BS ISO 21505-2017 Project programme and portfolio management Guidance on governance《项目 方案和组合管理 治理指南》.pdf

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1、Project, programme and portfolio management Guidance on governanceBS ISO 21505:2017BSI Standards PublicationWB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06 ISO 2017Project, programme and portfolio management Guidance on governanceManagement de projets, programmes et portefeuilles Recommanda

2、tions sur la gouvernanceINTERNATIONAL STANDARDISO21505First edition2017-03Reference numberISO 21505:2017(E)Corrected version2017-05National forewordThis British Standard is the UK implementation of ISO 21505:2017.The UK participation in its preparation was entrusted to Technical Committee MS/2, Proj

3、ect, programme and portfolio management.A list of organizations represented on this committee can be obtained on request to its secretary.This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. The British Standards

4、Institution 2017 Published by BSI Standards Limited 2017ISBN 978 0 580 86828 3ICS 03.100.40Compliance with a British Standard cannot confer immunity from legal obligations.This British Standard was published under the authority of the Standards Policy and Strategy Committee on 30 June 2017.Amendment

5、s/corrigenda issued since publicationDate Text affectedBRITISH STANDARDBS ISO 21505:2017 ISO 2017Project, programme and portfolio management Guidance on governanceManagement de projets, programmes et portefeuilles Recommandations sur la gouvernanceINTERNATIONAL STANDARDISO21505First edition2017-03Re

6、ference numberISO 21505:2017(E)Corrected version2017-05BS ISO 21505:2017ISO 21505:2017(E)ii ISO 2017 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2017, Published in SwitzerlandAll rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise

7、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 ISOs member body in the country of the requester.ISO copyright officeCh. de

8、Blandonnet 8 CP 401CH-1214 Vernier, Geneva, SwitzerlandTel. +41 22 749 01 11Fax +41 22 749 09 47copyrightiso.orgwww.iso.orgBS ISO 21505:2017ISO 21505:2017(E)ii ISO 2017 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2017, Published in SwitzerlandAll rights reserved. Unless otherwise specified,

9、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 ISOs mem

10、ber body in the country of the requester.ISO copyright officeCh. de Blandonnet 8 CP 401CH-1214 Vernier, Geneva, SwitzerlandTel. +41 22 749 01 11Fax +41 22 749 09 47copyrightiso.orgwww.iso.orgISO 21505:2017(E)Foreword vIntroduction vi1 Scope . 12 Normative references 13 Terms and definitions . 14 Con

11、text 24.1 Organizational governance . 24.2 Governing bodies 34.3 Differences between governance and management . 35 Governance of projects, programmes and portfolios . 35.1 General . 35.2 Values 45.3 Principles . 45.4 Guidelines for the governance of projects, programmes and portfolios . 45.4.1 Gene

12、ral 45.4.2 Guidelines 45.4.3 Performance of projects, programmes and portfolios 55.4.4 Sustainability and ethics . 55.4.5 Stakeholders 55.4.6 Management policies . 65.5 Framework . 65.5.1 General 65.5.2 Governance interfaces . 75.5.3 Implementation and maintenance of the governance framework . 86 Go

13、vernance of projects. 86.1 General . 86.2 Project governing body 96.3 Guidelines for the governance of projects . 96.3.1 General 96.3.2 Project management policy . 106.3.3 Risk .106.3.4 Project decision gates .106.3.5 Stakeholders . 106.3.6 Project audit, review or assurance 106.3.7 Sustainability a

14、nd statutory requirements 106.3.8 Reporting . 106.4 Framework 107 Governance of programmes .117.1 General 117.2 Programme governing body . 117.3 Guidelines for the governance of programmes 127.3.1 General. 127.3.2 Programme management policy . 127.3.3 Risk .137.3.4 Programme decision gates . 137.3.5

15、 Stakeholders . 137.3.6 Programme audit, review or assurance 137.3.7 Sustainability and statutory requirements 137.3.8 Reporting . 137.4 Framework 138 Governance of portfolios .14 ISO 2017 All rights reserved iiiContents PageBS ISO 21505:2017ISO 21505:2017(E)8.1 General 148.2 Portfolio governing bod

16、y . 148.3 Guidelines for the governance of portfolios . 158.3.1 General. 158.3.2 Portfolio management policy . 158.3.3 Risk .158.3.4 Stakeholders . 168.3.5 Portfolio audit or review 168.3.6 Sustainability and statutory requirements 168.3.7 Reporting . 168.4 Framework 16Annex A (informative) Implemen

17、tation, continuous improvement and sustainment of the governance framework .18Bibliography .20iv ISO 2017 All rights reservedBS ISO 21505:2017ISO 21505:2017(E)8.1 General 148.2 Portfolio governing body . 148.3 Guidelines for the governance of portfolios . 158.3.1 General. 158.3.2 Portfolio managemen

18、t policy . 158.3.3 Risk .158.3.4 Stakeholders . 168.3.5 Portfolio audit or review 168.3.6 Sustainability and statutory requirements 168.3.7 Reporting . 168.4 Framework 16Annex A (informative) Implementation, continuous improvement and sustainment of the governance framework .18Bibliography .20iv ISO

19、 2017 All rights reserved ISO 21505:2017(E)ForewordISO (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

20、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 Electr

21、otechnical 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

22、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 hel

23、d 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 informat

24、ion given for the convenience of users and does not constitute an endorsement.For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the World Trade Organization (WTO)

25、 principles in the Technical Barriers to Trade (TBT) see the following URL: www .iso .org/ iso/ foreword .html.This document was prepared by Technical Committee ISO/TC 258, Project, programme and portfolio management.This corrected version of ISO 21505:2017 incorporates the correct Figure 5. ISO 201

26、7 All rights reserved vBS ISO 21505:2017ISO 21505:2017(E)IntroductionThis document describes the context of, and guidelines for, the governance of projects, programmes and portfolios.The governance of projects, programmes and portfolios includes, but is not limited to, areas of governance that relat

27、e to projects, programmes and portfolios. Organizations can use this document for the governance of any one or all of their projects, programmes, or portfolios.This document is intended to be used by any organization and any group of organizations for projects, programmes or portfolios of any size a

28、nd complexity, but might require tailoring to the specific needs of the organization. In addition, this document is designed to provide guidance for governing bodies and for executive and senior management that can have governance responsibilities within their organizations.This document refers to t

29、he governance of projects, governance of programmes and governance of portfolios, which is intended to be interchangeable with the terms project governance, programme governance and portfolio governance. However, the governance for a single project or programme can differ from the governance of mult

30、iple projects or programmes.Following the guidelines for governance of projects, programmes and portfolios identified in this document can contribute to: improved accountability and transparency; improved engagement with stakeholders; reduced organizational risk; increased likelihood of achieving su

31、stainable results, benefits and enhanced opportunities; improved communication; improved clarity regarding values, ethics, and guiding principles.vi ISO 2017 All rights reservedBS ISO 21505:2017ISO 21505:2017(E)IntroductionThis document describes the context of, and guidelines for, the governance of

32、 projects, programmes and portfolios.The governance of projects, programmes and portfolios includes, but is not limited to, areas of governance that relate to projects, programmes and portfolios. Organizations can use this document for the governance of any one or all of their projects, programmes,

33、or portfolios.This document is intended to be used by any organization and any group of organizations for projects, programmes or portfolios of any size and complexity, but might require tailoring to the specific needs of the organization. In addition, this document is designed to provide guidance f

34、or governing bodies and for executive and senior management that can have governance responsibilities within their organizations.This document refers to the governance of projects, governance of programmes and governance of portfolios, which is intended to be interchangeable with the terms project g

35、overnance, programme governance and portfolio governance. However, the governance for a single project or programme can differ from the governance of multiple projects or programmes.Following the guidelines for governance of projects, programmes and portfolios identified in this document can contrib

36、ute to: improved accountability and transparency; improved engagement with stakeholders; reduced organizational risk; increased likelihood of achieving sustainable results, benefits and enhanced opportunities; improved communication; improved clarity regarding values, ethics, and guiding principles.

37、vi ISO 2017 All rights reserved Project, programme and portfolio management Guidance on governance1 ScopeThis document describes the context in which the governance of projects, programmes and portfolios is conducted and provides guidance for the governance of projects, programmes and portfolios. Th

38、is document can also be used for assessment, assurance or verification of the governance function for projects, programmes or portfolios.NOTE Throughout this document, the term “portfolio” is used to mean “project and programme portfolio” and the term “programme” is used to mean a “programme of inte

39、rrelated projects and other related work”.This document is intended for governing bodies and executive and senior management who influence, impact or make decisions regarding the governance of projects, programmes and portfolios. It is also intended to provide guidance to those who direct projects,

40、programmes and portfolios, such as sponsors, steering committees, portfolio owners and the project management office.It also can be used by project, programme and portfolio managers, as well as stakeholders involved in the development and implementation of projects, programmes and portfolios. Other

41、audiences who can have an interest in this topic include those advising, informing, assisting or working within projects, programmes and portfolios.2 Normative referencesThere are no normative references in this document.3 Terms and definitionsFor the purposes of this document, the following terms a

42、nd definitions apply.ISO and IEC maintain terminological databases for use in standardization at the following addresses: ISO Online browsing platform: available at h t t p :/ www .iso .org/ obp IEC Electropedia: available at h t t p :/ www .electropedia .org/ 3.1governanceprinciples, policies and f

43、ramework by which an organization is directed and controlled3.2stakeholderperson, group or organization that has interests in, or can affect, can be affected by, or perceive itself to be affected by, any aspect of a project, programme, portfolio or the organizations governance3.3riskuncertain event

44、or set of events with a potential positive or negative impact3.4benefitcreated advantage, value or other positive effectINTERNATIONAL STANDARD ISO 21505:2017(E) ISO 2017 All rights reserved 1BS ISO 21505:2017ISO 21505:2017(E)3.5governing bodyperson, group or entity accountable for the governance of

45、an organization, organizations or a part of an organization4 Context4.1 Organizational governanceOrganizational governance is the directing of a permanent or temporary organization through the establishment of the governance framework. Governing bodies, executive and senior management have the respo

46、nsibility for governing their organization to achieve both accountability and performance.An organizations governance is based on the specific priorities of the organization and spans across the range of sometimes conflicting stakeholder interests and may be influenced by the wider governance enviro

47、nment.The elements of organizational governance that address projects, programmes and portfolios should be: an integrated part of the permanent or temporary organizations overall governance framework; designed to support the organizations principles, values and strategic objectives; designed to opti

48、mize the benefits created by investing resources in selected projects, programmes and portfolios.One possible relationship between organizational governance and governance of projects, programmes and portfolios is shown in Figure 1.2 ISO 2017 All rights reservedBS ISO 21505:2017ISO 21505:2017(E)3.5g

49、overning bodyperson, group or entity accountable for the governance of an organization, organizations or a part of an organization4 Context4.1 Organizational governanceOrganizational governance is the directing of a permanent or temporary organization through the establishment of the governance framework. Governing bodies, executive and senior management have the responsibility for governing their organization to achieve both accountability and performance.An organizations governance is based on the specif