SIST-TS ISO/TS 10020:2022
(Main)Quality management systems - Organizational change management - Processes
Quality management systems - Organizational change management - Processes
This document specifies processes that can be used to govern, manage and implement organizational change management (OCM) for organizations, projects or smaller activities. It comprises generic process descriptions that describe the OCM processes. Supporting diagrams describing the processes are also provided.
This document is applicable, but not limited, to change sponsors, change agents, change team members and project managers, particularly those responsible for governing, managing and implementing organizational change.
Systèmes de management de la qualité — Gestion du changement organisationnel — Processus
Sistemi vodenja kakovosti - Vodenje organizacijskih sprememb - Procesi
General Information
Buy Standard
Standards Content (Sample)
SLOVENSKI STANDARD
SIST-TS ISO/TS 10020:2022
01-december-2022
Sistemi vodenja kakovosti - Vodenje organizacijskih sprememb - Procesi
Quality management systems - Organizational change management - Processes
Systèmes de management de la qualité — Gestion du changement organisationnel —
Processus
Ta slovenski standard je istoveten z: ISO/TS 10020:2022
ICS:
03.120.10 Vodenje in zagotavljanje Quality management and
kakovosti quality assurance
SIST-TS ISO/TS 10020:2022 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST-TS ISO/TS 10020:2022
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SIST-TS ISO/TS 10020:2022
TECHNICAL ISO/TS
SPECIFICATION 10020
First edition
2022-08
Quality management systems —
Organizational change management
— Processes
Systèmes de management de la qualité — Gestion du changement
organisationnel — Processus
Reference number
ISO/TS 10020:2022(E)
© ISO 2022
---------------------- Page: 3 ----------------------
SIST-TS ISO/TS 10020:2022
ISO/TS 10020:2022(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2022
All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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 either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
© ISO 2022 – All rights reserved
---------------------- Page: 4 ----------------------
SIST-TS ISO/TS 10020:2022
ISO/TS 10020:2022(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Organizational change management concepts . 2
4.1 General . 2
4.2 Organizations and interested parties . 2
4.3 Conditions under which organizational change is likely to take place . 2
4.4 OCM process perspective . 3
4.5 Process model. 3
5 Governance process . .5
5.1 General . 5
5.2 Process . 6
5.3 Purpose . 6
5.4 Outcomes . 6
5.5 Developing OCM policy and strategy . 6
5.6 Documented information . 6
6 Management processes . 7
6.1 General . 7
6.2 Change scenario process . 7
6.2.1 General . 7
6.2.2 Purpose . 7
6.2.3 Outcomes . 7
6.2.4 Activities and tasks . 8
6.2.5 Documented information . 8
6.3 Interested party identification process . 9
6.3.1 General . 9
6.3.2 Purpose . 9
6.3.3 Outcomes . 9
6.3.4 Activities and tasks . 9
6.3.5 Documented information . 9
6.4 Intervention definition process . 9
6.4.1 General . 9
6.4.2 Purpose . 10
6.4.3 Outcomes . 10
6.4.4 Activities and tasks . 10
6.4.5 Documented information . 10
7 Implementation processes .11
7.1 General . 11
7.2 Issue identification process . 11
7.2.1 General . 11
7.2.2 Purpose . 11
7.2.3 Outcomes . 11
7.2.4 Activities and tasks . 11
7.2.5 Documented information .12
7.3 Affected interested party identification process .12
7.3.1 General .12
7.3.2 Purpose .12
7.3.3 Outcomes . 12
7.3.4 Activities and tasks .13
7.3.5 Documented information . 13
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SIST-TS ISO/TS 10020:2022
ISO/TS 10020:2022(E)
7.4 Affected interested party intervention process . 13
7.4.1 General .13
7.4.2 Purpose .13
7.4.3 Outcomes . 13
7.4.4 Activities and tasks . 14
7.4.5 Documented information . 14
7.5 Change management reporting process . 14
7.5.1 General . 14
7.5.2 Purpose . 15
7.5.3 Outcomes . 15
7.5.4 Activities and tasks .15
7.5.5 Documented information . 15
8 Measuring affected interested party intervention progress on the change matrix .16
8.1 The change matrix. 16
8.2 Rating the change matrix position . 18
8.3 Aggregation of affected interested parties change matrix positions to higher levels . 18
8.3.1 General . 18
8.3.2 Change matrix cell aggregation problem . 18
8.3.3 Change matrix cell aggregation models . 19
Annex A (informative) Process documentation items .21
Annex B (informative) Generic sections definition .29
Annex C (informative) Comparison between this document and ISO 9001 .31
Bibliography .41
iv
© ISO 2022 – All rights reserved
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SIST-TS ISO/TS 10020:2022
ISO/TS 10020:2022(E)
Foreword
ISO (the International Organization 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 established 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.
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
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 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 explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO’s adherence to
the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see
www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 176, Quality management and quality
assurance, Subcommittee SC 3, Supporting technologies.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
v
© ISO 2022 – All rights reserved
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SIST-TS ISO/TS 10020:2022
ISO/TS 10020:2022(E)
Introduction
The purpose of this document is to describe processes for organizational change management (OCM)
that can be used by organizations when undertaking any form of OCM. It comprises process descriptions
that elaborate the OCM processes.
Since OCM is a key approach to risk-mitigation in organizational development, this document follows
a risk-based approach. Risk-based change management is a best-practice approach to strategizing
and managing organizational change, as it allows changes to be prioritized and focused on the most
important needs and opportunities.
Each process is described using the generic process template provided in ISO/IEC/IEEE 24774:2021,
and covers the purpose, outcomes, activities, tasks and information items of each process.
Documentation items to be produced by the OCM processes are provided in Annexes A and B.
Annex C provides a high-level cross-reference between the clauses of this document and the clauses of
ISO 9001.
This document aims to provide OCM practitioners with the information required to manage and
perform OCM in organizations.
vi
© ISO 2022 – All rights reserved
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SIST-TS ISO/TS 10020:2022
TECHNICAL SPECIFICATION ISO/TS 10020:2022(E)
Quality management systems — Organizational change
management — Processes
1 Scope
This document specifies processes that can be used to govern, manage and implement organizational
change management (OCM) for organizations, projects or smaller activities. It comprises generic
process descriptions that describe the OCM processes. Supporting diagrams describing the processes
are also provided.
This document is applicable, but not limited, to change sponsors, change agents, change team members
and project managers, particularly those responsible for governing, managing and implementing
organizational change.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
aggregation model
combined view of the current state of organizational change
Note 1 to entry: The combined view presents the positions of interested parties (3.3) on the change matrix (3.2).
3.2
change matrix
two-dimensional array showing the relationship between product or service realization stages and
organizational change stages
Note 1 to entry: The product or service realization stages are presented on the x-axis and organizational change
stages on the y-axis.
3.3
interested party
stakeholder
person or organization that can affect, be affected by, or perceive itself to be affected by a decision or
activity
EXAMPLE Customers, owners, people in an organization, providers, bankers, regulators, unions, partners or
society that can include competitors or opposing pressure groups.
[SOURCE: ISO 9000:2015, 3.2.3]
1
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SIST-TS ISO/TS 10020:2022
ISO/TS 10020:2022(E)
3.4
intervention
process through which the behaviour of an organization is changed
3.5
organizational change management
OCM
organizational change processes by which organizations implement their organizational change
strategy to adapt to the environment and improve business performance
Note 1 to entry: Organizational change is a process that allows organizations to adapt to the environment and
improve business performance and thus contribute to the implementation of the organizational change strategy.
Note 2 to entry: The important elements that distinguish organizational change are:
a) it focuses on the human and social aspect of the organization in conjunction with the technological and
structural elements;
b) it focuses on the culture of the organization;
c) it encourages collaboration between the organization’s leaders and members.
4 Organizational change management concepts
4.1 General
Any change or transition from one state to another state can result in risks and opportunities to the
organization.
The activities associated with OCM can be implemented with or without the support of a documented
management system. Where a management system is based on an ISO Management System Standard,
there is likely to be an established process for implementing changes in a planned manner. This should
assist in managing risks and opportunities associated with OCM.
4.2 Organizations and interested parties
For understanding the needs and expectations of interested parties, the organization determines the
following, in accordance with its applicable policy and strategy identified in the governance process, as
appropriate:
a) the interested parties that are relevant;
b) the needs and expectations of these interested parties;
c) which of these needs and expectations become obligations.
4.3 Conditions under which organizational change is likely to take place
The following model can be useful for identifying situations in which organizational change is likely to
take place, although other driving forces can also be applicable.
The factors in this conceptual model are as follows:
— D = There is dissatisfaction when there is a situation that people want to change.
— V = People share a reasonably clear vision of a future situation that is both better and achievable.
— F = The action plan to achieve the vision is acceptable and sets out the first steps to be taken.
— R = The combined strength of the three factors above (i.e. D × V × F) is greater than the existing
resistance to change.
2
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SIST-TS ISO/TS 10020:2022
ISO/TS 10020:2022(E)
If the first three factors are present and the result of multiplying these three factors exceeds the
[5]
resistance to change, then meaningful organizational change is likely to take place.
Because D, V and F are multiplied, if any value is absent (zero) or low, then the product will be zero or
low and therefore not capable of overcoming the resistance.
The key factors, D, V, F and R are evaluated for impact in the context of each identified interested party,
in the first instance, and secondly in terms of the specific concern (i.e. issue) that is under consideration.
In most situations, the relationship between interested parties and issues is likely to be complex, and
requires a detailed analysis in order to properly identify these relationships.
4.4 OCM process perspective
A management system comprises processes. For example, ISO 9001:2015 describes the expectations of
how processes are to be supported in the context of the quality management.
In this document, ISO/IEC/IEEE 24774 is used to support the description of each OCM process.
Processes are described in terms of:
— process title;
— process purpose;
— process outcomes;
— process activities;
— process tasks;
— process controls and constraints;
— process documented information (expected outputs of the process).
4.5 Process model
This document groups the OCM activities into three process groups, as shown in Figure 1. Each of the
processes within those groups is described in terms of its purpose and desired outcomes, and lists
activities and tasks which need to be performed.
Figure 1 — Multi-layer process model
3
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SIST-TS ISO/TS 10020:2022
ISO/TS 10020:2022(E)
The aim of each layer is as follows:
a) Governance process (see Clause 5):
1) the aim of this layer is to describe a process for the creation and maintenance of the OCM
governance framework, including, for example, such documentation items defining the need
for OCM policies, strategies, processes, procedures and other process assets.
b) Management processes (see Clause 6):
1) the aim of this layer is to describe processes that cover the management of organizational
change for an entire change scenario, or change project;
2) this layer comprises the following processes:
i) change scenario process;
ii) interested party identification process;
iii) intervention definition process.
c) Implementation processes (see Clause 7):
1) the aim of this layer is to describe generic processes for performing OCM implementation;
2) the implementation processes include:
i) issue identification process;
ii) affected interested party identification process;
iii) affected interested party identification process;
iv) change management reporting.
The layers of the OCM process model comprise varying numbers of OCM processes, as shown in Figure 2.
Figure 2 — Multi-layer model showing all OCM processes
4
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SIST-TS ISO/TS 10020:2022
ISO/TS 10020:2022(E)
5 Governance process
5.1 General
The governance process is used to develop and manage organizational changes.
The governance process typically applies to the OCM activities across the whole organization (i.e. they
are not project based).
An OCM policy and OCM strategy are examples of documented information supporting this process.
The governance process is generic and can be used to develop and manage other non-project specific
documents, such as a programme OCM strategy that applies to a number of related projects.
The OCM policy can be used to describe the purpose, goals and overall scope of OCM within the
organization. It establishes OCM practices and provides a framework for establishing, reviewing and
continually improving the governance process.
The OCM strategy describes how the change management is performed within the organization. It
is generic documented information that provides guidelines for a number of change projects in the
organization and is not specific to any change project.
Figure 3 shows the governance process in a typical situation where it has been applied to create
and maintain both an organization’s OCM policy and OCM strategy. As Figure 3 illustrates, the two
activities continually interact with each other. The OCM strategy needs to align with the OCM policy.
Feedback from this activity is provided back to the OCM policy for possible improvement. Similarly, the
management processes being used on each of the change projects within the organization need to align
with the OCM strategy (and policy), and feedback from the management of these change projects is
used to improve the OCM strategy and policy.
Figure 3 — Example OCM policy/strategy improvement
5
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SIST-TS ISO/TS 10020:2022
ISO/TS 10020:2022(E)
5.2 Process
The governance process comprises activities for the creation, review and maintenance of OCM policy
and strategy, and related documentation items.
5.3 Purpose
The purpose of the governance process is to direct the organization in the achievement of its vision,
mission, strategy and goals related to OCM, through assuring the definition of related objectives, policy
and strategy.
5.4 Outcomes
As a result of the successful implementation of the governance process:
— the conte
...
TECHNICAL ISO/TS
SPECIFICATION 10020
First edition
2022-08
Quality management systems —
Organizational change management
— Processes
Systèmes de management de la qualité — Gestion du changement
organisationnel — Processus
Reference number
ISO/TS 10020:2022(E)
© ISO 2022
---------------------- Page: 1 ----------------------
ISO/TS 10020:2022(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2022
All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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 either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
© ISO 2022 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/TS 10020:2022(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Organizational change management concepts . 2
4.1 General . 2
4.2 Organizations and interested parties . 2
4.3 Conditions under which organizational change is likely to take place . 2
4.4 OCM process perspective . 3
4.5 Process model. 3
5 Governance process . .5
5.1 General . 5
5.2 Process . 6
5.3 Purpose . 6
5.4 Outcomes . 6
5.5 Developing OCM policy and strategy . 6
5.6 Documented information . 6
6 Management processes . 7
6.1 General . 7
6.2 Change scenario process . 7
6.2.1 General . 7
6.2.2 Purpose . 7
6.2.3 Outcomes . 7
6.2.4 Activities and tasks . 8
6.2.5 Documented information . 8
6.3 Interested party identification process . 9
6.3.1 General . 9
6.3.2 Purpose . 9
6.3.3 Outcomes . 9
6.3.4 Activities and tasks . 9
6.3.5 Documented information . 9
6.4 Intervention definition process . 9
6.4.1 General . 9
6.4.2 Purpose . 10
6.4.3 Outcomes . 10
6.4.4 Activities and tasks . 10
6.4.5 Documented information . 10
7 Implementation processes .11
7.1 General . 11
7.2 Issue identification process . 11
7.2.1 General . 11
7.2.2 Purpose . 11
7.2.3 Outcomes . 11
7.2.4 Activities and tasks . 11
7.2.5 Documented information .12
7.3 Affected interested party identification process .12
7.3.1 General .12
7.3.2 Purpose .12
7.3.3 Outcomes . 12
7.3.4 Activities and tasks .13
7.3.5 Documented information . 13
iii
© ISO 2022 – All rights reserved
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ISO/TS 10020:2022(E)
7.4 Affected interested party intervention process . 13
7.4.1 General .13
7.4.2 Purpose .13
7.4.3 Outcomes . 13
7.4.4 Activities and tasks . 14
7.4.5 Documented information . 14
7.5 Change management reporting process . 14
7.5.1 General . 14
7.5.2 Purpose . 15
7.5.3 Outcomes . 15
7.5.4 Activities and tasks .15
7.5.5 Documented information . 15
8 Measuring affected interested party intervention progress on the change matrix .16
8.1 The change matrix. 16
8.2 Rating the change matrix position . 18
8.3 Aggregation of affected interested parties change matrix positions to higher levels . 18
8.3.1 General . 18
8.3.2 Change matrix cell aggregation problem . 18
8.3.3 Change matrix cell aggregation models . 19
Annex A (informative) Process documentation items .21
Annex B (informative) Generic sections definition .29
Annex C (informative) Comparison between this document and ISO 9001 .31
Bibliography .41
iv
© ISO 2022 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/TS 10020:2022(E)
Foreword
ISO (the International Organization 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 established 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.
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
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 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 explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO’s adherence to
the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see
www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 176, Quality management and quality
assurance, Subcommittee SC 3, Supporting technologies.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
v
© ISO 2022 – All rights reserved
---------------------- Page: 5 ----------------------
ISO/TS 10020:2022(E)
Introduction
The purpose of this document is to describe processes for organizational change management (OCM)
that can be used by organizations when undertaking any form of OCM. It comprises process descriptions
that elaborate the OCM processes.
Since OCM is a key approach to risk-mitigation in organizational development, this document follows
a risk-based approach. Risk-based change management is a best-practice approach to strategizing
and managing organizational change, as it allows changes to be prioritized and focused on the most
important needs and opportunities.
Each process is described using the generic process template provided in ISO/IEC/IEEE 24774:2021,
and covers the purpose, outcomes, activities, tasks and information items of each process.
Documentation items to be produced by the OCM processes are provided in Annexes A and B.
Annex C provides a high-level cross-reference between the clauses of this document and the clauses of
ISO 9001.
This document aims to provide OCM practitioners with the information required to manage and
perform OCM in organizations.
vi
© ISO 2022 – All rights reserved
---------------------- Page: 6 ----------------------
TECHNICAL SPECIFICATION ISO/TS 10020:2022(E)
Quality management systems — Organizational change
management — Processes
1 Scope
This document specifies processes that can be used to govern, manage and implement organizational
change management (OCM) for organizations, projects or smaller activities. It comprises generic
process descriptions that describe the OCM processes. Supporting diagrams describing the processes
are also provided.
This document is applicable, but not limited, to change sponsors, change agents, change team members
and project managers, particularly those responsible for governing, managing and implementing
organizational change.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
aggregation model
combined view of the current state of organizational change
Note 1 to entry: The combined view presents the positions of interested parties (3.3) on the change matrix (3.2).
3.2
change matrix
two-dimensional array showing the relationship between product or service realization stages and
organizational change stages
Note 1 to entry: The product or service realization stages are presented on the x-axis and organizational change
stages on the y-axis.
3.3
interested party
stakeholder
person or organization that can affect, be affected by, or perceive itself to be affected by a decision or
activity
EXAMPLE Customers, owners, people in an organization, providers, bankers, regulators, unions, partners or
society that can include competitors or opposing pressure groups.
[SOURCE: ISO 9000:2015, 3.2.3]
1
© ISO 2022 – All rights reserved
---------------------- Page: 7 ----------------------
ISO/TS 10020:2022(E)
3.4
intervention
process through which the behaviour of an organization is changed
3.5
organizational change management
OCM
organizational change processes by which organizations implement their organizational change
strategy to adapt to the environment and improve business performance
Note 1 to entry: Organizational change is a process that allows organizations to adapt to the environment and
improve business performance and thus contribute to the implementation of the organizational change strategy.
Note 2 to entry: The important elements that distinguish organizational change are:
a) it focuses on the human and social aspect of the organization in conjunction with the technological and
structural elements;
b) it focuses on the culture of the organization;
c) it encourages collaboration between the organization’s leaders and members.
4 Organizational change management concepts
4.1 General
Any change or transition from one state to another state can result in risks and opportunities to the
organization.
The activities associated with OCM can be implemented with or without the support of a documented
management system. Where a management system is based on an ISO Management System Standard,
there is likely to be an established process for implementing changes in a planned manner. This should
assist in managing risks and opportunities associated with OCM.
4.2 Organizations and interested parties
For understanding the needs and expectations of interested parties, the organization determines the
following, in accordance with its applicable policy and strategy identified in the governance process, as
appropriate:
a) the interested parties that are relevant;
b) the needs and expectations of these interested parties;
c) which of these needs and expectations become obligations.
4.3 Conditions under which organizational change is likely to take place
The following model can be useful for identifying situations in which organizational change is likely to
take place, although other driving forces can also be applicable.
The factors in this conceptual model are as follows:
— D = There is dissatisfaction when there is a situation that people want to change.
— V = People share a reasonably clear vision of a future situation that is both better and achievable.
— F = The action plan to achieve the vision is acceptable and sets out the first steps to be taken.
— R = The combined strength of the three factors above (i.e. D × V × F) is greater than the existing
resistance to change.
2
© ISO 2022 – All rights reserved
---------------------- Page: 8 ----------------------
ISO/TS 10020:2022(E)
If the first three factors are present and the result of multiplying these three factors exceeds the
[5]
resistance to change, then meaningful organizational change is likely to take place.
Because D, V and F are multiplied, if any value is absent (zero) or low, then the product will be zero or
low and therefore not capable of overcoming the resistance.
The key factors, D, V, F and R are evaluated for impact in the context of each identified interested party,
in the first instance, and secondly in terms of the specific concern (i.e. issue) that is under consideration.
In most situations, the relationship between interested parties and issues is likely to be complex, and
requires a detailed analysis in order to properly identify these relationships.
4.4 OCM process perspective
A management system comprises processes. For example, ISO 9001:2015 describes the expectations of
how processes are to be supported in the context of the quality management.
In this document, ISO/IEC/IEEE 24774 is used to support the description of each OCM process.
Processes are described in terms of:
— process title;
— process purpose;
— process outcomes;
— process activities;
— process tasks;
— process controls and constraints;
— process documented information (expected outputs of the process).
4.5 Process model
This document groups the OCM activities into three process groups, as shown in Figure 1. Each of the
processes within those groups is described in terms of its purpose and desired outcomes, and lists
activities and tasks which need to be performed.
Figure 1 — Multi-layer process model
3
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ISO/TS 10020:2022(E)
The aim of each layer is as follows:
a) Governance process (see Clause 5):
1) the aim of this layer is to describe a process for the creation and maintenance of the OCM
governance framework, including, for example, such documentation items defining the need
for OCM policies, strategies, processes, procedures and other process assets.
b) Management processes (see Clause 6):
1) the aim of this layer is to describe processes that cover the management of organizational
change for an entire change scenario, or change project;
2) this layer comprises the following processes:
i) change scenario process;
ii) interested party identification process;
iii) intervention definition process.
c) Implementation processes (see Clause 7):
1) the aim of this layer is to describe generic processes for performing OCM implementation;
2) the implementation processes include:
i) issue identification process;
ii) affected interested party identification process;
iii) affected interested party identification process;
iv) change management reporting.
The layers of the OCM process model comprise varying numbers of OCM processes, as shown in Figure 2.
Figure 2 — Multi-layer model showing all OCM processes
4
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ISO/TS 10020:2022(E)
5 Governance process
5.1 General
The governance process is used to develop and manage organizational changes.
The governance process typically applies to the OCM activities across the whole organization (i.e. they
are not project based).
An OCM policy and OCM strategy are examples of documented information supporting this process.
The governance process is generic and can be used to develop and manage other non-project specific
documents, such as a programme OCM strategy that applies to a number of related projects.
The OCM policy can be used to describe the purpose, goals and overall scope of OCM within the
organization. It establishes OCM practices and provides a framework for establishing, reviewing and
continually improving the governance process.
The OCM strategy describes how the change management is performed within the organization. It
is generic documented information that provides guidelines for a number of change projects in the
organization and is not specific to any change project.
Figure 3 shows the governance process in a typical situation where it has been applied to create
and maintain both an organization’s OCM policy and OCM strategy. As Figure 3 illustrates, the two
activities continually interact with each other. The OCM strategy needs to align with the OCM policy.
Feedback from this activity is provided back to the OCM policy for possible improvement. Similarly, the
management processes being used on each of the change projects within the organization need to align
with the OCM strategy (and policy), and feedback from the management of these change projects is
used to improve the OCM strategy and policy.
Figure 3 — Example OCM policy/strategy improvement
5
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ISO/TS 10020:2022(E)
5.2 Process
The governance process comprises activities for the creation, review and maintenance of OCM policy
and strategy, and related documentation items.
5.3 Purpose
The purpose of the governance process is to direct the organization in the achievement of its vision,
mission, strategy and goals related to OCM, through assuring the definition of related objectives, policy
and strategy.
5.4 Outcomes
As a result of the successful implementation of the governance process:
— the context of the organization, including the expectations of its relevant interested parties, with
respect to OCM are understood and analysed;
— the scope of OCM system activities are described, taking the context of the organization into
consideration;
— the OCM system policy and objectives are described;
— the OCM system and operational process strategy is determined;
— commitment and leadership in regard to establishing, maintaining and improving this process is
demonstrated.
5.5 Developing OCM policy and strategy
The following activities and tasks should be implemented in accordance with applicable organization
policies and procedures with respect to the governance process, as appropriate.
The development of OCM policy and strategy consists of the following tasks:
— top management demonstrates leadership and commitment by ensuring that the OCM policy
and objectives are established and are compatible with the context and strategic direction of the
organization;
— obligations to support the objectives of the organizational
...
TECHNICAL ISO/TS
SPECIFICATION 10020
First edition
Quality management systems —
Organizational change management
— Processes
Systèmes de management de la qualité — Gestion du changement
organisationnel — Processus
PROOF/ÉPREUVE
Reference number
ISO/TS 10020:2022(E)
© ISO 2022
---------------------- Page: 1 ----------------------
ISO/TS 10020:2022(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2022
All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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 either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
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ISO/TS 10020:2022(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Organizational change management concepts . 2
4.1 General . 2
4.2 Organizations and interested parties . 2
4.3 Conditions under which organizational change is likely to take place . 2
4.4 OCM process perspective . 3
4.5 Process model. 3
5 Governance process . .5
5.1 General . 5
5.2 Process . 6
5.3 Purpose . 6
5.4 Outcomes . 6
5.5 Developing OCM policy and strategy . 6
5.6 Documented information . 6
6 Management processes . 7
6.1 General . 7
6.2 Change scenario process . 7
6.2.1 General . 7
6.2.2 Purpose . 7
6.2.3 Outcomes . 7
6.2.4 Activities and tasks . 8
6.2.5 Documented information . 8
6.3 Interested party identification process . 9
6.3.1 General . 9
6.3.2 Purpose . 9
6.3.3 Outcomes . 9
6.3.4 Activities and tasks . 9
6.3.5 Documented information . 9
6.4 Intervention definition process . 9
6.4.1 General . 9
6.4.2 Purpose . 10
6.4.3 Outcomes . 10
6.4.4 Activities and tasks . 10
6.4.5 Documented information . 10
7 Implementation processes .11
7.1 General . 11
7.2 Issue identification process . 11
7.2.1 General . 11
7.2.2 Purpose . 11
7.2.3 Outcomes . 11
7.2.4 Activities and tasks . 11
7.2.5 Documented information .12
7.3 Affected interested party identification process .12
7.3.1 General .12
7.3.2 Purpose .12
7.3.3 Outcomes . 12
7.3.4 Activities and tasks .13
7.3.5 Documented information . 13
iii
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ISO/TS 10020:2022(E)
7.4 Affected interested party intervention process . 13
7.4.1 General .13
7.4.2 Purpose .13
7.4.3 Outcomes . 13
7.4.4 Activities and tasks . 14
7.4.5 Documented information . 14
7.5 Change management reporting process . 14
7.5.1 General . 14
7.5.2 Purpose . 15
7.5.3 Outcomes . 15
7.5.4 Activities and tasks .15
7.5.5 Documented information . 15
8 Measuring affected interested party intervention progress on the change matrix .16
8.1 The change matrix. 16
8.2 Rating the change matrix position . 18
8.3 Aggregation of affected interested parties change matrix positions to higher levels . 18
8.3.1 General . 18
8.3.2 Change matrix cell aggregation problem . 18
8.3.3 Change matrix cell aggregation models . 19
Annex A (informative) Process documentation items .21
Annex B (informative) Generic sections definition .29
Annex C (informative) Comparison between this document and ISO 9001 .31
Bibliography .41
iv
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ISO/TS 10020:2022(E)
Foreword
ISO (the International Organization 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 established 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.
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
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 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 explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO’s adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see www.iso.org/
iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 176, Quality management and quality
assurance, Subcommittee SC 3, Supporting technologies.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
v
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ISO/TS 10020:2022(E)
Introduction
The purpose of this document is to describe processes for organizational change management (OCM)
that can be used by organizations when undertaking any form of OCM. It comprises process descriptions
that elaborate the OCM processes.
Since OCM is a key approach to risk-mitigation in organizational development, this document follows
a risk-based approach. Risk-based change management is a best-practice approach to strategizing
and managing organizational change, as it allows changes to be prioritized and focused on the most
important needs and opportunities.
Each process is described using the generic process template provided in ISO/IEC/IEEE 24774:2021,
and covers the purpose, outcomes, activities, tasks and information items of each process.
Documentation items to be produced by the OCM processes are provided in Annexes A and B.
Annex C provides a high-level cross-reference between the clauses of this document and the clauses of
ISO 9001.
This document aims to provide OCM practitioners with the information required to manage and
perform OCM in organizations.
vi
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TECHNICAL SPECIFICATION ISO/TS 10020:2022(E)
Quality management systems — Organizational change
management — Processes
1 Scope
This document specifies processes that can be used to govern, manage and implement organizational
change management (OCM) for organizations, projects or smaller activities. It comprises generic
process descriptions that describe the OCM processes. Supporting diagrams describing the processes
are also provided.
This document is applicable, but not limited, to change sponsors, change agents, change team members
and project managers, particularly those responsible for governing, managing and implementing
organizational change.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
aggregation model
combined view of the current state of organizational change
Note 1 to entry: The combined view presents the positions of interested parties (3.3) on the change matrix (3.2).
3.2
change matrix
two-dimensional array showing the relationship between product or service realization stages and
organizational change stages
Note 1 to entry: The product or service realization stages are presented on the x-axis and organizational change
stages on the y-axis.
3.3
interested party
stakeholder
person or organization that can affect, be affected by, or perceive itself to be affected by a decision or
activity
EXAMPLE Customers, owners, people in an organization, providers, bankers, regulators, unions, partners or
society that can include competitors or opposing pressure groups.
[SOURCE: ISO 9000:2015, 3.2.3]
1
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ISO/TS 10020:2022(E)
3.4
intervention
process through which the behaviour of an organization is changed
3.5
organizational change management
OCM
organizational change processes by which organizations implement their organizational change
strategy to adapt to the environment and improve business performance
Note 1 to entry: Organizational change is a process that allows organizations to adapt to the environment and
improve business performance and thus contribute to the implementation of the organizational change strategy.
Note 2 to entry: The important elements that distinguish organizational change are:
a) it focuses on the human and social aspect of the organization in conjunction with the technological and
structural elements;
b) it focuses on the culture of the organization;
c) it encourages collaboration between the organization’s leaders and members.
4 Organizational change management concepts
4.1 General
Any change or transition from one state to another state can result in risks and opportunities to the
organization.
The activities associated with OCM can be implemented with or without the support of a documented
management system. Where a management system is based on an ISO Management System Standard,
there is likely to be an established process for implementing changes in a planned manner. This should
assist in managing risks and opportunities associated with OCM.
4.2 Organizations and interested parties
For understanding the needs and expectations of interested parties, the organization determines the
following, in accordance with its applicable policy and strategy identified in the governance process, as
appropriate:
a) the interested parties that are relevant;
b) the needs and expectations of these interested parties;
c) which of these needs and expectations become obligations.
4.3 Conditions under which organizational change is likely to take place
The following model can be useful for identifying situations in which organizational change is likely to
take place, although other driving forces can also be applicable.
The factors in this conceptual model are as follows:
— D = There is dissatisfaction when there is a situation that people want to change.
— V = People share a reasonably clear vision of a future situation that is both better and achievable.
— F = The action plan to achieve the vision is acceptable and sets out the first steps to be taken.
— R = The combined strength of the three factors above (i.e. D × V × F) is greater than the existing
resistance to change.
2
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ISO/TS 10020:2022(E)
If the first three factors are present and the result of multiplying these three factors exceeds the
[5]
resistance to change, then meaningful organizational change is likely to take place.
Because D, V and F are multiplied, if any value is absent (zero) or low, then the product will be zero or
low and therefore not capable of overcoming the resistance.
The key factors, D, V, F and R are evaluated for impact in the context of each identified interested party,
in the first instance, and secondly in terms of the specific concern (i.e. issue) that is under consideration.
In most situations, the relationship between interested parties and issues is likely to be complex, and
requires a detailed analysis in order to properly identify these relationships.
4.4 OCM process perspective
A management system comprises processes. For example, ISO 9001:2015 describes the expectations of
how processes are to be supported in the context of the quality management.
In this document, ISO/IEC/IEEE 24774 is used to support the description of each OCM process.
Processes are described in terms of:
— process title;
— process purpose;
— process outcomes;
— process activities;
— process tasks;
— process controls and constraints;
— process documented information (expected outputs of the process).
4.5 Process model
This document groups the OCM activities into three process groups, as shown in Figure 1. Each of the
processes within those groups is described in terms of its purpose and desired outcomes, and lists
activities and tasks which need to be performed.
Figure 1 — Multi-layer process model
3
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ISO/TS 10020:2022(E)
The aim of each layer is as follows:
a) Governance process (see Clause 5):
1) the aim of this layer is to describe a process for the creation and maintenance of the OCM
governance framework, including, for example, such documentation items defining the need
for OCM policies, strategies, processes, procedures and other process assets.
b) Management processes (see Clause 6):
1) the aim of this layer is to describe processes that cover the management of organizational
change for an entire change scenario, or change project;
2) this layer comprises the following processes:
i) change scenario process;
ii) interested party identification process;
iii) intervention definition process.
c) Implementation processes (see Clause 7):
1) the aim of this layer is to describe generic processes for performing OCM implementation;
2) the implementation processes include:
i) issue identification process;
ii) affected interested party identification process;
iii) affected interested party identification process;
iv) change management reporting.
The layers of the OCM process model comprise varying numbers of OCM processes, as shown in Figure 2.
Figure 2 — Multi-layer model showing all OCM processes
4
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ISO/TS 10020:2022(E)
5 Governance process
5.1 General
The governance process is used to develop and manage organizational changes.
The governance process typically applies to the OCM activities across the whole organization (i.e. they
are not project based).
An OCM policy and OCM strategy are examples of documented information supporting this process.
The governance process is generic and can be used to develop and manage other non-project specific
documents, such as a programme OCM strategy that applies to a number of related projects.
The OCM policy can be used to describe the purpose, goals and overall scope of OCM within the
organization. It establishes OCM practices and provides a framework for establishing, reviewing and
continually improving the governance process.
The OCM strategy describes how the change management is performed within the organization. It
is generic documented information that provides guidelines for a number of change projects in the
organization and is not specific to any change project.
Figure 3 shows the governance process in a typical situation where it has been applied to create
and maintain both an organization’s OCM policy and OCM strategy. As Figure 3 illustrates, the two
activities continually interact with each other. The OCM strategy needs to align with the OCM policy.
Feedback from this activity is provided back to the OCM policy for possible improvement. Similarly, the
management processes being used on each of the change projects within the organization need to align
with the OCM strategy (and policy), and feedback from the management of these change projects is
used to improve the OCM strategy and policy.
Figure 3 — Example OCM policy/strategy improvement
5
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ISO/TS 10020:2022(E)
5.2 Process
The governance process comprises activities for the creation, review and maintenance of OCM policy
and strategy, and related documentation items.
5.3 Purpose
The purpose of the governance process is to direct the organization in the achievement of its vision,
mission, strategy and goals related to OCM, through assuring the definition of related objectives, policy
and strategy.
5.4 Outcomes
As a result of the successful implementation of the governance process:
— the context of the organization, including the expectations of its relevant interested parties, with
respect to OCM are understood and analysed;
— the scope of OCM system activities are described, taking the context of the organization into
consideration;
— the OCM system policy and objectives are described;
— the OCM system and operational process strategy is determined;
— commitment and leadership in regard to establishing, maintaining and improving this process is
demonstrated.
5.5 Developing OCM policy and strategy
The following activities and tasks should be implemented in accordance with applicable organization
policies and procedures with respect to the governance process, as appropriate.
The development of OCM policy and strategy consists of the following tasks:
— top management demonstrates leadership and commitment by ensuring that the OCM policy
and objectives are established and are
...
© ISO 2022 — All rights reserved
ISO/PRF TS 10020:2022(E)
Date: 2022-05-1807-12
ISO TC 176/SC 3/WG 28
Secretariat: NEN
Quality Management Systems management systems —
Organizational Change Management change management —
Processes
Systèmes de gestion de la qualité — Gestion du changement organisationnel — Processus
---------------------- Page: 1 ----------------------
ISO/PRF TS 10020:2022(E)
© ISO 2022
All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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 either ISO at the address below or ISO’s member body in the
country of the requester.
ISO Copyright Office
CP 401 • CH-1214 Vernier, Geneva
Phone: + 41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland.
ii © ISO 2022 — All rights reserved
---------------------- Page: 2 ----------------------
ISO/PRF TS 10020:2022(E)
Contents Page
Foreword . v
Introduction . vii
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Organizational change management concepts . 2
4.1 General . 2
4.2 Organizations and interested parties . 3
4.3 Conditions under which organizational change is likely to take place . 3
4.4 OCM process perspective . 3
4.5 Process model . 4
5 Governance process . 6
5.1 General . 6
5.2 Process . 8
5.3 Purpose . 8
5.4 Outcomes . 8
5.5 Developing OCM policy and strategy . 8
5.6 Documented information . 8
6 Management processes . 9
6.1 General . 9
6.2 Change scenario process . 9
6.2.1 General . 9
6.2.2 Purpose . 9
6.2.3 Outcomes . 9
6.2.4 Activities and tasks . 10
6.2.5 Documented information . 10
6.3 Interested party identification process . 11
6.3.1 General . 11
6.3.2 Purpose . 11
6.3.3 Outcomes . 11
6.3.4 Activities and tasks . 11
6.3.5 Documented information . 11
6.4 Intervention definition process . 12
6.4.1 General . 12
6.4.2 Purpose . 12
6.4.3 Outcomes . 12
6.4.4 Activities and tasks . 12
6.4.5 Documented information . 12
7 Implementation processes . 13
7.1 General . 13
7.2 Issue identification process . 13
7.2.1 General . 13
7.2.2 Purpose . 13
7.2.3 Outcomes . 13
7.2.4 Activities and tasks . 14
7.2.5 Documented information . 14
7.3 Affected interested party identification process . 14
© ISO 2022 — All rights reserved iii
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ISO/PRF TS 10020:2022(E)
7.3.1 General . 14
7.3.2 Purpose . 15
7.3.3 Outcomes . 15
7.3.4 Activities and tasks . 15
7.3.5 Documented information . 15
7.4 Affected interested party intervention process . 16
7.4.1 General . 16
7.4.2 Purpose . 16
7.4.3 Outcomes . 16
7.4.4 Activities and tasks . 16
7.4.5 Documented information . 17
7.5 Change management reporting process . 17
7.5.1 General . 17
7.5.2 Purpose . 17
7.5.3 Outcomes . 17
7.5.4 Activities and tasks . 17
7.5.5 Documented information . 18
8 Measuring affected interested party intervention progress on the change matrix . 18
8.1 The change matrix . 18
8.2 Rating the change matrix position . 21
8.3 Aggregation of affected interested parties change matrix positions to higher levels . 21
8.3.1 General . 21
8.3.2 Change matrix cell aggregation problem . 22
8.3.3 Change matrix cell aggregation models . 22
Annex A (informative) Process documentation items . 25
Annex B (informative) Generic sections definition . 34
Annex C (informative) Comparison between this document and ISO 9001 . 36
Bibliography . 51
iv © ISO 2022 — All rights reserved
---------------------- Page: 4 ----------------------
ISO/PRF TS 10020:2022(E)
Foreword
ISO (the International Organization 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 established 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.
International StandardsThe 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 editorial rules given inof the ISO/IEC Directives, Part 2 (see
www.iso.org/directives.).
The main task of technical committees is to prepare International Standards. Draft International
Standards adopted by the technical committees are circulated to the member bodies for voting.
Publication as an International Standard requires approval by at least 75 % of the member bodies casting
a vote.
In other circumstances, particularly when there is an urgent market requirement for such documents, a
technical committee may decide to publish other types of normative document:
— an ISO Publicly Available Specification (ISO/PAS) represents an agreement between technical
experts in an ISO working group and is accepted for publication if it is approved by more than 50 %
of the members of the parent committee casting a vote;
— an ISO Technical Specification (ISO/TS) represents an agreement between the members of a
technical committee and is accepted for publication if it is approved by 2/3 of the members of the
committee casting a vote.
An ISO/PAS or ISO/TS is reviewed after three years in order to decide whether it will be confirmed for a
further three years, revised to become an International Standard, or withdrawn. If the ISO/PAS or ISO/TS
is confirmed, it is reviewed again after a further three years, at which time it must either be transformed
into an International Standard or be withdrawn.
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 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 explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO’s adherence to the World
Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see
www.iso.org/iso/foreword.html.
ISO/TS 10020This document was prepared by Technical Committee ISO/TC 176, Quality management
and quality assurance, Subcommittee SC 3, Supporting technologies.
© ISO 2022 — All rights reserved v
---------------------- Page: 5 ----------------------
ISO/PRF TS 10020:2022(E)
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
vi © ISO 2022 — All rights reserved
---------------------- Page: 6 ----------------------
ISO/PRF TS 10020:2022(E)
Introduction
The purpose of this document is to describe processes for organizational change management (OCM) that
can be used by organizations when undertaking any form of OCM. It comprises process descriptions that
elaborate the OCM processes.
Supporting informative diagrams describing the processes are provided.
Since OCM is a key approach to risk-mitigation in organizational development, this document follows a
risk-based approach. Risk-based change management is a best-practice approach to strategizing and
managing organizational change, as it allows changes to be prioritized and focussedfocused on the most
important needs and opportunities.
Each process is described using the generic process template provided in ISO/IEC/IEEE 24774:2021, and
covers the purpose, outcomes, activities, tasks and information items of each process.
Documentation items to be produced by the OCM processes are provided in Annexes A and B.
Annex C provides a high-level cross-reference between the clauses of this document and the clauses of
ISO 9001 Quality management systems —Requirements .
This document aims to provide OCM practitioners with the information required to manage and perform
OCM in organizations.
© ISO 2022 — All rights reserved vii
---------------------- Page: 7 ----------------------
TECHNICAL SPECIFICATION ISO/PRF TS 10020:2022(E)
Quality management systems — Organizational change
management — Processes
1 Scope
This document specifies processes that can be used to govern, manage and implement organizational
change management (OCM) for organizations, projects or smaller activities. It comprises generic process
descriptions that describe the OCM processes. Supporting informative diagrams describing the processes
are also provided.
This document is intended forapplicable, but not limited, to change sponsors, change agents, change team
members, and project managers, particularly those responsible for governing, managing and
implementing organizational change.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 9000:2015 Quality management systems — Fundamentals and vocabulary
ISO 9001:2015 Quality management systems ─ Requirements
ISO/IEC/IEEE 24774:2021 Systems and software engineering — Life cycle management — Specification
for process description
There are no normative references in this document.
3 Terms and Definitionsdefinitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminologicalterminology databases for use in standardization at the following
addresses:
— ISO Online browsing platform: available at https://www.iso.org/obp
— IEC Electropedia: available at https://www.electropedia.org/
3.1
aggregation model
combined view of the current state of organizational change
NOTENote 1 to entry: The combined view presents the positions of interested parties (3.3) on the change matrix
(3.2).
3.2
change matrix
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two-dimensional array showing the relationship between product or service realisationrealization stages
and organizational change stages
NOTENote 1 to entry: The product or service realisationrealization stages are presented on the x-axis and
organizational change stages on the y-axis.
3.3
interested party
stakeholder
person or organization that can affect, be affected by, or perceive itself to be affected by a decision or
activity
EXAMPLE Customers, owners, people in an organization, providers, bankers, regulators, unions, partners or
society that can include competitors or opposing pressure groups.
[SOURCE: ISO 9000:2015, 3.2.3]
3.4
intervention
process through which the behaviour of an organization is changed
3.5
organizational change management
OCM
organizational change processes by which organizations implement their organizational change strategy
to adapt to the environment and improve business performance
Note 1 to entry: Organizational change is a process that allows organizations to adapt to the environment and
improve business performance and thus contribute to the implementation of the organizational change strategy.
Note 2 to entry: The important elements that distinguish organizational change are:
a) Focusesit focuses on the human and social aspect of the organization in conjunction with the technological and
structural elements.;
b) Focusesit focuses on the culture of the organization.;
c) Encouragesit encourages collaboration between organizationthe organization’s leaders and members.
3.6
OCM
organizational change management system for managing organizational change
74 Organizational Change Management change management concepts
7.1 Introduction
4.1 General
Any change or transition from one state to another state can result in risks and opportunities to the
organization.
The activities associated with OCM can be implemented with or without the support of a documented
management system. Where a management system is based on an ISO Management System Standard,
there is likely to be an established process for implementing changes in a planned manner. This should
assist in managing risks and opportunities associated with OCM.
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7.24.2 Organizations and stakeholders (interested parties)
For understanding the needs and expectations of interested parties, the organization determines the
following, in accordance with its applicable policy and strategy identified in the Governancegovernance
process, as appropriate:
a) the interested parties that are relevant;
b) the needs and expectations of these interested parties;
c) which of these needs and expectations become obligations.
7.34.3 Conditions under which organizational change is likely to take place
The following model can be useful for identifying situations in which organizational change is likely to
take place, although other driving forces can also may be applicable.
The factors in this conceptual model are as follows:
— D = There is dissatisfaction when there is a situation that people want to change.
— V = People share a reasonably clear vision of a future situation that is both better and achievable.
— F = The action plan to achieve the vision is acceptable and sets out the first steps to be taken.
— R = The combined strength of the three factors above (i.e. D × V × F) is greater than the existing
resistance to change.
If the followingfirst three factors are present and the result of multiplying thethese three factors exceeds
[25]
the resistance to change, then meaningful organizational change is likely to take place.
The factors in this conceptual model are:
D = There is dissatisfaction when there is a situation that people want to change.
V = People share a reasonably clear vision of a future situation that is both better and achievable.
F = The action plan to achieve the vision is acceptable and sets out the first steps to be taken.
R = The combined strength of the three factors above (i.e. D x V x F) is greater than the existing
resistance to change.
Because D, V, and F are multiplied, if any value is absent (zero) or low, then the product will be zero or
low and therefore not capable of overcoming the resistance.
The key factors, D, V and, F, and R are evaluated for impact in the context of each identified interested
party, in the first instance, and secondly in terms of the specific concern (i.e. issue,) that is under
consideration.
In most situations, the relationship between interested parties and issues is likely to be complex, and
requires a detailed analysis in order to properly indentifyidentify these relationships.
7.44.4 OCM processProcess perspective
A management system is comprised ofcomprises processes. For example, ISO 9001:2015 describes the
expectations of how processes are to be supported in the context of the quality management.
In this document, ISO/IEC/IEEE 24774 is used to support the description of each OCM process.
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Processes are described in terms of:
— process title;
— process purpose;
— process outcomes;
— process activities;
— process tasks;
— process controls and constraints;
— process documented information (expected outputs of the process).
7.54.5 Process model
This document groups the OCM activities into three process groups, as shown in Figure 1. Each of the
processes within those groups is described in terms of its purpose and desired outcomes, and lists
activities and tasks which need to be performed.
Figure 1 — Multi-layer process model
The aim of each layer is as follows:
a) Governance process; (see Clause 5):
1) the aim of this layer is to describe a process for the creation and maintenance of the OCM
governance framework, including, for example, such documentation items defining the need for
OCM policies, strategies, processes, procedures, and other process assets.
b) Management processes; (see Clause 6):
1) the aim of this layer is to describe processes that cover the management of organizational change
for an entire change scenario, or change project;
2) This this layer comprises the following processes:
i) Change Scenariochange scenario process;
ii) Interested Party Identificationinterested party identification process;
iii) Intervention Definitionintervention definition process.
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c) Implementation processes; (see Clause 7):
1) the aim of this layer is to describe generic processes for performing OCM implementation. ;
2) The Implementationthe implementation processes include:
i) Issue Identificationissue identification process;
ii) Affected Interested Party Identificationaffected interested party identification process;
iii) Affected Interested Party Interventionaffected interested party identification process;
iv) Change Management Reporting.change management reporting.
Governance process
Management processes
Implementation processes
Figure The multi-layer process model
The layers of the OCM process model comprise varying numbers of OCM processes, as shown in Figure 2.
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Figure 2 — The multiMulti-layer model showing all OCM processes
85 Governance process
8.15.1 General
8.2 Introduction
The Governancegovernance process is used to develop and manage organizational changes.
The Governancegovernance process typically applies to the OCM activities across the whole organization
(i.e. they are not project -based).
An OCM Policypolicy and OCM Strategystrategy are examples of documented information supporting this
process.
The Governancegovernance process is generic and can be used to develop and manage other non-project
specific documents, such as a Programmeprogramme OCM Strategystrategy that applies to a number of
related projects.
The OCM Policypolicy can be used to describe the purpose, goals, and overall scope of OCM within the
organization. It establishes OCM practices and provides a framework for establishing, reviewing and
continually improving the Governancegovernance process.
The OCM Strategystrategy describes how the change management is performed within the organization.
It is generic documented information that provides guidelines for a number of change projects in the
organization and is not specific to any change project.
Figure 3 shows the Governancegovernance process in a typical situation where it has been applied to
create and maintain both an organization’s OCM Policypolicy and OCM Strategystrategy. As
Figure 3 illustrates, the two activities continually interact with each other. The OCM Strategystrategy
needs to align with the OCM Policypolicy. Feedback from this activity is provided back to the OCM
Policypolicy for possible improvement. Similarly, the Managementmanagement processes being used on
each of the change projects within the organization need to align with the OCM Strategystrategy (and
Policypolicy), and feedback fro
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