1) The document discusses the process for performing software process assessments based on ISO/IEC 15504. It describes the key activities in planning, data collection, validation, rating, and reporting. 2) It also outlines the roles and responsibilities of the assessment sponsor, competent assessor, and assessors. The sponsor provides resources while the assessor ensures the assessment follows requirements. 3) The measurement framework in ISO 15504 defines capability levels and process attributes used for rating processes on a scale from 0 to 5 based on objective evidence collected.

1. SE423 SPI
CH6-Performing Assessment
& ISO/IEC15504
Kittitouch Suteeca

2. Outline
 The Process Assessment Process
 Process Assessment Model
 Process Assessment Model
 Activities in Process Assessment
 ISO 15504 The Measurement Framework
 Roles and responsibilities

3. Performing an Assessment
 The requirements for performing an assessment defined in
ISO/IEC 15504 aim at achieving a greater degree of uniformity
in the approach to process assessment, so as to maximize the
reliability of different approaches and provide a degree of
comparability between the results of different assessments.
 It may make sense to verify the requirements prior to and
during the course of the assessment so that corrective actions
can occur.

4. The Process Assessment Process
ROLES AND
RESPONSIBILITIES
Sponsor
Competent Assessor
Assessors
ASSESSMENT PROCESS
Planning
Data Collection
Data Validation
Process Attribute Rating
Reporting
INPUT
Sponsor identity
Purpose
Scope
Constraints
Assessment Team
OUTPUT
Identification of
Evidence
Process Used
Process Profiles
PROCESS REFERENCE MODEL
Domain and Scope
Process Purpose
Process Outcomes
PROCESS ASSESSMENT
MODEL
Scope
Indicators
Mapping
Translation
MEASUREMENT FRAMEWORK
Capability Levels
Process Attributes
Rating Scale

5. PRM:
Process Reference Model
 The specific requirements for a candidate
process reference model
 A Process Reference Model shall contain:
 A declaration of the domain of the PRM.
 Descriptions of the process within the scope of the
PRM., in term of process outcome and purpose.
 a description of the relationship between the
Process Reference Model and its intended context
of use.
 Example of PRM.
 ISO 9000, 12207, 29110, CMMi

6. Process Assessment Model

7. PAM:
Process Assessment Model
 A Process Assessment Model forms the basis for the
collection of evidence and rating of process
capability.
 Any Process Assessment Model is related to one or
more Process Reference Models.
 A Process Assessment Model shall contain:
 a definition of its purpose, scope, elements and
indicators;
 its mapping to the Measurement Framework and
the specified Process Reference Model(s);
 a mechanism for consistent expression of results.

8. The Process Assessment Process
ROLES AND
RESPONSIBILITIES
Sponsor
Competent Assessor
Assessors
ASSESSMENT PROCESS
Planning
Data Collection
Data Validation
Process Attribute Rating
Reporting
INPUT
Sponsor identity
Purpose
Scope
Constraints
Assessment Team
OUTPUT
Identification of
Evidence
Process Used
Process Profiles
PROCESS REFERENCE MODEL
Domain and Scope
Process Purpose
Process Outcomes
PROCESS ASSESSMENT
MODEL
Scope
Indicators
Mapping
Translation
MEASUREMENT FRAMEWORK
Capability Levels
Process Attributes
Rating Scale

9. Activities in Process Assessment
Planning
Data
collection
Data
Validation
Rating Reporting

10. 1.Planning
 A plan for the assessment shall be developed and
documented, including at minimum:
1) the required inputs defined in this part of ISO/IEC
15504(PAM.);
2) the activities to be performed in conducting the
assessment;
3) the resources and schedule assigned to these activities;
4) the identity and defined responsibilities of the
participants in the assessment;
5) the criteria to verify that the requirements of this
International Standard have been met;
6) a description of the planned assessment outputs.

11. Assessment input
 Identify of the sponsor of the assessment;
 Assessment purpose.
 Assessment scope.
 Assessment approach.
 Assessment constraints.
 The model(s) used within the assessment.

12. Assessment input (cont’)
 The role and identify of the assessment
team, including the competent assessor.
 The criteria of competent of the assessor
who is responsible for the assessment.
 The identify of assesse and support staff.
 Any additional information to be
collected during the assessment.

13. Activities in Process Assessment
Planning
Data
collection
Data
Validation
Rating Reporting

14. 2.Data collection
 Data required for evaluating the processes
within the scope of the assessment and
additional information shall be collected in a
systematic manner, applying at minimum the
following:
1) the strategy and techniques for the selection,
collection, analysis of data and justification
of the ratings shall be explicitly identified and
shall be demonstrable

15. 2.Data collection
2) correspondence shall be established
between the organizational unit’s
processes, specified in the assessment
scope, and the elements in the Process
Assessment Model;
3) each process identified in the assessment
scope shall be assessed on the basis of
objective evidence;

16. 2.Data collection
4) the objective evidence gathered for
each attribute for each process assessed
shall be sufficient to meet the assessment
purpose and scope;
5) the identification of the objective
evidence gathered shall be recorded
and maintained to provide the basis for
verification of the ratings.

17. Activities in Process Assessment
Planning
Data
collection
Data
Validation
Rating Reporting

18. 3.Data validation
 The data collected shall be validated to:
1) confirm that the evidence collected is
objective;
2) ensure that the objective evidence is
sufficient and representative to cover the
scope and purpose of the assessment;
3) ensure that the data as a whole is
consistent.

19. Activities in Process Assessment
Planning
Data
collection
Data
Validation
Rating Reporting

20. 4.Process attribute rating
 A rating shall be assigned based on validated
data for each process attribute.
1) the set of process attribute ratings shall be
recorded as the process profile for the defined
organizational unit;
2) during the assessment, the defined set of
assessment indicators in the Process Assessment
Model shall be used to support the assessor's
judgment in rating process attributes in order to
provide the basis for repeatability across
assessments;

21. 4.Process attribute rating
3) the decision-making process that is used
to derive rating judgments shall be
recorded;
4) traceability shall be maintained between
an attribute rating and the objective
evidence used in determining that rating;
5) for each process attribute rated, the
relationship between the indicators and
the objective evidence shall be recorded.

22. ISO 15504 The Measurement Framework
Level 1 Performed
PA.1.1 Process Performance
Level 2 Managed
PA.2.1 Performance Management
PA.2.2 Work Product Management
Level 3 Established
PA.3.1 Process Definition
PA.3.2 Process Deployment
Level 4 Predictable
PA.4.1 Process Measurement
PA.4.2 Process Control
Level 5 Optimizing
PA.5.1 Process Innovation
PA.5.2 Process Optimisation
Level 0 Incomplete Incomplete
The process is not implemented or fails to achieve
its purpose
Performed
The process is implemented
and
achieves its process purpose
Managed
The process is managed and
work products are
established, controlled and
maintained.
Predictable
The process is enacted
consistently within defined
limits
Optimizing
The process is continuously improved to meet
relevant current and projected business goals
Established
A defined process is used based
on a standard process.

23. 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.
 The Incomplete process is one that is either not
performed at all, or for which there is little or no evidence
of systematic achievement of the process purpose.
Systematic achievement is characterized by the routine
performance of necessary actions and the presence of
appropriate input and output work products which,
collectively, ensure that the process purpose is achieved.

25. Level 1: Performed process
 The implemented process achieves its
process purpose.
 The following attribute of the process
demonstrates the achievement of this level:
 The Performed process achieves its process
purpose through the performance of
necessary actions and the presence of
appropriate input and output work products
which, collectively, ensure that the process
purpose is achieved.

26. Presenting the Results
Process Profiles and
Capability Level Rating

27. Rating process attributes
 ISO/IEC 15504 provide the basic elements
of a measurement framework for rating
process capability. To complete the
framework, a scale for rating the extent of
achievement of a process attribute is
defined.

28. Rating process attributes
 Process attribute rating values: The ordinal
rating scale defined below shall be used to
express the levels of achievement of the
process attributes.
 N Not achieved: There is little or no evidence of
achievement of the defined attribute in the
assessed process.
 P Partially achieved: There is some evidence of
an approach to, and some achievement of, the
defined attribute in the assessed process. Some
aspects of achievement of the attribute may be
unpredictable.
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29. Rating process attributes
 L Largely achieved: There is evidence of a
systematic approach to, and significant
achievement of, the defined attribute in
the assessed process. Some weakness
related to this attribute may exist in the
assessed process.
 F Fully achieved: There is evidence of a
complete and systematic approach to,
and full achievement of, the defined
attribute in the assessed process. No
significant weaknesses related to this
attribute exist in the assessed process.
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30. Rating process attributes
 The corresponding values shall be:
 N Not achieved 0 to 15%
achievement
 P Partially achieved >15% to 50%
achievement
 L Largely achieved >50% to 85%
achievement
 F Fully achieved >85% to 100%
achievement.
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31. Activities in Process Assessment
Planning
Data
collection
Data
Validation
Rating Reporting

32. 5.Reporting
 The assessment results, including at
minimum the outputs specified PAM., shall
be documented and reported to the
assessment sponsor or to their delegated
representative.

33. Assessment Feedback
Shall contain
 Introduction of organization context.
 Assessment Scope
 Rating Results
 Process Related Risk
 Strengths
 Weaknesses
 Potential Improvement Actions

34. Objective No.
O.1 O.2 O.3 O.4 O.5 O.6 O.7
PM. N L P P F P P
SI. L L N F F P P
Attribute
N Not Achieved
P Partially Achieved
L Largely Achieved
F Fully Achieved
Rating Result

35. The Process Assessment Process
ROLES AND
RESPONSIBILITIES
Sponsor
Competent Assessor
Assessors
ASSESSMENT PROCESS
Planning
Data Collection
Data Validation
Process Attribute Rating
Reporting
INPUT
Sponsor identity
Purpose
Scope
Constraints
Assessment Team
OUTPUT
Identification of
Evidence
Process Used
Process Profiles
PROCESS REFERENCE MODEL
Domain and Scope
Process Purpose
Process Outcomes
PROCESS ASSESSMENT
MODEL
Scope
Indicators
Mapping
Translation
MEASUREMENT FRAMEWORK
Capability Levels
Process Attributes
Rating Scale

36. Roles and responsibilities
 Responsibilities of the Sponsor
a) verify that the individual who is to take
responsibility for conformity of the assessment is a
competent assessor;
b) ensure that resources are made available to
conduct the assessment;
c) ensure that the assessment team has access to
the relevant resources.

37. Roles and responsibilities
Responsibilities of the Competent Assessor
a) confirm the sponsor's commitment to
proceed with the assessment;
b) ensure that the assessment is conducted in
accordance with the requirements of this part
of ISO/IEC 15504;
c) ensure that participants in the assessment are
briefed on the purpose, scope and approach
of the assessment;

38. Responsibilities of the Competent Assessor
d) ensure that all members of the assessment
team have knowledge and skills appropriate
to their roles;
e) ensure that all members of the assessment
team have access to appropriate
documented guidance on how to perform
the defined assessment activities;

39. Roles and responsibilities
 Responsibilities of the Assessors
a) carry out assigned activities associated
with the assessment, e.g. detailed
planning, data collection, data validation
and reporting;
b) rate the process attributes.

40. References
 ISO/IEC 15504-3 manual