Curriculum
- 2 Sections
- 37 Lessons
- 26 Weeks
- ISO/IEC 20000-112
- 1.1Introduction to IT Service Management and ISO/IEC 20000-1
- 1.2ISO/IEC 20000-1 Structure and Core Clauses
- 1.3Service Management System (SMS) Requirements and Integration
- 1.4Service Portfolio, Service Catalogue, and Service Level Management
- 1.5Relationship Management and Supplier Management
- 1.6Service Design, Transition, and Change Management
- 1.7Incident Management and Service Request Management
- 1.8Problem Management and Configuration Management
- 1.9Availability Management and Capacity Management
- 1.10Information Security Management and IT Service Continuity
- 1.11Performance Evaluation and Continual Improvement
- 1.12Documentation, Records Management, and Compliance
- ISO 19011: Guidelines for auditing management systems26
- 2.1Introduction to ISO19011
- 2.2Principles of Auditing
- 2.3Managing an Audit Program
- 2.4Establishing Audit Program Objectives
- 2.5Determining Audit Program Risks and Opportunities
- 2.6Establishing the Audit Program
- 2.7Implementing the Audit Program
- 2.8Monitoring the Audit Program
- 2.9Reviewing and Improving the Audit Program
- 2.10Initiating the Audit
- 2.11Determining Audit Feasibility
- 2.12Preparing Audit Activities
- 2.13Reviewing Documented Information
- 2.14Preparing the Audit Planx
- 2.15Assigning Work to the Audit Team
- 2.16Preparing Working Documents
- 2.17Opening Meeting
- 2.18Communication During the Audit
- 2.19Collecting and Verifying Information
- 2.20Generating Audit Findings
- 2.21Preparing Audit Conclusions
- 2.22Closing Meeting
- 2.23Preparing the Audit Report
- 2.24Completing the Audit
- 2.25Follow-Up Activities
- 2.26ISO 20000-1 EXAM120 Minutes40 Questions
Communication During the Audit
Communication During the Audit
The audit team must establish clear lines of communication with the auditee. The auditee should understand who the audit team members are, the processes or areas being audited, and how and when information will be requested or collected. Effective communication encourages cooperation and transparency from the auditee, which in turn facilitates accurate evaluation of the management system.
Key practices for communicating with the auditee include:
- Explaining the purpose and scope of audit activities
- Asking clear and concise questions during interviews
- Observing processes without disrupting normal operations
- Providing regular updates on audit progress
- Clarifying any misunderstandings promptly
Auditors should remain professional and objective, ensuring that all interactions are respectful and focused on evaluating the system rather than assigning blame. Clear communication fosters a constructive environment where the auditee is more likely to provide honest and accurate information.
Communication Within the Audit Team
Communication among audit team members is equally important. Team members must share information about observations, document reviews, and interviews to ensure that evidence is properly evaluated and audit objectives are met. Regular discussions within the audit team allow for early identification of issues, verification of evidence, and alignment on findings.
The audit team leader typically coordinates communication within the team, ensuring that:
- Evidence collected by different auditors is consistent and complete
- Any issues or discrepancies are discussed and resolved
- Progress against the audit plan is tracked
- Responsibilities for follow-up or verification are clearly assigned
Efficient communication within the audit team ensures that all team members are aligned and that audit findings are well-supported.
Methods of Communication
During the audit, various communication methods may be used depending on the context and organizational environment. These can include:
- Face-to-face discussions or interviews with personnel
- Email or messaging for requesting documents or clarifications
- Meetings or briefings for sharing team observations
- Documented notes or checklists for recording evidence
Auditors should select the most appropriate communication method for each situation, balancing efficiency, accuracy, and the need to maintain professional conduct. In remote audits, digital tools such as video calls, shared documents, and collaboration platforms become especially important for effective communication.
During the audit, conflicts or misunderstandings may arise. These could result from differing interpretations of processes, resistance to questioning, or uncertainty about audit requirements. Auditors must handle such situations tactfully and professionally. Strategies include:
- Listening carefully and objectively to auditee concerns
- Clarifying the audit criteria or scope as needed
- Explaining the audit process or evidence requirements
- Escalating unresolved issues to the audit team leader when necessary
Maintaining a calm, professional approach helps resolve issues without disrupting the audit or damaging relationships with the auditee.
When significant findings or potential nonconformities are identified, auditors should communicate these issues promptly, either to the audit team leader or the designated auditee contact. Early reporting allows the audit team to verify evidence, plan follow-up activities, and ensure that the finding is properly addressed in the audit report.
Timely communication of major issues prevents surprises at the closing meeting and ensures that the auditee has an opportunity to provide additional information or context before conclusions are drawn.