第1页 / 共61页
第2页 / 共61页
第3页 / 共61页
第4页 / 共61页
第5页 / 共61页
第6页 / 共61页
第7页 / 共61页
第8页 / 共61页
SPICE (iso15504) standard part3.pdf
Scope
Normative references
Terms and definitions
Overview of Process Assessment
Introduction
Assessment process
Measurement Framework for Process Capability
Process Reference Model
Process Assessment Model
Assessment Tools
Competency of assessment team
Assessment approaches
Self-assessment
Independent assessment
Success factors for process assessment
Commitment
Motivation
Confidentiality
Relevance
Credibility
Guidance on Requirements for Performing an Assessment
General
The assessment process activities
Planning
Data collection
Data validation
Process attribute rating
Reporting
Roles and responsibilities
Responsibilities of the Sponsor
Responsibilities of the Competent Assessor
Responsibilities of the Assessors
Defining the initial assessment input
Recording the assessment output
Selecting a Documented Assessment Process
Measurement Framework for Process Capability
Level 0: Incomplete process
Level 1: Performed process
Level 2: Managed process
Level 3: Established process
Level 4: Predictable process
Level 5: Optimizing process
Rating process attributes
Process capability level model
Process Reference Models
Interpreting The Requirements For A Process Reference Model
Contents of a Process Reference Model
Constraints on the Content of a Process Reference Model
Community Consensus
Uniqueness of Definition and Identification
Limitation on Normative Content
Process Descriptions
Selecting Process Reference Models
Contextual Selection Factors
Technical Selection Factors
Legacy Selection Factors
Process Assessment Models
Interpreting the requirements for a Process Assessment Model
Process Assessment Model scope
Process Assessment Model indicators
Mapping Process Assessment Models to Process Reference Models
Expression of assessment results
Selection of a Process Assessment Model
Contextual Factors
Market Acceptance
Customer Requirement
Technical Factors
Granularity of indicators
Process Architecture
Intended Domain and Process Scope
Selecting and Using Assessment Tools
Guidance on Competency of Assessors
Overview
Gaining and maintaining competence
Provisional assessor
Competent assessor
Maintaining competence
Guidance on Verification of Conformity
Verifying conformity of Process Reference Models
Verifying conformity of Process Assessment Models
Process Assessment Model Scope
Process Assessment Model indicators
Mapping Process Assessment Models to Process Reference Models
Expression of assessment results
Verifying conformity of process assessments
© ISO/IEC 2003 — All rights reserved
ISO/IEC JTC 1/SC 7 WG 10 N 472
Date: 2003-04-2
ISO/IEC FDIS 15504-3:2003(E)
ISO/IEC JTC 1/SC 7/WG 10
Secretariat: ANSI
Information technology — Process Assessment — Part 3: Guidance on
performing an assessment
Document type: International Standard
Document subtype:
Document stage: (50) Approval
Document language: E
D:\My Documents\Standards\ISO\SC7\WG10\Revision\Part 3\WG10N472 ISO-IEC_FDIS_15504-3.doc STD
Version 2.1
ISO/IEC FDIS 15504-3:2003(E)
Copyright notice
This ISO document is a Draft International Standard and is copyright-protected by ISO. Except as permitted
under the applicable laws of the user's country, neither this ISO draft nor any extract from it may be
reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic,
photocopying, recording or otherwise, without prior written permission being secured.
Requests for permission to reproduce should be addressed to either ISO at the address below or ISO's
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 copyright@iso.org
Web www.iso.org
Reproduction may be subject to royalty payments or a licensing agreement.
Violators may be prosecuted.
ii
© ISO/IEC 2003 — All rights reserved
ISO/IEC FDIS 15504-3:2003(E)
Contents
Page
Scope......................................................................................................................................................1
1
Normative references............................................................................................................................1
2
Terms and definitions ...........................................................................................................................1
3
Overview of Process Assessment.......................................................................................................2
4
Introduction............................................................................................................................................2
4.1
Assessment process.............................................................................................................................2
4.2
Measurement Framework for Process Capability..............................................................................3
4.3
Process Reference Model.....................................................................................................................3
4.4
Process Assessment Model.................................................................................................................3
4.5
Assessment Tools.................................................................................................................................3
4.6
Competency of assessment team .......................................................................................................4
4.7
Assessment approaches ......................................................................................................................4
4.8
4.8.1 Self-assessment ....................................................................................................................................4
Independent assessment......................................................................................................................4
4.8.2
Success factors for process assessment...........................................................................................4
4.9
4.9.1 Commitment...........................................................................................................................................4
4.9.2 Motivation...............................................................................................................................................5
4.9.3 Confidentiality........................................................................................................................................5
4.9.4 Relevance...............................................................................................................................................5
4.9.5 Credibility ...............................................................................................................................................5
Guidance on Requirements for Performing an Assessment............................................................5
5
General ...................................................................................................................................................5
5.1
The assessment process activities .....................................................................................................5
5.2
5.2.1 Planning .................................................................................................................................................6
5.2.2 Data collection.......................................................................................................................................6
5.2.3 Data validation.......................................................................................................................................7
5.2.4 Process attribute rating ........................................................................................................................8
5.2.5 Reporting................................................................................................................................................8
Roles and responsibilities....................................................................................................................9
5.3
5.3.1 Responsibilities of the Sponsor ..........................................................................................................9
5.3.2 Responsibilities of the Competent Assessor.....................................................................................9
5.3.3 Responsibilities of the Assessors.....................................................................................................10
Defining the initial assessment input................................................................................................10
5.4
Recording the assessment output ....................................................................................................14
5.5
Selecting a Documented Assessment Process ...............................................................................14
5.6
Measurement Framework for Process Capability............................................................................15
6
Level 0: Incomplete process ..............................................................................................................15
6.1
Level 1: Performed process ...............................................................................................................16
6.2
Level 2: Managed process..................................................................................................................17
6.3
Level 3: Established process .............................................................................................................19
6.4
Level 4: Predictable process..............................................................................................................22
6.5
Level 5: Optimizing process...............................................................................................................25
6.6
Rating process attributes ...................................................................................................................27
6.7
Process capability level model ..........................................................................................................29
6.8
Process Reference Models.................................................................................................................30
7
Interpreting The Requirements For A Process Reference Model ..................................................30
7.1
7.1.1 Contents of a Process Reference Model...........................................................................................30
7.1.2 Constraints on the Content of a Process Reference Model............................................................31
7.1.3 Process Descriptions..........................................................................................................................32
© ISO/IEC 2003 — All rights reserved
iii
ISO/IEC FDIS 15504-3:2003(E)
Selecting Process Reference Models............................................................................................... 33
7.2
7.2.1 Contextual Selection Factors ............................................................................................................ 33
7.2.2 Technical Selection Factors .............................................................................................................. 33
7.2.3 Legacy Selection Factors .................................................................................................................. 34
Process Assessment Models ............................................................................................................ 34
8
Interpreting the requirements for a Process Assessment Model.................................................. 34
8.1
8.1.1 Process Assessment Model scope................................................................................................... 34
8.1.2 Process Assessment Model indicators............................................................................................ 35
8.1.3 Mapping Process Assessment Models to Process Reference Models......................................... 35
8.1.4 Expression of assessment results.................................................................................................... 36
Selection of a Process Assessment Model...................................................................................... 36
8.2
8.2.1 Contextual Factors ............................................................................................................................. 37
8.2.2 Technical Factors ............................................................................................................................... 38
Selecting and Using Assessment Tools .......................................................................................... 39
9
Guidance on Competency of Assessors.......................................................................................... 41
10
10.1 Overview .............................................................................................................................................. 41
10.2 Gaining and maintaining competence.............................................................................................. 42
10.2.1 Provisional assessor.......................................................................................................................... 42
10.2.2 Competent assessor .......................................................................................................................... 42
10.2.3 Maintaining competence.................................................................................................................... 42
Guidance on Verification of Conformity........................................................................................... 43
11
Verifying conformity of Process Reference Models ....................................................................... 43
11.1
Verifying conformity of Process Assessment Models.................................................................... 43
11.2
11.2.1 Process Assessment Model Scope .................................................................................................. 43
11.2.2 Process Assessment Model indicators............................................................................................ 44
11.2.3 Mapping Process Assessment Models to Process Reference Models......................................... 44
11.2.4 Expression of assessment results.................................................................................................... 44
Verifying conformity of process assessments................................................................................ 44
11.3
Annex A (Informative) An Exemplar Documented Assessment Process................................................. 45
Overview of Assessment process activities.................................................................................... 45
A.1
Initiating the Assessment .................................................................................................................. 45
A.2
A.2.1 Overview .............................................................................................................................................. 45
A.2.2 Tasks.................................................................................................................................................... 46
Planning the Assessment .................................................................................................................. 47
A.3
A.3.1 Overview .............................................................................................................................................. 47
A.3.2 Tasks.................................................................................................................................................... 47
Briefing ................................................................................................................................................ 48
A.4
A.4.1 Overview .............................................................................................................................................. 48
A.4.2 Tasks.................................................................................................................................................... 48
Data Collection.................................................................................................................................... 48
A.5
A.5.1 Overview .............................................................................................................................................. 48
A.5.2 Tasks.................................................................................................................................................... 48
Data Validation.................................................................................................................................... 49
A.6
A.6.1 Overview .............................................................................................................................................. 49
A.6.2 Tasks.................................................................................................................................................... 49
Process attribute rating ..................................................................................................................... 49
A.7
A.7.1 Overview .............................................................................................................................................. 49
A.7.2 Tasks.................................................................................................................................................... 49
Reporting the Results ........................................................................................................................ 49
A.8
A.8.1 Overview .............................................................................................................................................. 49
A.8.2 Tasks.................................................................................................................................................... 49
Annex B (informative) Guidance on Indicators ............................................................................................. 51
Introduction......................................................................................................................................... 51
B.1
Indicators of process performance................................................................................................... 51
B.1.1
Indicators of process capability........................................................................................................ 52
B.1.2
Indicators and information gathering............................................................................................... 52
B.2
iv
© ISO/IEC 2003 — All rights reserved
ISO/IEC FDIS 15504-3:2003(E)
Foreword
ISO (the International Organization for Standardization) 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 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 IEC have established a joint technical committee, ISO/IEC JTC 1.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of the joint technical committee is to prepare International Standards. Draft International
Standards adopted by the joint technical committee are circulated to national bodies for voting. Publication as
an International Standard requires approval by at least 75 % of the national bodies casting a vote.
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 responsible for identifying any or all such patent rights.
ISO/IEC 15504-3 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information Technology,
Subcommittee SC 7, Systems and Software Engineering.
This edition cancels and replaces ISO/IEC 15504—4:1998 and ISO/IEC 15504—6:1998.
ISO/IEC 15504 consists of the following parts, under the general title Information technology — Process
Assessment:
Part 1 - Concepts and Vocabulary
Part 2 - Performing an Assessment
Part 3 - Guidance on performing an assessment
Part 4 - Guidance on use for process improvement and process capability determination
Part 5 - An exemplar process assessment model
© ISO/IEC 2003 — All rights reserved
v
ISO/IEC FDIS 15504-3:2003(E)
Introduction
This part of ISO/IEC 15504 assumes familiarity with the normative part of the standard. It is primarily
addressed to the competent assessor and other people, such as the sponsor of the assessment, who need
guidance on ensuring the requirements for performing an assessment have been met. It will also be of value
to developers of assessment methods and of tools to support an assessment.
ISO/IEC 15504-1 provides a general introduction to the concepts of process assessment and a glossary for
assessment related terms.
ISO/IEC 15504-2 sets out the minimum requirements for performing an assessment that ensure consistency
and repeatability of the ratings. The requirements help to ensure that the assessment output is self-consistent
and provides evidence to substantiate the ratings and to verify compliance with the requirements.
ISO/IEC 15504-2 defines the Measurement Framework for process capability and the requirements for:
a) performing an assessment;
b) Process Reference Models;
c) Process Assessment Models;
d) verifying conformity of process assessment.
This part of ISO/IEC 15504 provides guidance for interpreting the minimum requirements for performing an
assessment. It also provides guidance on:
the nature of the Measurement Framework;
the role and function of Process Reference Models;
the requirements for and selection of a Process Assessment Model;
the selection and use of assessment tools;
criteria for assessor competence; and
verification of conformity of process assessment.
This part of ISO/IEC 15504-3 incorporates, as Annex A, an exemplar documented assessment process.
Process assessment, as defined in this International Standard, is based on a two dimensional model
containing a process dimension and a capability dimension. The process dimension is provided by an external
Process Reference Model, which defines a set of processes characterized by statements of process purpose
and process outcomes. The capability dimension consists of a Measurement Framework comprising six
Process Capability Levels and their associated Process Attributes.
The assessment output consists of a set of process attribute ratings for each process assessed, termed the
Process Profile, and may also include the capability level achieved by that process.
Process assessment is applicable in the following circumstances:
a) by or on behalf of an organization with the objective of understanding the state of its own processes for
process improvement;
vi
© ISO/IEC 2003 — All rights reserved
ISO/IEC FDIS 15504-3:2003(E)
b) by or on behalf of an organization with the objective of determining the adequacy of its own processes for
a particular requirement or class of requirements;
c) by or on behalf of an organization with the objective of determining the adequacy of another organization’s
processes for a particular contract or class of contracts.
As described in ISO/IEC 15504-4, process assessment is an activity that can be performed either as part of a
process improvement initiative or as part of a capability determination approach. The formal entry to the
assessment process occurs with the compilation of the assessment input which defines the purpose of the
assessment (why it is being carried out), the scope of the assessment, what constraints, apply to the
assessment and any additional information that needs to be gathered. The assessment input also defines the
responsibility of the various parties in the performance of an assessment. An assessor who has the necessary
competence and skills oversees the assessment. Assessors may be from within the organization, external to
the organization or a combination of both.
An assessment is carried out against a defined assessment input utilizing conformant Process Assessment
Model(s) related to one or more conformant or compliant Process Reference Models. ISO/IEC 15504-5
contains an exemplar Process Assessment Model that is based upon the Process Reference Model defined in
ISO/IEC 12207 Amd 1 Annex F.
© ISO/IEC 2003 — All rights reserved
vii
相关推荐
2023年江西萍乡中考道德与法治真题及答案.doc
2012年重庆南川中考生物真题及答案.doc
2013年江西师范大学地理学综合及文艺理论基础考研真题.doc
2020年四川甘孜小升初语文真题及答案I卷.doc
2020年注册岩土工程师专业基础考试真题及答案.doc
2023-2024学年福建省厦门市九年级上学期数学月考试题及答案.doc
2021-2022学年辽宁省沈阳市大东区九年级上学期语文期末试题及答案.doc
2022-2023学年北京东城区初三第一学期物理期末试卷及答案.doc
2018上半年江西教师资格初中地理学科知识与教学能力真题及答案.doc
2012年河北国家公务员申论考试真题及答案-省级.doc
2020-2021学年江苏省扬州市江都区邵樊片九年级上学期数学第一次质量检测试题及答案.doc
2022下半年黑龙江教师资格证中学综合素质真题及答案.doc
