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
Initiating the Audit
Initiating the Audit
One of the first steps in initiating an audit is appointing the audit team leader. The audit team leader is responsible for managing the audit activities and ensuring that the audit is conducted in accordance with the established objectives, scope, and criteria.
The audit team leader typically has several important responsibilities, including:
- Planning the audit activities
- Coordinating the work of the audit team
- Communicating with the auditee
- Ensuring that the audit objectives are achieved
- Preparing and presenting the audit conclusions
The selected individual must possess the necessary competence, experience, and leadership skills to manage the audit process effectively. In many cases, the audit team leader is an experienced lead auditor who has demonstrated the ability to conduct audits independently and guide other auditors.
Defining the Audit Objectives
After appointing the audit team leader, the next step is defining the audit objectives. The objectives describe what the audit is intended to achieve. Clearly defined objectives help the audit team remain focused on relevant issues and ensure that the audit provides meaningful results.
Common audit objectives include:
- Verifying conformity with applicable standards
- Assessing the effectiveness of the management system
- Determining compliance with regulatory or contractual requirements
- Evaluating whether processes are implemented as planned
- Identifying opportunities for improvement
The audit objectives must be consistent with the goals of the audit program and the needs of the organization. Well-defined objectives help guide the audit team in selecting appropriate audit methods and determining which processes should be examined.
Defining the Audit Scope
The audit scope specifies the boundaries of the audit. It identifies the physical locations, organizational units, activities, and processes that will be included in the audit. Defining the scope helps ensure that the audit remains focused and manageable.
Elements typically included in the audit scope may include:
- Departments or functional areas to be audited
- Physical locations or sites included in the audit
- Specific processes or operations
- Time period covered by the audit
The scope must be clearly communicated to the auditee so that both parties understand what will and will not be examined during the audit.
Audit criteria represent the standards, policies, procedures, or requirements against which the audit evidence will be evaluated. These criteria provide the basis for determining whether the management system conforms to requirements.
Examples of audit criteria may include:
- Requirements from international standards such as ISO 9001, ISO 14001, or ISO 45001
- Internal policies and procedures
- Regulatory or legal requirements
- Contractual obligations
Clearly identifying the audit criteria ensures that audit findings are objective and based on recognized requirements.
Once the objectives, scope, and criteria are established, the audit team leader or audit program manager selects the audit team members. The composition of the audit team depends on several factors, including the complexity of the processes being audited, the size of the organization, and the competence required for the audit.
Audit team members should collectively possess the knowledge and expertise necessary to evaluate the relevant processes. This may include knowledge of specific technical areas, management system standards, regulatory requirements, or industry practices.
In some cases, technical experts may be included in the audit team to provide specialized knowledge. These individuals support the audit team by offering expertise in areas that require detailed technical understanding.
Establishing Initial Contact with the Auditee
Another important step in initiating the audit is establishing contact with the auditee. The audit team leader typically communicates with the auditee’s representative to confirm the audit arrangements and ensure that the organization is prepared for the audit.
This initial communication may include discussions about:
- The audit objectives, scope, and criteria
- Proposed audit dates and schedule
- Required documentation and records
- Access to facilities and personnel
- Confidentiality requirements
Establishing clear communication at the beginning of the audit helps prevent misunderstandings and ensures that both the audit team and the auditee are properly prepared.
Confirming Audit Logistics
Practical arrangements must also be confirmed during the audit initiation stage. These arrangements may include travel plans, access to facilities, security requirements, and availability of key personnel.
For remote or hybrid audits, additional considerations may include access to digital systems, document-sharing platforms, and communication tools. Ensuring that these logistical elements are addressed early helps avoid disruptions during the audit.
By carefully organizing these initial activities, the audit team establishes a strong framework for the rest of the audit process. Proper initiation ensures that the audit proceeds in an organized, efficient, and professional manner while supporting the objectives of the audit program and the overall management system.