Process ID

SUP.1

Process name

Quality Assurance

Process purpose

The purpose of the Quality Assurance Process is to provide independent and objective assurance that work products and processes comply with defined criteria and that non- conformances are resolved and further prevented.

Process outcomes

1) Quality assurance is performed independently and objectively without conflicts of interest.

2) Criteria for the quality of work products and process performance are defined.

3) Conformance of work products and process performance with the defined criteria and targets is verified, documented and communicated to the relevant parties.

4) Non-conformances are tracked, resolved, and further prevented.

5) Non-conformances are escalated to appropriate levels of management.

6) Management ensures that escalated non-conformances are resolved.

Base practices

SUP.1.BP1: Ensure independence of quality assurance. Ensure that quality assurance is performed independently and objectively without conflicts of interest.

Note 1: Possible inputs for evaluating the independence may be assignment to financial and/or organizational structure as well as responsibility for processes that are subject to quality assurance (no self-monitoring).

SUP.1.BP2: Define criteria for quality assurance. Define quality criteria for work products as well as for process tasks and their performance.

Note 2: Quality criteria may consider internal and external inputs such as customer requirements, standards, milestones, etc.

SUP.1.BP3: Assure quality of work products. Identify work products subject to quality assurance according to the quality criteria. Perform appropriate activities to evaluate the work products against the defined quality criteria and document the results.

Note 3: Quality assurance activities may include reviews, problem analysis and lessons learned that improve the work products for further use.

SUP.1.BP4: Assure quality of process activities. Identify processes subject to quality assurance according to the quality criteria. Perform appropriate activities to evaluate the processes against their defined quality criteria and associated target values and document the results.

NOTE 4: Quality assurance activities may include process assessments, problem analysis, regular check of methods, tools and the adherence to defined processes, and consideration of lessons learned.

SUP.1.BP5: Summarize and communicate quality assurance activities and results. Regularly report performance, non-conformances, and trends of quality assurance activities to all affected parties.

SUP.1.BP6: Ensure resolution of non-conformances. Analyze, track, correct, resolve and further prevent non-conformances found in quality assurance activities.

NOTE 5: Non-conformances detected in work products may be entered into the problem resolution management process (SUP.9).

NOTE 6: Non-conformances detected in the process definition or implementation may be entered into a process improvement process (PIM.3).

SUP.1.BP7: Escalate non-conformances. Escalate relevant non-conformances to appropriate levels of management and other relevant stakeholders to facilitate their resolution.

NOTE 7: The decision whether to escalate non-conformances may be based on criteria such as delay of resolution, urgency, and risk.

SUP.1

Quality Assurance

Outcome 1

Outcome 2

Outcome 3

Outcome 4

Outcome 5

Outcome 6

Output Information Items

16-50 Organization structure

X

X

18-52 Escalation path

X

X

18-07 Quality criteria

X

X

X

13-52 Communication evidence

X

X

X

13-18 Quality record

X

X

13-19 Review record

X

X

14-02 Corrective action

X

X

Base practices

BP1: Ensure independence of quality assurance.

X

BP2: Define criteria for quality assurance.

X

BP3: Assure quality of document information.

X

X

BP4: Assure quality of process activities.

X

X

BP5: Summarize and communicate quality assurance activities and results.

X

X

X

BP6: Ensure resolution of non-conformances.

X

X

BP7: Escalate non-conformances.

X

X

Process ID

SUP.8

Process name

Configuration Management

Process purpose

The purpose of the Configuration Management Process is to establish and maintain the integrity of relevant work products and make them available to affected parties.

Process outcomes

1) Selection criteria for configuration items are defined and applied.

2) Configuration item properties are defined.

3) Configuration management is established.

4) Modifications are controlled.

5) Baselining is applied.

6) The status of the configuration items is recorded and reported.

7) The completeness and consistency of the baselines is ensured.

8) The availability of backup and recovery mechanisms is verified.

Base practices

SUP.8.BP1: Identify configuration items. Define selection criteria for identifying relevant work products to be subject to configuration management. Identify and document configuration items according to the defined selection criteria.

NOTE 1: Configuration items are representing work products or group of work products which are designated for configuration management and treated as a single entity in the configuration management process.

NOTE 2: Configuration items may vary widely in complexity, size and type, ranging from an entire system including all hardware, software and documentation, to a single module or a minor hardware component.

NOTE 3: The selection criteria may be applied to single work products or a group of work products.

SUP.8.BP2: Define configuration item properties. Define the necessary properties needed for the modification and control of configuration items.

NOTE 4: The configuration item properties may be defined for single configuration items or a group of items.

NOTE 5: Configuration item properties may include a status model (e.g. under work, checked in, tested, released, etc.), storage location, access rights, etc.

NOTE 6: The application of properties may be implemented by attributes of the configuration items in the configuration item list.

SUP.8.BP3: Establish configuration management. Establish configuration management mechanisms for control of identified configuration items including the configuration item properties, including mechanisms to control parallel modifications of configuration items.

NOTE 7: This may include specific mechanisms for different configuration item types, such as branch and merge management or checkout control for software or drawing revisioning for mechanic and hardware

SUP.8.BP4: Control modifications. Control modifications using the configuration management mechanisms.

NOTE 8: This may include the application of a defined status model.

SUP.8.BP5: Establish baselines. Establish baselines for internal purposes and for external delivery for all relevant configuration items according to the configuration item properties.

SUP.8.BP6: Summarize and communicate configuration status. Record, summarize and communicate the status of configuration items and established baselines to affected parties to support the monitoring of the current work product progress and status.

NOTE 9: Regular communication of the configuration status, e.g. based on a defined status model supports project management and quality activities and dedicated project phases like software integration.

SUP.8.BP7: Ensure completeness and consistency. Ensure that the information about configuration items is correct and complete with respect to the necessary configuration item properties. Ensure the completeness and consistency of baselines.

NOTE 10: Completeness and consistency of a baseline means that all required configuration items are included within the baseline, and are consistent to each other, and have the required status. This can be used to support gate approval.

SUP.8.BP8: Verify backup and recovery mechanisms’ availability. Verify the availability of appropriate backup and recovery mechanism for the configuration management including the controlled work products. Initiate measures in case of insufficient backup and recovery mechanisms.

NOTE 11: Backup and recovery mechanisms may be defined and implemented by organizational units outside the project team. This may include references to corresponding procedures or regulations.

SUP.8 – Configuration Management

Outcome 1

Outcome 2

Outcome 3

Outcome 4

Outcome 5

Outcome 6

Outcome 7

Outcome 8

Output Information items

18-53 Configuration item selection criteria

X

01-52 Configuration item list

X

X

X

13-10 Configuration management record

X

X

X

X

X

16-03 Configuration management system

X

X

X

13-08 Baseline

X

X

14-01 Change history

X

X

X

15-56 Configuration status summary

X

13-51 Consistency Evidence

X

06-52 Backup and recovery mechanism information

X

Base Practices

BP1: Identify configuration items

X

BP2: Define configuration item properties

X

BP3: Establish configuration management

X

BP4: Control modifications

X

BP5: Establish baselines

X

BP6: Summarize and communicate configuration status

X

BP7: Ensure completeness and consistency

X

BP8: Verify backup and recovery mechanisms availability

X

Process ID

SUP.9

Process name

Problem Resolution Management

Process purpose

The purpose of the Problem Resolution Management Process is to ensure that problems are identified, recorded, analyzed, and their resolution is managed and controlled.

Process outcomes

1) Problems are uniquely identified, recorded and classified

2) Problems are analyzed and assessed to determine an appropriate solution

3) Problem resolution is initiated

4) Problems are tracked to closure

5) The status of problems including trends identified are reported to stakeholders

Base practices

SUP.9.BP1: Identify and record the problem. Each problem is uniquely identified, described and recorded. A status is assigned to each problem to facilitate tracking. Supporting information is provided to reproduce and diagnose the problem.

NOTE 1: Problems may relate to e.g., product, resources, or methods.

NOTE 2: Example values for the problem status are “new”, “solved”, “closed”, etc.

NOTE 3: Supporting information may include, e.g. the origin of the problem, how it can be reproduced, environmental information, by whom it has been detected.

NOTE 4: Unique identification supports traceability to changes made as needed by the change request management process (SUP.10).

SUP.9.BP2: Determine the cause and the impact of the problem. Analyze the problem, determine its cause and impact. Categorize the problem.

NOTE 5: Problem categorization (e.g., light, medium, severe) may be based on severity, criticality, urgency, etc.

SUP.9.BP3: Authorize urgent resolution action. Obtain authorization for immediate action if a problem requires an urgent resolution according to the categorization.

SUP.9.BP4: Raise alert notifications. If according to the categorization the problem has a high impact on other systems or other affected parties, an alert notification needs to be raised accordingly.

SUP.9.BP5: Initiate problem resolution. Initiate appropriate actions according to the categorization to resolve the problem including review of those actions or initiate a change request.

SUP.9.BP6: Track problems to closure. Track the status of problems to closure including all related change requests. The closure of problems is accepted by relevant stakeholders.

SUP.9.BP7: Report the status of problem resolution activities. Collect and analyze problem resolution management data, identify trends, and initiate related actions. Regularly report the results of data analysis, the identified trends and the status of problem resolution activities to relevant stakeholders.

NOTE 6: Collected data may contain information about where the problems occurred, how and when they were found, what were their impacts, etc.

SUP.9 – Problem Resolution Management

Outcome 1

Outcome 2

Outcome 3

Outcome 4

Outcome 5

Output Information item

13-07 Problem record

X

X

X

X

15-55 Problem analysis evidence

X

15-12 Problem status report

X

Base Practices

BP1: Identify and record the problem

X

X

BP2: Determine the cause and the impact of the problem

X

X

BP3: Authorize urgent resolution action

X

BP4: Raise alert notifications

X

BP5: Initiate problem resolution

X

BP6: Track problems to closure

X

X

BP7: Report the status of problem resolution activities

X

Process ID

SUP.10

Process name

Change Request Management

Process purpose

The purpose of the Change Request Management Process is to ensure that change requests are managed, tracked and implemented.

Process outcomes

1) Requests for changes are recorded and identified

2) Change requests are analyzed, dependencies and relationships to other change requests are identified, and the impact is estimated

3) Change requests are approved before implementation and prioritized accordingly

4) Bidirectional traceability is established between change requests and affected work products

5) Implementation of change requests is confirmed

6) Change requests are tracked to closure and status of change requests is communicated to affected parties

Base practices

SUP.10.BP1: Identify and record the change requests. The scope for application of change requests is identified. Each change request is uniquely identified, described, and recorded, including the initiator and reason of the change request. A status is assigned to each change request to facilitate tracking.

NOTE 1: Change requests may be used for changes related to e.g., product, process, methods.

NOTE 2: Example values for the change request status are “open”, “under investigation”, “implemented”, etc.

NOTE 3: The change request handling may differ across the product life cycle e.g., during prototype construction and series development

SUP.10.BP2: Analyze and assess change requests. Change requests are analyzed by relevant parties according to analysis criteria. Work products affected by the change request and dependencies to other change requests are determined. The impact of the change requests is assessed.

NOTE 4: Examples for analysis criteria are: resource requirements, scheduling issues, risks, benefits, etc.

SUP.10.BP3: Approve change requests before implementation. Change requests are prioritized and approved for implementation based on analysis results and availability of resources.

NOTE 5: A Change Control Board (CCB) is an example mechanism used to approve change requests. NOTE 6: Prioritization of change requests may be done by allocation to releases.

SUP.10.BP4: Establish bidirectional traceability. Establish bidirectional traceability between change requests and work products affected by the change requests. In case that the change request is initiated by a problem, establish bidirectional traceability between change requests and the corresponding problem reports.

SUP.10.BP5: Confirm the implementation of change requests. The implementation of change requests is confirmed before closure by relevant stakeholders.

SUP.10.BP6: Track change requests to closure. Change requests are tracked to closure. The status of change requests is communicated to all affected parties.

NOTE 7: Examples for informing affected parties can be daily standup meetings or tool-supported workflows.

SUP.10 – Change Request Management

Outcome 1‌

Outcome 2

Outcome 3

Outcome 4

Outcome 5

Outcome 6

Output Information item

18-57 Change analysis criteria

X

13-16 Change request

X

X

X

X

X

13-22 Traceability record

X

Base Practices

BP1: Identify and record the change requests

X

BP2: Analyze and assess change requests

X

BP3: Approve change requests before implementation

X

BP4: Establish bidirectional traceability

X

BP5: Confirm the implementation of change requests

X

BP6: Track change requests to closure

X

Process ID

SUP.11

Process name

Machine Learning Data Management

Process purpose

The purpose is to define and align ML data with ML data requirements, maintain the integrity and quality of the ML data, and make them available to affected parties.

Process outcomes

1) an ML data management system including a ML data lifecycle is established

2) an ML data quality approach is developed including ML data quality criteria

3) collected ML data are processed for consistency with ML data requirements

4) ML data are verified against defined ML data quality criteria and updated as needed

5) ML data are agreed and communicated to all affected parties

Base practices

SUP.11.BP1: Establish an ML data management system. Establish an ML data management system which supports

 ML data management activities;

 relevant sources of ML data;

 ML data life cycle including a status model;

 interfaces to affected parties.

Note 1: Supported ML data management activities may include data collection, labeling/annotation, and structuring.

SUP.11.BP2: Develop an ML data quality approach. Develop an approach to ensure that the quality of ML data is analyzed based on defined ML data quality criteria and activities are performed to support avoidance of biases of data.

Note 2: Examples of ML data quality criteria are relevant data sources, reliability and consistency of labelling, completeness against ML data requirements.

Note 3: The ML data management system should support the quality criteria and activities of the ML data quality approach.

Note 4: Biases to avoid may include sampling bias (e.g., gender, age) and feedback loop bias. Note 5: For creation of ML data sets see MLE.3.BP2 and MLE.4.BP2.

SUP.11.BP3: Collect ML data. Relevant sources for raw data are identified and continuously monitored for changes. The raw data is collected according to the ML data requirements.

Note 6: The identification and collection of ML data might be an organizational responsibility.

Note 7: Continuous monitoring should include the ODD and may lead to changes of the ML requirements.

SUP.11.BP4: Process ML data. The raw data are processed (annotated, analyzed, and structured) according to the ML data requirements.

SUP.11.BP5: Assure quality of ML data. Perform the activities according to the ML data quality approach to ensure that the ML data meets the defined ML data quality criteria.

Note 8: These activities may include sample-based reviews or statistical methods.

SUP.11.BP6: Communicate agreed processed ML data. Inform all affected parties about the agreed processed ML data and provide them to the affected parties.

SUP.11 – Machine Learning Data Management

Outcome 1

Outcome 2

Outcome 3

Outcome 4

Outcome 5

Output Information Items

16-52 ML data management system

X

19-50 ML data quality approach

X

03-53 ML data

X

X

13-52 Communication evidence

X

Base Practices

BP1: Establish an ML data management system

X

BP2: Develop an ML data quality approach

X

BP3: Collect ML data

X

BP4: Process ML data

X

BP5: Assure quality of ML data

X

BP6: Communicate agreed processed ML data

X