ISO/IEC 15504-5:2006

Information technology - Process Assessment - Part 5: An exemplar Process Assessment Model

ISO/IEC 15504-5:2006 describes an exemplar Process Assessment Model (PAM), conformant with the ISO/IEC 15504-2 requirements for PAMs. It provides guidance, by way of example, on the nature and structure of PAMs, and on the variety and function of different indicators of process performance and capability. It also provides guidance, through example, on the requirements for conformance of PAMs, and on the approaches for demonstration of conformance. ISO/IEC 15504 provides a framework for the assessment of process capability. This framework can be used by organizations involved in planning, managing, monitoring, controlling and improving the acquisition, supply, development, operation, evolution and support of products and services. It is also intended for use by assessors in the performance of process assessment, and by organizations involved in the development of process reference models, process assessment models or process assessment processes.

Technologies de l'information — Évaluation des procédés — Partie 5: Un exemple de modèle d'évaluation des procédés

General Information

• Status: Withdrawn
• Publication Date: 06-Mar-2006
• Withdrawal Date: 06-Mar-2006
• 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
• Start Date: 26-Jan-2012
• Completion Date: 30-Oct-2025

Relations

• Revised: ISO/IEC 15504-5:2012 - Information technology - Process assessment - Part 5: An exemplar software life cycle process assessment model
• Effective Date: 15-Oct-2011
• Revises: ISO/IEC TR 15504-5:1999 - Information technology - Software Process Assessment - Part 5: An assessment model and indicator guidance
• Effective Date: 15-Apr-2008

Standards Content (Sample)

INTERNATIONAL ISO/IEC
STANDARD 15504-5
First edition
2006-03-01
Information technology — Process
Assessment —
Part 5:
An exemplar Process Assessment Model
Technologies de l'information — Évaluation des processus —
Partie 5: Un exemple de modèle d'évaluation de processus

Reference number
©
ISO/IEC 2006
PDF disclaimer
This PDF file may contain embedded typefaces. In accordance with Adobe's licensing policy, this file may be printed or viewed but
shall not be edited unless the typefaces which are embedded are licensed to and installed on the computer performing the editing. In
downloading this file, parties accept therein the responsibility of not infringing Adobe's licensing policy. The ISO Central Secretariat
accepts no liability in this area.
Adobe is a trademark of Adobe Systems Incorporated.
Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF-creation
parameters were optimized for printing. Every care has been taken to ensure that the file is suitable for use by ISO member bodies. In
the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below.

©  ISO/IEC 2006
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,
electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or
ISO's member body in the country of the requester.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail [e-mail]
Web www.iso.org
Published in Switzerland
ii © ISO/IEC 2006 – All rights reserved

Contents Page
Foreword. iv
Introduction . v
1 Scope . 1
2 Normative references . 1
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
4.3 Assessment Indicators. 10
4.4 Measuring process capability . 13
5 The process dimension and process performance indicators (level 1). 15
5.1 The Acquisition Process Group (ACQ).16
5.2 Supply Process Group (SPL). 21
5.3 Operation Process Group (OPE) . 25
5.4 Engineering Process Group (ENG). 27
5.5 Supporting Process Group (SUP) . 43
5.6 Management Process Group (MAN) . 56
5.7 Process Improvement Process Group (PIM) . 65
5.8 Resource and Infrastructure Process Group (RIN) . 69
5.9 Reuse Process Group (REU) . 74
6 Process capability indicators (level 1 to 5) . 79
6.1 Level 1: Performed process. 79
6.2 Level 2: Managed process . 79
6.3 Level 3: Established process . 84
6.4 Level 4: Predictable process . 88
6.5 Level 5: Optimizing process . 92
6.6 Related Processes for Process Attributes. 96
Annex A (informative) Conformity of the exemplar process assessment model. 98
Annex B (informative) Work product characteristics . 103
Annex C (informative) Adaptation of the assessment model . 158
Bibliography . 162

© ISO/IEC 2006 – 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. 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 system engineering.
This first edition cancels and replaces ISO/IEC TR 15504-5:1998, which has been technically revised.
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 Process Assessment Model
The complete series replaces ISO/IEC TR 15504-1 to ISO/IEC TR 15504-9.
This Part of ISO/IEC 15504 is informative.
iv © ISO/IEC 2006 – All rights reserved

Introduction
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.
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.
This Process Assessment Model in Part 5 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 AMD1 and AMD2 has been used as the basis for the
Process Assessment Model in this part.
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.
Within this part of ISO/IEC 15504:
⎯ 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 AMD1 and
AMD2 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 9 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 2006 – All rights reserved v

⎯ 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;
and
⎯ The Bibliography contains a list of informative references.

vi © ISO/IEC 2006 – All rights reserved

INTERNATIONAL STANDARD ISO/IEC 15504-5:2006(E)

Information technology — Process Assessment —
Part 5:
An exemplar Process Assessment Model
1 Scope
This informative part of ISO/IEC 15504:
⎯ defines an exemplar Process Assessment Model that meets the requirements of ISO/IEC 15504-2 and
that supports the performance of an assessment by providing indicators for guidance on the interpretation
of the process purposes and outcomes as defined in ISO/IEC 12207 AMD1 and AMD2 and the process
attributes as defined in ISO/IEC 15504-2;
⎯ provides guidance, by example, on the definition, selection and use 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).
The Process Assessment Model in this part of ISO/IEC 15504 is directed at assessment sponsors and
competent assessors who wish to select a model, and associated documented process method, for
assessment (for either capability determination or process improvement). Additionally it may be of use to
developers of assessment models in the construction of their own model, by providing examples of good
software engineering and management practices.
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.
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.
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 12207:1995/Amd.1:2002; Amd.2:2004, Information technology — 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
© ISO/IEC 2006 – All rights reserved 1

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.
The Process Reference Model defined in ISO/IEC 12207 AMD1 and AMD2, 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.
CACAPAPABBIILILITTYY
DiDimmeensinsioonn
ISISOO//IEIECC
115505504-4-22
---- LeLevveell 55 : : OpOpttiimimizziing ng ( (22 at atttrriibbututeess))
ISISOO//IEIECC
---- LeLevveell 44 : : PPrreeddiiccttaablble (e (22 at atttrriibbututeess))
1212207207 A AMMDD11 & A & AMMD2D2
---- LeLevveell 33 : : EEsstatabblislishheedd ( (22 aatttrtriibbuutteses))
---- LeLevveell 22 : : MMaannaaggeedd   ( (22 aattttrribibuutteess))
---- LeLevveell 11 : : PPeerrfforormmeedd (1 (1 aatttrtriibbuuttee))
PrProcesocesss RRefefererenceence
MModeodell ( (PPRRMM))
---- LeLevveell 00 : : InInccoommpplleettee
PRPROCOCESSESS
DiDimmeennssiioonn
OOrrganganiizatzatiionaonall
PPrrococesessseess
pprroceocessessess
SuSuppppororttiinngg
PPrrococesessseess
prprocesocessesses
PrPriimmaarryy
prproceocessessess
Figure 1 — Relationship between the Process Assessment Model and its inputs
Figure 1 shows the relationship between the general structure of the Process Assessment Model,
ISO/IEC 15504-2 and ISO/IEC 12207 AMD1 and AMD2.
2 © ISO/IEC 2006 – All rights reserved

The Process Reference Model and the capability dimension defined in ISO/IEC 15504-2 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 outcomes in the Process Reference Model,
and the process attribute definitions in ISO/IEC 15504-2, need to be supported with a comprehensive set of
indicators of process performance and process capability that are used for assessment performance.
The exemplar Process Assessment Model defined in this part of ISO/IEC 15504 is conformant with the
ISO/IEC 15504-2 requirements for a Process Assessment Model, and can be used as the basis for conducting
an assessment of software engineering process capability.
In order to meet the requirements of ISO/IEC 15504-2, a documented process supporting other requirements
of ISO/IEC 15504-2 is also required. This need may be met, for example, by the adoption of a supporting
method for conducting assessments.
4.2 Structure of the exemplar Process Assessment Model
This clause describes the detailed structure of the Process Assessment Model and its key components.
This Process Assessment Model expands upon the Process Reference Model by adding the definition and
use of assessment indicators. Assessment indicators comprise indicators of process performance and
process capability and are defined to support an assessor’s judgment of the performance and capability of an
implemented process.
Clause 5, together with its associated Annex B, describes the components of the process dimension, and
Clause 6 describes the components of the capability dimension. Annex A provides a demonstration of
conformity that meets the requirements of ISO/IEC 15504-2.
ISO/IEC 15504-2 requires that processes included in a Process Reference Model satisfy the following:
"The fundamental elements of a Process Reference Model are the set of descriptions of the processes within
the scope of the model. These process descriptions shall meet the following requirements:
a) A process shall be described in terms of its Purpose and Outcomes.
b) In any description the set of process outcomes shall be necessary and sufficient to achieve the purpose
of the process.
c) Process descriptions shall be such that no aspects of the measurement framework as described in clause
5 of this International Standard beyond level 1 are contained or implied."
As processes are derived directly from ISO/IEC 12207 AMD1 and AMD2, these requirements are satisfied.
The Process Assessment Model includes processes, which are grouped in three process categories, identical
to the process categories defined in ISO/IEC 12207 AMD1 and AMD2, which are:
⎯ the Primary life cycle processes category;
⎯ the Supporting life cycle processes category;
⎯ the Organizational life cycle processes category.
Within a process category, processes are grouped at a second level according to the type of activity they
address: the processes included in the same group contribute to a complementary area. These groups are
defined in order to help assessors in defining the assessment scope in term of process selection.
© ISO/IEC 2006 – All rights reserved 3

4.2.1 Processes
Figure 2 lists the processes from ISO/IEC 12207 AMD1 and AMD2 that are included in the process dimension
of the exemplar Process Assessment Model, and show their classification (for the purpose of this Process
Assessment Model) into Process Categories and Process Groups.
OORRGAGANNIIZZAATITIOONNAALL Li Liffee
PPRRIIMMAARRYY L Liifefe C Cyyccllee PPrroocessescesses
CCyyccllee P Prroocessecessess
AAccquisitioquisitionn P Prrocess Group (ocess Group (AACQCQ))
MMaannaagegement Pment Prrocess Grocess Group (Moup (MAANN))
ACQACQ.1 A1 Accquisquisiition prtion prepareparation ation
MAN.1 OMAN.1 Orrganiganizzaattiional onal aallignmignmentent
ACQACQ.2 Su2 Supplierpplier s seeleclecttion ion
MAN.2 OrMAN.2 Organiganizzaattiional monal manageanagemmentent
ACQACQ.3 Co3 Contrntraacctt agr agreeeemmeent nt
MAN.3 PMAN.3 Prrojojecect mt maannageagemmeent nt
ACQACQ.4 Su4 Supplierpplier m monitoronitoriing ng
MAN.4 QualMAN.4 Qualitityy m manageanagemmeent nt
ACQACQ.5 Cu5 Cussttoommerer acc acceptaeptannccee
MAN.5 RisMAN.5 Riskk mmanaanagegemment ent
MAN.6 MMAN.6 Measeasururemementent
SSupplyupply P Prrocess Group (Socess Group (SPPLL) )
SPL.1 SupSPL.1 Suppplierlier tender tenderinging
SPL.2 PrSPL.2 Prooducduct rt reeleasleasee
ProProcesscess Im Impprroovvememenentt Pro Process Gcess Grroouupp ( (PPIIMM))
SPL.3 PrSPL.3 Prooducduct acct acceptaeptannce sce supporupportt
PIM.1 PPIM.1 Prrococesesss es estatablisblishmhmentent
PIM.2 PPIM.2 Prrococesesss ass asseessssmmeentnt
EEngineeringineering Png Prrocess Group (Eocess Group (ENG)NG) PIM.3 PPIM.3 Prrococesesss im imprproveovemmeenntt
ENGENG.1 Re1 Requirquireemmententss elic eliciittationation
ENGENG.2 S2 Syyssttemem r requirequireemmeentsnts anal analyyssisis
ResoResouurrccee an andd In Inffrrastastruructctuurre Proe Procceessss
ENGENG.3 S3 Syyssttemem ar arcchhitecitecturturaal desl design ign
GrGroup (oup (RRIN)IN)
ENGENG.4 So4 Soffttwwaarree r requirequireemmentsents anal analyyssisis
RIN.1 HRIN.1 Huumman ran reessourourccee managemanagemmentent
ENGENG.5 So5 Soffttwwaarree des designign
RIN.2 TRIN.2 Trraining aining
ENGENG.6 So6 Soffttwwaarree c consonstrtruucctiontion
RIN.3 KnRIN.3 Knoowwledge mledge managanageemmeenntt
ENGENG.7 So7 Soffttwwaarree integr integration  ation
RIN.4 InRIN.4 Inffrrastrastrucucturturee
ENENGG.8 So8 Soffttwwaarree tes testtinging
ENGENG.9 S9 Syyssttemem integr integrationation
ENGENG.10 Sy10 Syssttemem tes testting ing
Reuse PReuse Prrocess Group (REocess Group (REUU))
ENGENG.11 S11 Sooffttwwaarree ins insttalallatlatiionon
REU.1 AREU.1 Asssseet mt manageanagemmeenntt
ENGENG.12 S12 Sooffttwwaarree and s and syyssttemem mmaaintenintenanceance
REU.2 RREU.2 Reuseuse pre progrograamm mmanageanagemmentent
REU.3 DREU.3 Doommaain engineerin engineeringing
OOpperateratioionn Pro Process Gcess Grroouupp ( (OOPE)PE)
OOPE.1 OPE.1 Oppererational usational use e
OOPE.2 CuPE.2 Cussttoommerer ssupporupport t
SSUUPPPPOORRTTIINNGG L Liifefe C Cyyccllee PPrrooccesseessess
SSuppoupport Prt Prrocess Group (ocess Group (SSUPUP))
SUP.1 QualitSUP.1 Qualityy as asssuurrancancee SSUP.6 PrUP.6 Producoduct evat evalluation uation
SUP.2 VSUP.2 Veerriiffiiccaationtion SUP.7 DocSUP.7 Docuummententaattion ion
SUP.3 VSUP.3 Vaalliidationdation SSUP.8 ConfUP.8 Configuriguratioation mn maannaaggeemmentent
SUP.4 Joint rSUP.4 Joint reevviieeww SUP.9 PrSUP.9 Problemoblem r reesolution msolution maanagenagemmeentnt
SUP.5 ASUP.5 Auditudit SSUP.10 Change rUP.10 Change reequesquest t mmanageanagemmentent

Figure 2 — Process Categories and Process Groups
4 © ISO/IEC 2006 – All rights reserved

The description of each Process Group includes a characterization of the processes it contains, followed by a
list of the processes. Each process belonging to a Group is identified with a Process Identifier [ID] consisting
of the Group abbreviated name and a sequential number of the process in that Group.
The Process Categories and Process Groups are described in more detail below.
4.2.1.1 Primary Life Cycle Processes Category
The Primary Life Cycle Processes consist of processes that serve primary parties during the life cycle of
software. A primary party is one that initiates or performs the development, operation, or maintenance of
software products. These primary parties are the acquirer, the supplier, the developer, the operator, and the
maintainer of software products.
The Primary Life Cycle Processes Category contains the following four groups of processes:
⎯ the Acquisition process group;
⎯ the Supply process group;
⎯ the Engineering process group;
⎯ the Operation process group.
The Acquisition process group (ACQ) consists of processes performed by the customer, in order to acquire a
product and/or a service.
Note: A supplier may also act as a customer when acquiring a product and/or service from another supplier.
This group includes the processes listed in Table 1.
Table 1 — Primary Life Cycle Processes – Acquisition process group
Process
Process name Source
Identification
ACQ.1
Acquisition preparation ISO/IEC 12207 AMD1
ACQ.2 Supplier selection ISO/IEC 12207 AMD1
ACQ.3 Contract agreement ISO/IEC 12207 AMD2
ACQ.4 Supplier monitoring ISO/IEC 12207 AMD1
ACQ.5
Customer acceptance ISO/IEC 12207 AMD1

The Supply process group (SPL) consists of processes performed by the supplier in order to propose and
deliver a product and/or a service.
Table 2 — Primary Life Cycle Processes – Supply process group
Process
Process name Source
Identification
SPL.1
Supplier tendering ISO/IEC 12207 AMD2
SPL.2 Product release ISO/IEC 12207 AMD2
SPL.3 Product acceptance support ISO/IEC 12207 AMD2

© ISO/IEC 2006 – All rights reserved 5

This group includes the processes listed in Table 2.
The Engineering process group (ENG) consists of processes that directly elicit and manage the customer's
requirements, specify, implement, and/or maintain the software product and it’s relation to the system.
This group includes the processes listed in Table 3.
Table 3 — Primary Life Cycle Processes – Engineering process group
Process
Process name Source
Identification
ENG.1 Requirements elicitation ISO/IEC 12207 AMD1
ENG.2 System requirements analysis ISO/IEC 12207 AMD1
ENG.3 System architectural design ISO/IEC 12207 AMD1
ENG.4 Software requirements analysis ISO/IEC 12207 AMD1
ENG.5 Software design ISO/IEC 12207 AMD1
ENG.6 Software construction ISO/IEC 12207 AMD1
ENG.7 Software integration ISO/IEC 12207 AMD1
ENG.8 Software testing ISO/IEC 12207 AMD1
ENG.9 System integration ISO/IEC 12207 AMD1
ENG.10 System testing ISO/IEC 12207 AMD1
ENG.11 Software installation ISO/IEC 12207 AMD1
ENG.12 Software and system maintenance ISO/IEC 12207 AMD1

The Operation process group (OPE) consists of processes performed in order to provide for the correct
operation and use of the software product and/or service.
This group includes the processes listed in Table 4.
Table 4 — Primary Life Cycle Processes – Operation process group
Process
Process name Source
Identification
OPE.1 Operational use ISO/IEC 12207 AMD1
OPE.2 Customer support ISO/IEC 12207 AMD1

4.2.1.2 Supporting Life Cycle Processes Category
The Supporting Life Cycle Processes consist of processes that support another process as an integral part
with a distinct purpose and contributes to the success and quality of the software project. A supporting
process is employed and executed, as needed, by another process.
This group includes the processes listed in Table 5.
6 © ISO/IEC 2006 – All rights reserved

Table 5 — Supporting Life Cycle Processes - Support process group
Process
Process name Source
Identification
SUP.1 Quality assurance ISO/IEC 12207 AMD1
SUP.2 Verification ISO/IEC 12207 AMD1
SUP.3 Validation ISO/IEC 12207 AMD1
SUP.4
Joint review ISO/IEC 12207 AMD1
SUP.5 Audit ISO/IEC 12207 AMD1
SUP.6 Product evaluation ISO/IEC 12207 AMD1
SUP.7 Documentation ISO/IEC 12207 AMD1
SUP.8
Configuration management ISO/IEC 12207 AMD2
SUP.9 Problem resolution management ISO/IEC 12207 AMD2
SUP.10 Change request management ISO/IEC 12207 AMD2

NOTE The Usability process in ISO/IEC 12207 is not included. Where usability is a relevant attribute, or human
engineering is a customer or product requirement, ISO TR 18529 provides a definition of human-centred design processes
that complies with the requirements of ISO/IEC 15504-2.
4.2.1.3 Organizational Life Cycle Processes Category
The Organizational Life Cycle Processes consist of processes employed by an organization to establish
and implement an underlying structure made up of associated life cycle processes and personnel and
continuously improve the structure and processes. They are typically employed outside the realm of specific
projects and contracts; however, lessons from such projects and contracts contribute to the improvement of
the organization.
The Organizational Life Cycle Processes Category contains the following four groups of processes:
⎯ the Management process group;
⎯ the Process Improvement process group;
⎯ the Resource and Infrastructure process group; and
⎯ the Reuse process group.
The Management process group (MAN) consists of processes that contain practices that may be used by
anyone who manages any type of project or process within a software life cycle.
This group includes the processes listed in Table 6.
Table 6 — Organizational Life Cycle Processes - MAN process group
Process
Process name Source
Identification
MAN.1 Organizational alignment ISO/IEC 12207 AMD1
MAN.2
Organizational management ISO/IEC 12207 AMD1
MAN.3 Project management ISO/IEC 12207 AMD1
MAN.4 Quality management ISO/IEC 12207 AMD1
MAN.5 Risk management ISO/IEC 12207 AMD2
MAN.6
Measurement ISO/IEC 12207 AMD1
© ISO/IEC 2006 – All rights reserved 7

The Process Improvement process group (PIM) consists of processes performed in order to define, deploy,
assess and improve the processes performed in the organizational unit.
This group includes the processes listed in Table 7.
Table 7 — Organizational Life Cycle Processes - PIM process group
Process
Process name Source
Identification
PIM.1 Process establishment ISO/IEC 12207 AMD1
PIM.2 Process assessment ISO/IEC 12207 AMD1
PIM.3 Process improvement ISO/IEC 12207 AMD2

The Resource and Infrastructure process group (RIN) consists of processes performed in order to provide
adequate human resources and necessary infrastructure as required by any other process performed by the
organizational unit.
This group includes the processes listed in Table 8.
Table 8 — Organizational Life Cycle Processes - RIN process group
Process
Process name Source
Identification
RIN.1
Human resource management ISO/IEC 12207 AMD1
RIN.2 Training ISO/IEC 12207 AMD1
RIN.3 Knowledge management ISO/IEC 12207 AMD1
RIN.4 Infrastructure ISO/IEC 12207 AMD2

The Reuse process group (REU) consists of processes performed in order to systematically exploit reuse
opportunities in the organization’s reuse programmes.
This group includes the processes listed in Table 9.
Table 9 — Organizational Life Cycle Processes - REU process group
Process
Process name Source
Identification
REU.1 Asset management ISO/IEC 12207 AMD1
REU.2 Reuse program management ISO/IEC 12207 AMD2
REU.3 Domain engineering ISO/IEC 12207 AMD1

4.2.2 Process dimension
For the process dimension, all the processes in Figure 2 are included within the process dimension of the
Process Assessment Model. The processes are classified into Process Categories and Process Groups.
There are three Process Categories: Primary Life Cycle Processes, Organizational Life Cycle Processes and
Supporting Life Cycle Processes. Each process in the Process Assessment Model is described in terms of a
purpose statement. These statements contain the unique functional objectives of the process when performed
in a particular environment. A list of specific outcomes is associated with each of the process purpose
statements, as a list of expected positive results of the process performance.
8 © ISO/IEC 2006 – All rights reserved

Satisfying the purpose statements of a process represents the first step in building a level 1 process capability
where the expected outcomes are observable. The Process Groups and their associated processes are
described in Clause 5.
4.2.3 Capability dimension
For the capability dimension, the process capability levels and process attributes are identical to those defined
in ISO/IEC 15504-2.
Evolving process capability is expressed in the Process Assessment Model in terms of process attributes
grouped into capability levels. 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. The levels constitute a rational way of progressing through improvement of
the capability of any process and are defined in ISO/IEC 15504-2.
There are six capability levels, incorporating nine process attributes.
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.
Level 1: Performed process
The implemented process achieves its process purpose.
Level 2: Managed process
The previously described Performed process is now implemented in a managed fashion (planned, monitored
and adjusted) and its work products are appropriately established, controlled and maintained.
Level 3: Established process
The previously described Managed process is now implemented using a defined process that is capable of
achieving its process outcomes.
Level 4: Predictable process
The previously described Established process now operates within defined limits to achieve its process
outcomes.
Level 5: Optimizing process
The previously described Predictable process is continuously improved to meet relevant current and projected
business goals.
Within the Process Assessment Model, the measure of capability is based upon the nine process attributes
(PA) defined in ISO/IEC 15504-2. Process attributes are used to determine whether a process has reached a
given capability. Each attribute measures a particular aspect of the process capability.
At each level there is no ordering between the process attributes; each attribute addresses a specific aspect
of the capability level. The list of process attributes is shown in Table 10.
© ISO/IEC 2006 – All rights reserved 9

Table 10 — Capability levels and process attributes
Capability Levels
Process Attribute ID
and Process Attributes
Level 0: Incomplete process
Level 1: Performed process
PA 1.1 Process performance
Level 2: Managed process
PA 2.1 Performance management
PA 2.2 Work product management
Level 3: Established process
PA 3.1
Process definition
PA 3.2 Process deployment
Level 4: Predictable process
PA 4.1 Process measurement
PA 4.2
Process control
Level 5: Optimizing process
PA 5.1 Process innovation
PA 5.2 Continuous optimization

The process attributes are evaluated on a four point ordinal scale of achievement, as defined in
ISO/IEC 15504-2. They provide insight into the specific aspects of process capability required to support
process improvement and capability determination.
4.3 Assessment Indicators
The Process Assessment Model is based on the principle that the capability of a process can be assessed by
demonstrating the achievement of process attributes on the basis of evidences related to assessment
indicators.
There are two types of assessment indicators: process capability indicators, which apply to capability levels 1
to 5 and process performance indicators, which apply exclusively to capability level 1. These indicators are
defined in Clause 4.3.2.
The process attributes in the capability dimension have a set of process capability indicators that provide an
indication of the extent of achievement of the attribute in the instantiated process. These indicators concern
significant activities, resources or results associated with the achievement of the attribute purpose by a
process.
The process capability indicators are:
⎯ Generic Practice (GP);
⎯ Generic Resource (GR);
⎯ Generic Work Product (GWP).
As additional indicators for supporting the assessment of a process at Level 1, each process in the process
dimension has a set of process performance indicators which is used to measure the degree of achievement
of the process performance attribute for the process assessed.
10 © ISO/IEC 2006 – All rights reserved

The process performance indicators are:
⎯ Base Practice (BP);
⎯ Work Product (WP).
The performance of Base Practices (BPs) provides an indication of the extent of achievement of the process
purpose and process outcomes. Work Products (WPs) are either used or produced (or both), when performing
the process.
CACAPAPABBIILLIITTYY
DimDimeennssiioonn
FFoorr e eaach atch atttrriibutbutee
PPrroocesscess AAssessessssmmeenntt
PPAA.1.1.1 t1 too P PAA 5. 5.22
---- LLeveevell 55 : : OpOpttiimimizziinngg
PPrrococesesss ccaappababilitilityy aasssseessssmmeentnt ((LLeveevell 11 t too 55))
bbaasesedd oon Pn Prroceocessss A Attttrribibututee I Innddiiccaatotorrss ((PPAIAI)) ::
---- LLeveevell 44 : : PrePreddiiccttaablblee
-- GP GP   : G: Geenenericric PPracractticeice
-- GRGR : G: Geenenericric RReessoouurcerce
---- LLeveevell 33 : : EstEstaabblliisshheedd
-- GWGWPP :: G Geenneerriicc WWororkk PPrroduoductct
AmAmpplliiffiiccaattiioon n
ffoorr PA PA 11.11
---- LLeveevell 22 : : ManManaagegedd
LLeveevell 11
---- LLeveevell 11 : : PerPerffoorrmmeedd
AdAdddiittiiononaall iinndidicacattoorrss ffoorr pr prococeessss
ppeerrfoformrmanceance ass asseessssmmeentnt bbaasesedd oon n
---- LLeveevell 00 : : InInccoommpplleettee
perperffoorrmmaanncce ie innddiicacattoorrss ::
-- BPBP : B: Baasese pprraaccttiicceess
-- WPWP :: W Woorrkk prproduoductctss
PROPROCCESESSS
OOrrganganiizazattiiononaall
DiDimmeennssiioonn
prproocescessesess
SupporSupporttiingng
prproocceessessess
PrPriimmaarryy
prproceocesssseess
Figure 3 — Assessment indicators
The process performance and process capability indicators defined in the Process 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.
Figure 3 shows how the assessment indicators are related to process performance and process capability.
4.3.1 Process Capability Indicators
The three types of process capability indicators related to levels 1 to 5 are identified in Figure 4. They are
intended to be applicable to all processes.

© ISO/IEC 2006 – All rights reserved 11

Capability
Capability
Dimension
level 1-5
Process
Attribute
Process
attribute
achievement
- a1…
Generic
Generic
Generic
Practice
Work Products
Resources Generic
Practice
Generic
Practice
Figure 4 — Process capability indicators
All the process capability indicators relate to the process attributes defined in the capability dimension of the
Process Assessment Model. They represent the type of evidence that would support judgments of the extent
to which the attributes are achieved. Evidence of their effective performance or existence supports the
judgment of the degree of achievement of the attribute. The generic practices are the principal indicators of
process capability.
The Generic Practice (GP) indicators are activities of a generic type and provide guidance on the
implementation of the attribute's characteristics. They support the achievement of the process attribute and
many of them concern management practices, i.e. practices that are established to support the process
performance as it is characterized at level 1.
During the evaluation of process capability, the primary focus is on the performance of the generic practices.
In general, performance of all generic practices is expected for full achievement of the process attribute.
The Generic Resource (GR) indicators are associated resources that may be used when performing the
process in order to achieve the attribute. These resources may include human resources, tools, methods and
infrastructure. The availability of a resource indicates the potential to fulfil the purpose of a specific attribute.
NOTE The assessor should interpret the generic resources according to the process assessed; e.g. for PA2.1
resources (with identified objectives, responsibilities and authorities), an assessor would look for roles (with identified
objectives, responsibilities and authorities) in primary and supporting processes, but for organisational processes would
look for governance structures (e.g. mandated committees, positions) with identified objectives, responsibilities and
authorities.
The Generic Work Product (GWP) indicators are sets of characteristics that would be expected to be evident
in work products of generic types as a result of achievement of an attribute. The generic work products form
the basis for the classification of the work products defined as process performance indicators; they represent
basic types of work products that may be inputs to or outputs from all types of process.
12 © ISO/IEC 2006 – All rights reserved

These three types of indicators help to establish objective evidence of the extent of achievement of the
specified process attribute.
Due to the fact that Level 1 capability of a process is only characterized by the measure of the extent to which
the process purpose is achieved, the process performance attribute (PA.1.1) has a single generic practice
indicator (GP.1.1.1). In order to support the assessment of PA.1.1 and to amplify the process performance
achievement analysis, additional process performance indicators are defined in the Process Assessment
Model.
4.3.2 Process Performance Indicators
There are two types of process performance indicators; Base Practice (BP) indicators and Work Product
(WP) indicators. Proce
...