ISO 37153:2017
(Main)Smart community infrastructures — Maturity model for assessment and improvement
Smart community infrastructures — Maturity model for assessment and improvement
ISO 37153:2017 provides the basis, requirements and guidance for a maturity model for the assessment of technical performance, process and interoperability of community infrastructure(s) as well as its contribution to the community, and guidance for future improvements. This document is applicable to a) all types of community infrastructure, including, but not limited to, energy, water, transportation, waste and ICT, b) single types of community infrastructure or multiple types of community infrastructure, and c) all types of communities, regardless of geographical locations, size, economic structure, stage of economic development, and d) all applicable stages of infrastructure life cycle (e.g. planning/design, construction, operation, decommission). NOTE Utilization of natural systems, such as green infrastructure, is also considered as one type of infrastructure.
Infrastructures communautaires intelligentes — Modèle de maturité pour l’évaluation et l’amélioration
General Information
Standards Content (Sample)
INTERNATIONAL ISO
STANDARD 37153
First edition
2017-12
Smart community infrastructures —
Maturity model for assessment and
improvement
Infrastructures communautaires intelligentes — Modèle de maturité
pour l’évaluation et l’amélioration
Reference number
ISO 37153:2017(E)
©
ISO 2017
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ISO 37153:2017(E)
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ISO 37153:2017(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Basis of community infrastructure maturity model . 3
4.1 Outline . 3
4.2 Achievement criteria table . 4
4.3 Assessment aspects of the community infrastructure . 4
4.4 Overview of the methodology . 5
4.5 Community infrastructure maturity model . 6
5 Requirements and guidance to develop an achievement criteria table .7
5.1 General . 7
5.2 Guidance to determine purposes . 7
5.3 Requirements and guidance to identify characteristics . 7
5.3.1 General. 7
5.3.2 Additional recommendation for characteristics. 8
5.4 Guidance to define criteria of maturity levels . 8
5.4.1 General. 8
5.4.2 Attribute of characteristics . 9
5.4.3 Definition of the criteria . 9
6 Guidance for assessment and improvement .10
6.1 General .10
6.2 Guidance for assessment .10
6.3 Guidance for improvement .11
6.3.1 Analysis for improvement .11
6.3.2 Implementation of improvement .11
Annex A (informative) Conceptual description of the assessment aspects .12
Annex B (informative) Detailed explanation for the CIMM definitions .14
Annex C (informative) Examples of the achievement criteria table (ACT) .18
Annex D (informative) Continual improvement for community infrastructure .21
Bibliography .25
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ISO 37153:2017(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
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electrotechnical standardization.
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 ISO documents 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 shall not be held responsible for identifying any or all such patent rights. Details of
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on the ISO list of patent declarations received (see www.iso.org/patents).
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URL: www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 268, Sustainable cities and communities,
Subcommittee SC 1, Smart community infrastructures.
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ISO 37153:2017(E)
Introduction
The United Nations (UN) sustainable development agenda, “Transforming Our World: The 2030
Agenda for Sustainable Development”, was adopted by world leaders in New York in September 2015.
Through 17 Sustainable Development Goals (SDGs) and 169 targets, this agenda aims to end poverty
and promote prosperity and well-being by 2030, while reducing the adverse impact of human activities
on the environment. The UN SDGs address cities directly through Goal 11, which aims to “Make cities
inclusive, safe, resilient and sustainable”.
According to the SDGs, cities and communities are well positioned as “hubs for idea, commerce, culture,
science, productivity, [and] social development.” At the same time, cities, which are growing rapidly in
many parts of the world, are facing a number of challenges in meeting the needs of their citizens in an
equitable and sustainable way.
As urban populations grow, the demand for community infrastructures such as energy, water,
transportation, waste, and information and communications technology (ICT) will also continue
to grow in the coming decades, driven by major trends such as population growth and increased
urbanization. According to the report “Infrastructure 2030” by the Organization for Economic
Cooperation and Development (OECD), total cumulative infrastructure investment requirements —
for new and improvements to existing community infrastructure — will be approximately $53 trillion
(USD) over the next two decades (2010 to 2030).
The appropriate development of community infrastructure is fundamental to supporting the operations
and activities of communities, while helping communities overcome urban challenges and make
progress in supporting all 17 of the SDGs. It can also play an important role in helping communities
overcome urban challenges. In addition to providing a high quality of service to support a decent
standard of living for all city residents, community infrastructure should also be economically efficient
and endeavour to reduce the environmental impact of urban activity.
In order for communities to develop community infrastructure efficiently, and in a manner that will
enable continual improvements in all aspects of performance, it is helpful to have a tool to gauge the
current level of maturity of community infrastructure relative to desired future improvements. For
such a process, a maturity model is widely recognized as an efficient and effective tool. A maturity
model describes the practices and processes needed at each level to reliably and sustainably achieve
a corresponding level of desired performance. For example, the capability maturity model (CMM) as
presented in the ISO/IEC 15504 series performs this function in the field of software development.
Documents such as ISO 18091 and ISO 37101 also promote a CMM-like framework for local governments
or communities.
This document describes a community infrastructure maturity model (CIMM) and a standardized
approach for the assessment and improvement using the CIMM. The CIMM aids all stakeholders to
understand the level of performance, process and interoperability of community infrastructure and
their contribution to the community, helps them in setting targets for improvement that will guide
investments and helps them to identify gaps in current levels of community infrastructure.
The CIMM can be expressed conceptually as a series of levels, each of which builds off the levels shown
in Figure 1. The details are described in Clauses 4 and 5.
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ISO 37153:2017(E)
Figure 1 — Conceptual expression of community infrastructure maturity model (CIMM)
To promote continual improvements, it is important to make decisions based on a systematic overall
picture of the characteristics of community infrastructure. Therefore, this document provides a
systematic framework for assessment, the CIMM, which includes the five reference levels of maturity in
each of the characteristics of the community infrastructure.
An assessment using the CIMM could be used to compare different communities but can also be used to
make a comparison between the current and future states of infrastructure in a single community by
defining the object and scope of the assessment. For example, in the “Plan-Do-Check-Action (PDCA)” cycle
of development of community infrastructure, this document could be particularly helpful in the “Plan”
and “Check” phases, helping users to assess the current performance, process and interoperability, and
to check progress toward achieving desired improvements.
More specifically, this document supports the following stakeholders:
— citizens
— to improve their quality of life;
— owners of community infrastructure
— to identify which performance characteristics of the infrastructure should be prioritized;
— to identify what technical performance aspects should be given priority for improvement;
— suppliers of community infrastructure
— to determine which community infrastructure products will meet the specified requirements;
— to identify directions for the development of future community infrastructure products and
services;
— operators of community infrastructure
— to determine the current performance of the community infrastructure they operate;
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ISO 37153:2017(E)
— to determine the appropriate performance improvement processes;
— investors
— to determine which types of infrastructure investments will best meet the desired level of
performance;
— city planners or government decision makers
— to assess city planning and identify which infrastructure to prioritize;
— all stakeholders
— to ensure investment in community infrastructure that maximizes performance and minimizes
life-cycle costs;
— to promote the harmonization of the needs of residents, community managers and the
environment;
— to promote the sustainable development and resilience of communities.
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INTERNATIONAL STANDARD ISO 37153:2017(E)
Smart community infrastructures — Maturity model for
assessment and improvement
1 Scope
This document provides the basis, requirements and guidance for a maturity model for the assessment
of technical performance, process and interoperability of community infrastructure(s) as well as its
contribution to the community, and guidance for future improvements.
This document is applicable to
a) all types of community infrastructure, including, but not limited to, energy, water, transportation,
waste and ICT,
b) single types of community infrastructure or multiple types of community infrastructure, and
c) all types of communities, regardless of geographical locations, size, economic structure, stage of
economic development, and
d) all applicable stages of infrastructure life cycle (e.g. planning/design, construction, operation,
decommission).
NOTE Utilization of natural systems, such as green infrastructure, is also considered as one type of
infrastructure.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO/TS 37151:2015, Smart community infrastructures – Principles and requirements for performance metrics
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https://www.iso.org/obp
— IEC Electropedia: available at http://www.electropedia.org/
3.1
maturity model
model derived from one or more specified assessment model(s), that identifies the set of phased
development or progress levels showing the assessment categories for community infrastructure(s)
3.2
maturity level
point on an ordinal scale of community infrastructure maturity that characterizes the maturity of the
community infrastructure assessed in the scope of the maturity model used
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3.3
impact
change to the economy, environment and other community issues, whether adverse or beneficial,
resulting from community infrastructures
3.4
achievement criteria table
table populated with predefined requirements for characteristics to be achieved at the levels, which
consists of sets of characteristics and their maturity levels derived from CIMM
3.5
community infrastructure maturity model
CIMM
maturity model applied to community infrastructure, which provides common maturity level
definitions to assess the community infrastructure
3.6
performance
measurable result
Note 1 to entry: Performance can relate to either quantitative or qualitative findings.
Note 2 to entry: Performance can relate to the management of activities, processes, products (including
strategies, programmers, projects, plans and services), systems or organizations.
[SOURCE: ISO 37101:2016, 3.29]
3.7
process
series of actions or events taking place in a defined manner leading to the accomplishment of an
expected result
Note 1 to entry: “Defined” in this context does not necessarily mean documented. A defined process includes, but
is not limited to, adaptive means.
[SOURCE: ISO/IEC 15944-1:2011, 3.53, modified — Note 1 to entry has been added.]
3.8
interoperability
ability of systems to provide services to and accept services from other systems and to use these
services to enable them to operate effectively together
Note 1 to entry: “Systems” in this context means community infrastructures.
Note 2 to entry: “Services” in this context includes information such as data and knowledge.
[SOURCE: ISO 21007-1:2005, 2.30, modified — the definition has been slightly revised and Notes 1 and
2 to entry have been added.]
3.9
community
group of people with an arrangement of responsibilities, activities and relationships
Note 1 to entry: In the context of this document, a community shares geographic areas.
3.10
community infrastructure
systems of facilities, equipment and services that supports the operations and activities of a community
Note 1 to entry: Community infrastructure includes, but is not limited to, energy, water, transportation, waste
and information and communication technologies (ICT).
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3.11
smart community infrastructure
community infrastructure with enhanced technological performance that is designed, operated and
maintained to contribute to sustainable development and the resilience of the community
[SOURCE: ISO/TS 37151:2015, 3.3]
3.12
sustainability
state of the global system, including environmental, social and economic aspects, in which the needs
of the present are met without compromising the ability of future generations to meet their own needs
Note 1 to entry: The environmental, social and economic aspects interact, are interdependent and are often
referred to as the three dimensions of sustainability.
Note 2 to entry: Sustainability is the goal of sustainable development (3.13).
[SOURCE: ISO Guide 82:2014, 3.1]
3.13
sustainable development
development that meets the environmental, social and economic needs of the present without
compromising the ability of future generations to meet their own needs
Note 1 to entry: Derived from the Brundtland Report.
[SOURCE: ISO Guide 82:2014, 3.2]
3.14
life cycle
consecutive and interlinked stages of a product system, from raw material acquisition or generation
from natural resources to final disposal
[SOURCE: ISO 14044:2006, 3.1]
3.15
metric
defined measurement method and the measurement scale
[SOURCE: ISO/IEC 14598-1:1999, 4.20, modified — Note 1 and Note 2 to entry have been removed.]
3.16
characteristic
distinguishing feature
[SOURCE: ISO 17566:2011, 2.2]
4 Basis of community infrastructure maturity model
4.1 Outline
This document provides requirements and guidance on a methodology to assess the performance,
process and interoperability of community infrastructures and their contribution to community-wide
priorities on five levels based on the community infrastructure maturity model (CIMM), and to identify
improvement points for the levels.
For the assessment and improvement, an achievement criteria table shall be developed and utilized.
Clause 4 provides an overview of the entire methodology, including definitions and requirements.
Clause 5 describes how to develop the achievement criteria table. Clause 6 describes how to utilize the
table for assessment and improvement.
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ISO 37153:2017(E)
4.2 Achievement criteria table
The achievement criteria table of target community infrastructure(s) comprises
— characteristics to assess the performance, process and interoperability of community
infrastructure(s) or their contribution to the community;
— objectives justifying the inclusion of each characteristic;
— five levels of characteristics;
— descriptions or definitions of criteria for those characteristics which define each level.
The CIMM provides reference levels of maturity of the community infrastructure(s). See 4.5 and 5.4.3
for details.
Table 1 outlines the basic structure of an achievement criteria table. Annex C provides examples of the
achievement criteria table (ACT) for community infrastructure.
Table 1 — Basic structure of an achievement criteria table
Characteristics Objectives Level
1 2 3 4 5
CH1 Objective of CH1 Def. Def. Def. Def. Def.
CH2 Objective of CH2 Def. Def. Def. Def. Def.
CH3 Objective of CH3 Def. Def. Def. Def. Def.
… … … … … … …
NOTE 1 “CH1”, “CH2” and “CH3” represent the characteristics.
NOTE 2 “Def.”(“definition”) represents a description of the criteria for the characteristics to be met at each level
of the maturity model. These definitions can be expressed by quantitative, qualitative or descriptive measures.
4.3 Assessment aspects of the community infrastructure
This document provides two aspects for the assessment of the community infrastructure(s) as
shown below.
— Technical assessment: assessment of performance, process and interoperability of community
infrastructure(s) (e.g. capacity of a power generation plant):
— Contribution assessment: assessment of the contribution of community infrastructure(s) to
community-wide priorities (e.g. the unemployment rate of a community affected by a road-building
project).
A technical assessment could be a useful aid as an assessment tool for operators, supervisory authorities
and community infrastructure vendors.
Contribution assessment could be a useful aid as an assessment tool for government decision makers
and development agencies.
Table 2 outlines the conceptual relationship of the two assessment aspects.
NOTE 1 For details on relating community issues to community infrastructure performances, see
ISO/TS 37151:2015, 5.3.
NOTE 2 Annex A provides a more detailed description of the difference between technical assessment and
contribution assessment.
NOTE 3 Community issues are the challenges that the community faces. Obviously, the issues and their
priorities vary between different communities.
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ISO 37153:2017(E)
Table 2 — Relationship between the assessment aspects
Technical assessment Contribution assessment
Characteristics (performance, Contribution of community infrastructures to community-wide issues
process and interoperability of
Impact 1 Impact 2 Impact 3 […]
community infrastructures)
(e.g. gross product of a (e.g. unemployment (e.g. poverty rate of a
community) rate of a community) community)
Characteristic A *** *
(e.g. capacity of services)
Characteristic B ** **
(e.g. investment efficiency of
services)
Characteristic C * ***
(e.g. greenhouse gas emissions
from services)
[…]
NOTE 1 The number of “*” indicates the degree of relations between the performance of the infrastructure listed
in the row and the impact listed in the column.
NOTE 2 Taken from ISO/TS 37151:2015, Table 2, modified.
4.4 Overview of the methodology
The methodology includes the development of an achievement criteria table, a procedure to assess
the target community infrastructure(s), and a procedure to improve the maturity level of the target
community infrastructure. Figure 2 provides an overview of the methodology (see Clauses 5 and 6 for
details). A procedure for the assessment and improvement is described in Clause 6.
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NOTE “++++” means improvement measures for filling the gaps.
Figure 2 — Overview of the methodology
4.5 Community infrastructure maturity model
The community infrastructure maturity model (CIMM) provides the overall picture of the maturity
of the community infrastructure(s) with five reference levels. Table 3 shows generic definitions and
descriptions of the maturity levels in the CIMM.
NOTE Each level assumes that the requirements of the lower levels have been fulfilled.
Table 3 — Generic definition of the community infrastructure maturity model (CIMM)
Level Definition Description
5 Sustainably optimizing Continually improving to satisfy future needs
4 Improving Partially started towards future needs
3 Fulfilled Satisfies current needs in a defined manner
2 Partially fulfilled Needs are identified but not satisfied
1 Initial Not started yet
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ISO 37153:2017(E)
5 Requirements and guidance to develop an achievement criteria table
5.1 General
To develop an achievement criteria table, users (e.g. experts, consultants/city planners or
owners/operators of community infrastructures) should take the following steps:
a) determine the purpose, assessment aspect and target community infrastructure(s);
b) select characteristics that fit the purpose (see 5.3 for details);
c) define the characteristics for each of the five maturity levels in accordance with the CIMMs (see 5.4
for details);
d) organize the characteristics and the maturity levels into the criteria in a table.
Once the achievement criteria table has been developed, other users may use the table for their
assessment needs.
When choosing target infrastructure(s), users may choose anything from a single piece of infrastructure
to multiple infrastructures.
5.2 Guidance to determine purposes
To determine the purpose of the assessment, users should
a) determine the target community (e.g. city, state, nation, region),
b) identify and prioritize the community issues in the target community (e.g. unemployment, poverty,
congestion),
c) identify and analyse the relevant community infrastructure(s) and its impacts on the prioritized
community issues,
d) define the purpose of the assessment and improvement of the community infrastructure(s)
identified in b) in the community determined in a).
To prioritize community issues, users may refer to the following documents depending on the target
communities:
— for a nation, the UN SDGs or a specific national development plan;
— for a region, the UN SDGs or a specific regional development plan;
— for a city, the UN SDGs or a specific urban development plan.
NOTE Community issues are the challenges that the community faces. Obviously, the issues and their
priorities vary between different communities.
5.3 Requirements and guidance to identify characteristics
5.3.1 General
Users shall select characteristics of the community infrastructure(s) in accordance with the purpose of
the assessment and the assessment aspect.
For a technical assessment of community infrastructure(s), users shall select technical characteristics
in accordance with the requirements given in ISO/TS 37151.
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For a contribution assessment, users shall select community-wide characteristics (preferably indicators
or metrics) with societal merits, taking into account the whole function of multiple community
infrastructures, through a comprehensive perspective.
For such characteristics, users should refer to the Sustainable Development Goals (SDGs) adopted by
the United Nations in 2015 or to the
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