ISO
          IEC 20000-1 2011 Service Management Audit Tool

This page provides an overview of our service management audit tool (also see pdf).

WHO SHOULD USE OUR AUDIT TOOL

Our service management audit tool can be used by:

Service providers. Our audit tool can be used by any service provider to show
that it is capable of meeting its customers’ unique service requirements. It can
be used by any service provider to demonstrate that it is capable of designing,
delivering, and improving its services. Service providers can also use it to
evaluate their service practices, processes, policies, and procedures.

Service recipients. Our audit tool can be used by organizations that need
to be sure that the services they receive from their service providers will
consistently meet their unique service needs and requirements. It can be
used by any organization to establish and maintain a consistent approach
to service delivery throughout its entire service supply chain.

Service auditors. Our audit tool can be used by auditors and assessors
to examine any service management system (SMS). It can be used to
evaluate any service provider’s performance and compliance.

WHAT OUR TOOL WILL DO FOR YOU

You can not only use our audit tool to ensure that you’re ready to be certified,
you can also use it to improve your organization’s service management
practices and processes. It will not only help you to improve your service
development, delivery, and control practices and processes and improve your
ability to respond to service requests and manage service incidents, it will also
enhance the relationship you have with both service customers and service
suppliers. All you have to do is answer every audit question and then take
the appropriate remedial actions. How this is done will be explained below.


ISO IEC 20000-1 SERVICE MANAGEMENT AUDIT TOOL

TABLE OF CONTENTS (TITLE 16)

 

INTRODUCTION TO AUDIT

 

1

Overview of Audit Tool

3

2

Profile of Audit Project

10

3

Summary of Audit Results

11

 

SERVICE AUDIT QUESTIONNAIRES 

 

4

Service Leadership Audit Questionnaire

12

5

Service Development Audit Questionnaire

35

6

Service Delivery Audit Questionnaire

HTM

7

Service Relationship Audit Questionnaire

PDF

8

Service Resolution Audit Questionnaire

63

9

Service Control Audit Questionnaire

70

 

SERVICE IMPROVEMENT PLANS

 

10

Service Leadership Improvement Plan

80

11

Service Development Improvement Plan

81

12

Service Delivery Improvement Plan

82

13

Service Relationship Improvement Plan

83

14

Service Resolution Improvement Plan

84

15

Service Control Improvement Plan

85

 

APPENDICES

 

16

Plain English Service Management Definitions

86

17

License Agreement and Contact Information

92

 


 

OUR APPROACH

Our audit tool is a compliance audit tool. It will pinpoint the gaps that exist
between the ISO IEC 20000-1 2011 standard and your organization's practices
and processes. Once you've filled all the gaps, you can be assured that you've
done everything you can to ensure that you comply with the standard.


AUDIT PROFILE

Before you start your audit, you will be asked to fill out the form entitled
Profile of Audit Project
(part 2). First record the name of the organization being
audited, its address, the areas being audited, the address of the audit, and a brief
description of the actual scope or focus of the audit. Also use the form to record
the names of your auditors and the audit start date. Once you’ve completed the
audit, use the same form to record when the audit was finished, who reviewed
the audit and when, and any review comments.


AUDIT QUESTIONS (see PDF sample)

ISO IEC 20000-1 is made up of six sets of service management requirements
(parts 4 to 9). We've taken each one of these requirements and turned it into
an audit question.

Our audit questions start with part 4 because the ISO IEC 20000-1 requirements
start there. We've preserved this numbering system in order to make it easy to
cross-reference the original ISO IEC 20000-1 standard with our material. However,
at the detailed level we have added a numbering system that you won’t find in the
original standard. We have sequentially numbered all questions within each of the
six parts (4 to 9) that make up the core of the standard. We have done this in order
to make it easier for you to work with our questionnaires.

In addition, we have used paragraph indents to distinguish between general
questions and specific questions. This approach makes it easy to see how our
questionnaires are structured. In most cases, a general question is immediately
followed by several specific questions which usually help clarify what the
general question is trying to ask.


AUDIT METHOD

For each question, two answers are possible: YES (Y) or NO (N). A YES answer
means you’re in compliance with the standard while a NO answer means you’re
not in compliance. NO answers reveal gaps that exist between the ISO IEC 20000-1
standard and your organization's practices and processes. Please answer each
question by selecting one of these two answers. To the right of your answers
you will also find a column that you can use to record comments, observations,
and cross-references.

Once you’ve completed these six sets of questionnaires, please study each of
your NO answers and use the associated questions to formulate remedial actions.
Use the forms at the end of this audit process to record your remedial actions and
to create your unique service management improvement plans (see parts 10 to 15,
below). Alternatively, you could use these forms to list file names or references to
more detailed plans that are found elsewhere.

Once you've done this for all gaps, you will have six plans which, taken together,
will make up your service management improvement plan. And once all plans
have been implemented and all remedial actions have been taken, you will have
improved the overall effectiveness of your organization's service management
practices and processes, and you will comply with the standard.

In most cases, remedial actions can be formulated by simply turning an audit
question into an action statement. For example, an audit question might ask:
“Do you use records to support continuous improvement?”
. If you answered
NO to this question, you would create a remedial action statement by simply
writing: “Establish records to support continuous improvement”. Or, if you
wish to use our questions to set objectives, simply write the following:
“To establish records to support continuous improvement”.

You can also summarize your service management audit quantitatively if
you wish (see part 3). The idea here is to measure how compliant your service
management practices and processes actually are. And if you carry out regular
audits, you can also use our approach to measure whether or not your
practices and processes are improving over time.

The following example will show you what our
ISO IEC 20000-1 2011 Audit Tool looks like (also see pdf).

SAMPLE AUDIT QUESTIONS

ISO IEC 20000-1 2011 AUDIT TOOL

6. SERVICE DELIVERY AUDIT QUESTIONNAIRE

6.1 ESTABLISH AGREEMENTS TO CONTROL SERVICE DELIVERY

1

Do you control the delivery of services to your customers?

Y

N

 

 

2


Did you establish a catalogue of services for your customers?

Y

N

 

 

3



Do you make sure that customers agree with your catalogue?

Y

N

 

 

4




Do you describe service and component interdependencies?

Y

N

 

 

5


Do you establish agreements to control the delivery of services?

Y

N

 

 

6



Do you make sure that customers agree with your services?

Y

N

 

 

7




Do you create at least one SLA for each service provided?

Y

N

 

 

8





Do you consider service requirements when creating SLAs?

Y

N

 

 

9





 

Do you include service targets when you create SLAs?

Y

N

 

 

10





 


Do you include workload characteristics and exceptions?

Y

N

 

 

11




Do you create agreements to control service components?

Y

N

 

 

12





Do you control service components provided by customers?

Y

N

 

 

13





 

Do you define activities and interfaces with customers?

Y

N

 

 

14





 


Do you document activities and interfaces with customers?

Y

N

 

 

15





 



Do you review your agreements with customers?

Y

N

 

 

16





 



Do you maintain your documented agreements?

Y

N

 

 

17





 

Do you monitor customer performance at planned intervals?

Y

N

 

 

18





 


Do you monitor customers against service targets?

Y

N

 

 

19





 


Do you monitor customers against other commitments?

Y

N

 

 

20





 

Do you record and review customer performance results?

Y

N

 

 

21





 


Do you identify causes of customer nonconformities?

Y

N

 

 

22





 


Do you identify customer improvement opportunities?

Y

N

 

 

23





Do you control components provided by internal groups?

Y

N

 

 

24





 

Do you define activities and interfaces with these groups?

Y

N

 

 

25





 


Do you document these internal activities and interfaces?

Y

N

 

 

26





 



Do you review your documents with these groups?

Y

N

 

 

27





 



Do you maintain your agreements with these groups?

Y

N

 

 

28





 

Do you monitor group performance at planned intervals?

Y

N

 

 

29





 


Do you monitor internal groups against service targets?

Y

N

 

 

30





 


Do you monitor groups against other commitments?

Y

N

 

 

31





 

Do you record and review group performance results?

Y

N

 

 

32





 


Do you identify causes of group nonconformities?

Y

N

 

 

33





 


Do you identify group improvement opportunities?

Y

N

 

 

34

Do you monitor the services that are delivered to your customers?

Y

N

 

 

35


Do you monitor the services that you provide to your customers?

Y

N

 

 

36



Do you monitor trends and performance against service targets?

Y

N

 

 

37




Do you study trends and performance at planned intervals?

Y

N

 

 

38





Do you record the results of your monitoring activities?

Y

N

 

 

39





 

Do you study the results of your monitoring activities?

Y

N

 

 

40





 


Do you identify causes of your nonconformities?

Y

N

 

 

41





 


Do you identify improvement opportunities?

Y

N

 

 

42


Do you monitor services to customers that others provide for you?

Y

N

 

 

43



Can you demonstrate that others’ governance structures exist?

Y

N

 

 

44




Can you show that structures are used to control service?

Y

N

 

 

45

Do you review the services that are delivered to your customers?

Y

N

 

 

46


Do you review services with your customers at planned intervals?

Y

N

 

 

47



Do you review SLAs with your customers at planned intervals?

Y

N

 

 

48

Do you manage changes to all services delivered to your customers?

Y

N

 

 

49


Do you use your change management process to control changes?

Y

N

 

 

50



Do you control changes to your catalogue of services?

Y

N

 

 

51




Do you update your catalogue whenever services change?

Y

N

 

 

52




Do you update your catalogue whenever SLAs change?

Y

N

 

 

53



Do you control changes to service level agreements (SLAs)?

Y

N

 

 

54



Do you control changes to documented service requirements?

Y

N

 

 

6.2 ESTABLISH REPORTING METHODS AND PREPARE REPORTS

55

Do you describe the nature and purpose of each service report?

Y

N

 

 

56

 

Do you make sure that each service report is clearly identified?

Y

N

 

 

57

   

Do you specify the target audience for each service report?

Y

N

 

 

58

   

Do you specify how often each service report will be generated?

Y

N

 

 

59

   

Do you specify where the data for each report will come from?

Y

N

 

 

60

     

Do you use information from your SMS activities?

Y

N

 

 

61

     

Do you use information from the delivery of services?

Y

N

 

 

62

     

Do you use information from service management processes?

Y

N

 

 

63

 

Do you make sure that your reporting methods are documented?

Y

N

 

 

64

Do you discuss service reporting methods with interested parties?

Y

N

 

 

65


Do you make sure that they agree with your reporting methods?

Y

N

 

 

66

Do you prepare service reports and take remedial action?

Y

N

 

 

67

 

Do you compare performance against service targets?

Y

N

 

 

68

 

Do you present information about significant events?

Y

N

 

 

69

   

Do you discuss major incidents?

Y

N

 

 

70

   

Do you discuss service changes?

Y

N

 

 

71

     

Do you discuss new services?

Y

N

 

 

72

 

Do you summarize workload characteristics?

Y

N

 

 

73

   

Do you discuss workload volumes and periodic changes?

Y

N

 

 

74

 

Do you discuss customer service complaints?

Y

N

 

 

75

   

Do you discuss customer satisfaction measurements?

Y

N

 

 

76

     

Do you discuss your analytical results and conclusions?

Y

N

 

 

77

 

Do you describe your service continuity plans?

Y

N

 

 

78

 

Do you analyze information about service trends?

Y

N

 

 

79

 

Do you identify nonconformities and root causes?

Y

N

 

 

80

   

Do you discuss compliance with SMS requirements?

Y

N

 

 

81

   

Do you discuss compliance with service requirements?

Y

N

 

 

82

   

Do you discuss compliance with ISO IEC 20000-1 requirements?

Y

N

 

 

83

 

Do you consider your service reports and take remedial action?

Y

N

 

 

84

   

Do you discuss your remedial actions with interested parties?

Y

N

 

 

75

Etcetera ...

Y

N

 

 


Attention

Now that you know what our tool looks like, please consider
purchasing Title 16: ISO IEC 20000-1 Service Management Audit Tool.

If you purchase our service management audit tool, you'll
find that it's integrated, detailed, exhaustive, and easy to understand.
You'll find that we've worked hard to create a high quality product.
In fact, we
guarantee the quality of our service management audit tool.
Title 16 is 93 pages long and comes in pdf and MS doc file formats.

Place an Order 

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See our License


MORE ISO IEC 20000 PAGES

Introduction to ISO IEC 20000-1 2011

Outline of ISO IEC 20000-1 2011 Standard

Overview of ISO IEC 20000-1 2011 Standard

ISO IEC 20000-1 Service Management Definitions

ISO IEC 20000-1 Standard Translated into Plain English

How to Perform a Service Management Gap Analysis

Plain English Service Management Checklist

ALSO SEE OUR OTHER AUDIT TOOLS AND PROGRAMS


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Updated on February 3, 2017. First published on September 4, 2014.

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