ISO 30401 LEAD AUDITOR COURSE

TRAINING EXERCISES
Exercise 1: Knowledge Objectives:

∗ List 3 advantages of Knowledge management system in your organization.

∗ How can you measure these advantages?
∗ Complete the objectives implementation table below

Benefits/ Measures Action plan/ Sources of Responsibility Deadline/

Objectives Programme evaluating Frequency
performance
Exercise 2. What are the various factors that can impair the transformation of tacit knowledge
into explicit knowledge in the organization?

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Exercise 3: Interpretation of ISO Clauses

For each of the following clauses of the ISO 30401 standard, please provide an action plan with at least
two concrete actions that would be acceptable to ensure conformity to the clause:

1. Understanding the organization and its context (4.1)

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2. Understanding the needs and expectations of interested parties (4.2)

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Exercise 4: Understand the organisation- Internal Review

Identify SWOT of your organisation and the strategies

Strength Weakness

Strategies:

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Day 2

Exercise 5: Understand the organisation- External Review

Identify SWOT of your organisation and the strategies

Opportunity Threat

P P

E E

S S

T T

Strategies:

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Exercise 6: Stakeholders Analysis

Stakeholder Strategies

Stakeholder Power Interest Priority Expectations Strategies

Customer L H HI/LP Knowledge about the Give customer more power

services to be by involving them in
required decision making
Exercise 7: Risk Assessment

Identify the Risks in ISO 30401 Implementation in your organisation and the necessary
mitigation steps.

Risk Likeli Impact Risk Priority Mitigation Steps

hood Level

Exercise 8: Communication Program and Procedure

What- Message Whom- How- medium/ Who- When- Duration/

Audience media Responsibility deadline
Exercise 9: Change Management

XYZ Knowledge Solution (XKS) is a leading organization specializing in knowledge management

services. With a focus on leveraging intellectual assets and fostering a culture of continuous learning,
XKS has established itself as an industry leader. Recognizing the need for continuous improvement, the
leadership decided to implement a significant change in the KM processes to enhance efficiency,
collaboration, and knowledge sharing.

Challenge: While XKS had a robust KM framework in place, the organization faced challenges in
adapting quickly to technological advancements in the industry, evolving client needs, and the
changing landscape of information management. The leadership identified the need to update KM
processes, embrace new technologies, and instill a proactive knowledge-sharing culture among
employees. However, most of the senior level employees detest assisting the new employees because
they find it difficult to understand the new technologies while the new employees find it difficult to
understand the existing business processes. The fear of being replaced by new employees and
technology greatly hampers collaboration between these two sets of employees.

Does this represent a change issue? What do you do to control the situation? What would have
done to prevent this situation?

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Exercise 10: Culture of Knowledge Sharing

As the ISO 30401 implementation project champion, what can you do to create a Knowledge
Sharing culture in the organisation

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Day 3
Exercise 11: Scope Confirmation

Firstly you need to confirm the scope of your KMS.

Please state in TABLE

• The name of auditee Products and services

• Process contributing to the products or services
• Exempted process from the standards with reasons for exclusion
• The number of staff within each process/department within the scope
• The site location of your business/department
• In the event that your business/department is spread over a number of different sites please
give staff numbers by job title at each location

Products or Process within the Exempted Number of staff Locations

services scope Process/ Clause within scope within the
scope of the
audit
Exercise 12: Developing audit plan

As the lead auditor in charge of auditing XYZ Incorporated, prepare a day audit plan.

Date: Clauses to be audited Department Contact person

Time

8.30- 9.00 Opening Meeting

9.00-10.00

10.00-11.00

11.00-12.00

12.00-1.00 Break

1.00-2.00

2.00- 3.00

3.00- 4.00

4.00-4.30 Closing meeting

Exercise 13: Conducting the opening meeting

As the lead auditor in charge of auditing XYZ Knowledge Solutions, prepare your opening
meeting agenda and make a presentation to the class.

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Exercise 14: Evidence in an Audit Checklist

Provide evidences required to show compliance with the following requirements:

Clauses What Documents Interview: who and Other: Technical,

what to ask Physical, Analytical

4.5 Knowledge
management culture

6.2 Knowledge
management objectives
and planning to achieve
them

4.4.3 Knowledge
conveyance and
transformation

4.4.4 Knowledge
management enablers

Exercise 15: Conducting an interview

Your group will interview the personnel of XYZ rganization on clauses 4.5 and indicate with whom
your team wants to talk. List 10 questions you ask this person. Be prepared to share your question and
why?
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Exercise 16: Non- Conformity Report
Write the non-conformity report using the following audit findings below.

1. Some knowledge management tools lack integration, leading to inefficiencies in information

retrieval and sharing.
NONCONFORMITY REPORT
Nonconformity No: Client:

Process: Clause Number: Site:

Audit criteria

Description of the
observed
nonconformity:

Recommendation:

Auditor: Acknowledgement by auditee representative: Nonconformity

category:
Nonconformity presented to: Major
Minor

Date: Date confirmed

 2. The organization does not have a formalized process for capturing and implementing lessons
learned from knowledge management initiatives.

NONCONFORMITY REPORT
Nonconformity No: Client:

Process: Clause Number: Site:

Audit criteria

Description of the observed

nonconformity:

Recommendation:

Auditor: Acknowledgement by Auditee Nonconformity

representative: category:
Major
Nonconformity presented to: Minor

Date: Date confirmed

Exercise 17: Conducting Closing Meeting

As the lead auditor in charge of auditing XYZ Knowledge Solutions, prepare your closing
meeting agenda and make a presentation to the class.

Exercise 18: Corrective Actions

Propose corrective actions for each of the non-conformity and justify them.

1. Knowledge repositories lack proper documentation, version control, or access controls, leading to
information inconsistencies or security risks.

Root cause:

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Corrective action:

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Justification

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2. Processes for capturing and documenting tacit and explicit knowledge are not well-defined or
consistently applied across the organization.

Root cause:

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Corrective action:

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Justification

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Day 4

Exercise 19: Document Review and Audit Report

Review XYZ Knowledge Solutions documentations (Case Study) and write 4 of your audit
finding in the report template below. Be prepared to present your conclusion to the class.

S/N Audit Finding Clause Conclusion: Comment

audited Major, Minor,
Observation

Exercise 20: Audit Follow-up

The following are proposed corrective actions for each of the non-conformities by the auditee. Kindly
review and confirm if the proposed actions are adequate or inadequate and give reasons

1. The organization does not have a formalized process for capturing and implementing lessons
learned from knowledge management initiatives.

Root cause:

No fund was budgeted for that

Corrective action:

We have KM incentive budget now

Approval: This action is ( ) Adequate ( ) Inadequate

Reasons:

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 2. Some knowledge management tools lack integration, leading to inefficiencies in information
retrieval and sharing.

Root cause:

We do not have internal competence

Corrective action:

We have outsourced the process of integration

Approval: This action is ( ) Adequate ( ) Inadequate

Reasons:

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3. The organisation does not take adequate, prompt or any corrective action following identification of
non-conformities.

Root cause:

There is no corrective action process in place

No one understand the process as the trained internal auditor has resigned a year ago

Corrective action:

Hire a new internal auditor by June 15.

Internal auditor will create awareness by 17 July for HODs

Approval: This action is ( ) Adequate ( ) Inadequate

Reasons:

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