Space product assurance - Software process assessment and improvement - Part 2: Assessor instrument

This handbook provides assessors with a number of instruments needed to perform software process capability assessments using the assessment method described in EN 17603-80-11 (equivalent to ECSS-Q-HB-80-02 Part 1). It also provides instruments that help assessors to carry out their activities when performing assessments and supporting the implementation of software process improvement initiatives using the method for process improvement described in Part 1.
The instruments provided are:
• The Process Assessment Model (PAM) required to perform assessments including process descriptions and process attribute indicators
• Conformance statement to the requirements in ISO/IEC 15504 Part 2
• A definition of the Process Reference Model (PRM) on which TR 17603-80-11 and TR 17603-80-12 (equivalent to ECSS-Q-HB-80-02 Part 1 and 2) PAM are based (defined in TR 17603-80-11)
• Detailed traces from base practices in the PAM to standard clauses and from work products to expected outputs.

Raumfahrtproduktsicherung - Software - Prozessüberprüfung und -verbesserung - Teil 2: Gutachter

Assurance produit des projets spatiaux - Evaluation et amélioration des processus logiciel - Partie 2: Elément d’évaluation

Zagotavljanje kakovosti proizvodov v vesoljski tehniki - Ocenjevanje in izboljšanje programske opreme - 2. del: Instrument ocenjevalca

General Information

Status
Published
Public Enquiry End Date
30-Jul-2021
Publication Date
14-Oct-2021
Technical Committee
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
13-Oct-2021
Due Date
18-Dec-2021
Completion Date
15-Oct-2021

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Standards Content (sample)

SLOVENSKI STANDARD
SIST-TP CEN/CLC/TR 17602-80-12:2021
01-december-2021

Zagotavljanje kakovosti proizvodov v vesoljski tehniki - Ocenjevanje in izboljšanje

programske opreme - 2. del: Instrument ocenjevalca
Space product assurance - Software process assessment and improvement - Part 2:
Assessor instrument

Raumfahrtproduktsicherung - Software - Prozessüberprüfung und -verbesserung - Teil 2:

Gutachter

Assurance produit des projets spatiaux - Evaluation et amélioration des processus

logiciel - Partie 2: Elément d’évaluation
Ta slovenski standard je istoveten z: CEN/CLC/TR 17602-80-12:2021
ICS:
03.120.99 Drugi standardi v zvezi s Other standards related to
kakovostjo quality
35.080 Programska oprema Software
49.140 Vesoljski sistemi in operacije Space systems and
operations
SIST-TP CEN/CLC/TR 17602-80-12:2021 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST-TP CEN/CLC/TR 17602-80-12:2021
TECHNICAL REPORT
CEN/CLC/TR 17602-80-
RAPPORT TECHNIQUE
TECHNISCHER BERICHT
October 2021
ICS 49.140; 35.240.99
English version
Space product assurance - Software process assessment
and improvement - Part 2: Assessor instrument

Assurance produit des projets spatiaux - Evaluation et Raumfahrtproduktsicherung - Software -

amélioration des processus logiciel - Partie 2: Elément Prozessüberprüfung und -verbesserung - Teil 2:

d'évaluation Gutachter

This Technical Report was approved by CEN on 13 September 2021. It has been drawn up by the Technical Committee

CEN/CLC/JTC 5.

CEN and CENELEC members are the national standards bodies and national electrotechnical committees of Austria, Belgium,

Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy,

Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of North Macedonia, Romania, Serbia,

Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.
CEN-CENELEC Management Centre:
Rue de la Science 23, B-1040 Brussels

© 2021 CEN/CENELEC All rights of exploitation in any form and by any means Ref. No. CEN/CLC/TR 17602-80-12:2021 E

reserved worldwide for CEN national Members and for
CENELEC Members.
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Table of contents

European Foreword ................................................................................................... 4

Introduction ................................................................................................................ 5

1 Scope ....................................................................................................................... 6

2 References .............................................................................................................. 7

3 Terms, definitions and abbreviated terms ............................................................ 9

3.1 Terms and definitions ............................................................................................... 9

3.2 Abbreviated terms..................................................................................................... 9

4 Process Assessment Model ................................................................................ 10

4.1 Process dimension ................................................................................................. 10

4.1.1 Introduction ............................................................................................... 10

4.1.2 Process definitions .................................................................................... 12

4.1.2.1 Acquisition process group (ACQ) .............................................................13

4.1.2.1.1 ACQ.1 Acquisition Preparation ............................................13

4.1.2.1.2 ACQ.2 Supplier Selection ....................................................14

4.1.2.1.3 ACQ.3 Contract Agreement .................................................15

4.1.2.1.4 ACQ.4 Supplier Monitoring ..................................................16

4.1.2.1.5 ACQ.5 Customer Acceptance..............................................18

4.1.2.1.6 ACQ.6 Contract Maintenance ..............................................19

4.1.2.2 Supply process group (SPL) ....................................................................20

4.1.2.2.1 SPL.1 Supplier Tendering ....................................................20

4.1.2.2.2 SPL.2 Product Release .......................................................22

4.1.2.2.3 SPL.3 Product Acceptance Support ....................................24

4.1.2.3 Operation process group (OPE) ...............................................................25

4.1.2.3.1 OPE.1 Operational Use .......................................................25

4.1.2.3.2 OPE.2 Customer Support ....................................................26

4.1.2.4 Engineering process group (ENG) ...........................................................28

4.1.2.4.1 ENG.1 Requirements Elicitation ..........................................28

4.1.2.4.2 ENG.2 System Requirements Analysis ...............................29

4.1.2.4.3 ENG.3 System Architectural Design ....................................30

4.1.2.4.4 ENG.4 Software Requirements Analysis .............................32

4.1.2.4.5 ENG.5 Software Design .......................................................34

4.1.2.4.6 ENG.6 Software Construction..............................................36

4.1.2.4.7 ENG.7 Software Integration .................................................38

4.1.2.4.8 ENG.8 Software Testing ......................................................40

4.1.2.4.9 ENG.9 System Integration ...................................................41

4.1.2.4.10 ENG.10 System Testing ......................................................42

4.1.2.4.11 ENG.11 Software Installation...............................................43

4.1.2.4.12 ENG.12 Software and System Maintenance .......................44
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4.1.2.5 Supporting process group (SUP) .............................................................47

4.1.2.5.1 SUP.1 Quality Assurance ....................................................47

4.1.2.5.2 SUP.2 Verification ................................................................48

4.1.2.5.3 SUP.3 Validation ..................................................................51

4.1.2.5.4 SUP.4 Joint Review .............................................................52

4.1.2.5.5 SUP.5 Audit .........................................................................54

4.1.2.5.6 SUP.6 Product Evaluation ...................................................55

4.1.2.5.7 SUP.7 Documentation .........................................................57

4.1.2.5.8 SUP.8 Configuration Management ......................................59

4.1.2.5.9 SUP.9 Problem Resolution Management ............................61
4.1.2.5.10 SUP.10 Change Request Management ..............................63
4.1.2.5.11 SUP.11 Safety and Dependability Assurance .....................64
4.1.2.5.12 SUP.12 Independent Software Verification and Validation .66

4.1.2.6 Management process group (MAN) .........................................................67

4.1.2.6.1 MAN.1 Organizational Alignment ........................................67

4.1.2.6.2 MAN.2 Organization Management ......................................70

4.1.2.6.3 MAN.3 Project Management................................................71

4.1.2.6.4 MAN.4 Quality Management................................................73

4.1.2.6.5 MAN.5 Risk Management ....................................................76

4.1.2.6.6 MAN.6 Measurement ...........................................................77

4.1.2.6.7 MAN.7 Information Management .........................................79

4.1.2.7 Process improvement process group (PIM) .............................................81

4.1.2.7.1 PIM.1 Process Establishment ..............................................81

4.1.2.7.2 PIM.2 Process Assessment .................................................82

4.1.2.7.3 PIM.3 Process Improvement ...............................................83

4.1.2.8 Resource and infrastructure process group (RIN) ...................................84

4.1.2.8.1 RIN.1 Human Resource Management ................................84

4.1.2.8.2 RIN.2 Training ......................................................................87

4.1.2.8.3 RIN.3 Knowledge Management ...........................................88

4.1.2.8.4 RIN.4 Infrastructure .............................................................89

4.1.2.9 Reuse process group (REU) ....................................................................90

4.1.2.9.1 REU.1 Asset Management ..................................................90

4.1.2.9.2 REU.2 Reuse Program Management ..................................92

4.1.2.9.3 REU.3 Domain Engineering .................................................93

4.2 Work product characteristics ................................................................................... 95

4.3 Capability dimension ............................................................................................... 95

4.4 Related processes for process attributes ................................................................ 96

Annex A Conformance with ISO/IEC 15504 ........................................................... 97

Annex B Links between WP and ECSS expected outputs ................................... 98

Annex C Traceability between BP and ECSS ...................................................... 114

Tables

Table 4-1: ECSS-Q-HB-80-02 set of processes.................................................................... 10

Table 4-2: Related processes for process attributes ............................................................. 96

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European Foreword

This document (CEN/CLC/TR 17602-80-12:2021) has been prepared by Technical Committee

CEN/CLC/JTC 5 “Space”, the secretariat of which is held by DIN.

It is highlighted that this technical report does not contain any requirement but only collection of data

or descriptions and guidelines about how to organize and perform the work in support of EN 16602-

80.

This Technical report (CEN/CLC/TR 17602-80-12:2021) originates from ECSS-Q-HB-80-02 Part 2A.

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. CEN [and/or CENELEC] shall not be held responsible for identifying any or all such

patent rights.

This document has been prepared under a mandate given to CEN by the European Commission and

the European Free Trade Association.

This document has been developed to cover specifically space systems and has therefore precedence

over any TR covering the same scope but with a wider domain of applicability (e.g.: aerospace).

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Introduction

This Standard provides the instruments needed by competent assessors to perform assessments and to

support improvement initiatives based on the framework described in TR 17603-80-11 (equivalent to

ECSS-Q-HB-80-02 Part 1).

The ECSS-Q-HB-80-02 assessment method is a space specific instantiation of ISO/IEC 15504-5. In turn,

ISO/IEC 15504 provides a common internationally recognized framework for the terminology and

reference process assessment description.

The instruments provided in this handbook, when applied by competent assessors, support

application of the methods described in Part 1 and allow claiming conformance to those methods and

to requirements in ECSS-Q-ST-80. Specific instruments are also provided to enable claiming

conformance to the requirements in ISO/IEC 15504 for process assessments as an additional advantage

of the application of this Standard.

While the instruments provided in this handbook may be provide useful information to participants

in process assessment and improvement in general, their use is intended specifically for competent

assessors. This handbook does not pose any requirements on the organisations being assessed or

carrying out process improvement programmes whether using the methods described in Part 1 or not.

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Scope

This handbook provides assessors with a number of instruments needed to perform software process

capability assessments using the assessment method described in Part 1. It also provides instruments

that help assessors to carry out their activities when performing assessments and supporting the

implementation of software process improvement initiatives using the method for process

improvement described in Part 1.
The instruments provided are:

• The Process Assessment Model (PAM) required to perform ECSS-Q-HB-80-02 assessments

including process descriptions and process attribute indicators
• Conformance statement to the requirements in ISO/IEC 15504 Part 2

• A definition of the Process Reference Model (PRM) on which the ECSS-Q-HB-80-02 PAM is

based (defined in ECSS-Q-HB-80-02 Part 1)

• Detailed traces from base practices in the ECSS-Q-HB-80-02 PAM to ECSS standards clauses

and from ECSS-Q-HB-80-02 work products to ECSS expected outputs
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References
EN Reference EN in text Title
EN 16601-00-01 ECSS-S-ST-00-01 ECSS System - Glossary of terms
EN 16601-10 ECSS-M-ST-10C rev.1 Space project management - Project planning and
implementation

EN 16601-10-01 ECSS-M-ST-10-01C Space project management - Organization and conduct

of reviews
EN 16601-40 ECSS-M-ST-40C rev.1 Space project management - Configuration and
information management
EN 16601-60 ECSS-M-ST-60C Space project management - Cost and schedule
management
EN 16601-80 ECSS-M-ST-80C Space project management - Risk management
EN 16602-10 ECSS-Q-ST-10C Space product assurance - Product assurance
management
EN 16602-10-04 ECSS-Q-ST-10-04C Space product assurance - Critical-item control
EN 16602-10-09 ECSS-Q-ST-10-09C Space product assurance - Nonconformance control
system
EN 16602-20 ECSS-Q-ST-20C Space product assurance - Quality assurance

EN 16602-20-07 ECSS-Q-20-07A Space product assurance - Quality assurance for test

centres
EN 16602-30 ECSS-Q-ST-30C Space product assurance - Dependability
EN 16602-40 ECSS-Q-ST-40C Space product assurance - Safety
EN 16602-80 ECSS-Q-ST-80C Space product assurance – Software product assurance
EN 16603-10 ECSS-E-ST-10C System engineering general requirements
EN 16603-10-02 ECSS-E-ST-10-02C Space engineering - Verification
EN 16603-10-03 ECSS-E-10-03A Space engineering - Testing
EN 16603-40 ECSS-E-ST-40C Space engineering – Software
ISO/IEC 15504: 2003- Information technology – Process assessment
2006
Part 1: Concepts and vocabulary (normative)
Part 2: Performing an assessment (normative)
Part 3: Guidance on performing an assessment
(informative)
Part 4: Guidance on use for process improvement and
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process capability determination (informative)
Part 5: An exemplar process assessment model
(informative)
ISO/IEC 12207:2004 Information Technology – Software life cycle processes
Amd 1/Amd 2
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Terms, definitions and abbreviated terms
3.1 Terms and definitions

For the purpose of this document, the terms and definitions from ECSS-S-ST-00-01 and ECSS-Q-HB-

80-02 Part 1 apply.
3.2 Abbreviated terms

For the purpose of this document, the abbreviated terms from ECSS-S-ST-00-01, ECSS-Q-HB-80-02

part 1 and the following apply:
Abbreviation Meaning
Independent Software Verification and Validation
ISVV
Process Assessment Model
PAM
Process Reference Model
PRM
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Process Assessment Model
4.1 Process dimension
4.1.1 Introduction

This clause defines the process dimension of the process assessment model (PAM). The process

dimension is directly mapped to the process list defined in the Process Reference Model (PRM) which

is based on ISO/IEC 12207 Amendment 1+Amendment 2 and adds a number of space specific

processes to it.
The PRM is defined in ECSS-Q-HB-80-02 Part 1.

The process dimension contains three categories organized in the groups of processes listed in Table

4-1. Processes added in this Standard over the ones in ISO/IEC 15504 Part 5 are marked in bold.

Table 4-1: ECSS-Q-HB-80-02 set of processes
Primary life cycle processes
Acquisition process group(ACQ) ACQ.1 Acquisition preparation
ACQ.2 Supplier selection
ACQ.3 Contract agreement
ACQ.4 Supplier monitoring
ACQ.5 Customer acceptance
(*)
ACQ.6 Contract maintenance
Supply process group (SPL) SPL.1 Supplier tendering
SPL.2 Product release
SPL.3 Product acceptance support
Operation process group (OPE) OPE.1 Operational use
OPE.2 Customer support
Engineering process group (ENG) ENG.1 Requirements elicitation
ENG.2 System requirements analysis
ENG.3 System architecture design
ENG.4 Software requirements analysis
ENG.5 Software Design
ENG.6 Software construction
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ENG.7 Software integration
ENG.8 Software testing
ENG.9 System integration
ENG.10 System testing
ENG.11 Software installation
ENG.12 Software and system maintenance
Supporting life cycle processes
Supporting process (SUP) SUP.1 Quality assurance
SUP.2 Verification
SUP.3 Validation
SUP.4 Joint review
SUP.5 Audit
SUP.6 Product evaluation
SUP.7 Documentation
SUP.8 Configuration management
SUP.9 Problem resolution management
SUP.10 Change request management
(*)
SUP.11 Safety and dependability assurance
(*)
SUP.12 Independent software verification and
validation
Organizational life cycle processes
Management process group (MAN) MAN.1 Organizational alignment
MAN.2 Organization management
MAN.3 Project management
MAN.4 Quality management
MAN.5 Risk management
MAN.6 Measurement
(*)
MAN.7 Information management
Process improvement process group PIM.1 Process establishment
(PIM)
PIM.2 Process assessment
PIM.3 Process Improvement
Resource and infrastructure process RIN.1 Human resource management
group (RIN)
RIN.2 Training
RIN.3 Knowledge management
RIN.4 Infrastructure
Reuse process group (REU) REU.1 Asset Management
REU.2 Reuse program management
REU.3 Domain engineering
(*)
: processes added in this handbook w.r.t the ones in ISO/IEC 15504 Part 5

These categories and basic processes correspond to all processes involved for the development of

software for space. Requirements applied for their performance are mostly described in ECSS-Q-ST-

80C and ECSS-E-ST-40C but also in other Management, Engineering and Quality ECSS Standards. The

links between Base Practices of S4S PAM and ECSS requirements are provided in this document.

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4.1.2 Process definitions

This clause provides definitions for all the processes in the PAM. The definitions provided here are

mostly based on those in ISO/IEC 15504 Part 5. The definitions are an instrument for competent

assessors when measuring the capability of processes in an organization. Other parties may use them

as a source of information but they do not construe requirements for the implementation of processes.

The definition of each process consists of:

• A process identifier consisting of a code for the process group and a process number within that

group
• The process name
• The process purpose
• The process outcomes

The definition of each process is supported by a number of indicators to help assessors in rating the

process:

• A set of base practices mapped to the process outcomes. These base practices are the activities

and tasks that should be present in implementing the process. Some of these base practices are

of special relevance for specific software criticality classes. This is reflected by specifying where

relevant the classes to which the base practice is most relevant. The definition used here for

those criticality classes is the same one used in the example target capability profiles proposed

in Part 1 of this standard.

• Where relevant, notes that clarify the meaning, or show possible implementations of specific

base practices either per se or in relation to ECSS. Notes originating from ISO/IEC 15504 are

assigned a sequential number. Space or ECSS specific notes are assigned an uppercase letter.

These notes are not intended to represent requirements but to provide assessors with additional

information in interpreting the process definition in the context of space projects. The notes

describe common practice in space projects. In some instances the notes give an indication that

ECSS standards do impose specific requirements. Note that short references like ECSS-Q-80

refers to ECSS-Q-ST-80C as identified in chapter 2.

• Input and output work products associated to the process. Most work products originate in the

ISO/IEC 15504-5 definition of the process but slight differences may have been introduced to

better match to the ECSS PRM. A few of them have been added specifically to the PAM and are

space specific.

Components of the process definitions taken from ISO/IEC 15504 are shown in normal text while

ECSS-Q-HB-80-02 specific additions are shown in italics.

Please note that the material taken from ISO/IEC 15504 (normal text) may not always comply with

standard terminology and conventions applicable to ECSS standards. The space specific material (in

italics) in the process definitions has been written with the ECSS conventions in mind but sometimes

these are not followed to keep the uniformity and consistency between ISO/IEC 15504 material and

ECSS-Q-HB-80-02 specific material.
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4.1.2.1 Acquisition process group (ACQ)
4.1.2.1.1 ACQ.1 Acquisition Preparation
ACQ.1
Process ID
Acquisition Preparation
Process Name

The purpose of the Acquisition Preparation process is to establish the needs and goals of

Process Purpose
the acquisition and to communicate these with the potential suppliers.

Process Outcomes As a result of successful implementation of the Acquisition Preparation process:

1) the concept or the need for the acquisition, development, or enhancement is
established;

2) the needed acquisition requirements defining the project needs are defined and

validated;
3) the customer’s known requirements are defined and validated;
4) an acquisition strategy is developed; and
5) supplier selection criteria are defined.
Base Practices ACQ.1.BP1: Establish the need.

Establish a need to acquire, develop, or enhance a system, software product or service.

[Outcomes: 1]
ACQ.1.BP2: Define the requirements.

Identify the customer/stakeholder requirements for a system and/or software product or

service. [Outcomes: 2, 3]
NOTE A: Establish requirements for each supplier.
Project Requirements Documents (= Requests for proposal) are issued by
the customer to all of his subordinate suppliers. The Project Requirements
Documents includes requirements for all aspects of the project and not be
limited to technical requirements.
The customer releases the Functional Specification for the product.
The customer should specify the technical budget target and margin
philosophy. Here technical budgets refer to those associated with
computer resources (CPU load, maximum memory size) and performance
requirements.

NOTE B: For space segment software, the criticality levels of the software elements

are determined at the functional state of the project.
For space segment software, the requirements of in-flight modification
capabilities of the software elements are determined at this stage .
The customer’s need for a MMI mock-up is defined at this stage, and if so,
general MMI standards and guidelines applicable to the project are
established.
ACQ.1.BP3: Review requirements.

Analyze and validate the defined requirements against the identified needs. Validate the

requirements to reduce risk of misunderstanding by the potential suppliers. [Outcomes:3]

ACQ.1.BP4: Develop acquisition strategy.

Develop a strategy for the acquisition of the product according to the acquisition needs.

[Outcomes: 4]
NOTE 1: The strategy may include reference to the lifecycle model, schedule,
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budget and selection criteria.
NOTE C: ECSS-Q-20 defines requirements for procurement.
NOTE D: When necessary, engage in assessment work or technology qualification,
as well as starting long-lead procurements and Support System
development.
NOTE E: Note that when purchasing COTS products, the acquisition process should
be tailored. See PIM.1.BP.5.
ACQ.1.BP5: Define selection criteria.

Establish and agree on supplier selection criteria and the means of evaluation to be used

[Outcomes: 4, 5].
ACQ.1.BP6: Communicate the need.

Communicate the need for acquisition to interest parties through the identified channels.

[Outcomes: 1]
ACQ.1.BP7: Tailor the standard requirements.
Tailor requirements according to the project context, needs and objectives.
[Outcomes:3]
Work Products
Input Work Products Output Work Products

WP15-04 Market analysis report [Outcomes: 2] WP08-02 Acquisition plan [Outcomes: 4]

WP15-19 Product needs assessment [Outcomes: 1, 3, 4] WP12-01 Request for proposal [Outcomes: 4, 5]

WP18-00 Standard [Outcomes: 7] WP13-19 Review records [Outcomes: 3]
WP15-01 Analysis report [Outcomes: 1, 2]
WP15-19 Product needs assessment [Outcomes: 2, 3]
WP17-03 Customer requirements [Outcomes: 3]
WP17-09 Product requirements [Outcomes: 3]
WP18-01 Acceptance criteria [Outcomes: 2]
WP18-08 Supplier selection criteria [Outcomes: 5]
WP50-01 Software system specification [Outcomes: 3]
WP50-02 Software requirements specification [Outcomes: 3]
WP18-00 Standard [Outcomes: 7]
4.1.2.1.2 ACQ.2 Supplier Selection
Process ID ACQ.2
Process Name Supplier Selection

Process Purpose The purpose of the Supplier Selection process is to choose the organization that is to be

responsible for the delivery of the requirements of the project.

Process Outcomes As a result of successful implementation of the Supplier Selection process:

1) the supplier selection criteria are established and used to evaluate potential suppliers;

2) the supplier is selected based upon the evaluation of the supplier’s proposals, process

capabilities, and other factors; and

3) an agreement is established and negotiated between the customer and the supplier.

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Base Practices ACQ.2.BP1: Evaluate stated or perceived supplier capability.

Evaluate stated or perceived supplier capability against the stated requirements,

according to the supplier selection criteria. [Outcomes: 1]
NOTE 1: See Acquisition Preparation process (ACQ.1) for definition of supplier
selection criteria.

NOTE A: The assessment of the supplier's continuous capability to furnish software

product and services of the type and quality level being procured may be
performed based on internationally recognised approaches such as those
based on ISO/IEC 155504 (e.g. this standard).
ACQ.2.BP2: Evaluate supplier’s proposal.

Evaluate supplier’s proposal against the stated requirements, according to the supplier

selection criteria. [Outcomes: 2]
ACQ.2.BP3: Prepare and negotiate agreement.

Negotiate a supplier agreement that clearly expresses the customer expectations and the

relative responsibilities of the supplier and customer. [Outcomes: 3]
NOTE B: All work necessary for completing the project is covered by a contract /
agreement.
NOTE C: The customer approves the supplier's Implementation Document (=
Supplier proposal response).

NOTE D: Although this is not normal practice in the space domain, in other domains

a preliminary agreement is established at this stage that is different from
the one referred to in ACQ.3.BP1.
Work Products
Input Work Products Output Work Products

WP09-04 Supplier selection policy [Outcomes: 2] WP02-01 Commitment / agreement [Outcomes: 1, 3]

WP12-01 Request for proposal [Outcomes: 2] WP08-02 Acquisition plan [Outcomes: 1]

...

SLOVENSKI STANDARD
kSIST-TP FprCEN/CLC/TR 17602-80-12:2021
01-julij-2021

Zagotavljanje kakovosti proizvodov v vesoljski tehniki - Ocenjevanje in izboljšanje

programske opreme - 12. del: Instrument ocenjevalca
Space product assurance - Software process assessment and improvement - Part 12:
Assessor instrument

Space Product Assurance - Bewertung und Verbesserung von Softwareprozessen - Teil

12: Assessor-Instrument

Assurance produit des projets spatiaux - Évaluation et amélioration des processus

logiciels - Partie 12 : Instruments des évaluateurs
Ta slovenski standard je istoveten z: FprCEN/CLC/TR 17602-80-12
ICS:
03.120.99 Drugi standardi v zvezi s Other standards related to
kakovostjo quality
35.240.99 Uporabniške rešitve IT na IT applications in other fields
drugih področjih
49.140 Vesoljski sistemi in operacije Space systems and
operations
kSIST-TP FprCEN/CLC/TR 17602-80- en,fr,de
12:2021

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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kSIST-TP FprCEN/CLC/TR 17602-80-12:2021
TECHNICAL REPORT
FINAL DRAFT
FprCEN/CLC/TR 17602-
RAPPORT TECHNIQUE
80-12
TECHNISCHER BERICHT
May 2021
ICS 49.140; 35.240.99
English version
Space product assurance - Software process assessment
and improvement - Part 12: Assessor instrument

Assurance produit des projets spatiaux - Évaluation et Space Product Assurance - Bewertung und

amélioration des processus logiciels - Partie 12 : Verbesserung von Softwareprozessen - Teil 12:

Instruments des évaluateurs Assessor-Instrument

This draft Technical Report is submitted to CEN members for Vote. It has been drawn up by the Technical Committee

CEN/CLC/JTC 5.

CEN and CENELEC members are the national standards bodies and national electrotechnical committees of Austria, Belgium,

Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy,

Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of North Macedonia, Romania, Serbia,

Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.

Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of which they are

aware and to provide supporting documentation.

Warning : This document is not a Technical Report. It is distributed for review and comments. It is subject to change without

notice and shall not be referred to as a Technical Report.
CEN-CENELEC Management Centre:
Rue de la Science 23, B-1040 Brussels

© 2021 CEN/CENELEC All rights of exploitation in any form and by any means Ref. No. FprCEN/CLC/TR 17602-80-12:2021 E

reserved worldwide for CEN national Members and for
CENELEC Members.
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Table of contents

European Foreword ................................................................................................... 4

Introduction ................................................................................................................ 5

1 Scope ....................................................................................................................... 6

2 References .............................................................................................................. 7

3 Terms, definitions and abbreviated terms ............................................................ 9

3.1 Terms and definitions ............................................................................................... 9

3.2 Abbreviated terms..................................................................................................... 9

4 Process Assessment Model ................................................................................ 10

4.1 Process dimension ................................................................................................. 10

4.1.1 Introduction ............................................................................................... 10

4.1.2 Process definitions .................................................................................... 12

4.1.2.1 Acquisition process group (ACQ) .............................................................13

4.1.2.1.1 ACQ.1 Acquisition Preparation ............................................13

4.1.2.1.2 ACQ.2 Supplier Selection ....................................................14

4.1.2.1.3 ACQ.3 Contract Agreement .................................................15

4.1.2.1.4 ACQ.4 Supplier Monitoring ..................................................16

4.1.2.1.5 ACQ.5 Customer Acceptance..............................................18

4.1.2.1.6 ACQ.6 Contract Maintenance ..............................................19

4.1.2.2 Supply process group (SPL) ....................................................................20

4.1.2.2.1 SPL.1 Supplier Tendering ....................................................20

4.1.2.2.2 SPL.2 Product Release .......................................................22

4.1.2.2.3 SPL.3 Product Acceptance Support ....................................24

4.1.2.3 Operation process group (OPE) ...............................................................25

4.1.2.3.1 OPE.1 Operational Use .......................................................25

4.1.2.3.2 OPE.2 Customer Support ....................................................26

4.1.2.4 Engineering process group (ENG) ...........................................................28

4.1.2.4.1 ENG.1 Requirements Elicitation ..........................................28

4.1.2.4.2 ENG.2 System Requirements Analysis ...............................29

4.1.2.4.3 ENG.3 System Architectural Design ....................................30

4.1.2.4.4 ENG.4 Software Requirements Analysis .............................32

4.1.2.4.5 ENG.5 Software Design .......................................................34

4.1.2.4.6 ENG.6 Software Construction..............................................36

4.1.2.4.7 ENG.7 Software Integration .................................................38

4.1.2.4.8 ENG.8 Software Testing ......................................................40

4.1.2.4.9 ENG.9 System Integration ...................................................41

4.1.2.4.10 ENG.10 System Testing ......................................................42

4.1.2.4.11 ENG.11 Software Installation...............................................43

4.1.2.4.12 ENG.12 Software and System Maintenance .......................44
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4.1.2.5 Supporting process group (SUP) .............................................................47

4.1.2.5.1 SUP.1 Quality Assurance ....................................................47

4.1.2.5.2 SUP.2 Verification ................................................................48

4.1.2.5.3 SUP.3 Validation ..................................................................51

4.1.2.5.4 SUP.4 Joint Review .............................................................52

4.1.2.5.5 SUP.5 Audit .........................................................................54

4.1.2.5.6 SUP.6 Product Evaluation ...................................................55

4.1.2.5.7 SUP.7 Documentation .........................................................57

4.1.2.5.8 SUP.8 Configuration Management ......................................59

4.1.2.5.9 SUP.9 Problem Resolution Management ............................61
4.1.2.5.10 SUP.10 Change Request Management ..............................63
4.1.2.5.11 SUP.11 Safety and Dependability Assurance .....................64
4.1.2.5.12 SUP.12 Independent Software Verification and Validation .66

4.1.2.6 Management process group (MAN) .........................................................67

4.1.2.6.1 MAN.1 Organizational Alignment ........................................67

4.1.2.6.2 MAN.2 Organization Management ......................................70

4.1.2.6.3 MAN.3 Project Management................................................71

4.1.2.6.4 MAN.4 Quality Management................................................73

4.1.2.6.5 MAN.5 Risk Management ....................................................76

4.1.2.6.6 MAN.6 Measurement ...........................................................77

4.1.2.6.7 MAN.7 Information Management .........................................79

4.1.2.7 Process improvement process group (PIM) .............................................81

4.1.2.7.1 PIM.1 Process Establishment ..............................................81

4.1.2.7.2 PIM.2 Process Assessment .................................................82

4.1.2.7.3 PIM.3 Process Improvement ...............................................83

4.1.2.8 Resource and infrastructure process group (RIN) ...................................84

4.1.2.8.1 RIN.1 Human Resource Management ................................84

4.1.2.8.2 RIN.2 Training ......................................................................87

4.1.2.8.3 RIN.3 Knowledge Management ...........................................88

4.1.2.8.4 RIN.4 Infrastructure .............................................................89

4.1.2.9 Reuse process group (REU) ....................................................................90

4.1.2.9.1 REU.1 Asset Management ..................................................90

4.1.2.9.2 REU.2 Reuse Program Management ..................................92

4.1.2.9.3 REU.3 Domain Engineering .................................................93

4.2 Work product characteristics ................................................................................... 95

4.3 Capability dimension ............................................................................................... 95

4.4 Related processes for process attributes ................................................................ 96

Annex A Conformance with ISO/IEC 15504 ........................................................... 97

Annex B Links between WP and ECSS expected outputs ................................... 98

Annex C Traceability between BP and ECSS ...................................................... 114

Tables

Table 4-1: ECSS-Q-HB-80-02 set of processes.................................................................... 10

Table 4-2: Related processes for process attributes ............................................................. 96

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European Foreword

This document (FprCEN/CLC/TR 17602-80-12:2021) has been prepared by Technical Committee

CEN/CLC/JTC 5 “Space”, the secretariat of which is held by DIN.

It is highlighted that this technical report does not contain any requirement but only collection of data

or descriptions and guidelines about how to organize and perform the work in support of EN 16602-

80.

This Technical report (FprCEN/CLC/TR 17602-80-12:2021) originates from ECSS-Q-HB-80-02 Part 2A.

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. CEN [and/or CENELEC] shall not be held responsible for identifying any or all such

patent rights.

This document has been prepared under a mandate given to CEN by the European Commission and

the European Free Trade Association.

This document has been developed to cover specifically space systems and has therefore precedence

over any TR covering the same scope but with a wider domain of applicability (e.g.: aerospace).

This document is currently submitted to the CEN CONSULTATION.
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Introduction

This Standard provides the instruments needed by competent assessors to perform assessments and to

support improvement initiatives based on the framework described in TR 17603-80-11 (equivalent to

ECSS-Q-HB-80-02 Part 1).

The ECSS-Q-HB-80-02 assessment method is a space specific instantiation of ISO/IEC 15504-5. In turn,

ISO/IEC 15504 provides a common internationally recognized framework for the terminology and

reference process assessment description.

The instruments provided in this handbook, when applied by competent assessors, support

application of the methods described in Part 1 and allow claiming conformance to those methods and

to requirements in ECSS-Q-ST-80. Specific instruments are also provided to enable claiming

conformance to the requirements in ISO/IEC 15504 for process assessments as an additional advantage

of the application of this Standard.

While the instruments provided in this handbook may be provide useful information to participants

in process assessment and improvement in general, their use is intended specifically for competent

assessors. This handbook does not pose any requirements on the organisations being assessed or

carrying out process improvement programmes whether using the methods described in Part 1 or not.

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Scope

This handbook provides assessors with a number of instruments needed to perform software process

capability assessments using the assessment method described in Part 1. It also provides instruments

that help assessors to carry out their activities when performing assessments and supporting the

implementation of software process improvement initiatives using the method for process

improvement described in Part 1.
The instruments provided are:

 The Process Assessment Model (PAM) required to perform ECSS-Q-HB-80-02 assessments

including process descriptions and process attribute indicators
 Conformance statement to the requirements in ISO/IEC 15504 Part 2

 A definition of the Process Reference Model (PRM) on which the ECSS-Q-HB-80-02 PAM is

based (defined in ECSS-Q-HB-80-02 Part 1)

 Detailed traces from base practices in the ECSS-Q-HB-80-02 PAM to ECSS standards clauses

and from ECSS-Q-HB-80-02 work products to ECSS expected outputs
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References
EN Reference EN in text Title
EN- 16601-00-01 ECSS-S-ST-00-01 ECSS System - Glossary of terms
EN 16601-10 ECSS-M-ST-10C Space project management - Project planning and
rev.1 implementation
EN 16601-10-01 ECSS-M-ST-10-01C Space project management - Organization and
conduct of reviews
EN 16601-40 ECSS-M-ST-40C Space project management - Configuration and
rev.1 information management
EN 16601-60 ECSS-M-ST-60C Space project management - Cost and schedule
management
EN 16601-80 ECSS-M-ST-80C Space project management - Risk management
EN 16602-10 ECSS-Q-ST-10C Space product assurance - Product assurance
management
EN 16602-10-04 ECSS-Q-ST-10-04C Space product assurance - Critical-item control
EN 16602-10-09 ECSS-Q-ST-10-09C Space product assurance - Nonconformance
control system
EN 16602-20 ECSS-Q-ST-20C Space product assurance - Quality assurance
EN 16602-20-07 ECSS-Q-20-07A Space product assurance - Quality assurance for
test centres
EN 16602-30 ECSS-Q-ST-30C Space product assurance - Dependability
EN 16602-40 ECSS-Q-ST-40C Space product assurance - Safety
EN 16602-80 ECSS-Q-ST-80C Space product assurance – Software product
assurance
EN 16603-10 ECSS-E-ST-10C System engineering general requirements
EN 16603-10-02 ECSS-E-ST-10-02C Space engineering - Verification
EN 16603-10-03 ECSS-E-10-03A Space engineering - Testing
EN 16603-40 ECSS-E-ST-40C Space engineering – Software
ISO/IEC 15504: 2003-2006 Information technology – Process assessment
Part 1: Concepts and vocabulary (normative)
Part 2: Performing an assessment (normative)
Part 3: Guidance on performing an assessment (informative)
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Part 4: Guidance on use for process improvement and process
capability determination (informative)
Part 5: An exemplar process assessment model (informative)
ISO/IEC 12207: 2004 Information Technology – Software life cycle processes
Amd 1/Amd 2
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Terms, definitions and abbreviated terms
3.1 Terms and definitions

For the purpose of this document, the terms and definitions from ECSS-S-ST-00-01 and ECSS-Q-HB-

80-02 Part 1 apply.
3.2 Abbreviated terms

For the purpose of this document, the abbreviated terms from ECSS-S-ST-00-01, ECSS-Q-HB-80-02

part 1 and the following apply:
Abbreviation Meaning
Independent Software Verification and Validation
ISVV
Process Assessment Model
PAM
Process Reference Model
PRM
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Process Assessment Model
4.1 Process dimension
4.1.1 Introduction

This clause defines the process dimension of the process assessment model (PAM). The process

dimension is directly mapped to the process list defined in the Process Reference Model (PRM) which

is based on ISO/IEC 12207 Amendment 1+Amendment 2 and adds a number of space specific

processes to it.
The PRM is defined in ECSS-Q-HB-80-02 Part 1.

The process dimension contains three categories organized in the groups of processes listed in Table

4-1. Processes added in this Standard over the ones in ISO/IEC 15504 Part 5 are marked in bold.

Table 4-1: ECSS-Q-HB-80-02 set of processes
Primary life cycle processes
Acquisition process group(ACQ) ACQ.1 Acquisition preparation
ACQ.2 Supplier selection
ACQ.3 Contract agreement
ACQ.4 Supplier monitoring
ACQ.5 Customer acceptance
(*)
ACQ.6 Contract maintenance
Supply process group (SPL) SPL.1 Supplier tendering
SPL.2 Product release
SPL.3 Product acceptance support
Operation process group (OPE) OPE.1 Operational use
OPE.2 Customer support
Engineering process group (ENG) ENG.1 Requirements elicitation
ENG.2 System requirements analysis
ENG.3 System architecture design
ENG.4 Software requirements analysis
ENG.5 Software Design
ENG.6 Software construction
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ENG.7 Software integration
ENG.8 Software testing
ENG.9 System integration
ENG.10 System testing
ENG.11 Software installation
ENG.12 Software and system maintenance
Supporting life cycle processes
Supporting process (SUP) SUP.1 Quality assurance
SUP.2 Verification
SUP.3 Validation
SUP.4 Joint review
SUP.5 Audit
SUP.6 Product evaluation
SUP.7 Documentation
SUP.8 Configuration management
SUP.9 Problem resolution management
SUP.10 Change request management
(*)
SUP.11 Safety and dependability assurance
(*)
SUP.12 Independent software verification and
validation
Organizational life cycle processes
Management process group (MAN) MAN.1 Organizational alignment
MAN.2 Organization management
MAN.3 Project management
MAN.4 Quality management
MAN.5 Risk management
MAN.6 Measurement
(*)
MAN.7 Information management
Process improvement process group PIM.1 Process establishment
(PIM)
PIM.2 Process assessment
PIM.3 Process Improvement
Resource and infrastructure process RIN.1 Human resource management
group (RIN)
RIN.2 Training
RIN.3 Knowledge management
RIN.4 Infrastructure
Reuse process group (REU) REU.1 Asset Management
REU.2 Reuse program management
REU.3 Domain engineering
(*)
: processes added in this handbook w.r.t the ones in ISO/IEC 15504 Part 5

These categories and basic processes correspond to all processes involved for the development of

software for space. Requirements applied for their performance are mostly described in ECSS-Q-ST-

80C and ECSS-E-ST-40C but also in other Management, Engineering and Quality ECSS Standards. The

links between Base Practices of S4S PAM and ECSS requirements are provided in this document.

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4.1.2 Process definitions

This clause provides definitions for all the processes in the PAM. The definitions provided here are

mostly based on those in ISO/IEC 15504 Part 5. The definitions are an instrument for competent

assessors when measuring the capability of processes in an organization. Other parties may use them

as a source of information but they do not construe requirements for the implementation of processes.

The definition of each process consists of:

 A process identifier consisting of a code for the process group and a process number within that

group
 The process name
 The process purpose
 The process outcomes

The definition of each process is supported by a number of indicators to help assessors in rating the

process:

 A set of base practices mapped to the process outcomes. These base practices are the activities

and tasks that should be present in implementing the process. Some of these base practices are

of special relevance for specific software criticality classes. This is reflected by specifying where

relevant the classes to which the base practice is most relevant. The definition used here for

those criticality classes is the same one used in the example target capability profiles proposed

in Part 1 of this standard.

 Where relevant, notes that clarify the meaning, or show possible implementations of specific

base practices either per se or in relation to ECSS. Notes originating from ISO/IEC 15504 are

assigned a sequential number. Space or ECSS specific notes are assigned an uppercase letter.

These notes are not intended to represent requirements but to provide assessors with additional

information in interpreting the process definition in the context of space projects. The notes

describe common practice in space projects. In some instances the notes give an indication that

ECSS standards do impose specific requirements. Note that short references like ECSS-Q-80

refers to ECSS-Q-ST-80C as identified in chapter 2.

 Input and output work products associated to the process. Most work products originate in the

ISO/IEC 15504-5 definition of the process but slight differences may have been introduced to

better match to the ECSS PRM. A few of them have been added specifically to the PAM and are

space specific.

Components of the process definitions taken from ISO/IEC 15504 are shown in normal text while

ECSS-Q-HB-80-02 specific additions are shown in italics.

Please note that the material taken from ISO/IEC 15504 (normal text) may not always comply with

standard terminology and conventions applicable to ECSS standards. The space specific material (in

italics) in the process definitions has been written with the ECSS conventions in mind but sometimes

these are not followed to keep the uniformity and consistency between ISO/IEC 15504 material and

ECSS-Q-HB-80-02 specific material.
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4.1.2.1 Acquisition process group (ACQ)
4.1.2.1.1 ACQ.1 Acquisition Preparation
ACQ.1
Process ID
Acquisition Preparation
Process Name

The purpose of the Acquisition Preparation process is to establish the needs and goals of

Process Purpose
the acquisition and to communicate these with the potential suppliers.

Process Outcomes As a result of successful implementation of the Acquisition Preparation process:

1) the concept or the need for the acquisition, development, or enhancement is
established;

2) the needed acquisition requirements defining the project needs are defined and

validated;
3) the customer’s known requirements are defined and validated;
4) an acquisition strategy is developed; and
5) supplier selection criteria are defined.
Base Practices ACQ.1.BP1: Establish the need.

Establish a need to acquire, develop, or enhance a system, software product or service.

[Outcomes: 1]
ACQ.1.BP2: Define the requirements.

Identify the customer/stakeholder requirements for a system and/or software product or

service. [Outcomes: 2, 3]
NOTE A: Establish requirements for each supplier.
Project Requirements Documents (= Requests for proposal) are issued by
the customer to all of his subordinate suppliers. The Project Requirements
Documents includes requirements for all aspects of the project and not be
limited to technical requirements.
The customer releases the Functional Specification for the product.
The customer should specify the technical budget target and margin
philosophy. Here technical budgets refer to those associated with
computer resources (CPU load, maximum memory size) and performance
requirements.

NOTE B: For space segment software, the criticality levels of the software elements

are determined at the functional state of the project.
For space segment software, the requirements of in-flight modification
capabilities of the software elements are determined at this stage .
The customer’s need for a MMI mock-up is defined at this stage, and if so,
general MMI standards and guidelines applicable to the project are
established.
ACQ.1.BP3: Review requirements.

Analyze and validate the defined requirements against the identified needs. Validate the

requirements to reduce risk of misunderstanding by the potential suppliers. [Outcomes:3]

ACQ.1.BP4: Develop acquisition strategy.

Develop a strategy for the acquisition of the product according to the acquisition needs.

[Outcomes: 4]
NOTE 1: The strategy may include reference to the lifecycle model, schedule,
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budget and selection criteria.
NOTE C: ECSS-Q-20 defines requirements for procurement.
NOTE D: When necessary, engage in assessment work or technology qualification,
as well as starting long-lead procurements and Support System
development.
NOTE E: Note that when purchasing COTS products, the acquisition process should
be tailored. See PIM.1.BP.5.
ACQ.1.BP5: Define selection criteria.

Establish and agree on supplier selection criteria and the means of evaluation to be used

[Outcomes: 4, 5].
ACQ.1.BP6: Communicate the need.

Communicate the need for acquisition to interest parties through the identified channels.

[Outcomes: 1]
ACQ.1.BP7: Tailor the standard requirements.
Tailor requirements according to the project context, needs and objectives.
[Outcomes:3]
Work Products
Input Work Products Output Work Products

WP15-04 Market analysis report [Outcomes: 2] WP08-02 Acquisition plan [Outcomes: 4]

WP15-19 Product needs assessment [Outcomes: 1, 3, 4] WP12-01 Request for proposal [Outcomes: 4, 5]

WP18-00 Standard [Outcomes: 7] WP13-19 Review records [Outcomes: 3]
WP15-01 Analysis report [Outcomes: 1, 2]
WP15-19 Product needs assessment [Outcomes: 2, 3]
WP17-03 Customer requirements [Outcomes: 3]
WP17-09 Product requirements [Outcomes: 3]
WP18-01 Acceptance criteria [Outcomes: 2]
WP18-08 Supplier selection criteria [Outcomes: 5]
WP50-01 Software system specification [Outcomes: 3]
WP50-02 Software requirements specification [Outcomes: 3]
WP18-00 Standard [Outcomes: 7]
4.1.2.1.2 ACQ.2 Supplier Selection
ACQ.2
Process ID
Supplier Selection
Process Name

The purpose of the Supplier Selection process is to choose the organization that is to be

Process Purpose
responsible for the delivery of the requirements of the project.

Process Outcomes As a result of successful implementation of the Supplier Selection process:

1) the supplier selection criteria are established and used to evaluate potential suppliers;

2) the supplier is selected based upon the evaluation of the supplier’s proposals, process

capabilities, and other factors; and

3) an agreement is established and negotiated between the customer and the supplier.

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Base Practices ACQ.2.BP1: Evaluate stated or perceived supplier capability.

Evaluate stated or perceived supplier capability against the stated requirements,

according to the supplier selection criteria. [Outcomes: 1]
NOTE 1: See Acquisition Preparation process (ACQ.1) for definition of supplier
selection criteria.

NOTE A: The assessment of the supplier's continuous capability to furnish software

product and services of the type and quality level being procured may be
performed based on internationally recognised approaches such as those
based on ISO/IEC 155504 (e.g. this standard).
ACQ.2.BP2: Evaluate supplier’s proposal.

Evaluate supplier’s proposal against the stated requirements, according to the supplier

selection criteria. [Outcomes: 2]
ACQ.2.BP3: Prepare and negotiate agreement.

Negotiate a supplier agreement that clearly expresses the customer expectations and the

relative responsibilities of the supplier and custome
...

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