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

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Status
Published
Publication Date
10-Dec-2017
Current Stage
9092 - International Standard to be revised
Start Date
26-Nov-2021
Completion Date
26-Nov-2021
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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 2017, Published in Switzerland

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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

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

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

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www.iso.org/patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO's adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following

URL: www.iso.org/iso/foreword.html.

This document was prepared by Technical Committee ISO/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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ISO 37153:2017(E)
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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ISO 37153:2017(E)
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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ISO 37153:2017(E)
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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ISO 37153:2017(E)

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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