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 2017
© ISO/IEC 2017, 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 2017 – 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 (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
© ISO/IEC 2017 – All rights reserved iii

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
iv © ISO/IEC 2017 – 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 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.
© ISO/IEC 2017 – All rights reserved v

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
...