ISO/IEC TR 15504-5:1999
(Main)Information technology — Software Process Assessment — Part 5: An assessment model and indicator guidance
Information technology — Software Process Assessment — Part 5: An assessment model and indicator guidance
Technologies de l'information — Évaluation de processus de logiciel — Partie 5: Un modèle d'évaluation et guide des indicateurs
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Standards Content (Sample)
TECHNICAL ISO/IEC
REPORT TR 15504-5
First edition
1999-05-01
Information technology — Software
process assessment —
Part 5:
An assessment model and indicator guidance
Technologies de l'information — Évaluation de processus de logiciel —
Partie 5: Un modèle d'évaluation et guide des indicateurs
Reference number
B C
ISO/IEC TR 15504-5:1999(E)
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ISO/IEC TR 15504-5:1999(E)
Contents
1 Scope .1
2 Normative references .1
3 Terms and definitions .1
4 Overview of the exemplar assessment model.2
4.1 Introduction.2
4.2 Structure of the assessment model.3
4.2.1 Indicators of process performance – the process dimension .3
4.2.2 Indicators of process capability – the capability dimension.4
4.3 Principles of the assessment model.4
4.4 The view of process performance – the process dimension .4
4.5 The view of process capability – the capability dimension.5
4.6 Use of indicators in rating processes.7
4.7 Identification.8
4.7.1 Identification for elements of the assessment model.8
4.7.2 Work product identification .8
5 The process dimension.8
5.1 Primary life cycle processes.11
5.1.1 Customer-Supplier Process Category (CUS).11
5.1.2 Engineering process category (ENG) .18
5.2 Supporting life cycle processes.25
5.2.1 Support process category (SUP) .25
5.3 Organizational life cycle processes.33
5.3.1 Management process category (MAN) .33
5.3.2 Organization process category (ORG) .37
© ISO/IEC 1999
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ISO/IEC TR 15504-5:1999(E)
6 The capability dimension. 45
6.1 Level 0: Incomplete process. 45
6.2 Level 1: Performed process. 45
6.2.1 PA 1.1 Process performance attribute. 46
6.3 Level 2: Managed process. 46
6.3.1 PA 2.1 Performance management attribute . 46
6.3.2 PA 2.2 Work product management attribute. 46
6.4 Level 3: Established process . 47
6.4.1 6PA 3.1 Process definition attribute . 47
6.4.2 PA 3.2 Process resource attribute . 48
6.5 Level 4: Predictable process . 48
6.5.1 PA 4.1 Measurement attribute . 48
6.5.2 PA 4.2 Process control attribute . 49
6.6 Level 5: Optimizing process. 49
6.6.1 PA 5.1 Process change attribute. 49
6.6.2 PA 5.2 Continuous improvement attribute. 50
7 Compatibility with the reference model . 50
7.1 Introduction. 50
7.2 Model purpose . 50
7.3 Model scope . 51
7.4 Model elements and indicators . 51
7.5 Mapping . 51
7.6 Translation . 52
Annex A (informative) Processes and associated work products . 53
Annex B (informative) Indicators of process capability . 69
Annex C (informative) Work products and their characteristics . 93
Annex D (informative) Style guide for defining base practices. 120
Annex E (informative) Style guide for defining management practices . 121
Bibliography. 123
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© ISO/IEC
ISO/IEC TR 15504-5:1999(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.
In the field of information technology, ISO and IEC have established a joint technical committee, ISO/IEC JTC 1.
The main task of technical committees is to prepare International Standards, but in exceptional circumstances a
technical committee may propose the publication of a Technical Report of one of the following types :
type 1, when the required support cannot be obtained for the publication of an International Standard, despite
repeated efforts ;
type 2, when the subject is still under technical development or where for any other reason there is the future
but not immediate possibility of an agreement on an International Standard ;
type 3, where a technical committee has collected data of a different kind from that which is normally published
as an International Standard (“state of the art”, for example).
Technical Reports of types 1 and 2 are subject to review within three years of publication, to decide whether they
can be transformed into International Standards. Technical Reports of type 3 do not necessarily have to be
reviewed until the data they provide are considered to be no longer valid or useful.
ISO/IEC TR 15504-5, which is a Technical Report of type 2, was prepared by Joint Technical Committee ISO/IEC
JTC 1, Information technology, Subcommittee SC7, Software engineering.
ISO/IEC TR 15504 consists of the following parts, under the general title Information technology — Software
process assessment:
— Part 1: Concepts and introductory guide
— Part 2: A reference model for processes and process capability
— Part 3: Performing an assessment
— Part 4: Guide to performing assessments
— Part 5: An assessment model and indicator guidance
— Part 6: Guide to competency of assessors
— Part 7: Guide for use in process improvement
— Part 8: Guide for use in determining supplier process capability
— Part 9: Vocabulary
Annexes A to E of this part of ISO/IEC TR 15504 are for information only.
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ISO/IEC TR 15504-5:1999(E)
Introduction
This part of ISO/IEC TR 15504 provides an example of assessment model for supporting process assessment. It
also contains guidance of good software engineering practices to be considered when interpreting the intent of the
reference model defined in ISO/IEC TR 15504-2. This guidance is provided in the form of indicators contained in
this assessment model. These indicators may also be used when performing a process improvement program or to
help evaluate and select an assessment model, method, methodology or tools.
An integral part of conducting an assessment is to use a model constructed for that purpose, compatible with the
reference model defined in ISO/IEC TR 15504-2. The reference model cannot be used alone as the basis for
conducting reliable and consistent assessments of process capability since the level of detail is not sufficient. The
descriptions of process purpose and capability attributes in the reference model need to be supported with a
comprehensive set of indicators of process performance and process capability. Used in this way, in conjunction
with a reliable method, consistent and repeatable ratings of process capability will be possible.
This assessment model is compatible with the reference model described in ISO/IEC TR 15504-2. As an example, it
embodies the core characteristics that could be expected of any compatible assessment model. Use of this
assessment model is not required to meet the requirements of this ISO/IEC TR 15504; other models meeting the
requirements of ISO/IEC TR 15504-2 may be used in a conformant assessment.
Within this part of ISO/IEC TR 15504 :
clause 4 provides a detailed description of the structure and key components of the assessment model;
clause 5 uses the definitions from ISO/IEC TR 15504-2, categorizing processes into 3 life cycle process
groupings, five process categories and describing each process in terms of its purpose. It expands these
definitions by including a set of base practices for each process. Annex A is directly linked to this clause as it
continues the work of defining indicators of process performance by associating work products with each
process. Annex C is also linked directly to annex A as it defines the work product characteristics;
clause 6 repeats the definitions of the capability levels and process attributes from ISO/IEC TR 15504-2, that
describe the capability of processes. It expands these definitions through the inclusion of sets of management
practices for each attribute. Annex B is directly linked to this clause as it completes the work of defining
indicators of process capability by associating practice performance characteristics and, resource and
infrastructure characteristics to each management practices;
clause 7 contains a declaration that the assessment model is compatible with the reference model and fully
meets the requirements defined in ISO/IEC TR 15504-2;
annex A contains the input and output work products associated with each process in this assessment model;
annex B contains the process performance, resources and infrastructure characteristics and related processes
associated with each management practice;
annex C contains the characteristics for each work product;
annex D contains a style guide for defining base practices;
annex E contains a style guide for defining management practices;
the Bibliography contains a list of informative references.
Annexes A to E of this part of ISO/IEC TR 15504 are for information only.
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TECHNICAL REPORT © ISO/IEC ISO/IEC TR 15504-5:1999(E)
Information technology — Software process assessment —
Part 5:
An assessment model and indicator guidance
1 Scope
This part of ISO/IEC TR 15504 :
defines an example of assessment model that meets the requirements of ISO/IEC TR 15504 and that supports
the performance of an assessment by providing indicators for guidance on the interpretation of the process
purposes and process attributes defined in ISO/IEC TR 15504-2;
provides guidance, by example, on the definition, selection and use of assessment indicators.
Any model meeting the requirements of ISO/IEC TR 15504-2 may be used for assessment. Different models and
methods may be needed to address differing business needs. The assessment model in this part of
ISO/IEC TR 15504 is provided as an example of a compatible model.
The indicators are used as guides in collecting the objective evidence that enables an assessor to assign ratings to
process attributes. The set of indicators included in this part of ISO/IEC TR 15504 is not intended to be an all
inclusive set nor is it intended to be applicable in its entirety. Subsets that are appropriate to the context and scope
of the assessment should be selected, and possibly augmented with additional indicators.
By providing the assessment model, this part of ISO/IEC TR 15504 is directed at assessment sponsors and
competent assessors who wish to select a model, and associated method, for assessment (for either capability
determination or process improvement). Additionally it may be of use to model developers in the construction of a
compatible model, by providing examples of good software engineering practice.
2 Normative references
The following normative documents contain provisions which, through reference in this text, constitute provisions of
this part of ISO/IEC TR 15504. For dated references, subsequent amendments to, or revisions of, any of these
publications do not apply. However, parties to agreements based on this part of ISO/IEC TR 15504 are encouraged
to investigate the possibility of applying the most recent editions of the normative documents indicated below. For
undated references, the latest edition of the normative document referred to applies. Members of ISO and IEC
maintain registers of currently valid International Standards.
ISO/IEC TR 15504-2:1998, Information technology — Software process assessment — Part 2: A reference model
for processes and process capability.
ISO/IEC TR 15504-9:1998, Information technology — Software process assessment — Part 9: Vocabulary.
3 Terms and definitions
For the purposes of this part of ISO/IEC TR 15504, the terms and definitions given in ISO/IEC TR 15504-9 and the
following definitions apply.
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3.1
attribute indicator
an assessment indicator that supports the judgement of the extent of achievement of a specific process attribute
3.2
base practice
a software engineering or management activity that, when consistently performed, contributes to achieve the
purpose of a particular process
3.3
management practice
a management activity or task that addresses the implementation or institutionalisation of a specific process
attribute
3.4
tailored process
a defined process developed by tailoring a standard process definition.
4 Overview of the exemplar assessment model
4.1 Introduction
This part of ISO/IEC TR 15504 provides an exemplar assessment model that includes examples of appropriate
indicators.
The reference model defined in ISO/IEC TR 15504-2 provides a common basis for performing assessments of
software process capability, allowing for the reporting of results using a common rating scale.
The reference model defines a two-dimensional model of process capability. In one dimension, the process
dimension, the processes associated with software are defined and classified into five process categories. In the
second dimension, the capability dimension, a series of process attributes grouped into capability levels are defined.
The process attributes provide the measurable characteristics of process capability.
The reference model cannot be used alone as the basis for conducting reliable and consistent assessments of
process capability since the level of detail provided is not sufficient. The descriptions of process purpose and
process attributes in the reference model need to be supported with comprehensive sets of indicators of process
performance and capability.
The exemplar assessment model defined in this part of ISO/IEC TR 15504 is based upon and is compatible with the
reference model, and can be used as the basis for conducting an assessment of software process capability.
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ISO/IEC TR 15504-5:1999(E)
In order to meet the requirements of ISO/IEC TR 15504, a documented process supporting the requirements of
ISO/IEC TR 15504-3 is also required. This need may be met, for example, by the adoption of a supportive method
for conducting assessments (see Figure 1). The definition of an example method is outside the scope of this part of
ISO/IEC TR 15504.
4.2 Structure of the assessment model
This clause describes the structure of the model and its key components. Clause 5, together with its associated
annexes A and C, describes the components of the process dimension and clause 6, with its associated annex B,
describes the components of the capability dimension. Clause 7 provides a demonstration of compatibility that fully
meets the requirements of ISO/IEC TR 15504-2.
The basic structure of this assessment model is identical to that of the reference model defined in
ISO/IEC TR 15504-2. There is a one to one correspondence between the process categories, processes, purpose
statements, process capability levels and process attributes of the reference model and those of this assessment
model.
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Figure 2 — Relationship between the reference model and the assessment model
This assessment model expands the reference model by adding the definition and use of assessment indicators
(see Figure 2). Assessment indicators are defined to support an assessor’s judgement of the performance and
capability of an implemented process.
4.2.1 Indicators of process performance – the process dimension
Base practices, input and output work products and their associated characteristics relate to the processes defined
in the process dimension of the reference model, and are chosen to explicitly address the achievement of the
defined process purpose.
The base practices and work products are indicators of a level 1 process performance. The presence of the work
products with the existence of the characteristics of the work products, and evidence of performance of the base
practices, provide objective evidence of the achievement of the purpose of the process.
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4.2.2 Indicators of process capability – the capability dimension
Management practices relate to the process attributes defined in the process capability dimension of the reference
model. Evidence of their effective performance supports the judgement of the degree of achievement of the
attribute. Management practices are the principal indicators of process capability.
Management practices are linked with attribute indicator sets which are:
a) practice performance characteristics that provide guidance on the implementation of the practice;
b) resource and infrastructure characteristics that provide mechanisms for assisting in the management of the
process; and
c) associated processes from the process dimension that support the management practice.
The set of management practices is intended to be applicable to all processes in the process dimension of the
model. Evidence of the performance of the defined management practices can be derived from the practice
performance characteristics. The practice performance characteristics and resource & infrastructure characteristics
help to establish objective evidence of the extent of achievement of the specified process attribute.
4.3 Principles of the assessment model
The assessment model is based on the principle that the capability of a process can be assessed by demonstrating
the achievement of process attributes. Each process in the process dimension has a set of associated base
practices, the performance of which provides an indication of the extent of achievement of the process purpose.
Similarly, each process attribute in the capability dimension has a set of associated management practices, the
performance of which provides an indication of the extent of achievement of the attribute in the instantiated process.
The indicators defined in the assessment model represent types of objective evidence that might be found in an
instantiation of a process and therefore could be used to judge achievement of capability.
4.4 The view of process performance – the process dimension
The assessment model groups the processes in the process dimension into five process categories, according to
the type of activity they address. The groupings are identical to those in the reference model defined in
ISO/IEC TR 15504-2.
The Customer-Supplier process category (CUS) consists of processes that directly impact the customer, support
development and transition of the software to the customer, and provide for the correct operation and use of the
software product and/or service.
The Engineering process category (ENG) consists of processes that directly specify, implement, or maintain the
software product, its relation to the system and its customer documentation.
The process category (SUP) consists of processes which may be employed by any of the other processes
Support
(including other supporting processes) at various points in the software life cycle.
The Management process category (MAN) consists of processes which contain practices of a generic nature which
may be used by anyone who manages any type of project or process within a software life cycle.
The Organization process category (ORG) consists of processes that establish the business goals of the
organization and develop process, product, and resource assets which, when used by the projects in the
organization, will help the organization achieve its business goals.
There are a number of processes associated with each process category. Each process in the assessment model is
described in terms of a purpose statement. These statements contain the unique functional objectives of the
process when instantiated in a particular environment. Satisfying the purpose statements of a process represents
the first step in building a level 1 process capability. The process categories and their associated processes are
described in Clause 5.
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A base practice is an activity that addresses the purpose of a particular process. Consistently performing the base
practices associated with a process will help to consistently achieve its purpose. A coherent set of base practices is
associated with each process in the process dimension.
The base practices are described at an abstract level, identifying "what" should be done without specifying "how".
Implementing only the base practices of a process may be of minimal value and represents only the first step in
building process capability, but the base practices represent the unique, functional activities of the process, even if
that performance is not systematic. Performance of the base practices may be ad hoc, unpredictable, inconsistent,
poorly planned, and/or result in products that do not meet their requirements. The performance of a process,
however, produces work products that are at least marginally usable in achieving the purpose of the process. In this
assessment model, each work product has a defined set of characteristics that may be used to assess the effective
implementation of a process.
Clause 5 contains a complete description of the base practices. Annex A lists the processes and their related work
products. Annex C lists the key characteristics of the work products.
4.5 The view of process capability – the capability dimension
Evolving process capability is expressed in the assessment model in terms of process attributes grouped into
capability levels. The attributes and capability levels are identical to those defined in the reference model.
Process attributes are features of a process that can be evaluated on a scale of achievement, providing a measure
of the capability of the process. They are applicable to all processes. Each process attribute describes a facet of the
overall capability of managing and improving the effectiveness of a process in achieving its purpose and
contributing to the business goals of the organization.
A capability level is a set of process attribute(s) that work together to provide a major enhancement in the capability
to perform a process. Each level provides a major enhancement of capability in the performance of a process. The
levels constitute a rational way of progressing through improvement of the capability of any process and are defined
in ISO/IEC TR 15504-2.
There are six capability levels in the reference model, incorporating nine process attributes.
Level 0: Incomplete. There is general failure to attain the purpose of the process. There are little or no easily
identifiable work products or outputs of the process.
Level 1: Performed. The purpose of the process is generally achieved. The achievement may not be rigorously
planned and tracked. Individuals within the organization recognise that an action shou
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