4.1.1 新舊版標(biāo)準(zhǔn)差異概述

　　差異點(diǎn) 說明 新增部分 1、ISO20000:2011版提出了“定義范圍”這一新的要求。這為組織明確其認(rèn)證范圍提出了更加具體的要求和參考。

　　2、考慮到并非所有ISO20000要求的流程都有服務(wù)提供者自身所全部承擔(dān)，故ISO20000:2011版增加了該條款的要求，也更加符合實(shí)際需要。

　　3、新增了“文件控制”、“記錄控制”的具體要求，更好地融合了ISO9001的相關(guān)要求 優(yōu)化與完善部分

　　1、ISO20000:2011版將ISO20000:2005版關(guān)于管理體系要求、服務(wù)管理規(guī)劃和實(shí)施(PDCA)兩個(gè)章節(jié)的內(nèi)容合并為了一章內(nèi)容(管理職責(zé))。

　　2、 在原有“資源”概念的基礎(chǔ)上明確提出來了“資源管理”的要求，并明確了包括人員、技術(shù)、信息和財(cái)務(wù)等方面資源，更好地融合了ISO9001的相關(guān)要求。

　　3、進(jìn)一步明確了將PDCA方法應(yīng)用于SMS中，包括服務(wù)管理流程和服務(wù);

　　4、與ISO9001相一致，將內(nèi)部審核和管理評審進(jìn)行了獨(dú)立描述。

　　4.1.2 新舊版標(biāo)準(zhǔn)變化度

　　ISO20000:2011 版本 控制點(diǎn) ISO20000:2005 版本 控制點(diǎn) 變化度 4 服務(wù)管理體系總要求

　　4.1 管理職責(zé)

　　4.2 對其他相關(guān)方所運(yùn)營流程的管控

　　4.3 文件管理

　　4.4 資源管理

　　4.5 建立和改進(jìn) SMS

　　-定義范圍、規(guī)劃、實(shí)施、監(jiān)控和維護(hù) 60 3 管理體系要求

　　3.1 管理職責(zé)

　　3.2 文件要求

　　3.3 能力、意識和培訓(xùn)

　　4 策劃和實(shí)施服務(wù)管理

　　-策劃、實(shí)施、檢查和處置 30 3.6

　　說明：變化度是指新版標(biāo)準(zhǔn)該條款相對舊版標(biāo)準(zhǔn)要求的變化程度，按分值計(jì)量，5 分指變化程度最大，0 分指沒有變化。

　　4.1.3 新舊版標(biāo)準(zhǔn)差異分析

　　ISO20000:2011版 ISO20000:2005版 差異分析 章節(jié)方面 4Servicemanagementsystemgeneralrequirements

　　服務(wù)管理體系總體要求 3 管理體系要求

　　4 服務(wù)管理規(guī)劃和實(shí)施 ISO20000:2011版將ISO20000:2005版關(guān)于管理體系要求、服務(wù)管理規(guī)劃和實(shí)施(PDCA)兩個(gè)章節(jié)的內(nèi)容合并為一章內(nèi)容。 管理職責(zé) 4.1 Management responsibility

　　4.1.1 Management commitment

　　Top management shall provide evidence of its commitment to planning, establishing, implementing, operating, monitoring, reviewing, maintaining, and improving the SMS and the services by:

　　a) establishing and communicating the scope, policy and objectives for service management;

　　b) ensuring that the service management plan is created, implemented and maintained in order to adhere to the policy, achieve the objectives for service management and fulfil the service requirements;

　　c) communicating the importance of fulfilling service requirements;

　　d) communicating the importance of fulfilling statutory and regulatory requirements and contractual obligations;

　　e) ensuring the provision of resources;

　　f) conducting management reviews at planned intervals;

　　g) ensuring that risks to services are assessed and managed.

　　4.1.2 Service management policy Top management shall ensure that the service management policy:

　　a) is appropriate to the purpose of the service provider;

　　b) includes a commitment to fulfill service requirements;

　　c) includes a commitment to continually improve the effectiveness of the SMS and the services through the policy on continual improvementin Clause 4.5.5.1;

　　d) provides a framework for establishing and reviewing service management objectives;

　　e) is communicated and understood by the service provider's personnel;

　　f) is reviewed for continuing suitability.

　　4.1.3 Authority, responsibility and communication

　　Top management shall ensure that:

　　a) service management authorities and responsibilities are defined and maintained;

　　b) documented procedures for communication are established and implemented.

　　4.1.4 Management representative Top management shall appoint a member of the service provider's management who, irrespective of other responsibilities, has the authorities and responsibilities that include:

　　a) ensuring that activities are performed to identify, document and fulfill service requirements;

　　b) assigning authorities and responsibilities for ensuring that service management processes are designed, implemented and improved in accordance with the policy and objectives for service management;

　　c) ensuring that service management processes are integrated with the other components of the SMS;

　　d) ensuring that assets, including licences, used to deliver services are managed according to statutory and regulatory requirements and contractual obligations;

　　e) reporting to top management on the performance and opportunities for improvement to the SMS and the services. 4.1 管理職責(zé)

　　4.1.1 管理承諾

　　高管層應(yīng)通過以下活動，提供對規(guī)劃、確立、實(shí)施、運(yùn)行、監(jiān)控、回顧、維護(hù)和改進(jìn) SMS 與服務(wù)所做承諾的證據(jù)：

　　a) 建立和溝通服務(wù)管理的范圍、政策和目標(biāo);

　　b) 確保服務(wù)管理計(jì)劃被創(chuàng)建、實(shí)施和維護(hù)，以遵循服務(wù)管理政策、實(shí)現(xiàn)服務(wù)管理目標(biāo)和滿足服務(wù)需求;

　　c) 溝通滿足服務(wù)需求的重要性;

　　d) 溝通滿足法律法規(guī)要求和合同義務(wù)的重要性;

　　e) 確保資源的提供;

　　f) 按規(guī)定的時(shí)間間隔執(zhí)行管理評審;

　　g) 確保服務(wù)的風(fēng)險(xiǎn)被評估和管理。

　　4.1.2 服務(wù)管理政策高管層應(yīng)確保服務(wù)管理政策：

　　a) 符合服務(wù)提供者的目標(biāo);

　　b) 包括對滿足服務(wù)需求的承諾;

　　c) 包括按照條款 4.5.5.1 的持續(xù)改進(jìn)政策對持續(xù)改進(jìn) SMS 和服務(wù)有效性的承諾;

　　d) 提供制定和回顧服務(wù)管理目標(biāo)的機(jī)制;

　　e) 被傳達(dá)，并得到員工理解;

　　f) 被回顧以持續(xù)適用。

　　4.1.3 權(quán)利、職責(zé)和溝通高管層應(yīng)確保：

　　a) 服務(wù)管理的權(quán)利和職責(zé)被定義和維護(hù);

　　b) 文件化的溝通程序被確立和實(shí)施。

　　4.1.4 管理者代表

　　高管層應(yīng)任命一名管理人員，無論其其他方面的職責(zé)如何，承擔(dān)以下職責(zé)和權(quán)利：

　　a) 確保識別、記錄和滿足服務(wù)需求的活動被執(zhí)行;

　　b) 分配權(quán)利和職責(zé)，以確保服務(wù)管理流程遵循服務(wù)管理政策和目標(biāo)進(jìn)行設(shè)計(jì)、實(shí)施和改進(jìn);

　　c) 確保服務(wù)管理流程和 SMS 其他部分進(jìn)行整合;

　　d) 確保用于交付服務(wù)的資產(chǎn)(包括許可證)遵循法律法規(guī)要求和合同義務(wù)進(jìn)行管理;

　　e) 向高管層報(bào)告 SMS 和服務(wù)的執(zhí)行情況和改進(jìn)機(jī)會。 3.1 Management responsibility Through leadership and actions, top/executive management shall provide evidence of its commitment to developing, implementing and improving its service management capability within the context of the organization’s business and customers’ requirements. Management shall:

　　a) establish the service management policy, objectives and plans;

　　b) communicate the importance of meeting the service management objectives and the need for continual improvement;

　　c) ensure that customer requirements are determined and are met with the aim of improving customer satisfaction;

　　d) appoint a member of management responsible for the co-ordination and management of all services;

　　e) determine and provide resources to plan, implement, monitor, review and improve service delivery and management e.g. recruit appropriate staff, manage staff turnover;

　　f) manage risks to the service management organization and services; and

　　g) conduct reviews of service management, at planned intervals, to ensure continuing suitability, adequacy and effectiveness. ISO20000:2011版本將管理

　　職責(zé)分為了：管理

　　承諾;服務(wù)管理政

　　策;權(quán)利、職責(zé)和

　　溝通;管理者代表

　　等幾個(gè)方面。

　　? 對服務(wù)管理政策、

　　權(quán)利、職責(zé)和溝

　　通、管理者代表、

　　資源管理(見4.4)

　　提出了更加細(xì)化

　　的要求。

　　? 新增了對高管層

　　關(guān)于“建立和溝通

　　服務(wù)管理的范圍”

　　的要求。 對其他相關(guān)方所運(yùn)營流程的管控 4.2 Governance of processes operated by other parties

　　For the processes in Clauses 5 to 9, the service provider shall identify all processes, or parts of processes, which are operated by other parties. Other parties can be an internal group, a customer or a supplier.

　　The service provider shall demonstrate governance of processes operated by other parties by:

　　a) demonstrating accountability for the processes and authority to require adherence to the processes;

　　b) controlling the definition of the processes, and interfaces to other processes;

　　c) determining process performance and compliance with process requirements;

　　d) controlling the planning and prioritizing of process improvements. When a supplier is operating parts of the processes, the service provider shall manage the supplier through the supplier management process.

　　When an internal group or a customer is operating parts of the processes, the service provider shall manage the internal group or the customer through the service level managementprocess.

　　NOTE ISO/IEC TR 20000-3 provides guidance on scope definition and applicability of this part of ISO/IEC 20000. This includes further explanation about the governance of processes operated by other parties. 4.2 對其他相關(guān)方所運(yùn)營過程的管控 對于條款5-9所包含的過程，服務(wù)提供者應(yīng)識別那些由其他相關(guān)方所運(yùn)營的所有過程或部分過程。其他相關(guān)方可能是內(nèi)部團(tuán)隊(duì)、某一客戶或某一供方。

　　服務(wù)提供者應(yīng)通過以下活動體現(xiàn)對其他相關(guān)方運(yùn)營過程的管控：

　　a) 表明對過程的最終負(fù)責(zé)，并擁有要求相關(guān)方遵循過程的權(quán)利;

　　b) 控制過程的定義以及過程與其他過程的接口;

　　c) 確定過程的執(zhí)行效果和對過程需求的遵循情況;

　　d) 控制過程改進(jìn)的計(jì)劃和優(yōu)先級。當(dāng)供應(yīng)商執(zhí)行部分過程時(shí)，服務(wù)提供者應(yīng)通過供應(yīng)商管理流程管理外部供應(yīng)商。當(dāng)內(nèi)部團(tuán)隊(duì)或客戶執(zhí)行部分過程時(shí)，服務(wù)提供者應(yīng)通過服務(wù)級別管理流程管理內(nèi)部團(tuán)隊(duì)和客戶。

　　注：ISO/IECTR20000-3提供了對于

　　ISO/IEC20000本部分關(guān)于范圍的定義和適用性的指導(dǎo)。這包括了對其他相關(guān)方所運(yùn)營過程的管控的進(jìn)一步解釋。 無 ISO20000:2011版新增的內(nèi)容。ISO20000:2011版考慮到并非所有ISO20000體系所要求的流程都由服務(wù)提供者自己全部承擔(dān)，故增加了該條款要求，也更加符合實(shí)際。 文件管理 4.3 Documentation management

　　4.3.1 Establish and maintain documents

　　The service provider shall establish and maintain documents, including records, to ensure effective planning, operation and control of the SMS.

　　These documents shall include:

　　a) documented policy and objectives for service management;

　　b) documented service management plan;

　　c) documented policies and plans created for specific processes as required by this part of ISO/IEC 20000;

　　d) documented catalogue of services;

　　e) documented SLAs;

　　f) documented service management processes;

　　g) documented procedures and records required by this part of ISO/IEC 20000;

　　h) additional documents, including those of external origin, determined by the service provider as necessary to ensure effective operation of the SMS and delivery of the services.

　　4.3.2 Control of documents

　　Documents required by the SMS shall be controlled. Records are a special type of document and shall be controlled according to the requirements given in Clause 4.3.3.

　　A documented procedure, including the authorities and responsibilities, shall be established to define the controls needed to:

　　a) create and approve documents prior to issue;

　　b) communicate to interested parties about new or changed documents;

　　c) review and maintain documents as necessary;

　　d) ensure that changes and the current revision status of documents are identified;

　　e) ensure that relevant versions of applicable documents are available at points of use;

　　f) ensure that documents are readily identifiable and legible;

　　g) ensure that documents of external origin are identified and their distribution controlled;

　　h) prevent the unintended use of obsolete documents and apply suitable identification to them if they are retained.

　　4.3.3 Control of records

　　Records shall be kept to demonstrate conformity to requirements and the effective operation of the SMS.

　　A documented procedure shall be established to define the controls needed for the identification, storage, protection, retrieval, retention and disposal of records. Records shall be legible, readily identifiable and retrievable. 4.3 文件管理

　　4.3.1 建立和維護(hù)文件

　　服務(wù)提供者應(yīng)建立和維護(hù)文件(包括記錄)，以確保對SMS進(jìn)行有效的規(guī)劃、執(zhí)行和控制。文件應(yīng)包括：

　　a) 文件化的服務(wù)管理政策和目標(biāo);

　　b) 文件化的服務(wù)管理計(jì)劃;

　　c) 本標(biāo)準(zhǔn)所要求的各流程文件化的策略和計(jì)劃;

　　d) 文件化的服務(wù)目錄;

　　e) 文件化的SLA;

　　f) 文件化的服務(wù)管理流程;

　　g) 本標(biāo)準(zhǔn)所要求的文件化程序和記錄;

　　h) 服務(wù)提供者認(rèn)為為確保SMS有效運(yùn)行和服務(wù)交付所需要的其他文件(包括外來文件)。

　　4.3.2 文件的控制

　　SMS所要求的文件應(yīng)被控制。記錄是特定類型的文件也應(yīng)依照4.3.3條款進(jìn)行控制。

　　應(yīng)建立文件化的程序(包括權(quán)利和職責(zé))用于定義以下所需的控制：

　　a) 在發(fā)布前，創(chuàng)建和批準(zhǔn)文件;

　　b) 與相關(guān)方溝通關(guān)于新的或變更的文件;

　　c) 需要時(shí)回顧和維護(hù)文件;

　　d) 確保文件的更改和當(dāng)前的修訂狀態(tài)得到識別;

　　e) 確保適用文件的有關(guān)版本在使用時(shí)可獲得;

　　f) 確保文件清晰，易于識別;

　　g) 確保外來文件得到識別和控制其分發(fā);

　　h) 防止作廢文件的非預(yù)期使用，若作廢文件需要被保留，應(yīng)使用適當(dāng)?shù)臉?biāo)識。

　　4.3.3 記錄的控制

　　記錄應(yīng)被保存，以證實(shí)符合要求和SMS的有效運(yùn)行。

　　應(yīng)建立文件化的程序用于定義記錄所需的控制：標(biāo)識、存儲、保護(hù)、檢索、保持和廢止。記錄應(yīng)清晰、易于識別和檢索。 3.2 Documentation requirements

　　Service providers shall provide documents and records to ensure effective planning, operation and control of service management.

　　This shall include:

　　a) documented service management policies and plans;

　　b) documented service level agreements;

　　c) documented processes and procedures required by this standard; and

　　d) records required by this standard.

　　Procedures and responsibilities shall be established for the creation, review, approval, maintenance, disposal and control of the various types of documents and records.

　　NOTE: The documentation can be in any form or type of medium. ISO20000:2011版較ISO20000:2005版新增了以下內(nèi)容：

　　文件化的服務(wù)管理目標(biāo)、文件化的服務(wù)目錄、服務(wù)提供者認(rèn)為為確保SMS有效運(yùn)行和服務(wù)交付所需要的其他文件(包括外來文件)等

　　新增了“文件控制”、“記錄控制”的具體要求。 資源管理 4.4 Resource management

　　4.4.1 Provision of resources

　　The service provider shall determine and provide the human, technical, information and financial resources needed to:

　　a) establish, implement and maintain the SMS and the services, and continually improve their effectiveness;

　　b) enhance customer satisfaction by delivering services that fulfill service requirements.

　　4.4.2 Human resources

　　The service provider's personnel performing work affecting conformity to service requirements shall be competent on the basis of appropriate education, training, skills and experience. The service provider shall:

　　a) determine the necessary competence for personnel;

　　b) where applicable, provide training or take other actions to achieve the necessary competence;

　　c) evaluate the effectiveness of actions taken;

　　d) ensure that its personnel are aware of how they contribute to the achievement of service management objectives and the fulfillment of service requirements;

　　e) maintain appropriate records of education, training, skills and experience. 4.4 資源管理

　　4.4.1 資源的提供

　　服務(wù)提供者應(yīng)決定并提供所需的人員、技術(shù)、信息和財(cái)務(wù)資源，用以：

　　a) 建立、實(shí)施和維護(hù)SMS和服務(wù)，并持續(xù)改進(jìn)其有效性;

　　b) 通過交付滿足需求的服務(wù)，提升客戶滿意度。

　　4.4.2 人力資源

　　服務(wù)提供者的員工應(yīng)有能力勝任所承擔(dān)的工作，以滿足服務(wù)需求。這些能力應(yīng)基于適當(dāng)?shù)慕逃?、培?xùn)、技能和經(jīng)驗(yàn)。服務(wù)提供者應(yīng)：

　　a) 確定人員所需的必要能力;

　　b) 根據(jù)需要提供培訓(xùn)或采取其他措施以獲得所需的能力;

　　c) 評估采取措施的有效性;

　　d) 確保人員能意識到他們?nèi)绾螌Ψ?wù)管理目標(biāo)的達(dá)成和服務(wù)需求的滿足做出貢獻(xiàn);

　　e) 維護(hù)教育、培訓(xùn)、技能和經(jīng)驗(yàn)的適當(dāng)記錄。 3.3 Competence, awareness and training

　　All service management roles and responsibilities shall be defined and maintained together with the competencies required to execute them effectively.

　　Staff competencies and training needs shall be reviewed and managed to enable staff to perform their role effectively.

　　Top management shall ensure that its employees are aware of the relevance and importance of their activities and how they contribute to the achievement of the service management objectives. ISO20000:2011版提出了“資源管理”的概念，并明確了包括人員、技術(shù)、信息和財(cái)務(wù)等方面資源。

　　ISO20000:2011版用資源管理中的“人力資源”章節(jié)的內(nèi)容代替了ISO20000:2005版的“能力、意識和培訓(xùn)”章節(jié)，增加了需“維護(hù)教育、培訓(xùn)、技能和經(jīng)驗(yàn)的適當(dāng)記錄”的要求。 建立和改進(jìn)SMS 4.5 Establish and improve the SMS

　　4.5.1 Define scope

　　The service provider shall define and include the scope of the SMS in the service management plan. The scope shall be defined by the name of the organizational unit providing the services, and the services to be delivered.

　　The service provider shall also take into consideration other factors affecting the services to be delivered including:

　　a) geographical location(s) from which the service provider delivers the services;

　　b) the customer and their location(s);

　　c) technology used to provide the services.

　　NOTE ISO/IEC TR 20000-3 provides guidance on scope definition and applicability of this part of ISO/IEC 20000.

　　4.5.2 Plan the SMS (Plan)

　　The service provider shall create, implement and maintain a service management plan. Planning shall take into consideration the service management policy, service requirements and requirements in this part of ISO/IEC 20000. The service management plan shall contain or include a reference to at least the following:

　　a) service management objectives that are to be achieved by the service provider;

　　b) service requirements;

　　c) known limitations which can impact the SMS;

　　d) policies, standards, statutory and regulatory requirements and contractual obligations;

　　e) framework of authorities, responsibilities and process roles;

　　f) authorities and responsibilities for plans, service management processes and services;

　　g) human, technical, information and financial resources necessary to achieve the service management objectives;

　　h) approach to be taken for working with other parties involved in the design and transition of new or changed services process;

　　i) approach to be taken for the interfaces between service management processes and their integration with the other components of the SMS;

　　j) approach to be taken for the management of risks and the criteria for accepting risks;

　　k) technology used to support the SMS;

　　l) how the effectiveness of the SMS and the services will be measured, audited, reported and improved.

　　Plans created for specific processes shall be aligned with the service management plan. The service management plan and plans created for specific processes shall be reviewed at planned intervals and, if applicable, updated.

　　4.5.3 Implement and operate the SMS (Do)

　　The service provider shall implement and operate the SMS for the design, transition, delivery and improvement of services according to the service management plan, through activities including at least:

　　a) allocation and management of funds and budgets;

　　b) assignment of authorities, responsibilities and process roles;

　　c) management of human, technical and information resources;

　　d) identification, assessment and management of risks to the services;

　　e) management of service management processes;

　　f) monitoring and reporting on performance of service management activities.

　　4.5.4 Monitor and review the SMS (Check)

　　4.5.4.1 General

　　The service provider shall use suitable methods for monitoring and measuring the SMS and the services.

　　These methods shall include internal audits and management reviews.

　　The objectives of all internal audits and management reviews shall be documented. The internal audits and management reviews shall demonstrate the ability of the SMS and the services to achieve service management objectives and fulfil service requirements.

　　Nonconformities shall be identified against the requirements in this part of ISO/IEC 20000, the SMS requirements identified by the service provider or the service requirements.

　　The results of internal audits and management reviews, including nonconformities, concerns and actions identified, shall be recorded.

　　The results and actions shall be communicated to interested parties.

　　4.5.4.2 Internal audit

　　The service provider shall conduct internal audits, at planned intervals, to determine whether the SMS and the services:

　　a) fulfil the requirements in this part of ISO/IEC 20000;

　　b) fulfil the service requirements and the SMS requirements identified by the service provider;

　　c) are effectively implemented and maintained.

　　There shall be a documented procedure including the authorities and responsibilities for planning and conducting audits, reporting results and maintaining audit records.

　　An audit programme shall be planned.

　　This shall take into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits.

　　The audit criteria, scope, frequency and methods shall be documented.

　　The selection of auditors and conduct of audits shall ensure objectivity and impartiality of the audit. Auditors shall not audit their own work.

　　Nonconformities shall be communicated, prioritized and responsibility allocated for actions.

　　The management responsible for the area being audited shall ensure that any corrections and corrective actions are taken without undue delay to eliminate nonconformities and their causes. Follow-up activities shall include the verification of the actions taken and the reporting of results.

　　NOTE See ISO 19011 for guidance on management systems auditing.

　　4.5.4.3 Management review

　　Top management shall review the SMS and the services at planned intervals to ensure their continued suitability and effectiveness. This review shall include assessing opportunities for improvement and the need for changes to the SMS, including the policy and objectives for service management.

　　The input to management reviews shall include at least information on:

　　a) customer feedback;

　　b) service and process performance and conformity;

　　c) current and forecast human, technical, information and financial resource levels;

　　d) current and forecast human and technical capabilities;

　　e) risks;

　　f) results and follow-up actions from audits;

　　g) results and follow-up actions from previous management reviews;

　　h) status of preventive and corrective actions;

　　i) changes that could affect the SMS and the services;

　　j) opportunities for improvement.

　　Records of management reviews shall be maintained.

　　The records from the management review shall include at least decisions and actions related to resources, improvement of the effectiveness of the SMS and improvement of the services.

　　4.5.5 Maintain and improve the SMS (Act)

　　4.5.5.1 General

　　There shall be a policy on continual improvement of the SMS and the services. The policy shall include evaluation criteria for the opportunities for improvement.

　　There shall be a documented procedure including the authorities and responsibilities for identifying, documenting, evaluating, approving, prioritizing, managing, measuring and reporting of improvements.

　　Opportunities for improvement, including corrective and preventive actions, shall be documented.

　　The cause of identified nonconformities shall be corrected.

　　Corrective actions shall be taken to eliminate the cause of identified nonconformities in order to prevent recurrence. Preventive actions shall be taken in order to eliminate the cause of potential nonconformities in order to prevent occurrence.

　　NOTE For more information on corrective and preventive action, see ISO 9001:2008, Clause 8.5.

　　4.5.5.2 Management of improvements

　　Opportunities for improvement shall be prioritized. The service provider shall use the evaluation criteria in the policy on continual improvement, when making decisions on opportunities for improvement.

　　Approved improvements shall be planned.

　　The service provider shall manage improvement activities that include at least:

　　a) setting targets for improvements in one or more of quality, value, capability, cost, productivity, resource utilization and risk reduction;

　　b) ensuring that approved improvements are implemented;

　　c) revising the service management policies, plans, processes and procedures, where necessary;

　　d) measuring implemented improvements against the targets set and where targets are not achieved, taking necessary actions;

　　e) reporting on implemented improvements. 4.5 建立和改進(jìn)SMS

　　4.5.1 定義范圍

　　服務(wù)提供者應(yīng)在服務(wù)管理計(jì)劃中定義和包含SMS的范圍。范圍應(yīng)以提供服務(wù)的組織單位名稱和所交付服務(wù)的名稱加以界定。

　　服務(wù)提供者也應(yīng)考慮其他影響所交付服務(wù)的因素，包括：

　　a) 服務(wù)提供者交付服務(wù)的地理位置;

　　b) 客戶和他們的所在地;

　　c) 提供服務(wù)所使用的技術(shù)。

　　注：ISO/IECTR20000-3提供了對于ISO/IEC20000本部分關(guān)于范圍的定義和適用性的指導(dǎo)。

　　4.5.2 規(guī)劃SMS(Plan)

　　服務(wù)提供者應(yīng)創(chuàng)建、實(shí)施和維護(hù)服務(wù)管理計(jì)劃。計(jì)劃應(yīng)考慮服務(wù)管理政策、服務(wù)需求和ISO/IEC20000-1的要求。服務(wù)管理計(jì)劃應(yīng)具有或包括至少以下參考內(nèi)容：

　　a) 服務(wù)提供者期望獲得的服務(wù)管理目標(biāo);

　　b) 服務(wù)需求;

　　c) 可能影響SMS的已知限制;

　　d) 政策、標(biāo)準(zhǔn)、法律法規(guī)要求和合同義務(wù);

　　e) 權(quán)利、職責(zé)和流程角色的框架;

　　f) 規(guī)劃、服務(wù)管理流程和服務(wù)的權(quán)利和職責(zé);

　　g) 實(shí)現(xiàn)服務(wù)管理目標(biāo)所需的人員、技術(shù)、信息和財(cái)務(wù)資源;

　　h) 在設(shè)計(jì)和轉(zhuǎn)換新的或變更的服務(wù)過程中，與其他相關(guān)方協(xié)同工作所采用的方法;

　　i) 服務(wù)管理流程和SMS其他組成部分集成所采用的方法;

　　j) 風(fēng)險(xiǎn)管理和風(fēng)險(xiǎn)接受標(biāo)準(zhǔn)所采用的方法;

　　k) 用于支持SMS所使用的技術(shù);

　　l) 如何測量、審核、報(bào)告和改進(jìn)SMS和服務(wù)的有效性。

　　為特定流程所創(chuàng)建的計(jì)劃應(yīng)與服務(wù)管理計(jì)劃相一致。服務(wù)管理計(jì)劃和為特定流程所創(chuàng)建的計(jì)劃應(yīng)按照計(jì)劃的時(shí)間間隔進(jìn)行回顧和(若需要的話)更新。

　　4.5.3 實(shí)施和執(zhí)行SMS(Do)

　　服務(wù)提供者應(yīng)實(shí)施和執(zhí)行SMS，依照服務(wù)管理計(jì)劃進(jìn)行設(shè)計(jì)、轉(zhuǎn)換、交付和改進(jìn)服務(wù)，其中的活動至少包括：

　　a) 資金和預(yù)算的分配和管理;

　　b) 責(zé)任、權(quán)利和流程角色的分配;

　　c) 人員、計(jì)劃和信息資源的管理;

　　d) 識別、評估和管理服務(wù)的風(fēng)險(xiǎn);

　　e) 服務(wù)管理流程的管理;

　　f) 監(jiān)控和報(bào)告服務(wù)管理活動的執(zhí)行情況。

　　4.5.4 監(jiān)控和回顧SMS(Check)

　　4.5.4.1 總要求

　　服務(wù)提供者應(yīng)采用適宜的方法監(jiān)控和測量SMS和服務(wù)。這些方法應(yīng)包括內(nèi)部審核和管理評審。

　　所有內(nèi)部審核和管理評審的目標(biāo)應(yīng)被文檔化。內(nèi)部審核和管理評審應(yīng)證實(shí)SMS和服務(wù)用以實(shí)現(xiàn)服務(wù)管理目標(biāo)和滿足服務(wù)需求的能力。不滿足本標(biāo)準(zhǔn)要求、服務(wù)提供者所提出的SMS要求或服務(wù)需求的不符合項(xiàng)應(yīng)被識別。

　　內(nèi)部審核和管理評審的結(jié)果，包括不符合項(xiàng)、關(guān)注點(diǎn)和識別的改進(jìn)行動應(yīng)被記錄。結(jié)果和行動應(yīng)與相關(guān)方溝通。

　　4.5.4.2 內(nèi)部審核

　　服務(wù)提供者應(yīng)按照計(jì)劃的時(shí)間間隔執(zhí)行內(nèi)部審核，以確定SMS和服務(wù)是否：

　　a) 滿足本標(biāo)準(zhǔn)的要求;

　　b) 滿足服務(wù)需求和服務(wù)提供者所提出的SMS要求;

　　c) 有效被實(shí)施和維護(hù)。

　　應(yīng)有文件化的程序，包括權(quán)利和責(zé)任，用以計(jì)劃和執(zhí)行審核、報(bào)告結(jié)果和維護(hù)審核記錄。

　　審核方案應(yīng)被策劃。應(yīng)考慮被審核的流程和領(lǐng)域的狀態(tài)和重要程度，以及以往的審核結(jié)果。審核標(biāo)準(zhǔn)、范圍、頻率和方法應(yīng)文件化。

　　審核人員的選擇和審核的執(zhí)行應(yīng)確?？陀^性和公正性。審核人員不應(yīng)審核自身的工作。

　　不符合項(xiàng)應(yīng)被溝通，進(jìn)行優(yōu)先級排序，改進(jìn)活動應(yīng)分配到責(zé)任人。負(fù)責(zé)被審核領(lǐng)域的管理者應(yīng)確保任何改進(jìn)行為和改進(jìn)活動無延誤地被執(zhí)行以消除不符合項(xiàng)和其原因。后續(xù)活動應(yīng)包括對所采取行為的驗(yàn)證和其結(jié)果的報(bào)告。

　　注：參考ISO19011關(guān)于管理體系審核的指南。

　　4.5.4.3 管理評審

　　高管層應(yīng)按照計(jì)劃的時(shí)間間隔回顧SMS和服務(wù)，以確保其持續(xù)適用和有效。回顧應(yīng)評估SMS的改進(jìn)機(jī)會和變更需求，包括服務(wù)管理的政策和目標(biāo)。

　　管理評審的輸入應(yīng)至少包括以下信息：

　　a) 顧客反饋;

　　b) 服務(wù)和流程的執(zhí)行情況和符合性;

　　c) 當(dāng)前和預(yù)測的人員、技術(shù)、信息和財(cái)務(wù)資源水平;

　　d) 當(dāng)前和預(yù)測的人員和技術(shù)能力;

　　e) 風(fēng)險(xiǎn);

　　f) 來自審核的結(jié)果和后續(xù)行動;

　　g) 以往管理評審的結(jié)果和后續(xù)行動;

　　h) 預(yù)防和糾正措施的進(jìn)展情況;

　　i) 可能影響SMS和服務(wù)的變更;

　　j) 改進(jìn)的機(jī)會。

　　管理評審的記錄應(yīng)被維護(hù)。

　　管理評審的記錄應(yīng)至少包括相關(guān)資源、SMS有效性的改進(jìn)和服務(wù)的改進(jìn)的有關(guān)決策和行動。

　　4.5.5 維護(hù)和改進(jìn)SMS (Act)

　　4.5.5.1 總要求

　　應(yīng)有SMS和服務(wù)的持續(xù)改進(jìn)政策。政策應(yīng)包括對改進(jìn)機(jī)會的評估標(biāo)準(zhǔn)。應(yīng)有文件化的程序(包括權(quán)利和責(zé)任)用以識別、記錄、評估、批準(zhǔn)、劃分優(yōu)先級、管理、度量和報(bào)告改進(jìn)措施。

　　改進(jìn)機(jī)會(包括改進(jìn)和預(yù)防措施)應(yīng)被文件化。

　　識別的不符合項(xiàng)的原因應(yīng)被糾正。糾正措施應(yīng)用以消除所識別的不符合項(xiàng)的原因，以防止再次發(fā)生。應(yīng)采取預(yù)防措施，以消除潛在的不符合項(xiàng)的原因，以防止其發(fā)生。

　　注：了解更多關(guān)于改進(jìn)和預(yù)防措施的信息，請參考ISO9001:2008中的8.5條款。

　　4.5.5.2 管理改進(jìn)

　　改進(jìn)機(jī)會應(yīng)劃分優(yōu)先級。當(dāng)決策改進(jìn)機(jī)會時(shí)，服務(wù)提供者應(yīng)采用服務(wù)政策中持續(xù)改進(jìn)的評估標(biāo)準(zhǔn)。

　　批準(zhǔn)的改進(jìn)應(yīng)被規(guī)劃。

　　服務(wù)提供者應(yīng)管理改進(jìn)活動，至少包括：

　　a) 設(shè)定改進(jìn)目標(biāo)，包括質(zhì)量、價(jià)值、能力、成本、生產(chǎn)力、資源使用和風(fēng)險(xiǎn)降低中的一項(xiàng)或幾項(xiàng);

　　b) 確保批準(zhǔn)的改進(jìn)活動被實(shí)施;

　　c) 需要的情況下，更新服務(wù)管理政策、計(jì)劃、流程和程序;

　　d) 基于設(shè)定的目標(biāo)，度量已實(shí)施的改進(jìn)活動，若未達(dá)到目標(biāo)，采取必要的行動;

　　e) 報(bào)告被實(shí)施的改進(jìn)活動。 4 Planning and implementing service management

　　NOTE The methodology known as “Plan-Do-Check-Act” (PDCA) can be applied to all processes. PDCA can be described as follows:

　　a) Plan: establish the objectives and processes necessary to deliver results in accordance with customer requirements and the organization’s policies;

　　b) Do: implement the processes;

　　c) Check: monitor and measure processes and services against policies, objectives and requirements and report the results;

　　d) Act: take actions to continually improve process performance.

　　4.1 Plan service management (Plan)

　　Objective: To plan the implementation and delivery of service management.

　　Service management shall be planned. The plans shall at a minimum define:

　　a) the scope of the service provider’s service management;

　　b) the objectives and requirements that are to be achieved by service management;

　　c) the processes that are to be executed;

　　d) the framework of management roles and responsibilities, including the senior responsible owner, process owner and management of suppliers;

　　e) the interfaces between service management processes and the manner in which the activities are to be co-ordinated

　　f) the approach to be taken in identifying, assessing and managing issues and risks to the achievement of the defined objectives;

　　g) the approach for interfacing to projects that are creating or modifying services;

　　h) the resources, facilities and budget necessary to achieve the defined objectives;

　　i) tools as appropriate to support the processes; and

　　j) how the quality of the service will be managed, audited and improved.

　　There shall be clear management direction and documented responsibilities for reviewing, authorising , communicating, implementing and maintaining the plans.

　　Any process specific plans produced shall be compatible with this service management plan.

　　4.2 Implement service

　　management and provide the services (Do)

　　Objective: To implement the service management objectives and plan.

　　The service provider shall implement the service management plan to manage and deliver the services, including:

　　a) allocation of funds and budgets;

　　b) allocation of roles and responsibilities;

　　c) documenting and maintaining the policies, plans, procedures and definitions for each process or set of processes;

　　d) identification and management of risks to the service;

　　e) managing teams, e.g. recruiting and developing appropriate staff and managing staff continuity;

　　f) managing facilities and budget;

　　g) managing the teams including service desk and operations;

　　h) reporting progress against the plans; and

　　i) co-ordination of service management processes.

　　4.3 Monitoring, measuring and reviewing (Check)

　　Objective: To monitor, measure and review that the service management objectives and plan are being achieved.

　　The service provider shall apply suitable methods for monitoring and, where applicable, measurement of the service management processes. These methods shall demonstrate the ability of the processes to achieve planned results.

　　Management shall conduct reviews at planned intervals to determine whether the service management requirements:

　　a) conform with the service management plan and to the requirements of this standard; and

　　b) are effectively implemented and maintained.

　　An audit programme shall be planned, taking into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits. The audit criteria, scope, frequency and methods shall be defined in a procedure. The selection of auditors and conduct of audits shall ensure objectivity and impartiality of the audit process. Auditors shall not audit their own work.

　　The objective of service management reviews, assessments and audits shall be recorded together with the findings of such audits and reviews and any remedial actions identified. Any significant areas of noncompliance or concern shall be communicated to relevant parties.

　　4.4 Continual improvement (Act)

　　Objective: To improve the effectiveness and efficiency of service delivery and management.

　　4.4.1 Policy

　　There shall be a published policy on service improvement. Any non-compliance with the standard or the service management plans shall be remedied. Roles and responsibilities for service improvement activities shall be clearly defined.

　　4.4.2 Management of improvements

　　All suggested service improvements shall be assessed, recorded, prioritized and authorized. A plan shall be used to control the activity.

　　The service provider shall have a process in place to identify, measure, report and manage improvement activities on an ongoing basis. This shall include:

　　a) improvements to an individual process that can be implemented by the process owner with the usual staff resources, e.g.

　　performing individual corrective and preventive actions; and

　　b) improvements across the organization or across more than one process.

　　4.4.3 Activities

　　The service provider shall perform activities to:

　　a) collect and analyse data to baseline and benchmark the service provider’s capability to manage and deliver service and service management processes;

　　b) identify, plan and implement improvements;

　　c) consult with all parties involved;

　　d) set targets for improvements in quality, costs and resource utilization;

　　e) consider relevant inputs about improvements from all the service management processes;

　　f) measure, report and communicate the service improvements;

　　g) revise the service management policies, processes, procedures and plans where necessary; and

　　h) ensure that all approved actions are delivered and that they achieve their intended objectives. PDCA循環(huán)在ISO20000:2005版中作為獨(dú)立的一章，在ISO20000:2011版中被并入到“服務(wù)管理體系總體要求章節(jié)”中。

　　ISO20000:2011版新增了“定義范圍”這一新的要求。這為組織明確其認(rèn)證范圍提出了更加具體的要求和參考。

　　對PDCA的解釋在ISO20000:2011版中放到了引言中。

　　計(jì)劃Plan部分：

　　ISO20000:2011版在Plan內(nèi)容中增加了 “可能影響SMS的已知限制”、“政策、標(biāo)準(zhǔn)、法律法規(guī)要求和合同義務(wù)”等兩項(xiàng)內(nèi)容。

　　實(shí)施Do部分：

　　ISO20000:2011版去掉了“服務(wù)管理流程間的協(xié)作”的明確要求。

　　檢查Check部分：

　　ISO20000:2011版較ISO20000:2005版，將內(nèi)部審核和管理評審進(jìn)行了獨(dú)立說明，明確了具體的要求，這更好地融合了ISO9001;此外，是否滿足ISO20000-1標(biāo)準(zhǔn)的要求、服務(wù)需求和服務(wù)提供者所提出的SMS要求等三方面要求作為了審核的具體要求。

　　改進(jìn)Act部分：

　　ISO20000:2011版明確了“應(yīng)有文件化的程序(包括權(quán)利和責(zé)任)用以識別、記錄、評估、批準(zhǔn)、劃分優(yōu)先級、管理、度量和報(bào)告改進(jìn)措施”;此外，在改進(jìn)目標(biāo)的設(shè)定上，較ISO20000:2005版提出的“質(zhì)量、成本和資源使用”三個(gè)方面，擴(kuò)展為了“質(zhì)量、價(jià)值、能力、成本、生產(chǎn)力、資源使用和風(fēng)險(xiǎn)降低”等7個(gè)方面。