Company Name

Audit Date
Audit Description
Lead Auditor
Team Members

Instructions:
ISO 20000-1:2011 Auditable Clauses: (Tick those to be evaluated during this audit)
Each auditor should complete the section of the checklist they have been assigned by the Lead Audito
auditor may provide additional notes and questions regarding the audit trail for each element in the b
space on the checklist.
The Quality Manager* or Lead Auditor* [* delete as appropriate] is responsible for reviewing complete
sections of the checklist and to organize all individual sections into one sequential checklist at the con
of the audit.

Legend
A
B
C
SQ

GAP analysis checklist

Tick those to be evaluated during this audit)

on of the checklist they have been assigned by the Lead Auditor. The
nd questions regarding the audit trail for each element in the blank

[* delete as appropriate] is responsible for reviewing completed

e all individual sections into one sequential checklist at the conclusion

Minor Non-conformance
Major Non-conformance
Critical Non-conformance
Supplementary Question

GAP-F-001

V1.0

Clause number

Finding
Questio Clause Ref Audit Question
n No.

YES

NO

Pre-Requisites
Are at least some service level management (SLM)
activities established within the organisation, e.g.
service definition, negotiation of SLA's etc?
Have you identified the customers for your
(IT)services?
Are service attributes identified?
Has the purpose and benefits of service level
management been disseminated within the
organisation?
Has the method to set service levels been
determined?

Organisation Visiion and mission

Policy and objectives
Roles and responsibilities for SMS activity
Organisation approach towards risk identification anad
management
Catalog of services is compiled for existing services?

Are the SLAs reviewed periodically?

Are the majority of SLAs, OLAs and underpinning
contracts current?
Internal integration
Do you have a mechanism to keep service catalog in
line with new or changed service(s)
What is the mechanisam to provide information on
quality of services to customers and management

Finding
NO

Audit Evidence

Provide referneces to documentation and auditee or

ersponsible person where necessary

Service catalog - Inputs

Inputs:
business information and organization plans
IT plans and financial plans
Business Impact Analysis (BIA)
service portfolio

SLM - service level management

Inputs:
information arising from strategic planning
Business Impact Analysis (BIA)
service portfolio and service catalogue

Outputs:
service definition
updates for service
portfolio
service catalogue

Outputs:
service reports
Service Improvement
Plan (SIP)
standard document
templates
SLA, SLR and OLAs
Service quality plan

Environment Health & Safety

Operational / Planning including
physical & environmental
Disputes
Supplier specific
Legal/compliances- changes
Financial
Strategic
Human Factors
Political (import export controls)
Ethical, legal, image

Examples

Unclear Deliverables
Poor supplier assessment
Weak Subcontract management

Control

Which test reports/documents are required?

Must send a copy or retain it on file to satisfy the requirements
Is a baseline identified? Are suppliers measured against the Baseline