Information technology -- Process assessment -- Process measurement framework for assessment of process capability

This document 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 document 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 framework defined in this document forms 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. This document also includes as informative annexes a set of assessment indicators of process capability that can be used in the construction of a process assessment model using this process measurement framework, and guidance on the meaning of the process capability levels and the achievement of the process attributes.

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
2019-11
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 33020:2019(E)
ISO/IEC 2019
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ISO/IEC 33020:2019(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2019

All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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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CH-1214 Vernier, Geneva
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Fax: +41 22 749 09 47
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO/IEC 2019 – All rights reserved
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ISO/IEC 33020:2019(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 .................................................................................... 3

5.1 General ........................................................................................................................................................................................................... 3

5.2 Process capability levels and process attributes ....................................................................................................... 3

5.2.1 General...................................................................................................................................................................................... 3

5.2.2 Process capability Level 0: Incomplete process.................................................................................... 3

5.2.3 Process capability Level 1: Performed process ..................................................................................... 3

5.2.4 Process capability Level 2: Managed process ......................................................................................... 4

5.2.5 Process capability Level 3: Established process ................................................................................... 5

5.2.6 Process capability Level 4: Predictable process ................................................................................... 6

5.2.7 Process capability Level 5: Innovating process ..................................................................................... 7

5.3 Process attribute rating scale ..................................................................................................................................................... 8

5.4 Process attribute rating method .............................................................................................................................................. 9

5.4.1 General...................................................................................................................................................................................... 9

5.4.2 Rating method R1 ........................................................................................................................................................10

5.4.3 Rating method R2 ........................................................................................................................................................10

5.4.4 Rating method R3 ........................................................................................................................................................10

5.5 Aggregation method ........................................................................................................................................................................10

5.5.1 General...................................................................................................................................................................................10

5.5.2 One dimensional aggregation methods ....................................................................................................11

5.5.3 Two dimensional aggregation methods .................. ..................................................................................11

5.6 Process capability level model ...............................................................................................................................................12

Annex A (informative) Conformity of the process measurement framework ........................................................13

Annex B (informative) Indicators of process capability ................................................................................................................18

Annex C (informative) Guidance on the process measurement framework ............................................................32

Annex D (informative) Example of a process performance model .....................................................................................40

Bibliography .............................................................................................................................................................................................................................42

© ISO/IEC 2019 – All rights reserved iii
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ISO/IEC 33020:2019(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.

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) or the IEC

list of patent declarations received (see http:// patents .iec .ch).

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

constitute an endorsement.

For an explanation of 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 www .iso .org/

iso/ foreword .html.

This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,

Subcommittee SC 7, Software and systems engineering.

This second edition cancels and replaces the first edition (ISO/IEC 33020:2015), which has been

technically revised.
The main changes compared to the previous edition are as follows:

— the definitions of process capability levels and process attributes in 5.2, to improve consistency

with ISO 9001:2015;

— two additional annexes are included, following Annex A; these are numbered as Annex B (Indicators

of process capability) and Annex C (Guidance on the process assessment framework);

— the original Annex B has been relocated as Annex D (Example of a process performance model).

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/ members .html.
iv © ISO/IEC 2019 – All rights reserved
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ISO/IEC 33020:2019(E)
Introduction

This document defines a process measurement framework for the process quality characteristic

of process capability. The process measurement framework in this document 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 document 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 document 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 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 for process assessment are intended to replace and

extend parts of the ISO/IEC 15504 series. This document is intended to replace ISO/IEC 15504-2:2003,

Clause 5. ISO/IEC 33001:2015, Annex A provides a detailed record of the relationship between the

ISO/IEC 330xx family and the ISO/IEC 15504 series.
© ISO/IEC 2019 – All rights reserved v
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INTERNATIONAL STANDARD ISO/IEC 33020:2019(E)
Information technology — Process assessment — Process
measurement framework for assessment of process
capability
1 Scope

This document 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 document 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 framework defined in this document forms 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.

This document also includes as informative annexes a set of assessment indicators of process capability

that can be used in the construction of a process assessment model using this process measurement

framework, and guidance on the meaning of the process capability levels and the achievement of the

process attributes.
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/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.

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/
© ISO/IEC 2019 – All rights reserved 1
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ISO/IEC 33020:2019(E)
3.1
conformity
fulfilment of a requirement

Note 1 to entry: In English the word "conformance" is synonymous but deprecated. In French the word

"compliance" is synonymous but deprecated.
[SOURCE: ISO 9000:2015, 3.6.11, modified — Note 2 to entry has been removed.]
3.2
documented information

information required to be controlled and maintained by an organization and the medium on which it

is contained

Note 1 to entry: Documented information can be in any format and media and from any source.

Note 2 to entry: Documented information can refer to:
— the management system, including related processes;
— information created in order for the organization to operate (documentation);
— evidence of results achieved (records).

Note 3 to entry: This constitutes one of the common terms and core definitions for ISO management system

standards given in Annex SL of the Consolidated ISO Supplement to the ISO/IEC Directives, Part 1.

[SOURCE: ISO 9000:2015, 3.8.6]
3.3
nonconformity
non-conformity
non-fulfillment of a requirement

[SOURCE: ISO/IEC/IEEE 24765:2017, 3.2615, modified — The admitted term "non-conformity" has

been added.]
3.4
process capability

characterization of the ability of a process to meet current or projected business goals

3.5
process capability level

characterisation of a process on an ordinal measurement scale of process capability (3.4)

4 Overview

The process measurement framework for assessment of process capability described in this document

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 process measurement framework for

assessment of process capability shall be conformant with the requirements for process measurement

frameworks in ISO/IEC 33003. Annex A documents the conformance of the measurement framework.

In addition to the definitions of process capability levels and process attributes, this document contains

in Annex B, a set of assessment indicators of process capability comprising generic practices for each

process attribute. The document also includes, in Annex C, detailed guidance on the use and application

of the measurement framework, and in Annex D, an example of a process performance model.

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ISO/IEC 33020:2019(E)

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.

Users of this document may reproduce 5.2, 5.3, 5.4, 5.6 and Annex B as part of any process assessment

model or maturity model so that it can be used for its intended purpose.
5 A process measurement framework for process capability
5.1 General

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
5.2.1 General

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.
5.2.2 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.

5.2.3 Process capability Level 1: Performed process
5.2.3.1 General

The implemented process achieves its process purpose. The following process attribute demonstrates

the achievement of this level.
5.2.3.2 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.
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ISO/IEC 33020:2019(E)
5.2.4 Process capability Level 2: Managed process
5.2.4.1 General

The previously described Performed process is now implemented in a managed fashion (planned,

monitored and adjusted) and its documented information are appropriately established, controlled and

maintained.

The following process attributes, together with the previously defined process attribute, demonstrate

the achievement of this level.
5.2.4.2 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 with necessary resources and competences. As a result of full achievement of

this process attribute:
a) results to be achieved are determined and communicated;

b) risks that can affect performance of the process are determined and addressed;

c) performance of the process is planned, monitored, measured, evaluated and adjusted (as needed);

d) responsibilities and authorities for performing the process are determined, assigned and

communicated;

e) resources necessary for performing the process are determined, provided and maintained

(as needed);

f) person(s) performing the process are competent on the basis of appropriate education, training, or

experience;

g) interfaces between the involved parties are managed to ensure both effective communication and

the level of control expected.

NOTE 1 Results to be achieved can include quality criteria for documented information, process cycle time or

frequency, resource usage and boundaries of the process.

NOTE 2 Techniques for progress monitoring and evaluation can include milestone achievement and percentage

complete towards next milestones, elapsed time compared to estimated time of activities, actual resource usage

compared against planned requirements, experienced people estimate of percentage complete of activities or

work packages, burn down charts representing measurable progress such as outstanding work (or backlog) over

time (or story points).

NOTE 3 Resources include people, infrastructure, and environment for the operation of processes.

Infrastructure can include buildings and associated utilities, equipment (including hardware and software),

transportation resources and information and communication technology. A suitable environment can be a

combination of human and physical factors including social and psychological environmental factors. Resources

include internal and external resources and can include customers and users. The term ‘resources’ is defined in

ISO/IEC/IEEE 24765.

NOTE 4 Applicable actions to acquire necessary competences can include, for example, the provision of

training to, the mentoring of, or the re-assignment of persons, or the hiring or contracting of competent persons.

NOTE 5 Addressing risk establishes a basis for achieving improved results and preventing negative effects.

Actions taken to address risks should be proportionate to the potential impact. Options to address risk can

include avoiding the risk, taking risk in order to pursue an opportunity, eliminating risk source, changing the

likelihood or consequences, sharing the risk, or retaining risk by informed decision.

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ISO/IEC 33020:2019(E)
5.2.4.3 PA 2.2 Documented information management process attribute

The documented information management process attribute is a measure of the extent to which the

documented information produced internally, or acquired from an external source when performing

the process is appropriately managed. As a result of full achievement of this process attribute:

a) requirements for the documented information of the process are determined;
b) requirements for control of the documented information are determined;

c) documented information is appropriately identified, and controlled according to requirements;

d) documented information is reviewed and approved for suitability and adequacy in accordance with

planned arrangements and adjusted as necessary to meet requirements;

e) documented information is determined, maintained and retained to the extent necessary to have

confidence that the process has been performed as planned and to demonstrate the conformity of

products and/or services to their requirements.

NOTE 1 Requirements for the control of documented information can include requirements for the

identification and description, format and media, and control of changes (e.g. version control), distribution,

retrieval and use, storage and preservation, including preservation of legibility, retention and disposition, and

for making it available and suitable for use when and where it is needed.

NOTE 2 The documented information referred to in this clause is that which results from the achievement of

the process purpose through the process outcomes.
5.2.5 Process capability Level 3: Established process
5.2.5.1 General

The previously described Managed process is now implemented using a defined process which is

assured and continually improved.

The following process attributes, together with the previously defined process attributes, demonstrate

the achievement of this level.
5.2.5.2 PA 3.1 Process definition process attribute

The process definition process attribute is a measure of the extent to which a standard process is

established and maintained. As a result of full achievement of this process attribute:

a) a standard process, including appropriate tailoring guidelines, is established and maintained that

describes the fundamental elements that must be incorporated into a defined process;

b) the required inputs and the expected outputs for the standard process are determined;

c) sequence and interaction of the standard process with other processes is determined;

d) roles, competences, responsibilities and authorities for performing the standard process are

determined;
e) resources for performing the standard process are determined;

f) knowledge necessary for the operation of the standard process is determined and maintained.

NOTE Knowledge can be based on internal sources (e.g. intellectual property, knowledge gained from

experience, lessons learned, and the results of improvements in the process) and external sources (e.g. standards,

academia, conferences, customers and external providers).

When addressing changing needs and trends, the need to acquire or access any necessary additional

knowledge and required updates should be considered.
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ISO/IEC 33020:2019(E)
5.2.5.3 PA 3.2 Process deployment process attribute

The process deployment process attribute is a measure of the extent to which a standard process is

deployed as a defined process. As a result of full achievement of this process attribute:

a) a defined process is deployed based upon an appropriately tailored standard process;

b) required roles, responsibilities and authorities necessary for performing the defined process are

assigned and communicated;

c) required person(s) necessary for performing the defined process are competent on the basis of

defined education, training and experience;

d) required resources necessary for performing the defined process are made available, monitored

and measured;

e) documented information is available to ensure that the defined process achieves its intended

results.

NOTE 1 Responsibilities and authorities are normally assigned to roles or actors in the processes.

NOTE 2 Appropriate tailoring includes deploying the standard process as is.
5.2.5.4 PA 3.3 Process assurance process attribute

The process assurance process attribute is a measure of the extent to which the defined process is

assured and continually improved. As a result of full achievement of this process attribute:

a) appropriate data and information are collected and analysed from monitoring and measurement

of the process to evaluate the effectiveness and risks of the process, and to identify needs and

opportunities for improvement;

b) criteria and methods needed to ensure effective operation and control, and continuing suitability,

adequacy, effectiveness and risks of the process are determined and evaluated;

c) conformity of the defined process (and associated activities, outputs and documented information)

is objectively assured;

d) action is taken on any nonconformity, based on its nature and effect, and tracked to closure;

e) the standard process is continually improved based on identified needs and opportunities.

Documented information should be retained of any nonconformities describing actions taken,

concessions obtained, and authority deciding action in respect on the nonconformity. Documented

information reviews include management reviews

NOTE Action in dealing with nonconformity can include any of the following a) correction b) segregation,

containment or suspension of products or services c) informing the customer d) obtaining authorization for

acceptance under concession e) evaluating the need for and eliminating causes in order to prevent re- occurrence.

Any action taken to adjust the performance of the process will be managed in the scope of the Performance

Management process attribute (PA2.1).
5.2.6 Process capability Level 4: Predictable process
5.2.6.1 General

The previously described Established process is now performed predictively. Quantitative management

needs are identified, me
...

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