ISO/IEC 33020:2019

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

General Information

• Status: Published
• Publication Date: 20-Nov-2019
• ICS: 35.080 - Software
• Technical Committee: ISO/IEC JTC 1/SC 7 - Software and systems engineering
• Drafting Committee: ISO/IEC JTC 1/SC 7/WG 10 - Process assessment
• Current Stage: 9060 - Close of review
• Completion Date: 04-Jun-2030

Relations

• Consolidated By: ISO 23936-4:2024 - Oil and gas industries including lower carbon energy - Non-metallic materials in contact with media related to oil and gas production - Part 4: Fiber-reinforced composite materials
• Effective Date: 19-Aug-2023
• Revises: ISO/IEC 33020:2015 - Information technology - Process assessment - Process measurement framework for assessment of process capability
• Effective Date: 23-Apr-2020

Overview - What ISO/IEC 33020:2019 covers

ISO/IEC 33020:2019 specifies a process measurement framework for assessment of process capability. It defines a schema that developers can use to build process assessment models (conformant with ISO/IEC 33004) and to perform capability assessments in line with ISO/IEC 33002 and the requirements of ISO/IEC 33003. The framework describes how to measure a process’s ability to consistently meet current or projected business goals and produces process attribute ratings (process profiles) and a derived process capability level.

Key technical topics and requirements

• Process capability definition: Capability is characterized on a six‑point ordinal scale from Level 0 (Incomplete) to Level 5 (Innovating), describing progression from failing to meet process purpose to continual improvement and adaptability.
• Process attributes and outcomes: Capability is measured by defined process attributes; each attribute is expressed as a set of measurable outcomes used to evaluate achievement.
• Rating scales and methods: The framework defines a process attribute rating scale and formal rating methods (referenced as R1, R2, R3) to assess attribute achievement.
• Aggregation and capability derivation: Methods for aggregating attribute ratings (one‑ and two‑dimensional approaches) are included to derive process capability levels and produce consistent process profiles.
• Conformance and guidance: Annexes supply assessment indicators (informative generic practices), guidance on capability levels and attribute achievement, and an example process performance model. The framework conforms to ISO/IEC 33003 requirements for process measurement frameworks.

Practical applications - who uses this standard and why

• Developers of process assessment models: Use the framework to construct ISO‑conformant assessment models and tooling.
• Lead assessors and assessment teams: Apply the rating methods and indicators to perform objective capability assessments.
• Process improvement and quality teams: Use assessment results (process profiles and capability levels) for targeted improvement plans, benchmarking, and process quality determination.
• Organizational stakeholders and sponsors: Leverage capability ratings for governance, risk identification, and strategic planning.
• Auditors and compliance professionals: Reference the framework when evaluating process capability across domains and organization sizes.

Practical benefits include facilitating self‑assessment, enabling benchmarking, supporting continuous improvement, and providing a repeatable basis for assessing process maturity and capability.

Related standards

• ISO/IEC 33001 - Concepts and terminology for process assessment
• ISO/IEC 33002 - Requirements for performing process assessments
• ISO/IEC 33003 - Requirements for process measurement frameworks
• ISO/IEC 33004 - Constructing process assessment models
• (Links to ISO/IEC 330xx family and ISO 9001 alignment are noted in the standard)

Keywords: ISO/IEC 33020:2019, process measurement framework, process capability assessment, process attribute ratings, process capability levels, process assessment model, process profile.

Standards Content (Sample)

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 2019
© 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
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: [phone]
Fax: [phone]
Email: [e-mail]
Website: www.iso.org
Published in Switzerland
ii © ISO/IEC 2019 – All rights reserved

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

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

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

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

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.
2 © ISO/IEC 2019 – All rights reserved

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.
© ISO/IEC 2019 – All rights reserved 3

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.
4 © ISO/IEC 2019 – All rights reserved

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.
© ISO/IEC 2019 – All rights reserved 5

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, measurement data are collected and analysed to identify assignable causes of
variation. Corrective action is taken to address assignable causes of variation.
The following process attributes, together with the previously defined process attributes, demonstrate
the achievement of this level.
6 © ISO/IEC 2019 – All rights reserved

5.2.6.2 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) process information needs in support of relevant defined quantitative business goals are
established;
b) process measurement objectives are derived from process information needs;
c) measurable relationships between process elements that contribute to the process performance
are identified;
d) quantitative objectives for process performance are established to support relevant business goals;
e) appropriate measures and frequency of measurement are identified and defined in line with
process measurement objectives and quantitative objectives for process performance;
f) techniques for analysing the collected data are selected;
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 can be either process measures or product measures or both.
NOTE 3 Techniques for quantitative data analysis can include statistical and mathematical methods — data
tabulation, descriptive data, data aggregation/disaggregation and other advanced analytical methods such as
correlation, analysis of variance and regression.
5.2.6.3 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 and control process performance that is predictable. As a result of full achievement of this
process attribute:
a) assignable causes of process variation are determined through analysis of the collected data;
b) distributions that characterize the performance of the process are established;
c) corrective actions are taken to address assignable causes of variation;
d) separate distributions are established (as necessary) for analysing the process under the influence
of assignable causes of variation;
e) process performance data are used to develop predictors of process outcomes.
5.2.7 Process capability Level 5: Innovating process
5.2.7.1 General
The previously described Predictable process is now continually improved to respond to changes
through identified innovative approaches for process innovation.
NOTE Innovation can involve the adoption of wholly new processes and methods, new technologies that
require different processes, or others.
The following process attribute, together with the previously defined process attributes, demonstrates
the achievement of this level.
© ISO/IEC 2019 – All rights reserved 7

5.2.7.2 PA 5.1 Process innovation process attribute
The process innovation process attribute is a measure of the extent to which changes to the definition,
management and performance of the process are identified and effectively implemented from identified
innovative approaches for process innovation using internal resources and/or using external ideas
according to defined process innovation objectives.
As a result of full achievement of this process attribute:
a) process innovation objectives for the process are defined that support the relevant business goals;
b) appropriate data are analysed to identify opportunities for best practice and 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;
e) impact of all proposed changes is assessed against the objectives of the defined process and
standard process;
f) implementation of all agreed changes is managed to ensure that any disruption to the process
performance is understood and acted upon;
g) effectiveness of process change on the basis of actual performance is evaluated against the defined
product requirements and process and innovation objectives.
5.3 Process attribute rating scale
Within this process measurement framework, a process attribute is a measurable 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:
8 © ISO/IEC 2019 – All rights reserved

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
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
5.4.1 General
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.
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5.4.2 Rating method R1
The approach to process attribute rating shall satisfy the following conditions:
a) each process outcome of each process within the scope of the assessment shall be characterized for
each process instance, based on validated data;
b) each process attribute outcome of each process attribute for each process within the scope of the
assessment shall be characterised for each process instance, based on validated data;
c) process outcome characterisations for all assessed process instances shall be aggregated to provide
a process performance attribute achievement rating;
d) process attribute outcome characterisations for all assessed process instances shall be aggregated
to provide a process attribute achievement rating.
5.4.3 Rating method R2
The approach to process attribute rating shall satisfy the following conditions:
a) each process attribute for each process within the scope of the assessment shall be characterized
for each process instance, based on validated data;
b) process attribute characterisations for all assessed process instances shall be aggregated to
provide a process attribute achievement rating.
5.4.4 Rating method R3
Process attribute rating across assessed process instances shall be made without aggregation.
5.5 Aggregation method
5.5.1 General
When performing an assessment, ratings may be summarised across one or two dimensions.
For example, when rating a
— process attribute for a given process, one may aggregate ratings of the associated process (attribute)
outcomes — such an aggregation will be performed as a vertical aggregation (one dimension).
— process (attribute) outcome for a given process attribute across multiple process instances, one
may aggregate the ratings of the associated process instances for the given process (attribute)
outcome — such an aggregation will be performed as a horizontal aggregation (one dimension).
— process attribute for a given process, one may aggregate the ratings of all the process (attribute)
outcomes for all the processes instances — such an aggregation will be performed as a matrix
aggregation across the full scope of ratings (two dimensions).
The use of aggregation of ratings may vary according to the class, scope and context of an assessment.
The lead assessor shall decide which (if any) aggregation method to use. The selected aggregation
method(s) shall be specified in the assessment input and referenced in the assessment report.
As described in 5.3, process attributes are rated using an ordinal scale. The assessor may choose to
apply expert judgement to summarize the ratings without employing a formal mathematical approach,
alternatively an aggregation method may be used. An aggregation approach requires that the ordinal
ratings be converted to interval values in order to perform aggregation. The validity of this conversion
[1]
from ordinal ratings to interval values is dependent on two conditions :
a) The ordinal scale must be sufficiently constrained that the ordinal values are reasonably evenly
spread. The rating scale defined in this document meets the requirement of being evenly spread.
10 © ISO/IEC 2019 – All rights reserved

b) There must be evidence of adequate sample size to assure adequate accuracy of the ordinal values.
This condition is met for class 1 and class 2 assessments, both of which are sufficiently rigorous to
require an adequate sample size.
Since these conditions are met, then the ordinal ratings can be converted to interval values as follows:
N -> 0; P -> 1; L -> 2; F -> 3 or
N -> 0; P- -> 1; P+ -> 2; L- -> 3; L+ -> 4; F -> 5
5.5.2 One dimensional aggregation methods
5.5.2.1 General
Having converted the ordinal ratings to interval values, one of the following one dimensional
aggregation methods may be used to obtain a summary rating.
5.5.2.2 One dimensional aggregation using arithmetic mean
Aggregation may be performed by computing the arithmetic mean (average) of the ratings of the
interval values, rounding the result to the nearest integer (by rounding up or down), and converting
the result back to the corresponding ordinal rating. When rounding is necessary the interval value
will be rounded down to the nearest integer when the average value is less than the midpoint between
consecutive integers; it will be rounded up if the average value is at or above the midpoint between
consecutive integers.
5.5.2.3 One dimensional aggregation using median
Aggregation may be performed by computing the median (middle value) of the ratings of the interval
values, the given data is arranged in order from lowest to highest. If there is an odd number of data
then the median is the middle value. If there is an even number of data then the two middle values are
selected and the arithmetic mean (average) taken. If there is an even number of ratings and the process
of taking an average of the two middle values results in real number, then the number is rounded to an
integer value using the rules above.
NOTE The operation of taking the mean is mathematically valid since we are dealing with interval data.
5.5.3 Two dimensional aggregation methods
5.5.3.1 General
In an assessment when there are multiple process instances being assessed, then it may be necessary to
summarize the ratings across two dimensions.
For example, for a given process, the process outcomes of several process instances assessed may be
aggregated to form an overall process attribute rating.
As noted in 5.5.2, this may be accomplished using the expert judgement of the assessor(s) or it may be
accomplished using an aggregation method. Use of expert judgement should not be ruled out since there
may be situations where a small number of process instances may be outliers (for example, projects
initiated before a process improvement project, or when a small number of projects do not support the
rigour of a formal process). Having converted the ordinal ratings to interval values, one of the following
two dimensional aggregation methods may be used to obtain a summary rating.
5.5.3.2 Two dimensional aggregation using arithmetic mean
Aggregation may be performed by computing the arithmetic mean across the matrix of the full scope
of ratings (expressed as numeric interval values) and converting the result back to the corresponding
ordinal rating.
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