ISO/IEC TS 33074:2020

TECHNICAL ISO/IEC TS
SPECIFICATION 33074
First edition
2020-05
Information technology — Process
assessment — Process capability
assessment model for service
management
Technologies de l'information — Evaluation des processus — Modèle
d’évaluation de la capabilité d’un processus pour le management des
services
Reference number
©
ISO/IEC 2020
© ISO/IEC 2020
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ii © ISO/IEC 2020 – All rights reserved

Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Overview of the process assessment model . 2
4.1 General . 2
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 Capability dimension . 4
4.3 Assessment indicators . 6
4.3.1 General. 6
4.3.2 Process capability indicators . 7
4.3.3 Process performance indicators . 9
4.4 Measuring process capability . 9
5 The process dimension and process performance indicators (level 1) .11
5.1 General .11
5.2 COM.01 Communication management .12
5.3 COM.02 Documentation management .14
5.4 COM.03 Human resource management .20
5.5 COM.04 Improvement .21
5.6 COM.05 Internal audit.23
5.7 COM.06 Management review .24
5.8 COM.07 Non-conformity management .25
5.9 COM.08 Operational planning .27
5.10 COM.09 Operational implementation and control .34
5.11 COM.10 Performance evaluation .36
5.12 COM.11 Risk management .38
5.13 RAA.1 Business relationship management .40
5.14 RAA.2 Service level management.40
5.15 RAA.3 Service reporting .41
5.16 RAA.4 Supplier management .43
5.17 RAA.5 Service catalogue management .45
5.18 RAF.1 Incident management .45
5.19 RAF.2 Service request management .46
5.20 RAF.3 Problem management .47
5.21 SAD.1 Budgeting and accounting for services .48
5.22 SAD.2 Demand management .49
5.23 SAD.3 Capacity management .50
5.24 SAS.1 Service availability management .51
5.25 SAS.2 Service continuity management .51
5.26 SAS.3 Information security management .53
5.27 SDB.1 Service requirements definition .54
5.28 SDB.2 Service design .54
5.29 SDB.3 Service build and transition .55
5.30 SDB.4 Release and deployment management .56
5.31 SDE.1 Service delivery .57
5.32 SPC.1 Change management .58
5.33 SPC.2 Configuration management .60
5.34 TOP.01 Leadership .62
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6 Process capability indicators .66
6.1 Introduction .66
6.2 Process capability levels and process attributes .66
6.2.1 General.66
6.2.2 Process capability Level 0: Incomplete process.66
6.2.3 Process capability Level 1: Performed process .67
6.2.4 Process capability Level 2: Managed process .67
6.2.5 Process capability Level 3: Established process .72
6.2.6 Process capability Level 4: Predictable process .76
6.2.7 Process capability Level 5: Innovating process .80
6.3 Related processes for process attributes .84
Annex A (informative) Conformity of the process assessment model .86
Annex B (informative) Input and output characteristics .92
Annex C (informative) Mapping between base practices and ISO/IEC 20000-1 requirements.142
Bibliography .273
iv © ISO/IEC 2020 – All rights reserved

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 first edition cancels and replaces ISO/IEC TS 15504-8:2012, 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 TS 33054 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.
© ISO/IEC 2020 – All rights reserved v

Introduction
This document provides a service management process assessment model for use in performing a
conformity assessment of process capability in accordance with the requirements of ISO/IEC 33002.
It is structured in accordance with the requirements of ISO/IEC 33004 to reflect processes associated
with ISO/IEC 20000-1. The scale for assessing the extent of achievement of process capability is based
on ISO/IEC 33020.
This document provides a framework of reference for the capability assessment of processes that
support the domain of service management.
An integral part of conducting an assessment is to use a process assessment model that is constructed
for that purpose. A process assessment model is related to a process reference model and is conformant
with ISO/IEC 33004. ISO/IEC 33002 identifies the minimum requirements for performing an assessment
in order to ensure consistency and repeatability of the ratings. ISO/IEC 33002 addresses the assessment
of process and the application of process assessment for improvement and capability determination.
Results of conformant process assessments may be compared when the scopes of the assessments are
considered to be similar.
The requirements for process assessment defined in ISO/IEC 33002 form a structure which:
a) facilitates self-assessment;
b) provides a basis for use in process improvement and capability determination;
c) takes into account the context in which the assessed process is implemented;
d) produces a process rating;
e) addresses the ability of the process to achieve its purpose;
f) is applicable across all application domains and sizes of organization;
g) may provide an objective benchmark between organizations.
The relationship between ISO/IEC TR 24774, ISO/IEC 20000-1, ISO/IEC 33002, ISO/IEC 33004,
ISO/IEC 33020, ISO/IEC TS 33054, and this document is shown in Figure 1.
Figure 1 — Relationships between relevant standards
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Any organization may use processes with additional elements in order to suit it to the environment
and circumstances. This process assessment model contains a set of indicators to be considered when
interpreting the intent of its process reference model. It provides greater detail to indicate process
performance and capability. The indicators may also be used when implementing a process improvement
program or to help evaluate and select an assessment model, method, methodology or tools.
This process assessment model embodies the core characteristics that could be expected of any process
assessment model consistent with ISO/IEC 33004. Nevertheless, any other process assessment models
meeting the requirements of ISO/IEC 33004 may be used in a conformity assessment.
This document has a similar structure to ISO/IEC TS 33072 and ISO/IEC TS 33073. It may be used in
conjunction with these process assessment models to support joint assessment of service management
processes, information security management, and quality management processes
Within this document:
— Clause 4 provides a detailed description of the structure and key components of a process assessment
model, which includes two dimensions: a process dimension and a capability dimension. Assessment
indicators are introduced in this clause.
— Clause 5 addresses the process dimension. The processes are described in the process assessment
model in terms of purpose and outcomes. The process assessment model includes a set of process
performance indicators called base practices for each process. The process assessment model
also defines a second set of indicators of process performance by associating inputs and outputs
with each process. Clause 5 is also linked directly to Annex B, which defines the inputs/outputs
characteristics.
— Clause 6 addresses the capability dimension. It duplicates the definitions of the capability levels
and process attributes from ISO/IEC 33020, and expands each of the nine attributes through the
inclusion of a set of generic practices. These generic practices belong to a set of indicators of process
capability, in association with generic resource indicators, and generic inputs/outputs indicators.
Annex B is also linked directly to Clause 6 as it defines the inputs/outputs characteristics.
— Annex A provides a statement of conformance of the process assessment model to the requirements
defined in ISO/IEC 33004.
— Annex B provides selected characteristics for typical inputs/outputs to assist the assessor in
evaluating the capability level of processes.
— Annex C contains three tables. Table C.1 identifies the base practices linked to requirements;
Table C.2 identifies the requirements linked to base practices; and lastly, Table C.3 identifies the
base practices not linked to requirements.
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TECHNICAL SPECIFICATION ISO/IEC TS 33074:2020(E)
Information technology — Process assessment — Process
capability assessment model for service management
1 Scope
This document:
— defines a process assessment model that relies on the process reference model published as
ISO/IEC TS 33054 that meets the requirements of ISO/IEC 33004 and that supports the performance
of an assessment by providing indicators for guidance on the interpretation of the process purposes
and outcomes and the process attributes as defined in ISO/IEC 33020;
— provides guidance, by example, on the definition, selection and use of assessment indicators.
A process assessment model comprises a set of indicators of process performance and process capability.
The indicators are used as a basis for collecting the objective evidence that enables an assessor to assign
ratings. The set of indicators included in this document is not intended to be an all-inclusive set.
The process assessment model in this document is directed at assessment sponsors and competent
assessors who wish to select a model, and associated documented process method, for assessment (for
either capability determination or process improvement). Additionally, it can be of use to developers
of assessment models in the construction of their own model, by providing examples of good service
management practices. It can be used by:
a) service providers to assess and improve a service management system (SMS);
b) service providers to demonstrate their capability for the planning, design, development, transition
and delivery of services that meet agreed service management requirements.
Any process assessment model meeting the requirements defined in ISO/IEC 33004 concerning models
for process assessment can be used for assessment. Different models and methods can be needed
to address differing business needs. The assessment model in ISO/IEC TS 33074 is provided as an
assessment model meeting all the requirements expressed in ISO/IEC 33004.
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 20000-10, Information technology — Service management — Part 10: Concepts and vocabulary
ISO/IEC 33001, Information technology — Process assessment — Concepts and terminology
ISO/IEC TS 33054, Information technology — Process Assessment — Process reference model for service
management
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 33001 and
ISO/IEC 20000-10 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
© ISO/IEC 2020 – All rights reserved 1

— IEC Electropedia: available at http:// www .electropedia .org/
4 Overview of the process assessment model
4.1 General
ISO/IEC TS 33074 provides a process assessment model that includes examples of assessment indicators.
The process reference model defined in this document, associated with the process attributes defined
in ISO/IEC 33020, establish a process assessment model used as a common basis for performing
assessments of service management system process capability, allowing for the reporting of results
using a common rating scale. The process reference model shall be in accordance with ISO/IEC TS 33054.
This process assessment model is a two-dimensional model of the process quality characteristic of
process capability. In one dimension, the process dimension, the processes are defined. In the other
dimension, the capability dimension, a set of process attributes grouped into capability levels is defined.
The process attributes provide the measurable features of the process quality characteristic of process
capability.
Figure 2 — Relationship between the process assessment model and its inputs
Figure 2 shows the relationship between the general structure of the process assessment model and
ISO/IEC 33020.
A process reference model conformant with the requirements defined in ISO/IEC 33004 and a
capability dimension defined in ISO/IEC 33020 cannot be used alone as the basis for conducting reliable
and consistent assessments of process capability since the level of detail provided is not sufficient. The
descriptions of process purpose and outcomes in a process reference model, and the process attribute
definitions in ISO/IEC 33020, need to be supported with a comprehensive set of indicators of process
performance and process capability that are used for assessment performance.
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The process assessment model defined in this document is conformant with the ISO/IEC 33004
requirements for a process assessment model, and can be used as the basis for conducting an assessment
of service management process capability.
In order to meet the process assessment model requirements of ISO/IEC 33004, a documented process
supporting other requirements of ISO/IEC 33002 is also required. This need may be met, for example,
by the adoption of a supporting method for conducting assessments.
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 subclause describes the detailed structure of the process assessment model and its key
components.
This process assessment model expands upon the process reference model by including a defined set of
assessment indicators. Assessment indicators comprise indicators of process performance and process
capability and are defined to support an assessor’s judgment of the performance and capability of an
implemented process.
Clause 5, together with the associated Annex B, describes the components of the process dimension,
and Clause 6 describes the components of the capability dimension. Annex A provides a statement of
conformance of the process assessment model to the requirements defined in ISO/IEC 33004.
Refer to ISO/IEC 33004 for the requirements for processes included in a process reference model.
4.2.2 Processes
Figure 3 shows the processes included in the process dimension of the process assessment model for
service management.
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Figure 3 — Processes in the process assessment model
4.2.3 Process dimension
The process dimension of the process assessment model includes all processes and shown in Figure 3.
Each process in the process assessment model 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 outcomes is associated with each of the process purpose statements, as a
list of expected positive results of the performance of the processes.
Satisfying the purpose statements of a process represents the first step in building a level 1 process
capability where the expected outcomes are observable. The processes are described in Clause 5.
4.2.4 Capability dimension
For the capability dimension, the process capability levels and process attributes are identical to those
defined in ISO/IEC 33020.
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Evolving process capability is expressed in the process assessment model in terms of process attributes
grouped into capability levels. Process attributes are features of a process that can be evaluated on a
scale of achievement, providing a measure of the capability of the process. They are applicable to all
processes. Each process attribute describes a facet of the overall capability of managing and improving
the effectiveness of a process in achieving its purpose and contributing to the business goals of the
organization.
A capability level is a set of process attribute(s) that work together to provide a major enhancement
in the capability to perform a process. The levels constitute a rational way of progressing through
improvement of the capability of any process and are defined in ISO/IEC 33020.
There are six capability levels, incorporating nine process attributes.
Level 0: Incomplete process
The process is not implemented, or fails to achieve its process purpose.
At this level, there is little or no evidence of any systematic achievement of the process purpose.
Level 1: Performed process
The implemented process achieves its process purpose.
Level 2: Managed process
The previously described performed process is now implemented in a managed fashion (planned,
monitored and adjusted) and its work products are appropriately established, controlled and
maintained.
Level 3: Established process
The previously described managed process is now implemented using a defined process that is capable
of achieving its process outcomes.
Level 4: Predictable process
The previously described established process now operates predictably within defined limits to achieve
its process outcomes. Quantitative management needs are identified, measurement data are collected
and analysed to identify assignable causes of variation. Corrective action is taken to address assignable
causes of variation.
Level 5: Innovating process
The previously described predictable process is now continually improved to respond to change aligned
with organizational goals.
Within the process assessment model, the measure of capability is based upon the nine process
attributes (PA) defined in ISO/IEC 33020. Process attributes are used to determine whether a process
has reached a given capability. Each attribute measures a particular aspect of the process capability.
At each level there is no ordering between the process attributes; each attribute addresses a specific
aspect of the capability level. The list of process attributes is shown in Table 1.
Table 1 — Capability levels and process attributes
Process attribute ID Capability levels and process attributes
Level 0: Incomplete process
Level 1: Performed process
PA 1.1 Process performance
Level 2: Managed process
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Table 1 (continued)
Process attribute ID Capability levels and process attributes
PA 2.1 Performance management
PA 2.2 Work products management
Level 3: Established process
PA 3.1 Process definition
PA 3.2 Process deployment
Level 4: Predictable process
PA 4.1 Quantitative analysis
PA 4.2 Quantitative control
Level 5: Innovating process
PA 5.1 Process innovation
PA 5.2 Process innovation implementation
The process attributes are evaluated on a four point ordinal scale of achievement, as defined in
ISO/IEC 33020. They provide insight into the specific aspects of process capability required to support
process improvement and capability determination.
4.3 Assessment indicators
4.3.1 General
The process assessment model is based on the principle that the capability of a process can be assessed
by demonstrating the achievement of process attributes on the basis of evidence related to assessment
indicators.
Figure 4 — Assessment indicators
There are two types of assessment indicators: process capability indicators, which apply to capability
levels 1 to 5 and process performance indicators, which apply exclusively to capability level 1. These
indicators are defined in 4.3.3.
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The process attributes in the capability dimension have a set of process capability indicators that
provide an indication of the extent of achievement of the attribute in the instantiated process. These
indicators concern significant activities, resources or results associated with the achievement of the
attribute purpose by a process.
The process capability indicators are:
— generic practice (GP);
— generic resource (GR);
— generic input/output (GIO).
As additional indicators for supporting the assessment of a process at level 1, each process in the
process dimension has a set of process performance indicators which is used to measure the degree of
achievement of the process performance attribute for the process assessed.
The process performance indicators are:
— base practice (BP);
— input/output (IO).
The performance of base practices (BPs) provides an indication of the extent of achievement of the
process purpose and process outcomes. Input/Outputs (IOs) are either used or produced (or both),
when performing the process.
The process performance and process capability indicators defined in the process assessment model
represent types of objective evidence that might be found in an instantiation of a process and therefore
could be used to judge achievement of capability.
Figure 4 shows how the assessment indicators are related to process performance and process
capability.
4.3.2 Process capability indicators
The three types of process capability indicators related to levels 1 to 5 are identified in Figure 5. They
are intended to be applicable to all processes.
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Figure 5 — Process capability indicators
All the process capability indicators relate to the process attributes defined in the capability dimension
of the process assessment model. They represent the type of evidence that would support judgments
of the extent to which the attributes are achieved. Evidence of their effective performance or existence
supports the judgment of the degree of achievement of the attribute. The generic practices are the
principal indicators of process capability.
The generic practice (GP) indicators are indicators of activities of a generic type and provide guidance
on the implementation of the attribute's characteristics. They support the achievement of the process
attribute and many of them concern management practices, i.e. practices that are established to support
the process performance as it is characterized at level 1.
During the evaluation of process capability, the primary focus is on the performance of the generic
practices. In general, performance of all generic practices is expected for full achievement of the process
attribute.
The generic resource (GR) indicators are associated resources that may be used when performing the
process in order to achieve the attribute. These resources may include human resources, tools, methods
and infrastructure. The availability of a resource indicates the potential to fulfil the purpose of a
specific attribute.
The assessor should interpret the generic resources according to the process assessed; e.g. for PA2.1
resources (with identified objectives, responsibilities and authorities), an assessor would look for roles
(with identified objectives, responsibilities and authorities) in primary and supporting processes,
but for organizational processes, would look for governance structures (e.g. mandated committees,
positions) with identified objectives, responsibilities and authorities.
The generic input/output (GIO) indicators are sets of characteristics that would be expected to be
evident in inputs/outputs of generic types as a result of achievement of an attribute. The generic inputs/
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outputs form the basis for the classification of the inputs/outputs defined as process performance
indicators; they represent basic types of inputs/outputs from all types of processes.
These three types of indicators help to establish objective evidence of the extent of achievement of the
specified process attribute.
Due to the fact that level 1 capability of a process is only characterized by the measure of the extent to
which the process purpose is achieved, the process performance attribute (PA.1.1) has a single generic
practice indicator (GP.1.1.1). In order to support the assessment of PA.1.1 and to amplify the process
performance achievement analysis, additional process performance indicators are defined in the
process assessment model.
4.3.3 Process performance indicators
There are two types of process performance indicators: base practice (BP) indicators and input/output
(IO) indicators. Process performance indicators relate to individual processes defined in the process
dimension of the process assessment model and are chosen to explicitly address the achievement of the
defined process outcomes.
Evidence of performance of the base practices, and the presence of inputs/outputs with their expected
characteristics, provide objective evidence of the achievement of the process outcomes.
A base practice is an activity that addresses the purpose of a particular process. Consistently
performing the base practices associated with a process will help the consistent achievement of its
purpose. A coherent set of base practices is associated with each process in the process dimension. The
base practices are described at an abstract level, identifying "what" should be done without specifying
"how". Implementing the base practices of a process should achieve the basic outcomes that reflect the
process purpose. Base practices represent only the first step in building process capability, but the
base practices represent the unique, functional activities of the process, even if that performance is not
systematic.
In this particular process assessment model the base practices have been used as a vehicle to link the
outcomes of each process in the process reference model with the requirements defined for that process
in ISO/IEC 20000-1. This has been achieved using the following strategy:
— Singular requirements from ISO/IEC 20000-1 have been identified and assigned a unique identifier
(process number plus sequential numbering within the sub-clause).
— Each process outcome has been linked to a single base practice.
This approach provides insight on how the singular requirements from ISO/IEC 20000-1 contribute
to the achievement of the process purpose and outcomes. The performance of a process requires
inputs and produces outputs that are identifiable and usable in achieving the purpose of the process.
In this assessment model, each input/output has a defined set of example characteristics that may be
used when reviewing the input/output to assess the effective performance of a process. Input/output
characteristics may be used to identify the corresponding input/output produced/used by the assessed
organization.
Clause 5 contains a complete description of the processes, including the base practices and the
associated inputs and outputs.
Annex B contains a list of generic inputs/outputs together with their characteristics.
4.4 Measuring process capability
The process performance and process capability indicators in this model give examples of evidence
that an assessor might obtain, or observe, in the performance of an assessment. The evidence obtained
in the assessment, through observation of the implemented process, can be mapped onto the set of
indicators to enable correlation between the implemented process and the processes defined in this
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assessment model. These indicators provide guidance for assessors in accumulating the necessary
objective evidence to support judgments of capability. They are not mandatory.
An indicator is defined as an objective characteristic of a practice or input/output that supports
performing a conformity assessment in accordance with the requirements of ISO/IEC 33004. The
assessment indicators, and their relationship to process performance and process capability, are shown
in Figure 6.
Observable (objective) evidence collected during an assessment is used to confirm the indicators (e.g.,
practices were performed). All such evidence comes either from the examination of inputs/outputs of
the processes assessed, or from statements made by the performers and managers of the processes.
The existence of base practices, inputs/outputs, and input/output characteristics provides evidence of
the performance of the processes associated with them. Similarly, the existence of process capability
indicators provides evidence of process capability.
Figure 6 — Relationship between assessment indicators and process capability
The evidence obtained should be recorded in a form that clearly relates to an associated indicator,
so that the support for the assessor’s judgment can be readily confirmed or verified as required by
ISO/IEC 33002.
The output from a process assessment is a set of process profiles, one for each process within the
scope of the assessment. Each process profile consists of a set of the process attribute ratings for an
assessed process. Each attribute rating represents a judgment by the assessor of the extent to which the
attribute is achieved. To improve the reliability and repeatability of the assessment, the judgments of
the assessor are based on a coherent set of recorded objective evidences.
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5 The process dimension and process performance indicators (level 1)
5.1 General
This clause defines the processes and the process performance indicators, also known as the process
dimension, of the process assessment model. The processes in the process dimension can be directly
mapped to the processes defined in the process reference model.
The processes are classified into process groups which are shown in Figure 3. The process purposes,
outcomes, the practices, the inputs and outputs of processes are included in this clause.
The individual processes are described in terms of process name, process purpose, and process
outcomes:
a) name: a short noun phrase that summarizes the scope of the process, identifying the principle
concern of the process, and distinguishes it from other processes within the scope of the process
reference model;
b) purpose: describes at a high level the overall objectives of performing the process;
c) outcomes: an outcome is an observable result of the successful achievement of the process purpose.
Outcomes are measurable, tangible, technical or business results that are achieved by a process.
Outcomes are observable and assessable.
In addition, the process dimension of the process assessment model provides information in the form of:
a) a set of base practices for the process needed to accomplish the process outcomes; a single base
practice is explicitly associated with a process outcome;
b) a number of inputs/outputs associated with each process and their relationship to one or more of
its outcomes by numbers in square brackets, (i.e. [n]);
c) characteristics
...