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
Preparing Audit Activities
Preparing Audit Activities
Without proper preparation, auditors may spend valuable audit time trying to understand basic organizational information rather than focusing on evaluating processes and collecting evidence. Preparation ensures that the audit team arrives ready to conduct structured and focused assessments. It also helps the auditors identify key areas of risk, important processes, and potential issues that may require closer examination during the audit.
Preparation activities typically involve reviewing available information about the organization, analyzing relevant documentation, identifying audit priorities, and planning the sequence of audit activities.
Before conducting an audit, the audit team should gain a clear understanding of the organization being audited. This includes understanding the organization’s structure, operations, and management system. Knowledge of the organization’s activities helps auditors identify which processes are critical and which areas may present higher levels of risk.
Important aspects that auditors may review include:
- The organization’s mission, objectives, and policies
- The structure of the organization and its departments
- Key operational processes
- The scope of the management system
- The products or services provided by the organization
Understanding the context of the organization allows auditors to conduct a more meaningful evaluation of how the management system operates in practice.
This step is particularly important when auditing management systems that follow standards such as ISO 9001, ISO 14001, and ISO 45001, where understanding organizational context and operational processes is essential for evaluating system effectiveness.
Reviewing Relevant Information
Preparation also includes reviewing information that may influence the audit approach. This may involve examining previous audit reports, corrective action records, performance reports, and management review outputs.
Previous audit reports can be particularly useful because they highlight issues that were identified in earlier audits. Reviewing these findings allows auditors to verify whether corrective actions have been implemented and whether previously identified problems have been resolved.
Other useful information that may be reviewed during preparation includes:
- Key performance indicators related to processes
- Results from internal inspections or assessments
- Regulatory or legal requirements applicable to the organization
- Customer complaints or feedback
- Risk assessments conducted by the organization
Analyzing this information helps auditors identify areas that require closer attention during the audit.
Identifying Key Risk Areas
A risk-based approach is an important principle of auditing. During the preparation stage, the audit team should identify areas where risks may be higher. These areas may require more detailed evaluation during the audit.
Risk areas may include:
- Processes that directly affect product or service quality
- Activities with environmental or safety implications
- Areas where previous nonconformities were identified
- Newly implemented processes or systems
- Processes that involve complex operations or specialized equipment
By identifying high-risk areas before the audit begins, auditors can allocate their time and resources more effectively.
Once the audit team has reviewed relevant information and identified key risk areas, the next step is planning the overall audit approach. This involves deciding how the audit will be conducted and which methods will be used to collect evidence.
Auditors may use several methods during the audit, including:
- Interviews with employees and management
- Observation of operational activities
- Review of documents and records
- Sampling of transactions or activities
Planning the audit approach ensures that the audit team can gather sufficient evidence to evaluate whether processes meet the established audit criteria.
If the audit involves multiple auditors, coordination within the audit team is essential. The audit team leader may organize meetings or discussions to ensure that all team members understand the audit objectives, scope, and responsibilities.
During these discussions, the team may review:
- The audit plan and schedule
- Specific processes assigned to each auditor
- Areas requiring special attention
- Communication methods during the audit
This coordination helps ensure that the audit is conducted consistently and that important areas are not overlooked.
Ensuring Efficient Use of Audit Time
One of the key benefits of preparing audit activities is the efficient use of time during the audit itself. Audits are often conducted within limited timeframes, and auditors must gather sufficient evidence while minimizing disruption to the organization’s operations.
Effective preparation allows auditors to focus on evaluating processes rather than searching for basic information. It also helps reduce the likelihood of misunderstandings or delays during the audit.
Proper preparation supports a structured and professional audit process in which auditors can confidently assess whether the organization’s management system conforms to established requirements and operates effectively.