ISO/IEC TS 33073:2017

TECHNICAL ISO/IEC TS
SPECIFICATION 33073
First edition
2017-11
Information technology — Process
assessment — Process capability
assessment model for quality
management
Technologies de l'information — Évaluation des processus
— Modèle d'évaluation de l'aptitude des processus pour le
management de la qualité
Reference number
ISO/IEC TS 33073:2017(E)
©
ISO/IEC 2017

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ISO/IEC TS 33073:2017(E)

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ISO/IEC TS 33073:2017(E)

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 (PAM) . 2
4.1 General . 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 . 5
4.3.1 Process Capability Indicators . 7
4.3.2 Process Performance Indicators . 8
4.4 Measuring process capability . 8
5 The process dimension and process performance indicators (Level 1) .10
5.1 General .10
5.2 COM.01 Communication management .11
5.3
COM.02 Documentation management .12
5.4 COM.03 Human resource management .14
5.5 COM.04 Improvement .14
5.6 COM.05 Internal audit.16
5.7 COM.06 Management review .16
5.8 COM.07 Non-conformity management .17
5.9 COM.08 Operational planning .19
COM.09 Operational implementation and control . 22
5.10
5.11 COM.10 Performance evaluation .24
5.12 COM.11 Risk management .25
5.13 ORG.01 Asset management .27
5.14 ORG.02 Measurement resource management .27
5.15 ORG.03 Supplier management .28
5.16 TEC.01 Configuration management .29
5.17 TEC.02 Process changes .30
5.18 TEC.03 Product/service changes .31
5.19 TEC.04 Product/service design .32
5.20 TEC.05 Product/service planning .32
5.21 TEC.06 Product/service quarantine .33
5.22 TEC.07 Product/service requirements .34
5.23 TEC.08 Product/service review .35
5.24 TEC.09 Product/service supply .36
5.25 TEC.10 Product/service validation .37
5.26 TEC.11 Product/service verification .37
5.27 TOP.01 Leadership .38
6 Process capability indicators .40
6.1 General .40
6.2 Process capability levels and process attributes .41
6.2.1 General.41
6.2.2 Process capability Level 0: Incomplete process.41
6.2.3 Process capability Level 1: Performed process .41
6.2.4 Process capability Level 2: Managed process .42
6.2.5 Process capability Level 3: Established process .47
6.2.6 Process capability Level 4: Predictable process .52
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ISO/IEC TS 33073:2017(E)

6.2.7 Process capability Level 5: Innovating process .56
6.3 Related processes for process attributes .60
Annex A (informative) Conformity of the process assessment model .62
Annex B (informative) Input and output characteristics .67
Annex C (informative) Association between base practices and ISO 9001 requirements .107
Bibliography .298
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ISO/IEC TS 33073:2017(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. 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 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 the following
URL: www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 7, Software and systems engineering.
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ISO/IEC TS 33073:2017(E)

Introduction
This document provides a Quality 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 9001. The scale for assessing the extent of achievement of process capability is
based on ISO/IEC 33020.
The publication of the revised edition of ISO 9001:2015 has rendered the publication of this document
as both timely and appropriate.
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 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 9001, ISO/IEC 33002, ISO/IEC 33004, ISO/IEC 33020,
and this document is shown in Figure 1.
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ISO/IEC TS 33073:2017(E)

ISO 9001 ― Quality management ISO/IEC TR 24774 ― Guidelines for
systems ― Requirements process description
provides requirements informs
ISO/IEC 33004 Requirements for
process reference, process
ISO/IEC TS ― A process
assessment and maturity models
capability assessment model for
quality management
ISO/IEC 33002 ― Requirements
for performing process assessment
ISO/IEC 33020 Process
measurement framework for
assessment of process capability
Figure 1 — Relationships between relevant standards
Any organization may use processes with additional elements in order to suit it to the environment and
circumstances. This PAM contains a set of indicators to be considered when interpreting the intent of
its PRM. 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.
As an exemplar, this PAM embodies the core characteristics that could be expected of any PAM consistent
with ISO/IEC 33004. Nevertheless, any other PAMs meeting the requirements of ISO/IEC 33004 may be
used in a conformant assessment.
This document has a similar structure to ISO/IEC 15504-5 and ISO/IEC 15504–6. It may be used in
conjunction with these process assessment models to support joint assessment of quality management
processes and system/software life cycle processes.
Within this document:
— Clause 4 provides a detailed description of the structure and key components of a PAM, 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 PAM in terms of
purpose and outcomes. The PAM includes a set of process performance indicators called base
practices for each process. The PAM 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.
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ISO/IEC TS 33073:2017(E)

— Annex A provides a statement of conformance of the PAM 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.
— Bibliography contains a list of informative references.
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TECHNICAL SPECIFICATION ISO/IEC TS 33073:2017(E)
Information technology — Process assessment — Process
capability assessment model for quality management
1 Scope
This document:
— defines an integrated PRM and PAM 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 PAM 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 nor is it intended to be
applicable in its entirety.
The PAM 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 Quality Management System (QMS);
b) service providers to demonstrate their capability for the design, development, transition and
delivery of services that fulfil Quality Management requirements.
Any PAM meeting the requirements defined in ISO/IEC 33004 concerning models for process assessment
may be used for assessment. Different models and methods can be needed to address differing business
needs. The assessment model in this document is provided as an assessment model meeting all the
requirements expressed in ISO/IEC 33004.
NOTE Copyright release for the PAM: Users of this document can 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.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
No terms and definitions are listed in this document.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— IEC Electropedia: available at http://www.electropedia.org/
— ISO Online browsing platform: available at http://www.iso.org/obp
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ISO/IEC TS 33073:2017(E)

4 Overview of the Process Assessment Model (PAM)
4.1 General
This document provides a PAM that includes examples of assessment indicators.
The PRM defined in this document, associated with the process attributes defined in ISO/IEC 33020,
establish a PAM used as a common basis for performing assessments of Quality Management system
process capability, allowing for the reporting of results using a common rating scale.
This PAM 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.
CAPABILITY
Dimension
ISO/IEC 33020
Level 5 : Innovating (2 attributes)
Level 4 : Predictable (2 attributes)
Level 3 : Established (2 attributes)
Level 2 : Managed (2 attributes)
Level 1 : Performed (1 attribute)
Process Reference
Level 0 : Incomplete
Model (PRM)
PROCESS
Common
Dimension
processes
Processes
Organizational
Processes
processes
Technical
processes
Figure 2 — Relationship between the Process Assessment Model and its inputs
Figure 2 shows the relationship between the general structure of the PAM and ISO/IEC 33020.
A PRM 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 PRM, 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.
The PAM defined in this document is conformant with the ISO/IEC 33004 requirements for a PAM and
can be used as the basis for conducting an assessment of Quality Management process capability.
In order to meet the PAM 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.
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ISO/IEC TS 33073:2017(E)

4.2 Structure of the Process Assessment Model
This subclause describes the detailed structure of the PAM and its key components.
This PAM expands upon the PRM 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 its 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 PAM to the requirements defined in ISO/IEC 33004.
ISO/IEC 33004 requires that processes included in a PRM satisfy the following.
“The fundamental elements of a process reference model are the descriptions of the processes within the
scope of the model.
The process descriptions in the process reference model incorporate a statement of the purpose of the
process which describes at a high level the overall objectives of performing the process, together with the
set of outcomes which demonstrate successful achievement of the process purpose.
A process description shall meet the following requirements:
a) a process shall be described in terms of its purpose and process outcomes;
b) the set of process outcomes shall be necessary and sufficient to achieve the purpose of the process;
c) process descriptions shall not contain or imply aspects of the process quality characteristic beyond the
basic level of any relevant process measurement framework conformant with ISO/IEC 33003."
4.2.1 Processes
Figure 3 shows the processes included in the process dimension of the PAM for quality management.
TOP.01 Leadership
Common ProcessesTechnical Processes
COM.01 Communciation management TEC.01 Conˆiguration management
COM.02 Documentation management TEC.02 Process changes
COM.03 Human resource management TEC.03 Product/service changes
COM.04 Improvement TEC.04 Product/service design
COM.05 Internal audit TEC.05 Product/service planning
COM.06 Management review TEC.06 Product/service quarantine
COM.07 Non-conformity management TEC.07 Product/service requirements
COM.08 Operational planning TEC.08 Product/service review
COM.09 Operational implementation and control TEC.09 Product/service supply
COM.10 Performance evaluation TEC.10 Product/service validation
COM.11 Risk management TEC.11 Product/service veriˆication
Origanizational Processes
ORG.1 Asset management
ORG.2 Measurement resource management
ORG.3 Supplier management
Figure 3 — Processes in the Process Assessment Model
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ISO/IEC TS 33073:2017(E)

4.2.2 Process dimension
The process dimension of the PAM includes all processes and shown in Figure 3. Each process in the
PAM 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.
4.2.3 Capability dimension
For the capability dimension, the process capability levels and process attributes are identical to those
defined in ISO/IEC 33020.
Evolving process capability is expressed in the PAM 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 P
...