ISO/IEC 20000-1 Transition

ISO/IEC 20000-1:2018: Implementation Steps

A lot of questions arise when seeking to understand ISO/IEC 20000-1, but the most frequent question asked is “how to implement it?”. The implementation process is not easy in any standard; yet, approaching the implementation systematically, step by step makes the processes easier. The implementation phase should not have too many changes because this would lead to chaos within the organization. Hence, a twelve-step method that is ranked in a logical manner would make the process easier for any organization.

1. Gain management support: The first battle when deciding about the implementation process is to convince the management to support the implementation. Other than financial and technical resources, when implementing a process, there is also a need for a strong sponsor and solid continuous supporter. The support of the management is therefore fundamental to the success of the service management system. It is always a good idea to present a business case to the management to show the objectives, costs of implementation, opportunity cost, benefits, resources required, as well as the alternatives for its implementation.

2. Establish the project: This step is not mandatory; however, it would highly impact the implementation process by increasing its efficiency. By establishing a project before the implementation starts, the organization sets a clear goal and allocates the resources within the organization for a specific time frame to ensure its implementation. The project management plan is often used as a baseline to track the work done and to keep things under control in order to achieve the desired results.

3. Conduct a gap analysis: This step is highly advisable and highly effective when it comes to understanding the current state of the organization and the existing management system against the ISO/IEC 20000-1 requirements. While performing the gap analysis and understanding the potential of an organization, the management team should check the processes included in the standard, some of which are still not performed by the organization in order to ensure compliance with all the requirements in the latter stages. The gap analysis also allows knowing the degree of maturity of the processes already implemented and which will require more time and resources in their implementation to ensure compliance.

4. Define the scope, responsibilities and management intention: In this phase, the organization should decide about the foundation of the Service Management System and define the direction of all the activities that should be performed. This is the phase in which the scope, policy and responsibilities for the SMS are defined.

5. Implement supporting procedures: Supporting procedures are the ones that are not involved in the daily operations of the SMS, but indirectly affect the processes. These procedures may be such as the “procedure for documented information,” “communications procedure” or a “checklist.” Additionally, some of the supporting procedures are generic (document control); however, in general it should support the processes and accordingly should be developed/defined with or after the development of processes.

6. Generate processes: The previous steps were about setting up the management system, while this step is where the implementation of the SMS really starts. Here, it is required that all the processes for the operation of the SMS that are stated in the standard should be added. This is done by using the knowledge that the managers have obtained through their experiences, guidance from ISO 20000-2 or ITIL®, external help, different tools, etc. If the organization decided to “establish the project” in the beginning, this is the step in which organizations would benefit the most.

7. Implementation of the processes: In this step, the theory that has been developed turns into practice. At this point, the implementation of documented processes will begin in which the managerial skills are essential. 

8. Conduct training and awareness programs: People within the organization that are involved in the Service Management System processes should be aware of their tasks and understand the objectives of the organization. An organizational change management process can be of great help in achieving the organizational changes that new service management processes require. 

9. Operate the SMS: Managerial skills are very important, not only during the implementation phase, but also afterward. When the implementation of the SMS is finalized, it will support the services provided to the customers. 

10. Create the “service continual improvement concept”: Changes within an organization are continual. In spite of that, changes should be carefully implemented with the aim of improving the overall performance of the organization. Once the organization defines the continual service improvement concept, it should implement, monitor and regularly improve the internal services, processes and technologies.

11. Conduct internal audits:  it is the point where you evaluate what you have done so far. When performing an internal audit, organizations should contract independent auditors who are not part of the implementation process to perform the audit.

12. Management review: This is the concluding step of the implementation process, and it is obligatory for all organizations. According to ISO/IEC 20000-1, a meeting should be conducted in order to clarify the actions that have been taken and ensure their continual suitability, adequacy and effectiveness. In order to prepare for this meeting, there are some requirements stated in the standard that would make this process a lot easier.

13. Corrective actions: Consists of actions taken to improve an organization’s processes in order to eliminate the causes of any undesirable activity and nonconformity that are identified during the internal audit. This process should be conducted systematically in order to eliminate the recurrence of the nonconformity in the future.  

After all these steps are finalized, the certification process will start with a Registered Certifying Body (RCB). This process involves two stages:

• Stage 1 audit (Documentation review): Initially the certification body visits the organization with the purpose of examining the Service Management System objectives, scope, documents and discussing on what needs to be improved, thus prepare for the stage 2 audit, which is the main audit. During this stage, the auditors ensure that all mandatory requirements of the standard are documented adequately.
• Stage 2 audit (Main Certification audit): In the final step, the auditors visit the organization to verify the effectiveness and adequacy of the SMS implementation. The successful conclusion of this audit will earn the organization the ISO 20000-1 certification.

Surveillance and Recertification — The certification (like most other ISO certifications) is valid for 3 years, during which time the Organization needs to undergo periodic (at least annual) Surveillance audits by the Certifying Body. After three years, the organization will need to undergo recertification by the RCB, which again goes through the three years surveillance cycle.

The certification audit allows a third party which is qualified to evaluate, to provide their opinion regarding the degree of compliance with the requirements of the standard, but it should be remembered that the certification itself should not be the objective of the implementation of a management system - rather, the certification should be a consequence of having achieved the strategic objectives of the organization for the delivery of quality services and the public recognition of that achievement.

Benefits of Implementing the ISO/IEC 20000-1 Standard

The implementation of ISO/IEC 20000-1 covers service delivery which impacts the organization as a whole and specifically the operation and provision of services. An effective implementation of an SMS brings many benefits to a lot of processes including service management. The following are five advantages that every organization would gain when implementing ISO/IEC 20000-1.

Competitiveness and credibility — The adoption of an internationally recognized standard improves the organization's reputation in two ways:

• First, considering that upon implementing an effective SMS the organization would be more capable of competing against any size and type of organization, thereby creating a more competitive environment. Consequentially, the productivity, effectiveness and the efficiency of service delivery would increase as the organization works toward achieving common goals.  
• Second, being certified would change the way partners, customers, suppliers and other interested parties perceive the organization. Additionally, the credibility of the organization, being one of the most important principles, would enhance as customers would trust the organization more when seeing that the processes within the organization are aligned with an internationally recognized standard and follow guidelines of a well-established framework -  in this case with ISO/IEC 20000-1 and ITIL®, respectively.

Compliance — Taking into consideration that ISO/IEC 20000-1 includes legal and other regulations that should be followed by certified organizations, customers feel more secure about their purchases. 

Customer satisfaction — Customer satisfaction is crucial for success in today’s marketplace. That is why all organizations strive to improve customer service and meet their customers’ needs and expectations in an ever-changing business environment. Implementing ISO/IEC 20000-1 facilitates the control of the processes within the organization and helps in fulfilling the requirements and expectations of customers. Adopting ISO/IEC 20000-1 sets grounds for reaching the Service Level Agreement (SLA) targets, since the organization would have defined management processes with the respective roles and responsibilities. This would improve the efficiency of the management team and the organization overall. 

Productivity — It is very important that every person within the organization knows her or his roles and responsibilities. Implementing ISO/IEC 20000-1 helps in solving issues efficiently. Furthermore, being able to control the processes and resources of the organization would lead to better management of the costs and a more productive, effective and efficient organization.  

Benchmark improvement — By being certified against an internationally recognized standard, organizations are capable of comparing their processes and services with other organizations that have already implemented management systems based on standards. The cornerstone of adopting ISO/IEC 20000-1 is the continual improvement of the services and processes within the organization, as it ensures that the SMS is reviewed, controlled and monitored on a regular basis. This creates the possibility that the organization improves its processes day by day and the management has a clear image of the efficiency and the performance of the organization. 

Therefore, implementing ISO/IEC 20000-1 helps organizations understand that the excellence in the delivery of the services results in customer satisfaction, higher profit and an increased market share. Ultimately, all this leads to business excellence. 

Training and Certification of Professionals

PECB has created a training roadmap and personnel certification scheme which is highly recommended for implementers and auditors of an organization that wishes to get certified against the ISO/IEC 20000-1 standard. The certification of organizations is a vital component as it provides evidence that organizations have developed standardized processes based on best practices.