ISO 30401 LEAD AUDITOR COURSE

CORRECTION KEY
 DAY 1

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

Fulfill the 100 percent Conduct internal Internal audit KM rep/ Quarterly
requirements of compliance to report internal
audit
ISO 30401 all auditor
requirements requirement

Exercise 2.
What are the various factors that can impair the transformation of tacit knowledge into
explicit knowledge in the organization?
1. Lack of communication channels: Inadequate communication channels or poor
communication practices within the organization can hinder the sharing and articulation of
tacit knowledge into explicit forms.
2. Cultural barriers: Differences in organizational culture, language, or values can
impede the effective sharing and transfer of tacit knowledge. Cultural barriers may inhibit
employees from expressing their tacit knowledge openly or may lead to misunderstandings
during the transformation process.
3. Fear of loss of competitive advantage: Organizations may perceive their tacit
knowledge as a source of competitive advantage and may be reluctant to convert it into
explicit knowledge for fear of losing that advantage to competitors.
4. Inadequate technology infrastructure: The absence of suitable technology platforms
or knowledge management systems can hinder the capture, storage, and dissemination of
explicit knowledge derived from tacit knowledge.
5. Resistance to change: Employees may resist efforts to codify or formalize tacit
knowledge into explicit forms if they perceive it as a threat to their autonomy, status, or
expertise within the organization.

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)

i. The organization shall determine external and internal issues that are relevant to
the organization’s KMS
ii. Regularly review and update the context analysis to reflect changes in the
organization's operating environment, strategic priorities, and stakeholder
dynamics.

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

i. The organization shall determine its relevant stakeholders.
ii. The organization shall assess the requirements of the interested parties in the
organizational context

Exercise 4: Understand the organisation- Internal Review

Identify SWOT of your organisation and the strategies
Strength Weakness
Leadership support Resistance to change
Integration of the KMS with existing system Inadequate training
Strategies:
1. continually prioritize knowledge management or allocate sufficient resources to
support its implementation and maintenance
2. Ensure seamless integration of the knowledge management system with existing
workflows, processes, and systems within the organization. Minimize disruptions
to user workflows and eliminate duplication of efforts by integrating the KMS with
other platforms and applications used by employees.
3. Proactively address resistance to change by acknowledging employees' concerns
and addressing them through open communication, education, and active
engagement. Encourage feedback and involvement in the decision-making process
to increase buy-in and ownership of the KMS.
4. Offer comprehensive training programs to help users understand how to
effectively use the knowledge management system. Provide ongoing support
resources, such as user guides, tutorials, and help desks, to address user questions
and issues.

DAY 2
Exercise 5: Understand the organisation- External Review
Identify SWOT of your organisation and the strategies
Opportunity Threat
Technological Advancements Market competition
Economic conditions

Strategies:
1. Conduct regular assessments of emerging technologies and evaluate their potential
impact on the organization's knowledge management strategy. Invest in
technologies that align with ISO 30401 requirements and support the organization's
long-term goals.
2. Conduct market research and competitive analysis to understand how other
organizations are leveraging knowledge management systems and ISO 30401
certification to gain a competitive advantage. Identify areas where the organization
can innovate and differentiate itself within the market.
 3. Explore cost-effective alternatives, such as open-source software, cloud-based
solutions, or modular implementation approaches, to minimize upfront costs and
maximize long-term benefits.
Exercise 6: Stakeholders Analysis

Stakeholder Strategies

Stakeholder Power Interest Priority Expectations Strategies

Customer L H HI/LP Knowledge about Give customer more
the services to be power by involving them
required in decision making
Staff L H LP/HI Opportunities for Recognize and reward
training and individuals and teams
professional that demonstrate
development exemplary contributions
related to to knowledge creation,
knowledge sharing, and utilization
management. within the organization.

Exercise 7: Risk Assessment

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

Risk Likelihood Impact Risk Priority Mitigation Steps

Level
Data 2 5 10 2 Implement robust data security controls,
Security and including encryption, access controls,
Privacy user authentication, and audit trails, to
Breaches protect sensitive information within the
system.
Conduct regular security assessments
and audits to identify vulnerabilities and
address security gaps proactively.
Keyman risk 3 5 15 1 Training and knowledge management
Exercise 8: Communication Program and Procedure
What- Message Whom- How- Who- When-Duration/
Audience medium/ Responsibility deadline
media
Knowledge Staff Awareness HR Quarterly
management session
policy
Knowledge External Mails HR&KM Rep Annually
management stakeholders
policy

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?
Yes, the situation described represents a change issue within XYZ Knowledge Solution
(XKS). The organization is experiencing resistance to change from senior-level employees
who are reluctant to adapt to new technologies and collaborate effectively with new
employees. This resistance is hindering the organization's efforts to update its knowledge
management processes and foster a proactive knowledge-sharing culture.
To control the situation and address the resistance to change, the following steps can be
taken:
1. Communication and Education:
• Implement a comprehensive communication strategy to explain the rationale
behind the changes and the benefits to both senior-level employees and new hires.
• Offer training programs and workshops to senior employees to help them
understand the importance of adapting to new technologies and collaborating with
new hires.
• Provide resources and support to help senior employees overcome their fear of
being replaced by new hires and technology. Emphasize the value of their
experience and expertise in guiding and mentoring new employees.
2. Leadership Support and Role Modeling:
• Engage senior leadership to champion the change initiative and demonstrate their
commitment to the organization's vision for knowledge management.
• Encourage senior-level employees to lead by example by actively participating in
knowledge-sharing activities, mentoring new hires, and embracing new
technologies in their own work.
3. Leadership Support and Role Modeling:
• Engage senior leadership to champion the change initiative and demonstrate their
commitment to the organization's vision for knowledge management.
• Encourage senior-level employees to lead by example by actively participating in
knowledge-sharing activities, mentoring new hires, and embracing new
technologies in their own work.
4. Cross-Generational Collaboration:
• Facilitate opportunities for cross-generational collaboration and knowledge
exchange between senior-level employees and new hires.
• Encourage open dialogue and mutual respect between different generations of
employees, recognizing the unique perspectives and contributions each group
brings to the table.
 • Create formal mentorship programs or peer-to-peer learning networks to facilitate
knowledge transfer and collaboration between senior and junior employees.
5. Feedback and Continuous Improvement:
• Solicit feedback from employees at all levels to identify barriers to collaboration and
opportunities for improvement in the change process.
• Actively address concerns and challenges raised by employees, and adapt the
change strategy as needed to ensure its effectiveness and relevance.
• Celebrate successes and milestones achieved through collaboration and knowledge
sharing, reinforcing a culture of continuous improvement and learning within the
organization.
To prevent a similar situation in the future, XKS could have taken proactive measures such
as:
1. Change Management Planning:
• Conducting thorough change impact assessments to anticipate potential resistance
and challenges associated with implementing new technologies and processes.
• Developing a comprehensive change management plan that includes strategies for
addressing resistance, fostering collaboration, and promoting buy-in from all
stakeholders.
2. Engagement and Inclusion:
• Involving employees at all levels in the decision-making process and soliciting their
input and feedback on proposed changes.
• Creating a culture of inclusion and transparency where employees feel valued and
empowered to contribute to the organization's success.
3. Continuous Learning and Development:
• Investing in ongoing learning and development initiatives to ensure that employees
have the skills and knowledge needed to adapt to technological advancements and
evolving client needs.
• Providing opportunities for cross-training and upskilling to bridge the gap between
existing business processes and new technologies.
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 organization
1. Lead by Example:
• Demonstrate your commitment to knowledge sharing by actively participating in
sharing sessions, contributing insights, and encouraging others to do the same.
• Share your own experiences, best practices, and lessons learned to set a positive
example for others to follow.
2. Communicate the Importance of Knowledge Sharing:
• Clearly communicate the benefits of knowledge sharing to employees at all levels of
the organization.
• Explain how sharing knowledge can improve decision-making, enhance innovation,
and drive organizational performance and success.
3. Provide Training and Support:
• Offer training sessions and workshops to educate employees on the importance of
knowledge sharing and provide them with the necessary skills and tools to
participate effectively.
• Provide ongoing support and resources, such as guidelines, templates, and
platforms, to facilitate knowledge sharing and collaboration.
4. Recognize and Reward Contributions:
• Recognize and celebrate employees who actively participate in knowledge-sharing
activities and contribute valuable insights and expertise.
• Implement rewards and recognition programs to incentivize and motivate
employees to engage in knowledge sharing and collaboration.
5. Facilitate Knowledge-Sharing Platforms and Events:
• Establish dedicated platforms, such as intranet portals, online forums, or
collaboration tools, where employees can share information, ask questions, and
seek advice from colleagues.
 • Organize regular knowledge-sharing events, such as lunch-and-learns, brown bag
sessions, or cross-functional workshops, to encourage interaction and exchange of
ideas among employees.
6. Promote Collaboration and Cross-Functional Engagement:
• Encourage collaboration and cross-functional teamwork by creating opportunities
for employees from different departments and teams to share knowledge and work
together on projects and initiatives.
• Break down silos and encourage open communication and information sharing
across the organization.
7. Create a Safe and Supportive Environment:
• Foster a culture of trust, openness, and psychological safety where employees feel
comfortable sharing their ideas, opinions, and experiences without fear of judgment
or reprisal.
• Encourage constructive feedback and dialogue, and be receptive to diverse
perspectives and viewpoints.
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 Exempted Number of Locations

services the scope Process/ Clause staff within within the
scope scope of the
audit
Production Business None 20 London
and sales of development,
furniture design and
development,
Production,
Procurement
Logistics

Exercise 12: Developing audit plan

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

Date: Clauses to be Department Contact person

Time audited
8.30- 9.00 Opening Meeting All HODs
9.00-10.00 4 MR Mr. X
10.00-11.00 5 MR Mr. X
11.00-12.00 6 Operations Mr. X
12.00-1.00 Break
1.00-2.00 7 HR Mr. X
2.00- 3.00 8 Operations Mr. X
3.00- 4.00 9 Compliance Mr. X
4.00-4.30 Closing meeting All HODs
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.
 Introduction
 Record attendees
 Agree on the audit scope and objectives
 Confirmation of the audit plan
 Method of audit
 Assurance of confidentiality
 Confirm auditee cooperation
 Establish lines of communication
 Determine logistics.

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
KMR; Can you please
4.5Knowledge
tell me the extent of
management culture
KM culture in your
organization with
different case
scenarios?
6.2 Knowledge Documented KMR; Has the
management
objectives organization
objectives and
planning to achieve determined it KM
them
objectives and how
does it intend to
achieve them?
4.4.3 Knowledge Attendance of Staff; Confirm
conveyance and brainstorming details and contents
transformation sessions of training
Training records
4.4.4 Knowledge Documented Policy pasted in
management organizational conspicuous
enablers policies and locations in the
statements organization
promoting a culture
of knowledge
sharing and learning.

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?

1. Can you describe how knowledge management is currently integrated into the culture
of our organization?
2. How do you see knowledge sharing and collaboration as part of our organizational
values and norms?
3. Can you provide examples of how knowledge management practices have influenced
decision-making and problem-solving within our organization?
4. What mechanisms or incentives does our organization have in place to encourage
employees to share their knowledge and expertise?
5. How does leadership support and promote a culture of knowledge sharing and
learning within our organization?
6. Can you discuss any challenges or barriers that employees may encounter when trying
to share knowledge or access information?
7. How does our organization capture and document lessons learned from past projects
or experiences to inform future decision-making?
8. Can you describe any initiatives or programs aimed at fostering continuous learning
and development among employees?
9. How are employees recognized or rewarded for their contributions to knowledge
management and collaborative efforts?
10. In your opinion, what steps could our organization take to further strengthen our
knowledge management culture and practices in alignment with ISO 30401 standards?
 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.
2.
NONCONFORMITY REPORT
Nonconformity Client: XYZ
No:1

Process: Clause Number:4.4 Site:HQ

knowledge
management
system
Audit criteria The organization shall establish, implement , maintain and continually
improve a knowledge management system

Description of the Some knowledge management tools lack integration, leading to inefficiencies
observed in information retrieval and sharing.
nonconformity:

Recommendation: Develop internal competence or outsource the process

Auditor:Mr.Smith Acknowledgement by auditee representative: Nonconformity

Mr. Gold category:
Major:
Nonconformity presented to: KM Rep Minor:X

Date:xx/xx/xxxx Date confirmed:xx/xx/xxxx

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

NONCONFORMITY REPORT
Nonconformity No: 2 Client: XYZ

Process: Knowledge Clause Number:4.4.4 Site: HQ

management enablers

Audit criteria The organization shall include and integrate processes to support
knowledge management system

Description of the observed The organization does not have a formalized process for
nonconformity: capturing and implementing lessons learned from knowledge
management initiatives.

Recommendation: The organization shall develop formalized process for capturing

and implementing lessons learned from knowledge management
initiatives.

Auditor: Mr. Smith Acknowledgement by Auditee Nonconformity

representative: Mr. Gold category:
Major:x
Nonconformity presented to: KM rep Minor:

Date:xx/xx/xxxx Date confirmed: xx/xx/xxxx

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.
 Restate audit scope, plan and objectives
 Thankauditees for their cooperation
 Present summary of findings
 Define major and minor non-conformities
 Present recommendation/OFI
 Permit Questions and let them provide any other evidence to disproof your findings
 Promise them Confidentiality
 Inform them of what they need to do with identified NCs
 Thank audit client
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: The temporarily appointed personal in charge is not qualified on document
controlling
Corrective action: Train personnel on document controlling and KMS on/before
xx/xxx/xxxx
Justification: The implementation of the corrective action will address the issue.

2. Processes for capturing and documenting tacit and explicit knowledge are not well-
defined or consistently applied across the organization.
Root cause: inadequate knowledge management policies
Corrective action: Develop Clear Procedures and Guidelines
Justification: The implementation of the corrective action will address the issue.
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
1 Documents numbering is 7.5 Minor The document
not consistent with control
knowledge management procedure is to
policy having B20A and be reviewed
Organogram having and updated
AB002.
2 The knowledge 5.2 Major The policy need
managementpolicy does to be reviewed
not the commitment to and updated
improvement statement
and it was not signed

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: The root cause and the corrective actions does not address the nonconformity
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: The root cause and the corrective actions address the nonconformity

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: The root cause and the corrective actions address the nonconformity