Communicated broadly across the organization Standard approach to communicate value of KM approaches broadly and on a routine basis
2. Are reasons and ways to participate in KM approaches communicated to end users?
No Ad hoc To targeted end users Communicated broadly across the organization Standard approach to communicate broadly on a routine basis
Level 3
1. Are KM success stories broadly communicated? No Informally exchanged Collected and shared with target audiences Collected and shared broadly across the organization Standard approach to collect, validate, and share broadly as part of formal communications plan
2. Has a formal KM communications plan been implemented?
No Implemented for target audiences Implemented for all audiences Implemented for all audiences and aligned to KM objectives Implemented for all audiences, aligned to KM objectives, and reviewed and updated on a routine basis
3. Is a brand strategy used to promote KM to the organization? No KM efforts are individually branded Encapsulating brand across all KM efforts Encapsulating brand that aligns to KM objectives Encapsulating brand that aligns to KM objectives and promotes KM's value and credibility
7 | COMMUNICATION
N
N
N
N
N
N
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Level 4 1. Is a multi-channel communication strategy implemented for KM?
No Multi-channel strategy with no audience segmentation Multi-channel strategy with limited audience segmentation Multi-channel strategy with extensive customization for different audiences Multi-channel strategy that uses analytics to optimize communications 2. Is the KM communication strategy integrated with the corporate communication strategy? No Ad hoc Standard integrated approach Strategic and operational integration of messages Strategic and operational integration of messages with shared accountability
Level 5
1. Is KM used as a differentiator to attract prospective employees, partners, and customers? No On a case-by-case basis For targeted recruiting and marketing activities Broadly across recruiting and marketing activities KM is an integral part of the organization's communicated value proposition
7 | COMMUNICATION
N
N
N
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The purpose of the Knowledge Flow Domain is to identify whether the organization has defined, standardized knowledge flow processes embedded with core business processes and domains and whether those knowledge flow processes enable sharing knowledge across enterprise boundaries.
Level 1 1. Does knowledge flow occur through regular interactions (e.g., email, phone calls, in-person conversations, etc.)?
No Ad hoc Occurs in response to specific needs Occurs regularly Occurs regularly with established expectations and norms
Level 2
1. Are knowledge flow processes embedded in KM approaches (e.g. communities of practice, lessons learned, and After-Action Reviews)?
No Ad hoc Knowledge flow processes defined for KM approaches Defined knowledge flow processes are embedded in KM approaches Consistent knowledge flow processes are embedded in KM approaches
Level 3
1. Are standardized knowledge flow processes embedded across the enterprise? No Ad hoc Used with limited KM approaches and projects Used across several (>50%) business units and functions Used enterprise-wide (=>75%)
Level 4
1. Are knowledge flow processes embedded into core business processes? No Embedded into a few (<50%) core business processes Embedded into a majority (>50%) of core business processes Embedded into all core business processes enterprise-wide with performance measures Embedded into all core business processes with performance measures and monitored for compliance/
noncompliance
Level 5 1. Are knowledge flow processes expanded to include contractors, customers, business partners, etc.?
No Ad hoc A strategy for including external parties is documented Processes are expanded to include external parties Expanded processes regularly demonstrate value to the business and external parties
8 | KNOWLEDGE FLOW PROCESS
N
N
N
N
N
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The purpose of the KM Approaches and Tools Domain is to establish if the organization has identified critical knowledge; established standard, replicable KM approaches to enable knowledge flow; and integrated with process improvement, organizational development, and learning approaches.
Level 1 1. Are story telling and one-to-one exchanges used as the primary approaches for knowledge transfer?
No Ad hoc In response to requests Occurs regularly Occurs regularly with established expectations and norms
Level 2
1. Have core business processes that require enhanced knowledge flow been identified? No Ad hoc Formally within departments or teams Formally across business areas with leadership approval Consistent process used with leadership approval and performance expectations established
2. Have knowledge needs and gaps been identified for each KM focus area?
No Ad hoc Defined process to identify needs and gaps Consistent process implemented to identify and document needs and gaps for each identified KM focus area
(=>50%) Consistent process implemented to identify and document needs and gaps for each identified KM focus area
(=>75%) and includes plans to address and close gaps with established performance expectations 3. Have KM approaches to support knowledge flow been implemented in parts of the organization? No Implemented Implemented and aligned with core business processes Implemented and integrated into core business processes Implemented and integrated with activity measures tracked and monitored
Level 3
1. Has a KM resource center been established? No Established with general KM resources Established with targeted information aligned to organization's KM program, KM best practices, and KM
approaches and tools Curated and actively managed and moderated with activity measures
2. Do you assess the maturity and strength of the organization's KM capabilities?
No Ad hoc Formally on a periodic basis Formally on a regularly scheduled basis
9 | KM APPROACHES & TOOLS
N
N
N
N
N
N
24 KM CAT v2
3. Are KM methods and tools available to knowledge workers? No Upon request Available 24/7 across multiple platforms and devices Available 24/7 via multiple platforms and devices and allow for interaction with the KM team Available 24/7 via multiple platforms/devices and regularly updated based on user feedback and evolving
business and knowledge needs 4. Are enablers and infrastructure implemented to support the knowledge flow process?
No Implemented Implemented and aligned with knowledge flow process Implemented and integrated into knowledge flow process Implemented and integrated with activity measures tracked and monitored
5. Does the organization use standard and repeatable knowledge flow processes and KM approaches? No In less than 25% of core business processes or domains In some (26 - 50%) of core business processes or domains In many (between than 51-75%) core business processes or domains In all (=>75%) core business processes and domains
6. Are standard approaches used to capture and retain valuable knowledge? No Ad hoc Standard approach(es) within business units and teams Standard approach(es) across business areas Standard, enterprise-wide approach(es), with compliance tracking
Level 4
1. Are KM competency maps in place for individuals roles and/or jobs? No For defined KM roles For KM roles and key organizational roles within core business processes and domains For all organizational roles and process-specific roles for core business processes For all organizational roles and process-specific roles enterprise-wide with performance goals
2. Does the KM group offer a portfolio of standard KM approaches, products, and services?
No Standardized services available and promoted Standardized services aligned with measures of efficiency Standardized services with measures of efficiency aligned to core business needs and strategies Standardized services available with demonstrated impact on business outcomes
3. Do new and/or enhanced KM methodologies and approaches support the knowledge flow process?
No Ad hoc Implemented around major change events or significant changes to strategy Implemented on a defined schedule Integrated and implemented into business strategy and planning cycles
9 | KM APPROACHES & TOOLS
N
N
N
N
N
N
N
25 KM CAT v2
Level 5 1. Has KM become a core competency of the organization?
No Business has an expectation of KM competency across the workforce KM competency development activities are planned across the workforce with explicit funding KM competency planned, funded, and implemented across the workforce with monitored performance
expectations KM competency planned, funded, and implemented across the workforce with monitored performance
expectations and demonstrated impact on the business
2. Are KM approaches, methodologies, and tools integrated with other improvement disciplines (e.g., process, organizational development, learning)?
No Integrated approaches, methodologies, and tools Integrated and aligned to common strategies and goals Integrated, aligned, and collectively monitored, evaluated for business impact Integrated, monitored, and evaluated with aligned continuous improvement
9 | KM APPROACHES & TOOLS
N
N
26 KM CAT v2
The purpose of the Measurement Domain is to ascertain whether the organization measures KM activity and impact; understands their effect on business process measures and KPIs; monitors and reports KM health, activity, and impact; and aligns KM measurement and reporting with enterprise reporting processes.
Level 1 1. Is there a value proposition for KM?
No Informally A value proposition has been documented A value proposition has been documented, and communicated across relevant stakeholders
2. Are existing KM capabilities leveraged for reuse?
No Ad hoc Reuse driven by identified business need As part of value-based analysis with targets for expected reuse
3. Has an assessment of critical knowledge in current business processes/domains been conducted?
No Ad hoc Consistent approach to assess critical knowledge Consistent approach, evaluated for risks to or gaps in critical knowledge Assessed, evaluated for risks or gaps, and plan(s) in place to address
Level 2
1. Have employee satisfaction surveys been conducted regarding KM? No Ad hoc Around major change events or significant changes to strategy On a defined schedule On a defined schedule and around major change events or significant changes to strategy
2. Has a cost and benefit analysis been calculated for KM efforts and projects?
No Ad hoc Required Required, standardized, and performed regularly Required, standardized, and performed regularly using a pre-defined set of criteria for evaluation 3. Are activity measures used for KM? No Defined and designed Defined, designed, and partially implemented Defined, designed, and fully implemented Fully implemented, reviewed, and updated periodically
10 | MEASUREMENT
N
N
N
N
N
N
27 KM CAT v2
4. Are key performance indicators used for KM? No Defined, designed and approved by stakeholders Defined, designed and partially implemented Defined, designed and fully implemented Fully implemented, reviewed, and updated periodically
5. Has a tangible business impact from the application of KM been recognized?
No Recognized, with little documentation Recognized, documented, and aligned to business' critical success factors Recognized, documented, and aligned to business' critical success factors and key performance indicators Recognized, documented, aligned, and communicated to key stakeholders
Level 3
1. Does the organization assess employee satisfaction with KM? No Ad hoc Formal assessment of overall satisfaction with KM capabilities Formal assessment of overall satisfaction and with implemented KM approaches on a defined schedule Formally assess and evaluate for improvement opportunities on a defined schedule Assess, evaluate, and report results and recommendations to key stakeholders on a defined schedule
2. Has a formal return or value on investment been calculated for KM?
No Ad hoc Required Required, standardized, and performed regularly Required, standardized, performed regularly and endorsed by relevant stakeholders
3. Is there a formal measurement process for KM? No Informal process Standard process with defined responsibilities Standard process with defined responsibilities used on a routine basis Standard process with defined responsibilities, used routinely and monitored for compliance
4. Are standard measures used to monitor the impact of KM on business performance? No Standard measures are aligned with business processes and outputs Aligned, standard measures are consistently monitored Data is analyzed to show impact on business performance Data is analyzed to show impact on business performance, with analysis communicated to stakeholders
10 | MEASUREMENT
N
N
N
N
N
N
28 KM CAT v2
Level 4 1. Is the health and effectiveness of KM efforts evaluated and reported?
No Ad hoc Formally evaluated, reported, and monitored for some KM efforts Formally evaluated, reported, and monitored for each KM effort Formally evaluated, reported & monitored to identify, prioritize, & track improvement activities for each KM
effort
2. Is there evidence of enhanced KM competencies? No Informally Standard approach for collecting and reporting evidence Established competency development goals that are evaluated regularly and included in KM reporting cycles Established competency development goals that are evaluated regularly, included in reporting cycles, and
integrated into KM analytics processes
3. Is KM measurement reporting integrated with enterprise reporting? No Informally Formally aligned Formally integrated with regular oversight and compliance checking Formally integrated with enterprise business reporting processes, evaluated against business performance
targets, and used to establish future goals for KM
4. Has a quantitative analysis of knowledge flow processes, KM approaches, and impact from KM been conducted consistently?
No Analysis includes time-based performance and correlation between measures and performed on-demand Analysis is extended to include causation and statistical analytics and performed on a regular basis A comprehensive set of analyses (e.g., causation, correlation, and trend analysis) is performed on a defined
schedule for all KM approaches and efforts A comprehensive set of analyses (e.g., causation, correlation, and trend analysis) performed on a defined
schedule to drive strategic planning, forecasting, and future impact modeling
Level 5 1. Are KM efforts correlated to business and employee performance outcomes?
No KM efforts are correlated to business and employee productivity KM efforts are correlated to business and employee productivity on a regular basis KM efforts are correlated to business and employee performance outcomes on a defined schedule to optimize
KM improvement KM efforts are correlated to business and employee performance outcomes on a defined schedule to optimize
KM improvement and establish performance targets
2. Are KM goals and measures integrated into the organization's performance management system? No Established and evaluated for KM roles Established and evaluated for KM and critical business roles Established and evaluated for all roles in the organization Established and evaluated for all roles in the organization and integrated into defined career progression
10 | MEASUREMENT
N
N
N
N
N
N
29 KM CAT v2
The purpose of this domain is to determine if standardized content management processes have been implemented to share and transfer knowledge, facilitate collaboration, and uncover innovations occurring within the business.
Level 1 1. Are document management processes in place?
No Ad hoc Common approach within functions and teams Standard approach enterprise-wide Standard approach enterprise-wide including naming convention, storage, and version control 2. Has a need for organizing and managing knowledge assets been identified? No Identified Identified and documented Identified, documented, and communicated across stakeholders
Level 2 1. Is content identified and organized?
No Within teams, departments, or communities Across business units and functions Comprehensive enterprise-wide strategy
Level 3
1. Are content management workflows standardized? No Within teams, departments, or communities Across business units and functions Enterprise-wide standard established Standardized content management lifecycle is implemented enterprise-wide and monitored and updated
periodically 2. Do standard taxonomies for classifying core knowledge assets exist? No Within teams, departments, or communities Across business units and functions Enterprise-wide standard established Standardized enterprise-wide, implemented, monitored and updated periodically
Level 4 1. Does the content management lifecycle support the knowledge flow process?
No Ad hoc Critical knowledge flow needs are considered as part of the content management lifecycle within some parts of
the organization Critical knowledge flow needs are considered as part of the content management lifecycle across most (=>75%)
of the organization Content management lifecycle is proactively optimized to balance content integrity with critical knowledge flow
needs across most (=>75%) of the organization
11 | CONTENT MANAGEMENT
N
N
N
N
N
N
30 KM CAT v2
2. Are content management capabilities continually evaluated and enhanced based on performance data, feedback, and needs analysis?
No Ad hoc Around major change events or significant changes to strategy On a defined schedule On a defined schedule and around major change events or significant changes to strategy
Level 5
1. Is content proactively pushed or recommended to end users based on roles, needs, and usage patterns? No Customized view based on static criteria (e.g., location) Content pushed to end users based on dynamic criteria (e.g., roles and projects) Content pushed to end users based on multi-dimensional analysis to anticipate knowledge needs Content pushed to end users and decision support systems based on multi-dimensional analysis to anticipate
knowledge needs
2. Is content and usage data analyzed to identify emerging business needs, risks, and opportunities? No Analysis conducted on demand (e.g., as part of strategic initiative) Standard, routine approach to conduct analysis and report it to the business Standard, routine approach to conduct analysis with recommendations implemented in the business Standard, routine analysis conducted with recommendations implemented and demonstrated outcomes
11 | CONTENT MANAGEMENT
N
N
N
31 KM CAT v2
The purpose of this domain is to establish whether standardized KM tools and systems are implemented as part of an enterprise IT strategy; if those tools and systems have been integrated with core business processes and work flows to support knowledge flow; and if external partners are granted access to KM systems and tools (if appropriate).
Level 1 1. Are existing technologies leveraged for knowledge sharing?
No Within teams or departments Across business units and functions Across the organization
Level 2
1. Are technology needs assessments conducted for KM with stakeholders? No Ad hoc Around major change events or significant changes to strategy Standard approach with a defined schedule Standard approach, defined schedule and around major change events or significant changes to strategy
2. Are KM approaches designed and implemented in collaboration with the technology group(s)?
No Ad hoc KM engages technology group for specific implementation support KM engages technology group for specific design and implementation support KM partners with technology group during design, implementation, and sustainment
3. Are data security and privacy requirements factored into the design of KM approaches?
No Ad hoc Standard approach to review and integrate requirements Standard approach to review and integrate requirements and train end users Agreement between KM and technology group(s) on appropriate implementation and training of data security
and privacy requirements
Level 3
1. Are KM-enabling technologies implemented to meet scalability requirements? No Evaluated on a case by-case-basis Evaluated and implemented on a case-by-case basis Evaluated and implemented enterprise-wide in alignment with the KM strategy Re-evaluated and adapted based on performance and evolving needs 2. Are compliance, data security, and privacy policies managed for KM-enabling technologies? No Compliance, data security, and privacy policies established Established and consistently applied Established, consistently applied, and managed Established, consistently applied and managed with independent oversight
12 | INFORMATION TECHNOLOGY
N
N
N
N
N
N
32 KM CAT v2
3. Are KM-enabling technologies integrated into the organization's systems architecture? No KM-enabling technologies are loosely aligned to organization's systems architecture Some KM-enabling technologies are Integrated with organization's systems architecture All KM-enabling technologies are Integrated with organization's systems architecture KM-enabling technologies are updated and improved as part of the organization's systems architecture
Level 4
1. Are KM-enabling technologies embedded in core business processes to support knowledge flow? No Embedded into a few core business processes Embedded into a majority of core business processes Embedded into all core business processes with performance measures Embedded into all core business processes and leveraging performance measures to drive continuous
improvement 2. Are search capabilities integrated across KM-enabling technologies?
No Multiple, non-integrated search capabilities Enterprise search capability integrated across critical KM-enabling technologies Enterprise search capability integrated across all KM-enabling technologies Enterprise-wide search capability returns contextual results from across all KM-enabling technologies
Level 5
1. Do KM-enabling technologies improve automatically based on self-learning systems? No Piloted Implemented in limited areas Implemented in all of knowledge critical areas Implemented in all of knowledge critical areas with demonstrated results
2. Do KM-enabling technologies integrate with relevant business systems to optimize knowledge access and flow?
No Integrated with limited relevant business systems Integrated with most relevant business systems Integrated with all relevant business systems with demonstrated results Seamless integration across all relevant business systems with proven optimization
3. Are KM-enabling technologies integrated across the external value chain (e.g., vendors, suppliers, customers)?
No Ad hoc for specific relationships Standard process allows controlled access by external value chain partners Standard process to integrate KM-enabling technologies with external value chain partners' systems
12 | INFORMATION TECHNOLOGY
N
N
N
N
N
N
33 KM CAT v2
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