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ISO 30401 - The KM Management Systems Standard


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Presentation by Nick Milton to the SIKM Leaders Community on October 15, 2019

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ISO 30401 - The KM Management Systems Standard

  1. 1. ISO 30401:2018 The Management System Standard for KM and what it might do for you Nick Milton SIKM 15 Oct 2019
  2. 2. 15 October 2019Copyright Knoco Ltd 2 Before ISO 30401; the update to ISO 9001 7. Support 7.1 Resources 7.1.6 Organizational Knowledge Requirements: •Determine the knowledge necessary for the operation of processes and to achieve conformity of products and services. •Maintain this knowledge and make it available to the extent necessary. •Consider current knowledge and determine how to acquire or access the necessary additional knowledge (when addressing changing needs and trends). •NOTE 1: Organizational knowledge can include information such as intellectual property and lessons learned. •NOTE 2: To obtain the knowledge required, consider: a) Internal Sources (e.g., learning from failures and successful projects, capturing undocumented knowledge and experience of topical experts within the organization); b) External Sources (e.g., standards, academia, conferences, gathering knowledge with customers or providers). •Changes: This clause on organizational knowledge is a new requirement. It should be an input to clause 7.2 on Competence. •“Knowledge” is defined in the terms section as the available collection of information being a justified belief and having a high certainty to be true
  3. 3. 15 October 2019Copyright Knoco Ltd 3 Why ISO 30401? In January 2014 ISO received a proposal from the Standards Institute of Israel (SII) to develop a management system standard for Knowledge Management. The justifications provided by the SII for this proposal for new work included: ISO SII BSI ANSI DIN etc • An increasing recognition of the need for, and importance of, Knowledge Management; • Ambiguity in the understanding of what KM is; • Multiple and common failures of KM projects and initiatives due to an incomplete approach.
  4. 4. 15 October 2019Copyright Knoco Ltd 4 For example - “I think that KM is to date a theoretical, 'pie in the sky' type of field. not understood by business. This is one of those fields or subject areas that has failed, failed us the practitioners, organisations and the society at large. What we are taught at varsities as KM is totally different from what we are expected to do when we get employed. There still is no one common definition, a practical one of KM as yet. For example, when a person tells you they are doing communications, you know what they mean, you already know the kinds of activities they undertake, same with ICT, law and etc. I am regretful I followed this line of work. There simply is not hope at all especially within the SA Government”.
  5. 5. 15 October 2019Copyright Knoco Ltd 5 ISO alone cannot approve the creation of standards ISO sent the proposal to the various member bodies, who convened feedback from a number of experts in the field of KM, some of whom, including myself, had been suggested in the SII proposal. We sent our views to BSI, and BSI collated our responses (which were in favour of the proposal) and sent them on to ISO. • By the end of March 2014, 36 countries had replied, • the majority were in favour of accepting the proposal for development of a MSS for knowledge, and • 12 countries agreed to be involved in the work, including the UK.
  6. 6. 15 October 2019Copyright Knoco Ltd 6 The drafting process From first proposal to final publication, developing a standard usually takes about 3 years Done by working groups of experts drawn from the member countries, Working under the umbrella of a technical committee responsible for a specific subject area. Various levels of draft are cycled through working teams in the member countries called “mirror committees” for edit, review and input at national level. Mirror committee membership is open to all. Working group is open to all members of mirror committees. Work is through the principle of consensus, which is why the work is done face to face. A period of public consultation on draft 4.0
  7. 7. 15 October 2019Copyright Knoco Ltd 7 Standards creation stages Stage code Stage Associated document name 00 Preliminary Preliminary work item 10 Proposal New work item proposal 20 Preparatory Working draft or drafts 30 Committee Committee draft or drafts 40 Enquiry Enquiry draft 50 Approval Final draft 60 Publication International Standard 90 Review London 2017
  8. 8. 15 October 2019Copyright Knoco Ltd 8 Management Systems Standards Type A • The one which provides requirements (e.g. ISO 9001) Type B • The one which provide guidelines (e.g. ISO 9004) ANNEX SL The new high level structure for all management system standards of the future The same high level structure, identical core text, as well as common terms and definitions. Whilst the high level structure cannot be changed, sub-clauses and discipline-specific text can be added.
  9. 9. 15 October 2019Copyright Knoco Ltd 9 Standard format for ISO management systems standards 1 • Scope 1 • Normative references 3 • Definitions 4 • Context of the organisation 5 • Leadership 6 • Planning 7 • Support 8 • Organisation 9 • Performance evaluation 10 • Improvement A management system standard provides a model to follow when setting up and operating a management system. Some of the top level benefits of a successful management system standard are: • Enhanced use of resources • Improved risk management • Increased customer satisfaction nl/iso-9001/BSI-Annex-SL-Whitepaper.pdf
  10. 10. 15 October 2019Copyright Knoco Ltd 10 Clause 4: Context of the organization 4.1 Understanding the organization and its context 4.2 Understanding the needs and expectations of interested parties 4.3 Determining the scope of the managements system 4.4 The management system 4.4.1 – Knowledge development/lifecycle 4.4.2 – Transitions 4.4.3 – “Enablers” (roles, processes, technologies, governance, culture) As the flagstone of a management system, clause 4 determines why the system is needed. As part of the answer to this question, the organization needs to identify internal and external issues that can impact on its intended outcomes, as well as all interested parties and their requirements. It also needs to document its scope and set the boundaries of the management system – all in line with the business objectives.
  11. 11. 15 October 2019Copyright Knoco Ltd 11 Clause 5: Leadership 5.1 Leadership and commitment 5.2 KM Policy 5.3 Organisational roles, responsibilities and authorities The new high level structure places particular emphasis on leadership, not just management as set out in previous standards. This means top management now has greater accountability and involvement in the organization’s management system. They need to integrate the requirements of the management system into the organization’s core business process, ensure the management system achieves its intended outcomes and allocate the necessary resources. Top management is also responsible for communicating the importance of the management system and heighten employee awareness and involvement
  12. 12. 15 October 2019Copyright Knoco Ltd 12 Clause 6: Planning 6.1 Actions to address risks and opportunities 6.2 Knowledge objectives and planning to achieve them Clause 6 brings risk-based thinking to the front. The planning phase looks at what, who, how and when risks and opportunities must be addressed. This proactive approach replaces preventative action and reduces the need for corrective actions later on. Particular focus is also placed on the objectives of the management system. These should be measurable, monitored, communicated, aligned to the policy of the management system and updated when needed.
  13. 13. 15 October 2019Copyright Knoco Ltd 13 Clause 7: Support 7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Communication 7.5 Documented information (about the KM system) Organizations will have to look at the support needed to meet their goals and objectives. This includes resources, targeted internal and external communications, as well as documented information that replaces previously used terms such as documents, documentation and records.
  14. 14. 15 October 2019Copyright Knoco Ltd 14 Clause 8: Operations 8.1 Operational planning and control The process elements of the management system are covered by this clause. Clause 8 addresses both in-house and outsourced processes, while the overall process management includes adequate criteria to control these processes, as well as ways to manage planned and unintended change.
  15. 15. 15 October 2019Copyright Knoco Ltd 15 Clause 9: Performance Evaluation 9.1 Monitoring, measurement, analysis and evaluation 9.2 Internal audit 9.3 Management review Here organizations need to determine what, how and when things are to be monitored, measured, analysed and evaluated. An internal audit is also part of this process to ensure the management system conforms to the requirements of the organization as well as the standard, and is successfully implemented and maintained. The final step, management review, looks at whether the management system is suitable, adequate and effective.
  16. 16. 15 October 2019Copyright Knoco Ltd 16 Clause10: Improvement 10.1 Non-conformity and corrective action 10.2 Continual improvement Clause 10 looks at ways to address non-conformities and corrective action, as well as strategies for improvement on a continual basis.
  17. 17. 21 May 2019Copyright Knoco Ltd 17 Annexes A. The knowledge spectrum B. Boundaries between KM and adjacent disciplines A. Information management B. Data management C. Business intelligence D. CRM E. Human Resource Management F. Training/L&D G. Organisational learning H. Innovation management I. Other management systems C. KM culture
  18. 18. Implementation of the Standard Now we have this standard, what do we do with it? • Use it as a guide? • Seek to comply with it? • Seek to audit against it? • Seek to be certified against it? Copyright © 2016 BSI. All rights reserved. Image from Boris Dzingharov on Flickr
  19. 19. 15 October 2019Copyright Knoco Ltd 19 Standards myths busted • The standard is deliberately generic • You define what you do and how you do it, within a framework. It doesn’t define how you do KM • A framework for every kind of organisation. • For small businesses, to put in solid foundations from the start. It’s not only for big business • Shouldn’t be a burden • An opportunity to stand back and ask “could we do better?” It won’t take months to implement • No mandatory requirements for external audit. • You can implement a standard and claim to be compliant You don’t need to certify Text from
  20. 20. 15 October 2019Copyright Knoco Ltd 20 The 54 “Shall”s “The organization shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its knowledge management system”.
  21. 21. Using the standard as a guide Suitable for those starting in KM Tells you what’s different about KM Tells you some of the principles Tells you where to begin Tells you what you need to consider Tells you what you should put in place Helps you avoid the common pitfalls Image from wikimedia commons
  22. 22. Audit against the standard Suitable for those with mature KM Internal or external auditors Interviewing, and reviewing documents Looking for evidence against the 54 “shall” requirements Documentation of compliance Identification of areas of non-compliance Image from bluediamond galleryl
  23. 23. Why seek to show compliance? Who is interested? Your team – what more do we need to do? Your management – what more do they need to do? Your organisation – show KM is a “real discipline” Your clients – to show you handle knowledge responsibly Your potential clients, e.g. in bids - to show you handle knowledge responsibly Image from maxpixel
  24. 24. Certification against the standard by an accredited body Not possible (yet?) Requires audit by trained auditors working for a certification body Certification body should be accredited (e.g. by UKAS or UAF, IAS, IOAS) Major certification bodies do most of their work against 4 to 8 of the 60+ MSSs. KM is not yet a major area of focus UKAS accredits certification bodies against 16 standards. KM is not (yet?) one of them Image from wikimedia commons
  25. 25. 21 May 2019Copyright Knoco Ltd 25
  26. 26. Questions?