Information technology -- Process assessment -- Process Reference Model (PRM) for quality management

This document defines a process reference model for the domain of quality management. The model specifies a process architecture for the domain and comprises a set of processes. Each process is described in terms of process purpose and outcomes. NOTE Users of this document can freely reproduce the detailed descriptions contained in this process reference model as part of any tool or other material to support the performance of process assessments, so that it can be used for its intended purpose.

Technologies de l'information -- Évaluation du processus -- Modèle de référence de processus pour la gestion de la qualité

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Publication Date
01-Dec-2019
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6060 - International Standard published
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11-Nov-2019
Completion Date
02-Dec-2019
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ISO/IEC TS 33053:2019 - Information technology -- Process assessment -- Process Reference Model (PRM) for quality management
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TECHNICAL ISO/IEC TS
SPECIFICATION 33053
First edition
2019-11
Information technology — Process
assessment — Process Reference
Model (PRM) for quality management
Technologies de l'information — Évaluation du processus — Modèle
de référence de processus pour la gestion de la qualité
Reference number
ISO/IEC TS 33053:2019(E)
ISO/IEC 2019
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ISO/IEC TS 33053:2019(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2019

All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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

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Published in Switzerland
ii © ISO/IEC 2019 – All rights reserved
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ISO/IEC TS 33053:2019(E)
Contents Page

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Overview of the process reference model .................................................................................................................................. 1

5 Process descriptions ........................................................................................................................................................................................ 2

5.1 General ........................................................................................................................................................................................................... 2

5.2 COM.01 Communication management ............................................................................................................................... 3

5.3 COM.02 Documentation management ................................................................................................................................ 3

5.4 COM.03 Human resource management ............................................................................................................................. 4

5.5 COM.04 Improvement ....................................................................................................................................................................... 5

5.6 COM.05 Internal audit....................................................................................................................................................................... 5

5.7 COM.06 Management review ...................................................................................................................................................... 6

5.8 COM.07 Non-conformity management .............................................................................................................................. 6

5.9 COM.08 Operational planning .................................................................................................................................................... 6

5.10 COM.09 Operational implementation and control ................................................................................................... 7

5.11 COM.10 Performance evaluation ............................................................................................................................................. 8

5.12 COM.11 Risk management ............................................................................................................................................................ 9

5.13 ORG.01 Asset management .......................................................................................................................................................... 9

5.14 ORG.02 Measurement resource management ............................................................................................................. 9

5.15 ORG.03 Supplier management ...............................................................................................................................................10

5.16 TEC.01 Configuration management ...................................................................................................................................10

5.17 TEC.02 Process changes ...............................................................................................................................................................11

5.18 TEC.03 Product/service changes .........................................................................................................................................11

5.19 TEC.04 Product/service design .............................................................................................................................................11

5.20 TEC.05 Product/service planning .......................................................................................................................................11

5.21 TEC.06 Product/service quarantine ..................................................................................................................................12

5.22 TEC.07 Product/service requirements ...........................................................................................................................12

5.23 TEC.08 Product/service review ............................................................................................................................................13

5.24 TEC.09 Product/service supply .............................................................................................................................................13

5.25 TEC.10 Product/service validation ....................................................................................................................................14

5.26 TEC.11 Product/service verification .................................................................................................................................14

5.27 TOP.01 Leadership ............................................................................................................................................................................14

Annex A (informative) The relationship between management system requirements and a

process reference model ...........................................................................................................................................................................16

Annex B (informative) Statement of conformity to ISO/IEC 33004 ...................................................................................55

Bibliography .............................................................................................................................................................................................................................57

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ISO/IEC TS 33053:2019(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.

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 should 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 responsible 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) or the IEC

list of patent declarations received (see http:// patents .iec .ch).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information 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 Joint Technical Committee ISO/IEC JTC 1, Information technology,

Subcommittee SC 7, Systems and Software Engineering.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/ members .html.
iv © ISO/IEC 2019 – All rights reserved
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ISO/IEC TS 33053:2019(E)
Introduction

The purpose of this document is to facilitate the development of a process assessment model described

in ISO/IEC TS 33073.

ISO/IEC 33002 describes the requirements for the conduct of an assessment. ISO/IEC 33004 describes

the requirements for process reference, process assessment and maturity models. ISO/IEC 33020

describes the measurement scale for assessing the process quality characteristic of process capability.

ISO/IEC 33001 describes the concepts and terminology used for process assessment.

A process reference model is a model comprising definitions of processes described in terms of process

purpose and outcomes, together with an architecture describing the relationships between the

processes. Using the process reference model in a practical application can require additional elements

suited to the environment and circumstances.

The process reference model specified in this document describes the processes including the quality

management system processes implied by ISO 9001. Each process of this process reference model

is described in terms of a purpose and outcomes, and provides traceability to requirements. The

process reference model does not attempt to place the processes in any specific environment nor does

it pre-determine any level of process capability required to fulfil the ISO 9001 requirements. The

process reference model is not intended to be used for a conformity assessment audit or as a process

implementation reference guide.

The relationships between ISO 9001, ISO/IEC TR 24774, ISO/IEC 33002, ISO/IEC 33004, ISO/IEC 33020,

ISO/IEC TS 33053 and ISO/IEC TS 33073 are shown in Figure 1.
Figure 1 — Relationships between relevant standards

Any organization can define processes with additional elements in order to suit it to its specific

environment and circumstances. Some processes cover general management aspects of an organization.

These processes have been identified in order to give coverage to the requirements of ISO 9001.

The process reference model does not provide the evidence required by ISO 9001. The process reference

model does not specify the interfaces between the processes.

This document describes a process reference model for quality management with descriptions of

processes in Clause 5. Annex A describes the relationship between management system requirements

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ISO/IEC TS 33053:2019(E)

and process model elements. Annex B provides the statement of conformity in accordance with

ISO/IEC 33004.
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TECHNICAL SPECIFICATION ISO/IEC TS 33053:2019(E)
Information technology — Process assessment — Process
Reference Model (PRM) for quality management
1 Scope

This document defines a process reference model for the domain of quality management.

The model specifies a process architecture for the domain and comprises a set of processes. Each

process is described in terms of process purpose and outcomes.

NOTE Users of this document can freely reproduce the detailed descriptions contained in this process

reference model as part of any tool or other material to support the performance of process assessments, so that

it can be used for its intended purpose.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO/IEC 33001, Information technology — Process assessment — Concepts and terminology

3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO/IEC 33001 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/
4 Overview of the process reference model

This clause describes the structure of a process reference model to support quality management.

The process reference model includes processes, which can already exist in the context of a quality

management system of a service provider.

Figure 2 identifies the processes derived from ISO 9001 requirements. Three process groups are

identified, namely, common processes, technical processes and organizational processes. The term

"common processes" refers to those processes identified with the text in the management system

subclauses that is common to all management system standards. The term "technical processes" refers

to processes associated with the technical domain of the application standard. In the present case of

ISO 9001, the technical processes underpin the implementation of those requirements associated with

the creation or support of products and services. "organizational processes" refers to those processes

that support the implementation of the requirements for products and services.
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ISO/IEC TS 33053:2019(E)
Figure 2 — Processes in the process reference model
5 Process descriptions
5.1 General

The process descriptions in this process reference model are defined following the guidance set out in

ISO/IEC TR 24774. Each process in the process reference model has the following descriptive elements.

a) Process ID: each process belonging to a group is identified with a process identifier (ID) consisting

of the group abbreviated name and a sequential number of the process in that group.

b) Name: the name of a process is a short phrase that summarizes the scope of the process, identifying

the principal concern of the process, and distinguishes it from other processes within the scope of

the process reference model.

c) Purpose: the purpose of the process is a high level, overall goal for performing the process.

d) Outcomes: an outcome is an observable result of the successful achievement of the process purpose.

Outcomes are measurable, tangible, technical or business results that are achieved by a process.

Outcomes are observable and assessable.

e) Requirements traceability: the outcomes are based on the requirements of ISO 9001. The references

identify the applicable subclauses of ISO 9001, the subclause heading, and the outcomes that are

supported.

In 5.2 to 5.27, all entries in the requirements traceability row end with numbers in square brackets,

(i.e. [n]). Each number in the square brackets is a reference to a numbered outcome. These outcomes are

directly linked to the requirements of ISO 9001.

Some outcomes are shown in square brackets. These are only indirectly linked to requirements of

ISO 9001. The outcomes in square brackets are not referenced by any of the entries in the requirements

traceability row. These additional outcomes have been included because they are considered necessary

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ISO/IEC TS 33053:2019(E)

in order for this type of process reference model to serve as the basis of the process assessment model

(ISO/IEC TS 33073). With these additional outcomes, the process is complete and the process purpose

can be achieved.
5.2 COM.01 Communication management
Process ID COM.01
Name Communication management

Purpose The purpose of communication management is to produce timely and accurate in-

formation products to support effective communication and decision making.
Outcomes As a result of successful implementation of this process:

[1) Information content is defined in terms of identified communication requirements.]

2) Parties to communicate with are identified.
3) The party responsible for the communication is identified.
4) Events that require communication actions are identified.
5) The channel for the communication is selected.
6) Information products are communicated to relevant interested parties.
Requirements ISO 9001:2015, 5.1.1, General [6]
traceability
ISO 9001:2015, 5.2.2, Communicating the quality policy [6]
ISO 9001:2015, 7.4, Communication [2][3][4][5]
ISO 9001:2015, 8.2.4, Changes to requirements for products and services [6]
ISO 9001:2015, 8.4.3, Information for external providers [6]
ISO 9001:2015, 8.7.1 [6]
ISO 9001:2015, 9.2.2 [6]
5.3 COM.02 Documentation management
Process ID COM.02
Name Documentation management

Purpose The purpose of document management is to provide relevant, timely, complete,

valid documented information to designated parties.
Outcomes As a result of successful implementation of this process:
1) Documented information to be documented is identified.
2) The forms of documented information representation are defined.
3) The documented information content status is known.
4) Documented information is current, complete and valid.
5) Documented information is released according to defined criteria.
6) Documented information is available to relevant interested parties.
7) Documented information is archived, or disposed of, as required.
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ISO/IEC TS 33053:2019(E)

Requirements ISO 9001:2015, 4.3, Determining the scope of the quality management system [1][3]

traceability
ISO 9001:2015, 5.2.2, Communicating the quality policy [1][4][6]
ISO 9001:2015, 6.2.1 [3][4]
ISO 9001:2015, 7.1.5.1, General [1]
ISO 9001:2015, 7.1.6, Organizational knowledge [4][6]
ISO 9001:2015, 7.2, Competence [1]
ISO 9001:2015, 7.5.2, Creating and updating [2][5]
ISO 9001:2015, 7.5.3.1 [4][6]
ISO 9001:2015, 7.5.3.2 [2][4][6][7]
ISO 9001:2015, 8.1, Operational planning and control [1]
ISO 9001:2015, 8.2.3.2 [1]
ISO 9001:2015, 8.2.4, Changes to requirements for products and services [3][4]
ISO 9001:2015, 8.3.2, Design and development planning [1]
ISO 9001:2015, 8.3.3, Design and development inputs [1]
ISO 9001:2015, 8.3.4, Design and development controls [1]
ISO 9001:2015, 8.3.5, Design and development outputs [1]
ISO 9001:2015, 8.3.6, Design and development changes [1]
ISO 9001:2015, 8.4.1, General [1]
ISO 9001:2015, 8.5.1, Control of production and service provision [1]
ISO 9001:2015, 8.5.2, Identification and traceability [1]
ISO 9001:2015, 8.5.3, Property belonging to customers or external providers [1]
ISO 9001:2015, 8.5.6, Control of changes [1]
ISO 9001:2015, 8.6, Release of products and services [5]
ISO 9001:2015, 8.7.2 [1]
ISO 9001:2015, 9.1.1, General [1]
ISO 9001:2015, 9.2.2 [1]
ISO 9001:2015, 9.3.3, Management review outputs [1]
ISO 9001:2015, 10.2.2 [1]
5.4 COM.03 Human resource management
Process ID COM.03
Name Human resource management

Purpose The purpose of human resource management is to provide the organization with

necessary competent human resources and to improve their competencies, in align-
ment with business needs.
Outcomes As a result of successful implementation of this process:

1) The competencies required by the organization to produce products and servic-

es are identified.
2) Identified competency gaps are filled through training or recruitment.

3) Understanding of roles and activities in achieving organisational objectives in

product and service provision is demonstrated by each person.
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ISO/IEC TS 33053:2019(E)
Requirements ISO 9001:2015, 7.2, Competence [1][2]
traceability
ISO 9001:2015, 7.3, Awareness [3]
5.5 COM.04 Improvement
Process ID COM.04
Name Improvement

Purpose The purpose of improvement is to continually improve the management system, its

processes, products and services.
Outcomes As a result of successful implementation of this process:
1) Opportunities for improvement are identified.
2) Opportunities for improvement are evaluated against defined criteria.
[3) Improvements are prioritized.]
[4) Improvements are implemented.]
[5) The effectiveness of implemented improvements is evaluated.]
Requirements ISO 9001:2015, 9.1.3, Analysis and evaluation [2]
traceability
ISO 9001:2015, 9.3.3, Management review outputs [1]
ISO 9001:2015, 10.1, General [1]
ISO 9001:2015, 10.3, Continual improvement [1]
5.6 COM.05 Internal audit
Process ID COM.05
Name Internal audit

Purpose The purpose of internal audit is to independently determine conformity of the man-

agement system, products, services, and processes to the requirements, policies,
plans and agreements, as appropriate.
Outcomes As a result of successful implementation of this process:
1) The scope and purpose of each audit is defined.

2) The objectivity and impartiality of the conduct of audits and selection of audi-

tors are assured.
3) Conformity of selected services, products and processes with requirements,
plans and agreements is determined.
Requirements ISO 9001:2015, 9.2.1 [3]
traceability
ISO 9001:2015, 9.2.2 [1][2][3]
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ISO/IEC TS 33053:2019(E)
5.7 COM.06 Management review
Process ID COM.06
Name Management review

Purpose The purpose of management review is to assess the performance of the manage-

ment system, to identify and make decisions regarding potential improvements.
Outcomes As a result of successful implementation of this process:
1) The objectives of the review are established.

2) The status and performance of an activity or process are assessed in terms of

the established objectives.
3) Risks, problems and opportunities for improvement are identified.
Requirements ISO 9001:2015, 9.3.1, General [2]
traceability
ISO 9001:2015, 9.3.2, Management review inputs [1]
ISO 9001:2015, 9.3.3, Management review outputs [3]
5.8 COM.07 Non-conformity management
Process ID COM.07
Name Non-conformity management

Purpose The purpose of the non-conformity management process is to resolve non-conform-

ities and to eliminate their causes when appropriate.
Outcomes As a result of successful implementation of this process:
1) Non-conformities are identified.
2) Non-conformities are resolved and closed.
3) The cause(s) of selected non-conformities is determined.

4) The need for action to eliminate the causes of non-conformities is evaluated.

5) A selected action proposal is implemented.

6) The effectiveness of changes to eliminate the non-conformities is confirmed.

Requirements ISO 9001:2015, 7.1.5.2, Measurement traceability [1]
traceability
ISO 9001:2015, 7.4, Communication [5]
ISO 9001:2015, 9.2.2 [1]
ISO 9001:2015, 10.2.1 [1][2][3][4][5][6]
5.9 COM.08 Operational planning
Process ID COM.08
Name Operational planning

Purpose The purpose of operational planning is to define the characteristics of all operation-

al and organizational processes, and to plan their execution.
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ISO/IEC TS 33053:2019(E)
Outcomes As a result of successful implementation of this process:
1) Process requirements are identified.
2) Process input and output products are determined.
3) The set of activities that transform the inputs into outputs is determined.

4) The sequence and interaction of the process with other processes is determined.

5) The required competencies and roles for performing the process are identified.

6) The required resources for performing the process are identified.
7) Methods for monitoring the effectiveness and suitability of the process are
determined.
8) Plans for the deployment of the process are developed.
Requirements ISO 9001:2015, 4.4.1, [2][4][5][6][7]
traceability
ISO 9001:2015, 5.2.1, Establishing the quality policy [1]
ISO 9001:2015, 5.3, Organizational roles, responsibilities and authorities [5]
ISO 9001:2015, 6.1.1 [1][8]
ISO 9001:2015, 6.1.2 [8]
ISO 9001:2015, 6.2.2 [1][5][6][7][8]
ISO 9001:2015, 6.3, Planning of changes [1]
ISO 9001:2015, 7.1.1, General [6]
ISO 9001:2015, 7.1.3, Infrastructure [1]
ISO 9001:2015, 7.1.4, Environment for the operation of processes [1]
ISO 9001:2015, 7.1.5.1, General [1]
ISO 9001:2015, 7.5.2, Creating and updating [1]
ISO 9001:2015, 8.1, Operational planning and control [1][2][4][6]
ISO 9001:2015, 8.2.1, Customer communication [1]
ISO 9001:2015, 8.3.2, Design and development planning [8]
ISO 9001:2015, 8.3.4, Design and development controls [1]

ISO 9001:2015, 8.5.1, Control of production and service provision [3][4][5][6][7]

ISO 9001:2015, 9.1.1, General [8]
ISO 9001:2015, 9.2.1 [8]
ISO 9001:2015, 9.2.2 [8]
ISO 9001:2015, 9.3.1, General [8]
ISO 9001:2015, 9.3.2, Management review inputs [8]
5.10 COM.09 Operational implementation and control
Process ID COM.09
Name Operational implementation and control

Purpose The purpose of the operational implementation and control process is to deploy and

control the execution and performance of operational and organizational processes.

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ISO/IEC TS 33053:2019(E)
Outcomes As a result of successful implementation of this process:
1) The required roles, responsibilities and authorities are allocated.
2) The required resources are allocated and applied.

3) Actions required to achieve the management system objectives are implemented.

4) Suitability and effectiveness of the actions taken to achieve the management

system objectives are reviewed.
5) Deviations from planned arrangements are corrected when targets are not
achieved.

6) Data is collected and analysed as a basis for understanding the behaviour of,

and to demonstrate the suitability and effectiveness of the processes.

Requirements ISO 9001:2015, 4.1, Understanding the organization and its context [4]

traceability
ISO 9001:2015, 4.2, Understanding the needs and expectations of interested par-
ties [4]
ISO 9001:2015, 5.2.1, Establishing the quality policy [3][4]
ISO 9001:2015, 5.3, Organizational roles, responsibilities and authorities [1]
ISO 9001:2015, 7.1.1, General [2]
ISO 9001:2015, 7.1.2, People [2]
ISO 9001:2015, 7.1.3, Infrastructure [3]
ISO 9001:2015, 7.1.4, Environment for the operation of processes [3][4]
ISO 9001:2015, 7.1.5.1, General [2][3]
ISO 9001:2015, 7.2, Competence [4]
ISO 9001:2015, 8.1, Operational planning and control [3][4][5]
ISO 9001:2015, 8.2.3.1 [4]
ISO 9001:2015, 8.4.3, Information for external providers [4]
ISO 9001:2015, 8.5.1, Control of production and service provision [3]
ISO 9001:2015, 9.1.3, Analysis and evaluation [6]
ISO 9001:2015, 9.2.2 [3][4]
5.11 COM.10 Performance evaluation
Process ID COM.10
Name Performance evaluation

Purpose The purpose of performance evaluation is to collect and analyse data that will be

used to evaluate the performance of the management system and the business pro-
cesses in terms of the defined objectives.
Outcomes As a result of successful implementation of this process:
1) Performance monitoring and measurement needs are defined.
[2) Performance measures, derived fro
...

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