ISO/IEC 33004:2015
(Main)Information technology — Process assessment — Requirements for process reference, process assessment and maturity models
Information technology — Process assessment — Requirements for process reference, process assessment and maturity models
ISO/IEC 33004:2015 sets out the requirements for process reference models, process assessment models, and maturity models. The requirements defined in this International Standard form a structure which specifies a) the relationship between the classes of process model associated with the performance of process assessment, b) the relationship between process reference models and prescriptive/normative models of process performance, as constituted by, for example, the activities and tasks defined in ISO/IEC 12207 and ISO/IEC 15288, c) the integration of process reference models and process measurement frameworks to establish process assessment models, d) the use of common sets of assessment indicators of process performance and process quality in process assessment models, and e) the relationship between maturity models and process assessment models and the extent to which a maturity model can be constructed using elements from different process assessment models.
Technologies de l'information — Évaluation du processus — Exigences relatives au modèle de référence du processus, au modèle d'évaluation du processus et au modèle de maturité
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INTERNATIONAL ISO/IEC
STANDARD 33004
First edition
2015-03-01
Corrected version
2017-04
Information technology — Process
assessment — Requirements for
process reference, process assessment
and maturity models
Technologies de l’information — Évaluation du processus —
Exigences relatives au modèle de référence du processus, au modèle
d’évaluation du processus et au modèle de maturité
Reference number
ISO/IEC 33004:2015(E)
©
ISO/IEC 2015
---------------------- Page: 1 ----------------------
ISO/IEC 33004:2015(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2015, Published in Switzerland
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, without prior
written permission. Permission can be requested from either ISO at the address below or ISO’s member body in the country of
the requester.
ISO copyright office
Ch. de Blandonnet 8 • CP 401
CH-1214 Vernier, Geneva, Switzerland
Tel. +41 22 749 01 11
Fax +41 22 749 09 47
copyright@iso.org
www.iso.org
ii © ISO/IEC 2015 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/IEC 33004:2015(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Term(s) and definition(s) . 1
4 Requirements for process models . 1
5 Process reference models . 2
5.1 Introduction . 2
5.2 Process reference model purpose and scope . 2
5.3 Requirements for process reference models . 2
5.4 Process descriptions . 2
5.5 Verifying conformity of process reference models . 3
6 Process assessment models . 3
6.1 Introduction . 3
6.2 Process assessment model scope . 4
6.3 Requirements for process assessment models . 4
6.3.9 Mapping process assessment models . 5
6.3.10 Expression of assessment results. 6
6.4 Verifying conformity of process assessment models . 6
7 Maturity models . 6
7.1 Introduction . 6
7.2 Maturity model scope . 6
7.3 Requirements for a maturity model . 7
7.3.4 Scale of organizational process maturity . 7
7.3.5 Process descriptions . 7
7.3.6 Rules for deriving maturity level from process quality level . 8
7.4 Verifying conformity of maturity models . 8
Bibliography . 9
© ISO/IEC 2015 – All rights reserved iii
---------------------- Page: 3 ----------------------
ISO/IEC 33004:2015(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.
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).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation on 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 WTO
principles in the Technical Barriers to Trade (TBT) see the following URL: Foreword - Supplementary
information
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 7, Software and systems engineering.
This second edition cancels and replaces clauses of ISO/IEC 15504-2:2003 and ISO/IEC 15504-7:2008,
which have been technically revised.
This corrected edition cancels and replaces the edition ISO/IEC 33304:2015 which has been editorially
revised. The main changes compared to the previous edition are as follows:
— duplicated clauses in 6.3 have been corrected; and
— minor editorial changes have been made to the foreword to align it with current editorial rules.
iv © ISO/IEC 2015 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/IEC 33004:2015(E)
Introduction
This International Standard provides requirements for the construction and verification of process
reference models, process assessment models, and maturity models.
This International Standard is part of a set of International Standards designed to provide a 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
technology 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, or for identifying and
addressing risks associated with application of processes.
The set of International Standards ISO/IEC 33001:2015 to 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 described in this International Standard. General issues relating to
the application of conformity assessment to the assessment of process quality characteristics 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 intended to replace and extend parts of the ISO/IEC 15504 series of Standards. Annex A in
ISO/IEC 33001 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 v
---------------------- Page: 5 ----------------------
INTERNATIONAL STANDARD ISO/IEC 33004:2015(E)
Information technology — Process assessment —
Requirements for process reference, process assessment
and maturity models
1 Scope
This International Standard sets out the requirements for process reference models, process assessment
models, and maturity models. The requirements defined in this International Standard form a structure
which specifies
a) the relationship between the classes of process model associated with the performance of process
assessment,
b) the relationship between process reference models and prescriptive/normative models of process
[1]
performance, as constituted by, for example, the activities and tasks defined in ISO/IEC 12207
[2]
and ISO/IEC 15288 ,
c) the integration of process reference models and process measurement frameworks to establish
process assessment models,
d) the use of common sets of assessment indicators of process performance and process quality in
process assessment models, and
e) the relationship between maturity models and process assessment models and the extent to which
a maturity model can be constructed using elements from different process assessment models.
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, only the edition cited applies. For undated
references, the latest edition of the referenced document (including any amendments) applies.
ISO/IEC 33001:2015, Information technology — Process assessment — Concepts and terminology
ISO/IEC 33003, Information technology — Process assessment — Requirements for process measurement
frameworks
3 Term(s) and definition(s)
For the purposes of this document, the terms and definitions given in ISO/IEC 33001 apply.
4 Requirements for process models
This International Standard sets out the requirements that shall be met by process models used to
support process assessment. A process assessment model shall be based upon a suitable reference
source of process definitions based on one or more process reference model(s) as described in Clause 5.
The requirements to be met by a process assessment model in order to claim conformance through its
relationship with specific process reference model(s) are defined in Clause 6. A maturity model shall
be based on a suitable process assessment model(s); requirements for a maturity model are set out in
Clause 7.
© ISO/IEC 2015 – All rights reserved 1
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ISO/IEC 33004:2015(E)
The requirements for conformance of process assessment models enable comparison of outputs
from assessments using different process assessment models based upon the same process reference
model(s).
5 Process reference models
5.1 Introduction
Clause 5 sets out the requirements for a process reference model.
5.2 Process reference model purpose and scope
The purpose of a process reference model is to define a set of processes that collectively can support the
primary aims of a community of interest. A process reference model provides the basis for one or more
process assessment models.
In order to assure that assessment results are translatable into a set of process profiles in a repeatable
and reliable manner, process reference models shall adhere to certain requirements.
5.3 Requirements for process reference models
5.3.1 A process reference model shall contain:
a) a declaration of the domain of the process reference model;
b) a description of the relationship between the process reference model and its intended context of use;
c) descriptions, meeting the requirements of 5.4, of the processes within the scope of the process
reference model;
d) a description of the relationship between the processes defined within the process reference model.
5.3.2 The process reference model shall document the community of interest of the model and the
actions taken to achieve consensus within that community of interest:
a) the relevant community of interest shall be characterized or specified;
b) the extent of achievement of consensus shall be documented;
c) if no actions are taken to achieve consensus, a statement to this effect shall be documented.
5.3.3 The processes defined within a process reference model shall have unique process descriptions
and identification.
NOTE Any elements contained in a process reference model that are not included in this Clause are to be
considered informative.
5.4 Process descriptions
The fundamental elements of a process reference model are the descriptions of the processes within
the scope of the model.
The process descriptions in the process reference model incorporate a statement of the purpose of the
process which describes at a high level the overall objectives of performing the process, together with
the set of outcomes which demonstrate successful achievement of the process purpose.
2 © ISO/IEC 2015 – All rights reserved
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ISO/IEC 33004:2015(E)
A process description shall meet the following requirements:
a) a process shall be described in terms of its purpose and process outcomes;
b) the set of process outcomes shall be necessary and sufficient to achieve the purpose of the process;
c) process descriptions shall not contain or imply aspects of the process quality characteristic beyond
the basic level of any relevant process measurement framework conformant with ISO/IEC 33003.
A process outcome describes one of the following:
— production of an artifact;
— a significant change of state;
— meeting of specified constraints, e.g. requir
...
INTERNATIONAL ISO/IEC
STANDARD 33004
Second edition
2015-03-01
Information technology — Process
assessment — Requirements for
process reference, process assessment
and maturity models
Technologies de l’information — Évaluation du processus —
Exigences relatives au modèle de référence du processus, au modèle
d’évaluation du processus et au modèle de maturité
Reference number
ISO/IEC 33004:2015(E)
©
ISO/IEC 2015
---------------------- Page: 1 ----------------------
ISO/IEC 33004:2015(E)
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, without prior
written permission. Permission can be requested from 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
Published in Switzerland
ii © ISO/IEC 2015 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/IEC 33004:2015(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Term(s) and definition(s) . 1
4 Requirements for process models . 1
5 Process reference models . 2
5.1 Introduction . 2
5.2 Process reference model purpose and scope . 2
5.3 Requirements for process reference models . 2
5.4 Process descriptions . 2
5.5 Verifying conformity of process reference models . 3
6 Process assessment models . 3
6.1 Introduction . 3
6.2 Process assessment model scope . 4
6.3 Requirements for process assessment models . 4
6.3.1 Assessment Indicators . 5
6.3.2 Mapping process assessment models . 5
6.3.3 Expression of assessment results. 6
6.4 Verifying conformity of process assessment models . 6
7 Maturity models . 6
7.1 Introduction . 6
7.2 Maturity model scope . 6
7.3 Requirements for a maturity model . 7
7.3.4 Scale of organizational process maturity . 7
7.3.5 Process descriptions . 7
7.3.6 Rules for deriving maturity level from process quality level . 8
7.4 Verifying conformity of maturity models . 8
Bibliography . 9
© ISO/IEC 2015 – All rights reserved iii
---------------------- Page: 3 ----------------------
ISO/IEC 33004:2015(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.
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).
Any trade name used in this document is information given for 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 ISO’s adherence to the WTO principles in the Technical Barriers
to Trade (TBT) see the following URL: 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 clauses of ISO/IEC 15504-2:2003 and ISO/IEC 15504-7:2008,
which have been technically revised.
iv © ISO/IEC 2015 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/IEC 33004:2015(E)
Introduction
This International Standard provides requirements for the construction and verification of process
reference models, process assessment models, and maturity models.
This International Standard is part of a set of International Standards designed to provide a 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 technology
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, or for identifying and addressing risks
associated with application of processes.
The set of International Standards ISO/IEC 33001:2015 to 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 described in this International Standard. General issues relating to
the application of conformity assessment to the assessment of process quality characteristics 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 intended
to replace and extend parts of the ISO/IEC 15504 series of Standards. Annex A in ISO/IEC 33001 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 v
---------------------- Page: 5 ----------------------
INTERNATIONAL STANDARD ISO/IEC 33004:2015(E)
Information technology — Process assessment —
Requirements for process reference, process assessment
and maturity models
1 Scope
This International Standard sets out the requirements for process reference models, process assessment
models, and maturity models. The requirements defined in this International Standard form a structure
which specifies
a) the relationship between the classes of process model associated with the performance of
process assessment,
b) the relationship between process reference models and prescriptive/normative models of process
[1]
performance, as constituted by, for example, the activities and tasks defined in ISO/IEC 12207
[2]
and ISO/IEC 15288 ,
c) the integration of process reference models and process measurement frameworks to establish
process assessment models,
d) the use of common sets of assessment indicators of process performance and process quality in
process assessment models, and
e) the relationship between maturity models and process assessment models and the extent to which
a maturity model can be constructed using elements from different process assessment models.
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, only the edition cited applies. For undated
references, the latest edition of the referenced document (including any amendments) applies.
ISO/IEC 33001:2015, Information technology — Process assessment — Concepts and terminology
ISO/IEC 33003, Information technology — Process assessment — Requirements for process measurement
frameworks
3 Term(s) and definition(s)
For the purposes of this document, the terms and definitions given in ISO/IEC 33001 apply.
4 Requirements for process models
This International Standard sets out the requirements that shall be met by process models used to support
process assessment. A process assessment model shall be based upon a suitable reference source of process
definitions based on one or more process reference model(s) as described in Clause 5. The requirements
to be met by a process assessment model in order to claim conformance through its relationship with
specific process reference model(s) are defined in Clause 6. A maturity model shall be based on a suitable
process assessment model(s); requirements for a maturity model are set out in Clause 7.
The requirements for conformance of process assessment models enable comparison of outputs from
assessments using different process assessment models based upon the same process reference model(s).
© ISO/IEC 2015 – All rights reserved 1
---------------------- Page: 6 ----------------------
ISO/IEC 33004:2015(E)
5 Process reference models
5.1 Introduction
Clause 5 sets out the requirements for a process reference model.
5.2 Process reference model purpose and scope
The purpose of a process reference model is to define a set of processes that collectively can support the
primary aims of a community of interest. A process reference model provides the basis for one or more
process assessment models.
In order to assure that assessment results are translatable into a set of process profiles in a repeatable
and reliable manner, process reference models shall adhere to certain requirements.
5.3 Requirements for process reference models
5.3.1 A process reference model shall contain:
a) a declaration of the domain of the process reference model;
b) a description of the relationship between the process reference model and its intended context of use;
c) descriptions, meeting the requirements of 5.4, of the processes within the scope of the process
reference model;
d) a description of the relationship between the processes defined within the process reference model.
5.3.2 The process reference model shall document the community of interest of the model and the
actions taken to achieve consensus within that community of interest:
a) the relevant community of interest shall be characterized or specified;
b) the extent of achievement of consensus shall be documented;
c) if no actions are taken to achieve consensus, a statement to this effect shall be documented.
5.3.3 The processes defined within a process reference model shall have unique process descriptions
and identification.
NOTE Any elements contained in a process reference model that are not included in this Clause are to be
considered informative.
5.4 Process descriptions
The fundamental elements of a process reference model are the descriptions of the processes within the
scope of the model.
The process descriptions in the process reference model incorporate a statement of the purpose of the
process which describes at a high level the overall objectives of performing the process, together with
the set of outcomes which demonstrate successful achievement of the process purpose.
A process description shall meet the following requirements:
a) a process shall be described in terms of its purpose and process outcomes;
b) the set of process outcomes shall be necessary and sufficient to achieve the purpose of the process;
c) process descriptions shall not contain or imply aspects of the process quality characteristic beyond
the basic level of any relevant process measurement framework conformant with ISO/IEC 33003.
2 © ISO/IEC 2015 – All rights reserved
---------------------- Page: 7 ----------------------
ISO/IEC 33004:2015(E)
A process outcome describes one of the following:
— production of an artifact;
— a significant change of state;
— meeting of specified constraints, e.g. requirements, goals etc.
NOTE 1 Achievement of the process outcomes, without any management or control factors related to the
selected pr
...
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