ISO/IEC TS 33072:2016

TECHNICAL ISO/IEC TS
SPECIFICATION 33072
First edition
2016-07-15
Corrected version
2016-09-01
Information technology — Process
assessment — Process capability
assessment model for information
security management
Technologies de l’information — Évaluation des procédés — Modèle
d’évaluation de la capacité des procédés pour le management de la
sécurité de l’information
Reference number
©
ISO/IEC 2016
© ISO/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
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 2016 – 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 Introduction to Overview . 2
4.2 Structure of the Process Assessment Model . 3
4.2.1 Processes . 3
4.2.2 Process dimension . 4
4.2.3 Capability dimension . 4
4.3 Assessment Indicators . 6
4.3.1 Process Capability Indicators . 7
4.3.2 Process Performance Indicators . 8
4.4 Measuring process capability . 9
5 The process dimension and process performance indicators (Level 1) . 10
5.1 General . 10
5.2 ORG.1 Asset management . 11
5.3 TEC.01 Capacity management . 12
5.4 TEC.02 Change management . 13
5.5 COM.01 Communication management . 13
5.6 TEC.03 Configuration management . 14
5.7 COM.02 Documentation management . 15
5.8 ORG.2 Equipment management . 17
5.9 ORG.3 Human resource employment management . 18
5.10 COM.03 Human resource management . 19
5.11 COM.04 Improvement . 20
5.12 TEC.04 Incident management . 21
5.13 ORG.4 Infrastructure and work environment . 21
5.14 COM.05 Internal audit . 22
5.15 TOP.1 Leadership . 23
5.16 COM.06 Management review . 24
5.17 COM.07 Non-conformity management . 25
5.18 COM.09 Operational implementation and control . 26
5.19 COM.08 Operational planning . 27
5.20 COM.10 Performance evaluation . 29
5.21 TEC.05 Product/service release . 30
5.22 TEC.08 Product/Service/System requirements . 31
5.23 COM.11 Risk and opportunity management . 32
5.24 TEC.06 Service availability management . 33
5.25 TEC.07 Service continuity management . 34
5.26 ORG.5 Supplier management . 34
5.27 TEC.09 Technical data preservation and recovery . 35
6 Process capability indicators . 36
6.1 Introduction . 36
6.2 Process capability levels and process attributes . 36
6.2.1 Process capability Level 0: Incomplete process . 36
6.2.2 Process capability Level 1: Performed process . 36
6.2.3 Process capability Level 2: Managed process . 37
© ISO/IEC 2016 — All rights reserved iii

6.2.4 Process capability Level 3: Established process . 42
6.2.5 Process capability Level 4: Predictable process . 46
6.2.6 Process capability Level 5: Innovating process . 51
6.3 Related processes for process attributes . 55
Annex A (informative) Conformity of the process assessment model . 57
A.1 Introduction . 57
A.2 Requirements for process assessment models . 57
A.2.1 Introduction . 57
A.2.2 Process assessment model scope . 57
A.2.3 Requirements for process assessment models . 58
A.2.4 Assessment indicators . 58
A.2.5 Mapping process assessment models to process reference models. 59
A.2.6 Expression of assessment results. 61
Annex B (informative) Input and output characteristics . 62
B.1 General . 62
B.2 Generic input and outputs . 63
B.3 Specific inputs and outputs . 67
Annex C (informative) Association between base practices and ISO/IEC 27001 requirements . 97
C.1 Associations of base practices with requirements . 98
C.2 Associations of requirements with base practices . 136
C.3 Base practices that have no associated requirements. 180
Bibliography . 183
iv © ISO/IEC 2016 — 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. 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
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).
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 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: www.iso.org/iso/foreword.html.
The committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 7, Software and
systems engineering.
This corrected version of ISO/IEC 33072 incorporates the text that was not visible in Annex B, Table B.3,
references 08-39 and 08-40, in the column entitled: "Characteristics".
© ISO/IEC 2016 — All rights reserved v

Introduction
This Technical Specification provides an Information Security Management Process Assessment Model
(PAM) for use in performing a conformant 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 that enable implementation of ISO/IEC 27001. The scale for assessing the extent of
achievement of process capability is based on ISO/IEC 33020.
An integral part of conducting an assessment is to use a PAM that is constructed for that purpose. A PAM is
related to a Process Reference Model (PRM) 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 conforma
...

TECHNICAL ISO/IEC TS
SPECIFICATION 33072
First edition
2016-07-15
Corrected version
2016-09-01
Information technology — Process
assessment — Process capability
assessment model for information
security management
Technologies de l’information — Évaluation des procédés — Modèle
d’évaluation de la capacité des procédés pour le management de la
sécurité de l’information
Reference number
©
ISO/IEC 2016
© ISO/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
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 2016 – 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 Introduction to Overview . 2
4.2 Structure of the Process Assessment Model . 3
4.2.1 Processes . 3
4.2.2 Process dimension . 4
4.2.3 Capability dimension . 4
4.3 Assessment Indicators . 6
4.3.1 Process Capability Indicators . 7
4.3.2 Process Performance Indicators . 8
4.4 Measuring process capability . 9
5 The process dimension and process performance indicators (Level 1) . 10
5.1 General . 10
5.2 ORG.1 Asset management . 11
5.3 TEC.01 Capacity management . 12
5.4 TEC.02 Change management . 13
5.5 COM.01 Communication management . 13
5.6 TEC.03 Configuration management . 14
5.7 COM.02 Documentation management . 15
5.8 ORG.2 Equipment management . 17
5.9 ORG.3 Human resource employment management . 18
5.10 COM.03 Human resource management . 19
5.11 COM.04 Improvement . 20
5.12 TEC.04 Incident management . 21
5.13 ORG.4 Infrastructure and work environment . 21
5.14 COM.05 Internal audit . 22
5.15 TOP.1 Leadership . 23
5.16 COM.06 Management review . 24
5.17 COM.07 Non-conformity management . 25
5.18 COM.09 Operational implementation and control . 26
5.19 COM.08 Operational planning . 27
5.20 COM.10 Performance evaluation . 29
5.21 TEC.05 Product/service release . 30
5.22 TEC.08 Product/Service/System requirements . 31
5.23 COM.11 Risk and opportunity management . 32
5.24 TEC.06 Service availability management . 33
5.25 TEC.07 Service continuity management . 34
5.26 ORG.5 Supplier management . 34
5.27 TEC.09 Technical data preservation and recovery . 35
6 Process capability indicators . 36
6.1 Introduction . 36
6.2 Process capability levels and process attributes . 36
6.2.1 Process capability Level 0: Incomplete process . 36
6.2.2 Process capability Level 1: Performed process . 36
6.2.3 Process capability Level 2: Managed process . 37
© ISO/IEC 2016 — All rights reserved iii

6.2.4 Process capability Level 3: Established process . 42
6.2.5 Process capability Level 4: Predictable process . 46
6.2.6 Process capability Level 5: Innovating process . 51
6.3 Related processes for process attributes . 55
Annex A (informative) Conformity of the process assessment model . 57
A.1 Introduction . 57
A.2 Requirements for process assessment models . 57
A.2.1 Introduction . 57
A.2.2 Process assessment model scope . 57
A.2.3 Requirements for process assessment models . 58
A.2.4 Assessment indicators . 58
A.2.5 Mapping process assessment models to process reference models. 59
A.2.6 Expression of assessment results. 61
Annex B (informative) Input and output characteristics . 62
B.1 General . 62
B.2 Generic input and outputs . 63
B.3 Specific inputs and outputs . 67
Annex C (informative) Association between base practices and ISO/IEC 27001 requirements . 97
C.1 Associations of base practices with requirements . 98
C.2 Associations of requirements with base practices . 136
C.3 Base practices that have no associated requirements. 180
Bibliography . 183
iv © ISO/IEC 2016 — 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. 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
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).
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 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: www.iso.org/iso/foreword.html.
The committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 7, Software and
systems engineering.
This corrected version of ISO/IEC 33072 incorporates the text that was not visible in Annex B, Table B.3,
references 08-39 and 08-40, in the column entitled: "Characteristics".
© ISO/IEC 2016 — All rights reserved v

Introduction
This Technical Specification provides an Information Security Management Process Assessment Model
(PAM) for use in performing a conformant 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 that enable implementation of ISO/IEC 27001. The scale for assessing the extent of
achievement of process capability is based on ISO/IEC 33020.
An integral part of conducting an assessment is to use a PAM that is constructed for that purpose. A PAM is
related to a Process Reference Model (PRM) 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 conforma
...