To ISO or not to ISO?

To ISO or
not to ISO?
ISO 30401: Knowledge Management Systems
From an Auditor’s Perspective
Patricia L. Eng, P.E.
© Patricia Eng 2022

Agenda
• Who/What is ISO?
• What does a standard do?
• What is ISO 30401: Knowledge Management
Systems?
• What does ISO 30401 do and not do?

ISO is…. The International
Organization for Standards
• An independent international NGO composed of
members from the national standards bodies of 167
countries. (https://www.iso.org/home.html)
• These standard bodies represent ISO in their countries.
(https://www.iso.org/members.html)
• ISO develops and publishes international standards
using a consensus approach.

Types of ISO membership
• Full Members: Participate in technical and policy
meeting, adopt and sell ISO standards in their
country
• Correspondent Members: Observe technical and
policy meetings, adopts and sells ISO standards in
their country
• Subscriber Members: Follow ISO activities

Map of ISO Member Countries
https://www.iso.org/members.html

What is a Standard?
According to Oxford languages: A standard is a thing used
as a measure, norm, or model in comparative evaluation.
According to Merriam Webster: A standard is something
established by authority, custom, or general consent as a
model or example.
According to ISO: ISO standards provide a formula that
describes the best way of doing something. ISO
standards are consensus based and internationally
agreed by experts.

ISO Standards cover many areas
• ISO has issued over 24,000 consensus-based standards
(https://www.iso.org/standards-catalogue/browse-by-tc.html)
• Draft standards are issued for public comment before they are published as
final
• ISO standards are not mandatory; adoption is voluntary
• The three most “famous” are
• ISO 9001: Quality Management Systems
• ISO 27001: Information Security Management
• ISO 45000: Occupational Health and Safety
• In 2018, ISO issued ISO 30401: Knowledge Management Systems

How a standard is developed
• A new standard is proposed
• Members vote whether or not to proceed
• If not approved no further action; if approved then…
• A Working Group is formed and the develops the
standard (average 3 years)
• ISO Technical Committee Reviews draft
• Final draft out for public comment
• Comment Resolution and technical editing
• Final Standard Published

October
2014
Feb
2015
Nov
2016
2016 -
2018
May
2018
Dec
2018
ISO 30401 Development
New KM
Standard
proposed
Tech Committee
approves
proposal and
seeks experts
Tech
committee
decides to go
ahead with
the standard
Working
Group
develops a
draft
standard
Draft
standard
published
for public
comment
Final
standard
published

ISO 30401 Critiques
• It will stifle KM program creativity
• It will be too prescriptive
• The standard will favor specific consultants / methods / maturity
models
• The standard will reward “cookie cutter” programs and penalize
others
• The standard should discuss system inhibitors, and/or enhancers,
and/or system dynamics

About ISO 30401 Critiques
• ISO does not specify HOW to meet the standard - organizations can be as
creative as they want
• ISO does not cite or endorse any methods – organizations can choose whatever
they want
• ISO does not suggest or mention consultants, methods or maturity models in the
standard. The organization can choose whatever they wish for their program.
• ISO sets requirements – the WHAT. No cookie cutter options. The organization
decides HOW they want to meet the standard.
• ISO allows an organization to choose whatever method(s) it prefers. So
organizations can use various system inhibitors, and/or enhancers, and/or
system dynamics models if they wish. ISO does not prescribe any one way.

ISO 30401 Purpose
• Support development of a
management system that
effectively promotes and
enables value creation through
knowledge
• Set sound KM principles and
requirements
• Define the requirements for KM
systems in organizations, while
maintaining flexibility…for every
type of organization..

ISO is Organization Specific
ISO 30401, Section 0.1:
“Each organisation will
craft a knowledge
management approach,
with respect to its own
business and operational
environment, reflecting
their specific needs and
desired outcomes”

ISO KM
Standard
ISO/DIS
30401:2017(E)
Scope
Normative references
Terms and Definitions
Context of the organization
Leadership
Planning
Support
Operation
Performance evaluation
Improvement
ISO 30401:
Knowledge Management Systems
Requirements

ISO KM Standard ISO/DIS 30401:2017(E)
1. Scope:
“sets requirements and
provides guidelines for
establishing,
implementing,
maintaining, reviewing
and improving an effective
management system for
knowledge management
in organizations.”
ISO 30401:
Requirements

2. Normative References
No references.
3. Terms and Definitions
30 definitions
ISO 30401:
Requirements

4. Context of the Organization
This clause requires that the
organization determine why the
KM program is needed.
Organizations are required to
identify both internal and
external interested parties
(stakeholders), including their
needs, to define the KM
program scope and develop an
associated KM system that
supports the organization within
its “organizational context.”
ISO 30401:
Requirements

ISO defines What? – not How
Section 4.2 : The organization shall determine:
— the interested parties that are relevant to the knowledge management system;
— the relevant requirements of these interested parties.
_______________________________________________________
How an organization meets these requirements is dependent on the situation:
It could be a comprehensive detailed survey and analysis of stakeholders, their
missions and a list of prioritized needs, including how they relate to business goals
OR
A documented meeting of customer service reps who identify their customers and
document their needs.

5. Leadership
ISO identifies 10 specific
things that top management
must do to demonstrate their
support and commitment to
the KM program.
This clause also contains
requirements to establish a
KM policy and define roles,
responsibilities, and
authorities for relevant roles
in the KM program
ISO 30401:
Requirements

6. Planning
This clause requires
examination of the risks and
opportunities associated with
the KM program. It also
requires identifying
knowledge management
objectives and linking them
to business needs and goals.
ISO 30401:
Requirements

7. Support
organization support the KM
program in terms of
resources, competency
requirements, stakeholder
awareness (as appropriate),
communications, and
documentation.
ISO 30401:
Requirements

8. Operation
organization plan and
establish processes to
implement the KM program,
including any changes, and
ensure that any outsourced
processes align with the KM
system.
ISO 30401:
Requirements

9. Performance Evaluation
organization determine what
should be monitored, how,
when, and by whom. It also
requires periodic internal
audits and management
review of these audits.
ISO 30401:
Requirements

10. Improvement
organization evaluate and
appropriately disposition any
nonconformities and take
appropriate corrective
actions with an eye to
continually improving the KM
program.
ISO 30401:
Requirements

Annex A:
The Knowledge Spectrum
Annex B:
Boundaries between knowledge
management and adjacent
disciplines
Annex C:
Knowledge Management Culture
ISO 30401:
Annexes provide additional
information - NOT
requirements

Annex B:
Discusses the difference between
knowledge management and:
• Information management
• Data management
• Business intelligence
• Customer relationship management
• Learning, organizational development
and training
• Organizational learning
• Human resource management
• Innovation management
• Risk management
• Quality management
ISO 30401:
Annexes provide additional
information - NOT
requirements

Important Points
1. Adoption of ISO 30401 is Voluntary
2. ISO recognizes organizational uniqueness
3. ISO defines the WHAT – not the HOW
4. 30401 can be used for a Program Health Check
5. Use a trained, certified, independent auditor

Does Your Program
Do All the Right
things?
Scope
Normative references
Terms and Definitions
Context of the organization
Leadership
Planning
Support
Operation
Performance evaluation
Improvement

How do you get Certified?
1. You decide to adopt the standard
2. You examine your program against the standard and
work to meet all the requirements
3. You do an internal assessment of your program
4. You find a certified ISO 30401 auditor and discuss what
the audit would entail
5. You have an external certified auditor(s) examine your
program against the standard
6. If there are deficiencies, you address them and have the
auditor review your corrective actions
7. Once you meet 80% of the standard requirements, the
auditor will certify that you meet the ISO standard
8. You celebrate and tell the world that you have done an
amazing thing!

If you are going to get certified -
use a Certified Auditor

Do It Yourself Audit ?
• ISO 30401 is available from ISO for a fee
• We developed a tool for self-evaluation
• Program Health Check
• Questions an auditor might ask
• Use for internal audit
• Preparation for external audit
• Informed by experienced auditors

Governance
Do we have a governance
model and framework in
place?
Where are the organisation’s
KM policy and objectives?
Do we have a group
responsible for governance?
Does the approach follow the
quality standards of the
organisation?
KM Policy, Objectives, ToR for
Steering Group/Board.
Enablers: Roles
Do people know what their KM
roles and responsibilities are?
How do we know this?
Do people know how to use the
KM system and tools?
How do we know this?
Competencies, Team and Org
Structures, KM Champions.
Strategic Context
How well is KM aligned with
the organisation’s strategy
and objectives?
Do we know who our internal
stakeholders are?
Do we know who our external
stakeholders are?
Do we know what the key
knowledge areas for the
organisation are?
Does the scope of our KM
system address our
knowledge life cycle and
consider the appropriate
elements of our organization?
Stakeholder maps,
KM strategy/framework/plan.
Evaluation
How do we know our KM
system is working?
How would we know what
good looks like?
What measures do we have
for KM?
Are we measuring the right
things in KM? How do we
know?
Have we checked with our
customers/stakeholders on
how we are doing?
Do we have a plan to
address KM risks?
How do we identify KM
opportunities?
Maturity models, KPIs,
scorecards, charters, risk
registers.
Support
Are existing resources effective in supporting KM objectives?
Are we providing people with the tools, training and support
so they can do their jobs, including KM?
How do we know?
Do people know how KM impacts the business?
Are we meeting the KM needs of our staff?
Training plans, Guides, Promotion/Communication artefacts
Interaction &
Internalization
What exists to encourage people
to collaborate and share
knowledge?
How would people know?
Is critical expertise identified and
readily available when needed?
Are people competent and
equipped for virtual collaboration?
What exists to help people absorb
knowledge and learning?
Communities of Practice, Learning
Lunches, Groups, Peer Assists, Cafes,
Internal conferences, Virtual meetings,
Knowledge retention and Induction
Collaborative workspace design,
Simulation and e-learning.
Enablers: Processes
Do we have defined,
documented and approved KM
processes & methods?
What resources do we use to
support KM?
Do we get stakeholder input on
the effectiveness of our KM
processes?
KM Toolkits, guidance, workflows
Enablers: Technology
& Infrastructure
How well do our technology
infrastructure and physical architecture
support KM needs?
Do we ask for and listen to stakeholder
input about KM tools?
Are KM objectives and issues
considered in ICT strategy decisions?
How?
KM Technology Architecture
Codification & Curation
What processes are in place for curating
and updating our critical knowledge?
Do people know how to locate and
access our core documents and data
resources? How do we know?
Do we have a consistent documented
way of classifying, tagging and
navigating knowledge?
Do our information assets and
knowledge bases signpost people
towards originators and how they might
be contacted?
Content curation, Content curation, Tagging,
Structuring and Summarising, Good Practice
attribution, Documents, Databases, Content,
Artefacts, References, Taxonomies, Lessons,
Case studies.
Improvement
How do we know when
something is going wrong or
could be improved?
Do we seek and listen to
stakeholder input of
feedback on how to improve
processes and or tools?
What mechanisms do we
have to continuously review
and improve the KM
approach, procedures &
methods?
Do we ‘fail fast and learn’?
How willing are we to adapt
and change the KM system?
How do we know we are a
learning organisation?
Staff Surveys, Action logs.
Culture
Do we understand how KM fits
with our existing culture and
values?
Do we know and address the
barriers to knowledge sharing
and reuse?
How do we celebrate and
recognise the right behaviours?
To what extent is KM seen as ‘a
natural part of how we do
things here’?
To what extent is KM involved
with strategic transformations
and the HR/OD agenda?
Leadership
How does top management demonstrate
commitment to KM?
How well do leaders communicate the importance
of effective knowledge management?
Do leaders actively support KM and clearly define
expectations for staff in non-KM roles?
Does management provide proper planning and
support for KM?
KM Chef’s Canvas 1.0
Taken from ‘The KM Cookbook’ Chris Collison, Paul Corney and Patricia Lee Eng, Facet Publishing, 2019.

So…To ISO or not to ISO?

Handout for To ISO or Not to ISO? By Patricia L. Eng
Abstract: To ISO or not to ISO?
ISO published ISO 30401: “Knowledge management systems requirements in 2018. Who is ISO
and what does the ISO standard for KM do? Is it worth adopting? What does it take to adopt the
standard be and what are the benefits of getting certified to the ISO standard? This session will
answer all these questions and more. Led by the first certified ISO 30401 auditor, Patricia L. Eng,
P.E., this session will go over the history and development of the standard, what it does and does
not do, what you can use it for – whether or not you adopt the standard - and what it takes to
get certified to ISO 30401.
Speaker Bio:
An engineer by trade, Patricia Lee Eng first learned about Knowledge Management at NASA
when engineers discovered the loss of vital information from the Apollo program. On her return
to the U.S. Nuclear Regulatory Commission (NRC), she was appointed Senior Advisor for
Knowledge Management (2008-2013) where she created and managed NRC’s first KM program
saving the agency 57 million dollars in its first two years of operation. A frequent speaker at KM
conferences, Patricia is co-author of two books: “Navigating the Minefield – a Practical KM
Companion,” published by the American Society for Quality and “The KM Cookbook – Stories and
Strategies for Organizations exploring KM Standard ISO 30401,” published by Facet
Publishing. She is a certified ISO Quality Management Systems Auditor and the first certified ISO
30401 KM auditor. She teaches an Introduction to ISO 30401 class, and Training for ISO 30401
Auditors. Details of these courses may be found at: https://www.kmhrsystemsauditors.com
References:
• ISO Members: https://www.iso.org/members.html
• ISO membership and benefits in the ISO Membership Manual.
• Stan Garfield article on Maturity Models: https://stangarfield.medium.com/knowledge-
management-maturity-models-fd094ed49e48
• Real KM: “What does the research say about maturity models?”
https://realkm.com/2019/09/13/what-does-the-research-say-about-knowledge-
management-maturity-models/
• Nick Milton SIKM talk on ISO 30401: https://sikm.groups.io/g/main/message/6687
• Chris Collison talk on the KM Cookbook and ISO:
https://groups.io/g/SIKM/message/7414
• Israeli KM standard: https://www.sii.org.il/en/25006
• German KM standards home page:
https://www.din.de/en/meta/search/61764!search?query=Wissensmanagement&submit
-btn=Submit
• Australian KM standard:
https://www.saiglobal.com/pdftemp/previews/osh/as/as5000/5000/5037-2005.pdf

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To ISO or not to ISO?