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
Implementing the Audit Program
Implementing the Audit Program
A key responsibility during implementation is coordinating all audit activities within the organization. This includes ensuring that audits are conducted according to the planned schedule and that all participants understand their roles and responsibilities.
Effective coordination involves:
- Confirming audit schedules with relevant departments
- Communicating audit objectives and scope to auditees
- Assigning qualified auditors or audit teams
- Ensuring the availability of required resources
- Addressing any logistical challenges related to the audit
Proper coordination helps prevent disruptions to organizational operations and ensures that audits proceed smoothly.
Determining Audit Criteria
Audit criteria are the set of requirements used as a reference against which audit evidence is compared. Establishing clear audit criteria is essential to ensure that auditors evaluate processes consistently and objectively.
Audit criteria may include:
- Requirements of international standards
- Organizational policies and procedures
- Regulatory and legal requirements
- Contractual obligations
- Internal management system documentation
Defining these criteria helps auditors determine whether the organization’s activities conform to the specified requirements.
Selecting Audit Methods
Selecting competent auditors is essential for the successful implementation of the audit program. Auditors should have the necessary knowledge, skills, and experience to evaluate the processes being audited.
The audit team may consist of:
- A lead auditor responsible for managing the audit
- One or more audit team members who assist in conducting the audit
- Technical experts, when specialized knowledge is required
Auditors should also be independent of the activities they are auditing to maintain objectivity and impartiality. Training based on the principles of ISO 19011 helps ensure that auditors possess the competence needed to perform their duties effectively.
Communicating the Audit Program
Clear communication is essential during the implementation of the audit program. All relevant stakeholders, including management, auditors, and auditees, should be informed about upcoming audits and their objectives.
Communication may include:
- Informing departments about scheduled audits
- Sharing audit plans and criteria with auditees
- Clarifying expectations and responsibilities
- Addressing questions or concerns related to the audit process
Effective communication helps build cooperation between auditors and auditees, which is essential for collecting accurate and reliable audit evidence.
Maintaining accurate records is an important part of implementing the audit program. Audit records provide documented evidence of audit activities and outcomes, ensuring transparency and traceability.
Typical audit records may include:
- Audit schedules and plans
- Auditor assignments
- Audit checklists and working documents
- Audit reports and findings
- Corrective action records
- Follow-up documentation
These records help organizations track the performance of the audit program and provide evidence for management reviews or external assessments.
During implementation, the audit program manager should also monitor risks that may affect audit activities. For example, unexpected changes in organizational priorities, limited auditor availability, or operational disruptions may affect the audit schedule.
To address these challenges, organizations may need to:
- Adjust audit schedules
- Reassign audit team members
- Allocate additional resources
- Modify audit methods, such as using remote auditing techniques
Proactively managing these risks helps ensure that the audit program remains effective even when circumstances change.