Information technology -- Process assessment

ISO/IEC 15504-6:2013 constitutes a Process Assessment Model, conformant with the requirements of ISO/IEC 15504-2, for the assessment of process capability of system life cycle processes. The Process Dimension of this Process Assessment Model is based upon the Process Reference Model contained in ISO/IEC 15288. ISO/IEC 15504-6:2013 provides a new Process Dimension for the Process Assessment Model derived from the revised Process Reference Model contained in ISO/IEC 15288:2008. The scope of ISO/IEC 15504-6:2013 is consistent with the scope of ISO/IEC 15504-5 in order to assist situations where assessment is being made of both system and software life cycle processes. Users of ISO/IEC 15504-6:2013 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.

Technologies de l'information -- Évaluation des procédés

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Publication Date
04-Jun-2013
Withdrawal Date
04-Jun-2013
Current Stage
6060 - International Standard published
Start Date
02-Apr-2013
Completion Date
05-Jun-2013
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INTERNATIONAL ISO/IEC
STANDARD 15504-6
First edition
2013-06-15
Information technology — Process
assessment —
Part 6:
An exemplar system life cycle process
assessment model
Technologies de l'information — Évaluation des procédés —
Partie 6: Un exemple de modèle d'évaluation des procédés du cycle de
vie d'un système
Reference number
ISO/IEC 15504-6:2013(E)
ISO/IEC 2013
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ISO/IEC 15504-6:2013(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2013

All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any

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ii © ISO/IEC 2013 – All rights reserved
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ISO/IEC 15504-6:2013(E)
Contents Page

Foreword ............................................................................................................................................................. v

Introduction ........................................................................................................................................................ vi

1 Scope ...................................................................................................................................................... 1

2 Normative references ............................................................................................................................ 1

3 Terms and definitions ........................................................................................................................... 1

4 Overview of the exemplar Process Assessment Model .................................................................... 1

4.1 Introduction to Overview ...................................................................................................................... 1

4.2 Structure of the exemplar Process Assessment Model .................................................................... 2

4.2.1 Processes ............................................................................................................................................... 4

4.2.2 Process dimension ................................................................................................................................ 6

4.2.3 Capability dimension ............................................................................................................................ 7

4.3 Assessment Indicators ......................................................................................................................... 8

4.3.1 Process Capability Indicators .............................................................................................................. 9

4.3.2 Process Performance Indicators ....................................................................................................... 11

4.4 Measuring process capability ............................................................................................................ 11

5 The process dimension ...................................................................................................................... 12

5.1 Processes and Process Performance Indicators (level 1) .............................................................. 12

5.2 Agreement Processes (AGR) ............................................................................................................. 13

5.2.1 Introduction .......................................................................................................................................... 13

5.2.2 AGR.1 Acquisition Process ................................................................................................................ 13

5.2.3 AGR.2 Supply Process........................................................................................................................ 16

5.3 Organizational Project-Enabling Processes (ENT) .......................................................................... 18

5.3.1 Introduction .......................................................................................................................................... 18

5.3.2 ENT.1 Life Cycle Model Management Process ................................................................................. 18

5.3.3 ENT.2 Project Portfolio Management Process ................................................................................. 20

5.3.4 ENT.3 Infrastructure Management Process .................................................................................... 22

5.3.5 ENT.4 Human Resource Management Process .............................................................................. 23

5.3.6 ENT.5 Quality Management Process ................................................................................................ 25

5.4 Project Processes (PRJ) ..................................................................................................................... 26

5.4.1 Introduction .......................................................................................................................................... 26

5.4.2 PRJ.1 Project Planning Process ....................................................................................................... 27

5.4.3 PRJ.2 Measurement Process ............................................................................................................ 30

5.4.4 PRJ.3 Project Assessment and Control Process ............................................................................ 31

5.4.5 PRJ.4 Decision Management Process ............................................................................................. 34

5.4.6 PRJ.5 Risk Management Process ..................................................................................................... 35

5.4.7 PRJ.6 Configuration Management Process ..................................................................................... 38

5.4.8 PRJ.7 Information Management Process ......................................................................................... 39

5.5 Technical Processes (TEC) ................................................................................................................ 41

5.5.1 Introduction .......................................................................................................................................... 41

5.5.2 TEC.1 Stakeholder Requirements Definition Process .................................................................... 42

5.5.3 TEC.2 Requirements Analysis Process ........................................................................................... 45

5.5.4 TEC.3 Architectural Design Process ................................................................................................ 48

5.5.5 TEC.4 Implementation Process ......................................................................................................... 51

5.5.6 TEC.5 Integration Process ................................................................................................................ 53

5.5.7 TEC.6 Verification Process ............................................................................................................... 55

5.5.8 TEC.7 Transition Process .................................................................................................................. 57

5.5.9 TEC.8 Validation Process ................................................................................................................. 59

5.5.10 TEC.9 Operation Process .................................................................................................................. 61

5.5.11 TEC.10 Maintenance Process ........................................................................................................... 63

5.5.12 TEC.11 Disposal Process .................................................................................................................. 65

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ISO/IEC 15504-6:2013(E)

5.6 Tailoring Process (TLR) ......................................................................................................................67

6 Process capability indicators (level 1 to 5) .......................................................................................69

6.1 Level 1: Performed process ................................................................................................................70

6.1.1 PA 1.1 Process performance attribute ..............................................................................................70

6.2 Level 2: Managed process ..................................................................................................................70

6.2.1 PA 2.1 Performance management attribute ......................................................................................70

6.2.2 PA 2.2 Work product management attribute .....................................................................................72

6.3 Level 3: Established process .............................................................................................................74

6.3.1 PA 3.1 Process definition attribute ....................................................................................................74

6.3.2 PA 3.2 Process deployment attribute ................................................................................................76

6.4 Level 4: Predictable process ..............................................................................................................79

6.4.1 PA 4.1 Process measurement attribute .............................................................................................79

6.4.2 PA 4.2 Process control attribute ........................................................................................................81

6.5 Level 5: Optimizing process ...............................................................................................................83

6.5.1 PA 5.1 Process innovation attribute ..................................................................................................83

6.5.2 PA 5.2 Process optimization attribute ...............................................................................................85

6.6 Processes Supporting Process Attributes .......................................................................................87

Annex A (informative) Conformity of the exemplar Process Assessment Model ......................................88

A.1 Introduction ..........................................................................................................................................88

A.2 Requirements for Process Assessment Models (from ISO/IEC 15504-2) ......................................88

A.2.1 Introduction ..........................................................................................................................................88

A.2.2 Process Assessment Model scope ....................................................................................................88

A.2.3 Process Assessment Model elements and indicators .....................................................................89

A.2.4 Mapping Process Assessment Models to Process Reference Models ..........................................89

A.2.5 Expression of assessment results.....................................................................................................92

Annex B (informative) Work product characteristics ....................................................................................93

B.1 Generic Work Products .......................................................................................................................94

B.2 Generic work products and specific work products ........................................................................96

Annex C (informative) Adaptation of the assessment model .................................................................... 116

C.1 Assessment indicators identification ............................................................................................. 116

C.1.1 Base practices ................................................................................................................................... 116

C.1.2 Generic practices .............................................................................................................................. 117

C.2 Adaptation of the exemplar Process Assessment Model............................................................. 118

C.2.1 Adding to or removing processes from the process dimension ................................................. 118

C.2.2 Identifying process performance indicators for a new process .................................................. 119

Bibliography ................................................................................................................................................... 120

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ISO/IEC 15504-6:2013(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 15504-6 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,

Subcommittee SC 7, Software and systems engineering.

This first edition of ISO/IEC 15504-6 cancels and replaces ISO/IEC TR 15504-6:2008.

 Clause 2 is modified by updating the reference to ISO/IEC 15288;
 Clauses 4 and 5 are replaced with new text provided below;
 Clause 6.6 is replaced with new text provided below;
 Annex B.2 is replaced with new text provided below;
 The Bibliography is 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
 Part 7: Assessment of organizational maturity
 Part 8: An exemplar process assessment model for IT service management
 Part 9: Target process profiles
 Part 10: Safety extension
© ISO/IEC 2013 – All rights reserved v
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ISO/IEC 15504-6:2013(E)
Introduction

This part of ISO/IEC 15504 provides an example of a System Life Cycle 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 that is constructed for

that purpose, is related to a process reference model and is conformant with ISO/IEC 15504-2, which 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 because it requires greater detail to indicate process performance and

capability. Therefore:

 the descriptions of process purpose and process outcomes provided by a 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.

This additional detail describes a process reference model in terms of a process assessment model that can

enable the assessment of consistent and repeatable ratings of process capability.

This Process Assessment Model contains a set of indicators to be considered when interpreting the intent of

its 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 15288:2008 has been used as the basis for the Process

Assessment Model in this part of ISO/IEC 15504.

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.

This part of ISO/IEC 15504 has a similar structure to Part 5. It may be used in conjunction with Part 5 for joint

assessment of system life cycle processes and software life cycle processes.

This part of ISO/IEC 15504 uses the classification structure of the information work products used in

ISO 15289 Systems and software engineering — Content of systems and software life cycle process

information products (Documentation) as a basis for the Generic Work Products.
Within this part of ISO/IEC 15504:

 Clause 4 provides a detailed description of the structure and key components of a 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 15288 to designate

the 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 four 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

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ISO/IEC 15504-6:2013(E)

products with each process. Clause 5 is also linked directly to Annex B, which 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 B is also linked

directly to Clause 6 as it defines the work product characteristics;

 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.
© ISO/IEC 2013 – All rights reserved vii
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INTERNATIONAL STANDARD ISO/IEC 15504-6:2013(E)
Information technology — Process assessment —
Part 6:
An exemplar system life cycle process assessment model
1 Scope

This part of ISO/IEC 15504 constitutes a Process Assessment Model, conformant with the requirements of

ISO/IEC 15504-2, for the assessment of process capability of system life cycle processes.

The Process Dimension of this Process Assessment Model is based upon the Process Reference Model

contained in ISO/IEC 15288.

This part of ISO/IEC 15504 provides a new Process Dimension for the Process Assessment Model derived

from the revised Process Reference Model contained in ISO/IEC 15288:2008.

The scope of this part of ISO/IEC 15504 is consistent with the scope of ISO/IEC 15504-5 in order to assist

situations where assessment is being made of both system and software life cycle processes.

NOTE Users of this part of ISO/IEC 15504 can 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 documents, in whole or in part, are normatively referenced in this document and are

indispensable for its application. For dated references, only the edition cited applies. For undated references,

the latest edition of the referenced document (including any amendments) applies.

ISO/IEC 15288:2008, Systems and software engineering — System 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 to Overview

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 15288, 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 systems engineering process capability, allowing for the reporting of results using a common

rating scale.
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ISO/IEC 15504-6:2013(E)

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 15288.
CAPABILITCAPABILITYY
DimensionDimension
ISO/IEC ISO/IEC
1550415504--22
---- 55 OptimOptimiizing zing (2 (2 atattributributteses))
LeLevveel l : :
ISO/IECISO/IEC 15 288
---- 44
LeLevveel l : : Predictable (2 attributes)
---- 33 EstablisheEstablished (2 atd (2 attributributteses))
LeLevveel l : :
---- 22 Managed (2 attributes)Managed (2 attributes)
LeLevveel l : :
---- 11 Performed (1 attribPerformed (1 attributeute))
LeLevveel l : : ProcessProcess ReferenceReference
Model (PRM)Model (PRM)
---- 00 IncompleteIncomplete
LeLevveel l : :
Agreement processes
PROCESPROCESSS
DimensionDimension
ProcesseProcessess
Organizational
Project-enabling
ProcessesProcesses
processes
Project processes
Technical processes
Figure 1 — Relationship between the Process Assessment Model and its inputs

A process reference model and a 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 a 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 systems engineering process capability.

In order to meet the process assessment model 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 including a defined set of

assessment indicators. Assessment indicators comprise indicators of process performance and process

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ISO/IEC 15504-6:2013(E)

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 statement of

conformance of the Process Assessment Model to the requirements defined in 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 15288, these requirements are satisfied.

The Process Assessment Model includes processes, which are grouped in four process groups identical to

the process groups in ISO/IEC 15288. The four process groups are:
 the Agreement system life cycle processes group;

 the Organizational project-enabling processes system life cycle processes group;

 the Project system life cycle processes group;
 the Technical system life cycle processes group.

In addition, the Tailoring Process is included since this is defined in a normative Annex of ISO/IEC 15288. The

Tailoring Process is presented before the four process groups in order to align subsequent clause numbering

of processes in this document with equivalent processes in ISO/IEC 15288.
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ISO/IEC 15504-6:2013(E)
4.2.1 Processes
Figure 2 — Process Grouping

Figure 2 lists the processes from ISO/IEC 15288, which are included in the process dimension of the

exemplar System Life Cycle Process Assessment Model.

Each Process Group includes a list of the processes it contains. Each process 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 Groups are described in more detail below.
4.2.1.1 Agreement System Life Cycle Process Group

The Agreement process group consists of processes performed in order to establish agreements with

organizational entities external and internal to the organization. These processes define the activities

necessary to establish an agreement between two organizations. Invocation of the Acquisition Process

provides the means for conducting business with a supplier of products that are supplied for use as an

operational system, of services in support of an operational system, or of elements of a system being

developed by
...

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