ISO/IEC 33063:2015

• Abstract:

  ISO/IEC 33063:2015 - defines a process assessment model that meets the requirements of ISO/IEC 33004 and that supports the performance of an assessment of process capability using the process measurement framework defined in ISO/IEC 33020. The process assessment model provides indicators for guidance on the interpretation of the process purposes and outcomes as defined in ISO/IEC/IEEE 29119‑2 and the process attributes as defined in ISO/IEC 33020, and - 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, following the requirements of ISO/IEC 33002. The set of indicators included in this International Standard is not intended to be an all-inclusive set nor is it intended to be applicable in its entirety. Subsets that are appropriate to the context and scope of the assessment should be selected. The process assessment model in this International Standard 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). Any process assessment model for software testing meeting the requirements defined in ISO/IEC 33004 concerning models for process assessment may be used for assessment. Different models and methods might be needed to address differing business and testing needs. This assessment model is provided as an exemplar of a model meeting all the requirements expressed in ISO/IEC 33004.

• Status: Published
• Publication Date: 27-Jul-2015
• ICS: 35.080 - Software
• Technical Committee: ISO/IEC JTC 1/SC 7 - Software and systems engineering
• Drafting Committee: ISO/IEC JTC 1/SC 7 - Software and systems engineering
• Current Stage: 9092 - International Standard to be revised
• Start Date: 05-Aug-2024
• Completion Date: 29-Aug-2026

• Revised: ISO/IEC FDIS 33063 - Information technology — Process assessment — Process assessment model for software testing
• Effective Date: 10-Aug-2024

Overview

ISO/IEC 33063:2015 - Information technology - Process assessment - Process assessment model for software testing - defines an exemplar process assessment model (PAM) tailored to software testing. It maps the test process reference model from ISO/IEC/IEEE 29119‑2 to a measurement framework (ISO/IEC 33020) and meets the model requirements of ISO/IEC 33004. The standard provides assessment indicators (examples of base practices, generic practices and work‑product characteristics) to guide objective evidence collection and capability rating in line with ISO/IEC 33002.

Key topics and technical requirements

• Two‑dimensional model:
  • Process dimension - describes testing processes and outcomes (e.g., organizational, test management, dynamic test processes).
  • Capability dimension - defines process attributes grouped into capability levels (0–5): Incomplete, Performed, Managed, Established, Predictable, Innovating.
• Assessment indicators:
  • Process performance indicators (base practices and associated work products) used to judge whether process outcomes are achieved.
  • Process capability indicators (generic practices) used to evaluate attributes across capability levels.
• Measurement framework: Uses ISO/IEC 33020 measurement concepts and rating scales to assess process capability.
• Conformance and scope: The indicator set is illustrative - assessors select appropriate subsets for the context; the PAM is an exemplar conformant with ISO/IEC 33004.
• Supporting guidance: Annexes provide assessment planning/scoping guidance, work‑product characteristics, and optional/additional processes.

Practical applications

• Capability determination: Objectively assess the current maturity/capability of software testing processes for benchmarking or supplier evaluation.
• Process improvement: Identify gaps (base practice or generic practice deficiencies) to prioritize test process improvements and measure progress over time.
• Assessment model selection: Compare or tailor PAMs and tools against ISO/IEC 33004/33020 requirements when choosing a documented assessment method.
• Audit and compliance: Provide structured, evidence‑based ratings for internal audits, supplier audits, or contractual assessments of testing capability.

Who should use this standard

• Assessment sponsors and competent assessors conducting formal process capability assessments.
• QA/test managers, process improvement leads, and software engineering managers seeking a standards‑based approach to evaluate and improve testing practices.
• Organizations procuring testing services that need consistent, repeatable assessment criteria for supplier selection or due diligence.

Related standards

• ISO/IEC/IEEE 29119‑2 (Test processes / PRM)
• ISO/IEC 33004 (Requirements for PAMs)
• ISO/IEC 33020 (Process measurement framework)
• ISO/IEC 33002 (Assessment process requirements)

Keywords: ISO/IEC 33063:2015, process assessment model, software testing, process capability, assessment indicators, ISO/IEC 33020, ISO/IEC 33004, ISO/IEC/IEEE 29119-2.

INTERNATIONAL ISO/IEC
STANDARD 33063
First edition
2015-08-15
Information technology — Process
assessment — Process assessment
model for software testing
Technologies de l’information — Évaluation du procédé — Modèle
d’évaluation du procédé pour l’essai de logiciel
Reference number
©
ISO/IEC 2015
© ISO/IEC 2015, 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
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ii © ISO/IEC 2015 – All rights reserved

Contents Page
Foreword .iv
Introduction .v
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 Overview . 3
4.2.2 Processes . 3
4.2.3 Process dimension . 5
4.2.4 Capability dimension . 6
4.3 Assessment indicators . 7
4.3.1 Overview . 7
4.3.2 Process capability indicators . 8
4.3.3 Process performance indicators .10
4.4 Measuring process capability .10
5 Process dimension and process performance indicators (level 1) .11
5.1 General .11
5.2 Organizational test process group .12
5.2.1 OT.1 Organizational test process .12
5.3 Test management process group .13
5.3.1 TM.1 Test planning process .13
5.3.2 TM.2 Test monitoring and control process .15
5.3.3 TM.3 Test completion process.16
5.4 Dynamic test process group .17
5.4.1 DT.1 Test design & implementation process .17
5.4.2 DT.2 Test environment set-up & maintenance process .18
5.4.3 DT.3 Test execution process .19
5.4.4 DT.4 Test incident reporting process .20
6 Process capability indicators (level 1 to 5) .21
6.1 General .21
6.2 Process capability levels and process attributes .21
6.2.1 Process capability Level 0: Incomplete process.21
6.2.2 Process capability Level 1: Performed process .22
6.2.3 Process capability Level 2: Managed process .22
6.2.4 Process capability Level 3: Established process .26
6.2.5 Process capability Level 4: Predictable process .30
6.2.6 Process capability Level 5: Innovating process .34
Annex A (informative) Conformity of the process assessment model .39
Annex B (informative) Assessment guidelines .44
Annex C (informative) Work product characteristics .47
Annex D (informative) Additional processes .61
Annex E (informative) Management support processes .64
Bibliography .69
© ISO/IEC 2015 – 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
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 WTO principles in the Technical
Barriers to Trade (TBT) see the following URL: Foreword - Supplementary information
The committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 7, Software
and systems engineering.
iv © ISO/IEC 2015 – All rights reserved

Introduction
The ISO/IEC 330xx set of standards covering the domain of process assessment are based on a view of
assessment that establishes architecture of the following three components:
— process models that define processes, the entities that are the subject of assessment;
— measurement frameworks that provide scales for evaluating specified attributes;
— a specification of the process to be followed in conducting assessments.
This International Standard provides an example of a process assessment model for software testing
for use in performing a conformant assessment in accordance with the requirements of ISO/IEC 33002.
An integral part of conducting an assessment is to use a process assessment model (PAM) related to a
process reference model (PRM) and conformant with the requirements defined in ISO/IEC 33004.
A process reference model cannot be used alone as the basis for conducting a consistent and reliable
assessment of process capability since the level of detail is not sufficient. Therefore,
— the description of the process purpose and process outcome(s) provided by the process reference
model needs to be supported with a comprehensive set of indicators of process performance, and
— the capability levels and process attributes defined in ISO/IEC 33020 and its associated rating scale
need to be supported with a set of indicators of process capability.
Used in this way and in conjunction with a documented process, consistent and repeatable ratings of
process capability is possible.
This International Standard, a process assessment model for software testing, contains a set of
indicators to be considered when interpreting the intent of the process reference model. These
indicators may also be used when implementing a process improvement program or to help evaluate
and select an assessment model, methodology, and/or tools.
The process reference model defined in ISO/IEC/IEEE 29119-2 has been used as the basis for the
ISO/IEC 33063 exemplar process assessment model for software testing.
The following are provided within this International Standard:
— Clause 4 provides a detailed description of the structure and key components of the process
assessment model, which introduces the following two dimensions: a) process dimension; b)
capability dimension. Assessment indicators are also introduced in this Clause;
— Clause 5 addresses the process dimension. It uses process definitions from ISO/IEC/IEEE 29119-2
to identify a process reference model. The processes of the process reference model are described
in the process assessment model in terms of purpose and outcomes. The process assessment model
expands the process reference model process definitions by including 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 work products with each process;
— 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 attributes through the inclusion of
a set of generic practices. These generic practices belong to a set of indicators of process;
— Annex A provides a statement of conformance of the process assessment model for software testing
to the requirements defined in ISO/IEC 33004;
— Annex B provides a guideline on how the planning and scoping of an assessment is done with this
process assessment model for software testing;
© ISO/IEC 2015 – All rights reserved v

NOTE As the processes described in this model are generic when practically applied to an assessment,
they have to be applied to the different test phases or test levels or test types encountered in the project
which is to be assessed. The multiple applications of the processes have to be documented in the assessment
scope. It also provides guideline on the use of additional processes from other process assessment models.
— Annex C provides selected characteristics for typical work products to assist the assessor in
evaluating the capability level of processes;
— Annex D introduces additional process areas for the process assessment model;
— Annex E provides the additional process reference model processes which will be used by the
PAM in Annex D;
— Bibliography contains a list of informative references.
vi © ISO/IEC 2015 – All rights reserved

INTERNATIONAL STANDARD ISO/IEC 33063:2015(E)
Information technology — Process assessment — Process
assessment model for software testing
1 Scope
This International Standard
— defines a process assessment model that meets the requirements of ISO/IEC 33004 and that supports
the performance of an assessment of process capability using the process measurement framework
defined in ISO/IEC 33020. The process assessment model provides indicators for guidance on the
interpretation of the process purposes and outcomes as defined in ISO/IEC/IEEE 29119-2 and the
process attributes as defined in ISO/IEC 33020, and
— 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, following the requirements of ISO/IEC 33002. The set of indicators included in this
International Standard is not intended to be an all-inclusive set nor is it intended to be applicable in its
entirety. Subsets that are appropriate to the context and scope of the assessment should be selected.
The process assessment model in this International Standard 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).
Any process assessment model for software testing meeting the requirements defined in ISO/IEC 33004
concerning models for process assessment may be used for assessment. Different models and methods
might be needed to address differing business and testing needs. This assessment model is provided as
an exemplar of a model meeting all the requirements expressed in ISO/IEC 33004.
2 Normative references
The following documents, in whole or in part, are normatively referenced in this document and are
indispensable for its application. For dated references, only the edition cited applies. For undated
references, the latest edition of the referenced document (including any amendments) applies.
ISO/IEC/IEEE 29119-1, Software and systems engineering — Software testing — Part 1: Concepts and
definitions
ISO/IEC/IEEE 29119-2, Software and systems engineering — Software testing — Part 2: Test processes
ISO/IEC 33001, Information technology — Process assessment — Concepts and terminology
ISO/IEC 33004, Information technology — Process assessment — Requirements for process reference,
process assessment and maturity models
ISO/IEC 33020, Information technology — Process assessment — Process measurement framework for
assessment of process capability
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 33001, ISO/IEC/
IEEE 29119-1, and ISO/IEC/IEEE 29119-2 apply.
© ISO/IEC 2015 – All rights reserved 1

4 Overview of the process assessment model
4.1 General
ISO/IEC 33063 provides an exemplar Process assessment model (PAM) for software testing that
includes examples of assessment indicators.
The process reference model (PRM) defined in ISO/IEC/IEEE 29119-2, together with the process
attributes defined in ISO/IEC 33020, establish the process assessment model used as a common basis
for performing assessments of software testing process capability, allowing for the reporting of results
using a common rating scale.
The process assessment model is a two-dimensional model of process capability. In one dimension,
the process dimension, the processes are defined and classified into process categories. In the other
dimension, the capability dimension, a set of process attributes grouped into capability levels is defined.
The process attributes provide the measurable characteristics of process capability.
Figure 1 — Relationship between the process assessment model and its inputs
Figure 1 shows the relationship between the general structure of the process assessment model,
ISO/IEC 33020 and ISO/IEC/IEEE 29119-2.
The process reference model and the 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 the process purpose and outcomes in the
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.
The exemplar process assessment model for software testing defined in ISO/IEC 33063 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 software testing process capability.
2 © ISO/IEC 2015 – All rights reserved

4.2 Structure of the process assessment model
4.2.1 Overview
This clause describes the detailed structure of the process assessment model and its key components.
This process assessment model expands upon the process reference model by adding the definition
and use of assessment indicators. Assessment indicators comprise of indicators of process performance
and process capability. These are defined to support the assessor’s judgment of the performance and
capability of an implemented process.
Clause 5, together with its associated Annex C, describes the components of the process dimension.
Clause 6 describes the components of the capability dimension while Annex A provides a demonstration
of conformity that meets the requirements of ISO/IEC 33004.
ISO/IEC 33004 requires that processes included in a process reference model satisfy the following
criterion:
“The fundamental elements of a process reference model are the set of descriptions of the processes within
the scope of the model. These process descriptions shall meet the following requirements:
a) a process shall be described in terms of its purpose and 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.”
As processes are directly derived and applied from ISO/IEC/IEEE 29119-2, these requirements are
satisfied.
The process assessment model includes process groups defined in ISO/IEC/IEEE 29119-2 which are:
— the organizational test Process;
— the test management processes;
— the dynamic test processes;
The static test process group is added in an informative Annex D expanding the current process
reference model since they are the processes to be assessed when considering industry practice.
4.2.2 Processes
Figure 2 lists the processes from ISO/IEC/IEEE 29119-2 that are included in the process dimension of
the process assessment model for software testing.
© ISO/IEC 2015 – All rights reserved 3

Figure 2 — Process groups and processes of PRM, ISO/IEC/IEEE 29119‑2
Test processes in this process assessment model are classified into organizational test (OT) process
group, test management (TM) process group and dynamic test (DT) process group, exactly following
the structure given in the process reference model.
The organizational test process group includes a single process performed for the creation and
maintenance of organizational test specifications, such as organizational test policies, organizational
test strategies, and other organization-wide specifications.
This group includes the process listed in Table 1.
Table 1 — Organizational test process group
Process
Process name Source
Identification
OT.1 Organizational test process ISO/IEC/IEEE 29119-2
The test management process group consists of processes that cover the management of testing.
The processes contain practices that may be used by anyone who manages the whole test project or a
particular test phase, test level or test type within the project.
This group includes the processes listed in Table 2.
Table 2 — Test management process group
Process
Process name Source
Identification
TM.1 Test planning process ISO/IEC/IEEE 29119-2
TM.2 Test monitoring and control process ISO/IEC/IEEE 29119-2
TM.3 Test completion process ISO/IEC/IEEE 29119-2
The dynamic test process group consists of processes that prepare and maintain the test environment;
design, implement and execute the tests and/or report the incidents resulting from the test execution.
4 © ISO/IEC 2015 – All rights reserved

The dynamic test process group includes the processes listed in Table 3.
Table 3 — Dynamic test process group
Process
Process name Source
Identification
DT.1 Test design & implementation process ISO/IEC/IEEE 29119-2
DT.2 Test environment set-up & maintenance process ISO/IEC/IEEE 29119-2
DT.3 Test execution process ISO/IEC/IEEE 29119-2
DT.4 Test incident reporting process ISO/IEC/IEEE 29119-2
The static test process group consists of processes with related activities that review software and
related work products and perform static analysis, which are not in the processes from ISO/IEC/
IEEE 29119-2. The static test process group is defined and described in an informative Annex D.
The static test process group includes the processes listed in Table 4.
Table 4 — Dynamic test process group
Process
Process name Source
Identification
STAT.1 Software review process ISO/IEC 12207
STAT.2 Static analysis process ISO/IEC CD1 29119-2:2011
As illustrated in B.2, the processes within the test management process group and dynamic test process
group are generic. Within the context of an assessment they have to be applied to the whole project,
different test phases, test levels or test types depending on the characteristics of the project to be assessed.
For example, processes within the test management process can be applied to the management of
projects (e.g. master test level), of test levels such as unit testing or acceptance testing, or of types of
testing such as security testing and performance testing. The processes within the dynamic test process
group can e.g. be applied to integration testing or performance testing, security testing or other test
phases/test levels/test types.
NOTE Application of the test management processes and dynamic test processes is unique for each situation
with distinct characteristics, hence B.2 is normative.
For practical purposes, in an informative Annex D and E, three additional processes for organizational
test and test management process group, and one additional process group are added. The additional
processes such as skill development process (OT.2), problem resolution management process (TM.4),
measurement process (TM.5), and software review process (STAT.1) are from the ISO/IEC 12207 PRM,
while the static analysis process (STAT.2) is defined based on the previous version of the PRM. Those
additional processes in Annex D and E are selectively included for the practical assessment of software
test processes reflecting the industry practice.
The guideline on the use of additional processes from other process assessment models is depicted in B.3.
4.2.3 Process dimension
For the process dimension, all the processes in Figure 2 are included within the process dimension of
the process assessment model. The processes are classified into process Groups. There are four process
groups: organizational test process, test management processes, dynamic test processes, and static test
processes (Annex D). 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 process performance.
© ISO/IEC 2015 – All rights reserved 5

Satisfying the purpose statement of a process represents the first step in building a level 1 process
capability where the expected outcomes are observable. The process groups and their associated
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.
Evolving process capability is expressed in the Test 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 thereby providing a measure of the capability of the process.
Attributes 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 ability to carry out 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 which includes nine process attributes.
Level 0: Incomplete process
The process is not implemented, or fails to achieve the 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 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 implemented using a defined process that is capable of
achieving the process outcomes.
Level 4: Predictable process
The previously described Established process now operates within defined limits to achieve the
process outcomes. Quantitative management needs are identified, measurement data are collected and
analysed to identify causes of variation.
Level 5: Innovating process
The previously described Predictable process is continually improved to respond to organizational
change.
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 5.
6 © ISO/IEC 2015 – All rights reserved

Table 5 — Capability levels and process attributes
Capability levels
Process attribute ID
and process attributes
Level 0: Incomplete process
Level 1: Performed process
PA 1.1 Process performance
Level 2: Managed process
PA 2.1 Performance management
PA 2.2 Work product 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 Overview
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 evidences related to
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 4.3.2.
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 work product (GWP).
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.
© ISO/IEC 2015 – All rights reserved 7

The process performance indicators are:
— Base practice (BP);
— Work product (WP).
The performance of base practices (BPs) provides an indication of the extent of achievement of the
process purpose and process outcomes. Work products (WPs) 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 may be found in an instantiation of a process and therefore
could be used to judge achievement of capability.
Figure 3 shows how the assessment indicators are related to process performance and process capability.
Figure 3 — Assessment indicators
4.3.2 Process capability indicators
The three types of process capability indicators related to levels 1 to 5 are identified in Figure 4. They
are intended to be applicable to all processes.
8 © ISO/IEC 2015 – All rights reserved

Figure 4 — 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 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 fulfill the purpose
of a specific attribute.
NOTE The assessor should interpret the generic resources according to the process assessed; e.g. for PA 2.1
resources (with identified objectives, responsibilities and authorities), an assessor would look for roles (with
identified objectives, responsibilities and authorities) in test management and dynamic test processes, but for
organizational processes would look for governance structures (e.g. mandated committees, positions) with
identified objectives, responsibilities and authorities.
The generic work product (GWP) indicators are sets of characteristics that would be expected to be
evident in work products of generic types as a result of achievement of an attribute. The generic work
products form the basis for the classification of the work products defined as process performance
indicators; they represent basic types of work products that may be inputs to or outputs from all
types of process.
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
© ISO/IEC 2015 – All rights reserved 9

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 work product
(WP) 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 purpose.
Evidence of performance of the base practices and the presence of work products with their expected
work product characteristics provide objective evidence of the achievement of the purpose of the process.
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.
The performance of a process produces work products that are identifiable and usable in achieving
the purpose of the process. In this assessment model, each work product has a defined set of example
work product characteristics that may be used when reviewing the work product to assess the effective
performance of a process. Work product characteristics may be used to identify the corresponding
work product produced/used by the assessed organization.
Clause 5 contains a complete description of the processes, including the base practices and the
associated work products.
C.1 contains a list of generic work products together with the work product characteristics.
C.2 contains a complete list of specific work products, with the generic work products for completeness.
Similar to the concept of modularity in object orientation, the shared characteristics of a group of
work products have been extracted into a generic work product. An assessor would refer to both the
specific work product and the generic work product in the context of the specific work product when
performing an assessment.
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 can be mapped onto the set of indicators to enable correlation between the implemented
process and the processes defined in this assessment model.
These indicators provide guidance for assessors in accumulating the necessary objective evidence to
support judgments of capability. They are not intended to be regarded as a mandatory set of checklists
to be followed.
An indicator is defined as an objective characteristic of a base practice or work product that supports
the judgment of the performance or capability of an implemented process. The assessment indicators
and their relationship to process performance and process capability are shown in Figure 5.
Assessment indicators are used to confirm that certain practices were performed, as shown by observable
evidence collected during an assessment. All such evidence comes either from the examination of work
products and/or from statements made by the performers and managers of the processes.
10 © ISO/IEC 2015 – All rights reserved

The existence of base practices, work products and work product characteristics provide evidence of
the performance of the processes associated with them. Similarly, the existence of process capability
indicators provides evidence of 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.
Figure 5 — Relationship between assessment indicators and process capability
5 Process dimension and process performance indicators (level 1)
5.1 General
This clause defines the processes and the process performance indicators 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 (for the purpose of this process assessment model) into process groups
which are listed in Clause 4.
The individual processes are described in terms of process name, process purpose, and process
outcomes as defined in ISO/IEC/IEEE 29119-2.
© ISO/IEC 2015 – All rights reserved 11

In addition, the process performance indicators of the process assessment model provide information
in the form of:
a) a set of base practices for the process providing a definition of the tasks and activities needed to
accomplish the test process purpose and fulfil the process outcomes; each base practice is explicitly
associated to a process outcome;
b) a number of input and output work products associated with each process and related to one or
more of its outcomes; and
c) characteristics associated with each work product.
The process purposes, outcomes, the base practices and the work products associated with the
processes are included in this clause. The work product characteristics are contained in Annex C. The
base practices and work products constitute the set of indicators of process performance.
The associated work products listed in this clause may be used when reviewing potential inputs and
outputs of an organization’s process implementation.
The associated work products provide objective guidance for potential inputs and outputs to look for
and objective evidence supporting the assessment of a particular process.
A documented assessment process and assessor judgment is needed to ensure that process context
(application domain, business purpose, development and testing methodology, size of the organization,
etc.) is explicitly considered when using this information.
This assessment process should not be considered as a checklist of what each organization must have
but rather as an example and starting point for considering whether, given the context, the work
products are necessary and contributing to the intended purpose of the process.
These work products are identified with their work product identifier number as used in Annex C.
NOTE Consideration of assessing the additional test process areas in Annex D such as software review
process (STAT.1), static analysis process
...