1、BSI Standards Publication Information technology Process assessment Process measurement framework for assessment of process capability BS ISO/IEC 33020:2015National foreword This British Standard is the UK implementation of ISO/IEC 33020:2015. Together with BS ISO/IEC 33002:2015, BS ISO/IEC 33003:20
2、15, and BS ISO/IEC 33004 it supersedes BS ISO/IEC 15504-2:2003 which will be withdrawn upon publication of the full series. The UK participation in its preparation was entrusted to Technical Committee IST/15, Software and systems engineering. A list of organizations represented on this committee can
3、 be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. The British Standards Institution 2015. Published by BSI Standards Limited 2015 ISBN 978 0 580 74311 5 ICS 35.080 Comp
4、liance with a British Standard cannot confer immunity from legal obligations. This British Standard was published under the authority of the Standards Policy and Strategy Committee on 31 May 2015. Amendments/corrigenda issued since publication Date Text affected BRITISH STANDARD BS ISO/IEC 33020:201
5、5Information technology Process assessment Process measurement framework for assessment of process capability Technologies de linformation valuation du processus Cadre de mesure du processus pour valuer la capacit du processus INTERNATIONAL STANDARD ISO/IEC 33020 Reference number ISO/IEC 33020:2015(
6、E) Second edition 2015-03-01 ISO/IEC 2015 BS ISO/IEC 33020:2015 ii ISO/IEC 2015 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2015 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic o
7、r 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 ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22
8、 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ISO/IEC 33020:2015(E) BS ISO/IEC 33020:2015 ISO/IEC 33020:2015(E)Foreword iv Introduction v 1 Scope . 1 2 Normative references 1 3 T erms and definitions . 1 4 Overview . 2 5 A process measurement frame
9、work for process capability 2 5.1 Introduction 2 5.2 Process capability levels and process attributes . 2 5.2.1 Process capability Level 0: Incomplete process 2 5.2.2 Process capability Level 1: Performed process . 2 5.2.3 Process capability Level 2: Managed process . 3 5.2.4 Process capability Leve
10、l 3: Established process . 4 5.2.5 Process capability Level 4: Predictable process . 4 5.2.6 Process capability Level 5: Innovating process . 5 5.3 Process attribute rating scale . 6 5.4 Process attribute rating method 7 5.4.1 Rating method R1 . 7 5.4.2 Rating method R2 . 8 5.4.3 Rating method R3 .
11、8 5.5 Aggregation method . 8 5.5.1 One dimensional aggregation methods . 9 5.5.2 Two dimensional aggregation methods . 9 5.6 Process capability level model 9 Annex A (informative) Conformity of the process measurement framework 11 Annex B (informative) Example of a process performance model .16 Bibl
12、iography .18 ISO/IEC 2015 All rights reserved iii Contents Page BS ISO/IEC 33020:2015 ISO/IEC 33020:2015(E) Foreword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide standardization. National bo
13、dies 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
14、 international organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the field of information technology, ISO and IEC have established a joint technical committee, ISO/IEC JTC 1. The procedures used to develop this document and those intended f
15、or 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/di
16、rectives). 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 wil
17、l 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 meaning of ISO specific terms and expres
18、sions related to conformity assessment, as well as information about ISOs adherence to the WTO principles in the Technical Barriers to Trade (TBT) see the following URL: Foreword - Supplementary information The committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 7, S
19、oftware and systems engineering. This second edition cancels and replaces Clause 5 of ISO/IEC 15504-2:2004, which has been technically revised.iv ISO/IEC 2015 All rights reserved BS ISO/IEC 33020:2015 ISO/IEC 33020:2015(E) Introduction This International Standard defines a process measurement framew
20、ork for the process quality characteristic of process capability. The process measurement framework in this International Standard 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
21、assessment of process capability, as specified in ISO/IEC 33004. This International Standard 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 s
22、ponsor of the assessment, who need to be assured that the requirements of this process measurement framework have been met. This International Standard is part of a set of International Standards designed to provide a consistent and coherent framework for the assessment of process quality characteri
23、stics, based on objective evidence resulting from implementation of the processes. The framework for assessment covers processes employed in the development, maintenance and use of systems across the information technology domain and those employed in the design, transition, delivery and improvement
24、 of services. 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 Inte
25、rnational 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 assess
26、ment 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 of standards for process assessment are intended to replace and extend parts of the ISO/IEC 15504 series of Standards. This Inte
27、rnational Standard is intended to replace Clause 5 of ISO/IEC 15504-2:2004. ISO/IEC 33001:2014, Annex A provides a detailed record of the relationship between the ISO/IEC 330xx family and the ISO/IEC 15504 series. ISO/IEC 2015 All rights reserved v BS ISO/IEC 33020:2015 Information technology Proces
28、s assessment Process measurement framework for assessment of process capability 1 Scope This International Standard 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 prov
29、ides a schema that can be used to construct a process assessment model conformant with ISO/IEC 33004 4which can be used in the performance of assessment of process capability according to the requirements of ISO/IEC 33002 3 . In the context of this and related standards, process capability is a proc
30、ess quality characteristic related to the ability of a process to consistently meet current or projected business goals. The process measurement frameworks defined in this International Standard form a structure which a) facilitates self-assessment, b) provides a basis for use in process improvement
31、 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. NOTE Copyright release: Users of this International Standard may re
32、produce subclauses 5.2, 5.3, 5.4 and 5.6 as part of any process assessment model or maturity model so that it can be used for its intended purpose. 2 Normative references The following documents, in whole or in part, are normatively referenced in this document and are indispensable for its applicati
33、on. 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 assessme
34、nt Requirements for process measurement frameworks 3 T erms a nd definiti ons For the purposes of this document, the terms and definitions given in ISO/IEC 33001 and the following apply. 3.1 process capability characterization of the ability of a process to meet current or projected business goals 3
35、.2 process capability level characterisation of a process on an ordinal measurement scale of process capability INTERNATIONAL ST ANDARD ISO/IEC 33020:2015(E) ISO/IEC 2015 All rights reserved 1 BS ISO/IEC 33020:2015 ISO/IEC 33020:2015(E) 4 Overview The capability to perform a process to a specific le
36、vel of performance depends on well established principles. This International Standard sets out those principles that are common to all domains. The process capability measurement framework described in this International Standard is expressed in terms of a set of process attributes. Each process at
37、tribute 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 pr
38、ocess outcomes) to Innovating (in which the process is continually improved to respond to organizational change). 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
39、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
40、given process capability level, simply that it is capable of performing its processes at that level. 5 A process measurement framework for process capability 5.1 Introduction This clause defines a process measurement framework for the assessment of process capability, conformant with the requirement
41、s 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 d
42、efines 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
43、 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 Process capability is defined on a six point ordinal scale that enables capability to be assessed from the bottom
44、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. 5.2.1 Process capability Level
45、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. 5.2.2 Process capability Level 1: Performed process The implemented process achieves its process purpose.
46、The following process attribute demonstrates the achievement of this level.2 ISO/IEC 2015 All rights reserved BS ISO/IEC 33020:2015 ISO/IEC 33020:2015(E) 5.2.2.1 PA 1.1 Process performance process attribute The process performance process attribute is a measure of the extent to which the process pur
47、pose is achieved. As a result of full achievement of this process attribute: a) The process achieves its defined process outcomes. 5.2.3 Process capability Level 2: Managed process The previously described Performed process is now implemented in a managed fashion (planned, monitored and adjusted) an
48、d its work products are appropriately established, controlled and maintained. The following process attributes, together with the previously defined process attribute, demonstrate the achievement of this level: 5.2.3.1 PA 2.1 Performance management process attribute The performance management proces
49、s attribute is a measure of the extent to which the performance of the process is managed. As a result of full achievement of this process attribute: a) Objectives for the performance of the process are identified; b) Performance of the process is planned; c) Performance of the process is monitored; d) Performance of the process is adjusted to meet plans; e) Responsibilities and authorities for performing the process are defined, assigned and communicated; f) Personnel performing the process are prepared for executing their
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