ISO 20700-2017 Guidelines for management consultancy services《管理顾问服务指南》.pdf

1、 ISO 2017 Guidelines for management consultancy services Lignes directrices relatives aux services de conseil en management INTERNATIONAL STANDARD ISO 20700 First edition 2017-06 Reference number ISO 20700:2017(E) ISO 20700:2017(E)ii ISO 2017 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO 2017

2、, Published in Switzerland All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission.

3、Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Ch. de Blandonnet 8 CP 401 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.org ISO 20700:2017(E)Foreword

4、 v Introduction vi 1 Scope . 1 2 Normative references 1 3 T erms and definitions . 1 4 Principles . 4 4.1 General . 4 4.1.1 Scope 4 4.1.2 Typical consulting process 4 4.1.3 Responsibilities . 5 4.2 Other standards 5 4.3 Ongoing evaluation and improvement . 5 4.4 Policies . 6 4.4.1 Regulatory framewo

5、rk 6 4.4.2 Stakeholder engagement and commitment . 6 4.4.3 Code of ethical and professional conduct . 6 4.4.4 Project governance 7 4.4.5 Capability . 7 4.4.6 Communication . 8 4.4.7 Data protection and confidentiality 8 4.4.8 Protection of intellectual property . 8 4.4.9 Social responsibility 8 4.4.

6、10 Health and safety . 8 4.4.11 Risk and quality management 9 4.4.12 Guarantees 9 5 Contracting . 9 5.1 General . 9 5.2 Purpose 9 5.3 Input . 9 5.4 Outcome .10 5.5 Contents .10 5.5.1 General.10 5.5.2 Context .10 5.5.3 Services and deliverables 10 5.5.4 Approach and work plan 11 5.5.5 Roles and respo

7、nsibilities .11 5.5.6 Acceptance criteria .11 5.5.7 Terms and conditions .12 6 Execution .12 6.1 General 12 6.2 Purpose .12 6.3 Input 12 6.4 Outcome .12 6.5 Contents .13 6.5.1 General.13 6.5.2 Refining the agreed work plan 13 6.5.3 Implementing the work plan 13 6.5.4 Assignment management and monito

8、ring .13 6.5.5 Approvals and acceptance 15 7 Closure .15 7.1 General 15 7.2 Purpose .15 ISO 2017 All rights reserved iii Contents Page ISO 20700:2017(E)7.3 Input 15 7.4 Outcome .16 7.5 Contents .16 7.5.1 Legal and contractual matters.16 7.5.2 Final evaluation and improvement .16 7.5.3 Administrative

9、 matters .17 7.5.4 Communication 17 7.5.5 Outstanding minor issues .17 Annex A (informative) Supplementary information on ISO standards .18 Annex B (informative) Examples of typical stakeholders19 Annex C (informative) Basic structure of consulting activities 20 Annex D (informative) Examples of gui

10、delines for MCSPs for a code of conduct 22 Annex E (informative) Ex amples of guidelines t o manage c onflicts of int er est 23 Annex F (informative) Examples of criteria to evaluate capability .25 Annex G (informative) Examples of guidelines for MCSPs for typical risk management 27 Annex H (informa

11、tive) Examples of typical understanding activities “pre-assignment” .28 Bibliography .29 iv ISO 2017 All rights reserved ISO 20700:2017(E) Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of prepari

12、ng International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in lia

13、ison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Di

14、rectives, Part 1. In particular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives). Attention is drawn to the possibility t

15、hat some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent

16、declarations received (see www .iso .org/ patents). Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement. For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and expressions related to con

17、formity assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following URL: w w w . i s o .org/ iso/ foreword .html. This document was prepared by Project Committee ISO/PC 280, Management consultancy

18、. ISO 2017 All rights reserved v ISO 20700:2017(E) Introduction Management consultants use their know-how to support clients in any sector locally, regionally and globally to deal with important issues such as handling complexity, achieving sustainable organizational growth, innovating, achieving ch

19、ange and enhancing productivity. The management consultancy industry makes a substantial contribution to the world economy. The aim of this document is to improve transparency and understanding between clients and management consultancy service providers (hereinafter referred to as MCSPs), in order

20、to achieve better results from consultancy projects. Appropriate application of this document enables MCSPs to provide better value for clients and reduce risk in management consultancy assignments. By improving quality, professionalism, ethical behaviour and interoperability of management consultan

21、cy, this document is intended to enhance the effectiveness of the management consulting industry and accelerate the development of the profession. This document is based on good practice from the management consultancy industry. It includes recommendations to improve the specification, execution, ac

22、ceptance of the outcome and closure of management consultancy services, based on research and the experience of a wide range of MCSPs and their clients. This document takes the form of an easy-to-understand guidance document, written from the perspective of management consultancy. It applies to all

23、MCSPs, whatever their size or specialism, including sole proprietors, partnerships, associations, governmental and non-governmental organizations, internal departments of corporations, etc. Innovation, differentiation and ethical behaviour are important parts of an MCSPs value proposition. This docu

24、ment focuses only on the deliverables and outcomes of management consulting. MCSPs are free to use their own methods and approaches. This document: a) is written as guidance; b) is applicable to all MCSPs; c) applies to organizations, not their internal resources; d) is based on outcomes; e) protect

25、s innovation and differentiation; f) emphasizes the importance of understanding clients needs; g) is easy to understand.vi ISO 2017 All rights reserved Guidelines for management consultancy services 1 Scope This document provides guidelines for the effective delivery of management consultancy servic

26、es. NOTE Refer to Annex A for supplementary information on ISO standards. 2 Normative references There are no normative references in this document. 3 T erms a nd definiti ons For the purposes of this document, the following terms and definitions apply. ISO and IEC maintain terminological databases

27、for use in standardization at the following addresses: ISO Online browsing platform: available at h t t p :/ www .iso .org/ obp IEC Electropedia: available at h t t p :/ www .electropedia .org/ 3.1 agreement formal binding outcome (3.15) (preferably documented in writing) from the contracting (3.7)

28、phase 3.2 assignment service to be provided by the MCSP (3.12) to the client (3.4) and the recipient (3.21) as described in the agreement (3.1) Note 1 to entry: An assignment is typically performed as a project (3.18) by the MCSP (3.12). Other formats of assignment could be encountered, such as the

29、provision of ongoing support. 3.3 capability staff, contractors, knowledge, methodology, third parties, technology and other relevant resources (3.23) or processes (3.17) 3.4 client organization (3.13) that agrees to the management consultancy services (3.11) supplied by the MCSP (3.12) 3.5 closure

30、set of activities between the MCSP (3.12), the client (3.4) and the recipient (3.21) aimed at ending the assignment (3.2) 3.6 communication maintenance between the MCSP (3.12) and the client (3.4) of clear and systematic flow of information 3.7 contracting set of activities aimed at reaching an agre

31、ement (3.1) to provide MCS (3.11) INTERNATIONAL ST ANDARD ISO 20700:2017(E) ISO 2017 All rights reserved 1 ISO 20700:2017(E) 3.8 deliverable tangible item produced by the MCSP (3.12) as part of an assignment (3.2) EXAMPLE A report, a plan, a document. Note 1 to entry: Output is considered synonymous

32、 with deliverable. 3.9 execution performance of the management consultancy service (3.11) 3.10 intellectual property any identifiable product of the mind attributable to any person(s) or one or more legal entities that can be represented or communicated physically and protectable by copyright or sim

33、ilar laws SOURCE: ISO/IEC 21000-19:2010, 3.1.28 3.11 management consultancy service MCS service set of multidisciplinary activities of intellectual work, within the field of management, which aims to create value or promote changes, by providing advice and proposing solutions, by taking into account

34、 actions or by producing deliverables (3.8) 3.12 management consultancy service provider MCSP organization (3.13) that offers and delivers management consultancy services (3.11) Note 1 to entry: An organization (3.13) acting as a broker or as an introducer (facilitator) of MCS (3.11) or providing ad

35、ministrative support (e.g. invoicing, payment of salaries) to MCSPs is not considered an MCSP. 3.13 organization person or group of people that has its own functions with responsibilities, authorities, relationships and resources (3.23) to achieve its objectives Note 1 to entry: The concept of organ

36、ization includes, but is not limited to, sole-trader, company, corporation, firm, enterprise, authority, partnership, association, charity or institution or part or combination thereof, whether incorporated or not, public or private. SOURCE: ISO 9000:2015, 3.2.1 3.14 organizational governance system

37、 by which an organization (3.13) makes and implements decisions in pursuit of its objectives SOURCE: ISO 26000:2010, 2.13 3.15 outcome impact or result of an action or process (3.17) EXAMPLE An improvement in profitability or value. 3.16 policy intentions and direction of an organization (3.13) as f

38、ormally expressed by its top management SOURCE: ISO 9000:2015, 3.5.82 ISO 2017 All rights reserved ISO 20700:2017(E) 3.17 process set of interrelated or interacting activities that use inputs to deliver an intended result Note 1 to entry: Whether the “intended result” of a process is called output (

39、3.8), product, or service (3.11) depends on the context of the reference. Note 2 to entry: Processes in an organization (3.13) are generally planned and carried out under controlled conditions to add value. SOURCE: ISO 9000:2015, 3.4.1 3.18 project unique process (3.17), consisting of a set of coord

40、inated and controlled activities with start and finish dates, undertaken to achieve an objective conforming to specific requirements (3.22), including the constraints of time, cost and resources (3.23) SOURCE: ISO 9000:2015, 3.4.2 3.19 project governance system by which an organization (3.13) makes

41、and implements decisions in relation to projects 3.20 project management direction of the project (3.18) under the authority of project governance (3.19) Note 1 to entry: Project management is the application of methods, tools, techniques and resources to the management of a project and includes the

42、 integration of the various phases of the project life cycle. Project management is accomplished through processes. 3.21 recipient organization (3.13) receiving the MCS (3.11) agreed by the client (3.4) Note 1 to entry: Often the recipient is the client. 3.22 requirement need or expectation that is

43、stated, generally implied or obligatory Note 1 to entry: “Generally implied” means that it is custom or common practice for the organization (3.13), its customers and other interested parties, that the need or expectation under consideration is implied. SOURCE: ISO 9000:2015, 3.6.4 3.23 resources as

44、sets, people, skills, information, technology (including plant and equipment), premises, supplies and information (whether electronic or not) that an organization (3.13) has available to use, when needed, in order to operate and meet its objectives SOURCE: ISO 22301:2012, 3.47 3.24 risk effect of un

45、certainty on objectives Note 1 to entry: An effect is a deviation from the expected positive or negative. ISO 2017 All rights reserved 3 ISO 20700:2017(E) Note 2 to entry: Objectives can have different aspects (such as finance, health and safety, security and environment) and can apply at different

46、levels (such as strategic, organization-wide, project, product, and process). Note 3 to entry: Risk is often characterized by reference to potential events and consequences, or a combination of these. Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event

47、(including changes in circumstances) and the associated likelihood of occurrence. Note 5 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or knowledge of an event, its consequence, or likelihood. SOURCE: ISO Guide 73:2009, 1.1 3.25 stakeholder

48、person, group or organization (3.13) that has interests in, or can affect, be affected by, or perceive itself to be affected by, any aspect of the assignment (3.2) Note 1 to entry: Refer to Annex B for examples of typical stakeholders. SOURCE: ISO 21500:2012, 2.14, modified 4 Principles 4.1 General

49、4.1.1 Scope During a typical assignment, the MCSP, the client and recipient jointly undertake three activities described below as the “typical consulting process”. This document applies to those activities. This consulting process has a beginning and an end as described below. 4.1.2 Typical consulting process The consulting process includes three typical activities: contracting, execution and closure, which are described in d), e) and f) in the basic structure of consulting outlined in Annex C. Contracting The client and MCS