ISO/IEC TR 33023:2024

Technical
Report
ISO/IEC TR 33023
First edition
Information technology — Process
2024-10
assessment — Application of ISO/
IEC TS 33073 processes to the
ISO/IEC 33020 process capability
measurement scale
Technologies de l'information — Évaluation du processus —
Application des processus ISO/IEC TS 33073 à l'échelle de la
mesure de la capacité de processus de l'ISO/IEC 33020
Reference number
© ISO/IEC 2024
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© ISO/IEC 2024 – All rights reserved
ii
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Content of the process capability measurement framework . 1
4.1 General .1
4.2 Relationships between model elements.2
Annex A (informative) Associations between the ISO/IEC 33020 process attribute outcomes,
ISO/IEC TS 33073 process outcomes and information items . 3
Annex B (informative) Associations between the ISO/IEC 33020 generic practices, ISO/
IEC TS 33073 base practices and information item characteristics .22
Annex C (informative) Listing of the information items and their characteristics .40
Annex D (informative) Establishing the traceability between model elements with reference to
ISO/IEC/IEEE 24774:2021, Annex B .66
Bibliography .68

© ISO/IEC 2024 – 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
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ISO and IEC technical committees collaborate in fields of mutual interest. Other international organizations,
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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
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IEC Directives, Part 2 (see www.iso.org/directives or www.iec.ch/members_experts/refdocs).
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This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 7, Software and systems engineering.
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 2024 – All rights reserved
iv
Introduction
This document provides a mapping of the ISO/IEC TS 33073 processes to the ISO/IEC 33020 process
attributes with the intent of demonstrating support for the levels 1 to 3 of the ISO/IEC 33020 process
capability measurement framework.
This document is primarily addressed to developers of process assessment models for the process quality
characteristic of process capability. It is also addressed to the lead assessor and other stakeholders, such as
the sponsor of the assessment, who need to be assured that the requirements of the ISO/IEC 33020 process
measurement framework have been met.
Within this document:
— Clause 4 provides a summary description of the relationship between the ISO/IEC 33020 process
attribute outcomes and the ISO/IEC TS 33073 processes.
— Annex A extends the summary mapping in Clause 4 by providing details of the relationship between the
ISO/IEC 33020 process attribute outcomes and the ISO/IEC TS 33073 process outcomes. Links to the
information items listed in Annex C are identified. These details are provided for validating by inspection
the relationships between the ISO/IEC 33020 process attribute outcomes and the ISO/IEC TS 33073
process outcomes.
— Annex B focuses on the relationships between the generic practices associated with ISO/IEC 33020 and
the ISO/IEC TS 33073 base practice descriptions. These model elements are linked via the information
item characteristics listed in Annex C.
— Annex C provides a listing of the applicable information items and their characteristics.
— Annex D provides an overview of the key concerns arising from the application of ISO/IEC/IEEE 24774
when attempting to demonstrate objective relationships between process model elements.

© ISO/IEC 2024 – All rights reserved
v
Technical Report ISO/IEC TR 33023:2024(en)
Information technology — Process assessment — Application
of ISO/IEC TS 33073 processes to the ISO/IEC 33020 process
capability measurement scale
1 Scope
This document provides a specification for associating the processes of ISO/IEC TS 33073 with the process
attribute outcomes of ISO/IEC 33020 with the intent of demonstrating support for levels 1 to 3 of the process
capability measurement scale defined in ISO/IEC 33020.
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 vocabulary
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 33001 apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
4 Content of the process capability measurement framework
4.1 General
In ISO/IEC 33020:2019, Clause 5 the relationship between process attributes and process capability levels is
described.
Process capability is defined in ISO/IEC 33020:2019 Clause 5 on a six-point ordinal scale that enables process
capability to be assessed from the bottom of the scale, 'incomplete', through to the top end of the scale,
'innovating'. The scale represents increasing capability of an implemented process, from failing to achieve
the process purpose through to continually improving and able to respond to process change.
The relationship between the process capability levels and the process attributes is show in Table 1.
In addition, a summary view is presented of the relationship of the process attributes to the processes
associated with ISO/IEC TS 33073.
The process ORG-03 supplier management from ISO/IEC TS 33073:2017 do not appear in the list in Table 1.
The outcomes of this process do not have any discernible relationship to the process attribute outcomes of
ISO/IEC 33020.
The name of the process ORG-01 (asset management) has been renamed in this document as customer
property management in order to bring it in line with the intent of ISO 9001:2015, 8.5.3 (property belonging
to customers or external providers).

© ISO/IEC 2024 – All rights reserved
A knowledge management process (COM-12) has been added to the ISO/IEC TS 33073 common processes
list. This process has been added to support the intent of ISO 9001:2015, 7.1.6 (organizational knowledge). In
order to support the intent of ISO/IEC 33020:2019 PA 3.1 and 3.2, COM-12 is supported in this document as
COM-12A (Knowledge Management: Establish) and as COM-12B (Knowledge Management: Maintain).
Table 1 — Relationship between the ISO/IEC 33020 process capability levels and process attributes,
and the ISO/IEC TS 33073 processes
Process ca- ISO/IEC 33020:2019 process attrib- Reference ISO/IEC TS 33073:2017 processes
pability level ute outcomes
1 5.2.3.2 PA 1.1 Process performance - The processes in this group are typically
process attribute identified in the assessment scope. Certain
processes in ISO/IEC TS 33073, namely, ORG-
01, and members of the TEC process group,
are likely candidates.
2 5.2.4.2 PA 2.1 Performance manage- COM-01 Communication management
ment process attribute
COM-11 Risk management
TEC-05.1 Product/service planning
TEC-05.2 Product/service control
2 5.2.4.3 PA 2.2 Documented informa- COM-02 Documentation management
tion management process attribute
TEC-01 Configuration management
3 5.2.5.2 PA 3.1 Process definition pro- COM-03.1 Human resource management: Determine
cess attribute competencies
COM-08 Operational planning
COM-10.1 Performance evaluation: Establish
COM-12.1 Knowledge management: Establish
TOP-01 Leadership
3 5.2.5.3 PA 3.2 Process deployment COM-03.2 Human resource management: Provide
process attribute competencies
COM-06 Management review
COM-09 Operational implementation and control
COM-12.2 Knowledge management: Maintain
ORG-02 Measurement resource management
3 5.2.5.4 PA 3.3 Process assurance pro- COM-04 Improvement
cess attribute
COM-05 Internal audit
COM-07 Non-conformity management
COM-10.2 Performance evaluation: Perform
TEC-02 Process changes
4.2 Relationships between model elements
The rationale for the selection of the ISO/IEC TS 33073 processes and their associations with the
ISO/IEC 33020 process attribute outcomes can be found in Annexes A and B.
Annex A elaborates the summary mapping in Clause 4 by providing extended details of the relationship
between the ISO/IEC 33020 process attribute outcomes and the ISO/IEC TS 33073 process outcomes. Links
to the information items described in Annex C are provided in a summary format. The level of detail provides
the basis for validating by inspection the relationships between the ISO/IEC 33020 process attribute
outcomes and the ISO/IEC TS 33073 process outcomes.
Annex B focuses on the relationships between the ISO/IEC 33020 generic practices and the ISO/IEC TS 33073
base practice descriptions. These model elements are linked via the information item characteristics, as
listed in Annex C.
© ISO/IEC 2024 – All rights reserved
Annex A
(informative)
Associations between the ISO/IEC 33020 process attribute outcomes,
ISO/IEC TS 33073 process outcomes and information items
A.1 General
This annex describes the relationships between the ISO/IEC 33020 process attribute outcomes and
the ISO/IEC TS 33073 process outcomes. The model outcomes are linked by applicable information item
characteristics, as described in Annex D.
A.2 Associations between the ISO/IEC 33
...