ISO/IEC 33020:2019

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