BS 15000 Auditor Certificate

Syllabus and Qualification Framework.

This qualification will cover the BS 15000 Service Management Certificate for Auditors.
Knowledge is required of auditing rinciles! "T organisations and "T"# Service
Management rinciles. This $nowledge is covered in auditing training and certification
rocesses. This qualification will %uild on that %asic auditing and "T $nowledge eseciall&
with regard to the contents of the BS 15000 standard and its use.
1. LEA!"!# $B%EC&"'ES
'olders of the itSM( Service Management Certificate for Auditors will have demonstrated
their cometence in and a%ilit& to)
*nderstand the content of the BS 15000 Standard! its documentation and the use
and scoe of the standard
Assist and advise organisations in assessing their readiness for BS 15000
certification
#ead and conduct BS 15000 certification audits
#ead and conduct BS 15000 surveillance audits
(. S)LLAB*S
1. Back+round to t,e BS 15000 standard and Certification Sc,eme
The candidate understands the develoment of the BS 15000 standard and the BS 15000
Certification Scheme.
Secificall& the candidate can descri%e and e+lain)
the "T "nfrastructure #i%rar& ,"T"#-.! its %oo$s! their content and their use
the BS 15000 standard! its documents and their use
the inter/relationshi %etween "T"# and BS 15000
the BS 1500 Certification Scheme and the organisations involved and their roles
(. BS 15000 -art1
The candidate is a%le to e+lain the sections contained within BS 15000 0art1 and their
content and relevance to organisations see$ing to achieve certification.
The candidate is a%le to)
e+lain the relevance of 0art 1 of the standard within the certification rocess
understand and e+lain the secification and its usage
descri%e the rocesses involved and the rocess grouings within 0art 1 of the
standard
understand and e+lain the mandator& requirements of the standard
understand and e+lain the mandator& requirements of each of the rocesses and
rocess grous
identif& the documentation and evidence required to achieve certification
e+lain the difference %etween an o%servation and a non/conformance
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.. BS 15000 -art(
The candidate is a%le to e+lain the sections contained within BS 15000 0art3 and their
content and relevance to organisations see$ing to achieve certification.
The candidate is a%le to)
e+lain the relevance of 0art 3 of the standard within the certification rocess
descri%e the rocesses involved and the rocess grouings within 0art 3 of the
standard
understand and e+lain the Code of 0ractice and its usage
/. Ac,ie0in+ BS 15000
The candidate is a%le to identif& and e+lain the stes involved in the certification of
organisations against BS 15000.
The candidate can)
understand and e+lain the stes involved in the certification rocess
assess an organisation6s readiness for certification and roduce a ga anal&sis
reort
5. *se of Ser0ice 1ana+ement &oolsets
The candidate understands the relevance and imortance of the Service Management
toolset in achieving certification.
The candidate is a%le to)
understand and e+lain the imortance of the Service Management toolset in
achieving certification
identif& deficiencies in tools and their imlementation
assess the imortance of rocess automation and the role of the tool in automation
2. Eli+ibility and sco3in+
The candidate understands and can e+lain the issues associated with eligi%ilit& and
scoing of organisations see$ing to achieve certification.
The candidate is a%le to)
assess the eligi%ilit& or ineligi%ilit& of an organisation with regard to certification
determine and define the scoe the certification for eligi%le organisation
roduce roosed aroriate scoing statements for eligi%le organisations
4. $t,er areas of assistance
The candidate is aware of other sources of information! $nowledge and e+ertise with
regard to the BS 15000 standard and the certification scheme.
The candidate is a%le to)
name and descri%e other sources of information on the BS 15000 standard and
the certification scheme
identif& useful we% sites and their relevance to BS 15000
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The recommended minimum num%er of hours training in the a%ove s&lla%us is 13 hours.
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#rou3 Assi+nment 1
8ou have %een as$ed to assist a colleague who has conducted a re/assessment audit of
an organisation wishing to achieve BS 15000 certification. 'e has attended site and
roduced the following summar& of his findings in two areas and has as$ed &ou to advise
him as to what he should feed %ac$ to the client in terms of their BS 15000 caa%ilit&. The
organisation was requested to rovide all documentation! records and reorts %ut none
other than those detailed were rovided %& the client organisation! together with access to
the internall& availa%le we% server.
(or %oth art A and B %elow! lease identif& all)
non/conformances
areas of concern! further questions and additional information required
-art A5 &,e o0erall mana+ement system section6 re3ort contents5
There is an overall documented Service Management olic& containing details of the
overall direction and the o%9ectives and a co& is availa%le on an internall& availa%le we%
server. The contents of the olic& and "S staff resonsi%ilities with regard to their role in
the olic& have %een communicated to "S. The Service 1eliver& Manager owns the
document and is resonsi%le for its content! imlementation and resourcing. :vidence
and reorts of internal reviews of the overall Service Management activit& were su%mitted
and are roduced on an irregular %asis.
1ocumented Service #evel Agreements ,S#As. were also stored on the internall&
availa%le we% server together with the documentation for all of the other Service
Management rocesses! rocedures! roles and resonsi%ilities. A document management
s&stem was used although it was noted that one or two documents had no version
num%ers.
-art B5 A0ailability and "& Ser0ice Continuity 1ana+ement 6 re3ort contents5
Server availa%ilit& reorts have %een roduced for all servers within the organisation over
the last twelve months and were stored on the we% server. All S#As were e+amined and
contained details of the resonse time targets to %e achieved during %oth normal
situations and recover& situations. Both Availa%ilit& and Continuit& 0lans were availa%le!
although the Availa%ilit& 0lan was last revised thirteen months ago.
All occurrences of service unavaila%ilit& for ma9or service outages are recorded and
investigated with evidence of corrective action having %een ta$en in some cases.
The Service Continuit& lans! contains all contact details! recover& rocedures and details
of the return to normal wor$ing rocess. Multile coies of all lans are stored on
recover& sites! although the recover& sites were not visited. A schedule of continuit& tests
is also contained on the we% server and all lans are tested annuall&. All tests are
o%served with reorts of failures and a%normalities recorded and actioned.
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Assi+nment Answers
Assi+nment 1
-art A
-robable non7conformances5
Section 7.3
Although there are references to ;documentation6 there are no references to ;records6 %eing
availa%le.
Section 7.7
1. The olic& document does not aear to address the cometence of staff
3. The olic& document does not aear to mention the need for continuous
imrovement
Section 7.1g
1. "nternal reviews are %eing conducted on an irregular %asis. The standard requires
these reviews to %e conducted ;at lanned intervals6.
Section 7.3
1. Some documents had no version num%ers. " would need to $now more a%out the
secific documents to grade this non/conformance.
$bser0ations
1. "s the we% server adequatel& %ac$ed u and is the information availa%le as and
when required<
3. The olic& ;is communicated to "S6. " would want to $now more a%out how this is
secificall& achieved and to whom.
7. 1oes the olic& cover A## roles and resonsi%ilities<
5. 1oes it ta$e into account ris$s and the %usiness requirements<
5. "s the Service 1eliver& Manager at a sufficient level of authorit&
-A& B
-robable non7conformances
Section =.7
1. 2ot all unlanned non/availa%ilit& is %eing investigated! onl& ma9or service outages.
3. 2o evidence of attemts to redict otential issues and therefore no reventative action
%eing ta$en. ,2ote > the standard requires this ;where ossi%le6. There should %e
evidence to indicate that an attemt has %een made! %ut erhas no suita%le oortunit&
was uncovered.
7. 2o evidence that the Business is involved in identif&ing the requirements or that
aroriate ris$ assessments have %een underta$en.
5. 2o evidence that access rights and end/to/end availa%ilit& have %een considered.
5. 2o evidence that the strateg& is %eing revised annuall&.
Section =.7
1. The Availa%ilit& 0lan was last revised 17 months ago. The standard requires annual
review. Chec$ whether the document was reviewed %ut no revision actuall& needed or
whether there is no revision lanned.
$bser0ations
1. Corrective actions have %een ta$en in some cases following investigations of service
outages. (urther information required as to wh& not in all cases.
3. A samle of the recover& sites should %e visited to ensure the lan coies are
availa%le! consistent! the correct version etc.
7. "s the annual test of the lan in line with %usiness requirements<
5. "s the CM1B availa%le off/site<
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#rou3 Assi+nment (
8ou have %een as$ed to assist a colleague who has conducted visits to three organisations wishing
to achieve BS 15000 certification. 'e has visited each of the sites and discussed BS 15000 with
each of the rosective clients and roduced the following summar& reorts for each for each
organisation. (rom these reorts decide in each case whether the organisation is eligi%le for BS
15000 certification! together with an& areas of concern. 0roduce a suita%le scoing statement for
the audit and the su%sequent BS 15000 certificate! if the organisation is considered eligi%le for
certification. "f the organisation is not considered eligi%le! e+lain wh&.
-art A5 $r+anisation 17 Sco3in+ re3ort
This organisation is the internal "S deartment of a large "nsurance Coman&. The "S deartment
oerates %oth of the organisation6s 1ata Centres and a ?ide Area 2etwor$ ,?A2. lin$ing %oth
centres. "S rovide suort for all of the services run from within the 1ata Centres %ut use a
num%er of hardware and software suliers to assist them with the suort and maintenance of
most of the comonents. The ?A2 and the #ocal Area 2etwor$s ,#A2s. within the 1ata Centres
are suorted and maintained %& a networ$ service sulier together with "nternet connections and
their securit&. The networ$ sulier also suorts all of the des$to 0C and lato 0C s&stems
throughout all of the organisation6s regional offices and central offices! although maintenance of the
0C hardware and the #A2s is erformed %& another sulier. The telehone networ$ and s&stems
are also suorted %& the internal "S deartment! although hardware maintenance and
maintenance of the telehone networ$ are erformed %& another networ$ service rovider.
-art B5 $r+anisation (7 Sco3in+ re3ort
The second organisation is the "S organisation of a multi/national (ood Manufacturer with 1ata
Centres and offices in several countries in :uroe. All of its si+ 1ata Centres are hosted and
suorted %& a @lo%al outsourcing organisation! including all of the alications and all asects of
"T continuit& and recover&. The glo%al outsourcer also runs the Service 1es$ service incororating
change and configuration management functionalit&. All of the 0C s&stems and services! together
with all telehon& s&stems and services are also rovided %& the glo%al outsourcing organisation!
as art of the outsourcing contract. The multi/national networ$! interconnecting all of the 1ata
Centres! the national and regional offices is rovided %& a glo%al networ$ service rovider who is
managed %& the outsourced organisation. Together these two organisations rovide availa%ilit&!
caacit& and continuit& management of the "T services.
-art C5 $r+anisation .7 Sco3in+ re3ort
Arganisation num%er three is the internal "S organisation for a large retail chain. "t oerates three
1ata Centres! together with a ?A2 and numerous #A2s. "S rovide suort for all of the
alications software run on all of the s&stems %ut the suort of the hardware and oerating
s&stems and 1ata Centre #A2s is erformed %& the outsourcing coman& which owns and
maintain the 1ata Centres. The outsourcing coman& also oerate an outsourced Service 1es$ for
the retail organisation. The ?A2 is suorted and maintained %& a networ$ service sulier
together with the "nternet connections and their securit&. The retail organisation also suorts all of
the des$to 0C and lato 0C s&stems throughout all of the organisation6s regional offices and
central offices! although maintenance of the 0C hardware and the #A2s is erformed %& another
sulier. The telehone networ$ and s&stems are also suorted %& the retail organisation!
although hardware maintenance and maintenance of the telehone networ$ are erformed %&
another networ$ service rovider.
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Assi+nment Answers
Assi+nment (
-art A
:ligi%le for Certification < 0ro%a%l& &es
Scoe BAll services sulied from the 1ata Centres at ,location A and location B. to the
internal users %ased at ,organisation6s. regional and central officesC
?ould need a discussion as to whether the telehone service should %e in scoe.
-art B
:ligi%le for Certification < 0ro%a%l& not
'ard to see what is actuall& carried out %& the "T 1eartmentD 2o aarent management
resonsi%ilit& for several of the rocesses. Too much outsourcing<
-art C
:ligi%le for Certification < 0ossi%l&! rovided management control can %e demonstrated.
"T seem onl& to erform alication suort and suort of the 0Cs and telehon& so the
certification could %e scoed accordingl&
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SA1-LE -A-E
2AM:) 1AT:)
Time allowed is A2: 'A*F.
Answer all questions. There is onl& one correct answer for each
question.
Mar$ the answer &ou have selected clearl&! on the aer.
"f &ou want to change an answer! &ou must ensure that &our final
selection is a%solutel& clear.
Section 15 Sco3e
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1 BS 15000 0art 1 secifies)
A8 A num%er of closel& related service management rocesses
B8 The %est wa& to co/ordinate a service management oeration
C8 A methodolog& for ensuring that service management oerates at the least ossi%le cost
98 Best ractice guidelines for service management
Section (5 &erms and 9efinitions
( ?hich of these %est descri%es what a service level agreement documents<
A8 A list of targets which the service rovider should meet
B8 Services and agreed service levels
C8 The roles and resonsi%ilities of the resective arties
98 Technical details of the infrastructure suorted
Section .5 1ana+ement es3onsibility
. ?hich of these is 2AT a secific requirement within the standard for a management s&stem<
A8 :sta%lish the service management o%9ectives
B8 :nsure that customer requirements are determined and met
C8 0rovide resources to imrove service deliver& and management
98 Communicate a cororate mission statement to all levels of the organisation
Section /5 -lannin+ and "m3lementin+ Ser0ice 1ana+ement
/ 0lan > 1o > Chec$ / Act methodolog& can %e alied to all BS 15000 rocesses. ?hat does
the ;Chec$6 hase cover<
A8 Confirm the lans have %een imlemented correctl&
B8 "mlement the rocesses
C8 Monitor and measure rocesses and reort the results
98 Ta$e actions to continuall& imrove erformance
Section 55 -lannin+ and im3lementin+ new or c,an+ed ser0ices
5 ?hich rocess is resonsi%le for erforming a ost imlementation review following the
introduction of new or changed services<
A8 Service level management
B8 Caacit& management
C8 Budgeting and accounting for "T Services
98 Change Management
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Section 2.1 Ser0ice Le0el 1ana+ement
2 ?hich of these %est descri%es the o%9ective of the Service #evel Management rocess<
A8 To ensure that services are delivered at the ma+imum level of availa%ilit&
B8 To continuall& review service levels in order to achieve the minimum costs ossi%le
C8 To define! agree! record and manage levels of service
98 To ensure that areas of non/conformance are inut to the service imrovement lan
Section 2.( Ser0ice e3ortin+
4 A service reort needs to meet identified customer needs and requirements. A clear
descrition of each service reort is also required. ?hich of the following information should
%e included within this descrition<
1. The identit& of the reort
3. The urose of the reort
7. The name of the reort originator
5. The data source used
A8 3 and 5 onl&
B8 1 and 7 onl&
C8 1! 3 and 5 onl&
98 All of them
Section 2.. A0ailability and Ser0ice Continuity 1ana+ement
: Availa%ilit& and service continuit& lans are required to %e reviewed at least)
A8 Monthl&
B8 Iuarterl&
C8 Annuall&
98 There is no secified eriod
Section 2./ Bud+etin+ ; accountin+ for "& ser0ices
< ?hen %udgeting and accounting for "T services! which of the following are required to %e
included in addition to "T assets<
1. "nsurance
3. Averheads
7. Third art& sulied services
A8 1 and 3 onl&
B8 1 and 7 onl&
C8 3 and 7 onl&
98 All of them
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Section 2.5 Ca3acity
10 ?hich of the following would &ou 2AT e+ect to find %eing addressed in the caacit& lan<
A8 Costs for service ugrades
B8 Service #evel Agreements
C8 :valuation of new technologies
98 Current caacit& requirements
Section 2.2 Security
11 "dentification and recognition of securit& %reaches need to %e dealt with in con9unction with
which rocess,es.<
A8 "ncident management
B8 0ro%lem management
C8 Availa%ilit& and service continuit& management
98 Service level management
Section 4.1 Business elations,i3 1ana+ement
1( 'ow is a formal service comlaint defined<
A8 An& time a customer as$s for escalation to %e invo$ed
B8 ?henever an incident e+ceeds it6s target resolution time
C8 B& agreement with the customer
98 The service rovider rovides the definition
Section 4.( Su33lier mana+ement
1. ?hat is the o%9ective of Sulier management<
A8 To manage third art& suliers to ensure that their charges are minimised
B8 To ensure that third arties do not su%/contract an& art of the wor$
C8 To manage the relationshi with third art& suliers so as to ensure transfer of the
contract to another art& can %e achieved in the event of a contractual disute
98 To manage third art& suliers to ensure the rovision of seamless! qualit& services
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Section :.1 "ncident 1ana+ement
1/ ?hich of the following activities would &ou 2AT e+ect to find as art of the "ncident
management rocess<
A8 :scalation
B8 0rioritisation
C8 "dentification of underl&ing causes
98 (irst line resolution
Section :.( -roblem 1ana+ement
15 Actions identified %& 0ro%lem management to correct errors in the infrastructure will %e
rocessed %&)
A8 0ro%lem management
B8 "ncident management
C8 Availa%ilit& management
98 Change management
Section <.1 Confi+uration
12 ?hen is a %aseline of configuration items required to %e ta$en<
A8 "mmediatel& following a ma9or incident
B8 As art of the testing of the service continuit& lan
C8 Before a release to the live environment
98 ?hen Change management require information on the imact of a change request
Section <.( C,an+e
14 Actions for imrovement identified %& Change management are recorded and assed to )
A8 Felease management
B8 The Caacit& lan
C8 The service imrovement lan
98 Configuration management
Section 10.1 elease 1ana+ement
1: A Felease olic& would 2AT include)
A8 (requenc& and t&e of releases
B8 Foles and resonsi%ilities for release management
C8 Jerification and accetance of a release
98 Bac$/out or remedial actions if the release is unsuccessful
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Sam3le -a3er Answer =ey
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1 A
3 B
7 1
5 C
5 1
= C
E C
G C
H 1
10 B
11 A
13 C
17 1
15 C
15 1
1= C
1E C
1G 1