1、 Reference numbe rISO/IEC 15504-4:2004(E)ISO/IEC 2004Information technology Process assessment Part 4: Guidance on use for process improvement and process capability determination Technologies de linformation Procds dvaluation Partie 4: Conseils sur lutilisation pour lamlioration de processus et la
2、dtermination de capacit de processus National Standard of CanadaCAN/CSA-ISO/IEC 15504-4:05(ISO/IEC 15504-4:2004)International Standard ISO/IEC 15504-4:2004 (first edition, 2004-07-01) has been adopted withoutmodification (IDT) as CSA Standard CAN/CSA-ISO/IEC 15504-4:05, which has been approved as a
3、NationalStandard of Canada by the Standards Council of Canada.ISBN 1-55397-970-2 October 2005The Canadian Standards Association (CSA), under whose auspices this National Standard has been produced, was chartered in 1919 and accredited by the Standards Council of Canada to the National Standards syst
4、em in 1973. It is a not-for-profit, nonstatutory, voluntary membership association engaged in standards development and certification activities. CSA standards reflect a national consensus of producers and users including manufacturers, consumers, retailers, unions and professional organizations, an
5、d governmental agencies. The standards are used widely by industry and commerce and often adopted by municipal, provincial, and federal governments in their regulations, particularly in the fields of health, safety, building and construction, and the environment. Individuals, companies, and associat
6、ions across Canada indicate their support for CSAs standards development by volunteering their time and skills to CSA Committee work and supporting the Associations objectives through sustaining memberships. The more than 7000 committee volunteers and the 2000 sustaining memberships together form CS
7、As total membership from which its Directors are chosen. Sustaining memberships represent a major source of income for CSAs standards development activities. The Association offers certification and testing services in support of and as an extension to its standards development activities. To ensure
8、 the integrity of its certification process, the Association regularly and continually audits and inspects products that bear the CSA Mark. In addition to its head office and laboratory complex in Toronto, CSA has regional branch offices in major centres across Canada and inspection and testing agen
9、cies in eight countries. Since 1919, the Association has developed the necessary expertise to meet its corporate mission: CSA is an independent service organization whose mission is to provide an open and effective forum for activities facilitating the exchange of goods and services through the use
10、of standards, certification and related services to meet national and international needs.For further information on CSA services, write toCanadian Standards Association5060 Spectrum Way, Suite 100Mississauga, Ontario, L4W 5N6CanadaThe Standards Council of Canada is the coordinating body of the Nati
11、onal Standards system, a federation of independent, autonomous organizations working towards the further development and improvement of voluntary standardization in the national interest. The principal objects of the Council are to foster and promote voluntary standardization as a means of advancing
12、 the national economy, benefiting the health, safety, and welfare of the public, assisting and protecting the consumer, facilitating domestic and international trade, and furthering international cooperation in the field of standards. A National Standard of Canada is a standard which has been approv
13、ed by the Standards Council of Canada and one which reflects a reasonable agreement among the views of a number of capable individuals whose collective interests provide to the greatest practicable extent a balance of representation of producers, users, consumers, and others with relevant interests,
14、 as may be appropriate to the subject in hand. It normally is a standard which is capable of making a significant and timely contribution to the national interest. Approval of a standard as a National Standard of Canada indicates that a standard conforms to the criteria and procedures established by
15、 the Standards Council of Canada. Approval does not refer to the technical content of the standard; this remains the continuing responsibility of the accredited standards development organization. Those who have a need to apply standards are encouraged to use National Standards of Canada whenever pr
16、acticable. These standards are subject to periodic review; therefore, users are cautioned to obtain the latest edition from the organization preparing the standard.The responsibility for approving National Standards of Canada rests with theStandards Council of Canada270 Albert Street, Suite 200Ottaw
17、a, Ontario, K1P 6N7CanadaAlthough the intended primary application of this Standard is stated in its Scope, it is importantto note that it remains the responsibility of the users to judge its suitability for their particular purpose.Registered trade-mark of Canadian Standards AssociationCette norme
18、est offerte en anglais seulement pour le moment. La CSA publiera la version enfranais ds quelle sera produite par lorganisme rdacteur.CAN/CSA-ISO/IEC 15504-4:05Information technology Process assessment Part 4: Guidance onuse for process improvement and process capability determinationOctober 2005 Ca
19、nadian Standards Association CSA/1CAN/CSA-ISO/IEC 15504-4:05Information technology Process assessment Part 4: Guidance on use for process improvement and process capability determinationCSA PrefaceStandards development within the Information Technology sector is harmonized with international standar
20、ds development. Through the CSA Technical Committee on Information Technology (TCIT), Canadians serve as the Canadian Advisory Committee (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
21、 sponsor of the Canadian National Committee of the IEC. Also, as a member of the International Telecommunication Union (ITU), Canada participates in the International Telegraph and Telephone Consultative Committee (ITU-T).At the time of publication, ISO/IEC 15504-4:2004 is available from ISO and IEC
22、 in English only. CSA will publish the French version when it becomes available from ISO and IEC.This International Standard was reviewed by the CSA TCIT under the jurisdiction of the Strategic Steering Committee on Information Technology and deemed acceptable for use in Canada. (A committee members
23、hip list is available on request from the CSA Project Manager.) From time to time, ISO/IEC may publish addenda, corrigenda, etc. The CSA TCIT will review these documents for approval and publication. For a listing, refer to the CSA Information Products catalogue or CSA Info Update or contact a CSA S
24、ales representative. This Standard has been formally approved, without modification, by the Technical Committee and has been approved as a National Standard of Canada by the Standards Council of Canada.October 2005 Canadian Standards Association 2005All rights reserved. No part of this publication m
25、ay be reproduced in any form whatsoever without the prior permission ofthe publisher. ISO/IEC material is reprinted with permission. Where the words “this International Standard” appear in the text, they should be interpreted as “this National Standard of Canada”.Inquiries regarding this National St
26、andard of Canada should be addressed toCanadian Standards Association5060 Spectrum Way, Suite 100, Mississauga, Ontario, Canada L4W 5N61-800-463-6727 416-747-4044www.csa.caReference numberISO/IEC 15504-4:2004(E)ISO/IEC 2004INTERNATIONAL STANDARD ISO/IEC15504-4First edition2004-07-01Information techn
27、ology Process assessment Part 4: Guidance on use for process improvement and process capability determination Technologies de linformation Procds dvaluation Partie 4: Conseils sur lutilisation pour lamlioration de processus et la dtermination de capacit de processus ISO/IEC 15504-4:2004(E) PDF discl
28、aimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file may be printed or viewed but shall not be edited unless the typefaces which are embedded are licensed to and installed on the computer performing the editing. In downloading this file, parties a
29、ccept therein the responsibility of not infringing Adobes licensing policy. The ISO Central Secretariat accepts no liability in this area. Adobe is a trademark of Adobe Systems Incorporated. Details of the software products used to create this PDF file can be found in the General Info relative to th
30、e file; the PDF-creation parameters were optimized for printing. Every care has been taken to ensure that the file is suitable for use by ISO member bodies. In the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below. ISO/IEC 2004 Al
31、l 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 member body in the country
32、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 2004 All rights reservedISO/IEC 15504-4:2004(E) ISO/IEC 2004 All rights reserved iiiContents Page Foreword. v Introduction . vi 1 S
33、cope 1 2 Normative references . 1 3 Terms and definitions. 1 4 Introduction . 1 4.1 Process improvement and process capability determination 1 4.2 PI and PCD sponsors and teams. 2 4.3 Process, guidance and method. 2 4.4 Process improvement purpose and outcomes. 2 4.5 Process capability determination
34、 purpose and outcomes 3 4.6 Process assessment output 3 5 Utilizing process assessment 4 5.1 General. 4 5.2 Selecting Process Reference Model(s). 4 5.3 Setting target capability . 4 5.4 Defining the assessment input 6 5.5 Evaluating process-related risk. 7 5.5.1 Inferring process-related risk from a
35、ssessment output . 7 5.5.2 Analysing weaknesses. 9 6 Process improvement. 10 6.1 Overview 10 6.2 Steps of process improvement . 10 6.2.1 Step 1 Examine organizations business goals10 6.2.2 Step 2 Initiate process improvement cycle . 11 6.2.3 Step 3 Assess current capability 12 6.2.4 Step 4 Develop a
36、ction plan . 12 6.2.5 Step 5 Implement improvements 15 6.2.6 Step 6 Confirm improvements 16 6.2.7 Step 7 Sustain improvements. 17 6.2.8 Step 8 Monitor performance . 17 7 Process capability determination 18 7.1 Overview 18 7.2 Steps of process capability determination. 19 7.2.1 Step 1 Initiate proces
37、s capability determination 19 7.2.2 Step 2 Set target capability . 20 7.2.3 Step 3 Assess current capability 20 7.2.4 Step 4 Determine proposed capability. 20 7.2.5 Step 5 Verify proposed capability 21 7.2.6 Step 6 Analyse process-related risk 21 7.2.7 Step 7 Act on results . 21 7.3 Comparability of
38、 assessment output analysis 21 Annex A (informative) Analysing process-related risk. 23 A.1 Introduction . 23 A.2 Probability 23 A.3 Consequence. 24 A.4 Process-related risk 24 A.5 Determining which processes represent greatest risk. 25 ISO/IEC 15504-4:2004(E) iv ISO/IEC 2004 All rights reservedA.6
39、Analysis approach.25 A.7 Example risk analysis .25 A.7.1 F.1.3.3 System and Architectural Design.26 A.7.2 F.2.2 Configuration Management27 A.7.3 F.3.1.4 Risk Management.27 Annex B (informative) Subcontractors and consortia 28 B.1 Overview.28 B.1.1 Combining uniquely deployed processes 28 B.1.2 Combi
40、ning processes deployed by more than one organizational unit29 B.2 Enterprise reference architectures29 Annex C (informative) Process improvement and organizational culture30 C.1 Introduction30 C.2 Management responsibility and leadership .30 C.3 Values, attitudes and behaviour 30 C.4 Process improv
41、ement objectives and motivation .31 C.5 Communication and teamwork31 C.6 Recognition31 C.7 Education and training .31 Bibliography33 ISO/IEC 15504-4:2004(E) ISO/IEC 2004 All rights reserved vForeword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
42、 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 activit
43、y. 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 committe
44、e, 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 n
45、ational 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 responsibl
46、e for identifying any or all such patent rights. ISO/IEC 15504-4 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology, Subcommittee SC 7, Software and system engineering. This first edition cancels and replaces ISO/IEC TR 15504-7:1998 and ISO/IEC TR 15504-8:1998, which hav
47、e been technically revised. 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
48、and process capability determination The following part is in preparation: Part 5: An exemplar Process Assessment Model The complete series will replace ISO/IEC TR 15504-1 to ISO/IEC TR 15504-9. ISO/IEC 15504-4:2004(E) vi ISO/IEC 2004 All rights reservedIntroduction ISO/IEC 15504 provides a framewor
49、k for process assessment and sets out the minimum requirements for performing an assessment in order to ensure consistency and repeatability of assessment ratings. Process assessment is applicable in the following circumstances: by or on behalf of an organization with the objective of understanding the state of its own processes for process improvement; by or on behalf of an organization with the objective of determining the capability of another organ
