ISO/IEC 15504-5:2012

Information technology — Process assessment — Part 5: An exemplar software life cycle process assessment model

ISO/IEC 15504-5:2012 provides an example of a Process Assessment Model for use in performing a conformant assessment in accordance with the requirements of ISO/IEC 15504-2. ISO/IEC 15504-5:2012 provides a detailed description of the structure and key components of the Process Assessment Model, which includes two dimensions: a process dimension and a capability dimension. It also introduces assessment indicators. ISO/IEC 15504-5:2012 uses process definitions from ISO/IEC 12207:2008 to identify a Process Reference Model. The processes of the Process Reference Model are described in the Process Assessment Model in terms of purpose and outcomes and are grouped in three process categories. The Process Assessment Model expands the Process Reference Model process definitions by including a set of process performance indicators called base practices for each process. The Process Assessment Model also defines a second set of indicators of process performance by associating work products with each process. ISO/IEC 15504-5:2012 duplicates the definitions of the capability levels and process attributes from ISO/IEC 15504-2, and expands each of the nine attributes through the inclusion of a set of generic practices. These generic practices belong to a set of indicators of process capability, in association with generic resource indicators, and generic work product indicators. ISO/IEC 15504-5:2012 also provides the following: a statement of conformance of the Process Assessment Model to the requirements defined in ISO/IEC 15504-2; selected characteristics for typical work products to assist the assessor in evaluating the capability level of processes; style guides for defining base practices, work products and generic practices for adjusting the Process Assessment Model, and guidance explaining how to expand or adapt the model; some processes supplementary to the Process Assessment Model.

Technologies de l'information — Évaluation des procédés — Partie 5: Un exemple de modèle d'évaluation des procédés du cycle de vie d'un logiciel

General Information

• Status: Withdrawn
• Publication Date: 25-Jan-2012
• Withdrawal Date: 25-Jan-2012
• 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: 9599 - Withdrawal of International Standard
• Completion Date: 20-Apr-2021

Relations

• Revised: ISO/IEC TS 33061:2021 - Information technology — Process assessment — Process assessment model for software life cycle processes
• Effective Date: 24-Jul-2021
• Revises: ISO/IEC 15504-5:2006 - Information technology — Process Assessment — Part 5: An exemplar Process Assessment Model
• Effective Date: 15-Oct-2011

Standards Content (Sample)

INTERNATIONAL ISO/IEC
STANDARD 15504-5
Second edition
2012-02-01

Information technology — Process
assessment —
Part 5:
An exemplar software life cycle process
assessment model
Technologies de l'information — Évaluation des procédés —
Partie 5: Un exemple de modèle d'évaluation des procédés du cycle de
vie d'un logiciel




Reference number
ISO/IEC 15504-5:2012(E)
©
ISO/IEC 2012

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ISO/IEC 15504-5:2012(E)

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©  ISO/IEC 2012
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,
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ISO/IEC 15504-5:2012(E)
Contents Page
Foreword . vi
Introduction . viii
1 Scope . 1
2 Normative references . 2
3 Terms and definitions . 2
4 Overview of the exemplar Process Assessment Model . 2
4.1 Introduction . 2
4.2 Structure of the exemplar Process Assessment Model . 3
4.2.1 Processes . 4
4.2.2 Process dimension . 9
4.2.3 Capability dimension . 9
4.3 Assessment Indicators . 10
4.3.1 Process Capability Indicators . 12
4.3.2 Process Performance Indicators . 13
4.4 Measuring process capability . 13
5 The process dimension and process performance indicators (level 1) . 15
5.1 Agreement Processes group (AGR) . 16
5.1.1 AGR.1 Acquisition Process . 16
5.1.2 AGR.1A Acquisition preparation (subprocess) . 17
5.1.3 AGR.1B Supplier selection (subprocess) . 18
5.1.4 AGR.1C Agreement monitoring (subprocess) . 19
5.1.5 AGR.1D Acquirer acceptance (subprocess) . 20
5.1.6 AGR.2 Supply . 21
5.1.7 AGR.2A Supplier tendering (subprocess) . 23
5.1.8 AGR.2B Contract agreement (subprocess) . 24
5.1.9 AGR.2C Product/service delivery and support (subprocess). 25
5.1.10 AGR.3 Contract change management . 27
5.2 Organizational Project-Enabling Processes group (ORG) . 28
5.2.1 ORG.1 Life cycle model management . 28
5.2.2 ORG.1A Process establishment (subprocess) . 29
5.2.3 ORG.1B Process assessment (subprocess) . 31
5.2.4 ORG.1C Process improvement (subprocess) . 32
5.2.5 ORG.2 Infrastructure management . 34
5.2.6 ORG.3 Project portfolio management . 35
5.2.7 ORG.4 Human resource management . 36
5.2.8 ORG.4A Skill development (subprocess) . 38
5.2.9 ORG.4B Skill acquisition and provision (subprocess) . 39
5.2.10 ORG.4C Knowledge management (subprocess) . 40
5.2.11 ORG.5 Quality management . 41
5.2.12 ORG.6 Organizational alignment . 43
5.2.13 ORG.7 Organization management . 44
5.3 Project Processes group (PRO) . 46
5.3.1 PRO.1 Project planning . 46
5.3.2 PRO.2 Project assessment and control . 47
5.3.3 PRO.3 Decision management . 49
5.3.4 PRO.4 Risk management . 50
5.3.5 PRO.5 Configuration management . 51
5.3.6 PRO.6 Information Management . 53
5.3.7 PRO.7 Measurement . 54
5.4 Technical Processes group (ENG) . 55
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ISO/IEC 15504-5:2012(E)
5.4.1 ENG.1 Stakeholder requirements definition .55
5.4.2 ENG.2 System requirements analysis .57
5.4.3 ENG.3 System architectural design .58
5.4.4 ENG.4 Software implementation .60
5.4.5 ENG.5 System integration .61
5.4.6 ENG.6 System qualification testing .63
5.4.7 ENG.7 Software installation .64
5.4.8 ENG.8 Software acceptance support .65
5.4.9 ENG.9 Software operation .66
5.4.10 ENG.9A Operational use (subprocess) .67
5.4.11 ENG.9B Customer support (subprocess) .68
5.4.12 ENG.10 Software maintenance .69
5.4.13 ENG.11 Software disposal .71
5.5 Software Implementation Processes group (DEV) .72
5.5.1 DEV.1 Software requirements analysis .72
5.5.2 DEV.2 Software architectural design .74
5.5.3 DEV.3 Software detailed design .75
5.5.4 DEV.4 Software construction .76
5.5.5 DEV.5 Software integration .77
5.5.6 DEV.6 Software qualification testing .79
5.6 Software Support Processes group (SUP) .80
5.6.1 SUP.1 Software documentation management .80
5.6.2 SUP.2 Software configuration management .81
5.6.3 SUP.3 Software quality assurance .83
5.6.4 SUP.4 Software verification .84
5.6.5 SUP.5 Software validation .86
5.6.6 SUP.6 Software review .87
5.6.7 SUP.7 Software audit .88
5.6.8 SUP.8 Software problem resolution.90
5.7 Software Reuse Processes group (REU) .91
5.7.1 REU.1 Domain engineering .91
5.7.2 REU.2 Reuse asset management .93
5.7.3 REU.3 Reuse program management.94
6 Process capability indicators (level 1 to 5) .96
6.1 Level 1: Performed process .96
6.1.1 PA 1.1 Process performance attribute. .96
6.2 Level 2: Managed process .96
6.2.1 PA 2.1 Performance management attribute .97
6.2.2 PA 2.2 Work product management attribute .99
6.3 Level 3: Established process . 101
6.3.1 PA 3.1 Process definition attribute . 101
6.3.2 PA 3.2 Process deployment attribute . 103
6.4 Level 4: Predictable process . 105
6.4.1 PA 4.1 Process measurement attribute . 105
6.4.2 PA 4.2 Process control attribute . 108
6.5 Level 5: Optimizing process . 109
6.5.1 PA 5.1 Process innovation attribute . 109
6.5.2 PA 5.2 Process optimization attribute . 112
6.6 Related Processes for Process Attributes . 113
Annex A (informative) Conformity of the exemplar Process Assessment Model . 115
A.1 Introduction . 115
A.2 Requirements for Process Assessment Models (from ISO/IEC 15504-2) . 115
A.2.1 Introduction . 115
A.2.2 Process Assessment Model scope . 115
A.2.3 Process Assessment Model elements and indicators . 116
A.2.4 Mapping Process Assessment Models to Process Reference Models . 116
A.2.5 Expression of assessment results. 119
Annex B (informative) Work product characteristics . 120
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ISO/IEC 15504-5:2012(E)
B.1 Generic Work products . 121
B.2 Generic and specific work products . 126
Annex C (informative) Adaptation of the assessment model . 183
C.1 Assessment indicators identification . 183
C.1.1 Base practices . 183
C.1.2 Generic practices . 184
C.2 Adaptation of the exemplar process assessment model . 185
C.2.1 Adding to or removing processes from the process dimension. 185
C.2.2 Identifying process performance indicators for a new process . 185
Annex D (informative) Supplementary process definitions . 187
D.1 Supplementary processes . 187
D.1.1 QNT.1 Quantitative process improvement. 187
D.1.2 QNT.2 Quantitative performance management . 190
D.1.3 SUP.9 Software change request management . 192
D.1.4 AGR.2D Product release (subprocess) . 193
D.1.5 AGR.2E Product/service acceptance support (subprocess) . 194
Bibliography . 196

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ISO/IEC 15504-5:2012(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.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of the joint technical committee is to prepare International Standards. Draft International
Standards adopted by the joint technical committee are circulated to national bodies for voting. Publication as
an International Standard requires approval by at least 75 % of the national bodies casting a vote.
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.
ISO/IEC 15504-5 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 15504-5:2006), which has been revised as
follows:
 Clause 2 has been modified by updating the reference to ISO/IEC 12207;
 Clauses 4 and 5 have been replaced with new text;
 6.6 has been replaced with new text;
 B.2 has been replaced with new text;
 a new Annex D – Supplementary process definitions has been added;
 the Bibliography has been updated to reflect current versions of works referenced.
ISO/IEC 15504 consists of the following parts, under the general title Information technology — Process
assessment:
 Part 1: Concepts and vocabulary
 Part 2: Performing an assessment
 Part 3: Guidance on performing an assessment
 Part 4: Guidance on use for process improvement and process capability determination
 Part 5: An exemplar software life cycle process assessment model
 Part 6: An exemplar system life cycle process assessment model [Technical Report]
 Part 7: Assessment of organizational maturity [Technical Report]
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ISO/IEC 15504-5:2012(E)
 Part 9: Target process profiles [Technical Specification]
 Part 10: Safety extension [Technical Specification]
The following part is under preparation:
 Part 8: An exemplar process assessment model for IT service management [Technical Report]

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ISO/IEC 15504-5:2012(E)
Introduction
An integral part of conducting an assessment is to use a Process Assessment Model constructed for that
purpose, related to a Process Reference Model and conformant with the requirements defined in
ISO/IEC 15504-2. ISO/IEC 15504-2 provides a framework for process assessment and sets out the minimum
requirements for performing an assessment in order to ensure consistency and repeatability of the ratings.
A Process Reference Model cannot be used alone as the basis for conducting consistent and reliable
assessments of process capability since the level of detail is not sufficient. Therefore:
 the descriptions of process purpose and process outcomes provided by the Process Reference Model
need to be supported with a comprehensive set of indicators of process performance; and
 the capability levels and process attributes defined in ISO/IEC 15504-2 and its associated rating scale
need to be supported with a set of indicators of process capability.
Used in this way, in conjunction with a documented process, consistent and repeatable ratings of process
capability will be possible.
The ISO/IEC 15504-5 exemplar Process Assessment Model contains a set of indicators to be considered
when interpreting the intent of the Process Reference Model. These indicators may also be used when
implementing a process improvement program or to help evaluate and select an assessment model, method,
methodology or tools.
The Process Reference Model defined in ISO/IEC 12207:2008 has been used as the basis for the
ISO/IEC 15504-5 exemplar software life cycle Process Assessment Model.
As an exemplar, this Process Assessment Model embodies the core characteristics that could be expected of
any Process Assessment Model consistent with ISO/IEC 15504-2. Nevertheless, use of this Process
Assessment Model is not required to meet the requirements of ISO/IEC 15504; any other Process
Assessment Models meeting the requirements of ISO/IEC 15504-2 may be used in a conformant assessment.

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INTERNATIONAL STANDARD ISO/IEC 15504-5:2012(E)

Information technology — Process assessment —
Part 5:
An exemplar software life cycle process assessment model
1 Scope
This part of ISO/IEC 15504 provides an example of a Process Assessment Model for use in performing a
conformant assessment in accordance with the requirements of ISO/IEC 15504-2.
This part of ISO/IEC 15504 is structured as follows.
 Clause 4 provides a detailed description of the structure and key components of the Process Assessment
Model, which includes two dimensions: a process dimension and a capability dimension; assessment
indicators are introduced in this clause.
 Clause 5 addresses the process dimension. It uses process definitions from ISO/IEC 12207:2008 to
identify a Process Reference Model. The processes of the Process Reference Model are described in the
Process Assessment Model in terms of purpose and outcomes and are grouped in three process
categories. The Process Assessment Model expands the Process Reference Model process definitions
by including a set of process performance indicators called base practices for each process. The Process
Assessment Model also defines a second set of indicators of process performance by associating work
products with each process. Annex B is also linked directly to Clause 5 as it defines the work product
characteristics.
 Clause 6 addresses the capability dimension. It duplicates the definitions of the capability levels and
process attributes from ISO/IEC 15504-2, and expands each of the nine attributes through the inclusion of
a set of generic practices. These generic practices belong to a set of indicators of process capability, in
association with generic resource indicators, and generic work product indicators.
 Annex A provides a statement of conformance of the Process Assessment Model to the requirements
defined in ISO/IEC 15504-2.
 Annex B provides selected characteristics for typical work products to assist the assessor in evaluating
the capability level of processes.
 Annex C contains style guides for defining base practices, work products and generic practices for
adjusting the Process Assessment Model, and guidance explaining how to expand or adapt the model.
 Annex D presents some processes supplementary to the Process Assessment Model.
NOTE Copyright release for the Exemplar Process Assessment Model: Users of this part of ISO/IEC 15504 may
freely reproduce the detailed descriptions contained in the exemplar assessment model as part of any tool or other
material to support the performance of process assessments, so that it can be used for its intended purpose.
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ISO/IEC 15504-5:2012(E)
2 Normative references
The following referenced documents are indispensable for the application 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 12207:2008, Systems and software engineering — Software life cycle processes
ISO/IEC 15504-1:2004, Information technology — Process assessment — Part 1: Concepts and vocabulary
ISO/IEC 15504-2:2003, Information technology — Process assessment — Part 2: Performing an assessment
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 15504-1 apply.
4 Overview of the exemplar Process Assessment Model
4.1 Introduction
This part of ISO/IEC 15504 provides an exemplar Process Assessment Model that includes examples of
assessment indicators.
A Process Assessment Model comprises a set of indicators of process performance and process capability.
The indicators are used as a basis for collecting the objective evidence that enables an assessor to assign
ratings. The set of indicators included in this part of ISO/IEC 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 (see Annex C).
Any Process Assessment Model meeting the requirements defined in ISO/IEC 15504-2 concerning models for
process assessment 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 15504 is provided as an exemplar of
a model meeting all the requirements expressed in ISO/IEC 15504-2.
The Process Reference Model defined in ISO/IEC 12207:2008 and associated with the process attributes
defined in ISO/IEC 15504-2, establish a Process Assessment Model used as a common basis for performing
assessments of software engineering process capability, allowing for the reporting of results using a common
rating scale.
The Process Assessment Model is a two-dimensional model of process capability. In one dimension,
the process dimension, the processes are defined and classified into process categories. In the other
dimension, the capability dimension, a set of process attributes grouped into capability levels is defined. The
process attributes provide the measurable characteristics of process capability.
Figure 1 shows the relationship between the general structure of the Process Assessment Model,
ISO/IEC 15504-2 and ISO/IEC 12207:2008.
The Process Reference Model and the capability dimension defined in ISO/IEC 15504-2 cannot be used a
...