ISO/IEC TS 33060:2020
(Main)Information technology — Process assessment — Process assessment model for system life cycle processes
Information technology — Process assessment — Process assessment model for system life cycle processes
This document defines a process assessment model for system 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 33060
First edition
2020-03
Information technology — Process
assessment — Process assessment
model for system life cycle processes
Reference number
ISO/IEC TS 33060:2020(E)
©
ISO/IEC 2020
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ISO/IEC TS 33060:2020(E)
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ISO/IEC TS 33060:2020(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 . 2
4.2.1 General. 2
4.2.2 Processes . 2
4.2.3 Process dimension . 3
4.2.4 Quality dimension . 3
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 . 7
5.3 Organizational project-enabling processes (ORG) . 8
5.3.1 General. 8
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 .21
5.4.7 Information management process .23
5.4.8 Measurement process .24
5.4.9 Quality assurance process .25
5.5 Technical processes (TEC) .26
5.5.1 General.26
5.5.2 Business or mission analysis process .27
5.5.3 Stakeholder needs and requirements definition process .28
5.5.4 System requirements definition process .30
5.5.5 Architecture definition process .31
5.5.6 Design definition process .34
5.5.7 System analysis process.36
5.5.8 Implementation process .37
5.5.9 Integration process .38
5.5.10 Verification process .40
5.5.11 Transition process .42
5.5.12 Validation process . . .43
5.5.13 Operation process .45
5.5.14 Maintenance process .46
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ISO/IEC TS 33060:2020(E)
5.5.15 Disposal process .48
6 The quality dimension.50
Annex A (informative) Information products .51
Bibliography .66
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ISO/IEC TS 33060:2020(E)
Foreword
ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
Commission) form the specialized system for worldwide standardization. National bodies that
are members of ISO or IEC participate in the development of International Standards through
technical committees established by the respective organization to deal with particular fields of
technical activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other
international organizations, governmental and non-governmental, in liaison with ISO and IEC, also
take part in the work.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for
the different types of document should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject
of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent
rights. Details of any patent rights identified during the development of the document will be in the
Introduction and/or on the ISO list of patent declarations received (see www .iso .org/ patents) or the IEC
list of patent declarations received (see http:// patents .iec .ch).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso .org/
iso/ foreword .html.
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 7, Software and systems engineering.
This document cancels and replaces ISO/IEC 15504-6:2013, which has been technically revised.
The main changes compared to the previous edition are as follows:
— all processes and their base practices are changed to reflect the ISO/IEC/IEEE 15288 processes;
— all process related information products 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.
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ISO/IEC TS 33060:2020(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 series 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.
This document defines a process assessment model for system 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 15288 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 is 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 will identify the rating method to be used in rating process attributes and identify
or define 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 33060:2020(E)
Information technology — Process assessment — Process
assessment model for system life cycle processes
1 Scope
This document defines a process assessment model for system 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 15288:2015, Systems and software engineering — System life cycle processes
ISO/IEC 33001, Information technology — Process assessment — Concepts and terminology
ISO/IEC 33003, 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 categories
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.
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ISO/IEC TS 33060:2020(E)
Figure 1 — Two-dimensional model
Figure 1 shows the process assessment model as a two-dimensional model, the process dimension
with its relationship to ISO/IEC/IEEE 15288 system 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.
4.2 Structure of the process assessment model
4.2.1 General
This clause describes the detailed structure of the process assessment model and its key components.
The process dimension comprises the set of processes defined with the 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 15288 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 system life cycle processes defined in
ISO/IEC/IEEE 15288. The process reference model drawn from ISO/IEC/IEEE 15288 consists of the
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ISO/IEC TS 33060:2020(E)
process purpose and outcomes defined in that standard. If this document is used to claim full or tailored
conformance to ISO/IEC/IEEE 15288, the requirements of ISO/IEC/IEEE 15288:2015, Clause 4 shall be
satisfied.
Figure 2 lists the processes from ISO/IEC/IEEE 15288 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.
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 information products.
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.
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ISO/IEC TS 33060:2020(E)
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.
The process performance indicators are:
— Base practice (BP);
— Information product (IP).
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 15288
activities and tasks. Information products (IPs) are either used or produced (or both), when performing
the process. Information products that are the key outputs of the process, are primarily used as
performance indicators.
Annex A provides the list of information products (IPs) associated with the processes in Clause 5. The
information products are assorted by categories. The information products are outputs of processes
which 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
might be found in an instantiation of a process and therefore could be used to judge achievement of
quality. Figure 3 shows how the assessment indicators are related to process performance and process
quality.
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ISO/IEC TS 33060:2020(E)
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
name, process purpose, and process outcomes as defined in ISO/IEC/IEEE 15288.
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; and
b) information products that are the key outputs of the process, and are related to one or more process
outcomes;
The process purposes, outcomes, base practices and information products associated with the
processes are included in this clause. The base practices and information products 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.
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ISO/IEC TS 33060:2020(E)
5.2 Agreement processes (AGR)
5.2.1 General
Organizations are producers and users of systems. One organization (acting as an acquirer) can task
another (acting as a supplier) for products or services. This is achieved using agreements.
Generally, organizations act simultaneously or successively as both acquirers and suppliers of systems.
The agreement processes can be used with less formality when the acquirer and the supplier are in
the same organization. Similarly, they can be used within the organization to agree on the respective
responsibilities of organization, project and technical functions (ISO/IEC/IEEE 15288).
5.2.2 Acquisition process
Process ID AGR.1
Process name Acquisition process
Process purpose The purpose of the acquisition process is to obtain a product or service in ac-
cordance with the acquirer's requirements.
NOTE As part of this process, the agreement is modified when a change request
is agreed to by both the acquirer and supplier.
Process outcomes As a result of the successful implementation of the acquisition process:
a) A request for supply is prepared.
b) One or more suppliers are selected.
c) An agreement is established between the acquirer and supplier.
d) A product or service complying with the agreement is accepted.
e) Acquirer obligations defined in the agreement are satisfied.
Base practices AGR.1.BP1: Prepare for the acquisition. [Outcome: a]
1) Define a strategy for how the acquisition will be conducted.
2) Prepare a request for the supply of a product or service that includes the
requirements.
AGR.1.BP2: Advertise the acquisition and select the supplier. [Outcome: b]
1) Communicate the request for the supply of a product or service to
potential suppliers.
2) Select one or more suppliers.
AGR.1.BP3: Establish and maintain an agreement. [Outcome: c, d]
1) Develop an agreement with the supplier that includes acceptance criteria.
2) Identify necessary changes to the agreement.
3) Evaluate impact of changes on the agreement.
4) Negotiate the agreement with the supplier.
5) Update the agreement with the supplier, as necessary.
AGR.1.BP4: Monitor the agreement. [Outcome: d, e]
1) Assess the execution of the agreement.
2) Provide data needed by the supplier and resolve issues in a timely manner.
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ISO/IEC TS 33060:2020(E)
AGR.1.BP5: Accept the product or service. [Outcome: d, e]
1) Confirm that the delivered product or service complies with the
agreement.
2) Provide payment or other agreed consideration.
3) Accept the product or service from the supplier, or other party, as directed
by the agreement.
4) Close the agreement.
Information Acquisition approach [Outcome: a]
products
Request for supply [Outcome: a]
Acquisition agreement [Outcome: c]
Acquisition agreement change request [Outcome: c]
Accepted system or system element [Outcome: d]
Acquisition report [Outcome: e]
Acquisition record [Outcome: e]
5.2.3 Supply process
Process ID AGR.2
Process name Supply process
Process purpose The purpose of the supply process is to provide an acquirer with a product or
service that meets agreed requirements.
NOTE As part of this process, the agreement is modified when a change request
is agreed to by both the acquirer and supplier.
Process outcomes As a result of the successful implementation of the supply process:
a) An acquirer for a product or service is identified.
b) A response to th
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