BS ISO 37500-2014 Guidance on outsourcing《外包指南》.pdf

1、BS ISO 37500:2014Guidance on outsourcingBSI Standards PublicationBS ISO 37500:2014 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of ISO 37500:2014. The UK participation in its preparation was entrusted to TechnicalCommittee SVS/1/5, Outsourcing.A list of organizatio

2、ns represented on this committee can be obtained on request to its secretary.This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. The British Standards Institution 2014.Published by BSI Standards Limited 2014ISBN

3、978 0 580 81834 9ICS 03.080.01Compliance with a British Standard cannot confer immunity from legal obligations.This British Standard was published under the authority of the Standards Policy and Strategy Committee on 30 November 2014.Amendments/corrigenda issued since publicationDate T e x t a f f e

4、 c t e dBS ISO 37500:2014 ISO 2014Guidance on outsourcingLignes directrices relatives lexternalisationINTERNATIONAL STANDARDISO37500First edition2014-11-01Reference numberISO 37500:2014(E)BS ISO 37500:2014ISO 37500:2014(E)ii ISO 2014 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2014All rights

5、 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. Permission can be requested from eith

6、er ISO at the address below or ISOs member body in the country of the requester.ISO copyright officeCase postale 56 CH-1211 Geneva 20Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWeb www.iso.orgPublished in SwitzerlandBS ISO 37500:2014ISO 37500:2014(E)Contents PageForeword vIntro

7、duction vi1 Scope . 12 Normative references 13 Terms and definitions . 14 Outsourcing introduction and model . 44.1 Contextual model of outsourcing 44.2 Reasons for outsourcing . 54.3 Risks of outsourcing . 54.4 Outsourcing life cycle model . 64.5 Summary of main outsourcing life cycle outputs 94.6

8、Repeating the outsourcing life cycle . 95 Outsourcing governance framework 105.1 General 105.2 Management structure and functions 115.3 Joint governance committees 115.4 Appreciation of cultural differences 125.5 Processes of outsourcing governance 136 Phase 1: Outsourcing strategy analysis .186.1 G

9、eneral 186.2 Check outsourcing prerequisites 196.3 Understand services eligible for outsourcing .206.4 Assess organizational impact of outsourcing of services 216.5 Define outsourcing strategy . 226.6 Develop initial business case(s) for outsourcing 246.7 Evaluate and decide . 246.8 Set up outsourci

10、ng project . 257 Phase 2: Initiation and selection 267.1 General 267.2 Detail required services .267.3 Detail outsourcing model 277.4 Define agreement requirements and structure . 287.5 Identify potential providers 297.6 Shortlist providers 307.7 Outline agreements 317.8 Negotiate and establish agre

11、ements . 328 Phase 3: Transition .338.1 General 338.2 Establish transition project team . 348.3 Establish outsourcing governance 358.4 Refine delivery frameworks and transition plan 368.5 Refine knowledge acquisition . 378.6 Execute transition of knowledge, people, processes and technology .388.7 De

12、ploy the quality, risk, audit and compliance frameworks 398.8 Deploy asset and knowledge management framework 408.9 Deploy delivery frameworks 408.10 Test service delivery capability . 418.11 Pilot and handover 42 ISO 2014 All rights reserved iiiBS ISO 37500:2014ISO 37500:2014(E)9 Phase 4: Deliver v

13、alue 439.1 General 439.2 Deliver service 449.3 Monitor and review service performance (ongoing) 459.4 Manage and resolve issues (ongoing) 469.5 Deliver and manage changes (ongoing) . 479.6 Deliver innovation (optional, ongoing) . 489.7 Deliver transformation (optional). 499.8 Manage finances . 499.9

14、 Manage relationships . 509.10 Manage the agreement 519.11 Value and business case assurance 529.12 Continuation or end of agreement preparation 52Annex A (informative) Governance committees and meeting structure54Annex B (informative) Checklist of potential outsourcing risks per phase 55Annex C (in

15、formative) Phase 1 Checklist for the outsourcing business case 58Annex D (informative) Phase 2 Typical topics included in the checklist for request for information 60Annex E (informative) Phase 2 Checklist for the request for proposal .62Annex F (informative) Phase 2 Examples of agreement topics 63A

16、nnex G (informative) Phase 3 Checklist of transition plan .64Annex H (informative) Phase 4 Example of innovation funnel process 68Annex I (informative) Outsourcing life cycle exit .70Bibliography .72iv ISO 2014 All rights reservedBS ISO 37500:2014ISO 37500:2014(E)ForewordISO (the International Organ

17、ization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been establish

18、ed has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.

19、The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, 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

20、 editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).Attention is drawn to the possibility that 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

21、 rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent 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

22、explanation on the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the WTO principles in the Technical Barriers to Trade (TBT) see the following URL: Foreword - Supplementary informationThe committee responsible for this

23、document is Project Committee ISO/PC 259, Outsourcing. ISO 2014 All rights reserved vBS ISO 37500:2014ISO 37500:2014(E)IntroductionAround the globe, outsourcing is increasingly an opportunity to add value, tap into a resource base and/or mitigate risk. This International Standard aims to provide gen

24、eral guidance for outsourcing for any organization in any sector. It provides a vocabulary for outsourcing practitioners across all industry sectors. It includes typical outsourcing concepts to improve the understanding of all stakeholders, by providing a set of practices that can be used to manage

25、the outsourcing life cycle.Outsourcing is a business model for the delivery of a product or service to a client by a provider, as an alternative to the provision of those products or services within the client organization, where: the outsourcing process is based on a sourcing decision (make or buy)

26、; resources can be transferred to the provider; the provider is responsible for delivering outsourced services for an agreed period of time; the services can be transferred from an existing provider to another; the client is accountable for the outsourced services and the provider is responsible for

27、 performing them.This International Standard starts with the precondition that an organization has already established a sourcing strategy and concluded that outsourcing might be a beneficial approach.Continuation or termination of an outsourcing arrangement forms an integral part of the outsourcing

28、 life cycle. Continuation commences as long as the outsourcing business case is valid and the outsourcing option is feasible within the sourcing portfolio. The decision to continue or terminate outsourcing as a sourcing strategy option is an outcome from the sourcing process of the client and is out

29、side the scope of this International Standard.This International Standard:a) covers the entire outsourcing life cycle in four phases, as depicted in Figure 2, and provides definitions for the terms, concepts, and processes that are considered good practice;b) provides detailed guidance on the outsou

30、rcing life cycle, processes and their outputs;c) provides a generic and industry independent foundation, which can be supplemented and tailored to suit industry-specific requirements;d) can be used before, during and after the decision is made to outsource;e) aims to enable mutually beneficial colla

31、borative relationships.The description of each outsourcing phase provides information for the client side as well as the provider side.vi ISO 2014 All rights reservedBS ISO 37500:2014Guidance on outsourcing1 ScopeThis International Standard covers the main phases, processes and governance aspects of

32、 outsourcing, independent of size and sectors of industry and commerce. It is intended to provide a good foundation to enable organizations to enter into, and continue to sustain, successful outsourcing arrangements throughout the contractual period.This International Standard gives guidance on: goo

33、d outsourcing governance for the mutual benefit of client and provider; flexibility of outsourcing arrangements, accommodating changing business requirements; identifying risks involved with outsourcing; enabling mutually beneficial collaborative relationships.This International Standard can be tail

34、ored and extended to industry-specific needs to accommodate international, national and local laws and regulations (including those related to the environment, labour, health and safety), the size of the outsourcing arrangement and the type of industry sector.This International Standard recognizes t

35、hat the various stakeholders act separately in some phases of the outsourcing life cycle and together in others. It is not possible to exclusively allocate processes within the outsourcing life cycle to either client or provider. For each outsourcing arrangement, process responsibility is intended t

36、o be interpreted accordingly and tailored by the user.This International Standard is intended to relate to any outsourcing relationship, whether outsourcing for the first time or not, using a single-provider or multi-provider model, or draft agreements based on services or outcomes. Processes mentio

37、ned in this International Standard are intended to be tailored to fit the outsourcing strategy and maturity of the client and provider organizations.This International Standard is intended to be used by outsourcing clients, providers and practitioners, such as: decision makers and their empowered re

38、presentatives; all stakeholders engaged in facilitating the creation and/or management of outsourcing arrangements; staff at all levels of experience in outsourcing.2 Normative referencesThere are no normative references.3 Terms and definitionsFor the purposes of this document, the following terms a

39、nd definitions apply.3.1baselineagreed reference value or set of values which can be derived from past experience, often used for comparing with ongoing performance data, values and/or outcomesINTERNATIONAL STANDARD ISO 37500:2014(E) ISO 2014 All rights reserved 1BS ISO 37500:2014ISO 37500:2014(E)3.

40、2business casestructured proposal for business improvement that functions as a decision package for decision-makersNote 1 to entry: The business case should explain why outsourcing is required for the business and what the product or service is going to be. It should include an outline of the return

41、 on investment (ROI), or a cost/benefit analysis, the performance characteristics, major project risks and the opportunities. The business case addresses, at a high level, the business needs that the outsourcing project seeks to meet. It includes the reasons for outsourcing, the expected business be

42、nefits, the options considered with reasons for rejecting or carrying forward each option, the expected costs of the outsourcing project, a gap analysis and the expected risks.SOURCE: ISO/TR 25104:2008, 3.3, modified3.3clientindividual or group of organizations entering into an agreement with a prov

43、ider for products and services for their own useSOURCE: ISO 24803:2007, 3.2, modified3.4due diligencedetailed assessment of one or more business processes or production lines, culture, assets, liabilities, intellectual property, judicial and financial situation in order to make the outsourcing decis

44、ions3.5frameworkdocumented set of guidelines to create a common understanding of the ways of working3.6innovationimplementation of a new or significantly improved product (good or service), or process, new marketing method, or new organizational method in business practices, workplace organization o

45、r external relationsSOURCE: CEN/TS 16555-1:2013, 3.13.7innovation and transformation committeejoint management team that governs the process of managing innovation and transformation in the outsourced processes in order to enhance delivered valueNote 1 to entry: The committee follows a mutually acce

46、pted procedure of evaluating the potential value impact, assessing effort, risk, time to market and sharing of costs and rewards.Note 2 to entry: The committee usually has representatives from the client and the provider.3.8knowledge acquisitionprocess of locating, collecting, and refining knowledge

47、 and converting it into a form that can be further processed by a knowledge-based systemSOURCE: ISO/IEC 2382-31:1997, 31.01.043.9knowledge transferstructured process of imparting pre-existing or acquired information to a team or a person, to help them attain a required level of proficiency in skillN

48、ote 1 to entry: Knowledge transfer is not a synonym for training.2 ISO 2014 All rights reservedBS ISO 37500:2014ISO 37500:2014(E)3.10outsourcingbusiness model for the delivery of a product or services to a client by a provider3.11outsourcing arrangementcontractual arrangement between two or more org

49、anizations for the provision of specific services for a fixed period of time, where one organization is the client for those services and the other organization is the provider3.12outsourcing governancejoint set of structures and processes that are implemented to ensure effective leadership and management, which enables an outsourcing arrangement to achieve its joint objectives within the framework of agreed values3.13outsourcing governance frameworkoutline of guidelines and processes that enables continual monitoring and management of ou