Iso 44002-2019

INTERNATIONAL ISO
STANDARD 44002
First edition
2019-10
Collaborative business relationship

management systems — Guidelines on
the implementation of ISO 44001
Systèmes de management collaboratif d'une relation d'affaire —
Lignes directrices pour l'implementation de l'ISO 44001
Reference number
ISO 44002:2019(E)
© ISO 2019
ISO 44002:2019(E)
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ii © ISO 2019 – All rights reserved

ISO 44002:2019(E)
Contents Page
Foreword ...................................................................................................................................................................................................................................... vii

Introduction ............................................................................................................................................................................................................................ viii
1 Scope ................................................................................................................................................................................................................................. 1
2 Normative references ...................................................................................................................................................................................... 1
3 Terms, definitions and abbreviated terms ................................................................................................................................ 2
3.1 Terms and definitions ....................................................................................................................................................................... 2
3.2 Abbreviated terms ............................................................................................................................................................................... 2
4 Context of the organization ....................................................................................................................................................................... 2
4.1 Understanding the organization and its context ....................................................................................................... 2
4.1.1 What: summary o f the intent ................................................................................................................................ 2
4.1.2 Why: explanation o f relevance ............................................................................................................................. 2
4.1.3 How: implementation guidance ......................................................................................................................... 2
4.2 Understanding the needs and expectations o f stakeholders .......................................................................... 3
4.3 Determining the scope o f the collaborative business relationship management system ...... 3
4.4 Collaborative business relationship management system ................................................................................ 4
4.5 Creation o f value .................................................................................................................................................................................... 4
5 Leadership .................................................................................................................................................................................................................. 5
5.1 Leadership and commitment ..................................................................................................................................................... 5
5.2 Policy ............................................................................................................................................................................................................... 6
5.3 Organization roles, responsibilities and authorities .............................................................................................. 7
5.3.1 Top management ............................................................................................................................................................. 7
5.3.2 Establishment o f an organizational governance structure ......................................................... 7
5.3.3 Senior executive responsible ................................................................................................................................. 8
6 Planning......................................................................................................................................................................................................................... 9
6.1 Actions to address risks and opportunities ................................................................................................................... 9
6.2 Collaborative business relationship objectives and planning to achieve them ............................... 9
6.2.3 How: implementation guidance ...................................................................................................................... 10
6.3 Identification and prioritization o f collaborative business relationships ........................................ 10
6.3.1 General................................................................................................................................................................................... 10
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ISO 44002:2019(E)
6.3.2 Identification o f opportunities for collaboration .............................................................................. 11

7 Support ........................................................................................................................................................................................................................ 12
7.1 Resources .................................................................................................................................................................................................. 12
7.1.1 What: summary o f the intent ............................................................................................................................. 12
7.1.2 Why: explanation o f relevance .......................................................................................................................... 12
7.2 Competence and behaviour ...................................................................................................................................................... 13
7.3 Awareness ................................................................................................................................................................................................ 14
7.4 Communication ................................................................................................................................................................................... 14
7.5 Documented information ............................................................................................................................................................ 15
7.5.1 General................................................................................................................................................................................... 15
7.5.2 Creating and updating .............................................................................................................................................. 15
7.5.3 Control o f documented information ............................................................................................................ 15
7.5.4 Record o f collaborative competencies ....................................................................................................... 16
7.5.5 Corporate RMP ............................................................................................................................................................... 16
8 Operation .................................................................................................................................................................................................................. 17
8.1 Operational planning and control ....................................................................................................................................... 17
8.2 Operational awareness (Stage 1) ......................................................................................................................................... 17
8.2.1 General................................................................................................................................................................................... 17
8.2.2 Duties o f SER .................................................................................................................................................................... 18
8.2.3 Application and validation o f operational governance structure ....................................... 18
8.2.4 Identification o f operational objectives and value .......................................................................... 19
8.2.5 Establishment o f value analysis process .................................................................................................. 19
8.2.6 Identification and prioritization o f collaborative business relationships ................... 20
8.2.7 Development o f competencies and behaviour .................................................................................... 20
8.2.8 Initial risk assessment ............................................................................................................................................. 21
8.2.9 Establishment o f the RMP ..................................................................................................................................... 22
8.3 Knowledge (Stage 2) ....................................................................................................................................................................... 23
8.3.1 General................................................................................................................................................................................... 23
8.3.2 Strategy and business case................................................................................................................................... 24
8.3.3 Identification o f key individuals' competence and behaviour............................................... 27
8.3.4 Knowledge management ....................................................................................................................................... 27
8.3.5 Supply chain and extended enterprise risks and opportunities .......................................... 29
8.3.6 Implementation o f risk management process .................................................................................... 29
8.3.7 Evaluation o f the business case........................................................................................................................ 31
8.3.8 Incorporation o f knowledge into the RMP ............................................................................................. 32
8.4 Internal assessment (Stage 3) ................................................................................................................................................ 32
8.4.1 General................................................................................................................................................................................... 32
8.4.2 Capability and environment for collaboration .................................................................................... 33
8.4.3 Assessment o f strengths and weaknesses .............................................................................................. 33
8.4.4 Assessment o f collaborative profile ............................................................................................................. 34
8.4.5 Appointment o f collaborative leadership ................................................................................................ 35
8.4.6 Definition o f partner selection criteria ...................................................................................................... 36
8.4.7 Implementation o f the RMP ................................................................................................................................ 37
8.5 Partner selection (Stage 4) ........................................................................................................................................................ 38
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ISO 44002:2019(E)
8.5.1 General................................................................................................................................................................................... 38
8.5.2 Nomination o f potential collaborative partners ................................................................................ 38
8.5.3 Partner evaluation and selection .................................................................................................................... 39
8.5.4 Development o f engagement and negotiation strategy for collaboration ................... 40
8.5.5 Initial engagement with potential partners .......................................................................................... 41
8.5.6 Assessment o f joint objectives .......................................................................................................................... 41
8.5.7 Assessment o f joint exit strategy .................................................................................................................... 42
8.5.8 Selection o f pre ferred partners ........................................................................................................................ 42
8.5.9 Initiation o f joint RMP .............................................................................................................................................. 43
8.6 Working together (Stage 5) ....................................................................................................................................................... 43
8.6.1 General................................................................................................................................................................................... 43
8.6.2 Establishment o f the joint governance structure ............................................................................. 44
8.6.3 Joint knowledge management process ...................................................................................................... 49
8.6.4 Establish joint risk management process ............................................................................................... 50
8.6.5 Operational process and systems review ................................................................................................ 51
8.6.6 Measurement o f delivery and performance .......................................................................................... 52
8.6.7 Improvement o f organizational collaborative competence ..................................................... 52
8.6.8 Establishment o f a joint issue resolution process ............................................................................ 54
8.6.9 Establishment o f a joint exit strategy ......................................................................................................... 55
8.6.10 Agreements or contracting arrangements ............................................................................................. 57
8.6.11 Establishment and implementation o f the joint RMP ................................................................... 60
8.7 Value creation (Stage 6) ............................................................................................................................................................... 60
8.7.1 General................................................................................................................................................................................... 60
8.7.2 Establishment o f the value creation process ........................................................................................ 61
8.7.3 Identification o f improvement and setting o f targets ................................................................... 62
8.7.4 Use o f learning from experience ..................................................................................................................... 63
8.7.5 Updating o f the joint RMP ..................................................................................................................................... 64
8.8 Staying together (Stage 7) .......................................................................................................................................................... 64
8.8.1 General................................................................................................................................................................................... 64
8.8.2 Oversight by the SERs ............................................................................................................................................... 65
8.8.3 Management o f the joint relationship ........................................................................................................ 65
8.8.4 Implementation o f monitoring o f behaviour and trust indicators .................................... 66
8.8.5 Continual value creation ........................................................................................................................................ 68
8.8.6 Delivery o f joint objectives ................................................................................................................................... 68
8.8.7 Analysis o f results ........................................................................................................................................................ 69
8.8.8 Issue resolution.............................................................................................................................................................. 69
8.8.9 Maintenance o f the joint exit strategy ........................................................................................................ 70
8.8.10 Maintenance o f the joint RMP ........................................................................................................................... 71
8.9 Exit strategy activation (Stage 8) ......................................................................................................................................... 72
8.9.1 General................................................................................................................................................................................... 72
8.9.2 Initiation o f disengagement ................................................................................................................................ 73
8.9.3 Business continuity .................................................................................................................................................... 73
8.9.4 Evaluation o f the relationship ........................................................................................................................... 74
8.9.5 Future opportunities ................................................................................................................................................. 75
8.9.6 Review and updating o f the RMPs ................................................................................................................. 75
9 Performance evaluation ............................................................................................................................................................................ 76
9.1 Monitoring, measurement, analysis and evaluation ............................................................................................ 76
9.1.1 General................................................................................................................................................................................... 76
9.1.2 Exit evaluation ................................................................................................................................................................ 76
9.2 Internal audit......................................................................................................................................................................................... 77
9.2.1 General................................................................................................................................................................................... 77
9.2.2 Conduct internal audits/planning and maintaining audit programmes ...................... 77
9.3 Management review ........................................................................................................................................................................ 78
10 Improvement ......................................................................................................................................................................................................... 78
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ISO 44002:2019(E)
1 0.1 N o nco n fo rmity and co rrective actio n ..............................................................................................................................

78
1 0.1 .1 What: s ummary o f the intent .............................................................................................................................

78
1 0.1 .2 Why: exp lanatio n o f relevance ..........................................................................................................................

79
1 0.1 .3 H o w: imp lementatio n guidance ......................................................................................................................

79
1 0.2 C o ntinual imp rovement ...............................................................................................................................................................

79
1 0.2 .1 What: s ummary o f the intent .............................................................................................................................

79
1 0.2 .2 Why: exp lanatio n o f relevance ..........................................................................................................................

79
1 0.2 .3 H o w: imp lementatio n guidance ......................................................................................................................

79
Bibliography ............................................................................................................................................................................................................................. 80
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ISO 44002:2019(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation o f national standards
bodies (ISO member bodies). The work o f preparing International Standards is normally carried out
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ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters o f
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 di fferent approval criteria needed for the
di fferent types o f ISO documents should be noted. This document was dra fted in accordance with the
editorial rules o f the ISO/IEC Directives, Part 2 (see www.iso .org/directives).
Attention is drawn to the possibility that some o f the elements o f this document may be the subject o f
patent rights. ISO shall not be held responsible for identi fying any or all such patent rights. Details o f
any patent rights identified during the development o f the document will be in the Introduction and/or
on the ISO list o f patent declarations received (see www.iso .org/patents).
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constitute an endorsement.
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expressions related to con formity assessment, as well as in formation 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 286, Collaborative business relationship
management .
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing o f these bodies can be found at www.iso .org/members .html.
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ISO 44002:2019(E)
Introduction
0.1 General
T h i s do c u ment provide s gu idance that s upp or ts the e ffe c tive i mplementation o f I S O 4 4 0 01 i n order
to e s tabl i sh and i mprove col lab orative bu s i ne s s rel ation sh ip management s ys tem s (C B RM S s) in
organ i z ation s o f a l l s i ze s . T h i s do c u ment contai n s no add itiona l re qu i rements . I t i s ai me d at re aders
who s e ek to gai n i n- dep th knowle dge and u nders tand i ng ab out the re qu i rements i n I S O 4 4 0 01 , e . g. for
the pur p o s e o f a id i ng an organ i z ation’s i mplementation pro ce s s .
T he c a s e for the s ign i fica nt bu s i ne s s va lue a nd b enefits to b e derive d from col lab orati ve worki ng was
made i n I S O 4 4 0 01 .
This do c u ment has b e en develop e d u s i ng p an-i ndu s tr y bes t prac tice, i nclud i ng e arly adop ters of
I S O 4 4 0 01 . I t i s i ntende d to help organ i z ation s u nders tand why e ach element o f I S O 4 4 0 01 i s i mp or tant,
and to re com mend appro ache s to b e ta ken for prac tic a l i mplementation . H ow to me e t the re qui rements
has to b e i nd ividua l ly eva luate d a nd appl ie d i n the contex t o f e ach orga ni z ation .
In ISO 4 4 0 01 , the mu lti- d i men s iona l natu re o f col lab orati ve relation s h ip s was s p e c i fie d . M any o f
the s e relation s h ip s h ave an outwa rd fo c u s , empha s i z i ng the i mp or tance o f col lab oration i n managi ng
d i fferent go a l s , obj e c tive s , e xp e c tation s , c u ltu re s and b eh aviou rs b e twe en organ i z ation s .
C ol l ab oration c an a l s o b e u s e d to fo c us on i nterna l i nter face s to op ti m i z e exi s ti ng ac tivitie s , con s ol idate
i nterna l change s or to s p e e d up the pro ce s s o f i ntegration duri ng acqu i s ition s and mergers . I n the s e
ci rc u m s ta nce s , the gu idance i n th i s do c u ment i s a l s o relevant. I n a col lab orative relation sh ip, e ffe c tive
op eration rel ie s on s p e ci fic mutua l ly agre e d j oi nt obj e c tive s , s tr uc tu re s , re s ou rce s , pro ce s s e s , role s
and re s p on s ibi l itie s and c an re qu i re s p e ci fic va riation s to e s tabl i she d pro ce s s e s . T he s truc tu re o f
th i s do c u ment h as b e en develop e d to a l ign with ISO 4 4 0 01 , u s i ng the h igh level s truc tu re (H L S )
for management s ys tem s s tandard s (M S S ) . In developi ng a s tandard for col lab orative bu s i ne s s
relation s h ip s , the de tai le d s p e c i fic re qu i rements for e s tab l i sh i ng , developi ng a nd managi ng th i rd-
p ar ty relation sh ip s uti l i z i ng the eight- s tage l i fe c ycle mo del (s e e Figure 1 ) have b e en add re s s e d with i n
C lau s e 8 (O p eration s) . I n a col lab orative relation sh ip, e ffe c tive op eration rel ie s on s p e ci fic mutua l ly
agre e d j oi nt i nter face s , pro ce s s e s , role s and re s p on s ibi l itie s a nd c a n re qu i re s p e ci fic variation s to
e s tabl i s he d pro ce s s e s .
Figure 1 — Relationship between corporate and operational systems
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ISO 44002:2019(E)
0.2 How to use this guidance

This document has been structured so that the clause numbering mirrors those used for the
corresponding clauses in ISO 44001.
The stages described in Clause 8 are introduced by commentary that explains more about the purpose
and aims o f each stage. A flowchart is included to illustrate the path through the steps within each stage.
Each box within the flowchart represents both the clauses contained in ISO 44001 and the supporting
clauses in this document.
Each o f the subclauses is structured in the same simple format as follows:
a) first, a summary o f the intent o f the corresponding clause in ISO 44001;
b) then, an explanation o f the relevance and importance o f supporting the development o f e ffective
collaborative working;
c) finally, guidance on how to implement the matching clause in ISO 44001, e.g. suggested approaches
and areas for consideration.
Where appropriate, the clauses are supported by tables, figures and models and methods that can be
used in implementation.
For clarity and increased understanding, it is recommended that ISO 44001 and this document are read
together. Further use ful in formation is provided in the annexes to ISO 44001.
It could appear that certain requirements in ISO 44001 are duplicated. However, in these cases they are
a reflection o f the evolution o f processes throughout the relationship li fe cycle. The HLS describes those
requirements that occur at an organizational level, while the subclauses in Clause 8 describe similar
requirements that apply to a specific collaboration.
The guidance provided by this document enables the integration o f the ISO 44001 framework into an
organization’s established operations, activities, processes and procedures to optimize the benefits
o f collaboration between organizations. In this context, the adoption o f this collaborative approach
enhances and does not detract from the obligations and responsibilities agreed between the parties
and its application is commensurate to the size and complexity o f the organizations involved.
The following additional considerations are included to support requirements and third-party
engagements.
0.3 Common principles of relationship management
0.3.1 The life cycle framework
The li fe cycle framework addresses a number o f themes that cascade from the high-level management
system and vary within the context and maturity o f a specific relationship li fe cycle. These evolving
themes impact the behaviours and organizational culture o f collaborating organizations to ensure
they are e ffective, optimized and deliver enhanced benefit to the stakeholders through collaborative
approaches (see Figure 2).
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ISO 44002:2019(E)
Figure 2 — Overview of the principal components of successful collaborative business

relationships
I n the context o f col lab orati ve relation s h ip s , the l i fe c ycle mo del outl i ne s the key s tep s to a n e ffe c tive
ma nagement pro ce s s from concep t adop tion to d i s engagement. T he eight s tage s a re:
a) op erationa l awa rene s s: e s tabl i sh i ng the op eration's prop en s ity for col lab oration;
b) knowle dge: eva luati ng s p e c i fic col lab orative b enefits and bu s i ne s s c a s e;
c) i nterna l a s s e s s ment: a s s e s s i ng the op eration's c ap abi l ity to col lab orate;
d) p ar tner s ele c tion: e s tabl i sh i ng an appropriate s ele c tion pro ce s s;
e) worki ng to ge ther: e s tabl i s h i ng a j oi nt governa nce mo del for col lab oration;
f) va lue cre ation: e s tabl i sh i ng a j oi nt pro ce s s for conti nua l i mprovement;
g) s tayi ng to ge ther: managi ng , mon itori ng a nd me as u ri ng the relation sh ip over ti me;
h) exit s trate g y ac tivation: e s tabl i sh i ng a j oi nt appro ach to d i s engagement a nd/or future .
0.3.2 The sequence of stages

While C l au s e 8 fol lows an eight- s tage pro ce s s , it i s re co gn i ze d that the entr y p oi nt for any s p e c i fic
col lab orative relation sh ip c an va r y.
x © ISO 2019 – All rights reserved

INTERNATIONAL STANDARD ISO 44002:2019(E)
Collaborative business relationship management

systems — Guidelines on the implementation of ISO 44001
1 Scope
T h i s do c u ment give s gu idel i ne s for organ i z ation s on i mplementi ng I S O 4 4 0 01 (s e e Figure 3) in order
to ach ieve s ucce s s fu l col lab orative bu s i ne s s relation s h ip s , as wel l a s helpi ng orga ni z ation s u s e a nd
i mplement the fra mework s p e c i fic ation e ffe c tively.
T h i s do c u ment explai n s what i s i ntende d by e ach re qu i rement o f I S O 4 4 0 01 , why e ach i s i mp or ta nt, a nd
re com mend s appro ache s to ta ke for thei r prac tic a l i mplementation . H ow to me e t the re qu i rements i s
i nd ividua l ly eva luate d a nd appl ie d i n the contex t o f e ach organ i z ation .
T h i s do c ument i s appl ic able to any organ i z ation .
Figure 3 — High-level implementation flow for ISO 44001
2 Normative references
T he fol lowi ng do c u ments are re ferre d to i n the tex t i n s uch a way th at s ome or a l l o f thei r content
con s titute s re qu i rements o f th i s do c u ment. For date d re ference s , on ly the e d ition cite d app l ie s . For
u ndate d re ference s , the late s t e d ition o f the re ference d do c ument (i nclud i ng a ny amend ments) appl ie s .
I S O 4 4 0 01 : 2 017, Collaborative business relationship management systems — Requirements and framework
© ISO 2019 – All rights reserved 1

ISO 44002:2019(E)
3 Terms, definitions and abbreviated terms
3.1 Terms and definitions

For the purposes o f this document, the terms and definitions given in ISO 44001 apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https: //www.iso .org/obp
— IEC Electropedia: available at http: //www.electropedia .org/
3.2 Abbreviated terms
CBRMS collaborative business relationship management system

IPR intellectual property right
KPI key per formance indicator
MAP maturity assessment profile
OLA operating level agreement
RMP relationship management plan
SER senior executive responsible
SLA service level agreement
4 Context of the organization
4.1 Understanding the organization and its context

NOTE Further in formation on the context o f the organization can be found in ISO/TS 9002:2016, Clause 4.
4.1.1 What: summary of the intent

The organization should clearly establish the linkage between the activities, intended outcomes o f the
organization and the potential role for collaboration in supporting those outcomes.
4.1.2 Why: explanation of relevance
Collaboration might not be appropriate for all business relationships and the focus should be directed
to where it a collaborative relationship can add value. Organizations may find that working in a
collaborative relationship could introduce challenges to existing operating structures. It is there fore
essential that internal stakeholders see that collaborative working approaches overall are seen to be
beneficial.
4.1.3 How: implementation guidance
In many organizations the adoption o f collaborative working initiatives requires a strategic decision by
top management to ensure that, when appropriate, it is e ffectively integrated and supported throughout
its functions and teams.
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ISO 44002:2019(E)
4.2 Understanding the needs and expectations of stakeholders

The organization should identi fy its external stakeholders that can be a ffected by the adoption o f
collaborative working to ensure their needs and expectations are clearly understood.

The success ful adoption o f collaborative approaches should be anchored in the ability o f initiatives
to deliver defined objectives and outcomes that are integrated with those o f the organizations
and stakeholders involved. These might not always be fully aligned but should be, as a minimum,
complementary or neutral in terms o f the key objectives. It is also important to ensure these objectives
are reviewed at regular intervals to assess changes.
In some cases, a collaborative opportunity can be initiated by stakeholders or there can be a need to
meet stakeholder requirements through specialized partners or suppliers. The stakeholder can be part
o f the collaboration. In fact, an important aspect in optimizing per formance through collaboration is
that partners can interact directly with stakeholders and develop better stakeholder relationships. It is
also possible that the stakeholder's acceptance o f collaboration or o f specific collaborative partners can
be a crucial factor in developing the right approach.
The organization should identi fy all potential stakeholders, understand their needs and expectations and
develop a plan to address them. Stakeholder mapping is an established tool used in many organizations,
but this should extend beyond the traditional influencers and blockers to take into account all points o f
contact that can directly or indirectly influence collaborative initiatives and outcomes.
4.3 Determining the scope of the collaborative business relationship management

system

The organization should assess its strategic objectives and operational activities to identi fy where it is
appropriate or beneficial to implement and deploy a systemic approach to collaborative working.

An organization can have a wide variety o f external relationships where the potential for harnessing the
value o f collaborative working can be determined in di fferent ways. It may also require considerations
related to the size and complexity o f the organizations involved and outcomes.
When considering a collaborative working approach, there has to be a balance between the required
investment in time and resources together with the projected benefits to enhanced outcomes.
Segmenting current operational approaches will help to ensure e ffective targeting o f resources, while
at the same time evaluating market drivers. Where possible, the aspects that could be influenced by the
stakeholder should be identified. These can include:
a) the stakeholder's attitude to collaboration;
b) the stakeholder's pre ference for partners;
c) the risk o f working with multiple organizations;
d) contracting processes and legal constraints;

ISO 44002:2019(E)
e) availability o f suitable partners or suppliers;

f) timeline.
4.4 Collaborative business relationship management system

The organization should ensure that a CBRMS is established to support and sustain the scope o f the
organization's collaborative requirements and is e ffectively communicated, fully documented and
integrated with other management systems deployed by the organization.
Where collaborative relationships have been identified as key factors in achieving business objectives,
it is critical that the established collaborative management system and high-level processes are
maintained within the organization's existing operating systems. The failure o f potential beneficial
external collaborations can be traced back to these activities conflicting within established policies,
processes and practices.
A defined and documented portfolio o f collaborative systems and processes that are aligned with
existing management systems within the organization should be established. The portfolio should
be able to accommodate specific adaptations and changes when appropriate, including the ability to
e ffectively accommodate third-party processes.
4.5 Creation of value

The organization should assess where collaborative working can add value to ensure the appropriate
focus for investment and deployment o f resources to achieve maximum benefit. Collaborative working
can involve additional or specialized resources to achieve the desired objectives and to ensure a clear
focus on balancing investment and outcomes.

There are many types o f relationships and their potential to add value may be assessed in di fferent ways
depending on the desired outcomes, size and complexity o f the organization. Value can also be defined
in many di fferent ways, as is frequently the case for potential collaborative partners. It is crucial that
organizations are able to evaluate and articulate their projected value proposition and be able to align
it with partners.
As a starting point, the organization may consider assessing the expected value o f all existing and
potential relationships based on the overall organizational objectives and an assessment o f where a
collaborative approach is likely to deliver benefits (e.g. see Figure 4).
Value can be di fferent in a number o f similar cases or relationships. Identi fying these ensures that
collaborative initiatives are appropriately configured. These may include alternative priorities to
improve competitiveness, for example:
— enhancing the capability to respond to market demands;
— accessing new markets;

ISO 44002:2019(E)
— building alternative enhanced value propositions;

— driving innovation;
— augmenting resources;
— driving speed to market;
— improving risk profiles;
— cost reduction.
There may be multiple or singular drivers for any potential relationship, but these should be understood
so as to ensure that the engagement and management processes deployed remain focused on the
strategic outcomes and are not deflected.
NOTE A range o f relationships is explained in ISO 44001:2017, Annex F.
Figure 4 — Potential areas of collaboration and sources of potential value applications for
collaboration
5 Leadership
5.1 Leadership and commitment

The organization should ensure that there is clear and documented high-level support for the
deployment o f collaboration, when appropriate.
The commitment, authority, influence and oversight o f top management is essential for the overall
success o f collaborative working. Collaborative working can require additional resourcing or can a ffect
current operational processes, responsibilities and stakeholder management.
The organization should formally appoint a senior executive responsible (SER) for collaborative
working, with top management authority to provide high-level oversight for all associated activities.

ISO 44002:2019(E)
5.2 Policy

The organization should ensure the establishment o f defined policies and processes to implement and
manage collaborative working.

Defining policy should establish and embed collaborative concepts, approaches and behaviours in the
business relationship so that they are consistently applied and maintained across the organization.
Defining policy underpins sustainable success to deliver defined outcomes.
An organization’s policies and processes should support the strategic direction for collaboration and
evaluate how they accommodate a di fferent way o f working. All policies and processes should align
with the changing business environment and requirements. This starts with strategic direction
and objectives flowing down through the organization’s policies, processes and guidance, where
appropriate, to ensure consistent implementation. Over time, behaviours should remain aligned to the
agreed objectives and goals.
The policy for collaborative working should address the contents listed in Table 1. The organization
should review all other policies to ensure they do not conflict with a collaborative approach.
Table 1 — Policy development
Contents Comment
— Align with existing policies — Avoid contradictory policies
— Reflect the organization's visions and values — Underpin the ethos o f the organization
— Authorized by executive management — Clearly demonstrate executive mandate
— Reflect the organization's environment — Be appropriate for the business
— Use relevant language for the organization — Use language common for the organization
— Be understandable for all stakeholders — Be clear and concise
— Be linked to operational processes — Reflect the operational processes
— Recognize internal development needs — Address training and development needs
A holistic approach should be taken in order to take account o f the business environment, people,
per formance and the specific requirements o f the organization.
The organization should build on its existing policies and processes, which should be reviewed and
enhanced as appropriate to support collaborative working. The following questions, as a minimum,
should be asked to check whether new policies and processes are necessary.
a) Are the visions and values o f the organization compatible with a collaborative approach?
b) Does the business plan include objectives to be achieved through collaborative working?
c) Does corporate governance support collaborative working?
d) Can a collaborative initiative be implemented within the existing management structure?
e) Does the resource development programme include collaborative working?
f ) Does the current risk management process support collaborative working?

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g) D o e s the c u rrent knowle dge ma nagement pro ce s s s upp or t col lab orative worki ng?
h) D o e s the c u rrent i s s ue re s olution pro ce s s s upp or t col lab orative worki ng?
i) I s the orga n i z ation s tr uc tu re s u itable and able to provide the flexibi l ity for col lab orative worki ng?
5.3 Organization roles, responsibilities and authorities
5.3.1 Top management
5.3.1.1 What: summary of the intent

Top management s hou ld be vi s ibly com m itte d to the appl ic ation o f col l ab orative worki ng when
de s ignate d .
5.3.1.2 Why: explanation of relevance

Where two or more organ i z ation s b e come i nvolve d i n col lab orative worki ng , there i s l i kely to b e a ne e d
for s ome re -a l ign ment o f ac tivitie s and p o tentia l cha nge s to op erati ng prac tice s , wh ich cou ld a ffe c t
p er forma nce and b ehaviou rs . Top management's s upp or t a nd b ehaviour s e ts the tone for a l l s ta ff.
5.3.1.3 How: implementation guidance

Top management shou ld cle a rly de s ignate re s p on s ible s en ior le aders with the appropriate comp e tenc ie s ,
b ehaviours and authoritie s .
5.3.2 Establishment of an organizational governance structure

T he organ i z ation shou ld en s u re that, i n the c a s e o f col lab orative worki ng , there i s a cle arly defi ne d
op erati ng and ma nagement s tr uc ture that govern s its app l ic ation with i n the orga n i z ation .

T he i mplementation of col lab orative worki ng can re qu i re change s or adap tation to e s tabl i s he d
management s truc tu re s and re s p on s ibi l itie s .

T he governance s truc tu re e s tabl i she d , and the pro ce s s e s i mplemente d, s hou ld en s u re e ffe c tive
le aders h ip and management o f the col l ab orative relation sh ip (s) to ach ieve its (thei r) j oi nt obj e c ti ve s
with i n the fra mework o f agre e d va lue s . T he col l ab orative governance framework provide s an outl i ne
o f gu idel i ne s and pro ce s s e s th at enable s conti nua l mon itori ng and management o f col lab orative
relation sh ip s to s u s ta i n va lue del iver y b e twe en the p ar tie s . T he governa nce s truc tu re ca n b e de s c rib e d
as an appropriate forma l de ci s ion-ma ki ng framework to en s u re a l ign ment o f the bu s i ne s s ac tivitie s
and s trategie s o f the p ar tie s i nvolve d .
I n e s tabl i sh i ng the governance s tr uc ture, it shou ld b e ta i lore d to accom mo date the bu s i ne s s ne e d s o f
the p ar tie s ta ki ng i nto accou nt, for e xample:
a) organ i z ation, c u ltu re a nd b ehaviou rs;
b) complexity o f the bu s i ne s s ac tivitie s;
c) bu s i ne s s i mp ac t o f the ac tivitie s , e . g. s trate gic vers u s tra n s ac tiona l;
d) ge o graph ic a l coverage;

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e) corp orate management s tr uc tu re o f the p ar tie s' organ i z ation s , e . g. d ivi s ion s , bu s i ne s s , u n its ,
region s;
f) bu s i ne s s relation sh ip b e twe en the p ar tie s;
g) de ci s ion-ma ki ng pro ce s s e s with i n the organ i z ation .
T he governance s tr uc tu re shou ld:
— defi ne the orga n i z ation’s va lue s and c u ltu re for col lab oration;
— re co gn i z e the de s i re d s cop e o f col lab orative bu s i ne s s rel ation sh ip s (s e e 4.4 ) and the s ys tem s that
support them (see 4.5 );
— cl ari fy the organ i z ation’s obj e c tive s a nd, where appropriate, e s tabl i s h obj e c tive s for col lab oration
(see 6.2 , 8 . 2 .4 a nd 8 . 3 . 2 . 2 ) ;
— provide re s ou rce s for col l ab oration (s e e 7.1) ;
— defi ne pri mar y role s and re s p on s ibi l itie s for col l ab oration (s e e 8 . 6 . 2 . 5 ) ;
— en s u re that new role s and re s p on s ibi l itie s for col l ab oration are comp atible with genera l governance
arra ngements i n the re s t o f the organ i z ation;
— en s u re th at the o rga n i z atio n i s s u ffic ientl y p rep a re d fo r co l l ab o ratio n b e fo re co m m i tti n g to i t
(see 8 . 4 . 4) ;
— en s u re the e s tabl i sh ment o f an appropriate j oi nt governance s truc tu re (s e e 8 . 6 . 2 ) , i nclud i ng the
defi n ition o f j oi nt obj e c tive s that a re comp atible with the orga n i z ation’s obj e c tive s for col lab oration
(see 8.6.2 . 3);
— en s u re that va lue c re ation i n itiative s a re appropriately ta rge te d toward the ach ievement o f j oi nt
obj e c tive s (s e e 8 . 8) ;
— provide overs ight o f the management o f the j oi nt relation s h ip (s e e 8 . 8 . 2 a nd 8 . 8 . 3 ) ;
— en s u re th at the p er forma nce o f the j oi nt relation s h ip i s appropri ately ana lys e d and rep or te d wh i le
e xta nt (s e e 8 . 8 .7 ) and fol lowi ng e xit (s e e 8 .9.4) ;
— ens ure that audits are planned and provide obj ec tive in formation on the s tatus o f the C BRM S (see 9.2 );
— en s u re th at management reviews are pl an ne d and ta ke place, and ta ke ti mely de ci s ion s to en s u re
th at the C B RM S remai n s e ffe c tive (s e e 9.3 );
— en s u re th at arra ngements for management reviews are i nte grate d or comp atible with arrangements
for o ther bu s i ne s s ma nagement s ys tem s .
5.3.3 Senior executive responsible

For the e ffe c tive p er formance o f the C B RM S , the S E R s hou ld have a cle a r ma ndate a nd authority from
top management.

C ol l ab orative worki ng can re qui re i nterna l cha nge s to op erati ng prac tice s or re s ou rce s a nd c an
cro s s i nterna l fu nc tiona l b ou ndarie s where e xe c utive d i re c tion a nd s upp or t i s re qu i re d . I n add ition,
col lab orative s ys tem s ne e d exe c utive overs ight to en s u re thei r e ffe c tivene s s a nd, on o cc as ion s ,
ne ce s s itate h igh-level i s s ue re s olution .

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The appointment o f an SER should, in most cases, not require an additional person within the
organization. The role is generally assigned to a senior individual with executive support based on the
existing management structure, as appropriate to the operational requirements. In larger organizations,
the responsibilities o f the SER can be formally delegated in part to operational management, while
retaining overall responsibility for the collaborative management systems.
The primary responsibilities o f the SER should include:
a) maintaining the operational e ffectiveness o f the collaborative management system;
b) inter facing at a high level with external partners;
c) supporting the internal development o f processes, systems and people;
d) allocating resources;
e) overseeing, monitoring and reviewing collaborative operations and per formance;
f ) resolving issues, as appropriate:
g) developing collaborative competencies.
6 Planning
6.1 Actions to address risks and opportunities

The organization should review potential collaborative initiatives and identi fy both risks and
opportunities.
Adopting a collaborative approach can have far-reaching internal implications a ffecting systems,
processes and people associated with delivering outcomes. Identi fying risks and opportunities ensures
there is a sound basis for implementation.
The organization should undertake a robust review o f all risks and opportunities that can result in
impacts from a collaborative approach. It should document a business case be fore proceeding, so that
those involved fully understand the requirement and objectives.
6.2 Collaborative business relationship objectives and planning to achieve them

The organization should evaluate each potential collaborative relationship in the context o f the overall
business objectives.
Be fore launching a collaborative programme, it should be ensured that the objectives o f such an
arrangement warrant the investment. At the same time, by defining the value to be derived from a
collaborative relationship, the organization can validate its approach.

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T he organ i z ation shou ld e s tabl i s h a pro ce s s for u nder ta ki ng the s e eva luation s . T h i s c a n i nvolve a
varie ty o f con s ideration s , i nclud i ng:
a) fi na nc ia l b enefits a nd ri s k re duc tion;
b) i mprove d p er formance a nd e ffic ienc y;
c) e xtend i ng pro duc t or s er vice c ap abi l ity;
d) pro duc t development and i n novation;
e) i mprove d p er formance th rough b ehaviou ra l change .
6.3 Identification and prioritization o f collaborative business relationships
6.3.1 General

T he organ i z ation s hou ld en s u re there i s an e s tabl i s he d pro ce s s to identi fy tho s e rel ation sh ip s where
col lab oration c a n del iver adde d va lue .

No t all bu s i ne s s arrangements ne ce s s ari ly re qui re or b enefit from a col lab orative appro ach .
Tran s ac tiona l rel ation sh ip s are typic a l ly:
— no t long term;
— an exchange o f va lue s or a s s e ts;
— i ntro duce m i ni ma l comple xity.
Wh i le col l ab orative rel ation sh ip s are typic a l ly:
— longer term;
— va lue cre ati ng or as s e t i nte grati ng;
— i ntro duce more complexity.
T he rel ation sh ip b e twe en tran s ac tiona l a nd col l ab orative relation sh ip s i n shown i n Figure 5.

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Figure 5 — Transactional versus collaborative relationships

T he organ i z ation shou ld u nder ta ke a n a s s e s s ment o f e ach relation sh ip where col lab oration i s b ei ng
considered (see Figure 6 ) . Fac tors that i n fluence whe ther a col lab orative relation sh ip i s fitti ng o ften
i nclude, but a re no t l i m ite d to, co s t, complexity, ti me , c ritic a l ity, reputation a nd ri s k.
Figure 6 — Suggested approach to segmentation in business relationships
6.3.2 Identification o f opportunities for collaboration

T he orga ni z ation s hou ld e s tabl i s h a pro ce s s for the identi fic ation o f p o tenti a l opp or tun itie s that c an b e
derive d from a col lab orative appro ach .

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T he pu rp o s e i s to en s u re there i s a s ound b a s i s on wh ich to con s ider the c i rc u m s tance s and opp or tun itie s
that wou ld s upp or t the i nve s tment i n a col lab orative appro ach .

T he organ i z ation s hou ld con s ider the evolution o f rel ation sh ip s and thei r relative va lue a nd p o tenti a l
en h ancements . T h i s c an b e derive d from movi ng to a more col lab orative appro ach b y e s tabl i sh i ng an
appropriate s trateg y for development o f a s p e c i fic rel ation sh ip (s e e Figure 7 ).
Figure 7 — Development of relationship
7 Support
7.1 Resources

T he organ i z ation s hou ld en s u re that the C B RM S i s s u fficiently and appropri ately re s ou rce d .

T he fai lu re to provide s u ffic ient and/or appropriate a nd ti mely re s ou rce s i s a s ign i fic ant c au s e o f fai lu re
to ach ieve the ma nagement s ys tem obj e c tive s .

T h roughout the appl ic ation of I SO 4 4 0 01 , when a s s e s s i ng the re s ou rce s ne ce s s ar y to e s tabl i sh ,
i mplement, mai ntai n and conti nua l ly i mprove the C B RM S , the organ i z ation s hou ld con s ider the
cap abi l itie s o f b o th i nterna l a nd ex terna l re s ou rce s and the con s trai nts up on them .

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I n the conte xt o f a C B RM S , th i s c a n i nclude:
a) knowle dge, e . g. i n formation ab out c u rrent marke ts , p o tentia l p ar tners and c u rrent op eration s , to
a l low top management to unders ta nd and com m it to col lab oration on a s ou nd b as i s;
b) fi na nce, e . g. i nve s tment i n the p e ople, s tr uc tu re s , pro ce s s e s a nd s ys tem s to s upp or t j oi nt worki ng;
c) op erationa l management/s ta ff, e . g. p ers on nel with c ap acity and comp e tence to u nder ta ke the
add itiona l ta sks/pro ce s s e s re qu i re d b y a col lab orative relation s h ip;
d) ad m i ni s trative s upp or t, e . g. p ers on nel or faci l itie s to ma i nta i n do c u mente d i n formation (s e e 7. 5 ) or

to ma nage the knowle dge c re ate d (s e e 8 . 3 .4 a nd 8 .7.4) ;
e) c u ltu ra l envi ron ment, e . g. a s upp or tive s o c ia l and p s ycholo gic a l envi ron ment (s e e 8 .4. 2 ) ;
f) i n formation and com mu n ic ation s i n fras tr uc tu re, e . g. ha rdware and s o ftware to s upp or t the new
j oi nt op eration;
g) phys ic a l i n fra s truc tu re;
h) mon itori ng a nd me a s u ri ng to ol s/te ch n ique s , e . g. p er formance i nd ic ators and s ys tem s for the
me a s urement o f p er formance agai n s t j oi nt obj e c tive s (s e e 8 . 8 . 6 ) or for the mon itori ng o f b ehaviours
a nd tr u s t (s e e 8 . 8 .4) ;
i) aud it s upp or t, e . g. aud itors with bu s i ne s s management knowle dge or u nders ta nd i ng o f col lab oration
[see 7. 2 a nd 9.2.2 c)].

7.2 Competence and behaviour

T he orga n i z ation shou ld en s u re th at the ne ce s s a r y comp e tence a nd b ehaviou rs o f p ers on(s) doi ng work
u nder its control that a ffe c ts its col lab orative bu s i ne s s relation s h ip ma nagement p er formance has b e en
defi ne d a nd fo s tere d .

Tru s t is a fundamenta l face t o f any e ffe c tive col lab oration . Gai n i ng tru s t ac ro s s the p a r tie s is a
combi nation o f demon s trati ng comp e tence a nd i nte grity th rough b eh aviou rs . T hu s , p ol ic ie s , pro ce s s e s
and governance s hou ld b e conti nuou s ly rei n force d to en s u re op ti mu m p er forma nce and to mai nta i n a
s u s tai nab le and i mprovi ng relation s h ip . O p erati ng i n a col lab orative envi ron ment and i ntegrati ng with
ex terna l p ar tie s re qu i re s comp e tencie s and s ki l l s i n order to bu i ld a nd mai ntai n an envi ronment that
promo te s the appropriate b ehaviou rs th at u nderpi n the p er forma nce . Per forma nce i s cr uc i a l i n any
col lab orative relation s h ip i n term s o f mai ntai n i ng op ti m i z e d output and b ehaviou rs , s uch a s me e ti ng
obj e c tive s and obl igation s at a l l s tage s o f development and i mplementation .

T he organ i z ation shou ld e s tabl i sh an as s e s s ment o f the comp e tencie s and b ehaviou ra l pro fi le re qu i re d
to del iver the col lab orative obj e c tive s . I t shou ld e s tabl i s h trai n i ng a nd development pro ce s s e s that
i ncorp orate a fo c u s on col l ab orative worki ng. I n e s tabl i s h i ng an i n itia l b a s el i ne c ap abi l ity a s s e s s ment,
or re - a s s e s s i ng the c ap abi l ity to col l ab orate at a l ater s tage i n the rel ation sh ip, it i s i mp or ta nt that a
s ys tematic and proven evidence -b as e d appro ach i s under ta ken .
T he organ i z ation shou ld identi fy the s p e ci fic cha l lenge s , ri s ks and opp or tu n itie s for a given relation s h ip .
I t s hou ld e s tab l i s h the key comp e tencie s and b ehaviou rs that b e s t s er ve the s p e c i fic obj e c tive s a nd

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operating environment o f the relationship. It can also be valuable to identi fy which parties are required
to demonstrate those competencies.
NOTE 1 See ISO 44001:2017, 3.10, for the definition o f “competence”. ISO 44001:2017, Annex C, provides
general guidance on competencies that could be relevant to a given collaborative relationship and many o f the
behaviours that underpin e ffective collaborative working and developing the trust o f others.
NOTE 2 The ISO 10667 series undertakes an evidence-based approach to assessing and evaluating work place
competencies and behaviours and has worldwide applicability for use with individuals, groups or organizations.
ISO 10667-1 provides requirements for those initiating or commissioning an assessment and ISO 10667-2
provides requirements for those delivering an assessment o f collaboration capabilities and behaviours.
7.3 Awareness

The organization should ensure that the adoption o f collaborative working policies and processes are
fully communicated.

Collaborative working can be a new approach in many organizations and, as such, all personnel need to
be aware o f the potential requirements, implications and advantages.

The organization should undertake awareness in formation sessions and workshops.
7.4 Communication

The organization should ensure there is a process for e ffective communication o f collaborative working
requirements.
E ffective collaboration relies on all personnel involved, either directly or indirectly, having an
understanding o f the requirements and their role in ensuring success. Organizational systems and
individual perceptions and concerns can reduce the e ffectiveness o f communications between:
a) individuals;
b) groups;
c) divisions o f the organization;
d) collaborative partners, suppliers or customers.

The organization should ensure individuals recognize the importance o f collaborative working
initiatives and how it is linked with the business objectives o f the organization through:
a) ormal and in formal communications;
f
b) sta ff briefings;
c) newsletters;

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d) i ntra ne t;
e) s o c ia l me d ia;
f) s ha re d worki ng envi ron ments .
7.5 Documented information
7.5.1 General

T he organ i z ation shou ld do c u ment its col l ab orative bu s i ne s s relation sh ip management s ys tem .

D o c umente d i n formation s hou ld provide cl arity, tran s p arenc y and con s i s tenc y acro s s the organ i z ation .
It s hou ld u nder pi n col lab orative worki ng a nd complement e xi s ti ng bu s i ne s s pro ce s s e s , where
appropri ate . I n formation s hou ld b e avai lable and s u itable for u s e, where and when it i s ne e de d .

D o c umentation shou ld refle c t the s i z e a nd complexity o f the orga n i z ation . T he organ i z ation s hou ld
u nder ta ke a review to e s tabl i s h whe ther the exi s ti ng pro ce s s e s are con s i s tent with col lab orative
worki ng or re qu i re mo d i fic ation . T ho s e i mplementi ng I S O 4 4 0 01 shou ld i ncor p orate do c u mentation
with i n exi s ti ng p ol ic ie s , pro ce du re s and s ys tem s rather th an c re ate an add itiona l level o f do c u mentation .
T he relation s h ip management pla n (RM P) c an provide a me cha n i s m for do c u menti ng any add itiona l
re qu i rements or ac t a s a s ignp o s t to the lo c ation o f o ther do c uments relevant to col lab oration .
7.5.2 Creating and updating

T he organ i z ation s hou ld en s u re th at pro ce du re s a nd pro ce s s e s are ade quately do c u mente d a nd
control le d, i nclud i ng identi fic ation and de s crip tion . D o c u ments shou ld be re gu larly reviewe d for
s uitabi l ity and ade quac y.

Where the organ i z ation ha s e s tabl i s he d pro ce du re s , the s e c an re qu i re up dati ng to i nclude col lab orative
worki ng and i nte grati ng i nto c urrent prac tice s .

T he organ i z ation s hou ld adop t a control le d appro ach to a l l do c umente d pro ce s s e s and pro ce dure s ,
ta ki ng i nto con s ideration futu re format, s torage a nd re tention prac tice s .
7.5.3 Control of documented information

T he organ i z ation shou ld en s u re a revi s ion control pro ce s s i s i n place, i nclud i ng s e c u rity, acce s s a nd
retention.

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Collaborative working can require multiple variations o f documents over the li fetime o f a relationship
and these need to be maintained to ensure e ffective, long-term application and compliance o f the
collaborative requirements.
Adopt a controlled approach to all processes and procedures, including review, change control, access
and retrieval, updating where appropriate.
7.5.4 Record of collaborative competencies

The organization should ensure there is a process for recording the competence and skills o f those key
individuals involved in collaborative initiatives.
Collaborative working requires individuals to have the appropriate skills, competence and experience.
Where collaborative working is a critical success factor, it is important to ensure that key individuals
involved in collaborative initiatives have the appropriate competencies and skills to operate within
a collaborative context. Processes and systems should be used to establish skills and competence
frameworks to support ongoing and future collaborative learning and development programmes,
including pro fessional development requirements and other collaborative learning programmes.
Existing human resource management systems can contain records o f role requirements and job
specifications, including role specific competence frameworks. Where appropriate, these should
include the necessary skills and competencies for roles operating in a collaborative context and the
achievement o f collaborative per formance levels. The organization should, where appropriate, embed
collaborative skills and competencies into its existing processes, including recruitment and selection,
induction, ongoing per formance management and training programmes. These can be demonstrated
by, among other means:
— pro fessional qualification;
— pro fessional certification;
— credentials;
— chartered status.
7.5.5 Corporate RMP

The organization should establish a corporate RMP, see ISO 44001:2017, Annex B.
The corporate RMP is the organization's de fault process for establishing collaborative business
relationship management. Collaborative working can be integrated into all operating practices or only
deployed in selected relationships. Where collaborative working is to be deployed, it is critical that
there is an established approach which can be re ferenced when required.

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The corporate RMP can be a specific document that re ferences all operating and management
requirements. It should, where appropriate, link to and not duplicate existing management processes
that incorporate the necessary requirements. It can be a re ference document that highlights those
requirements that are fully integrated within overall management processes and procedures.
8 Operation
8.1 Operational planning and control

The organization should ensure there is an operational process for the application o f collaborative
working.
This ensures that there is a baseline process that can be adapted when it is appropriate or designated to
adopt a collaborative working approach.
This can be addressed through adaptations o f the corporate RMP to align with specific sectors o f
industry, diverse locations, functions or divisions o f an organization.
8.2 Operational awareness (Stage 1)
8.2.1 General
“Operational awareness” addresses the transition from overall strategic corporate policies and
processes that can lead to incorporating collaborative working into specific business operations (see
Figure 8). This recognized approach can be used to identi fy where value can be added. At this stage, the
organization is advised to assess the appropriateness o f adopting a collaborative approach and plan its
integration o f it, identi fying the benefits and value along with the business impacts, and considering
both internal and external constraints.
Figure 8 — Operational awareness (Stage 1)

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8.2.2 Duties of SER

T he S E R app oi nte d b y top management (s e e 5.3.1 ) i s critic a l to en s u ri ng the e ffe c tivene s s o f the C B RM S .

T he S E R en s u re s th at there i s s en ior e xe c utive s p on s ors h ip and s upp or t for any cha nge s to op erationa l
pro ce s s e s re qu i re d to del iver col lab orative worki ng i n s p e ci fic appl ic ation s . I n s ome orga n i z ation s or
s e c tors o f op eration, it c an b e ne ce s s a r y for s ome re s p on s ibi l itie s to b e delegate d, but the S E R s hou ld
re tai n overa l l re s p on s ibi l ity a nd ma i ntai n a l ign ment to the overa l l bu s i ne s s s trateg y a nd s ys tem s .

T he S E R s hou ld h ave a cle ar mandate and overa l l s trate g y for the cre ation a nd i mplementation o f
col lab orative relation sh ip s . Where a s p e c ts o f the role are dele gate d , the S E R s hou ld en s u re that:
— authority a nd re co gn ition a re given to the i mplementation;
— overa l l bu s i ne s s obj e c tive s a re a l igne d;
— i nterna l a nd ex terna l s ta keholders are engage d;
— the e ffe c ts on op erati ng prac tice s a nd re s ou rce s a re re co gn i z e d;
— tho s e cha rge d with i mplementation are accountable;
— appropri ate governa nce mo del s a re e s tabl i she d and i mplemente d e ffe c tively;
— overa l l re s p on s ibi l ity for s ucce s s fu l col lab oration i s u nder ta ken th rough appropriate overs ight.
T he S E R s hou ld h ave the ne ce s s ar y centra l authority to b e able to i n fluence the mu ltiple organ i z ation s
and fu nc tion s repre s ente d with i n the bu s i ne s s relation s h ip, without ne ce s s ari ly havi ng l i ne -
ma nagement authority. T he SER shou ld en s ure, th rough the j oi nt ma nagement te am, overa l l and
i nd ividua l le aders h ip re s p on s ibi l ity for the p er formance o f e ach col l ab orative relation sh ip . M a i ntai n i ng
d i s cipl i ne d governa nce arrangements a re i mp or tant for s upp or ti ng th i s role .
T he S E R shou ld de term i ne the mo s t appropri ate level o f ma nagement to review the p er formance data
b a s e d on the a re a s for wh ich they are re s p on s ible . D ata s hou ld b e reviewe d, conclu s ion s d rawn and
i n formation p a s s e d th roughout the organ i z ation at a l l level s . I n p a r tic u l ar, data s hou ld b e p as s e d to the
level o f ma nagement that ma ke s de ci s ion s on how to re s p ond to conclu s ion s and to a l lo cate re s ou rce s ,
e tc . , b a s e d on the outcome s .
8.2.3 Application and validation of operational governance structure

T he organ i z ation s hou ld en s u re there i s an appropri ate governance s truc tu re i n place relative to the
are a o f op eration .

I n tho s e orga n i z ation s op erati ng i n a varie ty o f i ndu s tr y s e c tors or lo c ation s , the corp orate s truc ture s
and authoritie s cou ld re qu i re adap tation to me e t marke t re qu i rements .

T he S E R s hou ld review the corp orate governa nce s truc tu re a nd put for wa rd , to the top management,
appropriate mo d i fication s to en s u re e ffe c tive, s p e c i fic appl ic ation .

ISO 44002:2019(E)
8 . 2 . 4 I d e n ti fi c a ti o n o f
o p e ra ti o n a l o b j e c ti ve s a n d va l u e

The organization should identi fy operational business objectives. See Table 2 for examples o f the
potential benefits from collaborative working.
T a b l e 2 — E x a m p l e s o f b e n e fi t s f r o m c o l l a b o r a t i ve wo r k i n g
Identi fy total cost o f Improved e fficiency Optimized effectiveness Enhanced per formance
ownership
Cost reduction Product development Market development Delivery improvement
Waste reduction Remove duplication Customer engagement Joint risk management
Resource optimization Supply security Scalability o f resources Sustainable development
Improve profitability In formation sharing Skills enhancement Innovation
Business growth Process improvement Competitive advantage Dispute reduction
enhancement

The organization should review its objectives to determine how and where delivery o f these can be
enhanced by the use o f collaborative working.

Objectives should be consistent with the policies o f the partner organizations, adequately resourced
with appropriate accountabilities and be SMART:
— S pecific, with defined outcomes aligned to desired benefits;
— M easurable, such that per formance can be assessed and evaluated;
— Achievable, while encompassing stretched goals, where appropriate;
— Realistic, such that collaborative teams are motived to reach goals;
— T ime-bound, in order that progress can be monitored towards achieving desired goals.
8.2.5 Establishment of value analysis process

The organization should identi fy the potential value from collaborative working.

Collaborative working requires that adequate resources are invested to be success ful. There fore,
identi fying the potential value in collaborative working should ensure that the value proposition has
been su fficiently evaluated to:
a) demonstrate specific benefits;
b) address internal barriers;
c) evaluate output versus investment;
d) identi fy opportunities and risks to be exploited;
e) drive innovation.
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The organization should establish a methodology and process for quanti fying value (an example o f this
can be value for money assessment in a relationship). Areas that can deliver value to the organization
from a short-, medium- and long-term perspective should be identified. See Table 2 for examples o f the
potential benefits from collaborative working.
8 . 2 . 6 I d e n ti fi c a ti o n a n d p r i o r i ti z a ti o n o f
c o l l a b o ra ti ve b u s i n e s s re l a ti o n s h i p s
8.2.6.1 General
8.2.6.1.1 What: summary of the intent

The organization should veri fy that a collaborative approach is appropriate for its objectives and
desired outcomes at the operational level.
8.2.6.1.2 Why: explanation of relevance
The purpose is to ensure an appropriate allocation o f resources and to evaluate the potential for
collaboration to deliver additional benefits.
8.2.6.1.3 How: implementation guidance
The organization should establish a definition or set o f criteria that helps it to identi fy collaborative
business relationships (see 6.3 ). In addition, the organization should establish a discipline to prioritize
its collaborative relationships by using a set o f qualitative and/or quantitative values. Some examples
are included below:
— qualitative: trust, communication, ease o f doing business, culture;
— quantitative: revenue, cost reduction, profitability, new customers, new markets.
8.2.6.2 Planning for operational collaboration

The organization should establish an implementation plan for the local application o f collaborative
working.

This should define an approach for each type o f relationship that supports business objectives and
recognizes external influences and risks that could either aid or constrain the programme.

At this stage, the organization should establish and implement a process to identi fy where collaborative
working is to be deployed to meet specific objectives and implement appropriate changes to operating
practices, where necessary.
8.2.7 Development of competencies and behaviour

The organization should evaluate the necessary technical skills and resources with alignment to
appropriate competencies and appropriate behaviours.

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Operating within a collaborative programme introduces a number o f challenging concepts that might
not be common within the current operating structures. Operating this way should ensure that, as the
programme evolves, the appropriate behaviours and skills can be established and maintained.
The competencies, skills and behaviours that are required should be established with clear re ference
to the challenges, risks and opportunities for the specific relationship and be role-specific, where
appropriate. Where gaps in requirements are identified, appropriate training and development should
be implemented (see ISO 44001:2017, Annex C, for additional guidance).
When considering the suitability and experience o f individuals to work in a collaborative environment,
it is important to recognize the critical e ffect o f behaviours. Assessment o f capabilities and behavioural
readiness is more e ffective when assessment methods are used that ensure validity and reliability o f
the results and where assessments are conducted to ethical and pro fessional standards. The ISO 10667
series provides detailed guidance in these aspects. Following an assessment, the organization should
consider the introduction o f an initial induction programme where the principles and behavioural
expectations for collaborative working can be highlighted for those joining a collaborative programme.
Where relationships are extended over a significant period, and/or where there is a re freshment o f new
team members over the li fe o f the relationship, a process to maintain an up-to-date assessment o f the
levels o f competence and behaviours for collaboration is o f value.
8.2.8 Initial risk assessment

The organization should implement an initial risk assessment associated with collaborative business
relationships.

The specific implications o f risk associated with collaborative working should be assessed. Collaborative
working can o ffer many opportunities to mitigate risks for the parties involved in the collaboration.
However, it can introduce new risks that might not have been considered.
An e ffective initial risk assessment should enable the organization to evaluate:
a) the risks to engagement in collaboration;
b) how collaboration can reduce risks in prospective opportunities;
c) any identified risk issues when assessing prospective partners;
d) who is best placed to manage the identified risks.

Examples o f areas to be considered when identi fying the risks associated with a prospective
collaborative opportunity are given in Table 3, in addition to any existing risk management policies.
The proposed mitigation for each risk should be established, where practical. Addressing risk could
be a facet o f the collaboration, e.g. can partners help, through joint risk management or an issue that
collaboration could introduce and should be assessed during strategy development and partner
selection.

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Table 3 — Examples of areas of risk associated with collaborative relationships

Business risk Operational risk Cultural risk Financial risk
— Reputation — Health and sa fety — Politics — Interdependence
— Competitive advantage — Environment — National cultures — Alternative
measurement/
— Sustainability — Flexibility/agility — Ethics reporting requirements
— Stakeholder — Interdependence — Openness, — Insurance
acceptance transparency and
— Continuity o f trust
— Technology supply
— Behaviours
— Intellectual property — Per formance
— Prior relationships
— Business continuity
8.2.9 Establishment of the RMP

The organization should develop an operational RMP aligned to the corporate RMP.

In some cases, the corporate RMP, while providing an overall framework for documenting the
relationship development process, may require adaptation to address specific sectors o f the
organization and/or specific relationships. Any adaptations or modification should be approved by the
SER to ensure it remains e ffective within the overall management concepts for collaborative working.
Types o f RMPs:
— corporate RMP: the de fault process for establishing the RMP;
— operational RMP: optional where sectorial activity requires adaptation;
— specific RMP: for an individual project or programme;
— joint RMP: the agreed plan between the partners.

The operational RMP should align with the organization's corporate model for collaborative working.
It should document the various elements, processes, procedures and shared systems o f work, while
at the same time be used to communicate strategic issues, such as objectives, targets, milestones, key
contacts and areas o f responsibility.
The RMP can be presented in many forms, from a simple booklet to an online database, depending
on the nature o f the collaboration, the li fe cycle or complexity, and the nature o f the collaborating
organizations. Any operational RMP is a dynamic record o f the evolution o f the relationship and
provides a focus and background for operational personnel and a centralized record for process audit
or assessment.
The RMP should:
— be approved by the SER (once finalized);
— show that all stakeholders are identified and engaged in the process;
— reflect the culture and environment that it is designed to support;

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— b e mai ntai ne d as a l ive, evolvi ng do c u ment th rough l i fe c ycle o f the col lab oration;
— h ave cle ar ownersh ip and b e u s e d a s the b a s i s for developi ng (a) futu re s p e ci fic j oi nt RM P(s) ;
— b e approve d by the S E R (once fi na l i ze d) ;
— b e s ubj e c t to review at appropriate i nter va l s;
— b e up date d at ever y s tage o f the development.
I n e s tabl i sh i ng the i n iti a l op erationa l RM P, the do c u ment shou ld i ncorp orate a de fau lt appro ach for
e ach o f the elements defi ne d i n I S O 4 4 0 01 . T he content o f the RM P shou ld remai n con s ta nt as s p e c i fic
j oi nt RM Ps are develop e d for i nd ividua l appro ache s , i nclud i ng:
— identi fyi ng bu s i ne s s obj e c tive s a nd d rivers;
— i ncor p orati ng b enefits a na lys i s;
— identi fyi ng i mplementation pro ce s s e s or l i n ks to e xi s ti ng pro ce dure s a nd pro ce s s e s;
— identi fyi ng con s trai nts a nd i n itia l ri sks;
— identi fyi ng re s ou rce s and s ki l l s development re qu i rements .
8.3 Knowledge (Stage 2)
8.3.1 General
“Knowle dge” fo c u s e s on the development of a s p e ci fic i mplementation s trateg y for an identi fie d
opp or tu nity, c re ati ng a bu s i ne s s c as e and a na lys i ng b enefits arou nd bu i ld i ng a col lab orati ve appro ach to
del iver the s trategic obj e c tive s . Wh i le there i s a n overa l l corp orate appro ach to developi ng col lab orative
relation sh ip s , e ach i nd ividua l bu s i ne s s rel ation sh ip i s e s tabl i s he d aga i n s t a varie ty o f s p e ci fic d rivers ,
obj e c tive s and i n fluence s . E ach relation s h ip shou ld encomp a s s b o th the overa l l governance pro ce s s e s
and a l s o refle c t the ne ce s s a r y adj u s tments to ach ieve the de s i re d outcome s . Figure 9 i l lu s trate s the
s tep s th rough Stage 2 .
Figure 9 — Knowledge (Stage 2)

ISO 44002:2019(E)
8.3.2 Strategy and business case
8.3.2.1 Development

T he organ i z ation shou ld e s tabl i sh a defi ne d pro ce s s for developi ng a s trate g y and bu s i ne s s ca s e for e ach
s p e c i fic rel ation sh ip th at i ncorp orate s and eva luate s the b a s i s for adop ti ng a col lab orative appro ach .

T here s hou ld b e clarity ac ro s s the orga n i z ation ab out bu s i ne s s rationa le for adop ti ng a nd managi ng
the col l ab orative appro ach . E ven p e op le outs ide the d i re c t col lab orati ve ac tivity c a n a ffe c t its eventua l
s ucce s s a nd thu s ne e d to unders ta nd the s trateg y and b enefits . C on s ideration shou ld b e given to the
bro ader e conom ic and p ol itic a l ch ange s i n the ex terna l envi ron ment that cou ld i ntro duce pre s s ure s
on the col l ab orative a rrangement. This c an be p ar tic u la rly relevant when worki ng with overs e as
organ i z ation s . H owever, col l ab orative appro ache s a re o ften develop e d to me e t ex terna l ch a l lenge s ,
re s p ond i ng to cha nge s i n ma rke ts , a nd ca n b e h igh ly s ucce s s fu l .

To en s u re a col lab orative appro ach i s the right appro ach to c ap ture the va lue - adde d opp or tu nity, an
organ i z ation s hou ld employ a n a na lys i s th at a s s e s s e s the orga n i z ation’s c ap abi l itie s , re s ou rce s and
obj e c tive s agai n s t th re e op tion s to c ap tu re the va lue: doi ng it them s elve s ( bu i ld) , acqu i ri ng what they
ne e d ( buy) , or col l ab orati ng (a l ly) . Table 4 provide s outcome s b a s e d on a s ugge s te d l i s t o f criteria .
Table 4 — Capabilities, resources and objectives analysis

Strategy Build Buy Ally
Suggested criteria
Re qu i re d control High degree M o d e r ate to Low or
of control high degree s h a r e d de g r e e
— D o we ne e d to control e ver yth i ng fro m
re venue to c u s tomer e x p er ience to de c i s ion s?
of control of control
P ro te c t core N e e d to own/ N e e d to own/ Wi l l i n g to e x-
protect the protect the p o s e o r s h a re
— To ach ie ve o u r ob j e c tive do we ne e d to
pro te c t o u r I P, bra nd , dom a i n e xp er ti s e?

core core core or does
no t i mp ac t
the core
T i me to m a rke t We h ave ti me We h ave ti me We do not
h ave much
— D o we h ave ti me to ach ie ve th i s ob j e c tive or
i s it e x tremel y u rgent?
time
Resources We h ave the We h ave the We do not
resources resources h ave the
— D o we h ave the fi n a nc i a l re s ou rce s a nd hu m a n
re s ou rce s to ach ieve the ob j e c tive?

resources
Ris k We a re We a re We need to
— Are we willing to own the risks to achieve the
willing to own willing to own s h a re the
the r i s ks the r i s ks r i s ks
des ired o b j ective?
8.3.2.2 Identification o f specific relationship objectives

T he organ i z ation s hou ld identi fy a nd do c ument the obj e c tive s o f e ach col lab orative relation s h ip .

ISO 44002:2019(E)

O n ly when there i s a cle a r u nders ta nd i ng o f wh at an organ i z ation wants to accompl i sh c a n s p e ci fic
obj e c tive s for a col lab orative relation sh ip b e s e t. I n many c as e s , the fai lu re o f ex terna l rel ation sh ip s c an
b e attribute d to orga n i z ation s fa i l i ng to u nders tand or defi ne thei r own d i re c tion .

When defi n i ng and prioriti z i ng the de s i re d outcome s , the fol lowi ng que s tion s s hou ld b e an s were d .
a) What are the b enefits o f col lab orative worki ng?
b) What wou ld s ucce s s lo ok l i ke?
c) H ow i s the pro gre s s toward s outcome s me as u re d?
d) What i s the ti mel i ne for ach ievi ng outcome s?
8.3.2.3 Implementation o f the value analysis for a specific opportunity

T he organ i z ation s hou ld i mplement the va lue ana lys i s for s p e c i fic opp or tu n itie s a long with the key
are as for me as u rement a nd rep or ti ng.

Relation s h ip va lue ana lys i s provide s the b as i s for ongoi ng a l ign ment and i mprove d outcome s
contributi ng to the bu s i ne s s c as e . O n ly when there i s a cle ar u nders tand i ng o f what an organ i z ation
wants to accompl i s h i n term s o f go a l s c an s p e ci fic obj e c tive s for a col l ab orative relation sh ip b e s e t. I n
many c as e s , the fa i lu re o f e xterna l relation sh ip s c an b e attribute d to orga n i z ation s fai l i ng to unders ta nd
or defi ne thei r own d i re c tion .

When defi n i ng and prioriti z i ng the de s i re d outcome s , the fol lowi ng que s tion s s hou ld b e an s were d .
a) What are the relation s h ip go a l s , obj e c tive s , and e xp e c te d b enefits?
b) H ow i s the pro gre s s toward s go a l s me as u re d?
c) What i s the me tho dolo g y for quanti fyi ng va lue?
d) What i nterna l relation s h ip d ata and data col le c tion pro ce du re s and s ys tem s are re qu i re d?
e) What e xterna l data and data s ource s ne e de d for comp a ri s on with i ndu s tr y norm s a nd prac tice s?
f) W h at rep o r ts a re re qu i re d to fac i l i tate p ro ac ti ve m a n agement by the rel atio n s h ip j o i nt
go ver n a nce te a m s?
8.3.2.4 Identification o f potential collaborative partner organizations

T he organ i z ation shou ld identi fy p o tenti a l col lab orati ve organ i z ation s agai n s t the s p e ci fic
opportunities.

ISO 44002:2019(E)

Even i f the potential o f collaborative working has been identified, its success rests largely on being
able to identi fy suitable partners. Where there is a customer-driven requirement, the options can be
constrained by customer pre ference.
Potential collaborative partners can emerge from a variety o f sources, including:
a) existing trading relationships;
b) those identified to provide specialist capability;
c) complementary skills;
d) those identified from geographic or market development drivers;
e) specific customer requirements;
f ) uture products or services;
f
g) competitors.
These potential partners can include organizations that, for a variety o f reasons, have not previously
been considered, e.g. for competitive, commercial or historical reasons.
Consideration should be given to alignment o f visions and values to ensure the avoidance o f reputational
risks through association.
8.3.2.5 Development of the initial exit strategy

The organization should develop an initial exit strategy assessment.

In developing a strategy for the implementation o f a collaborative approach, the issues that could trigger
the need for exiting the relationship should be understood. This ensures that as the implementation
proceeds, these aspects are kept transparent to avoid any hidden agendas, together with identi fying
those key issues that need to be addressed and which form part o f a joint exit strategy.

The organization should consider at this stage those issues that can a ffect the ongoing development o f
the strategy.
NOTE See ISO 44001:2017 Annex E, for a detailed breakdown o f an exit strategy.
Table 5 gives examples o f items for consideration for an exit strategy.

ISO 44002:2019(E)
Table 5 — Examples of considerations for exit strategy

Possible exit triggers Key concerns Process issues
Unilateral withdrawal o f the partner Intellectual property Breakdown o f governance
Per formance failure Customer relationship management Business continuity
Change o f ownership Knowledge trans fer Controlled transition
Policy or regulatory changes Loss o f capability Resource trans fer
Change o f requirements Resource allocation Costs and timing
Market changes Reputation Supply chain impacts
Completion o f objectives Ongoing liabilities
Change o f strategic direction
Political change
8.3.3 Identification o f key individuals' competence and behaviour

The organization should identi fy the experience, skills and competencies o f individuals that are
involved in any collaborative initiative.
A collaborative approach can challenge traditional working practices and there fore be a potential
constraint. People with the appropriate skills and experience should be assigned to work together
e ffectively. There could also be a need to redefine operational roles and responsibilities in the context
o f the collaboration.
There is a clear distinction between business skills and those additional practical collaborative skill
sets that could be required to support a collaborative relationship. The organization should undertake
a review o f the resource requirements against existing skills, experience and competence models, and
implement selection and training as appropriate, with a particular focus on key personnel and those
whose relationships with others are critical to maintaining an e ffective collaborative relationship. See
ISO 44001:2017, Annex C, for further in formation.
8.3.4 Knowledge management

The organization should establish specific guidelines for sharing knowledge between organizations and
an appropriate process to capture, create and manage knowledge within collaborative relationships.
A key benefit o f collaborative relationships is that they increase the knowledge pool, improve
transparency and provide an environment for knowledge creation.
Collaboration increases the flow o f in formation and this should be handled in a controlled manner to
prevent potential conflicts, duplication, ine fficiency and misunderstanding, which can lead to mistrust.
Through e ffective collaborative relationships, the organization can capitalize on wider knowledge pools
that could otherwise be constrained by systems, individual perceptions and concerns about sharing
knowledge. Knowledge sharing can be between:
a) individuals;
ISO 44002:2019(E)
b) groups;
c) divisions o f the organization;
d) collaborative partners or customers.

During this step, the organization could find it help ful to provide guidance on sharing knowledge
because it ensures appropriate in formation is exchanged and drives correct behaviour that underpins
collaborative working. Individuals should recognize the importance o f knowledge sharing and
understand how it is linked with the business objectives o f the organization. Examples include:
a) formal and in formal communications;
b) sta ff briefings;
c) newsletters;
d) intranet;
e) social media;
f ) shared working environments.
The procedure should include process controls and designated responsibilities for how and when
knowledge is recorded and how it is shared.
What should be shared and what in formation should be controlled within contractual and legal
constraints should be understood by those involved in the relationship.
The organization should also evaluate its standard contract clauses relative to knowledge sharing to
ensure that these are compatible with collaboration and, i f necessary, document specific variations.
Developing a knowledge map or in formation matrix can help to provide a structure to identi fy what
might or might not be shared, dependent on the nature o f the relationship. An example o f a knowledge
map is shown in Table 6 .
Table 6 — Example of knowledge map to consider what can/what could/what can’t be shared
Generally limited sensitivity Possible sensitivity Potentially sensitive
Industry Regulatory Existing Product Current business Strategic
standards requirements partnerships strategies plans development
plans
Product Market research Patent Research and Research and Investment plans
in formation applications development development
strategy results
Industry trends Bidding Product/service Pricing Current and Organizational
strategies pricing structures projected profit financial
data in formation
Market Current activities Marketing plans Customer Strategic Incentive and
in formation relationship customer salary data
in formation relationships
Customer trends Sales plans/ Sales targets Existing sales Capability Projected
budgets leads development organizational
plans changes
Publicly available Supplier Existing supplier Technical and Detailed cost data IP and
in formation relationships/ agreements product data proprietary
contracts in formation
NOTE Actual sensitivity can vary by activity or partner and should consider personnel data.

ISO 44002:2019(E)
8.3.5 Supply chain and extended enterprise risks and opportunities

T he organ i z ation shou ld eva luate the p o tenti a l e ffe c ts o f th i rd-p a r ty orga n i z ation s or s upply cha i n s on
the overa l l col l ab oration .

I n a col l ab orative engagement, there c a n b e a wide varie ty o f i mpl ic ation s re s u lti ng from the s upp ly
cha i n s o f p o tenti a l p a r tners or th rough the re ach o f ex tende d enter pri s e s no t d i re c tly engage d th rough
the col lab orative i niti ative .

T he organ i z ation s hou ld assess i mpl ic ation s that cou ld a ri s e or s p e c ia l cond ition s that cou ld be
ne ce s s ar y to eva luate when s ele c ti ng p o tenti a l p a r tners , a s wel l as the opp or tu n itie s a nd the due
d i l igence re qu i re d to j oi ntly develop th i rd p ar tie s for add itiona l b enefits . S e e the e xample s given i n
I S O 4 4 0 01 : 2 017, 8 . 3 . 5 .
8.3.6 Implementation of risk management process
8.3.6.1 Risk assessment

T he organ i z ation s hou ld e s tabl i sh a ri s k ma nagement p ol ic y and i ntegrate ri sk management i nto the
relation sh ip management op erationa l framework.

I n a col l ab orative rel ation sh ip, ri sk s hou ld b e a j oi nt e ffor t provid i ng a l l s ta keholders with a then c urrent
eva luation o f ri s k and quanti fic ation o f re s idua l ri sk exp o s u re (a fter tre atment has b e en appl ie d) i n
term s o f relation s h ip outputs , ti me frame s and fi na nc i a l con s ideration . Fre quently, organ i z ation s
are temp te d to fo c u s s olely on tra n s fer o f ri sk rather th an worki ng to en s ure ri sk i s manage d b y the
p a r ty b e s t pl ace d to add re s s s p e c i fic ri sks . T he adop tion o f a ri s k avers e appro ach i s l i kely to s ti fle
col lab orative worki ng b e twe en organ i z ation s .
When de a l i ng with a ny as p e c t of col lab oration, there s hou ld be a go o d u nders tand i ng of ri s k
management. I ntro duci ng the concep t o f ri s k help s to cre ate new th i n ki ng b o th to m itigate ri s k and,
where prac tic a l, e xploit it. I t i s o ften d i ffic u lt to e s tabl i sh a ri s k management c u ltu re th at accep ts that
ri sk i s a j oi nt re s p on s ibi l ity.
M a ny ri sks a ffe c t the i ntegrate d ventu re in the s ame way as they a ffe c t a s i ngle organ i z ation .
C ol lab orati ve relation s h ip s ca n add re s s many o f the ch a l lenge s and opp or tu n itie s i ntro duce d b y ri s k
th rough e ffe c tive ri sk management but, i n doi ng s o , they c a n a l s o i ntro duce new ri sks .

T he organ i z ation shou ld review its e xi s ti ng ri s k management appro ach to en s u re the ri s ks from
col lab orative worki ng a re re co gn i ze d . I n p a r tic u l ar, the ne e d to develop a n i ntegrate d ri sk ma nagement
pro ce s s at the relation sh ip level , i nclud i ng ri sks relate d to a l l key memb ers o f the va lue chai n p a r tners ,
shou ld b e h igh l ighte d . T h i s pro ce s s s hou ld, at a m i ni mu m, i nclude e s tabl i sh i ng a j oi nt ri s k review
b o ard and employi ng a pro ce s s for ri s k identi fic ation, eva luation, tre atment a nd re gu la r a s s e s s ment o f
s uch tre atments , and rep or ti ng. T here are many a s p e c ts o f ri s k a nd e ach a s p e c t shou ld b e identi fie d,
ana lys e d , eva luate d and tre ate d with p ar tners i n the bu s i ne s s rel ation sh ip . Table 7 outl i ne s s ome key
ri sks i n the are as o f bu s i ne s s , op eration s , c u ltu re a nd fi nance .

ISO 44002:2019(E)
Table 7 — Initial analysis of internal risks to effective collaboration

Organizational issues Cultural issues
— Policies — Leadership
— Processes — Ownership
— Systems — Lack o f innovation
— Authorities — “No change” culture
— Resources — Values
— Stakeholders — Behaviours
— Financial
Capability issues Commitment issues
— Business skills — Confidence
— Competencies — Reporting structures
— Collaborative experience — Per formance goals
— Incentive schemes
— Career paths
— Job security
8.3.6.2 Internal review

The organization should identi fy and assess internal issues that could result in significant risks to
per formance.

Collaborative working is likely to a ffect many functions within an organization, which could be called
upon to support changes in operational approaches, even though they might not be directly involved
with the relationship. To ensure success o f a collaborative approach, these issues should be identified
and addressed, where necessary, to ensure they do not become a risk to achieving the objectives.
An assessment o f those aspects o f the current operating practices and approaches that could introduce
internal risk to collaborative working should be undertaken. See the examples given in ISO 44001:2017,
8.3.6.2.
8.3.6.3 Risk ownership and mitigation

The organization should ensure that all identified risk issues are addressed and, where practical,
consideration is given as to how these risks are to be mitigated or appropriately assigned for resolution.

Risk should not be channelled down or simply trans ferred, as there is a danger that the risk is not
addressed or additional risks arise that are not identified. A collaborative approach has impacts across
the organization and risk can be identified by separate elements or functions within the organization.
These risks influence the degree o f integration and per formance. By establishing a comprehensive risk
register, risks can be assessed and appropriately handled. Eventually the aim should be to have a joint

ISO 44002:2019(E)
risk register, i f one has not been established, and a jointly managed risk programme that draws on the
capabilities o f collaborative partners, ensuring that risks do not become issues.

A risk register should be established. Each risk should be appropriately assigned internally for
ownership and necessary action until the joint risk management process is set up. It should include the
following, as a minimum:
a) risk description;
b) risk assessment (likelihood, impact, e ffect, triggers, stakeholder perception);
c) identification o f responses to reduce risk (prevention, reduction, trans ference, acceptance,
contingency);
d) translation o f risk responses into action plans and an assigned risk owner;
e) quantification o f risks to establish necessary resource and/or financial provision;
f ) re-assessment o f risks and responses as required until closure.
8.3.7 Evaluation of the business case

The organization should establish a business case for each collaborative opportunity.

Collaborative working can challenge the internal operating processes o f the organization. There should
be a clear basis for implementation and a robust business case for adopting a collaborative approach for
each relationship, as commitment and resources are required to deliver the desired outcomes.

The organization should evaluate existing business case development approaches to ensure that it
addresses the implications o f collaborative working. Key elements o f any collaborative business case
should include:
a) clarity and drivers for collaboration;
b) degree o f collaborative dependency;
c) establishment o f the required organizational structure and resources;
d) roles and responsibilities;
e) evaluation o f market conditions;
f ) assessment o f customer adoption;
g) value analysis o f collaborative benefits;
h) identification o f appropriate organizations to work with;
i) consideration for exit strategy.
Based on a positive evaluation o f the business case, the collaborative strategy should be approved, as
defined by the organization's processes.

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8.3.8 Incorporation of knowledge into the RMP

The organization should update the RMP for the specific opportunity.
Creating a strategy and business case is only a step in the process o f bringing additional value to the
relationship. In the development stage, the practical implementation should also be addressed and
planned. The process that monitors progress should be clearly documented by the team.
While there is likely to be a common approach to implementing a collaborative relationship, each case has
its own specific aspects to be considered and this is reflected in the RMP. The RMP is designed to capture
these within the context o f corporate process and provide a baseline and history for those involved to
move forward. It also provides a reference point for those joining the operations at a later date.

The organization should utilize its current operating practices to establish how it intends to move
forward with the specific opportunity in accordance with ISO 44001. This can be embodied in the RMP.
See ISO 44001:2017, Annex B, for further in formation on how to:
a) identi fy operating models, measurement and practices to be used;
b) identi fy per formance objectives the relationship is expected to deliver;
c) establish levels o f authority;
d) identi fy high-level risks including business continuity issues;
e) identi fy potential partners;
f ) identi fy communication plans to ensure stakeholder management.
8.4 Internal assessment (Stage 3)
8.4.1 General
“Internal assessment” is intended to ensure that the organization undertakes a structured assessment
o f its capability and maturity to success fully engage in a collaborative initiative (see Figure 10). The
assessment focuses on identi fying the strengths and weaknesses o f an organization and, where
appropriate, development needs. It also incorporates the creation o f a collaborative profile and
specific partner evaluation criteria. A structured approach can be taken for internally assessing
an organization's capability, maturity and partner requirements when success fully engaging in
collaborative working. Success ful collaborative working can require the development o f new skills and
di fferent ways o f working as it involves a closer business relationship and a generally more integrated
approach. Internal assessment is o ften completed be fore engaging with potential partners. In broad
terms, this involves taking account o f where the organization currently sits and where it should be to
work in a more collaborative environment.

ISO 44002:2019(E)
Figure 10 — Internal assessment (Stage 3)
8.4.2 Capability and environment for collaboration

The organization should identi fy the level o f knowledge, skills and behavioural competencies that exist
and initiate suitable sta ff development or recruitment.
Levels o f experience regarding collaborative working can vary. In addition, roles could require change
and it is important to be prepared. It could be necessary to recruit or undertake training to meet the
requirements o f collaborative working.
A competence and behavioural gap analysis should be undertaken to identi fy how gaps are to be
addressed through education, training, coaching and induction. It can be o f value to use the data to
in form recruitment and to include the data in per formance management and recognition processes.
NOTE See ISO 44001:2017, Annex C, for illustrations o f collaborative competencies and behaviours.
The process o f establishing the required competencies and behaviours is more e ffective i f they are
developed in the light o f the objectives, challenges, risks and opportunities for the specific relationship.
A best practice assessment approach documents the purposes o f the assessment and for whom it is
intended. It uses valid and reliable assessment methods that are selected for their e ffectiveness in
predicting future behaviour and competence. It is delivered, and the results interpreted and fed back,
by qualified assessors, operating within an assessment management system such as ISO 10667-2.
8.4.3 Assessment of strengths and weaknesses

The organization should undertake an analysis o f its strengths, weaknesses, risks and opportunities
be fore engaging in collaborative working and establishing a potential partner profile.

There is a need for the organization to understand the hard and so ft requirements o f collaborative
working, assess the development needs, communicate and speak with one voice, and start to formulate
the partner selection criteria.

When conducting the assessment, both hard and so ft strengths and weaknesses should be incorporated.

ISO 44002:2019(E)
Hard issues include: Soft issues include:

— objectives; — relevant competencies;
— processes; — experience;
— procedures; — capability;
— systems per formance reporting; — motivation levels;
— resources; — organizational culture;
— management; — behaviours needed to ensure a collaborative
approach.
— organizational structure.
In addition, the organization should consider a firmer commitment to build trust between partners, e.g.
though levels o f openness, responsiveness, commitment, in formation sharing and communication.
8 . 4 . 4 A s s e s s m e n t o f
c o l l a b o ra ti ve p ro fi l e

The organization should evaluate its internal capabilities and understand the collaborative profile it
projects externally to customers and potential partners.

This ensures that there is a common approach to internal and external assessment to match capabilities
and competencies with third parties. The organization should identi fy areas o f compatibility and
highlight development actions needed to attract potential new partners. Potential partners should see
the organization as an intelligent partner they can work openly with.

The organization should establish a collaborative profile and monitor e ffectiveness. Table 8 gives a simple
high-level matrix that can be used as an initial starting point for an assessment o f the organization's
collaborative maturity, looking at attributes, abilities and attitude (see also ISO 44001:2017, Annex D,
for a more detailed matrix). This should be reviewed on a periodic basis to evaluate progress and
identi fy areas for improvement.

ISO 44002:2019(E)
T a b l e 8 — M a t u r i t y a s s e s s m e n t p r o fi l e ( M A P )
Attributes a
Abilityb Attitude c
A T he orga n i z ation h a s wel l de fi ne d T he organ i z ation h as a h igh le vel T he orga n i z ation h a s cle a rl y de -
pro ce s s e s a nd s ys tem s i n p l ace o f p ers on nel with e xp er ience i n fi ne d vi s io n s a nd va lue s to ge ther
where col l ab orative worki n g i s op erati ng col l ab orative worki ng with p ol ic y com m itment to col l ab -
fu l l y i nte grate d with the b u s i ne s s a rra ngements s upp or te d b y a n orative worki n g wh ich i s o p en l y
m a n agement s ys tem s when e ffe c tive s ki l l s de velopment pro - s up p or te d b y its le aders h ip a nd
app l ic atio n i s app rop r i ate . gram me a nd a re co gn i z e d track re - c a s c ade d th rou ghout its i nter n a l
cord for e ffe c tive i mplementation . a nd e x tern a l co m mu n ic ation s .
B T he orga n i z ation h a s de fi ne d T he o rga n i z atio n h a s a nu mb er o f T he orga n i z ation h a s i s o l ate d
s ta nd a lo ne p ro ce s s e s a nd s ys tem s i nd ividu a l s at a l l op erati n g le vel s c a s e s o f i mp lementi ng co l l ab o ra -

for i mp lementi ng co l l ab orati ve th at h ave e xp er ience a nd demo n - tive worki n g a r ra ngements but
worki ng , howe ver, the s e a re no t s trab le s ki l l s for e ffe c tive col l ab o - l i m ite d e vidence th at s ucce s s e s
fu l l y i nte grate d a nd co u ld con fl ic t rative worki n g a nd a l i m ite d s ki l l s h ave pro mo te d a ny wider ap p l ic a -

with o ther b u s i ne s s m a n agement de velop ment p ro gra m me . tion to h a r ne s s the b ene fits .
s ys tem s .
C C ol l ab orative worki n g i s re co g - T he o rga n i z atio n h a s a n app re c i - T he orga n i z ation h a s no demo n -

n i z e d with i n the o rga n i z ation's ation o f col l ab orati ve app ro ache s s trab le e vidence for de velop i n g
bu s i ne s s m a n agement s ys tem s b ut a l i m ite d re s ou rce p o ol o f e x - co l l ab o rati ve wo rki ng or e x tern a l
but i s genera l l y i mp lemente d i n a n p er ience d p ers on nel a nd no s ki l l s re co gn ition o f va lue ch a i n b ene fits
ad ho c m a n ner. de velop ment p ro gra m me . i n its e x ter n a l rel ation s h ip s .
D T he orga n i z ation h a s no s tr uc - T he organ iz ation has no re cogni ze d T he orga n i z ation h a s e s tab l i s he d
tu re d or s ys tem ic ap pro ach i n cap abi lity or exp erience in the area rob u s t trad i ng rel ation s h ip s with
p l ace to i mp lement col l ab o rative o f col lab orative working and no no i nd ic atio n s o f con s ideratio n for
worki ng a nd op erate s trad ition a l p ers onnel development in place . co l l ab o rati ve wo rki ng.
a r m’s len g th rel ation s h ip s .
T he s e a re the rele va nt e leme nts o f the o rga n i z atio n’s p ro ce s s e s a nd p ro ce du re s .

a
b This co mp r i s e s the c ap ab i l itie s a nd e x p e r ience o f the o rga n i z atio n with re s p e c t to co l l ab o rati ve rel atio n s h ip s . If
rel atio n s h ip m a n ageme nt i s ne w, the o rga n i z atio n s ho u ld de velo p tra i n i ng p ro g ra m me s to s up p o r t i ts s trate g ic a i m s .
c T he atti tude o f a n o rga n i z atio n i s d r i ven fro m the to p a nd it s ho u ld a s s e s s whe the r the co ncep ts o f co l l ab o ratio n a re
e s tab l i s he d a nd co m mu n ic ate d , b o th e x te r n a l l y a nd i nter n a l l y, b y to p m a n age ment.
8.4.5 Appointment of collaborative leadership

T he organ i z ation s hou ld app oi nt a col lab orative le aders h ip for a s p e ci fic opp or tun ity who are
comp e tent i n col lab orative worki ng.

T he s ucce s s o f any bu s i ne s s ventu re i s s trongly i n fluence d b y le aders h ip . I n a col l ab orative worki ng
envi ron ment, e ffe c tive le adersh ip i s a cr uc ia l element for ma i nta i ni ng a cle ar fo c u s on p er forma nce,
fac i l itati ng cha nge where ne ce s s ar y a nd s upp or ti ng a c u ltu re that promo te s the appropri ate
col lab orative b ehaviours . C ol l ab orative worki ng cou ld re qu i re orga ni z ationa l and/or pro ce s s ch ange s
and re a l ign ment o f role s and re s p on s ibi l itie s , where the le adersh ip shou ld provide s trate gic d i re c tion,
gu idance a nd s upp or t to tho s e i nvolve d i n i mplementation .

I n s ele c ti ng the le adersh ip for col lab orati ve pro gram me s , the organ i z ation shou ld lo ok b eyond the
trad itiona l te ch nic a l, com mand and control c ap abi l itie s to identi fy le aders with the abi l ity to i n fluence,
co ach and mentor tho s e adap ti ng to new mo del s o f op erati ng. E ffe c ti ve col lab orative le aders h ip m ight
no t come from the trad itiona l h ierarch ic a l ma nagement s truc tu re and c a re fu l con s ideration s hou ld b e
given to th i s c ritica l role, wh ich s e ts the b ehavioura l tone and d i re c tion . C ol l ab orative le aders s hou ld
b e ch ampion s o f change and provide a fo c u s for a lternative th i n ki ng and i n novation . I n as s e s s i ng the

ISO 44002:2019(E)
profile, experience and competencies required to be a collaborative leader should be considered, with
particular attention to the following suggested attributes:
a) a strategic thinker;
b) an influencer
c) team oriented;
d) a committed collaborator;
e) an e ffective communicator;
f ) open to sharing;
g) creative and innovative;
h) empathetic;
i) a relationship builder;
j) an agent o f change;
k) a pragmatic solution seeker;
l) a coach and mentor.
See ISO 44001:2017, Annex C, for collaborative competencies and behaviours.
8 . 4 . 6 D e fi n i ti o n o f
p a r tn e r s e l e c ti o n c r i te r i a

The organization should, be fore moving to the phase o f partner selection, establish the required profile
on which the potential collaborative partner is to be assessed.
Creating partner selection criteria provides a basis on which to identi fy and objectively benchmark
what the ideal partners should possess beyond the traditional financial, quality and per formance
measures. These criteria are di fferent from the usual evaluation and selection criteria. The criteria
should be clearly articulated, documented and agreed, as this forms the basis o f the partner evaluation
process.
The partner selection criteria areas, which are specific to supporting collaborative working, in addition
to more traditional selection criteria (financial, quality, time, cost, per formance), should be identified.
These should also be incorporated into any existing partner selection process and can include the
ollowing approach to joint risk management:
f
a) level o f commitment;
b) level o f capability;
c) nature o f the culture, e.g. responsiveness to change and flexibility;
d) appropriate organization structure;
e) governance and issue resolution;

ISO 44002:2019(E)
f) level o f com mu n ic ation;
g) com merci a l mo del;
h) qua l ity pro gram me;
i) com m itment to vi s ion and va lue s;
j) c u s tomer fo c u s;
k) attitude to col lab oration;
l) tran s p arenc y and data sh ari ng;
m) fo c u s on conti nua l i mprovement;
n) worki ng to j oi nt obj e c tive s .
I n add ition to due d i l igence and te ch n ic a l and pro fe s s iona l c ap abi l ity as s e s s ment, it i s i mp or ta nt to
identi fy and eva luate tho s e comp e tencie s and b ehaviou rs th at wi l l be ne ce s s ar y for a s ucce s s fu l
engagement. Wh i le generic comp e tenc ie s a nd b ehaviours relate d to worki ng col lab oratively a nd
bu i ld i ng tru s te d relation s h ip s with o thers s hou ld b e relevant for a l l s ituation s , s ele c tion criteria are
mo s t e ffe c tive i f they are s p e ci fic to a given rel ation sh ip ci rc u m s tance .
For e xample, an envi ron ment with h igh he a lth and s a fe ty ri sks , op erati ng with i n a control le d
envi ron ment, s uch as con s truc tion or ma nu fac turi ng , wi l l pre s ent d i fferent cha l lenge s for col lab orative
worki ng comp are d to a low he a lth and s a fe ty ri s k envi ron ment, with re qu i rements for the p ar tners to
b e dyna m ic and h igh ly i n novative, or to have h igh s en s itivity to and s ki l l s for s ta keholder engagement.
T he s e t o f criteria given i n Table 9 ha s b e en u s e d acro s s a ra nge o f p ar tner s ele c tion s . I t i s i mp or tant that
a critic a l few a re identi fie d, and, where appropri ate, weighte d for thei r i mp or tance to the col lab orative
relation sh ip .
Table 9 — Examples of partner selection criteria for collaborative capabilities

— S trate gic th i n ki n g — Te a m wo rki ng — C om mu n ity/envi ro n ment
awa rene s s
— C ol l ab orati ve wo rki ng — P ro b lem s ol vi ng
— H e a lth , s a fe ty a nd wel lb ei n g
— M a n agement a nd le aders h ip — D e c i s ion-m a ki ng
— Engendering the trust of

c ap ab i l ity — E qu a l ity, d ivers ity a nd
inclusion
— M a n agement o f ch a n ge a nd others
a mb igu ity — C om m itment to/s up p or t o f
— C u s to mer/s ta keho lder p a r tner va lue s
— Va lue s a l ign ment s en s itivity a nd m a n agement
— Cu ltu re fit/s en s itivity

— I n novation a nd c re ati vity — Po l itic a l awa rene s s a nd
s en s itivity — O p eratio n s a nd r i s k
— C onti nu a l i mprovement m a n agement s ki l l s
I n the i ntere s ts o f del iveri ng to b e s t prac tice s , con s ideration s hou ld b e given to en s u ri ng s u fficient
tran s p a renc y i s provide d to c a nd idate s for a s s e s s ment i n relation to the criteri a a nd a s s e s s ment
me tho d s to b e u s e d, a nd it i s provide d i n s u ffic ient ti me for them to prep are for any a s s e s s ment pro ce s s .
8.4.7 Implementation of the RMP

T he organ i z ation shou ld up date the RM P to i ncor p orate the output o f i nterna l as s e s s ments .

ISO 44002:2019(E)

At this stage, the RMP provides the foundation for partner selection and should reflect both internal
development needs and the basis for evaluating potential partners.
a) identi fy strengths and weaknesses within the organization (updated when the partner is selected);
b) incorporate areas for development/action (updated when the partner is selected);
c) establish the partner selection criteria to be used in the partner selection;
d) identi fy appropriate development programmes to be used in the “working together” stage (see 8.6 ).
8.5 Partner selection (Stage 4)
8.5.1 General
“Partner selection” addresses the need to undertake a structured approached to the identification,
evaluation and selection o f appropriate partners. The process encompasses the evaluation o f a specific
partner’s capabilities and skills to bring complementary strengths to the relationship, then setting
the platform for identi fying whether a partner’s aims and objectives are compatible with the overall
strategic objectives.
An evaluation o f a specific partner’s capabilities and skills should be undertaken to see how they can
bring complementary strengths to the relationship. This also identifies whether a partner’s aims and
objectives are compatible with the overall strategic objectives and, in addition, takes account o f the
consideration for any potential e ffect on organizational procedures and processes together with legal
and regulatory requirements.
This positions the organization to undertake a structured approach to identification, evaluation and
selection o f appropriate partners. Figure 11 illustrates the steps through Stage 4.
Figure 11 — Partner selection (Stage 4)
8.5.2 Nomination of potential collaborative partners

The organization should nominate potential collaborative partners and establish an internal agreement
or the collaborative approach.
f

ISO 44002:2019(E)

This helps to identi fy potential partners across the market place where an investment in collaborative
working is likely to deliver added value. In terms o f customer acceptance, location, market reach and
cultural alignment, together with technical and resource capability, some partners fit better than
others. Any nominations should be balanced against internal strengths and weaknesses, focusing on
finding complementary skills, resources and capabilities. This initial selection process helps to reduce
administration costs.
The market should be examined for collaborative potential. External alliances, existing suppliers,
consortia and new suppliers should be assessed for how their strengths and weaknesses fit with the
organization and how they:
a) deliver the required capability;
b) assess their suppliers' market;
c) assess their aptitude for collaborative working.
Where the field o f choice is limited or perhaps the selection is customer driven, these assessments
should still be carried out to identi fy where the potential risks are with the prospective partner so that
they can be managed.
8.5.3 Partner evaluation and selection

The organization should ensure the partner selection process incorporates defined partner selection
criteria.
This highlights any resource implications that could be required and provides a structured approach to
identi fying the strengths and weaknesses o f potential collaborative partners, based on the needs o f the
initiating organization.
An assessment o f internal, external or customer partners is still use ful even when selection is a foregone
conclusion in that it provides insight into the risk and challenges o f managing the ongoing collaboration.
A partner selection action plan provides an audit trail, identifies owners and timelines for completion
o f actions. It should highlight the need to build in su fficient time to design and test the assessment
methods, train assessors, and conduct and report upon the results.

The criteria and process by which partners are to be selected should be capable o f being applied
equally, consistently and fairly to all those who may be evaluated. Initiators o f the selection process
can consider whether the competencies should be applied in the development or assessment o f people
in their own organization, where levels o f competence and collaborative behaviours are applicable to
the initiating organization. The outline criteria to be used should be in accordance with 5.3 and should
be refined and incorporated into the evaluation process. Where behavioural-based criteria are used,
it is important that high-level criteria are decomposed to a level to enable assessors to undertake a
valid, reliable and fair assessment. Where an organization has existing commercial processes for
partner evaluation, they should form part o f this and carry a weighting consistent with the criticality
o f collaborative competence and recognize any applicable regulations. It is important that selection
methods for behavioural and competence assessment are valid and reliable.

ISO 44002:2019(E)
There are a number o f qualitative, quantitative and repeatable assessment methods that can be utilized.
It is advisable to use a combination o f these rather than a single method.
a) Historical collaborative per formance trends: these can include existing matrices, balanced
scorecards, the European Foundation for Quality Management excellence model, the Malcolm
Baldridge National Quality Award, etc.
b) Behavioural assessment via scenario testing: simulating environments within assessment centres
to test real-li fe situations, ideally undertaken by team members in key roles that continue into
contract delivery.
c) Behavioural interviewing: selecting di fferent levels (executive management, operational) through
prospective partnering organizations to gather evidence o f past competence in the selected
criteria.
d) Interviewing customers and the supply chain: providing evidence o f the potential partners
collaborative culture.
e) Validated psychometric profiles.
f ) Testimonials: supporting evidence that answers specific questions about collaborative working as
standard practice, including testimonials from customers and the supply chain.
g) Re ference site reviews: testing the collaborative relationship in practice, gaining insight and
evidence o f the potential partner's collaborative culture, potentially evaluating components and
services that are being considered for use.
h) Use o f the MAP, see Table 8 .
Whichever approach is taken, a record o f the assessment, which can be validated and revisited in the
future, should be documented. Areas o f concern should form aspects o f the negotiations and possible
joint improvement plans. Wherever possible, a re-use o f the assessment results should be used to
in form collaboration development and improvement once the relationship has commenced.
NOTE Where external service providers are to be used to support behavioural and competence assessment
for partner selection, those commissioning the external support would benefit from following the guidance in
ISO 10667-1 for their own roles and responsibilities and to ensure the that service providers have the necessary
competence based on verifiable experience, training, education or credentials and that, when administering an
assessment, they follow standardized procedures for the delivery o f the assessment, such as ISO 10667-2.
8.5.4 Development of engagement and negotiation strategy for collaboration

The organization should establish an engagement and negotiating strategy, oriented to creating value
in collaboration, that is grounded in the business strategy, objectives and partner evaluation criteria.
A strategy should be developed for negotiating with potential partners. The way agreements,
requirements and partnering compatibility are negotiated is key to ensuring both parties achieve their
objectives and sets the tone for the relationship going forward. The negotiations should be pitched at
the right level to focus on the benefits and the longer-term stability o f the relationship rather than the
short-term opportunities, taking into account the technical and commercial capabilities/constraints o f
the partners.

ISO 44002:2019(E)

The organization should be prepared to take into consideration the potential partners' aims, aspirations
and priorities from the arrangement. Each relationship could need a di fferent approach. Negotiations
should be robust and outcome- focused while always keeping the end game in sight.
It should be recognized when discussing per formance measures that the key per formance indicators
(KPIs), which influence and drive behaviours in the relationship, are incorporated into the appropriate
agreement.
An engagement strategy should consider:
a) executive sponsorship;
b) joint objectives;
c) operational strengths and weaknesses;
d) the outcomes o f the partner selection process;
e) a joint exit strategy;
f ) a mutual value proposition;
g) commitment to joint innovation;
h) continual improvement;
i) roles and responsibilities;
j) market changes.
8.5.5 Initial engagement with potential partners

The organization should ensure that any engagement with potential partners reflects the desired
relationship outcomes.
How an organization approaches a potential collaborative partner can have a significant e ffect on the
future relationship and depth o f collaboration over time. Traditional approaches, which are frequently
based on opportunism, can undermine the trust and confidence o f the parties involved.
The organization should ensure internal agreement on the approach to be taken from initial engagement
through final agreement and ensure this is supported through the partner selection stage on the basis
o f mutual benefit.
8.5.6 Assessment of joint objectives

The organization will have existing business objectives and it should identi fy where collaborative
working can deliver shared benefits. Mutual goals and objectives should be jointly developed as part o f
the relationship formation process and aligned on an ongoing basis through the joint governance system.

ISO 44002:2019(E)

There should always be a recognition and focus on how, through collaborative working, the relationship
can achieve more. This helps when selecting the right partner. When specified in a contract, it gives a
common focus.
The organization should establish the shared common objectives for the collaborative organization.
Commercially sensitive in formation and competition constraints should be given due consideration.
However, the organization should seek to understand what its objectives are and build a dialogue
around common objectives to ensure the shared objectives are compatible.
Following this, it should be identified where objectives overlap and common goals can be achieved.
The following steps should be followed:
a) each party should identi fy their own objectives;
b) the rationale behind them should be explained to the other party;
c) common objectives should be established;
d) objectives that can be achieved without conflict or consequences should be established;
e) o f the remaining objectives, it should be established whether those that do conflict can be managed;
f ) finally, the joint objectives should be agreed and documented.
8.5.7 Assessment of joint exit strategy

The organization should undertake an initial assessment o f issues related to an exit strategy.
Understanding the long-term implications o f a collaborative engagement can be significantly enhanced
on all sides by identi fying those aspects that result from exiting an integrated relationship. For
individuals working within a collaborative relationship, the exit strategy clarifies those issues that
could constrain the level o f engagement.
The organization should jointly review all issues and impacts that could result from exiting the
relationship (see ISO 44001:2017, Annex E).
8.5.8 Selection of preferred partners

The organization should identi fy and select (a) collaborative partner(s).
A partner should be selected based on the results o f the discussions and evaluation in 6.3 , ensuring
that all aspects o f the selection process have been taken into account. The agreed partner should be
identified and notified in accordance with the corporate policy.

ISO 44002:2019(E)

At this decision point, with specific partners in mind, an action plan should be developed to bring the
organizations together by incorporation into a joint RMP.
Where legally allowed, feedback on areas for improvement should be provided to both selected and
unselected partners.
8.5.9 Initiation of joint RMP

The organization should initiate a joint RMP.

The joint RMP is likely to form a fundamental part o f the joint governance process and should provide a
record o f how and why the partner was selected. This establishes a foundation for those charged with
managing the collaborative programme. In some cases, it is advisable to include the RMP as part o f the
contract.

At this stage, the specific RMP should be updated to reflect the selection process and provide the
foundation to begin collaboration and create a joint RMP in accordance with ISO 44001:2017, Annex B,
incorporating:
a) assessment o f potential partners;
b) methodology for evaluating the collaborative capabilities and culture;
c) evaluation o f selected partners.
8.6 Working together (Stage 5)
8.6.1 General
“Working together” focuses on establishing the right environment to support collaborative working.
This is based on a sound foundation o f executive sponsorship, operational structure, governance, and
roles and responsibilities that e ffectively achieve the desired business objectives, operating practices
and appropriate per formance measurement.
Governance can provide clarity for those directly or indirectly involved to ensure a clear understanding
o f the parameters o f the relationship and how each party is to contribute and benefit from the desired
outcomes. This is particularly relevant to long-term relationships where participants and stakeholders
can change over time. Figure 12 illustrates the steps through Stage 5.

ISO 44002:2019(E)
Figure 12 — Internal assessment (Stage 5)
8.6.2 Establishment of the joint governance structure
8.6.2.1 General

T he organ i z ation s hou ld e s tabl i s h the appropri ate governance to s upp or t col l ab orative worki ng
and en s u re e ffe c tive op eration .

O p erati ng i n a col lab orative envi ron ment c an ch ange the role s and re s p on s ibi l itie s o f op erationa l
fu nc tion s . T he key to s ucce s s fu l col lab orati ve worki ng i s cla rity o f fo c u s a nd j oi ntly agre e d op erationa l
pro ce s s e s a nd management.

T he col lab orati ve p ar tners , thei r S E Rs and the j oi nt management te a m s hou ld agre e on the re qu i re d
pro ce s s e s a nd role s to del iver the agre e d obj e c ti ve s . Table 10 give s example s o f key i s s ue s that s hou ld
b e con s idere d, b o th p o s itive and negative, i n developi ng overa l l governa nce .
Table 10 — Example of a joint management model

Executive management (SERs)
J oi nt m a n agement te a m
Jo i nt obj e c tive s a nd p er fo r m a nce m a n agement
P a r tner ob j e c tive s P a r tner o b j e c ti ve s
Role s a nd re s p o n s ibi l itie s Role s a nd re s p on s ib i l itie s
P ro ce s s e s a nd s ys tem s a nd to ol s
C ontrac tu a l fra mework or agre ement
P r i nc ip le s a nd b eh aviou rs

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8.6.2.2 Joint executive sponsorship

The organization should identi fy the SERs or their appointed representatives for each organization to
support the joint programme.
A collaborative working relationship involves integrating operational approaches and cultural changes
within the constraints o f traditional contracting and operational needs. To overcome potential internal
barriers and manage challenges within the collaboration, there should be strong executive support,
helping to ensure the success o f any collaborative initiative.
SERs should have overall sponsorship and support for, and leadership o f, the joint management team.
They might not be involved in day-to-day operations but should oversee per formance. The organization
should establish clear responsibility for the success ful execution o f collaborative relationships. The
SERs should be the senior representatives overseeing and addressing issues that cannot be resolved at
the working level, whether these are operational issues or constraints that can arise from outside the
operating team.
The SER should:
a) have clear lines and su fficient authority;
b) align collaboration with corporate and operational objectives;
c) ensure compliance with corporate policy;
d) authorize and oversee application o f the CBRMS;
e) establish and model the cultures and behaviours;
f ) assign and support resources;
g) undertake high-level partner inter faces;
h) have a clearly identified position in both the operational governance and the organization's own
management chain;
i) ensure unambiguous roles and responsibilities are specified within the joint RMP.
8.6.2.3 Validation of joint objectives

The organization should validate the joint objectives and establish the core principles o f the
collaboration and e ffective measurements.

Whenever two or more organizations work together there are likely to be at least three sets o f
objectives:
a) rom the primary organization;
f
b) rom the collaborative partner;

f
c) rom the joint collaboration.

f

ISO 44002:2019(E)
T he obj e c tive s , the b enefits to e ach p ar ty and the role e ach plays i n del iveri ng or s upp or ti ng the s e
ai m s s hou ld b e u nders to o d . T he i nd ividua l obj e c tive s do no t h ave to b e the s ame a s long a s they a re
complementa r y a nd no t contrar y to the j oi nt obj e c tive .
C ol l ab orative worki ng c an re qui re cha nge s to op erati ng prac tice s i n many are a s . H avi ng cle a r obj e c tive s
enable s a l l s ta keholders to u nders ta nd a nd re co gn i z e the ai m s a nd the i nterdep endence re qui re d to
ach ieve them . I f obj e c tive s and d rivers for col lab oration are no t wel l defi ne d, it b e come s d i ffic u lt to
com mun icate the rationa le for s e eki ng ex terna l p ar tners , p ar tic u la rly where the s e relation s h ip s cou ld
a ffe c t i nterna l func tion s .
Wh i le obj e c tive s h ave b e en e s tabl i she d du ri ng the p a r tner s ele c tion pro ce s s , it i s fre quently the
ma nagement te a m that ta ke s them for ward . T he go a l s that are s e t, agre e d and refi ne d, where
appropriate, shou ld be cle arly unders to o d a nd s u itable p er forma nce me a s urements s hou ld be
e s tabl i s he d . I t c a n a l s o b e appropriate to con s ider s upplementar y obj e c tive s a nd ai m s as a re s u lt o f
developi ng the rel ation sh ip, s uch as j oi nt trai n i ng a nd ski l l s development.

T he p ar tners shou ld va l idate the j oi nt obj e c tive s b y en s u ri ng that:
a) they are cle a rly defi ne d;
b) they a l ign with the de s i re d outcome;
c) they are me as u rable u s i ng agre e d term s;
d) e ach p ar ty u nders ta nd s the obj e c tive s a nd thei r role i n del iveri ng them .
T he obj e c tive s s hou ld b e u nder pi n ne d b y a s e t o f core pri nc iple s for the relation s h ip that:
— promo te the de s i re d va lue s and b ehaviou rs;
— mo tivate the te am’s p er forma nce;
— mai nta i n a j oi nt fo c u s on the output o f the col lab oration;
— e xploit the s ynergie s o f the p ar tner organ i z ation s;
— promo te j oi nt owners h ip o f opp or tu n itie s , outcome s and ri s ks;
— promo te an envi ron ment for i n novation .
T he j oi nt management te am shou ld review the obj e c tive s and agre e wh ich are appropriate for
a col lab orative appro ach . T here are many p o tentia l obj e c tive s that can be add re s s e d th rough
col lab oration .
8.6.2.4 Operational leadership

T ho s e cha rge d with ma nagi ng the s e relation s h ip s shou ld h ave the e xp erience, ski l l s a nd wi l l i ngne s s to
d rive the col lab oration a nd, where ne ce s s a r y, ac tively s upp or t tho s e who are as s igne d to work with i n a
col lab orative envi ron ment and en s u re s ta keholder engagement.

O p erati ng i n a col lab orative ventu re i s l i kely to i ntro duce new ch a l lenge s to management, outs ide the
trad itiona l com mand a nd control mo del . E ffe c tive j oi nt management o f the bu s i ne s s relation sh ip i s key
to the s ucce s s o f any col lab orative i n iti ative . Where prac tica l, the app oi ntment o f a s i ngle j oi nt le ader i s
l i kely to e s tabl i s h the cle are s t fo c u s for i nte gration .

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It should be recognized that while many o f those who are evaluated could be success ful managers,
the requirements o f providing the leadership for a collaborative programme relies upon skills for
influencing and engaging other parties outside their own partner organizations. Skills in collaborative
leadership and strategic thinking might not be part o f the existing skill set. Potential leaders should
be identified and their capabilities for providing leadership o f a collaborative programme assessed
(see 5.2 ) and, where required, development support should be provided. Generic business skills, core
competencies, organizational enablers and critical behaviours are outlined in ISO 44001:2017, Annex C.
Partner organizations engaged in the collaborative programme can benefit by identi fying, and using for
this purpose, the critical leadership competencies identified for the specific collaborative programme.
An illustration o f common key leadership competencies for collaboration is provided below. These
include the competence to:
a) act as a role model: by communicating via their behaviour the values o f collaboration;
b) inspire an agreed collaborative vision: what a high per forming collaborative operation could and
should be like and getting the support o f the team;
c) challenge the status quo: undertaking and encouraging others, searching for opportunities to
improve collaboration and innovating beyond traditional role boundaries;
d) enable the collaborative team to act on a “best for programme” basis: fostering collaborative
working across teams, breaking down unnecessary barriers and challenging traditional role
boundaries;
e) encourage others: recognizing the contributions o f others, celebrating the successes and victories
o f collaborative working, facilitating others to provide leadership in their areas.
8.6.2.5 Joint management arrangements

In order to drive e ffective collaboration, there should be a management team drawn from or
encompassing appropriate representation from the partners, focused on delivering the joint objectives.

Any integrated collaborative approach is likely to a ffect the existing roles and responsibilities within
the organizations involved, o ften involving changes in reporting lines. A lack o f clarity can lead to
potential con fusion, ine fficiency, possible conflict and a dilution o f per formance.

A joint management team, should be established with appropriate accountability for the shared
function. The team should have a clear mandate and empowerment to ensure ownership and
per formance targets. Points o f contact, roles and responsibilities, authorities and dispute resolution
processes should all be defined. As the relationship starts to evolve, the management team should have
overall responsibility for delivering desired outcomes.
The joint management team should also have day-to-day control o f the necessary resources, avoiding,
wherever possible, duplication o f roles, to achieve the agreed joint objectives. All roles, responsibilities
and accountabilities should be clearly defined, documented and communicated.
In establishing the organizational structure within the collaborative team, positions should be filled by
those best equipped to carry them out on the basis o f technical competence, attitude and demonstrated
behaviours focused on the outcomes o f the collaboration.
Clear lines o f communication between all teams and their members, and in particular those providing
leadership to their teams, should be established and maintained.
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As collaborative working can be a new environment for some members o f sta ff, the various roles within
the collaboration should be communicated so that team members can see where they fit into the team
and the overall picture.
Behaviour is key to any success ful collaboration so key roles should be filled by those who demonstrate
the relevant behaviours in accordance with ISO 44001:2017, Annex C.
Key roles can include those:
a) involved in the management o f others;
b) that can have strong influences on others involved in the collaboration, including technical or
commercial;
c) involved in establishing operational inter faces between organizations;
d) engaged in any necessary change management.
The organization should consider the appropriate staged trans fer or transition where roles and
responsibilities are to cross between organizations in line with business development needs and
evolution o f the relationship. Educational training and support for individuals in the key roles should be
provided, where appropriate.
8.6.2.6 Joint communications strategy

The organization should establish and maintain e ffective communication across all stakeholders.

E ffective joint communication strategies ensure that everyone involved fully comprehends the rationale
and the changes that collaborative working can bring. Facilitating the sharing o f necessary in formation
supports the delivery o f collaborative objectives, recognizing that communication can significantly
a ffect behaviours throughout the duration o f the relationship.

Those involved should be identified by undertaking joint stakeholder mapping. A needs analysis should
be developed to ensure that each party understands what they need and when to deliver the objectives.
In addition, external stakeholders, such as customers, suppliers and shareholders, should be kept
informed.
The organization involved could already have highlighted areas where it is not prepared to share
in formation and these should be identified and communicated. The methods o f communication should
be consistent. For e ffective communication, the organization should assess which methods work where,
when and why. Specific consideration should be given to remote locations/operations. See Figure 13 as
a guide to developing a communications strategy.

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Figure 13 — Communications management model
8.6.3 Joint knowledge management process

The organization should establish a joint knowledge management plan.
One of the major advantages of working in collaboration is being able to harness the combined knowledge
of all partners. This is frequently recognized, but when in formation requirements and access are not fully
defined, it can later lead to conflict, undermining the relationship. A joint knowledge management plan
promotes transparency, avoids duplication, defines boundaries of in formation sharing and builds trust.

Knowledge mapping is a use ful approach. It should evaluate where the range o f in formation flows can
be jointly accessed and agreed to create a shared working environment. The level o f openness should
be defined by the partners as they develop their joint strategy in line with the relationship as it evolves.
At the outset, the focus should be on the prime objectives and evaluating what is needed to meet these
initial goals and evolve from there.
The organization should ask the following questions.
a) What do we need to share?
b) What can’t we share?

ISO 44002:2019(E)
c) Wh at wi l l help s ucce s s?
d) Wh at wi l l we cre ate?
T he p ar tners shou ld a l s o con s ider how to c apita l i z e on new i n formation i n order to c re ate fu r ther
opp or tu n itie s , i nclud i ng the re a l i z ation o f the b enefits to b e ob ta i ne d .
T he organ i z ation s hou ld con s ider the content o f Table 7 i n the conte xt o f s p e ci fic rel ation sh ip s , for
example:
— s cop e;
— obj e c tive s;
— i ntel le c tua l prop er ty rights (I PRs) ;
— data pro te c tion;
— new i n formation .
8.6.4 Establish joint risk management process

T he orga n i z ation s hou ld e s tabl i sh and do c u ment j oi nt ri s k ma nagement pro ce s s e s , i nclud i ng a j oi nt ri sk
register.
M anagi ng ri s k i s at the core o f a ny bu s i ne s s op eration and clarity a rou nd ri s k ma nagement i s a maj or
fac tor i n developi ng con fidence b e twe en col lab orative p a r tners . B ui ld i ng on the ri s k pro fi le th at h as
b e en develop e d, the p ar tners s hou ld s hare thei r j oi nt u nders tand i ng o f b o th com mon ri s ks and tho s e
that a re p er ti nent to e ach p a r tner or i ntro duce d b y the adop tion o f a col lab orative appro ach .
T he maj ority o f organ i z ation s h ave i nterna l ri s k ma nagement pro ce s s e s i nclud i ng ri s k regi s ters .
T he s e identi fie d ri s ks c an a ffe c t the overa l l p er forma nce o f the col lab oration or, convers ely, cou ld b e
m itigate d th rough a col lab orative appro ach . C omp e titive adva ntage a nd e arly identi fic ation c an b e
cre ate d b y e ffe c tive i ntegrate d ri sk s trategie s . T here fore, the p ar tie s s hou ld s ha re thei r ana lys i s and
adop t a com mon appro ach as th i s promo te s gre ater tra n s p arenc y a nd under pi n s tr u s t.
Ri s k i s a fac tor that i n fluence s ever y as p e c t o f bu s i ne s s and the b ehaviou rs o f tho s e cha rge d with
del iveri ng bu s i ne s s obj e c tive s . E ffe c tive management i ncre as e s con fidence and in many c as e s
overcome s concern s for i ntegration .
T he j oi nt pro ce s s o f managi ng ri s k s hou ld b e tran s p arent ac ro s s the col lab orative te am and emb e dde d
i n the c u ltu re o f the col lab orative rel ation sh ip . Wh i le a ri sk manager s hou ld b e i n pl ace, a l l te a m
memb ers s hou ld re co gn i ze thei r i nd ividua l role s i n identi fyi ng , ma nagi ng and m itigati ng ri s k.

T he j oi nt management te am s hou ld app oi nt the appropriate p ers on nel to b e re s p on s ible for the overa l l
identi fication and ma nagement o f ri sk with i n the col lab orative te a m . Ri s k pro fi l i ng shou ld provide a
b a s i s to identi fy ri sk and u lti mately, th rough col lab oration, e s tabl i sh a j oi nt pro fi le that en s u re s the ri sk
i s ma nage d by the p ar tner b e s t ab le to e ffe c t m itigation .
B y e ffe c tively i ntegrati ng ri s k re gi s ters and a l ign i ng s trategie s , tho s e worki ng i n col lab oration c an
appre ci ate the fu l l ex tent o f ri s k acro s s the pro gram me . B y j oi ntly a s s e s s i ng the whole pro gram me,
new ri s ks c an b e identi fie d e arl ier a nd b e s t- for-pro gra m me s olution s c an b e develop e d for a l l ri s ks .
T he p ar tie s shou ld sh are thei r ana lys i s and adop t a com mon appro ach as th i s promo te s gre ater
tra n s p arenc y, b e tter ri sk management a nd u nderpi n s tr u s t.

ISO 44002:2019(E)
To faci l itate an e ffe c tive j oi nt appro ach to ri s k management, there shou ld b e:
a) appropriate pro ce s s e s a nd to ol s i n pl ace to s hare ri sk i n formation;
b) a n agre e d pro ce s s for ri s k management with i n the rel ation sh ip u s i ng:
1) the defi ne d ri s k management pro ce s s from one o f the p ar tners with i n the rel ation sh ip;
2) a new pro ce s s forme d b y j oi n i ng elements o f ri s k ma nagement pro ce s s e s from e ach o f the
p ar tners;
3) a new ri s k ma nagement pro ce s s defi ne d j oi ntly b e twe en the p ar tners .
I t i s u s e fu l for the j oi nt ri sk pro fi le to i nclude identi fication o f wh ich p a r tner rai s e d the ri s k s o th at a l l
p a r tners unders ta nd the ri s k.
T he j oi nt ri s k re gi s ter s hou ld b e re ad i ly acce s s ible to a l l te am memb ers and refle c t the ri s k i s s ue s o f the
j oi nt appro ach , i n add ition to tho s e o f the i nd ividua l p ar tners . T he ri sk re gi s ter s hou ld cle arly defi ne
owners h ip for managi ng e ach identi fie d ri s k and, where p o s s ible, the p o tentia l a ffe c t a nd m itigation
appro ach to b e ta ken .
8.6.5 Operational process and systems review

T he organ i z ation s hou ld u nder ta ke a j oi nt bu s i ne s s pro ce s s review a nd i mplement op erationa l pro ce s s
i mprovements , as appropri ate .

T here s hou ld b e a cle ar pro ce s s for del iveri ng the de s i re d outcome s . C ol lab orative pro gram me s provide
a b as i s for a s s e s s i ng and mo d i fyi ng b o th i nterna l a nd j oi nt pro ce s s e s a nd h igh l ighti ng p o tenti a l pro ce s s
i mprovements . I mprovements shou ld b e e ffe c tively and s e am le s sly i ntegrate d i nto the op eration s .
I n many col lab orative i n itiative s , the orga ni z ation cou ld engage i n new ac tivitie s without appre c iati ng
the i mpl ication s a nd e ffe c t it cou ld have on e xi s ti ng pro ce s s e s , qua l ity ma nagement and conti nua l
improvement.
B u i ld i ng on the e a rl ier work o f the p ar tners a rou nd obj e c tive s , ri sks and s trateg y, the j oi nt te am shou ld
fo c u s on the fol lowi ng are as:
a) the hol i s tic pro ce s s e s that c a n b e reviewe d to identi fy i mprovement;
b) pro ce s s e s that have cle a r appl ic ation s in the relation s h ip and h ave b e en identi fie d as h igh
priority, p ar tic u l arly tho s e acro s s the organ i z ationa l b ou nda rie s , to en hance overa l l end-to - end
p er formance;
c) pro ce s s e s that c an b e i mprove d th rough the relation s h ip;
d) pro ce s s e s o f i ntere s t to the col lab orative p a r tner(s) , but wh ich do no t d i re c tly a ffe c t the i n itiati ng
organ i z ation’s pro gra m me;
e) pro ce s s e s that c a n fru s trate col lab orative appro ache s;
f) pro ce s s i mprovements that s e ek to i mprove c u s tomer s ati s fac tion and the del iver y o f bu s i ne s s
b enefit;
g) opp or tu n itie s , i . e . op en i ngs that c a n b e e xp loite d;

ISO 44002:2019(E)
h) innovations, i.e. ideas that can be developed.

This should enable partner organizations to identi fy areas o f potential benefit and create early wins for
the team, with key issues identified early for incorporation into formal contractual obligations.
Any critical actions identified should be managed through a series o f jointly agreed action plans and
balanced scorecards, which record what should be done, when and by whom. This can be focused
through a joint change management process or change management group, i f appropriate.
In many cases, these activities are within the domain o f the programme team leaders and their teams.
Where necessary, the programme team leader should seek support from the wider organization or
obtain executive approval for specific initiatives.
8.6.6 Measurement of delivery and performance

The organization should implement plans for delivery and per formance against agreed objectives. It
should measure, monitor and regularly review the plans to ensure per formance is maintained.

All parties should understand what success looks like and how this is measured over time against the
objectives o f the collaborative agreement and/or the contractual arrangement, and the e ffectiveness o f
the relationship in achieving the objectives.
The relationship per formance should be monitored on a regular basis to ensure the health,
sustainability, relevance and optimization o f the collaborative working arrangements.

I f objectives have been jointly developed against the SMART model (specific, measurable, achievable,
realistic and time-bound), then they already incorporate time and measurement. The joint objectives
should be clearly addressed within the joint governance processes.
E ffort should be made to establish interim milestone measurements and e ffective communication to
ensure that progress can be monitored and corrective action taken, where necessary. Inappropriate
measurement focused on short-term outputs rather than final outcomes can drive adversarial
behaviours.
Balanced scorecard reporting provides a mix o f subjective (perception) and objective reporting,
however, perceptions are real to those that have them and they should be incorporated to reflect
the “ feel” o f the various relationships. Reporting metrics should be jointly agreed and subsequent
per formance also jointly agreed, where appropriate. The balanced scorecard should provide a means
for directing management focus and enabling decision-making.
Where arrangements incorporate risk and reward formulas or value for money propositions, how
they are to be measured and evaluated should be defined. In many cases, where there can be a number
o f variables, a number o f scenarios should be developed to ensure that all parties are satisfied with
potential outcomes.
8.6.7 Improvement of organizational collaborative competence

The SER and the joint management team should periodically review the collaborative competence o f
their operations (see Table 11 for factors for consideration).

ISO 44002:2019(E)
Table 11 — Factors for consideration in reviewing organizational collaborative competence

Positive contributors to collaboration Negative effects on collaboration
Leadership
— Executive sponsorship — Unprepared employees
— Committed leadership — Poor behaviour management
— Early stakeholder engagement — Lack o f stakeholder commitment
— Lack o f collaborative skills
— Lack o f shared goals or too ambitious
— High focus on risk trans fer
— Hidden agendas
Strategy
— Clarity o f objectives — No clear vision
— Joint RMP — Goals set too far in the future
— Joint skills development — Quick fixes
— Joint change management — Lack o f strategic direction
— Joint exit strategy — Lack o f exit strategy
Operations
— Integrated planning — Poor communication
— Joint governance structure — Disregard o f the domino e ffect
— Joint risk management — Poor partner evaluation
— E ffective in formation sharing — Poorly defined measurement
— Early integration o f processes — Lack o f benefit analysis
— Appropriate per formance measurement — Ineffective dispute resolution
— Integrated continual improvement
— E ffective dispute management
Culture/behaviour
— Open book (i f appropriate) — Lack o f planning, preparation and time
— Good communication at all levels — Misunderstanding o f change
— Joint ownership o f success — Legacy o f previous change
— Behavioural charter — Employee resistance
— Fear o f failure
— Traditional thinking
— Failure to address cultural issues

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Over time, internal and external influences, including changes in personnel, can impact the per formance
and dynamics o f any relationship. Objective evaluation and continual improvement enhances the value
o f the relationship and maintains the ongoing ability to collaborate.
Joint reviews supported by internal audits can be a key tool for facilitating continual improvement and
identi fying good practice. These reviews can reveal early signs o f problems and provide the opportunity
to take action at as early a stage as possible to avoid more costly or disruptive actions later on.

Periodic reviews should be both scheduled and planned in addition to established management review
meetings. They should be:
a) scheduled: in terms o f time and frequency;
b) planned: in terms o f subject, etc.
When scheduling and planning reviews, consideration should be given to the following, as a minimum:
— assessment o f the behavioural measurements;
— operational per formance;
— process and systems improvements;
— lessons learned;
— skills assessments and development needs.
8.6.8 Establishment of a joint issue resolution process

The collaborating organisations should agree on a joint issue resolution process.

It is inevitable that in any relationship there are issues between the parties. The challenge is not that
issues arise but, more importantly, how they are handled. A robust process ensures an equitable
approach, which is likely to enhance the relationship.

The partners should agree on a process that fulfils the requirement given in ISO 44001. An example is
given in Figure 14.

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Figure 14 — Typical dispute resolution process
8.6.9 Establishment of a joint exit strategy
8.6.9.1 General

A joint exit strategy should be established to ensure that the partners have transparency and focus on
internal and external trends, which can influence the per formance o f the relationship and its potential
evolution.
A joint exit strategy enables partners to consider alternative solutions and options to address changes
and potential e ffects. The partners are likely to have embedded assets in the relationship (e.g. particular
skill sets or hard or so ft assets) that have a business value.
Additionally, defining the rules o f disengagement provides clarity for those involved in the relationship,
rein forcing their focus on e ffective engagement, as well as facilitating a smooth exit i f and when
appropriate.
The parties should jointly consider all aspects o f their relationship, objectives and contractual
obligations together with any implications that could be compromised or constrain engagement
through lack o f clarity should disengagement be necessary (see Table 12 ).

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Table 12 — Key items for exit strategy consideration

Key items
Service provision and continuity through trans fer: define the capability provision and detailed arrangements
for ensuring continuity.
Knowledge trans fer and data protection considerations.
Business management o f the trans fer process: roles, responsibilities and authorizations. Resources to be
assigned.
Intellectual property: consider the ownership o f IPR and the buyer should determine what intellectual
property licence arrangements are required when the capability is to be provided by another party.
Human resources assets: think through the potential application o f trans ferring employees and protection
against redeployment.
Assets: consider future ownership and arrangements for trans fer o f assets, e.g. book value, market value,
novation o f contracts down the supply chain, etc.
Facilities access and use to be assessed.
Contracts and licences: identi fy and plan arrangements for trans fer and novation.
Security and sa fety: consider implications.
Communication with key stakeholders: agree the need for all parties to draw up a communications plan during
the final stages o f the relationship.
Financial: consider base lines, charges, funding, cost o f exit and final accounts.
Consider warranties ownership and trans fer where applicable.
Assess likely training and handover requirements.
Determine the extent o f ongoing cooperation o f the original supplier and how they are to inter face with the
new supplier or customer.
8.6.9.2 Stakeholder impacts

The organization should identi fy the implications for the stakeholder community o f the conclusion o f
the relationship.

Collaborative initiatives carry implications for both those directly involved in the relationship as well
as the wider community, including customers and suppliers who could be downstream o f the primary
relationship.

The organization should review the stakeholder map and identi fy potential implications should the
relationship break down or where internal or external changes could result in the need to exit the
agreement.
8.6.9.3 Assets and commercial implications

The organization should identi fy the implication o f exiting the relationship in respect to investment in
assets and commercial obligations.

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As partners consider their investment profile associated with a collaborative agreement, it could
be necessary to protect specific investment plans. This can be significant and, in the case o f smaller
organizations, disproportionate to the benefits analysis o f the objectives.
Where investment in equipment, resources, sta ff and facilities could be necessary to fulfil the
requirements o f the arrangement, these need to be assessed should either party elect to or be forced
to exit the relationship prior to a considered return on investment duration. This issue should be a
consideration within any agreement or contractual commitment.
8.6.9.4 Management of staff

The organization should establish a mobilization and demobilization strategy for the relationship.
The behaviour o f individuals within a collaborative initiative is influenced by the potential e ffects
o f that relationship coming to a final or early disengagement. Uncertainty tempers engagement and,
through that, potentially per formance. For some, individual assignment to satellite collaboration
operations can distance them from future development within their own organization. Similarly,
recruiting personnel for a specific collaborative relationship could challenge organizations, large and
small, i f that relationship concludes prematurely.
The partners should jointly consider all sta ffing implications within the relationship to ensure equitable
and appropriate conditions are incorporated within any agreement.
8.6.10 Agreements or contracting arrangements

The organization should jointly establish the appropriate contractual arrangements or internal
agreements to support the collaboration.
This should be done to ensure all elements o f the agreement are collaborative and support the
appropriate collaborative behaviours. Formal agreements operated under a collaborative relationship
can become areas o f conflict, particularly i f expectations are not realized. Few agreements provide a
complete solution and the value o f a robust collaborative relationship is the ability o f the parties to
address issues without resorting to legal remedies.
In cases where the parties identi fy commercial or technical benefits from a collaborative relationship,
commercial considerations are likely to a ffect how the parties contract with each other. They could
then elect to incorporate collaborative terms within a formal agreement or establish agreed codes o f
conduct for multiple in formal relationships (where appropriate agreements have been signed up to
by all involved). Experience has shown that where appropriate behaviours and codes o f conduct have
been signed up to by all involved, this helped to mitigate against the “blame culture” and “boundary
conflicts”. In principle, a collaborative relationship could require less formal contractual governance
than one that is transactional because o f the higher levels o f trust.

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Forma l contrac ts c a n c re ate p o tentia l b arriers to col l ab orative b ehaviou r a nd s hou ld b e develop e d i n
p ara l lel with any overarch i ng col lab orative appro ach . C on s ideration for developi ng a contrac t s hou ld
b e b a s e d arou nd:
— business issues:
— va lue defi n ition;
— go a l s and defi n ition s;
— cle ar defi nition o f s cop e, b ou ndarie s , b enefits;
— exploiti ng adde d va lue;
— s ta keholder ma nagement;
— op erationa l i s s ue s:
— development/management KPI s;
— pro ce s s s tandard i z ation;
— d i s pute: i s s ue management;
— j oi nt plan n i ng pro ce s s;
— i ncorp orati ng com mon op erationa l a s s urance;
— qua l ity as s u ra nce;
— ch ange control;
— s er vice conti nu ity;
— com merci a l/management i s s ue s:
— op en b o ok: tra n s p a renc y;
— i ncentive s;
— authoritie s;
— con fidenti a l ity;
— j oi nt governa nce;
— s upply cha i n vi s ibi l ity;
— e ffe c tive ri s k ma nagement;
— tran s ition;
— bus i ne s s conti nu ity;
— role s and re s p on s ibi l itie s;
— a s s e t owners h ip;
— i ntel le c tua l prop er ty;

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— resource assessment/management;
— cultural/behavioural issues:
— flexibility;
— commitment to a joint RMP;
— empowerment;
— decision-making rights;
— behaviours and codes o f conduct.
The partners should jointly review and consider the contract to ensure that the terms incorporated
satis fy legal responsibilities but do not detract nor undermine the collaborative intent. Table 13 gives
examples o f contracting terms. Care should be taken using the terms in the right-hand column, as
these have the potential to be used in a non-collaborative way. It is also important that the contracting
arrangements should encompass a joint approach for an exit strategy.
Table 13 — Examples of contracting terms

Collaborative terms Potentially adversarial terms
— Joint objectives — Termination
— Risk and reward — Arbitration
— Per formance bonuses — Negligence
— Joint exit strategy — Liquidated damages
— Advance proactive payment — Dispute escalation
— Joint governance — Audit rights
— Health and sa fety — Claw back
— Key per formance indicators — Extended payment
— Innovation incentives — Pay when paid
— Business continuity — Service level agreements
— Conflict resolution — Per formance guarantees
— Joint training — Risk trans fer
— Corporate social responsibility/sustainability — Warranty
— Change management — Confidentiality
— Joint long-term planning — Change control
— Investment sharing — Ownership
— Knowledge trans fer — Document control
— Two-way reporting — Contract de fault
— Communications flow — Intellectual property

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8.6.11 Establishment and implementation of the joint RMP

The organization should update the RMP to create a joint management platform to align with the joint
objectives.
Creating a joint RMP provides a record o f the approaches and agreements undertaken to the point o f
formalizing the collaboration. It also provides the relationship plat form for ongoing management o f the
relationship.
Appropriate behaviours and codes o f conduct signed up to by those involved help to build trust and
mitigate against the “blame culture” and “boundary conflicts”.

The parties should agree the joint RMP, see ISO 44001:2017, Annex B. The joint RMP should capture the
key elements o f a collaborative relationship to provide clarity for all involved in the collaboration. It
should also identi fy critical success factors and where the expectations o f the partners can be facilitated
through collaboration.
Where mutually agreed by the parties, it can be beneficial to incorporate the joint RMP within, or as an
annex to, a specific contractual arrangement.
Joint management should be balanced between the parties and should bring together the appropriate
skills and capabilities. E fforts should be made to avoid duplication o f resources, which reduces e fficiency
and could lead to potential conflict.
In the case o f independent, multiple relationships, there should be a common RMP that incorporates
a formal representation o f how the parties work together collaboratively, which should be jointly
developed with, and approved by, all parties.
— identi fy key areas o f concern or constraint for each organization;
— identi fy a joint process to manage knowledge and in formation flows across the relationship;
— establish a joint programme to assess and develop skills across the relationship;
— incorporate focus change or improvement programmes;
— establish joint risk and opportunity management.
8.7 Value creation (Stage 6)
8.7.1 General
“Value creation” is specifically focused on establishing approaches that seek to build additional value
out o f the joint relationship beyond that which is originally agreed (see Figure 15 ). While collaborative
relationships can be initiated with a specific objective, continual improvement and the broader
expectations o f the partners outside the agreement are to be integrated as the relationship progresses.
This is likely to bring extra benefits from working together but also provide a basis to ensure that
the organization fully utilizes the potential o f the relationship in meeting joint objectives and goals.
The organization develops a structured approach, including operational per formance improvement,
resources optimization, process enhancement, waste and cost reduction.

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Figure 15 — Value creation (Stage 6)
8.7.2 Establishment of the value creation process

A process should be put in place for the creation o f ideas and innovations within a collaborative
relationship to seek new opportunities and help overcome internal constraints and reluctance to change.
Collaborative working and, specifically, understanding what can enhance per formance, provides a
baseline from which to consider initiatives that can improve both the operational relationship and the
outcomes o f the collaboration.
A structured approach ensures that value development remains a consistent aspect o f the relationship,
which can also provide an indicator o f the strength o f a relationship. In addition to this, the organization
creates value for their stakeholders while also meeting the demands o f the marketplace. The approach
has constant agility and flexibility in order to meet such a complex and volatile environment. Value
creation programmes should maintain focus on the end customer while capturing potential benefits for
all participants.

The joint management team should establish a robust selection process for value creation. They
should also maintain and regularly review a record o f value creation activities, including the resulting
outcomes and any innovations and benefits. Collaborative initiatives can be introduced in, and across, a
variety o f sectors (public, private and voluntary). In each case, the focus for value creation can be quite
di fferent and should be established (see Table 14 for examples o f value creation targets).
The joint management team should define and implement a programme to identi fy potential constraints
and areas for improvement that is open to contributions from collaborative partners (see Table 14). This
can include initiating work streams and allocating appropriate investments to explore the emergent
options, and identi fying di fferent types o f innovation, such as:
— internal, e.g. process and technical improvement;
— industry, e.g. techniques and technology;
— environment, e.g. standards, legislation, market;
— customer driven, e.g. changes in demand.
Joint innovation related activity can include:
— future business scenario analysis;
— current business analysis, e.g. SWOT;
— market research, e.g. customer forums;
— creativity techniques, e.g. brainstorming;

ISO 44002:2019(E)
— s c re en i ng p anel s for ide a s , a s s e s s i ng ide a s and prioriti z i ng re s ou rce s b as e d on p o tenti a l va lue and
e as e to i mplement;
— d i s c u s s ion foru m s , away days;
— ta rge te d workshop s , e tc . ;
— s olution development a nd pi lo ti ng.
Joi nt conti nua l i mprovement ac tivitie s c an i nclude:
— le arn i ng reviews triggere d b y rep e titive i s s ue s or d i s s ati s fac tion;
— ac tivity b a s e d co s ti ng;
— pro ce s s i mprovement, e . g. L e a n, s i x s igma .
T he s e ac tivitie s add re s s i s s ue s s uch as:
— s er vice i mprovement and co s t re duc tion cha l lenge s;
— pro ce s s up grad i ng;
— c u s tomer s ati s fac tion development;
— new appro ache s for pro duc t a nd s er vice qua l ity en ha ncements .
Table 14 — Value creation targets

Total cost of ownership Cycle time Operating processes
— C o s t s avi ngs — Fa s ter en gagement — I nc re a s e d e ffic ienc y
— C o s t avo ida nce — Re duce d ti me to m a rke t — Re duce d dup l ic ation
— Ri s k a nd rewa rd — I mp rove d p l a n n i ng — Fa s ter de c i s io n-m a ki n g
— Reduced contingencies — S ho r ter p ro gra m me s — I mpro ve d i nte gratio n
— Re duce d cl a i m s — Reduced overruns — Re duce d co n fl ic t
Resources Specification/Scope Performance

— Optimized resources — B e tter va lue fo r mo ne y — C l ient con fidence
— Re duce d m a n agement — O p ti m i z e d s ta nd a rd s — I nc re a s e d e ffe c tivene s s
— E n h a nce d c ap ab i l ity — I nte grate d s olutio n s — Re duce d r i s k
— Improved competencies — I nc re a s e d i n no vatio n — Gre ater s u s ta i n ab i l ity
— I mprove d b eh aviou rs — Jo i nt re s e a rch a nd de velop ment — I nc re a s e d m a rke t re ach
8.7.3 Identification o f improvement and setting o f targets

T he organ i z ation s hou ld identi fy i s s ue s a nd are a s o f i mprovement.

Fo c u s s hou ld b e place d on i mprovement pro gra m me s th at encou rage the s tatu s quo to b e ch a l lenge d .
I n novation c an b e h i ndere d b y trad itiona l and con s er vative th i n ki ng s uch a s “we have a lways done it
th i s way”. C ol lab orative ventu re s o ffer b enefits i n term s o f i n novation b y l i n ki ng s ki l l s and e xp erience

ISO 44002:2019(E)
across organizations. Within a collaborative relationship, new ideas can be tested without initially
challenging internal structures.

An improvement team should be set up to produce a wide variety o f improvement programmes based
on input from partners. This focus enables a balanced approach to deploying appropriate resources. In
selecting initial projects, focus should be maintained on the target areas o f value creation. Even in the
case o f innovative approaches that cannot immediately be quantified, measures that enable e ffective
monitoring should be established. The evaluation criteria to be used should be agreed jointly by the
collaborative partners, e.g. for a cost initiative, the criteria could include the questions given in Table 15 .
Table 15 — Example of evaluation criteria for value drivers

Performance Cost Time
— Does this help customers? — Does this reduce costs? — Does this save time?
— Would this improve our work? — Does this add value? — Does this help others?
— Does this increase revenue — Does this help avoid potential — Does this improve inter faces?
and/or profit? mistakes?
— Does this avoid duplication?
— Does this enhance the product? — Does this use resources more
e ffectively? — Does this make li fe easier?
— Does this create new market
opportunities? — Does this reduce risk?
— Does this increase job — Does this reduce waste?
satis faction?
— Does this reduce inventory?
— Does this improve quality?
8.7.4 Use of learning from experience

The organization should establish a process to ensure learning from experience.
Organizations o ften approach the relationship from di fferent starting points and di fferent business
sectors have specific challenges.
Establishing a process to learn from experience helps both organizations take advantage o f the
experiences, not only o f the collaborative venture, but from each other. Regular communication should
take place to ensure that, as the relationship evolves, the experiences are fed back into future operating
approaches. In many cases, working with an external partner can create a greater understanding and
frequently challenge internal perceptions at the same time as generating new knowledge that should
be captured around collaborative challenges, successes and failures, together with identi fying new
opportunities.
A framework/structured approach should be established for communication and the promotion o f
sharing knowledge and skills. This should be done at set intervals or at specific times in the programme,
at key personnel changes, for example:
a) at specific times in the programme (e.g. where there is a significant change in programme scope,
moving into a new phase or there is a change in the structure or o f the parties involved);

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b) through a standing agenda item;

c) through workshops;
d) drawing on partners' past experience in addressing current issues.
The outputs should be documented and presented as a record that can be communicated, tracked and
embedded within the joint RMP and, where appropriate, within the respective partner organizations.
8.7.5 Updating of the joint RMP

The organization should update the joint RMP as necessary.

This ensures the processes initiated are clearly visible to all participants.

At this stage, the joint RMP should be updated to reflect value creation processes and approaches to
ensure there is visibility o f value creation drivers, mechanisms and initial improvement targets.
See ISO 44001:2017, 3.10, for the definition o f “competence”, and ISO 44001:2017, Annex B, for further
in formation on:
a) incorporating value creation and innovation processes;
b) incorporating continual improvement programme;
c) establishing a process for monitoring value, creating initiatives and assessing outcomes.
8.8 Staying together (Stage 7)
8.8.1 General
“Staying together” addresses the ongoing joint management o f collaborative initiatives, which ensures
the relationship is sustainable and continues to deliver value to the partners, giving an optimized
per formance. This is done through e ffective monitoring and measurement o f the per formance and
the relationship, ensuring that it remains focused on the agreed business objectives. It covers the
monitoring o f appropriate policies and processes, maintaining behaviours that support collaborative
working. During the li fe o f any relationship there are issues and potential conflicts that are addressed
and managed where necessary. A structured approach is used to maintain the joint exit strategy (see
Clause 10) and regular reviews ensure that the collaboration remains valid in relation to market,
environmental, technical and partner changes. Figure 16 illustrates the steps through Stage 7.

ISO 44002:2019(E)
Figure 16 — Staying together (Stage 7)
8.8.2 Oversight by the SERs

The organization should ensure regular SER reviews.

The key principles and objectives, agreed by the joint governance during the working together stage
should be regularly reviewed to ensure they remain valid and are supported at all levels to drive
appropriate behaviours and attitudes.

Regular planned reviews and feedback on behaviours are as important as per formance reviews and
should test whether the relationship principles or specified behaviours are being adhered to. Feedback
should be across all parties in the collaborative programme, and cite specific examples o f both good
and poor collaborative behaviours. Where appropriate, remedial or development actions to improve
behavioural per formance o f teams or individuals, or to resolve any issues, should be a commitment by
all parties.
Per formance measures should be reported and communicated to all partners. Balanced scorecard
techniques can be e ffective for this as they readily identi fy key achievements and highs and lows
relating to jointly agreed measurement metrics.
Any reporting metrics used should be jointly agreed and subsequent per formance also jointly agreed,
where appropriate. Reporting methods provide a mix o f subjective (perception) and objective reporting,
however, perceptions are real to those that have them and they should be incorporated to reflect the
“ feel” o f the various relationships. The organization should ensure that new personnel are properly
inducted into collaborative teams.
8.8.3 Management of the joint relationship

The organization should ensure the ongoing joint management o f activities in accordance with its
objectives and governance.

ISO 44002:2019(E)

Collaborative relationships should be consistently re freshed and sustained with e ffective joint
leadership continuing to exercise its authority and responsibility in order to maintain the ongoing
success o f the relationship.
The SER should continue to support the joint management team as defined in the joint agreement.
The joint management team and the SER should monitor changes in circumstances and then determine
appropriate action.
The ongoing role o f the joint management team should include:
a) leading the team(s) through the implementation challenges o f transition, delivery or change;
b) supporting and coaching the team(s) in both delivery and in collaborative ways o f working;
c) recognizing and rewarding the team(s) for exceeding agreed per formance targets.
Continuing activity at this stage in the relationship should have a strong emphasis on managing
delivery, including:
— strong project, programme or service management;
— issue monitoring and resolution;
— risk monitoring and mitigation;
— negotiation and management o f change;
— promoting innovation in order to take advantage o f new market opportunities.
8.8.4 Implementation of monitoring of behaviour and trust indicators

The organization should establish a process to monitor, measure and review per formance in terms o f
outputs, risk, alignment, behaviours and trust. Appropriate behaviours should be fostered to support
solution seeking communicators who are com fortable with change, forward looking and have a
relationship-building attitude. This promotes a culture where there is a consistent focus on the joint
goal and the output to be delivered.
The relationship's per formance should be monitored on a regular basis to ensure the health,
sustainability and relevance o f collaborative working arrangements. During the li fe cycle o f any
collaborative relationship there are continual tests placed on the relationship, such as changes to the
business circumstances o f any o f the partners, including organizational changes, changes in personnel,
together with day-to-day operational issues. Any o f these can a ffect behaviours and trust and, thus,
a ffect per formance.
Trust is a key ingredient in optimizing per formance and develops over time, based on past and
anticipated per formance and behaviours.
The e ffectiveness o f a collaborative relationship changes over time due to:
a) internal or external influences;
b) changes in personnel;

ISO 44002:2019(E)
c) changing perceptions;
d) the quality and volume o f outputs delivered by the relationship compared with those expected.
Both the outputs and the corresponding maturity o f the collaborative behaviours and ethos should
therefore be monitored.
A set o f tools, techniques and processes should be established to objectively test the health and maturity
o f the venture and its supporting relationship(s). Measurements should include both quantitative,
e.g. service level agreements (SLAs)/operating level agreements (OLAs) and results and qualitative
aspects, including behaviours, trust levels, competencies, skills and attributes. Measures should be
linked back to business objectives and processes used during partner selection.
The appropriate tools and techniques should be used in a disciplined and systematic manner and should
include, but not be limited to:
— an objective method o f relationship assessment used on a regular basis to monitor the strength and
quality o f the relationship, covering:
— how closely the business requirements and aims o f the collaborating companies are aligned;
— to what extent value continues to be delivered for all partners;
— to what extent delivery expectations are being met;
— maturity o f collaborative behaviours by the partners;
— the levels o f commitment between the partners;
— the level o f trust between the partners (see Table 16);
— a process o f continual improvement, which is implemented to improve the value o f the collaboration
and remedy any areas o f weakness and which is fed into the joint RMP.
The joint management team should regularly measure per formance and undertake any necessary
actions.
Table 16 — Examples of enabling behaviours
Aspects of trust Commentary
Per formance How individuals or organizations per form is a key re ference point for building a
relationship based on trust, where trust comes from an expectation that others do
what is expected o f them.
Openness When individuals or organizations are perceived as being transparent in the way
they behave and share in formation, this underpins the concept o f trust.
Honesty This is a sensitive issue but one that is o ften very personal between individuals,
however, this is reflected by how organizations define the rules o f engagement for
its personnel.
Responsiveness How individuals or organizations react to questions or challenges is a crucial
factor in building confidence and, thus, trust in their willingness to collaborate.
Commitment The way others are perceived is o ften a reflection o f how committed they are
considered to be to work in building a relationship.
Fairness This is frequently a very personal perception but one that greatly influences
responses to others and how relationships are evaluated.
In formation sharing Knowledge sharing is a key ingredient o f any e ffective relationship and frequently a
key aspect o f building trust and likewise an indication o f poor trust when not done.

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Table 16 (continued)
Aspects of trust Commentary
C o m mu n ic ation M a i nta i n i ng a go o d flow o f i n fo r m ation b e twe en o rga n i z atio n s a nd i nd i vidu a l s i s a
cle a r fac i l itator for c re ati n g e ffe c ti ve rel atio n s h ip s .
E a rl y wa r n i ngs Tr u s ti n g rel atio n s h ip s a re fou nde d on mutu a l b ene fit a nd tolera nce; e a rl y
i nd ic atio n s o f p rob lem s a nd d i s pute s re fle c ts con fidence th at tr u s t i s s ha re d
a nd p romp t wa rn i ngs o f i s s ue s c a n b e voice d .
E x tra m i le For mo s t i nd ividu a l s tr u s t come s from the convic tion th at, when ne ce s s a r y, the
p a r tner a lways go e s the e x tra m i le to me e t go a l s a nd ob j e c tive s .
8.8.5 Continual value creation

T he organ i z ation s hou ld re gu l arly mon itor and review va lue cre ation a nd conti nua l i n novation .

Relation sh ip s cou ld ne e d to ch ange i n l i ne with the changi ng bu s i ne s s ne e d s a nd obj e c tive s o f the
p ar tie s i nvolve d . I t i s key that the col l ab oration conti nue s to del iver va lue a nd i n novation . P rovid i ng
evidence o f the ta ngible va lue a nd i n novation del ivere d a l lows the S E Rs to as s e s s whe ther the c u rrent
bu s i ne s s c a s e for the col lab oration i s b ei ng me t. T h i s demon s trate s re as on s for the relation s h ip to
conti nue or for d i re c ti ng reme d i a l ac tivity.
B y conti nua l ly mon itori ng and reviewi ng the va lue c re ate d, the S E Rs and j oi nt ma nagement te a m a re
able to en h ance s u s tai nable p er forma nce and re s p ond to cha nge .

Va lue cre ation and conti nua l i n novation, ari s i ng from the col lab orative relation s h ip , s hou ld b e regu larly
monitore d and reviewe d i n order to exploit the p o tentia l j oi nt b enefits that c a n ari s e . T h i s s hou ld d raw
from the va lue cre ation pro ce s s (s e e 8 .7. 2 ).

8.8.6 Delivery of joint objectives

T he organ i z ation s hou ld ma i ntai n a cle ar fo c u s on del iveri ng agre e d p er formance b y e ach p ar ty.

C ritic a l to ma i ntai n i ng a s ucce s s fu l rel ation sh ip i s del iver y agai n s t agre e d obj e c tive s . Per formance
dep end s on the re s p e c tive p a r tie s b ei ng cle a r ab out outcome s a nd worki ng e ffe c tively to ge ther to
fu l fi l thei r role s and ob l igation s . T he p ar tie s shou ld ke ep j oi nt p er forma nce u nder review to en s u re it
accom mo d ate s bu s i ne s s change s .

Pa r tie s enteri ng i nto a col lab orative worki ng mo del s hou ld eva luate how to ma i ntai n he a lthy,
s u s ta i nable and va lue d relation sh ip s with i n the col lab orative envi ron ment, and how to en s u re
a l ign ment o f s trateg y, obj e c tive s a nd i ncentive s .
T he j oi nt management te a m shou ld i n s tigate a n agre e d and appropri ate p er forma nce me a s urement
appro ach, i nclud i ng:
a) appropri ate rel ation sh ip me as u rement;

ISO 44002:2019(E)
b) agreed per formance objectives;

c) KPIs;
d) value generation initiatives;
e) joint risk avoidance;
f ) mitigation measures;
g) appropriate incentives.
8.8.7 Analysis of results

The organization should implement a SER review o f monitoring, measurement and per formance.
This supports and maintains the e ffectiveness o f the relationship by regularly reviewing and monitoring
the established measures and facilitating continual improvement o f its management and per formance,
determining any action required.
Under the direction o f the SER, regular reviews should be established at an appropriate management
level and appropriate intervals to review and monitor the per formance against the measures in
accordance with 8.6.6 .
These can be incorporated as an agenda item into existing, regular joint management reviews or as
separate items. The results and conclusions o f these reviews should be recorded and communicated to
the appropriate stakeholders and those appointed to implement identified actions. The frequency or
focus o f the reviews could need to change as the relationship matures.
In support o f these reviews, reporting mechanisms should be established to gather and present the
monitoring and measurement results at the required intervals.
The joint management team should examine the results o f the measures to determine what is going
right and why, as well as what could be going wrong and why, comparing with previous per formance
and ongoing actions to:
a) determine the current position o f the relationship;
b) identi fy continual improvement actions to address issues identified in the measurement results.
As a result o f the review, action plans should be updated to review whether existing improvement
projects should continue unchanged, new projects should be started or any projects are no longer
required.
8.8.8 Issue resolution

The organization should establish and maintain a process for issue resolution.

Issues or disputes in business relationships include day-to-day operational problems, as well as further
reaching occurrences, that can have commercial or strategic a ffects. They are either suppressed until it

ISO 44002:2019(E)
i s to o late to de fu s e the con fl ic t or e s c a late d c au s i ng fric tion . I s s ue s s hou ld no t b e con s idere d ne gative,
as they are fre quently the d rivers for i n novation and hand l i ng them wel l i s i nd ic ative o f a s trong
relation s h ip .

I s s ue s s hou ld b e re s olve d b y fo c u s i ng on the j oi nt obj e c tive s o f the col lab orative rel ation sh ip . C le arly
defi ne d a nd j oi ntly accep te d obj e c tive s shou ld ac t as a bridge to a ny re s olution i n the event o f any
problem s . Re s olution o f i s s ue s shou ld s tar t at the lowe s t p o s s ible level with a cle a r ti me -b ound
appro ach, shou ld the i s s ue ne e d to b e e s c a late d .
T he pro ce s s for lo ggi ng , s olvi ng a nd e s ca lati ng i nter face i s s ue s shou ld b e manage d pro ac tively at a l l
level s and i ncorp orate d with i n governa nce .
T he i s s ue s regi s ter/ lo g s hou ld b e reviewe d b y the j oi nt ma nagement te am, or an appropri ate s ub s id ia r y
b o dy, who s hou ld as s e s s it a long with o ther i nputs and then advi s e on a s olution, where appropri ate,
th rough ac tion pla n s a nd mo d i fic ation s . I s s ue s c an b e avoide d b y u s i ng a s trate g y, pla n a nd/or pro ce s s
for identi fie d i s s ue s and ri sks lo gge d i n the ri s k re gi s ter. Ri s k regi s ters s hou ld b e up date d and reviewe d
with the s ame fre quenc y a s p er formance rep or ti ng. S E Rs shou ld b e i nvolve d i n re s olvi ng i s s ue s that
cro s s i nterna l a nd ex terna l organ i z ationa l b ou nda rie s .
NO TE S e e I S O 4 4 0 01 : 2 017 8 . 2 .7 a nd 8 . 3 . 5 , for de ta i l s on the i n iti a l r i s k a s s e s s ment a nd the r i s k m a n agement
process.
T he fol lowi ng a re s ome e xample s o f a re a s where i s s ue s c an a ri s e .
a) Relation s h ip s: has there b e en a bre a kdown o f tr u s t and how ha s th i s b e en demon s trate d?
b) Role s and re s p on s ibi l itie s: a re the s e cle a r?
c) C om merci a l: i s the com merci a l con s truc t a ffe c ti ng ne gatively on the bu s i ne s s relation s h ip?
d) M arke t: h as there b e en a ch ange i n the marke t that ha s a ffe c te d the relation sh ip?
e) P ro ce s s: what pro ce s s e s have b e en a ffe c te d and what h as b e en the a ffe c t?
f) C om mu n ic ation: ha s there b e en a bre a kdown i n com mu nic ation?
8.8.9 Maintenance of the joint exit strategy

T he orga n i z ation s hou ld mai nta i n the j oi nt exit s trateg y i n l i ne with developments , b o th i nterna l a nd
externa l .

T he e xit s trateg y, i nclud i ng a n e xit management plan, help s to identi fy key i s s ue s a s s o ci ate d with
d i s engagement. I t a l s o a l lows orga n i z ation s to con s ider tho s e as p e c ts o f d i s engagement th at cou ld
i mp e de worki ng to ge ther.

O rga ni z ation s s hou ld no t wa it u nti l d i sb a nd i ng the rel ation sh ip is cer tai n b e fore de cid i ng how to
d i s s olve it. D e ci s ion s made at that late s tage are o ften con fu s e d b y con fl ic ts o f i ntere s t. T he exit s trateg y
shou ld b e j oi ntly agre e d at the worki ng to ge ther s tage (s e e 8 . 6 .9) a nd i ncorp orate d i nto the contrac tua l
or col lab orative agre ement, j oi ntly reviewe d on a regu lar b as i s th roughout the s tayi ng to ge ther s tage
as p ar t o f the ongoi ng management (s e e 8 . 8 .9) a nd s hou ld i nclude:
a) i nterna l o r ex terna l cha nge s;

ISO 44002:2019(E)
b) impacts on customers, suppliers and stakeholders, including reputational issues;

c) learning from experience reviews;
d) market changes;
e) organizational changes;
f ) contractual limitations;
g) per formance issues;
h) changes to disengagement plans.
The joint management team and SERs should openly debate any potential changes to customer
requirements, per formance o f the supplier, stakeholder views, technological or innovative advances in
their markets and any future acquisition opportunities (subject to confidentiality considerations) to
assess whether these could a ffect the future position o f the business/contractual relationship.
Where new products, services or business models are being developed as part o f a collaborative
relationship, the implications o f exiting the relationship should be considered. The implications o f
both parties owning these developments should be taken into account, including but going beyond
issues o f IPR.
Reviews can be required more frequently as objectives are completed to provide confidence that
it remains fit for purpose. There does not need to be a predetermined frequency for formal review.
However, to ensure it is not overlooked, the joint management team should include this as an agenda
item at least annually to consider i f a detailed review is needed.
8.8.10 Maintenance of the joint RMP

The organization should regularly maintain the joint RMP.
This acts as a milestone at regular and appropriate periods throughout the relationship to prevent
misunderstandings occurring and to ensure that requirements and objectives are clearly defined. It
shows continued commitment and identifies future methods to improve collaborative working.
The joint RMP should include all in formation and activities that are required to maintain and enhance
the relationship. As a result, the joint RMP should be reviewed periodically either at defined frequencies
in keeping with the nature and needs o f the relationship or at key milestones.
The joint management team and SERs should undertake a review, which includes:
a) the agreed vision, objectives and critical success factors for the relationship (mutual expectations);
b) the level o f investment/resource required to support developing the relationship and the
willingness/ability o f the parties to provide this;
c) an assessment o f the strengths and weaknesses o f the relationship;
d) an action plan for development/improvement o f the collaboration.

ISO 44002:2019(E)
At this critical stage in the collaboration, when the measures o f per formance are being analysed and
conclusions drawn, it is an ideal point to review the collaboration to ensure it is meeting its objectives
and achieving the desired and expected levels o f per formance, which could include:
— structure o f the collaborative team(s);
— roles and responsibilities;
— processes for managing the relationship;
— measures for monitoring the quality o f the relationship;
— processes for education;
— other supporting systems and processes;
— required competencies;
— behaviours.
At the end o f this process, the joint RMP should be updated to reflect the outputs o f this review to
incorporate:
— a joint programme for reviews, per formance measurement and reporting;
— a process for issue resolution at the appropriate levels;
— measures to monitor and maintain appropriate behaviours.
8.9 Exit strategy activation (Stage 8)
8.9.1 General
“Exit strategy” addresses developing and maintaining an e ffective strategy for disengagement, also
incorporating, where appropriate, a transition plan for ensuring business continuity and customer
support (see Figure 17 ).
Market dynamics change over time and the prevailing conditions at the outset o f the relationship that
drove the terms o f engagement could no longer be valid. The arrangement is regularly re-assessed to
see whether continuing with the collaborative relationship is still mutually beneficial.
For many organizations and individuals, their reluctance to fully engage with partners is o ften based
on a lack o f understanding o f the implications about the end o f a business relationship. This reluctance
is likely to a ffect overall per formance. There fore, clarity for all participants in terms o f the key issues is
to be addressed.
A structured approach to developing a joint exit strategy helps to align it to the business objectives,
ensure it is regularly reviewed and incorporates identification, evaluation and risks associated with
disengagement.
Figure 17 — Exit strategy (Stage 8)

ISO 44002:2019(E)
8.9.2 Initiation of disengagement

T he organ i z ation shou ld i mplement control le d d i s engagement, as appropriate .

I n s ta nce s that c a n ne ce s s itate e xiti ng the relation s h ip are mo s tly evident a nd they emerge th rough
defi ne d pro ce du re s , s uch a s regu la r p er forma nce monitori ng or s udden events . H owever, o thers c an
emerge gradua l ly and j udgement s hou ld b e appl ie d a s to whe ther the ch ange s are s ign i fic ant enough to
merit exit.
For the overa l l b enefit o f s p e c i fic relation s h ip s b e twe en organ i z ation s , there i s l ittle p oi nt mai ntai n i ng
a relation s h ip i f it i s no longer b enefic ia l to the p a r tie s . E xit shou ld there fore b e s e en as a p o s itive s tep
for b o th p a r tie s .

T he e xit s trate g y s hou ld h ave b e en reviewe d at regu la r i nter va l s (s e e 8 . 8 .9) to en s u re a s mo o th
tran s ition o f tho s e i s s ue s under the control o f the p ar tners . B e fore ac tivati ng the d i s engagement plan,
the p ar tners s hou ld review thei r j oi nt pla n, wh ich c an i nclude:
a) j oi nt l iabi l itie s;
b) term i nation cond ition s;
c) bu s i ne s s conti nu ity;
d) i ntel le c tua l prop er ty;
e) c u rrent com m itments;
f) i mpl ic ation s for c u s tomer/s upply cha i n;
g) ma rke t re ac tion;
h) i mp ac ts on s ta ff;
i) s che du le s for demobi l i z ation .
8.9.3 Business continuity

T he orga n i z ation shou ld under ta ke a bu s i ne s s i mp ac t as s e s s ment relative to col lab orative worki ng a nd
bu s i ne s s conti nu ity.

Worki ng col lab oratively re s u lts i n organ i z ation s pl ac i ng gre ater rel ia nce on p ar tners to del iver the
re qu i re d outputs . T h i s ca n re duce the level o f d i re c t control that an orga ni z ation h as and, as s uch, cou ld
i ntro duce new ri s ks to the bu s i ne s s and bu s i ne s s reputation . T he s e c a n s tem d i re c tly from the outputs
o f the p a r tner or from the lo s s o f e xp er ti s e and re s ou rce i n the organ i z ation a s ta sks tra n s fer to the
p a r tner. I n lo oki ng at the i mp ac t o f col lab oration, organ i z ation s s hou ld u nders tand the e xtent o f the ri s k
they are fac i ng th rough enteri ng a col lab orative arrangement s o that m itigation c an b e e s tabl i she d to
pro te c t ongoi ng bu s i ne s s del i ver y to the c u s tomer b as e . T hey s hou ld a l s o con s ider the p o s itive i mp ac ts
and de term i ne how the s e c an b e s e c u re d .

ISO 44002:2019(E)
Where the operational capability provided by an agreement or contract is required to carry on beyond
the agreed period, business continuity for the end customer should be ensured.

An initial joint exit strategy should address how the capability provided can be trans ferred to another
party, i f necessary, for business continuity purposes. I f a transition plan is deemed necessary, it should
address the particular circumstances for exit.
The strategy should include the specific guidance required by stakeholders to understand what
changes are planned and any new inter faces that are likely to be created through the appointment o f
an alternative approach. It should also provide clarity on the access to data, skills, IPR, special facilities,
etc., that should be trans ferred in addition to associated people issues. Where this is complex, a separate
transition plan can be beneficial.
Where there is potential to consider an exit, it can be beneficial to set up a review to assess the potential
trends and implications from this. I f it is evident that contract termination, or cancelling a part o f the
requirement is necessary, the strategy should be invoked.
At this point, depending upon the value and complexity o f the contracts, a joint exit planning team should
be established to consider the need for a separate transition plan and make detailed arrangements to
e ffect disengagement. Guidelines for key stakeholders in terms o f what changes they can anticipate,
and any action required o f them should be produced, i f appropriate, under the direction o f the exit
planning team.
Accordingly, a comprehensive transition plan, including how it would be communicated to stakeholders,
provides confidence that their business continuity interests are protected. This is important to the
partners because they could have legal obligations to satis fy. Also, it provides an opportunity to assess
how to best use redundant resources and minimize costs and overheads, and to consider buyer needs,
such resources, and on what terms they can trans fer, where relevant. This is particularly relevant for
large contracts.
In order to plan for the transition o f the capability, a checklist is provided in Table 17.
T a b l e 1 7 — I n f l u e n c e s o n b u s i n e s s c o n t i n u i t y
External factors Joint factors Internal factors

— Natural disaster — Resource reduction — Relationship breakdown
— Criminal action — Programme completion — Knowledge trans fer
— Terrorist threat — Transition — Change o f direction
— Political change — Customer support
— Economic change — Supply chain vulnerability
— Social/civil unrest
— Labour action
8.9.4 Evaluation of the relationship

The organization should establish a process to ensure the relationship is fully evaluated upon its
closure.

ISO 44002:2019(E)

Collaborative initiatives can require significant investment and as such, the strength o f the relationship,
value created, challenges identified and innovations developed should be jointly reviewed as lessons
learned and as a prelude to possible future engagements.
The partners should include in any arrangement a joint review when a relationship is reaching its
conclusion. This should include:
— per formance against objectives;
— lessons learned;
— improvements for future possible engagements
8.9.5 Future opportunities

The organization should consider future opportunities.
While a current programme can end, there is potential for further collaborations to be created.
Collaboratively managed exit strategies can help with constructive disengagement, thereby allowing
for future relationships to be re-established, when appropriate, with minimal e ffort.
Relationships can be established as a single enterprise, but o ften the same organizations seek to
contract together in future business opportunities. The e ffort and resources invested in building a good
relationship can be considerable and, there fore, it is sensible to capture the learning points so that i f
future engagements occur, the parties are not reinventing policies and processes.
This can also be used to help in form the suitability o f the organizations when partner selection is being
considered.
As the relationship is coming to an end, the joint management team should allocate personnel from all
parties, including key stakeholders to produce a learning from experience report on the development,
strength, problems encountered and successes achieved during the course o f the engagement for board
endorsement.
8.9.6 Review and updating of the RMPs

The organization should update the joint RMP to reflect key issues o f exit strategy.

Updating the joint RMP provides clarity for those currently involved in the collaboration or future
personnel that are assigned to the collaborative team.

ISO 44002:2019(E)

The joint RMP should be updated to include in formation about the agreed joint exit strategy. See
ISO 44001:2017, Annex B, for further in formation on:
a) incorporating joint exit strategy;
b) identi fying potential triggers for disengagement.
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General

The organization should ensure a process is in place to assess the per formance o f collaborative
relationships and e ffectiveness o f its management systems to deliver objectives.

Collaborative working varies dependent on the scope and nature o f the relationships formed. Each
relationship is likely to encounter di fferent challenges, which should be assessed and utilized to further
develop the approaches through lessons learned.

Collaborative working should be implemented against specific objectives where the approach is seen
as adding additional value or capability. The SER is responsible for ensuring that these attributes are
validated for future re ference and as part o f continual improvement programmes and include:
a) achievement o f objectives and outcomes;
b) whether the collaboration delivered demonstrable value beyond more traditional engagements;
c) the suitability o f the agreement to support collaborative working;
d) commercial implications, positive and negative;
e) relational and reputations outcomes.
9.1.2 Exit evaluation

The organization should establish a process for final exit evaluation against the collaborative
relationship management system.

Collaborative working requires investment. E ffective disengagement is a critical aspect o f consolidating
the assessment o f the relationship per formance as a basis for potential future engagement with
partners.

ISO 44002:2019(E)

This could be a joint activity between partners and form the basis for further development o f the
collaborative relationship management system.
9.2 Internal audit
9.2.1 General

The organization should establish and maintain an audit process that ensures adherence to the
principles and requirements o f the collaborative relationship management system.
Collaborative working can be complex given the integration between two or more organizations'
people, processes, procedures and systems. It can, on occasions, cause conflict between established
internal approaches and those required in specific relationships. It is important to ensure adherence to
agreed practices.
Where practical, these audits should be integrated with other management system audits. Partner
organizations should also consider, where practical, that internal auditing can be combined with or
utilize partners' internal audit programmes and qualified personnel. This avoids duplication o f e ffort
but also provides a basis for joint improvement programmes.
9.2.2 Conduct internal audits/planning and maintaining audit programmes

The organization should undertake internal audits at planned intervals to ensure collaborative
processes remain e ffective. It should implement preventative and corrective actions, as appropriate.
Objective evaluation and continual improvement enhances the value o f the relationship and maintains
the ongoing ability to collaborate.
Internal audits and joint review audits are a key tool for facilitating continual improvement and
identi fying good practice. Internal audits provide practical in formation regarding the integrity o f
operating systems and processes. They support and validate the outputs generated from within it. This
can provide confidence to all stakeholders.
Additionally, they can reveal early warning signs o f problems, supporting organizations in identi fying
potential problems and providing them with the opportunity to take action at as early a stage as
possible, thus avoiding disruptive actions later on.
They also act as a method o f monitoring progress and, when per formed well, are a key tool in supporting
the decision-making process and in providing greater understanding o f the interactions between the
processes.
Internal audits and joint audits should be both scheduled and planned:
a) scheduled: in terms o f time and frequency;

ISO 44002:2019(E)
b) planned: in terms o f subject, etc.

Both the audit schedule and internal audit plans should be risk-based, depending on the criticality o f
the activity or area being audited.
When scheduling and planning audits, the following should be taken into account, as a minimum:
— internal assessment o f the behaviours and collaborative culture;
— the criticality o f the area to the overall collaboration;
— the experience o f those involved in a particular activity or area;
— the status or stage o f the activity or area in the overall programme;
— the results o f previous audits or other sources o f in formation;
— identification o f corrective actions.
Those conducting internal audits should be impartial and competent and follow a recognized best
practice methodology. Internal audits should not be conducted by those who have been involved in the
activity being audited.
Audits should look to establish that the systems and processes are working both e fficiently and
e ffectively in delivering its intended outputs and that the balance between these two elements is
correct, given the needs o f the organization.
9.3 Management review

The organization should undertake regular reviews to ensure the suitability and e ffectiveness o f
collaborative approaches.
The SER should, at regular intervals, carry out reviews o f the management systems and implementation
to ensure continued commitment to the direction, suitability, adequacy, e ffectiveness and relevance.
This provides a level o f confidence for the per formance o f existing collaborative programmes and
future applications.

SER reviews should be undertaken and documented at regular intervals, and more frequently in the
initial stages to ensure momentum is maintained. They should take a structured approach and revisit
the joint RMP to check it is sound and reflects the present situation.
10 Improvement
10.1 Nonconformity and corrective action

The organization should ensure audit processes e ffectively capture and address noncon formities to the
management system.

ISO 44002:2019(E)

In a col lab orative rel ation sh ip, the p o tenti a l for con fu s ion and con fl ic t b e twe en two or more
orga ni z ation s c an i niti a l ly b e h igh a nd, over ti me, i f cha nge s a re no t e ffe c tively com mu n ic ate d, c an
b e come s igni fic a nt i s s ue s .

E xi s ti ng qua l ity management s ys tem s s hou ld b e a l igne d to en s u re they re cord and com mu n ic ate i nputs
from management reviews , p er forma nce me as u rement, b ehavioura l a s s e s s ments and i nterna l aud it
pro gra m me s to en s u re e arly identi fic ation o f p o tenti a l s ys tem s fai lu re s .
10.2 Continual improvement

T he organ i z ation shou ld e s tabl i s h a pro ce s s for conti nua l i mprovement.

C ol lab orati ve relation sh ip s evolve over ti me to en s u re ma xi mu m b enefit i s ach ieve d for the p a r tie s
i nvolve d . Va lue c re ation is a key as p e c t o f C B RM S s and , as s uch , conti nua l i mprovement s hou ld
be re gu l arly reviewe d and any le s s on s le a rne d i ncorp orate d with i n the management s ys tem, as
appropri ate .

Pa r tner organ i z ation s s hou ld identi fy i s s ue s to s upp or t conti nua l i mprovement acro s s thei r
management s ys tem s . T he s e pro ce s s e s s hou ld i ncorp orate a s p e c ts relate d to col lab orative worki ng a s
p a r t o f norma l day-to - day bu s i ne s s , where appropriate .
C ol lab orati ve worki ng can be s p e ci fic a l ly deploye d in s ele c te d or s p e c i fic p a r ts of the p ar tner
orga ni z ation s , but the i mpl ication s i nevitably c as c ade acro s s or i mp ac t the overa l l ma nagement
s ys tem . C ol lab oration shou ld no t b e add re s s e d i n i s olation but con s idere d a n i n herent p a r t o f the whole
management s ys tem .

ISO 44002:2019(E)
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[1] ISO Assessment service delivery — Procedures and methods to assess people in work and
1 0 6 67-1 ,
organizational settings — Part 1: Requirements for the client

[2 ] ISO Assessment service delivery — Procedures and methods to assess people in work and
1 0 6 67-2 ,
organizational settings — Part 2: Requirements for service providers

[3 ] I S O/ T S 9 0 0 2 : 2 0 1 6 , Quality management systems — Guidelines for the application of ISO 9001:2015

ISO 44002 : 2 01 9(E)
ICS 03.100.70; 03.100.01

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INTERNATIONAL ISO

Collaborative business relationship

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ii © ISO 2019 – All rights reserved

Foreword ...................................................................................................................................................................................................................................... vii

© ISO 2019 – All rights reserved iii

6.3.2 Identification o f opportunities for collaboration .............................................................................. 11

iv © ISO 2019 – All rights reserved

© ISO 2019 – All rights reserved v

1 0.1 N o nco n fo rmity and co rrective actio n ..............................................................................................................................

1 0.1 .1 What: s ummary o f the intent .............................................................................................................................

1 0.1 .2 Why: exp lanatio n o f relevance ..........................................................................................................................

1 0.1 .3 H o w: imp lementatio n guidance ......................................................................................................................

1 0.2 C o ntinual imp rovement ...............................................................................................................................................................

1 0.2 .1 What: s ummary o f the intent .............................................................................................................................

1 0.2 .2 Why: exp lanatio n o f relevance ..........................................................................................................................

1 0.2 .3 H o w: imp lementatio n guidance ......................................................................................................................

vi © ISO 2019 – All rights reserved

© ISO 2019 – All rights reserved vii

organ i z ation s o f a l l s i ze s . T h i s do c u ment contai n s no add itiona l re qu i rements . I t i s ai me d at re aders

C ol l ab oration c an a l s o b e u s e d to fo c us on i nterna l i nter face s to op ti m i z e exi s ti ng ac tivitie s , con s ol idate

th i s do c u ment h as b e en develop e d to a l ign with ISO 4 4 0 01 , u s i ng the h igh level s truc tu re (H L S )

Figure 1 — Relationship between corporate and operational systems

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0.2 How to use this guidance

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Figure 2 — Overview of the principal components of successful collaborative business

c) i nterna l a s s e s s ment: a s s e s s i ng the op eration's c ap abi l ity to col lab orate;

d) p ar tner s ele c tion: e s tabl i sh i ng an appropriate s ele c tion pro ce s s;

f) va lue cre ation: e s tabl i sh i ng a j oi nt pro ce s s for conti nua l i mprovement;

g) s tayi ng to ge ther: managi ng , mon itori ng a nd me as u ri ng the relation sh ip over ti me;

h) exit s trate g y ac tivation: e s tabl i sh i ng a j oi nt appro ach to d i s engagement a nd/or future .

0.3.2 The sequence of stages

col lab orative relation sh ip c an va r y.

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Collaborative business relationship management

i mplement the fra mework s p e c i fic ation e ffe c tively.

T h i s do c u ment explai n s what i s i ntende d by e ach re qu i rement o f I S O 4 4 0 01 , why e ach i s i mp or ta nt, a nd

i nd ividua l ly eva luate d a nd appl ie d i n the contex t o f e ach organ i z ation .

T h i s do c ument i s appl ic able to any organ i z ation .

Figure 3 — High-level implementation flow for ISO 44001

I S O 4 4 0 01 : 2 017, Collaborative business relationship management systems — Requirements and framework

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3 Terms, definitions and abbreviated terms

3.1 Terms and definitions

3.2 Abbreviated terms

CBRMS collaborative business relationship management system

4 Context of the organization

4.1 Understanding the organization and its context

4.1.1 What: summary of the intent

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4.2 Understanding the needs and expectations of stakeholders

4.2.1 What: summary of the intent

4.2.2 Why: explanation of relevance

4.3 Determining the scope of the collaborative business relationship management

4.3.1 What: summary of the intent

4.3.2 Why: explanation of relevance

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