ISO/IEC TR 15504-6:2008

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

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ISO/IEC TR 15504-6:2008(E)
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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
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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

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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]
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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.
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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.

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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
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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
44
---- PredPrediiccttaabblle (e (22 at atttrribibuuttes)es)
LevelLevel : :

---- 33 EEsstatabliblisshehed (2d (2 aattrttributeibutess))
LevelLevel : :

---- 22 MMaananageged  (2d  (2 a attrttributeibutess))
LevelLevel : :

11
---- 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,
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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
...