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
Determining Audit Feasibility
Determining Audit Feasibility
Audit feasibility involves assessing whether the required resources, information, cooperation, and time are available to support the audit. If the audit is not feasible, adjustments may need to be made to the audit scope, schedule, or resources. In some situations, the audit may need to be postponed or rescheduled until appropriate conditions are established.
Determining feasibility ensures that the audit team does not begin an audit without the necessary preparation and support. Conducting an audit without sufficient information or cooperation can lead to incomplete evidence, unreliable findings, and inefficient use of time.
One of the primary considerations when determining audit feasibility is the availability of relevant documented information. Auditors rely heavily on documentation to understand how the management system is structured and how processes are intended to operate.
Examples of documented information that may be required before the audit begins include:
- Management system policies
- Procedures and work instructions
- Process descriptions and flowcharts
- Records demonstrating implementation of processes
- Previous audit reports and corrective action records
Reviewing this documentation allows the audit team to gain an initial understanding of the organization’s management system. If critical documentation is missing or unavailable, the audit team may not be able to adequately prepare for the audit.
Access to accurate and current documentation is particularly important when auditing management systems based on international standards such as ISO 9001, ISO 14001, and ISO 45001. These standards require documented information that demonstrates how the organization meets specified requirements.
Cooperation from the Auditee
Another critical factor in determining audit feasibility is the level of cooperation expected from the auditee. Successful audits depend on open communication, transparency, and willingness to provide information.
The auditee must be prepared to:
- Provide access to relevant documents and records
- Allow auditors to observe processes and activities
- Make personnel available for interviews
- Provide access to facilities or operational areas
If the auditee is unable or unwilling to provide the necessary cooperation, the effectiveness of the audit may be compromised. In such cases, the audit team leader may need to discuss the situation with the audit program manager or organizational leadership to determine whether the audit should proceed or be rescheduled.
Cooperation from the auditee also contributes to creating a professional and constructive audit environment. Audits should not be viewed as inspections designed to assign blame but rather as structured evaluations that help organizations identify opportunities for improvement.
Availability of Resources
The audit team must also evaluate whether sufficient resources are available to conduct the audit. Resources may include qualified auditors, technical experts, time, and logistical support.
Several resource-related questions may be considered during the feasibility assessment:
- Are qualified auditors available for the scheduled audit dates?
- Does the audit team possess the necessary competence to audit the relevant processes?
- Are facilities and equipment accessible to the audit team?
- Are travel arrangements or remote communication tools available if required?
In some situations, the audit may require specialized knowledge in areas such as engineering, environmental management, or occupational health and safety. In these cases, technical experts may need to be included in the audit team.
Ensuring that the audit team has the appropriate resources helps maintain the credibility and effectiveness of the audit process.
Time availability is another important factor in determining audit feasibility. The audit must be scheduled with enough time to allow auditors to review documentation, conduct interviews, observe activities, analyze evidence, and prepare findings.
If the audit schedule is too compressed, auditors may not have sufficient time to evaluate all relevant processes. This could result in incomplete evidence collection or superficial audit findings.
The audit team leader should verify that the planned duration of the audit is appropriate for the size, complexity, and risk level of the organization or processes being audited. Adjustments to the audit plan may be necessary if additional time is required.
For on-site audits, the audit team must have access to the relevant facilities and operational areas. This may include production areas, offices, warehouses, laboratories, or other locations where organizational activities occur.
Security procedures, safety requirements, or confidentiality agreements may influence access to certain areas. These considerations should be addressed during the feasibility assessment to avoid disruptions during the audit.
In remote or hybrid audits, access to digital systems, online records, and communication platforms must also be confirmed.
Addressing Feasibility Issues
If the feasibility assessment identifies potential obstacles, the audit team leader should work with the audit program manager and the auditee to resolve them. Possible actions may include adjusting the audit scope, rescheduling the audit, assigning additional resources, or requesting additional documentation.
Addressing these issues before the audit begins helps ensure that the audit proceeds smoothly and that reliable evidence can be collected throughout the audit process. Determining audit feasibility therefore serves as an important checkpoint that protects the quality, credibility, and effectiveness of the audit.