Space product assurance - Software process assessment and improvement - Part 1: Framework

This handbook defines methods for process assessment and improvement that may be used to meet the requirements on
process assessment and improvement of the EN16602-80 (equivalent to ECSS-Q-ST-80C) subclause 5.7. These methods constitute a clear and proven w ay of implementing those requirements. Alternative methods can be used provided that they meet the detailed instructions provided in this handbook for recognition of software process assessment schemes and results and process improvement.
This handbook provides a detailed method for the implementation of the requirements of the EN16602-80 for software process assessment and improvement. It also establishes detailed instructions for alternative methods intended to meet the same EN16602-80 requirements.
The process assessment and improvement scheme presented in this handbook is based on and conformant to the ISO/IEC 15504 International Standard. In designing this process assessment and improvement scheme the ISO/IEC 15504 exemplar process assessment model w as adopted and extended to address specific requirements.
The methods provided in this handbook can support organizations in meeting their business goals and in this context they can be tailored to suit their specific needs and requirements. How ever w hen used to claim compliance with relevant requirements in EN16602-80 only the steps and activities explicitly marked as recommended in this handbook may be omitted or modified.

Raumfahrtproduktsicherung - Software - Prozessüberprüfung und -verbesserung - Teil 1: Grundstruktur

Assurance produit des projets spatiaux - Evaluation et amélioration des processus logiciel - Partie 1: Principes

Zagotavljanje kakovosti proizvodov v vesoljski tehniki - Ocenjevanje in izboljšanje programske opreme - 1. del: Okvir

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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SLOVENSKI STANDARD
SIST-TP CEN/CLC/TR 17602-80-11:2021
01-december-2021

Zagotavljanje kakovosti proizvodov v vesoljski tehniki - Ocenjevanje in izboljšanje

programske opreme - 1. del: Okvir
Space product assurance - Software process assessment and improvement - Part 1:
Framework

Raumfahrtproduktsicherung - Software - Prozessüberprüfung und -verbesserung - Teil 1:

Grundstruktur

Assurance produit des projets spatiaux - Evaluation et amélioration des processus

logiciel - Partie 1: Principes
Ta slovenski standard je istoveten z: CEN/CLC/TR 17602-80-11:2021
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 17602-80-11:2021 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 17602-80-11:2021
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 1: Framework

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

amélioration des processus logiciel - Partie 1: Prozessüberprüfung und -verbesserung - Teil 1:

Principes Grundstruktur

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 17602-80-11:2021 E

reserved worldwide for CEN national Members and for
CENELEC Members.
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CEN/CLC/TR 17602-80-11:2021 (E)
Table of contents

European Foreword ................................................................................................... 8

Introduction ................................................................................................................ 9

1 Scope ..................................................................................................................... 11

2 References ............................................................................................................ 12

3 Terms, definitions and abbreviated terms .......................................................... 14

3.1 Terms from other documents .................................................................................. 14

3.2 Terms specific to the present document ................................................................. 14

3.3 Abbreviated terms................................................................................................... 20

4 Organisation and purpose ................................................................................... 22

4.1 Organization of this handbook ................................................................................ 22

4.2 Relation to Standards ............................................................................................. 22

4.2.1 Relation versus the ECSS family ............................................................... 22

4.2.1.1 Relation to software engineering ..............................................................22

4.2.1.2 Relation to software product assurance ...................................................22

4.2.1.3 Relation to project management ..............................................................23

4.2.2 Relation versus ISO/IEC ........................................................................... 24

4.3 S4S process assessment and improvement overview ............................................ 25

4.3.1 S4S architecture ....................................................................................... 25

4.3.2 S4S assessment purposes ........................................................................ 26

4.4 Use of other schemes and standards...................................................................... 26

5 S4S process assessment model ......................................................................... 27

5.1 Introduction ............................................................................................................. 27

5.2 S4S process dimension .......................................................................................... 28

5.3 The capability dimension ........................................................................................ 32

5.3.1 General ..................................................................................................... 32

5.3.1.1 Capability level .........................................................................................32

5.3.1.2 Process attributes and rating scale ..........................................................34

5.3.2 Level 0: Incomplete process ...................................................................... 36

5.3.3 Level 1: Performed process ...................................................................... 36

5.3.3.1 PA 1.1 Process performance attribute .....................................................36

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5.3.4 Level 2: Managed process ........................................................................ 36

5.3.4.1 PA 2.1 Performance management attribute .............................................36

5.3.4.2 PA 2.2 Work product management attribute ............................................37

5.3.5 Level 3: Established process ..................................................................... 37

5.3.5.1 PA 3.1 Process definition attribute ...........................................................37

5.3.5.2 PA 3.2 Process deployment attribute .......................................................37

5.3.6 Level 4: Predictable process ..................................................................... 38

5.3.6.1 PA 4.1 Process measurement attribute ...................................................38

5.3.6.2 PA 4.2 Process control attribute ...............................................................38

5.3.7 Level 5: Optimizing process ...................................................................... 39

5.3.7.1 PA 5.1 Process innovation attribute .........................................................39

5.3.7.2 PA 5.2 Process optimization attribute ......................................................39

6 Process assessment method .............................................................................. 40

6.1 Introduction ............................................................................................................. 40

6.2 Assessment process definition................................................................................ 41

6.2.1 Introduction ............................................................................................... 41

6.2.2 Assessment process ................................................................................. 43

6.2.2.1 Assessment initiation ................................................................................43

6.2.2.2 Assessment planning ...............................................................................47

6.2.2.3 Briefing (recommended activities) ............................................................50

6.2.2.4 Data acquisition ........................................................................................50

6.2.2.5 Data validation ..........................................................................................52

6.2.2.6 Process rating ..........................................................................................53

6.2.2.7 Assessment reporting and recording .......................................................54

6.2.2.8 Inputs to the risk management process (recommended activity).............57

6.2.3 Assessment actors and roles .................................................................... 60

6.2.3.1 Introduction ...............................................................................................60

6.2.3.2 Assessment sponsor (AS) ........................................................................60

6.2.3.3 Local assessment coordinator (LAC) .......................................................61

6.2.3.4 Assessment team leader (ATL) ................................................................61

6.2.3.5 Other assessors in the Assessment Team (AT) ......................................62

6.2.3.6 Technical specialists (AT) ........................................................................62

6.2.3.7 Observers .................................................................................................62

6.2.3.8 Assessment participants (AP) ..................................................................62

6.2.3.9 Organizational unit (OU)...........................................................................63

6.3 Assessment process guidance ............................................................................... 63

6.3.1 Introduction ............................................................................................... 63

6.3.2 Selection of assessment purpose .............................................................. 63

6.3.3 Assessment guidance for capability determination .................................... 64

6.3.3.1 Introduction ...............................................................................................64

6.3.3.2 Assessment purpose (INI 3) .....................................................................64

6.3.3.3 Selecting the assessment team (INI 7) ....................................................64

6.3.3.4 Assessment scope (INI 10) ......................................................................64

6.3.3.5 Data and data validation criteria (INI 11) ..................................................67

6.3.3.6 Defining ownership and responsibilities for assessment outputs

(INI 11)......................................................................................................67

6.3.3.7 Mapping the OU to the S4S model (INI 12) .............................................67

6.3.3.8 Selecting participants (INI 13) ..................................................................67

6.3.3.9 Assessment schedule (PLN 1) .................................................................68

6.3.3.10 Assessment data collection (PLN 3) ........................................................68

6.3.3.11 Verify conformance to requirements (PLN 5) ...........................................69

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6.3.3.12 Briefing (BRF 1 and BRF 2) .....................................................................69

6.3.3.13 Data collection (DAT 1) ............................................................................69

6.3.3.14 Rating of process attributes (PRT 2) ........................................................69

6.3.3.15 Process profiles (PRT 3) ..........................................................................70

6.3.3.16 Assessment instruments ..........................................................................70

6.3.3.17 Act on results ............................................................................................71

6.3.4 Assessment for process improvement....................................................... 71

6.3.4.1 Introduction ...............................................................................................71

6.3.4.2 Assessment scope (INI 10) ......................................................................71

6.3.4.3 Data acquisition (DAT 1 and DAT 2) ........................................................71

6.3.4.4 Process rating (PRT 1) .............................................................................71

6.3.5 Assessment for ECSS conformance ......................................................... 72

6.3.5.1 Introduction ...............................................................................................72

6.3.5.2 Planning for mandatory base practices (PLN 2) ......................................72

6.3.5.3 Data acquisition (DAT 1 and DAT 2) ........................................................73

6.3.5.4 Process rating (PRT 1) .............................................................................73

6.3.5.5 Act on results ............................................................................................73

6.4 Competency of assessors ....................................................................................... 73

6.4.1 Introduction ............................................................................................... 73

6.4.2 Gaining competency ................................................................................. 74

6.4.2.1 General .....................................................................................................74

6.4.2.2 Key relationships ......................................................................................74

6.4.2.3 Levels of competency ...............................................................................75

6.4.3 Maintaining competency ........................................................................... 75

6.4.4 Verification of competency ........................................................................ 75

6.4.5 Assessor competence instructions ............................................................ 76

6.4.6 Assessor experience instructions .............................................................. 77

7 Process improvement .......................................................................................... 78

7.1 Introduction ............................................................................................................. 78

7.2 Process improvement cycle .................................................................................... 79

7.2.1 Introduction ............................................................................................... 79

7.2.2 Process improvement process .................................................................. 80

7.2.2.1 Examine the organization’s needs and business goals Role: (TM),

IPM ...........................................................................................................80

7.2.2.2 Initiate process improvement ...................................................................81

7.2.2.3 Prepare for and conduct a process assessment Role: (see subclause

6.2) ...........................................................................................................83

7.2.2.4 Analyse assessment output and derive action plan(s) .............................84

7.2.2.5 Implement improvements Role: (SPIG) ..................................................89

7.2.2.6 Confirm improvements Role: (IPM), IPL, SPIG, OU, AT ..........................90

7.2.2.7 Sustain improvements Role: (TM), OU ..................................................90

7.2.2.8 Monitor performance Role: (IPM), OU ..................................................91

7.2.2.9 Management of the process improvement project Role: (IPM), IPL ........91

7.2.3 Roles and responsibilities.......................................................................... 91

7.2.3.1 Top management (TM) .............................................................................91

7.2.3.2 Improvement programme manager (IPM) ................................................92

7.2.3.3 Improvement project leader (IPL) .............................................................92

7.2.3.4 Software process improvement group (SPIG) members .........................93

7.2.3.5 Process owners (PO) ...............................................................................93

7.2.3.6 (Staff of the) Organizational unit (OU) ......................................................93

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7.2.3.7 Assessment team (AT) .............................................................................93

7.3 Special considerations for the success of process improvement ............................. 94

7.3.1 Ensuring the ongoing commitment of management ................................... 94

7.3.2 Values, attitudes and behaviour ................................................................ 94

7.3.3 Short term benefits .................................................................................... 95

7.3.4 Collection of baseline data ........................................................................ 95

7.3.5 Information policy ...................................................................................... 95

7.3.6 Select and use pilot projects ..................................................................... 95

7.3.7 Incremental implementation ...................................................................... 95

7.3.8 Training, mentoring, coaching ................................................................... 96

7.3.9 Communication and teamwork .................................................................. 96

7.3.10 Recognition ............................................................................................... 97

7.4 Software process improvement failure factors ........................................................ 97

7.4.1 Exclusive top-down or bottom-up improvement ......................................... 97

7.4.2 Unsuitable pilot project .............................................................................. 97

7.4.3 Confining to training .................................................................................. 97

7.4.4 Confining to CASE tools ............................................................................ 97

7.4.5 Confining to capability levels ..................................................................... 98

7.4.6 Too many promises ................................................................................... 98

7.4.7 Late impact ............................................................................................... 98

7.5 Recognition of process improvement ...................................................................... 98

7.5.1 Introduction ............................................................................................... 98

7.5.2 The process improvement cycle ................................................................ 99

7.5.2.1 General .....................................................................................................99

7.5.2.2 Initiate process improvement ...................................................................99

7.5.2.3 Prepare for and conduct a process assessment ......................................99

7.5.2.4 Analyse assessment output and derive action plan(s) .............................99

7.5.2.5 Implement improvements .........................................................................99

7.5.2.6 Confirm improvements ...........................................................................100

7.5.2.7 Sustain improvements ............................................................................100

7.5.2.8 Review improvement programme ..........................................................100

7.5.2.9 Management of the process improvement project .................................100

8 Recognition of assessment schemes and results ........................................... 101

8.1 Introduction ........................................................................................................... 101

8.2 Recognition of assessment schemes .................................................................... 101

8.2.1 General ................................................................................................... 101

8.2.2 Recognition of the use of S4S ................................................................. 101

8.2.3 Recognition of other schemes ................................................................. 101

8.2.3.2 Process assessment model scope .........................................................101

8.2.3.3 Process assessment model indicators ...................................................102

8.2.3.4 Mapping process assessment models to process reference models ....102

8.2.3.5 Recognition of assessment methods .....................................................102

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8.3 Recognition of S4S results .................................................................................... 105

Annex A Examples of target profiles (informative) ............................................ 106

A.1 General ................................................................................................................. 106

A.2 Rationale behind target profiles ............................................................................ 106

A.3 Use of target profiles in verifying the capability of software projects or supplier

organisations ........................................................................................................ 109

Annex B Recommendations for the content of SW process assessment

outputs ............................................................................................................... 110

B.1 Assessment plan .................................................................................................. 110

B.2 Assessment report ................................................................................................ 115

B.3 Assessor record .................................................................................................... 120

Annex C Bibliography ........................................................................................... 122

Figures
Figure 1 SW life cycle processes in ECSS Standards (ECSS-E-ST-40C and ECSS-

Q-ST-80C) ......................................................................................................... 24

Figure 2 Relationship between assessment indicators and process capability. ................ 35

Figure 3 S4S process assessment purposes ................................................................... 40

Figure 4 Process diagram notation ................................................................................... 41

Figure 5 The assessment process definition .................................................................... 42

Figure 6 Assessment initiation.......................................................................................... 44

Figure 7 Assessment planning ......................................................................................... 48

Figure 8 Data acquisition .................................................................................................. 51

Figure 9 Data validation ................................................................................................... 52

Figure 10 Process rating .................................................................................................... 53

Figure 11 Reporting ........................................................................................................... 55

Figure 12 Inputs to the risk management process .............................................................. 58

Figure 13 Use of target and actual profiles ......................................................................... 58

Figure 14 Sample assessment schedule ............................................................................ 68

Figure 15 Example of process profile ................................................................................. 70

Figure 16 Demonstration and validation of assessor’s competency [ISO/IEC 15504] ........ 74

Figure 17 Basic organization of a certification scheme ....................................................... 76

Figure 18 Process improvement cycle................................................................................ 78

Figure 19 Improvement cycle ............................................................................................. 80

Figure 20 Initiate process improvement .............................................................................. 81

Figure 21 Analyse assessment output and derive action plan(s) ........................................ 84

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Figure 22 Suggested target profile according to software criticality .................................. 108

Tables

Table 2 S4S set of processes ......................................................................................... 29

Table 3 Process description components ........................................................................ 31

Table 4 Capability levels and process attributes ............................................................. 34

Table 5 Sample target capability ..................................................................................... 65

Table 6 Establishing a target profile ................................................................................ 65

Table 7 Example of assessor competence requirements ................................................ 76

Table 8 Typical improvement cycle time-scale ................................................................ 83

Table A-1 : Proposed target profile ..................................................................................... 106

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European Foreword

This document (CEN/CLC/TR 17602-80-11:2021) 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 17602-80-11:2021) originates from ECSS-Q-HB-80-02 Part 1A.

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 handbook provides a framework for the assessment and improvement of software processes for

the European space industry and organizations, weather customers or suppliers.

The framework presented in this handbook is called SPiCE for Space (S4S). As its name already

mentions, S4S is based on SPICE (Software Process Capability dEtermination), a major international

initiative to support the development of ISO/IEC 15504. In turn, ISO/IEC 15504 provides a common

internationally recognized framework for the terminology and reference process assessment

description.

The process assessment and improvement standardization efforts within the SPICE project have tried

to be as general as possible, to be applicable to all domains, including the space domain. The space

software development processes are not substantially different from software processes in some other

application domains (e.g. defence, public transport), therefore S4S uses the material provided in

ISO/IEC 15504 ‘as is’ as much as possible.

The major benefits of using a standardized approach to process assessment and improvement are that

it can:

• lead to a common understanding of the use of process assessment for process improvement and

capability determination;
• facilitate capability determination in procurement;
• contribute to increase the efficiency and competitiveness of an organization
• be controlled and regularly reviewed in the light of experience of use;
• be changed and improved only by international consensus;
• encourage harmonization of existing schemes
Nevertheless, a number of requirements were identified from the E
...

SLOVENSKI STANDARD
kSIST-TP FprCEN/CLC/TR 17602-80-11:2021
01-julij-2021

Zagotavljanje kakovosti proizvodov v vesoljski tehniki - Ocenjevanje in izboljšanje

programske opreme - 1. del: Okvir
Space product assurance - Software process assessment and improvement - Part 1:
Framework
Qualitätssicherung von Raumfahrtprodukten - Bewertung und Verbesserung von
Softwareprozessen - Teil 1: Rahmenwerk

Assurance produit des projets spatiaux - Évaluation et amélioration des processus

logiciels - Partie 1 : Cadre
Ta slovenski standard je istoveten z: FprCEN/CLC/TR 17602-80-11
ICS:
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
11:2021

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

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kSIST-TP FprCEN/CLC/TR 17602-80-11:2021
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kSIST-TP FprCEN/CLC/TR 17602-80-11:2021
TECHNICAL REPORT
FINAL DRAFT
FprCEN/CLC/TR 17602-
RAPPORT TECHNIQUE
80-11
TECHNISCHER BERICHT
May 2021
ICS 49.140; 35.240.99
English version
Space product assurance - Software process assessment
and improvement - Part 1: Framework

Assurance produit des projets spatiaux - Évaluation et Qualitätssicherung von Raumfahrtprodukten -

amélioration des processus logiciels - Partie 1 : Cadre Bewertung und Verbesserung von Softwareprozessen -

Teil 1: Rahmenwerk

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 17602-80-11:2021 E

reserved worldwide for CEN national Members and for
CENELEC Members.
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FprCEN/CLC/TR 17602-80-11:2021 (E)
Table of contents

1 Scope ..................................................................................................................... 11

2 References ............................................................................................................ 12

3 Terms, definitions and abbreviated terms .......................................................... 14

3.1 Terms from other documents .................................................................................. 14

3.2 Terms specific to the present document ................................................................. 14

3.3 Abbreviated terms................................................................................................... 20

4 Organisation and purpose ................................................................................... 22

4.1 Organization of this handbook ................................................................................ 22

4.2 Relation to Standards ............................................................................................. 22

4.2.1 Relation versus the ECSS family ............................................................... 22

4.2.1.1 Relation to software engineering ..............................................................22

4.2.1.2 Relation to software product assurance ...................................................22

4.2.1.3 Relation to project management ..............................................................23

4.2.2 Relation versus ISO/IEC ........................................................................... 24

4.3 S4S process assessment and improvement overview ............................................ 25

4.3.1 S4S architecture ....................................................................................... 25

4.3.2 S4S assessment purposes ........................................................................ 26

4.4 Use of other schemes and standards...................................................................... 26

5 S4S process assessment model ......................................................................... 27

5.1 Introduction ............................................................................................................. 27

5.2 S4S process dimension .......................................................................................... 28

5.3 The capability dimension ........................................................................................ 32

5.3.1 General ..................................................................................................... 32

5.3.1.1 Capability level .........................................................................................32

5.3.1.2 Process attributes and rating scale ..........................................................34

5.3.2 Level 0: Incomplete process ...................................................................... 36

5.3.3 Level 1: Performed process ...................................................................... 36

5.3.3.1 PA 1.1 Process performance attribute .....................................................36

5.3.4 Level 2: Managed process ........................................................................ 36

5.3.4.1 PA 2.1 Performance management attribute .............................................36

5.3.4.2 PA 2.2 Work product management attribute ............................................37

5.3.5 Level 3: Established process ..................................................................... 37

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5.3.5.1 PA 3.1 Process definition attribute ...........................................................37

5.3.5.2 PA 3.2 Process deployment attribute .......................................................37

5.3.6 Level 4: Predictable process ..................................................................... 38

5.3.6.1 PA 4.1 Process measurement attribute ...................................................38

5.3.6.2 PA 4.2 Process control attribute ...............................................................38

5.3.7 Level 5: Optimizing process ...................................................................... 39

5.3.7.1 PA 5.1 Process innovation attribute .........................................................39

5.3.7.2 PA 5.2 Process optimization attribute ......................................................39

6 Process assessment method .............................................................................. 40

6.1 Introduction ............................................................................................................. 40

6.2 Assessment process definition................................................................................ 41

6.2.1 Introduction ............................................................................................... 41

6.2.2 Assessment process ................................................................................. 43

6.2.2.1 Assessment initiation ................................................................................43

6.2.2.2 Assessment planning ...............................................................................47

6.2.2.3 Briefing (recommended activities) ............................................................50

6.2.2.4 Data acquisition ........................................................................................50

6.2.2.5 Data validation ..........................................................................................52

6.2.2.6 Process rating ..........................................................................................53

6.2.2.7 Assessment reporting and recording .......................................................54

6.2.2.8 Inputs to the risk management process (recommended activity).............57

6.2.3 Assessment actors and roles .................................................................... 60

6.2.3.1 Introduction ...............................................................................................60

6.2.3.2 Assessment sponsor (AS) ........................................................................60

6.2.3.3 Local assessment coordinator (LAC) .......................................................61

6.2.3.4 Assessment team leader (ATL) ................................................................61

6.2.3.5 Other assessors in the Assessment Team (AT) ......................................62

6.2.3.6 Technical specialists (AT) ........................................................................62

6.2.3.7 Observers .................................................................................................62

6.2.3.8 Assessment participants (AP) ..................................................................62

6.2.3.9 Organizational unit (OU)...........................................................................63

6.3 Assessment process guidance ............................................................................... 63

6.3.1 Introduction ............................................................................................... 63

6.3.2 Selection of assessment purpose .............................................................. 63

6.3.3 Assessment guidance for capability determination .................................... 64

6.3.3.1 Introduction ...............................................................................................64

6.3.3.2 Assessment purpose (INI 3) .....................................................................64

6.3.3.3 Selecting the assessment team (INI 7) ....................................................64

6.3.3.4 Assessment scope (INI 10) ......................................................................64

6.3.3.5 Data and data validation criteria (INI 11) ..................................................67

6.3.3.6 Defining ownership and responsibilities for assessment outputs

(INI 11)......................................................................................................67

6.3.3.7 Mapping the OU to the S4S model (INI 12) .............................................67

6.3.3.8 Selecting participants (INI 13) ..................................................................67

6.3.3.9 Assessment schedule (PLN 1) .................................................................68

6.3.3.10 Assessment data collection (PLN 3) ........................................................68

6.3.3.11 Verify conformance to requirements (PLN 5) ...........................................69

6.3.3.12 Briefing (BRF 1 and BRF 2) .....................................................................69

6.3.3.13 Data collection (DAT 1) ............................................................................69

6.3.3.14 Rating of process attributes (PRT 2) ........................................................69

6.3.3.15 Process profiles (PRT 3) ..........................................................................70

6.3.3.16 Assessment instruments ..........................................................................70

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6.3.3.17 Act on results ............................................................................................71

6.3.4 Assessment for process improvement....................................................... 71

6.3.4.1 Introduction ...............................................................................................71

6.3.4.2 Assessment scope (INI 10) ......................................................................71

6.3.4.3 Data acquisition (DAT 1 and DAT 2) ........................................................71

6.3.4.4 Process rating (PRT 1) .............................................................................71

6.3.5 Assessment for ECSS conformance ......................................................... 72

6.3.5.1 Introduction ...............................................................................................72

6.3.5.2 Planning for mandatory base practices (PLN 2) ......................................72

6.3.5.3 Data acquisition (DAT 1 and DAT 2) ........................................................73

6.3.5.4 Process rating (PRT 1) .............................................................................73

6.3.5.5 Act on results ............................................................................................73

6.4 Competency of assessors ....................................................................................... 73

6.4.1 Introduction ............................................................................................... 73

6.4.2 Gaining competency ................................................................................. 74

6.4.2.1 General .....................................................................................................74

6.4.2.2 Key relationships ......................................................................................74

6.4.2.3 Levels of competency ...............................................................................75

6.4.3 Maintaining competency ........................................................................... 75

6.4.4 Verification of competency ........................................................................ 75

6.4.5 Assessor competence instructions ............................................................ 76

6.4.6 Assessor experience instructions .............................................................. 77

7 Process improvement .......................................................................................... 78

7.1 Introduction ............................................................................................................. 78

7.2 Process improvement cycle .................................................................................... 79

7.2.1 Introduction ............................................................................................... 79

7.2.2 Process improvement process .................................................................. 80

7.2.2.1 Examine the organization’s needs and business goals Role: (TM),

IPM ...........................................................................................................80

7.2.2.2 Initiate process improvement ...................................................................81

7.2.2.3 Prepare for and conduct a process assessment Role: (see subclause

6.2) ...........................................................................................................83

7.2.2.4 Analyse assessment output and derive action plan(s) .............................84

7.2.2.5 Implement improvements Role: (SPIG) ..................................................89

7.2.2.6 Confirm improvements Role: (IPM), IPL, SPIG, OU, AT ..........................90

7.2.2.7 Sustain improvements Role: (TM), OU ..................................................90

7.2.2.8 Monitor performance Role: (IPM), OU ..................................................90

7.2.2.9 Management of the process improvement project Role: (IPM), IPL ........91

7.2.3 Roles and responsibilities.......................................................................... 91

7.2.3.1 Top management (TM) .............................................................................91

7.2.3.2 Improvement programme manager (IPM) ................................................92

7.2.3.3 Improvement project leader (IPL) .............................................................92

7.2.3.4 Software process improvement group (SPIG) members .........................92

7.2.3.5 Process owners (PO) ...............................................................................93

7.2.3.6 (Staff of the) Organizational unit (OU) ......................................................93

7.2.3.7 Assessment team (AT) .............................................................................93

7.3 Special considerations for the success of process improvement ............................. 93

7.3.1 Ensuring the ongoing commitment of management ................................... 93

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7.3.2 Values, attitudes and behaviour ................................................................ 94

7.3.3 Short term benefits .................................................................................... 95

7.3.4 Collection of baseline data ........................................................................ 95

7.3.5 Information policy ...................................................................................... 95

7.3.6 Select and use pilot projects ..................................................................... 95

7.3.7 Incremental implementation ...................................................................... 95

7.3.8 Training, mentoring, coaching ................................................................... 95

7.3.9 Communication and teamwork .................................................................. 96

7.3.10 Recognition ............................................................................................... 96

7.4 Software process improvement failure factors ........................................................ 97

7.4.1 Exclusive top-down or bottom-up improvement ......................................... 97

7.4.2 Unsuitable pilot project .............................................................................. 97

7.4.3 Confining to training .................................................................................. 97

7.4.4 Confining to CASE tools ............................................................................ 97

7.4.5 Confining to capability levels ..................................................................... 97

7.4.6 Too many promises ................................................................................... 97

7.4.7 Late impact ............................................................................................... 98

7.5 Recognition of process improvement ...................................................................... 98

7.5.1 Introduction ............................................................................................... 98

7.5.2 The process improvement cycle ................................................................ 98

7.5.2.1 General .....................................................................................................98

7.5.2.2 Initiate process improvement ...................................................................99

7.5.2.3 Prepare for and conduct a process assessment ......................................99

7.5.2.4 Analyse assessment output and derive action plan(s) .............................99

7.5.2.5 Implement improvements .........................................................................99

7.5.2.6 Confirm improvements ...........................................................................100

7.5.2.7 Sustain improvements ............................................................................100

7.5.2.8 Review improvement programme ..........................................................100

7.5.2.9 Management of the process improvement project .................................100

8 Recognition of assessment schemes and results ........................................... 101

8.1 Introduction ........................................................................................................... 101

8.2 Recognition of assessment schemes .................................................................... 101

8.2.1 General ................................................................................................... 101

8.2.2 Recognition of the use of S4S ................................................................. 101

8.2.3 Recognition of other schemes ................................................................. 101

8.2.3.2 Process assessment model scope .........................................................101

8.2.3.3 Process assessment model indicators ...................................................102

8.2.3.4 Mapping process assessment models to process reference models ....102

8.2.3.5 Recognition of assessment methods .....................................................102

8.3 Recognition of S4S results .................................................................................... 105

Annex A Examples of target profiles (informative) ............................................ 106

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A.1 General ................................................................................................................. 106

A.2 Rationale behind target profiles ............................................................................ 106

A.3 Use of target profiles in verifying the capability of software projects or supplier

organisations ........................................................................................................ 109

Annex B Recommendations for the content of SW process assessment

outputs ............................................................................................................... 110

B.1 Assessment plan .................................................................................................. 110

B.2 Assessment report ................................................................................................ 115

B.3 Assessor record .................................................................................................... 120

Annex C Bibliography ........................................................................................... 122

Figures
Figure 1 SW life cycle processes in ECSS Standards (ECSS-E-ST-40C and ECSS-

Q-ST-80C) ......................................................................................................... 24

Figure 2 Relationship between assessment indicators and process capability. ................ 35

Figure 3 S4S process assessment purposes ................................................................... 40

Figure 4 Process diagram notation ................................................................................... 41

Figure 5 The assessment process definition .................................................................... 42

Figure 6 Assessment initiation.......................................................................................... 44

Figure 7 Assessment planning ......................................................................................... 48

Figure 8 Data acquisition .................................................................................................. 51

Figure 9 Data validation ................................................................................................... 52

Figure 10 Process rating .................................................................................................... 53

Figure 11 Reporting ........................................................................................................... 55

Figure 12 Inputs to the risk management process .............................................................. 58

Figure 13 Use of target and actual profiles ......................................................................... 58

Figure 14 Sample assessment schedule ............................................................................ 68

Figure 15 Example of process profile ................................................................................. 70

Figure 16 Demonstration and validation of assessor’s competency [ISO/IEC 15504] ........ 74

Figure 17 Basic organization of a certification scheme ....................................................... 76

Figure 18 Process improvement cycle................................................................................ 78

Figure 19 Improvement cycle ............................................................................................. 80

Figure 20 Initiate process improvement .............................................................................. 81

Figure 21 Analyse assessment output and derive action plan(s) ........................................ 84

Figure 22 Suggested target profile according to software criticality .................................. 108

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Tables

Table 2 S4S set of processes ......................................................................................... 29

Table 3 Process description components ........................................................................ 31

Table 4 Capability levels and process attributes ............................................................. 34

Table 5 Sample target capability ..................................................................................... 65

Table 6 Establishing a target profile ................................................................................ 65

Table 7 Example of assessor competence requirements ................................................ 76

Table 8 Typical improvement cycle time-scale ................................................................ 83

Table A-1 : Proposed target profile ..................................................................................... 106

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European Foreword

This document (FprCEN/CLC/TR 17602-80-11:2021) 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 17602-80-11:2021) originates from ECSS-Q-HB-80-02 Part 1A.

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 COSULTATION.
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Introduction

This handbook provides a framework for the assessment and improvement of software processes for

the European space industry and organizations, weather customers or suppliers.

The framework presented in this handbook is called SPiCE for Space (S4S). As its name already

mentions, S4S is based on SPICE (Software Process Capability dEtermination), a major international

initiative to support the development of ISO/IEC 15504. In turn, ISO/IEC 15504 provides a common

internationally recognized framework for the terminology and reference process assessment

description.

The process assessment and improvement standardization efforts within the SPICE project have tried

to be as general as possible, to be applicable to all domains, including the space domain. The space

software development processes are not substantially different from software processes in some other

application domains (e.g. defence, public transport), therefore S4S uses the material provided in

ISO/IEC 15504 ‘as is’ as much as possible.

The major benefits of using a standardized approach to process assessment and improvement are that

it can:

 lead to a common understanding of the use of process assessment for process improvement and

capability determination;
 facilitate capability determination in procurement;
 contribute to increase the efficiency and competitiveness of an organization
...

Questions, Comments and Discussion

Ask us and Technical Secretary will try to provide an answer. You can facilitate discussion about the standard in here.