CAN CSA-ISO IEC 19770-1-2013 Information technology - Software asset management - Part 1 Processes and tiered assessment of conformance.pdf

1、Information technology Software asset management Part 1: Processes and tiered assessment of conformanceCAN/CSA-ISO/IEC 19770-1:13(ISO/IEC 19770-1:2012, IDT)National Standard of CanadaNOT FOR RESALE. / PUBLICATION NON DESTINE LA REVENTE.Legal Notice for StandardsCanadian Standards Association (operat

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20、ranais ds quelle sera produite par lorganisme rdacteur.TMA trade-mark of the Canadian Standards Association, operating as “CSA Group”National Standard of CanadaPublished in January 2013 by CSA GroupA not-for-profit private sector organization5060 Spectrum Way, Suite 100,January 2013 Mississauga, Ont

21、ario, Canada L4W 5N61-800-463-6727 416-747-4044Visit our Online Store at shop.csa.caApproved byStandards Council of CanadaCAN/CSA-ISO/IEC 19770-1:13Information technology Software asset management Part 1: Processes and tiered assessment of conformancePrepared by InternationalOrganizationforStandardi

22、zation/ International Electrotechnical CommissionReviewed byCAN/CSA-ISO/IEC 19770-1:13Information technology So ftware asset management Part 1: Processes and tiered assessment of conformanceCSA/4 2013 CSA Group January 2013CAN/CSA-ISO/IEC 19770-1:13Information technology Software asset management Pa

23、rt 1: Processes and tiered assessment of conformanceCSA PrefaceStandards development within the Information Technology sector is harmonized with international standards development. Through the CSA Technical Committee on Information Technology (TCIT), Canadians serve as the Canadian Advisory Committ

24、ee (CAC) on ISO/IEC Joint Technical Committee 1 on Information Technology (ISO/IEC JTC1) for the Standards Council of Canada (SCC), the ISO member body for Canada and sponsor of the Canadian National Committee of the IEC. Also, as a member of the International Telecommunication Union (ITU), Canada p

25、articipates in the International Telegraph and Telephone Consultative Committee (ITU-T).This Standard supersedes CAN/CSA-ISO/IEC 19770-1-06 (adoption of ISO/IEC 19770-1:2006).At the time of publication, ISO/IEC 19770-1:2012 is available from ISO and IEC in English only. CSA Group will publish the Fr

26、ench version when it becomes available from ISO and IEC.This International Standard was reviewed by the TCIT under the jurisdiction of the Strategic Steering Committee on Information Technology and deemed acceptable for use in Canada. From time to time, ISO/IEC may publish addenda, corrigenda, etc.

27、The TCIT will review these documents for approval and publication. For a listing, refer to the Current Standards Activities page at standardsactivities.csa.ca. This Standard has been formally approved, without modification, by the Technical Committee and has been approved as a National Standard of C

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29、ext, they should be interpreted as “this National Standard of Canada”.Inquiries regarding this National Standard of Canada should be addressed toCSA Group5060 Spectrum Way, Suite 100, Mississauga, Ontario, Canada L4W 5N61-800-463-6727 416-747-4000http:/csa.caTo purchase standards and related publica

30、tions, visit our Online Store at shop.csa.ca or call toll-free 1-800-463-6727 or 416-747-4044.This Standard is subject to periodic review, and suggestions for its improvement will be referred to the appropriate committee. To submit a proposal for change, please send the following information to inqu

31、iriescsagroup.org and include “Proposal for change” in the subject line:(a) Standard designation (number);(b) relevant clause, table, and/or figure number;(c) wording of the proposed change; and(d) rationale for the change.Reference numberISO/IEC 19770-1:2012(E)ISO/IEC 2012INTERNATIONAL STANDARD ISO

32、/IEC19770-1Second edition2012-06-15Information technology Software asset management Part 1: Processes and tiered assessment of conformance Technologies de linformation Gestion de biens de logiciel Partie 1: Procds et valuation progressive de la conformit ISO/IEC 19770-1:2012(E) COPYRIGHT PROTECTED D

33、OCUMENT ISO/IEC 2012 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISOs memb

34、er 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 ii ISO/IEC 2012 All rights reservedISO/IEC 19770-1:2012(E) ISO/IEC 2012 All rights reserved iiiContents Page Foreword i

35、v Introduction . v 1 Scope 1 1.1 Purpose 1 1.2 Field of application 1 1.3 Limitations . 3 2 Conformance . 3 2.1 Intended usage 3 2.2 Methods of demonstrating full conformance . 3 3 Terms and definitions . 4 4 SAM processes 6 4.1 General . 6 4.2 Control environment for SAM 8 4.3 Planning and implemen

36、tation processes for SAM 12 4.4 Inventory processes for SAM . 16 4.5 Verification and compliance processes for SAM . 19 4.6 Operations management processes and interfaces for SAM . 23 4.7 Life cycle process interfaces for SAM 27 5 Tiers 33 5.1 Overview . 33 5.2 Tier 1 trustworthy data . 35 5.3 Tier

37、2 practical management . 36 5.4 Tier 3 operational integration 37 5.5 Tier 4 full ISO/IEC SAM conformance . 38 Annex A (informative) Reference chart of outcomes by tier 39 Annex B (informative) Guidance on selected topics . 43 Annex C (informative) Cross reference to industry best practice guidance

38、45 Annex D (informative) Roadmap . 73 Annex E (informative) Industry capability/maturity approaches 75 Bibliography 80 ISO/IEC 19770-1:2012(E) iv ISO/IEC 2012 All rights reservedForeword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission)

39、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 IE

40、C 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 JT

41、C 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 bodie

42、s 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 identif

43、ying any or all such patent rights. ISO/IEC 19770-1 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology, Subcommittee SC 7, Software and system engineering. This second edition cancels and replaces the first edition (ISO/IEC 19770-1:2006), which has been technically revis

44、ed. ISO/IEC 19770 consists of the following parts, under the general title Information technology Software asset management: Part 1: Processes and tiered assessment of conformance Part 2: Software identification tag The following parts are under preparation: Part 3: Software entitlement tag Part 5:

45、Overview and vocabulary Part 5 will define a common set of vocabulary for the ISO/IEC 19770 series, which may update definitions given in previously published parts. Tag management will form the subject of a future Part 7. ISO/IEC 19770-1:2012(E) ISO/IEC 2012 All rights reserved vIntroduction This p

46、art of ISO/IEC 19770 is for organizations that want to achieve best practice in Software Asset Management (SAM). It grew out of ISO/IEC 19770-1:2006 Software asset management processes which was a comprehensive standard designed to align to all of service management as specified in ISO/IEC 20000. Ho

47、wever, market feedback was that organizations wanted something which could be accomplished in multiple increments and to that increment most suited to the needs of the organization. This part of ISO/IEC 19770 has been designed to make implementation of SAM and conformance to a published standard pos

48、sible at any one of these increments, called “tiers”, which are cumulative. This allows for free-standing independent certification which correspond to natural levels of development and management priority. Recognition is given to those organizations through the ability to publicly display that cert

49、ification has been achieved to a stated tier. Division into tiers is designed so that standardized SAM is within reach of most organizations. Those implementing SAM for the first time can often implement SAM more rapidly by also applying careful scoping of the software assets covered and by scoping the parts of the organization