Information technology -- Process assessment

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. ISO/IEC TR 15504-6:2008 describes an exemplar Process Assessment Model (PAM) for system life cycle processes, conformant with the ISO/IEC 15504-2 requirements for a PAM. The ISO/IEC TR 15504-6:2008 exemplar PAM is derived from the Process Reference Model (PRM) defined in ISO/IEC 15288, associated with the process attributes defined in ISO/IEC 15504-2. The resulting PAM is a two-dimensional PAM which provides indicators for guidance on the interpretation of the process purposes and outcomes as defined in ISO/IEC 15288, and the process attributes as defined in ISO/IEC 15504‑2. It can be used to perform a process assessment conformant with ISO/IEC 15504-2, either in the context of a process improvement programme or for process capability determination. ISO/IEC TR 15504-6:2008 describes the overall structure of the PAM with its process dimension (derived from ISO/IEC 15288) and capability dimension (derived from the measurement framework defined in ISO/IEC 15504-2); process performance indicators (base practices and work products) for 26 processes drawn from ISO/IEC 15288; process capability indicators (generic practices, generic resources and generic work products) which characterize, for any process attribute of the capability dimension, what are the expected characteristics that demonstrate achievement of that process attribute. ISO/IEC TR 15504-6:2008 also includes the demonstration of conformity of the PAM with the requirements of ISO/IEC 15504-2; the detailed characteristics of the work products and the generic work products; guidance for adapting the PAM and defining additional assessment indicators.

Technologies de l'information -- Évaluation des procédés

General Information

Status
Withdrawn
Publication Date
16-Sep-2008
Withdrawal Date
16-Sep-2008
Current Stage
6060 - International Standard published
Start Date
22-Jul-2008
Completion Date
17-Sep-2008
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TECHNICAL ISO/IEC
REPORT TR
15504-6
First edition
2008-10-01
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 TR 15504-6:2008(E)
ISO/IEC 2008
---------------------- Page: 1 ----------------------
ISO/IEC TR 15504-6:2008(E)
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ii © ISO/IEC 2008 – All rights reserved
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ISO/IEC TR 15504-6:2008(E)
Contents Page

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

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

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

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

3 Terms and definitions ...........................................................................................................................2

4 Overview of the exemplar Process Assessment Model....................................................................2

4.1 Introduction to Overview ......................................................................................................................2

4.2 Structure of the exemplar Process Assessment Model....................................................................3

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

4.2.2 Process dimension................................................................................................................................7

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 and process performance indicators (level 1) ........................................12

5.1 Tailoring Process (TLR)......................................................................................................................13

5.2 Agreement Processes (AGR) .............................................................................................................16

5.2.1 Introduction..........................................................................................................................................16

5.2.2 AGR.1 Acquisition Process................................................................................................................16

5.2.3 AGR.2 Supply Process........................................................................................................................18

5.3 Enterprise Processes (ENT)...............................................................................................................20

5.3.1 Introduction..........................................................................................................................................20

5.3.2 ENT.1 Enterprise Environment Management Process ....................................................................20

5.3.3 ENT.2 Investment Management Process ..........................................................................................22

5.3.4 ENT.3 System Life Cycle Processes Management Process ..........................................................24

5.3.5 ENT.4 Resource Management Process............................................................................................25

5.3.6 ENT.5 Quality Management Process ................................................................................................26

5.4 Project Processes (PRJ).....................................................................................................................28

5.4.1 Introduction..........................................................................................................................................28

5.4.2 PRJ.1 Project Planning Process .......................................................................................................28

5.4.3 PRJ.2 Project Assessment Process .................................................................................................31

5.4.4 PRJ.3 Project Control Process .........................................................................................................33

5.4.5 PRJ.4 Decision-making Process.......................................................................................................35

5.4.6 PRJ.5 Risk Management Process.....................................................................................................36

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

5.4.8 PRJ.7 Information Management Process.........................................................................................40

5.5 Technical Processes (TEC) ................................................................................................................42

5.5.1 Introduction..........................................................................................................................................42

5.5.2 TEC.1 Stakeholder Requirements Definition Process....................................................................43

5.5.3 TEC.2 Requirements Analysis Process ...........................................................................................46

5.5.4 TEC.3 Architectural Design Process ................................................................................................49

5.5.5 TEC.4 Implementation Process.........................................................................................................52

5.5.6 TEC.5 Integration Process.................................................................................................................54

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

© ISO/IEC 2008 – All rights reserved iii
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ISO/IEC TR 15504-6:2008(E)

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

6 Process capability indicators (level 1 to 5) .......................................................................................68

6.1 Level 1: Performed process................................................................................................................68

6.1.1 PA 1.1 Process performance attribute. .............................................................................................68

6.2 Level 2: Managed process ..................................................................................................................68

6.2.1 PA 2.1 Performance management attribute ......................................................................................69

6.2.2 PA 2.2 Work product management attribute.....................................................................................71

6.3 Level 3: Established process .............................................................................................................73

6.3.1 PA 3.1 Process definition attribute ....................................................................................................73

6.3.2 PA 3.2 Process deployment attribute ................................................................................................75

6.4 Level 4: Predictable process ..............................................................................................................78

6.4.1 PA 4.1 Process measurement attribute.............................................................................................78

6.4.2 PA 4.2 Process control attribute ........................................................................................................80

6.5 Level 5: Optimizing process ...............................................................................................................82

6.5.1 PA 5.1 Process innovation attribute ..................................................................................................82

6.5.2 PA 5.2 Process optimization attribute ...............................................................................................84

6.6 Processes Supporting Process Attributes .......................................................................................86

7 Bibliography.........................................................................................................................................86

Annex A (informative) Conformity of the exemplar Process Assessment Model ......................................87

A.1 Introduction..........................................................................................................................................87

A.2 Requirements for Process Assessment Models (from ISO/IEC 15504-2) ......................................87

A.2.1 Introduction..........................................................................................................................................87

A.2.2 Process Assessment Model scope....................................................................................................87

A.2.3 Process Assessment Model elements and indicators.....................................................................88

A.2.4 Mapping Process Assessment Models to Process Reference Models..........................................88

A.2.5 Expression of assessment results.....................................................................................................91

Annex B (informative) Work Product Characteristics ...................................................................................92

B.1 Generic Work Products.......................................................................................................................93

B.2 Generic Work Products and specific Work Products ......................................................................95

Annex C (informative) Adaptation of the assessment model .....................................................................114

C.1 Assessment indicators identification..............................................................................................114

C.1.1 Base practices....................................................................................................................................114

C.1.2 Generic practices...............................................................................................................................115

C.2 Adaptation of the exemplar Process Assessment Model .............................................................116

C.2.1 Adding to or removing processes from the process dimension..................................................116

C.2.2 Identifying process performance indicators for a new process...................................................117

Bibliography ....................................................................................................................................................118

iv © ISO/IEC 2008 – All rights reserved
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ISO/IEC TR 15504-6:2008(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.

In exceptional circumstances, the joint 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, when the joint 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.

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 TR 15504-6, which is a Technical Report of type 2, was prepared by Joint Technical Committee

ISO/IEC JTC 1, Information technology, Subcommittee SC 7, Software and systems enginering.

ISO/IEC TR 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

⎯ Part 6: An exemplar system life cycle process assessment model [Technical Report]

© ISO/IEC 2008 – All rights reserved v
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ISO/IEC TR 15504-6:2008(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 15288:2002 has been used as the basis for the Process

Assessment Model in this part of ISO/IEC 15504. Relevant material from ISO/IEC 15288:2002 is included in

this Technical Report, and it is not necessary to refer to ISO/IEC 15288 in order to use this Technical Report.

After evaluation of this Technical Report in use, it will be amended to reflect the current version of

ISO/IEC 15288.

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 ISO/IEC 15504-5. It may be used in conjunction with

ISO/IEC 15504-5 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/IEC 15289:2006, Systems and software engineering — Content of systems and software life cycle

process information products (Documentation) as the basis for the Generic Work Products.

This part of ISO/IEC 15504 is structured as follows.

⎯ 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.
vi © ISO/IEC 2008 – All rights reserved
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ISO/IEC TR 15504-6:2008(E)

⎯ 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

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.

⎯ The bibliography contains a list of informative references.
© ISO/IEC 2008 – All rights reserved vii
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TECHNICAL REPORT ISO/IEC TR 15504-6:2008(E)
Information technology — Process assessment —
Part 6:
An exemplar system life cycle process assessment model
1 Scope
This 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 15288 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

systems 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.

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

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

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 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 2008 – All rights reserved 1
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ISO/IEC TR 15504-6:2008(E)
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.

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.
CAPABICAPABILILITTYY
DiDimmeensinsioonn
ISISOO/IE/IECC
1550415504--22
---- 55 OptiOptimimizizingng (2(2 a attrttributeibutess))
LevelLevel : :
ISISOO//IEIECC 15288
---- PredPrediiccttaabblle (e (22 at atttrribibuuttes)es)
LevelLevel : :
---- 33 EEsstatabliblisshehed (2d (2 aattrttributeibutess))
LevelLevel : :
---- 22 MMaananageged (2d (2 a attrttributeibutess))
LevelLevel : :
---- PPeerrfformeormed (1d (1 aattrttributeibute))
LevelLevel : :
ProcessProcess RefRefeerencerence
MModel (odel (PPRM)RM)
---- 00 IncompleteIncomplete
LevelLevel : :
Agreement processes
PROPROCCESSESS
DiDimmeensinsioonn
PrProocceessessess
Enterprise processes
PrProocceessessess
Project processes
Technical processes
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 15288.

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,

2 © ISO/IEC 2008 – All rights reserved
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ISO/IEC TR 15504-6:2008(E)

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

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
...

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