ISO/IEC 33020:2015
(Main)Information technology — Process assessment — Process measurement framework for assessment of process capability
Information technology — Process assessment — Process measurement framework for assessment of process capability
ISO/IEC 33020:2015 defines a process measurement framework that supports the assessment of process capability, in accordance with the requirements of ISO/IEC 33003. The process measurement framework provides a schema that can be used to construct a process assessment model conformant with ISO/IEC 33004 which can be used in the performance of assessment of process capability according to the requirements of ISO/IEC 33002. In the context of this and related standards, process capability is a process quality characteristic related to the ability of a process to consistently meet current or projected business goals. The process measurement frameworks defined in ISO/IEC 33020:2015 form a structure which a) facilitates self-assessment, b) provides a basis for use in process improvement and process quality determination, c) is applicable across all application domains and sizes of organization, d) produces a set of process (capability) attribute ratings (process profile), and e) derives a process capability level.
Technologies de l'information — Évaluation du processus — Cadre de mesure du processus pour évaluer la capacité du processus
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INTERNATIONAL ISO/IEC
STANDARD 33020
Second edition
2015-03-01
Information technology — Process
assessment — Process measurement
framework for assessment of process
capability
Technologies de l’information — Évaluation du processus — Cadre de
mesure du processus pour évaluer la capacité du processus
Reference number
ISO/IEC 33020:2015(E)
©
ISO/IEC 2015
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ISO/IEC 33020:2015(E)
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ISO/IEC 33020:2015(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Overview . 2
5 A process measurement framework for process capability . 2
5.1 Introduction . 2
5.2 Process capability levels and process attributes . 2
5.2.1 Process capability Level 0: Incomplete process. 2
5.2.2 Process capability Level 1: Performed process . 2
5.2.3 Process capability Level 2: Managed process . 3
5.2.4 Process capability Level 3: Established process . 4
5.2.5 Process capability Level 4: Predictable process . 4
5.2.6 Process capability Level 5: Innovating process . 5
5.3 Process attribute rating scale . 6
5.4 Process attribute rating method . 7
5.4.1 Rating method R1 . 7
5.4.2 Rating method R2 . 8
5.4.3 Rating method R3 . 8
5.5 Aggregation method . 8
5.5.1 One dimensional aggregation methods . 9
5.5.2 Two dimensional aggregation methods . . 9
5.6 Process capability level model . 9
Annex A (informative) Conformity of the process measurement framework .11
Annex B (informative) Example of a process performance model .16
Bibliography .18
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ISO/IEC 33020:2015(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 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.
This second edition cancels and replaces Clause 5 of ISO/IEC 15504-2:2004, which has been technically
revised.
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ISO/IEC 33020:2015(E)
Introduction
This International Standard defines a process measurement framework for the process quality
characteristic of process capability. The process measurement framework in this International
Standard conforms to the requirements of ISO/IEC 33003 and is applicable to any domain. The process
measurement framework can be included in any process assessment model for the assessment of process
capability, as specified in ISO/IEC 33004.
This International Standard is primarily addressed to developers of process assessment models for the
process quality characteristic of process capability. It is also addressed to the lead assessor and other
stakeholders, such as the sponsor of the assessment, who need to be assured that the requirements of
this process measurement framework have been met.
This International Standard is part of a set of International Standards designed to provide a consistent and
coherent framework for the assessment of process quality characteristics, based on objective evidence
resulting from implementation of the processes. The framework for assessment covers processes
employed in the development, maintenance and use of systems across the information technology
domain and those employed in the design, transition, delivery and improvement of services. The set of
International Standards, as a whole, addresses process quality characteristics of any type. Results of
assessment can be applied for improving process performance, benchmarking, or for identifying and
addressing risks associated with application of processes.
The set of International Standards ISO/IEC 33001 to ISO/IEC 33099, termed the ISO/IEC 330xx family,
defines the requirements and resources needed for process assessment. The overall architecture
and content of the series is described in ISO/IEC 33001. General issues relating to the application of
conformity assessment to the assessment of process quality characteristics and organizational process
maturity are addressed in ISO/IEC 29169.
Several Standards in the ISO/IEC 330xx family of standards for process assessment are intended to
replace and extend parts of the ISO/IEC 15504 series of Standards. This International Standard is
intended to replace Clause 5 of ISO/IEC 15504-2:2004. ISO/IEC 33001:2014, Annex A provides a detailed
record of the relationship between the ISO/IEC 330xx family and the ISO/IEC 15504 series.
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INTERNATIONAL STANDARD ISO/IEC 33020:2015(E)
Information technology — Process assessment — Process
measurement framework for assessment of process
capability
1 Scope
This International Standard defines a process measurement framework that supports the assessment
of process capability, in accordance with the requirements of ISO/IEC 33003. The process measurement
framework provides a schema that can be used to construct a process assessment model conformant with
[4]
ISO/IEC 33004 which can be used in the performance of assessment of process capability according
[3]
to the requirements of ISO/IEC 33002 . In the context of this and related standards, process capability
is a process quality characteristic related to the ability of a process to consistently meet current or
projected business goals.
The process measurement frameworks defined in this International Standard form a structure which
a) facilitates self-assessment,
b) provides a basis for use in process improvement and process quality determination,
c) is applicable across all application domains and sizes of organization,
d) produces a set of process (capability) attribute ratings (process profile), and
e) derives a process capability level.
NOTE Copyright release: Users of this International Standard may reproduce subclauses 5.2, 5.3, 5.4 and 5.6
as part of any process assessment model or maturity model so that it can be used for its intended purpose.
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 33001, Information technology — Process assessment — Concepts and terminology
ISO/IEC 33003, Information technology — Process assessment — Requirements for process measurement
frameworks
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 33001 and the following
apply.
3.1
process capability
characterization of the ability of a process to meet current or projected business goals
3.2
process capability level
characterisation of a process on an ordinal measurement scale of process capability
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ISO/IEC 33020:2015(E)
4 Overview
The capability to perform a process to a specific level of performance depends on well established
principles. This International Standard sets out those principles that are common to all domains. The
process capability measurement framework described in this International Standard is expressed in
terms of a set of process attributes. Each process attribute is defined in terms of a set of process attribute
outcomes which can be evaluated to indicate the extent of achievement of the process attribute. The
process attributes are organised into process capability levels, ranging from Incomplete (in which the
process does not achieve its defined process outcomes) to Innovating (in which the process is continually
improved to respond to organizational change).
The result of an assessment, using a process assessment model that incorporates this process
measurement framework, will be a set of process profiles - ratings of the achievement of the set of
process attributes for each process in the scope of the assessment. The result can also be expressed
in terms of the capability level ratings achieved for each process in the assessment scope. A capability
level rating does not guarantee that an organization will perform its processes at any given process
capability level, simply that it is capable of performing its processes at that level.
5 A process measurement framework for process capability
5.1 Introduction
This clause defines a process measurement framework for the assessment of process capability,
conformant with the requirements of ISO/IEC 33003. This process measurement framework provides a
schema that can be used to construct a process assessment model for assessing process capability.
Within this process measurement framework, the measure of capability is based upon a set of process
attributes. Each process attribute defines a measurable property of process capability. The extent of
process attribute achievement is characterised on a defined rating scale. The process capability level
for an assessed process is derived from the set of process attribute ratings represented in the process
profile.
The achievement of one process attribute may be associated with the achievement of another process
attribute within the process measurement framework.
5.2 Process capability levels and process attributes
Process capability is defined on a six point ordinal scale that enables capability to be assessed from the
bottom of the scale, Incomplete, through to the top end of the scale, Innovating. The scale represents
increasing capability of the implemented process, from failing to achieve the process purpose through
to continually improving and able to respond to organizational change.
5.2.1 Process capability 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.
5.2.2 Process capability Level 1: Performed process
The implemented process achieves its process purpose. The following process attribute demonstrates
the achievement of this level.
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ISO/IEC 33020:2015(E)
5.2.2.1 PA 1.1 Process performance process attribute
The process performance process attribute is a measure of the extent to which the process purpose is
achieved. As a result of full achievement of this process attribute:
a) The process achieves its defined process outcomes.
5.2.3 Process capability 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.
The following process attributes, together with the previously defined process attribute, demonstrate
the achievement of this level:
5.2.3.1 PA 2.1 Performance management process attribute
The performance management process attribute is a measure of the extent to which the performance of
the process is managed. As a result of full achievement of this process attribute:
a) Objectives for the performance of the process are identified;
b) Performance of the process is planned;
c) Performance of the process is monitored;
d) Performance of the process is adjusted to meet plans;
e) Responsibilities and authorities for performing the process are defined, assigned and communicated;
f) Personnel performing the process are prepared for executing their responsibilities;
g) Resources and information necessary for performing the process are identified, made available,
allocated and used;
h) Interfaces between the involved parties are managed to ensure both effective communication and
clear assignment of responsibility.
5.2.3.2 PA 2.2 Work product management process attribute
The work product management process attribute is a measure of the extent to which the work products
produced by the process are appropriately managed. As a result of full achievement of this process
attribute:
a) Requirements for the work products of the process are defined;
b) Requirements for documentation and control of the work products are defined;
c) Work products are appropriately identified, documented, and controlled;
d) Work products are reviewed in accordance with planned arrangements and adjusted as necessary
to meet requirements.
NOTE 1 Requirements for documentation and control of work products may include requirements for the
identification of changes and revision status, approval and re-approval of work products, distribution of work
products, and for making relevant versions of applicable work products available at points of use.
NOTE 2 The work products referred to in this Clause are those that result from the achievement of the process
purpose through the process outcomes.
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ISO/IEC 33020:2015(E)
5.2.4 Process capability Level 3: Established process
The previously described Managed process is now implemented using a defined process that is capable
of achieving its process outcomes.
The following process attributes, together with the previously defined process attributes, demonstrate
the achievement of this level:
5.2.4.1 PA 3.1 Process definition process attribute
The process definition process attribute is a measure of the extent to which a standard process is
maintained to support the deployment of the defined process. As a result of full achievement of this
process attribute:
a) A standard process, including appropriate tailoring guidelines, is defined and maintained that
describes the fundamental elements that must be incorporated into a defined process;
b) The sequence and interaction of the standard process with other processes is determined.
c) Required competencies and roles for performing the process are identified as part of the standard
process;
d) Required infrastructure and work environment for performing the process are identified as part of
the standard process;
e) Suitable methods and measures for monitoring the effectiveness and suitability of the process are
determined.
5.2.4.2 PA 3.2 Process deployment process attribute
The process deployment process attribute is a measure of the extent to which the standard process is
deployed as a defined process to achieve its process outcomes. As a result of full achievement of this
process attribute:
a) A defined process is deployed based upon an appropriately selected and/or tailored standard
process;
b) Required roles, responsibilities and authorities for performing the defined process are assigned
and communicated;
c) Personnel performing the defined process are competent on the basis of appropriate education,
training, and experience;
d) Required resources and information necessary for performing the defined process are made
available, allocated and used;
e) Required infrastructure and work environment for performing the defined process are made
available, managed and maintained;
f) Appropriate data are collected and analysed as a basis for understanding the behaviour of the
process, to demonstrate the suitability and effectiveness of the process, and to evaluate where
continual improvement of the process can be made.
5.2.5 Process capability Level 4: Predictable process
The previously described Established process now operates predictively 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.
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ISO/IEC 33020:2015(E)
The following process attributes, together with the previously defined process attributes, demonstrate
the achievement of this level:
5.2.5.1 PA 4.1 Quantitative analysis process attribute
The quantitative analysis process attribute is a measure of the extent to which information needs are
defined, relationships between process elements are identified and data are collected. As a result of full
achievement of this process attribute:
a) The process is aligned with quantitative business goals;
b) Process information needs in support of relevant defined quantitative business goals are established;
c) Process measurement objectives are derived from process information needs;
d) Measurable relationships between process elements that contribute to the process performance are
identified;
e) Quantitative objectives for process performance in support of relevant business goals are
established;
f) Appropriate measures and frequency of measurement are identified and defined in line with process
measurement objectives and quantitative objectives for process performance;
g) Results of measurement are collected, validated and reported in order to monitor the extent to
which the quantitative objectives for process performance are met.
NOTE 1 Information needs typically reflect management, technical, project, process or product needs.
NOTE 2 Measures may be either process measures or product measures or both.
5.2.5.2 PA 4.2 Quantitative control process attribute
The quantitative control process attribute is a measure of the extent to which objective data are used to
manage process performance that is predictable. As a result of full achievement of this process attribute:
a) Techniques for analysing the collected data are selected;
b) Assignable causes of process variation are determined through analysis of the collected data;
c) Distributions that characterize the performance of the process are established;
d) Corrective actions are taken to address assignable causes of variation;
e) Separate distributions are established (as necessary) for analysing the process under the influence
of assignable causes of variation.
5.2.6 Process capability Level 5: Innovating process
The previously described Predictable process is now continually improved to respond to change aligned
with organizational goals.
The following process attributes, together with the previously defined process attributes, demonstrate
the achievement of this level:
5.2.6.1 PA 5.1 Process innovation process attribute
The process innovation process attribute is a measure of the extent to which changes to the process are
identified from investigations of innovative approaches to the definition and deployment of the process.
As a result of full achievement of this process attribute:
a) Process innovation objectives are defined that support the relevant business goals;
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ISO/IEC 33020:2015(E)
b) Appropriate data are analysed to identify opportunities for innovation;
c) Innovation opportunities derived from new technologies and process concepts are identified;
d) An implementation strategy is established to achieve the process innovation objectives.
5.2.6.2 PA 5.2 Process innovation implementation process attribute
The process innovation process implementation attribute is a measure of the extent to which changes
to the definition, management and performance of the process achieves the relevant process innovation
objectives. As a result of full achievement of this process attribute:
a) Impact of all proposed changes is assessed against the objectives of the defined process and standard
process;
b) Implementation of all agreed changes is managed to ensure that any disruption to the process
performance is understood and acted upon;
c) Effectiveness of process change on the basis of actual performance is evaluated against the defined
product requirements and process objectives.
5.3 Process attribute rating scale
Within this process measurement framework, a process attribute is a measureable property of process
capability. A process attribute rating is a judgement of the degree of achievement of the process attribute
for the assessed process.
A process attribute is measured using an ordinal scale as defined below.
N Not achieved:
There is little or no evidence of achievement of the defined process attribute in the assessed process.
P Partially achieved:
There is some evidence of an approach to, and some achievement of, the defined process attribute in the
assessed process. Some aspects of achievement of the process attribute may be unpredictable.
L Largely achieved:
There is evidence of a systematic approach to, and significant achievement of, the defined process
attribute in the assessed process. Some weaknesses related to this process attribute may exist in the
assessed process.
F Fully achieved:
There is evidence of a complete and systematic approach to, and full achievement of, the defined process
attribute in the assessed process. No significant weaknesses related to this process attribute exist in the
assessed process.
The ordinal scale defined above shall be understood in terms of percentage achievement of a process
attribute.
The corresponding percentages shall be:
N Not achieved 0 to ≤15% achievement
P Partially achieved > 15% to ≤50% achievement
L Largely achieved > 50% to ≤85% achievement
F Fully achieved > 85% to ≤100% achievement
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ISO/IEC 33020:2015(E)
The ordinal scale may be further refined for the measures P and L as defined below.
P+ Partially achieved:
There is some evidence of an approach to, and some achievement of, the defined process attribute in the
assessed process. Some aspects of achievement of the process attribute may be unpredictable.
P- Partially achieved:
There is some evidence of an approach to, and some achievement of, the defined process attribute in the
assessed process. Many aspects of achievement of the process attribute may be unpredictable.
L+ Largely achieved:
There is evidence of a systematic approach to, and significant achievement of, the defined process
attribute in the assessed process. Some weaknesses related to this process attribute may exist in the
assessed process.
L- Largely achieved:
There is evidence of a systematic approach to, and significant achievement of, the defined process
attribute in the assessed process. Many weaknesses related to this process attribute may exist in the
assessed process.
The corresponding percentages shall be:
P- Partially achieved - >15% to ≤ 32.5% achievement
P+ Partially achieved+ >32.5 to ≤50% achievement
L- Largely achieved- > 50% to ≤67.5% achievement
L+ Largely achieved+ >67.5% to ≤85% achievement
5.4 Process attribute rating method
A process outcome is the observable result of successful achievement of the process purpose.
A process attribute outcome is the observable result of achievement of a specified process attribute.
Process outcomes and process attribute outcomes may be characterised as an intermediate step to
providing a process attribute rating.
When performing rating, the rating method employed shall be specified relevant to the class of
assessment. The following rating methods are defined.
The use of rating method may vary according to the class, scope and context of an assessment. The
lead assessor shall decide which (if any) rating method to use. The selected rating method(s) shall be
specified in the assessment input and referenced in the assessment report.
5.4.1 Rating method R1
The approach to process attribute rating shall satisfy t
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