INTERNATIONAL ISO/IEC STANDARD 33071 First edition 2016-10-15 Information technology Process assessment An integrated process capability assessment model for Enterprise processes Technologies de I'information Evaluation des processus- Modele d'évaluation de la capacite des processus intégrés pour les processus d'entreprise Reference number IS0/IEC33071:2016(E) IEC ISO @IS0/IEC 2016 IS0/IEC 33071:2016(E) COPYRIGHT PROTECTED DOCUMENT IS0/IEC 2016, Published in Switzerland All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form writtenpermission.Permission canberequestedfromeitherIsOattheaddressbelow orIso'smemberbodyinthecountryof 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 [email protected] www.iso.org ii @ IS0/IEC 2016 - All rights reserved ISO/EC 33071:2016(E) Contents Page Foreword. About Enterprise SPICE. .. vi Introduction .vi 1 Scope.. 2 Normative references 3 Terms and definitions 4 General 5 Process assessment model architecture...... 5.1 Two dimensional model.... 5.2 Assessmentindicators..... 6 The process dimension and process performance indicators.. 6.1 6.2 Governance/Management Category. 6.2.1 Enterprise Governance... 6.2.2 Investment Management.... .9 6.2.3 Human Resource Management. 11 6.2.4 Enterprise Architecture.. 14 6.2.5 Business Relationship Management. 16 6.2.6 Supplier Agreement Management . 17 6.2.7 Tendering .... 20 6.2.8 Project Management . 23 6.2.9 Risk Management.... 27 6.3 Life Cycle Category. 6.3.1 Needs.. 30 6.3.2 Requirements. 33 6.3.3 35 6.3.4 Design Implementation. 37 6.3.5 Integration ... 38 6.3.6 40 6.3.7 Deployment and Disposal..... 43 6.3.8 Operation and Support . 45 6.4 Support Category . 47 6.4.1 Alternatives Analysis .. 47 6.4.2 Measurement and Analysis ... 49 6.4.3 Quality Assurance and Management . 52 6.4.4 Change and Configuration Management. 55 6.4.5 information Management. 6.4.6 Knowledge Management . .61 6.4.7 Training... 63 6.4.8 Research and Innovation.. .66 6.4.9 Work Environment.... 6.4.10 Process Definition.. 71 6.4.11 Process Improvement.. 74 6.5 Special Applications .... 6.5.1 Safety and Security ... 77 7 The capability dimension and process capability indicators 81 7.1 Process capability Level O: Incomplete process 82 7.2 Process capability Level 1: Performed process .... 82 ISO/IEc2016—All rights reserved ili ISO/IEC 33071:2016(E) Annex A (informative) Conformity of the process reference model and process assessment model with ISO/lEC 33004 requirements... ..83 A.1 Introduction.... A.2 Conformance of the process reference model with ISO/lEC 33004 Clause 5 ... A.3 ConformanceoftheprocessassessmentmodelwithIsO/lEC33o04Clause6 ..86 Annex B (informative) Application and use of the process assessment model.... ..90 B.1 Relationship to other standards and models ... .90 B.2 Contexts of Use........ ..91 B.3 Support for Assessment and Process Improvement. Annex C (informative) Relationship Tables . Annex D (informative) High-level Mapping Tables..... Annex E (informative) Project Participants.... .145 E.1 Sponsor ..... .145 E.2 Advisory Board. 145 E.2.1 CurrentAdvisoryBoardMembers 145 E.2.2 Previous Advisory Board Members (other than those on current Advisory Board) E.3 Project Leader. .146 E.4 Architecture Team . .146 E.4.1 146 E.4.2 Previous Members (other than those on current team).. 146 E.5 Author Team... .146 E.6 Buddies and Key Early Reviewers.. 147 E.7 Editorial Team ...... 147 E.8 GeneralReviewers 148 E.9 Project Stakeholders ... 148 Bibliography 153 1 EnterpriseSPICESources.. .153 2 Enterprise SPICE References... 155 3 [icMM] Sources and References.... 4 [icMM-ss] Sources and References 158 4.1 Safety Source Standards. 158 4.2 Security Source Standards... 158 4.3 Other Safety and Security References 158 4.3 Work Environment Sources and References... 159 5 [icMM] Source Change Annotations .... 15