ISO/IEC TS 33030:2017
(Main)Information technology — Process assessment — An exemplar documented assessment process
Information technology — Process assessment — An exemplar documented assessment process
ISO/IEC TS 33030:2017 contains an exemplar documented assessment process, and serves as guidance on the nature of activities required by this document. The content of this exemplar contains the minimum elements of a documented assessment process applicable for performing all classes of assessments as defined in ISO/IEC 33002. See also Annex B. ISO/IEC TS 33030:2017 is suitable for all classes of assessments defined in ISO/IEC 33002. This exemplar includes the activities by describing the tasks, inputs, outputs and the assessment-related roles and responsibilities. This description implicitly contains other elements that could comprise the process, like purpose, initial/end conditions, additional supporting roles/responsibilities or necessary resources. While this exemplar contains all of the activities that are considered to be required for a process assessment, it is the case that variation exists in individual process assessments, and therefore, some degree of tailoring of this assessment process could be required. Tailoring of the assessment process is permitted, though it is the responsibility of the Lead Assessor and it would need to be conformant to the requirements of ISO/IEC 33002. ISO/IEC TS 33030:2017 is not intended for use in performing organizational maturity assessments.
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TECHNICAL ISO/IEC TS
SPECIFICATION 33030
First edition
2017-04
Information technology — Process
assessment — An exemplar
documented assessment process
Technologies de l’information — Évaluation des procédés — Un
exemple documenté d’évaluation des procédés
Reference number
©
ISO/IEC 2017
© ISO/IEC 2017, 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 2017 – All rights reserved
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Documented assessment process . 1
4.1 General . 1
4.2 Initiate the assessment . 4
4.2.1 Overview . 4
4.2.2 Tasks . 5
4.3 Plan the assessment .12
4.3.1 Overview .12
4.3.2 Tasks .13
4.4 Brief the assessment participants .16
4.4.1 Overview .16
4.4.2 Tasks .17
4.5 Collect the data .18
4.5.1 Overview .18
4.5.2 Tasks .18
4.6 Validate the data .19
4.6.1 Overview .19
4.6.2 Tasks .20
4.7 Determine the results .21
4.7.1 Overview .21
4.7.2 Tasks .21
4.8 Report the Assessment .23
4.8.1 Overview .23
4.8.2 Tasks .23
Annex A (informative) Work product descriptions .25
Annex B (informative) Conformity of the documented assessment process .31
Bibliography .33
© ISO/IEC 2017 – All rights reserved iii
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 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).
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).
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
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following
URL: w w w . i s o .org/ iso/ foreword .html.
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 7, Software and systems engineering.
The ISO/IEC 15504 series is being revised as the ISO/IEC 330XX family.
This document replaces the contents of ISO/IEC 15504-3:2004, Annex A.
iv © ISO/IEC 2017 – All rights reserved
Introduction
This document provides an exemplar documented assessment process which includes the minimum
elements needed as a basis for performing a process assessment. It is applicable for performing process
assessments across all types of organizations using a variety of methods, techniques and tools.
The formal entry to the assessment process occurs with the assessment sponsor’s commitment to
proceed. The assessment input may then be compiled including the definition of responsibilities for
performing the assessment. After the assessment inputs are compiled, the assessment activities may
proceed which end with the production of the assessment report, its delivery to the Sponsor, and the
verification of the conformity of the assessment.
© ISO/IEC 2017 – All rights reserved v
TECHNICAL SPECIFICATION ISO/IEC TS 33030:2017(E)
Information technology — Process assessment — An
exemplar documented assessment process
1 Scope
This document contains an exemplar documented assessment process, and serves as guidance on the
nature of activities required by this document. The content of this exemplar contains the minimum
elements of a documented assessment process applicable for performing all classes of assessments as
defined in ISO/IEC 33002. See also Annex B.
This document is suitable for all classes of assessments defined in ISO/IEC 33002.
This exemplar includes the activities by describing the tasks, inputs, outputs and the assessment-related
roles and responsibilities. This description implicitly contains other elements that could comprise the
process, like purpose, initial/end conditions, additional supporting roles/responsibilities or necessary
resources.
While this exemplar contains all of the activities that are considered to be required for a process
assessment, it is the case that variation exists in individual process assessments, and therefore, some
degree of tailoring of this assessment process could be required. Tailoring of the assessment process is
permitted, though it is the responsibility of the Lead Assessor and it would need to be conformant to
the requirements of ISO/IEC 33002.
This document is not intended for use in performing organizational maturity assessments.
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 33001:2015, 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:
— IEC Electropedia: available at http:// www .electropedia .org/
— ISO Online browsing platform: available at http:// www .iso .org/ obp
4 Documented assessment process
4.1 General
This documented assessment process includes the definition of the activities which are performed
between the start and formal end of an assessment. It does not cover additional tasks involved in
utilizing the results of the assessment. The assessment process consists of the following activities:
© ISO/IEC 2017 – All rights reserved 1
Each activity is described by defining the principal tasks to be executed, the roles and responsibilities
for each task and the corresponding necessary inputs and achieved outputs.
The documented assessment process may be tailored in order to address variations in organizational
scope, business context or process implementation. Tailoring may include:
— variation or deletion of individual tasks within an activity,
— modification of inputs, outputs and sources of information, and
— changes in the assignment of roles and responsibilities within the assessment.
All high-level tasks should be addressed in the assessment and all task outcomes achieved. If the
process is tailored, the extent of tailoring and demonstration of achievement of outcomes should be
documented.
For the description of the roles involved in the tasks, the following abbreviations and definitions are used:
LAC: Local Assessment Co-ordinator
Individual or entity, who takes responsibility for the organization of the assessment within
the organizational unit assessed.
SP: Sponsor
Individual or entity, internal or external to the organizational unit to be assessed, who re-
quires the assessment to be performed, and provides financial or other resources to carry it
out (see ISO/IEC 33001:2015, 3.2.9).
A: Assessor
Individual who participates in the rating of process attributes (see ISO/IEC 33001:2015,
3.2.11). Assessors have appropriate education, training and both capability assessment
experience and domain experience to perform the required class of assessment and make
professional jud
...
TECHNICAL ISO/IEC TS
SPECIFICATION 33030
First edition
2017-04
Information technology — Process
assessment — An exemplar
documented assessment process
Technologies de l’information — Évaluation des procédés — Un
exemple documenté d’évaluation des procédés
Reference number
©
ISO/IEC 2017
© ISO/IEC 2017, 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 2017 – All rights reserved
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Documented assessment process . 1
4.1 General . 1
4.2 Initiate the assessment . 4
4.2.1 Overview . 4
4.2.2 Tasks . 5
4.3 Plan the assessment .12
4.3.1 Overview .12
4.3.2 Tasks .13
4.4 Brief the assessment participants .16
4.4.1 Overview .16
4.4.2 Tasks .17
4.5 Collect the data .18
4.5.1 Overview .18
4.5.2 Tasks .18
4.6 Validate the data .19
4.6.1 Overview .19
4.6.2 Tasks .20
4.7 Determine the results .21
4.7.1 Overview .21
4.7.2 Tasks .21
4.8 Report the Assessment .23
4.8.1 Overview .23
4.8.2 Tasks .23
Annex A (informative) Work product descriptions .25
Annex B (informative) Conformity of the documented assessment process .31
Bibliography .33
© ISO/IEC 2017 – All rights reserved iii
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 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).
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).
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
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following
URL: w w w . i s o .org/ iso/ foreword .html.
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 7, Software and systems engineering.
The ISO/IEC 15504 series is being revised as the ISO/IEC 330XX family.
This document replaces the contents of ISO/IEC 15504-3:2004, Annex A.
iv © ISO/IEC 2017 – All rights reserved
Introduction
This document provides an exemplar documented assessment process which includes the minimum
elements needed as a basis for performing a process assessment. It is applicable for performing process
assessments across all types of organizations using a variety of methods, techniques and tools.
The formal entry to the assessment process occurs with the assessment sponsor’s commitment to
proceed. The assessment input may then be compiled including the definition of responsibilities for
performing the assessment. After the assessment inputs are compiled, the assessment activities may
proceed which end with the production of the assessment report, its delivery to the Sponsor, and the
verification of the conformity of the assessment.
© ISO/IEC 2017 – All rights reserved v
TECHNICAL SPECIFICATION ISO/IEC TS 33030:2017(E)
Information technology — Process assessment — An
exemplar documented assessment process
1 Scope
This document contains an exemplar documented assessment process, and serves as guidance on the
nature of activities required by this document. The content of this exemplar contains the minimum
elements of a documented assessment process applicable for performing all classes of assessments as
defined in ISO/IEC 33002. See also Annex B.
This document is suitable for all classes of assessments defined in ISO/IEC 33002.
This exemplar includes the activities by describing the tasks, inputs, outputs and the assessment-related
roles and responsibilities. This description implicitly contains other elements that could comprise the
process, like purpose, initial/end conditions, additional supporting roles/responsibilities or necessary
resources.
While this exemplar contains all of the activities that are considered to be required for a process
assessment, it is the case that variation exists in individual process assessments, and therefore, some
degree of tailoring of this assessment process could be required. Tailoring of the assessment process is
permitted, though it is the responsibility of the Lead Assessor and it would need to be conformant to
the requirements of ISO/IEC 33002.
This document is not intended for use in performing organizational maturity assessments.
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 33001:2015, 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:
— IEC Electropedia: available at http:// www .electropedia .org/
— ISO Online browsing platform: available at http:// www .iso .org/ obp
4 Documented assessment process
4.1 General
This documented assessment process includes the definition of the activities which are performed
between the start and formal end of an assessment. It does not cover additional tasks involved in
utilizing the results of the assessment. The assessment process consists of the following activities:
© ISO/IEC 2017 – All rights reserved 1
Each activity is described by defining the principal tasks to be executed, the roles and responsibilities
for each task and the corresponding necessary inputs and achieved outputs.
The documented assessment process may be tailored in order to address variations in organizational
scope, business context or process implementation. Tailoring may include:
— variation or deletion of individual tasks within an activity,
— modification of inputs, outputs and sources of information, and
— changes in the assignment of roles and responsibilities within the assessment.
All high-level tasks should be addressed in the assessment and all task outcomes achieved. If the
process is tailored, the extent of tailoring and demonstration of achievement of outcomes should be
documented.
For the description of the roles involved in the tasks, the following abbreviations and definitions are used:
LAC: Local Assessment Co-ordinator
Individual or entity, who takes responsibility for the organization of the assessment within
the organizational unit assessed.
SP: Sponsor
Individual or entity, internal or external to the organizational unit to be assessed, who re-
quires the assessment to be performed, and provides financial or other resources to carry it
out (see ISO/IEC 33001:2015, 3.2.9).
A: Assessor
Individual who participates in the rating of process attributes (see ISO/IEC 33001:2015,
3.2.11). Assessors have appropriate education, training and both capability assessment
experience and domain experience to perform the required class of assessment and make
professional jud
...
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