Information technology -- Process assessment -- Process assessment model for software life cycle processes

This document defines a process assessment model for software life cycle processes, conformant with the requirements of ISO/IEC 33004, for use in performing a conformant assessment in accordance with the requirements of ISO/IEC 33002.

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TECHNICAL ISO/IEC TS
SPECIFICATION 33061
First edition
2021-04
Information technology — Process
assessment — Process assessment
model for software life cycle processes
Reference number
ISO/IEC TS 33061:2021(E)
ISO/IEC 2021
---------------------- Page: 1 ----------------------
ISO/IEC TS 33061:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2021

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

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
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO/IEC 2021 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/IEC TS 33061:2021(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

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

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

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

4 The process assessment model ............................................................................................................................................................. 1

4.1 General ........................................................................................................................................................................................................... 1

4.2 Structure of the process assessment model .................................................................................................................. 3

4.2.1 General...................................................................................................................................................................................... 3

4.2.2 Processes ................................................................................................................................................................................ 3

4.2.3 Process dimension ......................................................................................................................................................... 4

4.2.4 Quality dimension ........................................................................................................................................................... 4

4.3 Assessment indicators ...................................................................................................................................................................... 4

5 The process dimension .................................................................................................................................................................................. 5

5.1 General ........................................................................................................................................................................................................... 5

5.2 Agreement processes (AGR)........................................................................................................................................................ 6

5.2.1 General...................................................................................................................................................................................... 6

5.2.2 Acquisition process ....................................................................................................................................................... 6

5.2.3 Supply process ................................................................................................................................................................... 8

5.3 Organizational project-enabling processes (ORG) ................................................................................................... 9

5.3.1 General...................................................................................................................................................................................... 9

5.3.2 Life cycle model management process ......................................................................................................... 9

5.3.3 Infrastructure management process ...........................................................................................................10

5.3.4 Portfolio management process .........................................................................................................................11

5.3.5 Human resource management process .....................................................................................................12

5.3.6 Quality management process.............................................................................................................................13

5.3.7 Knowledge management process ..................................................................................................................14

5.4 Technical management processes (MAN) ....................................................................................................................15

5.4.1 General...................................................................................................................................................................................15

5.4.2 Project planning process ........................................................................................................................................16

5.4.3 Project assessment and control process ..................................................................................................17

5.4.4 Decision management process .........................................................................................................................19

5.4.5 Risk management process ....................................................................................................................................20

5.4.6 Configuration management process ............................................................................................................22

5.4.7 Information management process ................................................................................................................24

5.4.8 Measurement process ..............................................................................................................................................25

5.4.9 Quality assurance process ....................................................................................................................................26

5.5 Technical processes (TEC) .........................................................................................................................................................28

5.5.1 General...................................................................................................................................................................................28

5.5.2 Business or mission analysis process .........................................................................................................28

5.5.3 Stakeholder needs and requirements definition process ..........................................................30

5.5.4 System/software requirements definition process ........................................................................33

5.5.5 Architecture definition process .......................................................................................................................35

5.5.6 Design definition process ......................................................................................................................................38

5.5.7 System analysis process..........................................................................................................................................40

5.5.8 Implementation process ........................................................................................................................................42

5.5.9 Integration process .....................................................................................................................................................44

5.5.10 Verification process ....................................................................................................................................................45

5.5.11 Transition process .......................................................................................................................................................47

5.5.12 Validation process .................. .................................................... ..................................................................................49

5.5.13 Operation process ........................................................................................................................................................51

5.5.14 Maintenance process .................................................................................................................................................53

© ISO/IEC 2021 – All rights reserved iii
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ISO/IEC TS 33061:2021(E)

5.5.15 Disposal process ............................................................................................................................................................55

6 The quality dimension.................................................................................................................................................................................57

Annex A (informative) Process outputs ..........................................................................................................................................................58

Bibliography .............................................................................................................................................................................................................................73

iv © ISO/IEC 2021 – All rights reserved
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ISO/IEC TS 33061:2021(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, 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 ISO documents 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 or www .iec .ch/ members

_experts/ refdocs).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO 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 IEClist 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. In the IEC, see www .iec .ch/ understanding -standards.

This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,

Subcommittee SC 7, Software and systems engineering.

This document cancels and replaces ISO/IEC 15504-5:2012, which has been technically revised.

The main changes compared to ISO/IEC 15504-5:2012 are as follows:

— all processes and their base practices are changed to reflect the ISO/IEC/IEEE 12207 processes;

— all process related process outputs and their descriptions are revised;

— this process assessment model includes a process quality attribute of process performance and can

be used with other models of process quality, for instance capability as described in ISO/IEC 33020.

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 and www .iec .ch/ national

-committees.
© ISO/IEC 2021 – All rights reserved v
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ISO/IEC TS 33061:2021(E)
Introduction

The set of International Standards ISO/IEC 33001 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 ISO/IEC 330xx family is described in ISO/IEC 33001. Several standards in the

ISO/IEC 330xx family for process assessment are intended to replace and extend parts of the

ISO/IEC 15504 series. Abstracts and previews of the ISO/IEC 330xx family of standards can be found on

the ISO website.

This document defines a process assessment model for software life cycle processes, conformant with

the requirements of ISO/IEC 33004, for use in performing a conformant assessment in accordance with

the requirements of ISO/IEC 33002.

A process assessment model is related to one or more process reference models. The process reference

model defined in ISO/IEC/IEEE 12207 is used as the basis for the process assessment model in this

document.

A process assessment model incorporates a process measurement framework conformant with the

requirements of ISO/IEC 33003 and is expressed as a process quality characteristic with a defined set

of process attributes.

A process assessment model includes a set of assessment indicators. Process performance indicators

address the process purpose and outcomes of each process in the process assessment model. Process

quality indicators demonstrate the achievement of the process attributes in the process measurement

framework. These indicators may also provide a reference source of practices when implementing a

process improvement program.

The assessment indicators are used as a basis for collecting objective evidence to support an assessor’s

judgement in assigning ratings of the performance and quality of an implemented process. The set

of indicators defined in this document are not intended to be an all-inclusive set and applicable in

its entirety. Subsets appropriate to the context and scope of the assessment should be selected, and

potentially augmented with additional indicators.

A process assessment is conducted according to a documented assessment process. A documented

assessment process identifies the rating method to be used in rating process attributes and identifies

or defines the aggregation method to be used in determining ratings.

ISO/IEC 33020 provides a process measurement framework for the assessment of process

capability which may be incorporated as a process measurement framework in this document.

ISO/IEC 33020:2019, Annex B includes a set of process quality indicators for each process attribute in

the process measurement framework.
vi © ISO/IEC 2021 – All rights reserved
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TECHNICAL SPECIFICATION ISO/IEC TS 33061:2021(E)
Information technology — Process assessment — Process
assessment model for software life cycle processes
1 Scope

This document defines a process assessment model for software life cycle processes, conformant with

the requirements of ISO/IEC 33004, for use in performing a conformant assessment in accordance with

the requirements of ISO/IEC 33002.
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/IEEE 12207:2017, Systems and software engineering — Software life cycle processes

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

ISO/IEC 33003:2015, Information technology — Process assessment — Requirements for process

measurement frameworks

ISO/IEC 33004:2015, Information technology — Process assessment — Requirements for process reference,

process assessment and maturity models
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 The process assessment model
4.1 General

This document provides a basis for a process assessment model that is two-dimensional. In one

dimension, the process dimension, the processes are defined and classified into process groups

together with the set of assessment indicators of process performance. In the other dimension, the

quality dimension, for each process attribute in the process measurement framework a set of process

quality indicators is defined for the selected process quality characteristic.

This document applies the software system concepts as defined in ISO/IEC/IEEE 12207. These concepts

include software systems, software system architecture and enabling systems.

NOTE 1 The software systems considered in this document are human-made, created and utilized to provide

products or services in defined environments for the benefit of users and other stakeholders. These software

systems can include the following system elements: hardware, software, data, humans, processes (e.g. processes

for providing service to users), procedures (e.g. operator instructions), facilities, services, materials and naturally

occurring entities. As viewed by the user, they are thought of as products or services. (ISO/IEC/IEEE 12207)

© ISO/IEC 2021 – All rights reserved 1
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ISO/IEC TS 33061:2021(E)

NOTE 2 This document applies to systems for which software is of primary importance to the stakeholders.

It is based upon the general principles of systems engineering and software engineering. It is a fundamental

premise of this document that software always exists in the context of a system. Since software does not

operate without hardware, the processor upon which the software is executed can be considered as part of

the system. Alternatively, hardware or services hosting the software system and handling communications

with other systems can also be viewed as enabling systems or external systems in the operating environment.

The perception and definition of a particular software system, its architecture, and its elements depend on a

stakeholder’s interests and responsibilities. One stakeholder’s system-of-interest can be viewed as a system

element in another stakeholder’s system-of-interest. Furthermore, a system-of-interest can be viewed as being

part of the environment for another stakeholder’s system-of-interest. (ISO/IEC/IEEE 12207)

NOTE 3 The life cycle processes in this document are described in relation to a software system that is

composed of interacting system elements (including software elements), each of which can be implemented to

fulfil its respective specified requirements. Responsibility for the implementation of any system element may

therefore be delegated to another party through an agreement. (ISO/IEC/IEEE 12207)

NOTE 4 Throughout the life cycle of a system-of-interest, essential services are required from systems that

are not directly a part of the operational environment of the system-of-interest, e.g. modelling system, training

system, maintenance system. Each of these systems enables a part, e.g. a stage of the life cycle of the system-

of-interest to be conducted. Termed "enabling systems", they facilitate progression of the system-of-interest

through its life cycle. (ISO/IEC/IEEE 12207)
Figure 1 — Structure of the process assessment model

Figure 1 shows the process assessment model as a two-dimensional model, the process dimension

with its relationship to ISO/IEC/IEEE 12207 software life cycle processes, and the quality dimension in

relationship to a process measurement framework.

Users of this document may freely reproduce the detailed descriptions contained in the assessment

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 © ISO/IEC 2021 – All rights reserved
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ISO/IEC TS 33061:2021(E)
4.2 Structure of the process assessment model
4.2.1 General

This subclause describes the detailed structure of the process assessment model and its key

components.

The process dimension comprises the set of processes defined with process purpose and process

outcomes together with a set of assessment indicators of process performance.

Processes included in a process reference model shall be in accordance with ISO/IEC 33004:2015, 5.4.

The processes in this document are derived directly from ISO/IEC/IEEE 12207 and meet the

ISO/IEC 33004 requirements for process descriptions, process purposes and outcomes.

The quality dimension comprising a set of process attributes for a selected process quality characteristic

is incorporated as a process measurement framework together with a set of process quality indicators.

NOTE ISO/IEC 33020 provides a process measurement framework for the assessment of process capability

which can be incorporated into this document. ISO/IEC 33020 also includes a set of process quality indicators for

each process attribute in the process measurement framework.
4.2.2 Processes

The process assessment model is based upon the software life cycle processes defined in

ISO/IEC/IEEE 12207. The process reference model drawn from ISO/IEC/IEEE 12207 consists of the

process purpose and outcomes defined in that standard. The purpose and outcomes are a statement of

the goals of the performance of each process.

In this document, ISO/IEC/IEEE 12207 serves as the process reference model for process assessments;

any other use of the processes shall adhere to the requirements of ISO/IEC/IEEE 12207.

Figure 2 lists the processes from ISO/IEC/IEEE 12207 that are included in the process dimension of the

process assessment model and shows their classification into process groups.

The process groups and their associated processes are described in Clause 5. The description of each

process group includes a characterization of the processes it contains. In this process assessment

model, each process belonging to a group is identified with a process identifier (ID) consisting of the

group abbreviated name and the sequential number of the process in that group.
© ISO/IEC 2021 – All rights reserved 3
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ISO/IEC TS 33061:2021(E)
Figure 2 — Process groups
4.2.3 Process dimension

Each process has a process identifier (ID) consisting of the process group abbreviated name and

the sequential number of the process in that group. Each process is described by its name, purpose,

outcomes, base practices, and process outputs.

Each process is described in terms of a purpose statement. These statements contain the unique

functional objectives of the process when performed in a particular environment. A list of specific

process outcomes is associated with each of the process purpose statements, as a list of expected

positive results of the process performance.
4.2.4 Quality dimension

For the quality dimension, the minimum requirement is that the process is performed, i.e. the

implemented process achieves its process purpose and the expected outcomes are observable.

Process attributes are features of a process that can be evaluated on a scale of achievement, providing a

measure of the quality of the process and are applicable to all processes.
4.3 Assessment indicators

A process assessment model is based on the principle that the quality of a process can be assessed by

demonstrating the achievement of process attributes on the basis of evidences related to assessment

indicators.

There are two types of assessment indicators: process performance indicators and process quality

indicators. Process performance indicators address the process purpose and outcomes of each process

in the process dimension. Process quality indicators demonstrate the achievement of the process

attributes in the quality dimension.
4 © ISO/IEC 2021 – All rights reserved
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ISO/IEC TS 33061:2021(E)
The process performance indicators are:
— base practice (BP);
— process output (PO).

The performance of base practices (BPs) provides an indication of the extent of achievement of the

process purpose and process outcomes. The base practices correspond to ISO/IEC/IEEE 12207

activities and tasks. Process outputs (POs) are either used or produced (or both), when performing the

process. Information items that are the key outputs of the process, are primarily used as performance

indicators.

Annex A provides the list of process outputs associated with the processes in Clause 5. The process

outputs are identified by categories. The process outputs are indicated by the process IDs.

Process quality indicators depend on the process quality characteristic of interest. The minimum

requirement is that at least one of the process attributes shall comprise the achievement of the defined

process purpose and process outcomes for the process; this is termed the process performance attribute

(see ISO/IEC 33003:2015, 4.2.1). Other process quality attributes can be defined as needed.

The process performance and process quality indicators represent types of objective evidence that can

be found in an instantiation of a process and therefore can be used to judge achievement of quality.

Figure 3 shows how the assessment indicators are related to process performance and process quality.

Figure 3 — Assessment indicators
5 The process dimension
5.1 General

The process dimension comprises the set of processes defined with process purpose and process

outcomes together with a set of assessment indicators of process performance.

The individual processes each have a process identifier (ID) consisting of the process group abbreviated

name and the sequential number of the process in that group and are described in terms of process

© ISO/IEC 2021 – All rights reserved 5
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ISO/IEC TS 33061:2021(E)

name, process purpose, and process outcomes as defined in ISO/IEC/IEEE 12207. The process group

descriptions are compiled from ISO/IEC/IEEE 12207.

In addition, the process dimension of the process assessment model provides information in the form of

a set of:

a) base practices for the process providing a definition of the tasks and activities needed to accomplish

the process purpose and fulfil the process outcomes; each base practice is associated to one or

more process outcomes;
b) process outputs that are related to one or more process outcomes;

The process purposes, outcomes, base practices and process outputs associated with the processes

are included in this clause. The base practices and process outputs constitute the set of indicators of

process performance.

A documented assessment process and assessor judgment is needed to ensure that process context

(application domain, business purpose, development methodology, size of the organization, etc.) is

explicitly considered when using this information.
5.2 Agreement processes (AGR)
5.2.1 General

Organizations are producers and users of software systems. One organization (acting as an acquirer)

can task another (acting as a supplier) for products or services. This is achieved using agreements.

Agreements allow both acquirers an
...

TECHNICAL ISO/IEC TS
SPECIFICATION 33061
First edition
ISO pub-date
Information technology — Process
assessment — Process assessment
model for software life cycle processes
PROOF/ÉPREUVE
Reference number
ISO/IEC TS 33061:2021(E)
ISO/IEC 2021
---------------------- Page: 1 ----------------------
ISO/IEC TS 33061:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2021

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

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
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii PROOF/ÉPREUVE © ISO/IEC 2021 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/IEC TS 33061:2021(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

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

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

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

4 The process assessment model ............................................................................................................................................................. 1

4.1 General ........................................................................................................................................................................................................... 1

4.2 Structure of the process assessment model .................................................................................................................. 3

4.2.1 General...................................................................................................................................................................................... 3

4.2.2 Processes ................................................................................................................................................................................ 3

4.2.3 Process dimension ......................................................................................................................................................... 4

4.2.4 Quality dimension ........................................................................................................................................................... 4

4.3 Assessment indicators ...................................................................................................................................................................... 4

5 The process dimension .................................................................................................................................................................................. 5

5.1 General ........................................................................................................................................................................................................... 5

5.2 Agreement processes (AGR)........................................................................................................................................................ 6

5.2.1 General...................................................................................................................................................................................... 6

5.2.2 Acquisition process ....................................................................................................................................................... 6

5.2.3 Supply process ................................................................................................................................................................... 8

5.3 Organizational project-enabling processes (ORG) ................................................................................................... 9

5.3.1 General...................................................................................................................................................................................... 9

5.3.2 Life cycle model management process ......................................................................................................... 9

5.3.3 Infrastructure management process ...........................................................................................................10

5.3.4 Portfolio management process .........................................................................................................................11

5.3.5 Human resource management process .....................................................................................................12

5.3.6 Quality management process.............................................................................................................................13

5.3.7 Knowledge management process ..................................................................................................................14

5.4 Technical management processes (MAN) ....................................................................................................................15

5.4.1 General...................................................................................................................................................................................15

5.4.2 Project planning process ........................................................................................................................................16

5.4.3 Project assessment and control process ..................................................................................................17

5.4.4 Decision management process .........................................................................................................................19

5.4.5 Risk management process ....................................................................................................................................20

5.4.6 Configuration management process ............................................................................................................22

5.4.7 Information management process ................................................................................................................24

5.4.8 Measurement process ..............................................................................................................................................25

5.4.9 Quality assurance process ....................................................................................................................................26

5.5 Technical processes (TEC) .........................................................................................................................................................28

5.5.1 General...................................................................................................................................................................................28

5.5.2 Business or mission analysis process .........................................................................................................28

5.5.3 Stakeholder needs and requirements definition process ..........................................................30

5.5.4 System/software requirements definition process ........................................................................33

5.5.5 Architecture definition process .......................................................................................................................35

5.5.6 Design definition process ......................................................................................................................................38

5.5.7 System analysis process..........................................................................................................................................40

5.5.8 Implementation process ........................................................................................................................................42

5.5.9 Integration process .....................................................................................................................................................44

5.5.10 Verification process ....................................................................................................................................................45

5.5.11 Transition process .......................................................................................................................................................47

5.5.12 Validation process .................. .................................................... ..................................................................................49

5.5.13 Operation process ........................................................................................................................................................51

5.5.14 Maintenance process .................................................................................................................................................53

© ISO/IEC 2021 – All rights reserved PROOF/ÉPREUVE iii
---------------------- Page: 3 ----------------------
ISO/IEC TS 33061:2021(E)

5.5.15 Disposal process ............................................................................................................................................................55

6 The quality dimension.................................................................................................................................................................................57

Annex A (informative) Process outputs ..........................................................................................................................................................58

Bibliography .............................................................................................................................................................................................................................73

iv PROOF/ÉPREUVE © ISO/IEC 2021 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/IEC TS 33061:2021(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, 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 ISO documents 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 or www .iec .ch/ members

_experts/ refdocs).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO 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 IEClist 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. In the IEC, see www .iec .ch/ understanding -standards.

This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,

Subcommittee SC 7, Software and systems engineering.

This document cancels and replaces ISO/IEC 15504-5:2012, which has been technically revised.

The main changes compared to ISO/IEC 15504-5:2012 are as follows:

— all processes and their base practices are changed to reflect the ISO/IEC/IEEE 12207 processes;

— all process related process outputs and their descriptions are revised;

— this process assessment model includes a process quality attribute of process performance and can

be used with other models of process quality, for instance capability as described in ISO/IEC 33020.

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 and www .iec .ch/ national

-committees.
© ISO/IEC 2021 – All rights reserved PROOF/ÉPREUVE v
---------------------- Page: 5 ----------------------
ISO/IEC TS 33061:2021(E)
Introduction

The set of International Standards ISO/IEC 33001 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 ISO/IEC 330xx family is described in ISO/IEC 33001. Several standards in the

ISO/IEC 330xx family for process assessment are intended to replace and extend parts of the

ISO/IEC 15504 series. Abstracts and previews of the ISO/IEC 330xx family of standards can be found on

the ISO website.

This document defines a process assessment model for software life cycle processes, conformant with

the requirements of ISO/IEC 33004, for use in performing a conformant assessment in accordance with

the requirements of ISO/IEC 33002.

A process assessment model is related to one or more process reference models. The process reference

model defined in ISO/IEC/IEEE 12207 is used as the basis for the process assessment model in this

document.

A process assessment model incorporates a process measurement framework conformant with the

requirements of ISO/IEC 33003 and is expressed as a process quality characteristic with a defined set

of process attributes.

A process assessment model includes a set of assessment indicators. Process performance indicators

address the process purpose and outcomes of each process in the process assessment model. Process

quality indicators demonstrate the achievement of the process attributes in the process measurement

framework. These indicators may also provide a reference source of practices when implementing a

process improvement program.

The assessment indicators are used as a basis for collecting objective evidence to support an assessor’s

judgement in assigning ratings of the performance and quality of an implemented process. The set

of indicators defined in this document are not intended to be an all-inclusive set and applicable in

its entirety. Subsets appropriate to the context and scope of the assessment should be selected, and

potentially augmented with additional indicators.

A process assessment is conducted according to a documented assessment process. A documented

assessment process identifies the rating method to be used in rating process attributes and identifies

or defines the aggregation method to be used in determining ratings.

ISO/IEC 33020 provides a process measurement framework for the assessment of process

capability which may be incorporated as a process measurement framework in this document.

ISO/IEC 33020:2019, Annex B includes a set of process quality indicators for each process attribute in

the process measurement framework.
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TECHNICAL SPECIFICATION ISO/IEC TS 33061:2021(E)
Information technology — Process assessment — Process
assessment model for software life cycle processes
1 Scope

This document defines a process assessment model for software life cycle processes, conformant with

the requirements of ISO/IEC 33004, for use in performing a conformant assessment in accordance with

the requirements of ISO/IEC 33002.
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

ISO/IEC 33003:2015, Information technology — Process assessment — Requirements for process

measurement frameworks

ISO/IEC 33004:2015, Information technology — Process assessment — Requirements for process reference,

process assessment and maturity models
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 The process assessment model
4.1 General

This document provides a basis for a process assessment model that is two-dimensional. In one

dimension, the process dimension, the processes are defined and classified into process groups

together with the set of assessment indicators of process performance. In the other dimension, the

quality dimension, for each process attribute in the process measurement framework a set of process

quality indicators is defined for the selected process quality characteristic.

This document applies the software system concepts as defined in ISO/IEC/IEEE 12207. These concepts

include software systems, software system architecture and enabling systems.

NOTE 1 The software systems considered in this document are human-made, created and utilized to provide

products or services in defined environments for the benefit of users and other stakeholders. These software

systems can include the following system elements: hardware, software, data, humans, processes (e.g. processes

for providing service to users), procedures (e.g. operator instructions), facilities, services, materials and naturally

occurring entities. As viewed by the user, they are thought of as products or services. (ISO/IEC/IEEE 12207)

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NOTE 2 This document applies to systems for which software is of primary importance to the stakeholders.

It is based upon the general principles of systems engineering and software engineering. It is a fundamental

premise of this document that software always exists in the context of a system. Since software does not

operate without hardware, the processor upon which the software is executed can be considered as part of

the system. Alternatively, hardware or services hosting the software system and handling communications

with other systems can also be viewed as enabling systems or external systems in the operating environment.

The perception and definition of a particular software system, its architecture, and its elements depend on a

stakeholder’s interests and responsibilities. One stakeholder’s system-of-interest can be viewed as a system

element in another stakeholder’s system-of-interest. Furthermore, a system-of-interest can be viewed as being

part of the environment for another stakeholder’s system-of-interest. (ISO/IEC/IEEE 12207)

NOTE 3 The life cycle processes in this document are described in relation to a software system that is compose

do facet of interacting system elements (including software elements), each of which can be implemented to

fulfil its respective specified requirements. Responsibility for the implementation of any system element may

therefore be delegated to another party through an agreement. (ISO/IEC/IEEE 12207)

NOTE 4 Throughout the life cycle of a system-of-interest, essential services are required from systems that

are not directly apart of the operational environment of the system-of-interest, e.g. modelling system, training

system, maintenance system. Each of these systems enables apart, e.g. a stage of the life cycle of the system-

of-interest to be conducted. Termed "enabling systems", they facilitate progression of the system-of-interest

through its life cycle. (ISO/IEC/IEEE 12207)
Figure 1 — Structure of the process assessment model

Figure 1 shows the process assessment model as a two-dimensional model, the process dimension

with its relationship to ISO/IEC/IEEE 12207 software life cycle processes, and the quality dimension in

relationship to a process measurement framework.

Users of this document may freely reproduce the detailed descriptions contained in the assessment

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.
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4.2 Structure of the process assessment model
4.2.1 General

This subclause describes the detailed structure of the process assessment model and its key

components.

The process dimension comprises the set of processes defined with process purpose and process

outcomes together with a set of assessment indicators of process performance.

Processes included in a process reference model shall be in accordance with ISO/IEC 33004:2015, 5.4.

The processes in this document are derived directly from ISO/IEC/IEEE 12207 and meet the

ISO/IEC 33004 requirements for process descriptions, process purposes and outcomes.

The quality dimension comprising a set of process attributes for a selected process quality characteristic

is incorporated as a process measurement framework together with a set of process quality indicators.

NOTE ISO/IEC 33020 provides a process measurement framework for the assessment of process capability

which can be incorporated into this document. ISO/IEC 33020 also includes a set of process quality indicators for

each process attribute in the process measurement framework.
4.2.2 Processes

The process assessment model is based upon the software life cycle processes defined in

ISO/IEC/IEEE12207.The process reference model drawn from ISO/IEC/IEEE12207 consists of the

process purpose and outcomes defined in that standard. The purpose and outcomes are a statement of

the goals of the performance of each process.

NOTE ISO/IEC/IEEE 12207:2017, Clause 4 specifies criteria for claiming full or tailored conformance to

ISO/IEC/IEEE 12207.

Figure 2 lists the processes from ISO/IEC/IEEE 12207 that are included in the process dimension of the

process assessment model and shows their classification into process groups.

The process groups and their associated processes are described in Clause 5. The description of each

process group includes a characterization of the processes it contains. In this process assessment

model, each process belonging to a group is identified with a process identifier (ID) consisting of the

group abbreviated name and the sequential number of the process in that group.
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Figure 2 — Process groups
4.2.3 Process dimension

Each process has a process identifier (ID) consisting of the process group abbreviated name and

the sequential number of the process in that group. Each process is described by its name, purpose,

outcomes, base practices, and process outputs.

Each process is described in terms of a purpose statement. These statements contain the unique

functional objectives of the process when performed in a particular environment. A list of specific

process outcomes is associated with each of the process purpose statements, as a list of expected

positive results of the process performance.
4.2.4 Quality dimension

For the quality dimension, the minimum requirement is that the process is performed, i.e. the

implemented process achieves its process purpose and the expected outcomes are observable.

Process attributes are features of a process that can be evaluated on a scale of achievement, providing a

measure of the quality of the process and are applicable to all processes.
4.3 Assessment indicators

A process assessment model is based on the principle that the quality of a process can be assessed by

demonstrating the achievement of process attributes on the basis of evidences related to assessment

indicators.

There are two types of assessment indicators: process performance indicators and process quality

indicators. Process performance indicators address the process purpose and outcomes of each process

in the process dimension. Process quality indicators demonstrate the achievement of the process

attributes in the quality dimension.
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The process performance indicators are:
— base practice (BP);
— process output (PO).

The performance of base practices (BPs) provides an indication of the extent of achievement of the

process purpose and process outcomes. The base practices correspond to ISO/IEC/IEEE 12207

activities and tasks. Process outputs (POs) are either used or produced (or both), when performing the

process. Information items that are the key outputs of the process, are primarily used as performance

indicators.

Annex A provides the list of process outputs associated with the processes in Clause 5. The process

outputs are identified by categories. The process outputs are indicated by the process IDs.

Process quality indicators depend on the process quality characteristic of interest. The minimum

requirement is that at least one of the process attributes shall comprise the achievement of the defined

process purpose and process outcomes for the process; this is termed the process performance attribute

(see ISO/IEC 33003:2015, 4.2.1). Other process quality attributes can be defined as needed.

The process performance and process quality indicators represent types of objective evidence that can

be found in an instantiation of a process and therefore can be used to judge achievement of quality.

Figure 3 shows how the assessment indicators are related to process performance and process quality.

Figure 3 — Assessment indicators
5 The process dimension
5.1 General

The process dimension comprises the set of processes defined with process purpose and process

outcomes together with a set of assessment indicators of process performance.

The individual processes each have a process identifier (ID) consisting of the process group abbreviated

name and the sequential number of the process in that group and are described in terms of process

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name, process purpose, and process outcomes as defined in ISO/IEC/IEEE 12207. The process group

descriptions are compiled from ISO/IEC/IEEE 12207.

In addition, the process dimension of the process assessment model provides information in the form of

a set of:

a) base practices for the process providing a definition of the tasks and activities needed to accomplish

the process purpose and fulfil the process outcomes; each base practice is associated to one or

more process outcomes;
b) process outputs that are related to one or more process outcomes;

The process purposes, outcomes, base practices and process outputs associated with the processes

are included in this clause. The base practices and process outputs constitute the set of indicators of

process performance.

A documented assessment process and assessor judgment is needed to ensure that process context

(application domain, business purpose, development methodology, size of the organization, etc.) is

explicitly considered when using this information.
5.2 Agreement processes (AGR)
5.2.1 General

Organizations are producers and users of software systems. One organization (acting as an acquirer)

can task another (acting as a supplier) for products or services. This is achieved using agreements.

Agreements allow both acquirers and
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