BS ISO IEC 33001-2015 Information technology Process assessment Concepts and terminology《信息技术 过程评定 概念和术语》.pdf

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1、BSI Standards Publication BS ISO/IEC 33001:2015 Information technology Process assessment Concepts and terminologyBS ISO/IEC 33001:2015 BRITISH STANDARD National foreword This British Standard is the UK implementation of ISO/IEC 33001:2015. Together with BS ISO/IEC 33003, BS ISO/IEC 33004, BS ISO/IE

2、C 33010, and BS ISO/IEC 33014 it supersedes PD ISO/IEC 15504-7:2008, which will be withdrawn upon publication of the full series. The UK participation in its preparation was entrusted to Technical Committee IST/15, Software and systems engineering. A list of organizations represented on this committ

3、ee can be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. The British Standards Institution 2015. Published by BSI Standards Limited 2015 ISBN 978 0 580 74306 1 ICS 35.08

4、0 Compliance with a British Standard cannot confer immunity from legal obligations. This British Standard was published under the authority of the Standards Policy and Strategy Committee on 31 March 2015. Amendments/corrigenda issued since publication Date T e x t a f f e c t e dBS ISO/IEC 33001:201

5、5 Information technology Process assessment Concepts and terminology Technologies de linformation valuation du processus Concepts et terminologie INTERNATIONAL STANDARD ISO/IEC 33001 Reference number ISO/IEC 33001:2015(E) Second edition 2015-03-01 ISO/IEC 2015 BS ISO/IEC 33001:2015ii ISO/IEC 2015 Al

6、l rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2015 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, w

7、ithout prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published

8、 in Switzerland ISO/IEC 33001:2015(E)BS ISO/IEC 33001:2015ISO/IEC 33001:2015(E)Foreword iv Introduction v 1 Scope . 1 2 Normative references 1 3 T erms and definitions . 1 3.1 Terms relating to processes and process management . 1 3.2 Terms relating to process assessment 3 3.3 Terms relating to proc

9、ess models . 5 3.4 Terms relating to process measurement 6 4 Structure of the set of Standards . 7 5 Concepts .10 5.1 General 10 5.2 Concepts of “process” .10 5.3 The assessment framework 11 5.3.1 Measuring process quality characteristics .11 5.3.2 Process reference models .11 5.3.3 Process assessme

10、nt models 12 5.3.4 The process assessment process 12 5.4 Organizational process maturity 13 5.5 Competency of assessors 14 5.6 Application of Assessment Results .14 5.6.1 Improving performance14 5.6.2 Evaluating process-related risk .14 5.6.3 Benchmarking performance .15 6 Assessment of process capa

11、bility 15 7 Conformance 15 8 Conformity assessment 16 Annex A (informative) Cross Referencing ISO/IEC 330xx to ISO/IEC 15504 .17 Bibliography .18 ISO/IEC 2015 All rights reserved iii Contents PageBS ISO/IEC 33001:2015ISO/IEC 33001:2015(E) Foreword ISO (the International Organization for Standardizat

12、ion) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide standardization. National bodies that are members of ISO or IEC participate in the development of International Standards through technical committees established by the respective organization to

13、deal with particular fields of technical activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the field of information technology, ISO and

14、 IEC have established a joint technical committee, ISO/IEC JTC 1. The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of document shou

15、ld be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives). Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO and IEC shall not be held responsibl

16、e for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents). Any trade name used in this document is information given for

17、the convenience of users and does not constitute an endorsement. For an explanation on the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the WTO principles in the Technical Barriers to Trade (TBT) see the following URL:

18、 Foreword - Supplementary information The committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 7, Software and systems engineering. This second edition cancels and replaces ISO/IEC 15504-1:2004, which has been technically revised.iv ISO/IEC 2015 All rights reservedBS

19、ISO/IEC 33001:2015ISO/IEC 33001:2015(E) Introduction This International Standard provides a glossary of terms related to the performance of process assessment, together with an overall introduction to the concepts and standards framework for process assessment. This International Standard identifies

20、 the principal components supporting the performance of process assessment, describes the results of process assessment, and gives an overview of the ways in which the results of assessment can be applied. This International Standard is part of a set of International Standards designed to provide a

21、consistent and coherent framework for the assessment of process quality characteristics, based on objective evidence resulting from implementation of the processes. The framework for assessment covers processes employed in the development, maintenance, and use of systems across the information techn

22、ology domain and those employed in the design, transition, delivery, and improvement of services. The set of International Standards, as a whole, addresses process quality characteristics of any type. Results of assessment can be applied for improving process performance, benchmarking, or for identi

23、fying and addressing risks associated with application of processes. The set of International Standards ISO/IEC 33001:2015, ISO/IEC 33099, termed the ISO/IEC 330xx family, defines the requirements and resources needed for process assessment. The overall architecture and content of the series is desc

24、ribed in this International Standard. General issues relating to the application of conformity assessment to process capability and organizational process maturity are addressed in ISO/IEC 29169. Several International Standards in the ISO/IEC 330xx family of standards for process assessment are inte

25、nded to replace and extend parts of the ISO/IEC 15504 series of Standards 13 . Annex A in this Standard provides a detailed record of the relationship between the ISO/IEC 330xx family and the ISO/IEC 15504 series. ISO/IEC 2015 All rights reserved vBS ISO/IEC 33001:2015BS ISO/IEC 33001:2015Informatio

26、n technology Process assessment Concepts and terminology 1 Scope This International Standard provides a repository for key terminology relating to process assessment. It gives overall information on the concepts of process assessment, the application of process assessment for evaluating the achievem

27、ent of process quality characteristics, and the application of the results of process assessment to the conduct of process management. This International Standard provides an introduction to the ISO/IEC 330xx family of standards for process assessment; it describes how the parts of the family of sta

28、ndards for process assessment fit together and provides guidance for their selection and use. It explains the requirements contained within the suite and their applicability to performing assessments. Readers of this International Standard should familiarize themselves with the terminology and struc

29、ture of the document suite and then reference the appropriate elements of the suite for the context in which they propose to conduct an assessment. NOTE This International Standard addresses terms used in ISO/IEC 33001 to ISO/IEC 33019 of the ISO/IEC 330xx family, as well as key terms used in other

30、documents in the family. Terms specific to documents from ISO/IEC 33020 to ISO/IEC 33099 are defined in each document. 2 Normative references The following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, onl

31、y the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO/IEC/IEEE 24765:2010, Systems and software engineering Vocabulary 3 T erms a nd definiti ons For the purposes of this document, the terms and definitions given in

32、 ISO/IEC/IEEE 24765 and the following apply. 3.1 Terms relating to processes and process management 3.1.1 acquirer stakeholder that acquires or procures a product or service from a supplier SOURCE: ISO/IEC 15288:2008, 4.1 3.1.2 de f i ne d pr o c e s s implemented process that is managed and tailore

33、d from the organizations set of standard processes according to the organizations tailoring guidelines Note 1 to entry: A defined process has a process description that is documented and maintained and contributes work products, measures, and other process improvement information to the organization

34、s process assets. A projects defined process provides a basis for planning, performing, and improving the projects tasks and activities of the project. INTERNATIONAL ST ANDARD ISO/IEC 33001:2015(E) ISO/IEC 2015 All rights reserved 1BS ISO/IEC 33001:2015ISO/IEC 33001:2015(E) 3.1.3 effectiveness exten

35、t to which planned activities are realized and planned results are achieved SOURCE: ISO 9000:2005, 3.2.14 3.1.4 information item separately identifiable body of information that is produced, stored, and delivered for human use Note 1 to entry: An information item can be produced in several versions

36、during a system, software, or service life cycle. Syn: information product. SOURCE: ISO/IEC 15289:2011, 5.11; Note has been modified. 3.1.5 organization group of people and facilities with an arrangement of responsibilities, authorities, and relationships SOURCE: ISO 9000:2005, 3.3.1 3.1.6 process s

37、et of interrelated or interacting activities which transforms inputs into outputs SOURCE: ISO 9000:2005, 3.4.1 3.1.7 process improvement actions taken to improve the quality of the organizations processes aligned with the business needs and the needs of other concerned parties 3.1.8 standard process

38、 set of definitions of the processes used to guide processes in an organization Note 1 to entry: These process definitions cover the fundamental process elements (and their relationships to each other) that must be incorporated into the defined processes that are implemented in projects across the o

39、rganization. A standard process establishes consistent activities across the organization and is desirable for long-term stability and improvement. Note 2 to entry: The organizations set of standard processes describe the fundamental process elements that will be part of the projects defined process

40、es. It also describes the relationships (for example, ordering and interfaces) between these process elements. Note 3 to entry: Process elements are the entities that are assembled to make up a process. They can be sub- processes, activities, tasks, etc. 3.1.9 supplier an organization or an individu

41、al that enters into an agreement with the acquirer for the supply of a product or service Note 1 to entry: Other terms commonly used for supplier are contractor, producer, seller, or vendor. Note 2 to entry: The acquirer and the supplier can be part of the same organization. SOURCE: ISO/IEC 15288:20

42、08, 4.30 3.1.10 tailored process process developed by tailoring a standard process2 ISO/IEC 2015 All rights reservedBS ISO/IEC 33001:2015ISO/IEC 33001:2015(E) 3.1.11 tailoring guideline instructions that enable an organization to adapt standard processes appropriately to meet specific needs Note 1 t

43、o entry: Tailoring a process adapts the process description for a particular end. For example, a project creates its defined process by tailoring the organizations set of standard processes to meet the objectives, constraints, and environment of the project. The organizations set of standard process

44、es is described in a general level that might not be directly usable to perform a process. Tailoring guidelines aid those who establish the defined processes for specific needs. Note 2 to entry: Tailoring guidelines describe what can and cannot be modified and identify process components that are ca

45、ndidates for modification. 3.2 Terms relating to process assessment 3.2.1 assessment body body that performs an assessment Note 1 to entry: A body can be an organization or part of an organization that performs the assessment. SOURCE: ISO/IEC 17020:2000, 2.2 3.2.2 assessment constraints restrictions

46、 placed on the use of the assessment outputs and on the assessment teams freedom of choice regarding the conduct of the assessment 3.2.3 assessment input information required before a process assessment can commence Note 1 to entry: The assessment input can change over the course of an assessment. 3

47、.2.4 assessment output all of the tangible results from an assessment (see assessment record) 3.2.5 assessment participant individual who has responsibilities within the scope of the assessment Note 1 to entry: Examples include, but are not limited to, the assessment sponsor, assessors, and/or organ

48、ization units and their members. 3.2.6 assessment purpose statement provided as part of the assessment input, which defines the reasons for performing the assessment 3.2.7 assessment record orderly documented collection of the information which is pertinent to the assessment and adds to the understa

49、nding and verification of the process profiles generated by the assessment 3.2.8 assessment scope definition of the boundaries of the assessment, provided as part of the assessment input, encompassing the boundaries of the organizational unit for the assessment, the processes to be included, the quality level for each process to be assessed, and the context within which the processes operate (see process context) ISO/IEC 2015 All rights reserved 3